Solid State Physics
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 1
1 Electrons in a Lattice. 3
1.1 Electron in a Periodic Field . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1.1 Electron in a Periodic Potential . . . . . . . . . . . . . . . . . . . . 4
1.2 Tight Binding Approximation . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.3 The Model of Near Free Electrons . . . . . . . . . . . . . . . . . . . . . . . 8
1.4 Main Properties of Bloch Electrons . . . . . . . . . . . . . . . . . . . . . . 10
1.4.1 Eﬀective Mass . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.4.2 Wannier Theorem → Eﬀective Mass Approach . . . . . . . . . . . . 11
1.5 Electron Velocity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
1.5.1 Electric current in a Bloch State. Concept of Holes. . . . . . . . . . 12
1.6 Classiﬁcation of Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.7 Dynamics of Bloch Electrons . . . . . . . . . . . . . . . . . . . . . . . . . . 14
1.7.1 Classical Mechanics . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
1.7.2 Quantum Mechanics of Bloch Electron (Landau Quantization). . . . 21
1.8 Second Quantization of Electrons . . . . . . . . . . . . . . . . . . . . . . . 23
1.9 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
II Normal metals and semiconductors 27
2 Classical dc Transport ... 29
2.1 The Boltzmann Equation for Electrons . . . . . . . . . . . . . . . . . . . . 29
2.2 Conductivity and Thermoelectric Phenomena. . . . . . . . . . . . . . . . . 33
2.3 Energy Transport. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
2.4 Neutral and Ionized Impurities . . . . . . . . . . . . . . . . . . . . . . . . . 40
2.5 ElectronElectron Scattering . . . . . . . . . . . . . . . . . . . . . . . . . . 43
2.6 Scattering by Lattice Vibrations . . . . . . . . . . . . . . . . . . . . . . . . 45
2.7 ElectronPhonon Interaction in Semiconductors. . . . . . . . . . . . . . . . 55
2.8 Galvano and ThermoMagnetic .. . . . . . . . . . . . . . . . . . . . . . . . 60
2.9 Shubnikovde Haas eﬀect . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
2.10 Response to “slow” perturbations . . . . . . . . . . . . . . . . . . . . . . . 71
2.11 “Hot” electrons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
i
ii CONTENTS
2.12 Impact ionization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
2.13 Few Words About Phonon Kinetics. . . . . . . . . . . . . . . . . . . . . . . 79
2.14 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
3 Electrodynamics of Metals 83
3.1 Skin Eﬀect. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
3.2 Cyclotron Resonance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
3.3 Time and Spatial Dispersion . . . . . . . . . . . . . . . . . . . . . . . . . . 92
3.4 ... Waves in a Magnetic Field . . . . . . . . . . . . . . . . . . . . . . . . . 96
3.5 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
4 Acoustical Properties... 99
4.1 Landau Attenuation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
4.2 Geometric Oscillations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
4.3 Giant Quantum Oscillations. . . . . . . . . . . . . . . . . . . . . . . . . . . 102
4.4 Acoustical properties of semicondictors . . . . . . . . . . . . . . . . . . . . 103
4.5 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
5 Optical Properties of Semiconductors 111
5.1 Preliminary discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
5.2 PhotonMaterial Interaction . . . . . . . . . . . . . . . . . . . . . . . . . . 112
5.3 Microscopic singleelectron theory . . . . . . . . . . . . . . . . . . . . . . . 119
5.4 Selection rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
5.5 Intraband Transitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
5.6 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
6 Optical Properties: Excitons 133
6.1 Excitonic states in semiconductors . . . . . . . . . . . . . . . . . . . . . . . 134
6.2 Excitonic eﬀects in optical properties . . . . . . . . . . . . . . . . . . . . . 136
6.3 Excitonic states in quantum wells . . . . . . . . . . . . . . . . . . . . . . . 137
7 Doped semiconductors 141
7.1 Impurity states . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
7.2 Localization of electronic states . . . . . . . . . . . . . . . . . . . . . . . . 145
7.3 Impurity band for lightly doped semiconductors. . . . . . . . . . . . . . . . 149
7.4 AC conductance due to localized states . . . . . . . . . . . . . . . . . . . . 155
7.5 Interband light absorption . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
8 Solutions of the Problems 167
CONTENTS iii
III Superconductivity 175
9 Fundamental Properties 177
9.1 General properties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177
10 Properties of Type I .. 181
10.1 Thermodynamics in a Magnetic Field. . . . . . . . . . . . . . . . . . . . . 181
10.2 Penetration Depth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
10.3 ...Arbitrary Shape . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
10.4 The Nature of the Surface Energy. . . . . . . . . . . . . . . . . . . . . . . . 196
11 Magnetic Properties Type II 197
11.1 Magnetization Curve for a Long Cylinder . . . . . . . . . . . . . . . . . . . 197
11.2 Microscopic Structure of the Mixed State . . . . . . . . . . . . . . . . . . . 201
11.3 Magnetization curves. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
11.4 NonEquilibrium Properties. Pinning. . . . . . . . . . . . . . . . . . . . . . 213
11.5 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218
12 Microscopic Theory 219
12.1 PhononMediated Attraction . . . . . . . . . . . . . . . . . . . . . . . . . . 219
12.2 Cooper Pairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221
12.3 Energy Spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
12.4 Temperature Dependence ... . . . . . . . . . . . . . . . . . . . . . . . . . . 225
12.5 Thermodynamics of a Superconductor . . . . . . . . . . . . . . . . . . . . 227
12.6 Electromagnetic Response ... . . . . . . . . . . . . . . . . . . . . . . . . . . 230
12.7 Kinetics of Superconductors . . . . . . . . . . . . . . . . . . . . . . . . . . 235
12.8 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
13 GinzburgLandau Theory 243
13.1 GinzburgLandau Equations . . . . . . . . . . . . . . . . . . . . . . . . . . 243
13.2 Applications of the GL Theory . . . . . . . . . . . . . . . . . . . . . . . . 248
13.3 NS Boundary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254
14 Tunnel Junction. Josephson Eﬀect. 257
14.1 OneParticle Tunnel Current . . . . . . . . . . . . . . . . . . . . . . . . . . 257
14.2 Josephson Eﬀect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
14.3 Josephson Eﬀect in a Magnetic Field . . . . . . . . . . . . . . . . . . . . . 263
14.4 NonStationary Josephson Eﬀect . . . . . . . . . . . . . . . . . . . . . . . 268
14.5 Wave in Josephson Junctions . . . . . . . . . . . . . . . . . . . . . . . . . 270
14.6 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272
15 Problem Solutions 273
iv CONTENTS
A Band structure of semiconductors 277
A.1 Symmetry of the band edge states . . . . . . . . . . . . . . . . . . . . . . . 282
A.2 Modiﬁcations in heterostructures. . . . . . . . . . . . . . . . . . . . . . . . 283
A.3 Impurity states . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284
B Useful Relations 291
B.1 Trigonometry Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291
B.2 Application of the Poisson summation formula . . . . . . . . . . . . . . . . 291
C Vector and Matrix Relations 293
Part I
Basic concepts
1
Chapter 1
Electrons in a Lattice. Band
Structure.
In this chapter the properties of electron gas will be considered. An extra information can
be found in many books, e.g. [1, 2].
1.1 General Discussion. Electron in a Periodic Field
To understand electron properties one should in general case solve the Schr¨odinger equation
(SE) for the whole system of electrons and atoms including their interaction. There are
several very important simpliﬁcations.
• Atomic mass M is much greater than the electron one m. So, for the beginning, it is
natural to neglect the atomic kinetic energy, considering atoms as ﬁxed. In this way
we come to the SE for the electrons
_
−
¯ h
2
2m
i
∇
2
i
+V (r, R)
_
ψ = cψ (1.1)
where atomic coordinates are considered as external parameters
ψ(r, R) , c(R) .
• We will see that the behavior of interacting electrons is very similar to the one of
noninteracting particles (i. e. gas) in an external selfconsistent ﬁeld produced by
the lattice ions and other electrons. It is very diﬃcult to calculate this ﬁeld but it is
clear that it has the same symmetry as the lattice. So let us take advantage of this
fact and study the general properties of the electron motion.
3
4 CHAPTER 1. ELECTRONS IN A LATTICE.
1.1.1 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) . (1.2)
The one electron SE
−
¯ h
2
2m
∇
2
ψ(r) +V (r)ψ(r) = εψ(r) (1.3)
should also have the solution ψ(r +a) corresponding to the same energy. Consequently, if
the level ε is nondegenerate we get
ψ(r +a) = Cψ(r) , C = constant . (1.4)
According to the normalization condition [C[
2
= 1 one can write
C = e
iϕ(a)
(1.5)
where ϕ is some real function of the lattice vector. Now we can apply the translation
symmetry and make consequential displacements, a and a
t
. We get
C(a)C(a
t
) = C(a +a
t
) (1.6)
that means the ϕfunction should be linear
ϕ(a) = pa/¯ h. (1.7)
It is clear that vector p is deﬁned with the accuracy of ¯ hG where G is the reciprocal lattice
vector.
Finally, the general form of the electron wave function in a lattice is
ψ(r) = e
ipr/¯h
u(r) (1.8)
where
u(r +a) = u(r) (1.9)
is a periodic function. The expression (1.8) is known as the Bloch theorem.
The Bloch function (1.8) is very similar to the plane wave, the diﬀerence being the
presence of the modulation u. The vector p is called quasimomentum because it is deﬁned
with the accuracy ¯ hG. Because of periodicity, we can consider only one cell in the reciprocal
lattice space.
As in the situation with lattice vibrations, we apply cyclic boundary conditions, so the
vector p is a discrete variable:
p
i
=
2π¯ h
L
i
n
i
, (1.10)
the number of states being
i
∆n
i
=
1
(2π¯ h)
3
i
∆p
i
. (1.11)
1.2. TIGHT BINDING APPROXIMATION 5
It means that the density of states is 1/(2π¯ h)
3
. We will very often replace the sums over
discrete states by the integrals
1
i
→1
_
2 d
3
p
(2π¯ h)
3
≡ 1
_
(dp) .
Here we have taken into account that an electron has spin 1/2, the projection to a given
axis being ±1/2 that doubles the number of states. Thus, 2N states correspond to the
level ε
l
(p) where N is the number of primitive cells in the sample.
The functions ε
l
(p) are periodic in the reciprocal space, so they have maximal and
minimal values and form bands. These band can overlap or some energy gaps can exist.
Let us consider some other general properties of wave functions. If one writes down the
complex conjugate to the Schr¨ odinger equation and then replaces t →−t he gets the same
equation with the Hamiltonian H
∗
. But it is known that Hamiltonian is the Hermitian
operator and H = H
∗
. It means that if
ψ
lp
(r, t) = exp [−iε
l
(p)t/¯ h] ψ
lp
(r)
is an eigenfunction of H the function ψ
∗
lp
(r, −t) is also the eigenfunction. At the same time,
after the shift a these functions acquire diﬀerent factors, e
±ipa/h
, respectively. It means
ε
l
(p) = ε
l
(−p) .
In the following we will specify the region of the reciprocal space in the same way as
for lattice vibrations, namely, Brillouin zones (BZ). If the lattice symmetry is high enough
the extrema of the functions ε
l
(p) are either in the center or at the borders of BZ.
1.2 Tight Binding Approximation
To get some simple example we consider the socalled tightbindingapproximation. Let us
start with 1D case and assume that the overlap of the electron shells is very small. Con
sequently, this overlap can be considered as perturbation and we start with the potential
V (x) =
U(x −na) , (1.12)
the SE equation being
−
¯ h
2
2m
d
2
ψ
dx
2
+
n
U(x −na)ψ(x) = εψ(x) . (1.13)
Let the exact wave functions be
ψ
p
(x) = e
ipx/¯h
u
p
(x)
6 CHAPTER 1. ELECTRONS IN A LATTICE.
with the eigenvalues ε(p). We construct the socalled Wannier functions as
w
n
(x) =
1
√
N
p
e
−ipna/¯h
ψ
p
(x) , (1.14)
where N is the total number of atoms in the chain while p belongs to the 1st BZ. One can
check (Problem 3.1) that the inverse transform is
ψ
p
(x) =
1
√
N
n
e
ipna/¯h
w
n
(x) . (1.15)
The Wannier functions are orthogonal and normalized (Problem 3.2).
It is important that the Wannier function w
n
is large only near the nth ion position
(without Bloch modulation it will be δfunction δ(x−na)). Moreover, because of periodicity
w
n
(x) = w(x −na) .
Now we can substitute the function (1.15) into exact SE and make the auxiliary transform
H =
n
_
−
¯ h
2
2m
d
2
dx
2
+U(x −na) +h
n
(x)
_
where
h
n
(x) ≡ V (x) −U(x −na) .
We get
n
_
−
¯ h
2
2m
d
2
dx
2
+U(x −na)
_
e
ikan
w
n
(x) +
n
h
n
(x)e
ikan
w
n
(x) =
= ε(k)
n
e
ikan
w
n
(x) . (1.16)
Here we have introduced the electron wave vector k ≡ p/¯ h.
The product h
n
(x)e
ikan
w
n
(x) at is small because it contains only the items U(x −
ma)w
n
(x) for m ,= n and we can neglect it for zero approximation. As a result we get
w
(0)
= ψ
0
(x)
where ψ
0
(x) is the wave function of a free atom. Consequently
ε
(0)
(p) = ε
0
.
In the next approximation we put w = w
(0)
+w
(1)
and ﬁnd
n
_
−
¯ h
2
2m
d
2
dx
2
+ U(x −na) −ε
0
] e
ikan
w
(1)
n
(x) =
= −
n
h
n
(x)e
ikan
w
(0)
n
(x) + (ε(p) −ε
0
)
n
e
ikan
w
(0)
n
(x) . (1.17)
1.2. TIGHT BINDING APPROXIMATION 7
This is nonuniform linear equation for w
(1)
n
. It has solution only if the r.h.s. is orthogonal
to the solution of the corresponding uniform equation with the same boundary conditions.
This solution is w
(0)
n
.
As a result, we get
ε(p) −ε
0
=
n
h(n)e
ikan
n
I(n)e
ikan
(1.18)
where
h(n) =
_
dx ψ
∗
0
(x)h
n
(x)ψ
0
(x −na) ,
I(n) =
_
dx ψ
∗
0
(x)ψ
0
(x −na) . (1.19)
The atomic wave function can be chosen as real, so h(−n) = h(n), I(−n) = I(n), both
functions rapidly decrease with increasing n (small overlap!). Finally, we get (Problem
3.3.)
ε −ε
0
= h(0) + 2[h(1) −h(0)I(1)] cos(ka) . (1.20)
3D case is more complicated if there are more than 1 atom in a primitive cell. First,
atoms’ positions are connected by the symmetry transforms which diﬀer from a simple
translation. Second, atomic levels for higher momenta are degenerate. We discuss here
the simplest case with 1 atom per a primitive cell and for sstates of the atoms having
sphericak symmetry. In this case we come to a similar expression
ε(p) −ε
0
=
h(n)e
ika
I(n)e
ka
. (1.21)
In a bcc lattice taking into account nearest neighbors we get
a = (a/2)(±1, ±1, ±1) ,
and
ε(k) −ε
0
= h(0) + 8W cos(k
x
a/2) cos(k
y
a/2) cos(k
z
a/2) , (1.22)
where W = [h(1) − h(0)I(1)] is the characteristics of bandwidth. In a similar case of fcc
lattice one gets (Check!)
ε(k) −ε
0
= h(0) + 4W [cos(k
x
a/2) cos(k
y
a/2) + cos(k
y
a/2) cos(k
z
a/2) +
+ cos(k
z
a/2) cos(k
x
a/2)] . (1.23)
In a sc lattice one gets (Problem 3.4)
ε(k) −ε
0
= h(0) + 2W [cos(k
x
a) + cos(k
y
a) + cos(k
z
a)] . (1.24)
The physical meaning of the results is the spreading of atomic levels into narrow bands
(Fig. 1.2)
The tight binding approximation is useful when the overlap is small (transition and
rare earth metals). Another application is to produce starting empirical formulas having
proper symmetry.
8 CHAPTER 1. ELECTRONS IN A LATTICE.
Figure 1.1: Spreading of atomic levels into bands
1.3 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. The starting approximation is a plane wave
(we have in mind periodic boundary conditions)
1
√
L
e
ikx
, k = p/¯ h, (1.25)
the energy being
ε
(0)
(k) = ¯ h
2
k
2
/2m. (1.26)
We can expand the periodic potential as
V (x) =
n
V
n
e
2πinx/a
(1.27)
where
V (k, k
t
) =
1
L
_
dx V (x)e
−i(k−k
)x
= V
n
δ
_
k −k
t
−
2πn
a
_
.
The ﬁrst perturbation correction ε
(1)
= V
0
is not important (shift of energy) while the
second one is
ε
(2)
(k) =
n,=0
[V
n
[
2
ε
(0)
(k) −ε
(0)
(k −2πn/a)
(1.28)
The perturbation theory is valid if ε
(2)
¸ε
(1)
that cannot be met at small denominators.
At the same time, at k →πn/a the quantity k
t
→−πn/a and denominator tends to zero.
Consequently, one has to use the perturbation theory for degenerate states. So let us recall
the famous problem of quantum mechanics.
1.3. THE MODEL OF NEAR FREE ELECTRONS 9
Assume that the functions ψ
i
where i = 1, 2 correspond to the states 1, 2. We chose
the wave function as their superposition,
ψ = A
1
ψ
1
+A
2
ψ
2
.
Substituting this function into SE we get
A
1
(ε
1
−ε)ψ
1
+V (A
1
ψ
1
+A
2
ψ
2
) +A
2
(ε
2
−ε)ψ
2
= 0 .
Then we multiply the equation ﬁrst by ψ
∗
1
and second fy ψ
∗
2
. Integrating over x we get
(ε
1
−ε +V
0
)A
1
+ V
n
A
2
= 0 ,
V
∗
n
A
1
+ (ε
2
−ε +V
0
)A
2
= 0 . (1.29)
As a result, we get quadratic equation for ε (we include the constant V
0
into this quantity):
ε
2
−(ε
1
+ ε
2
)ε +ε
1
ε
2
−[V
n
[
2
= 0 ,
which has solutions
ε =
ε
1
+ε
2
2
±
¸
(ε
1
−ε
2
)
2
4
+[V
n
[
2
. (1.30)
The sign is chosen from the request that far from the “dangerous” point ε should be close
to ε
0
. As a result, the energy has a drop 2[V
n
[ near the points k = ±πn/a. This situation
is illustrated in Fig. 1.2
Figure 1.2: Energy spectrum in a weak periodic potential.
More 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. So we come from
10 CHAPTER 1. ELECTRONS IN A LATTICE.
the left panel to the right one. We have once more the picture of bands with gaps in
between, the gaps being small in comparison with thw widths of the allowed bands.
In 3D case the periodicity of the potential is taken into account by the expansion
V (r) =
G
V
G
e
iGr
where G is the reciprocal lattice vector, the perturbation theory being destroyed at
ε
(0)
(k) = ε
(0)
(k −G) .
Substituting ε
(0)
= ¯ h
2
k
2
/2m we get
kG = G/2 . (1.31)
It is just the equation for the plane boundary of the BZ.
Thus the structure of BZ is extremely important for understanding of electron proper
ties.
1.4 Main Properties of Bloch Electrons
1.4.1 Eﬀective Mass
Let us discuss general properties on electrons in periodic potential. To make it as simple
as possible we start with the case of simple cubic crystal under tight binding limit. From
the expression (1.24) we see that there is a minimum b in the BZ center k = 0. Near the
minimum expanding (1.24) for small product k
i
a ¸1 we get
ε = ε
b
+Wk
2
a
2
, k =
_
k
2
x
+k
2
y
+k
2
z
, (1.32)
where ε
b
is the energy of the minimum. So the spectrum is just the same as the one of the
particle with the eﬀective mass
m
∗
n
(b) =
_
∂
2
ε
∂p
2
x
_
−1
b
=
¯ h
2
2Wa
2
. (1.33)
Now we can analyze the BZ boundary a with k
i
≈ π/a. Substituting k
t
i
= π/a − k
i
and
expanding (1.24) in powers of k
t
i
a ¸1 we get
ε = ε
a
−Wa
2
k
t2
. (1.34)
In a similar way, we get the expression for the eﬀective mass
m
∗
n
(a) = −
¯ h
2
2Wa
2
(1.35)
1.4. MAIN PROPERTIES OF BLOCH ELECTRONS 11
that is negative. Very often such a quasiparticle called the hole (see later) and deﬁne its
mass as the electron mass with opposite sign. So, in a simple cubic crystal the hole mass
near the band top is the same as the electron mass near its bottom.
In general case one can expand energy as in lth band near an extremum as
ε
l
(k) =
1
2
α,β
_
∂
2
ε(k)
∂k
α
∂k
β
_
0
(k
α
−k
α0
)(k
β
−k
β0
) (1.36)
and introduce the inverse eﬀective mass tensor
(m
−1
)
αβ
=
_
∂
2
ε(k)
∂k
α
∂k
β
_
0
(1.37)
This 2range tensor can be transformed to its principal axes.
1.4.2 Wannier Theorem → Eﬀective Mass Approach
Now we come to a very important concept of solid state physics which allows one to treat
electron in periodic ﬁeld like ordinary particles  to the socalled eﬀective mass approach.
We know that the energy in a given band is periodic in the kspace that is the same as
the reciprocal lattice space. So we can expand
ε
l
(k) =
ce
ika
(1.38)
where a are lattice vectors (Check!). How the operator
exp(a∇)
acts upon the Bloch function? One can immediately show that it is just the operator,
which shifts the coordinate by a (Problem 2.5):
exp(a∇)ψ
l
(r) = ψ
l
(r +a) . (1.39)
Then we come to the very important formula:
ε
l
(−i∇)ψ
l
(r) = ε
l
(k)ψ
l
(r) . (1.40)
This relation is called the Wannier theorem. It is valid only if the spectrum is non
degenerate in the point k.
So we come to the following prescription. As far as we know the spectrum ε
l
(k) we can
replace k →−i∇ to the SE (which can also contain external ﬁelds) and analyze electron’s
quantum dynamics. If we return to the situation where quadratic expansion is possible
we come to the problem for a particle with (anisotropic) eﬀective mass which can strongly
diﬀer from the free electron mass m
0
.
It is important to note that the prescription has essentially one band character, it
needs a very serious generalization if the bands are degenerate (or the gaps are narrow and
interband transitions are possible). It is important in many situations in semiconductor
crystals and we will come back to this point in the corresponding Section.
12 CHAPTER 1. ELECTRONS IN A LATTICE.
1.5 Electron Velocity
Let us calculate quantum mechanical average electron velocity ¸v) in a Bloch state γ ≡ lk.
For a free electron one would obtain
¸v) =
1
m
0
¸p) = −
i¯ h
m
0
¸γ[∇[γ) =
¯ hk
m
0
.
It is natural that for a quantum particle the average velocity is just the group velocity of
the wave package representing quantum particle,
v =
∂ε
∂p
=
1
¯ h
∂ε
∂k
(1.41)
(see Problem 3.6).
We see that if the spectrum is determined by quadratic expansion we get the usual
expression for a particle with the mass m
∗
. In and external ﬁeld we get the Newton
equation
m
∗
∂v
∂t
= F.
1.5.1 Electric current in a Bloch State. Concept of Holes.
Suppose that the electron has the charge −e (we suppose e to be positive). The electric
current is
j
γ
= −ev
γ
. (1.42)
We know that ε(−k) = ε(k). Consequently, v(−k) = −v(k) and one can easily show that
v(k) = 0 (1.43)
where summation is performed inside the BZ. To get the total current one should multiply
the equation (1.42) by 2 (number of spin projections). Taking into account relation (1.43)
one can prove that the total current of completely ﬁlled band vanishes. It is very important
statement. It remains valid also in an external electric ﬁeld (if the ﬁeld is small enough
and electrons are not transferred to higher bands).
If the band is only ﬁlled partly, the total current is determined by the diﬀerence of
ﬁlled states with k and −k. To formulate the current we introduce the occupation factor
ν
n
(k, s) which is equal to 1 if the state with the quasimomentum ¯ hk and spin s is occupied
and 0 otherwise. One can also introduce the occupation number of holes as
ν
p
(k, s) = 1 −ν
n
(k, s)
which characterizes the probability of empty states. The current can be expressed as
j = −e
k,s
ν
n
(k, s)v(k) = e
k,s
ν
p
(k, s)v(k)
1.6. CLASSIFICATION OF MATERIALS 13
(the current of completely ﬁlled band is zero!). So we can express the current of partly full
band as the current of holes with the charge +e > 0.
To get more deep analogy let us calculate the energy current due to the ﬂux of electrons
and holes. Characterizing the energy current in a state k as v[ε(k)−eϕ] where ϕ is electric
potential we get
w =
k,s
ν
n
(k, s)[ε(k) −eϕ]v(k) =
k,s
[1 −ν
p
(k, s)][ε(k) −eϕ]v(k) =
=
k,s
[ε(k) −eϕ]v(k) +
k,s
ν
p
(k, s)[−ε(k) +eϕ]v(k) (1.44)
So we see that holes can be considered as particles with the energy −ε(k). The usual way
to treat the quasiparticles near the top of the band where the expansion (1.34) is valid is
to deﬁne the hole energy as
ε
p
(k) = ε
a
−ε
n
(k) , m
p
= −m
n
> 0
where subscript n characterize electron variable. In such a way we come to the description
of the particles with the charge e and eﬀective mass m
p
.
1.6 Band Filling and Classiﬁcation of Materials
We have discussed the picture of allowed bands and forbidden gaps. Now we are prepared
to discuss the actual presence of electrons in these bands.
One can discuss the following variants.
1. There is one atom per cell. Consequently, at T = 0 the band is halffull.
2. One atom per cell and 2 electrons per atom. The band is full, there is a band gap
and the next band is empty.
3. There are two atoms per cell and each atom contributes 1 electron. The same as in
the previous case.
In the case 1 the material has high conductivity at very low temperatures, it is a metal.
The cases 2 and 3 correspond to insulators, their conductivity exponentially decreases at
low temperatures. This is shown in Fig. 1.3
All this scheme is valid if the bands do not overlap. If the bans overlap the conduction is
usually metallic (see Fig. 1.4). Such materials are often call semimetals if eﬀective number
of carriers is small. A typical example of semimetals is Bi.
The semiconductors are deﬁned as insulators with small forbidden gaps. At ﬁnite tem
peratures some electrons are excited from the lower valence band to the upper, conduction
one. So there are holes in the valence band and the electrons in the conduction one. Such
semiconductor is called intrinsic. The modern way to produce materials for electronics
14 CHAPTER 1. ELECTRONS IN A LATTICE.
Figure 1.3: Electron occupation of bands (schematically).
is to “dope” semiconductor material with impurity atoms which introduce carriers in a
controllable way.
The impurity level are usually situated in the forbidden gap. 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).
Contrary, if the levels are near the top of the valence band they take electrons from the
band producing holes (they are called accepters).
We will come back to this classiﬁcation later to describe special features of diﬀerent
materials.
1.7 Dynamics of Bloch Electrons
Now we discuss dynamic properties of Bloch electrons both classical and quantum.
1.7.1 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) +(r), p =¯ hk.
1.7. DYNAMICS OF BLOCH ELECTRONS 15
Figure 1.4: The case of band overlap.
To take account of magnetic ﬁeld one should replace the momentum p by the kinematic
one
1
p →P = p+
e
c
A(r)
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
H(p, r) = ε
_
p+
e
c
A(r)
_
+(r), p =¯ hk
where
(r) = U(r) −eϕ(r),
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
˙ p
i
= −
∂
∂x
i
ε
_
p+
e
c
A(r)
_
−
∂(r)
∂x
i
.
1
Remember that we denote the electron charge as −e.
16 CHAPTER 1. ELECTRONS IN A LATTICE.
The ﬁrst item is
−
e
c
k
∂ε
∂p
k
∂A
k
∂x
i
= −
e
c
k
v
k
∂A
k
∂x
i
.
We will consider the case of homogeneous magnetic ﬁeld. It is convenient to choose the
socalled Landau gauge
A =
_
_
_
0
Hx
0
_
_
_, H =Hˆz. (1.45)
In this case we have
−
e
c
v
y
∂A
y
∂x
= −
e
c
v
y
H
z
= −
e
c
[v H]
x
.
As a result, we come to the very usual formula
˙ p = (−e)
_
E+
1
c
[v H]
_
−∇U(r), E = −∇ϕ(r). (1.46)
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
dt
=
∂ε
∂p
∂p
∂t
= −
e
c
(v [v H]) = 0.
So we have 2 integrals of motion,
ε = const, p
z
= const.
Thus we come to a geometric picture: one should take the surface ε(p) = const and
intersect this surface by the plane p
z
= const. The resulting line is just the electron orbit
in pspace.
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 al the
orbits are close 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 the 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. 1.5 while some FS in 3D case are shown in Fig. 1.6 and Fig.
1.7. .
1.7. DYNAMICS OF BLOCH ELECTRONS 17
Figure 1.5: 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 just the same deﬁnition as we have used previously
(see later). If magnetic ﬁeld is tilted with respect to the symmetry axes both closed and
open orbits can exist (see Fig. 1.8).
To study the motion in momentum space one can introduce the element
dp ≡
_
(dp
x
)
2
+ (dp
y
)
2
.
Taking squares of Eq. (1.46) for p
x
and p
y
and adding them we get
dp
dt
=
e
c
Hv
⊥
, or dt =
c
eH
dp
v
⊥
.
If the orbit is closed we immediately get the expression for the period through the integral
along the orbit
T =
c
eH
_
dp
v
⊥
.
This period can be easily expressed in terms of the orbit’s area S
S(p
z
) =
__
dp
x
dp
y
_
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
⊥
. (1.47)
18 CHAPTER 1. ELECTRONS IN A LATTICE.
Figure 1.6: (a) 1st BZ for a fcc crystal (Al). (b) 2nd BZ for a fcc crystal. (c) The free
elctron 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) Protion 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 shpere in the
3d zone when translated into the 1st zone. The surface encloses electrons.
Thus
S =
_
dε
_
dp
v
⊥
.
Finally, we get the following formula for the cyclotron frequency
ω
c
=
eH
cm
c
, where m
c
(ε, p
z
) =
1
2π
_
∂S
∂ε
_
pz
is the cyclotron eﬀective mass. For a free electron ε = (p
2
z
+p
2
⊥
)/2m
0
, and
S(p
z
) = πp
2
⊥
= 2πm
0
ε −πp
2
z
, and m
c
= m
0
.
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
dp = −
e
c
[dr H] .
1.7. DYNAMICS OF BLOCH ELECTRONS 19
Figure 1.7: Possible SF for a cubic metal.Lower pahel: Left part  electron orbits, right
part  hole ones.
20 CHAPTER 1. ELECTRONS IN A LATTICE.
Figure 1.8: Electron orbits for tilted magnetic ﬁeld.
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
e
p
y
, y →
cH
e
p
x
.
Also remains the motion along zaxis with the velocity v
z
= ∂ε/∂z.
Now we discuss one very useful trick to calculate the properties of electrons in a mag
netic ﬁeld. Namely, let us introduce the time of the motion along the orbit as
t
1
=
c
eH
_
dp
v
⊥
One should keep in mind that it is not the real time but some function of the point in the
pspace. We get
2
(2π¯ h)
3
_
dp
x
dp
y
dp
z
=
2
(2π¯ h)
3
eH
c
_
dp
z
dε dt
1
Here we have used the relation (1.47). 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 = E
0
exp(−iωt), E
0
 ˆ x
1.7. DYNAMICS OF BLOCH ELECTRONS 21
and in a constant magnetic ﬁeld H  ˆz. We get
−iωmv
x
= −eE
x
−
e
c
v
y
H,
−iωmv
y
=
e
c
v
x
H.
To solve this set it is convenient to introduce the complex velocity v ≡ v
x
+iv
y
and get
i(ω −ω
c
)v = eE
x
.
We see that at ω →ω
c
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.
1.7.2 Quantum Mechanics of Bloch Electron (Landau Quantiza
tion).
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 (1.45). To get the SE
2
one can replace p in the classical Hamilton
function with the operator ˆ p = −i¯ h∇
−
¯ h
2
2m
_
_
∂
2
ψ
∂x
2
+
_
∂
∂y
+
ieHx
c
_
2
ψ +
∂
2
ψ
∂z
2
_
_
= εψ. (1.48)
Because the equation is x, yindependent it is natural to search the solution as
ψ(r) =ϕ(x)e
i(kyy+kzz)
.
Substituting this expression into (1.48) we get the equation for ϕ(x) (Check!)
−
¯ h
2
2m
∂
2
ϕ
∂x
2
+
1
2
mω
2
c
(x −x
0
)
2
ϕ = ε
1
ϕ
where ω
c
is the cyclotron frequency,
x
0
= −a
2
H
k
y
, a
H
=
¸
c¯ h
eH
, ε
1
= ε −
¯ h
2
k
2
z
2m
.
The quantity 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:
ε
1
= ε
N
≡ ¯ hω
c
(N + 1/2), (1.49)
2
We ignore for a while the electron spin.
22 CHAPTER 1. ELECTRONS IN A LATTICE.
the socalled Landau levels,
ϕ(x) =
1
√
a
H
exp
_
−
1
2
_
x −x
0
a
H
_
2
_
H
N
_
x −x
0
a
H
_
(1.50)
where H
N
is the Hermit polynom. We see that the electron states in a magnetic ﬁeld could
be speciﬁed by the set of quantum numbers α = N, k
y
, k
z
, the energy levels
ε
α
= ε
N
+
¯ h
2
k
2
z
2m
(1.51)
being dependent only on N, k
z
.
One can ask: why the coordinates x and y are not equivalent? The reason is that
the wave functions (1.50) correspond to the energy independent of k
y
. Consequently, any
function of the type
ky
C(k
y
)ψ
N,ky,kz
corresponds to the same energy and one can chose convenient linear combinations to get
correct asymptotic behavior.
General case.
The spectrum (1.51) has a very simple form for the case of 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¯ h∇+
e
c
A.
Consequently,
P
x
= −i¯ h∂/∂x, P
y
= −i¯ h∂/∂y + (e/c)Hx,
the commutator being
[P
x
, P
y
] = iπ
eH
c
.
One can see that the coordinate
Y = −
c
eH
P
y
is canonically conjugated to P
y
,
[P
y
, Y ] = −i¯ h.
Now we can directly apply the quantization rule
¸
¸
¸
¸
_
P
y
dY
¸
¸
¸
¸
=
c
eH
¸
¸
¸
¸
_
P
y
dP
x
¸
¸
¸
¸
=
cS
eH
= 2π¯ h[N + γ(N)] .
1.8. SECOND QUANTIZATION OF ELECTRONS 23
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 ¯ hω
c
. Indeed, neglecting γ(N) −γ(N −1) we get
c
eH
∂S(ε)
∂ε
∆ε = 2π¯ h.
1.8 Second Quantization of Electrons
Now we brieﬂy discuss the way to describe manyelectron states with the occupation num
bers. 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
Φ
N
1
N
2
...
=
_
N
1
!N
2
! . . .
N!
_
1/2
P
ϕ
p
1
(ξ
1
)ϕ
p
2
(ξ
2
) . . . ϕ
p
N
(ξ
N
) , (1.52)
where p
i
label the states, ϕ
p
i
are while the sum is calculated over all the permutations of
¦p
i
¦. The coeﬃcient is introduced to make the to total function normalized:
_
[Φ[
2
i
dξ
i
=
1.
The main idea is to consider Φ
N
1
N
2
...
as a function of the occupation numbers N
i
. Assume
that we have an arbitrary oneparticle symmetric operator
F
(1)
=
a
f
(1)
a
(1.53)
where f
a
acts only upon the functions of ξ
a
. In is clear that acting upon Φ
N
1
N
2
...
it changes
the state of only one particle. So in is reasonable to introduce the operators with matrix
elements
(b
i
)
N
i
−1
N
i
=
_
N
i
, (b
†
i
)
N
i
N
i
−1
=
_
(b
i
)
N
i
−1
N
i
_
∗
=
_
N
i
(1.54)
It is just annihilation and creation operators introduced earlier. The operator (1.53) can
be expressed in terms of the creationannihilation operators as
F
(1)
=
ik
f
(1)
ik
b
†
i
b
k
(1.55)
where
f
(1)
ik
=
_
ϕ
∗
(ξ)f
(1)
ϕ(ξ) dξ . (1.56)
One can easily prove this relation comparing both diagonal and oﬀdiagonal matrix ele
ments of the operators. A 2particle symmetric operator
F
(2)
=
a,b
f
(2)
ab
(1.57)
24 CHAPTER 1. ELECTRONS IN A LATTICE.
where f
(2)
ab
acts upon the functions of the variables ξ
a
and ξ
b
can be expressed as
F
(2)
=
iklm
f
ik
lm
b
†
i
b
†
k
b
l
b
m
(1.58)
where
f
ik
lm
=
_
ϕ
∗
i
(ξ
1
)ϕ
∗
k
(ξ
2
)f
(2)
ϕ
l
(ξ
1
)ϕ
m
(ξ
2
) dξ
1
dξ
2
. (1.59)
Now we turn to the Fermi statistics to describe electrons. According to the Pauli
principle, the total wave function should be antisymmetric over all the variables. So the
occupation numbers could be 0 or 1. In this case we get instead of (1.52)
Φ
N
1
N
2
...
=
1
√
N!
P
(−1)
P
ϕ
p
1
(ξ
1
)ϕ
p
2
(ξ
2
) . . . ϕ
p
N
(ξ
N
) (1.60)
where all the numbers p
1
, p
2
, . . . , p
N
are diﬀerent. The symbol (−1)
P
shows that odd and
even permutations enter the expression (1.60) with opposite signs (we take the sign ‘+’
for the term with p
1
< p
2
< . . . < p
N
). Note that the expression (1.60) can be expressed
as the determinant of the matrix with the elements M
ik
= (1/
√
N!)ϕ
p
i
(ξ
k
) which is often
called the Slater determinant.
The diagonal matrix elements of the operator F
(1)
are
¯
F
(1)
=
i
f
(1)
ii
N
i
(1.61)
just as for the Bose particles. But oﬀdiagonal elements are
_
F
(1)
_
1
i
0
k
0
i
1
k
= ±f
(1)
ik
(1.62)
where the sign is determined by the parity of the total number of particles in the states
between the i and k ones.
3
Consequently, for Fermi particles it is convenient to introduce
the annihilation and creation operators as
(a
i
)
0
1
= (a
†
i
)
1
0
= (−1)
i−1
l=1
N
l
. (1.63)
We immediately get (Check!) the commutation rules for the Fermi operators:
_
a
i
a
†
k
_
≡ a
i
a
†
k
+a
†
i
a
k
= δ
ik
,
¦a
i
a
k
¦ =
_
a
†
i
a
†
k
_
= 0 . (1.64)
The product of Fermi operators are
a
†
i
a
i
= N
i
, a
i
a
†
i
= 1 −N
i
. (1.65)
One can express all the operators for Fermi particles exactly in the same way as the Bose
ones, Eqs. (1.55), (1.58).
3
Note that for Bose particles similar matrix elements are
_
F
(1)
_
Ni,N
k
−1
Ni−1,N
k
= f
(1)
ik
√
N
i
N
k
.
1.9. PROBLEMS 25
1.9 Problems
3.1. Derive Eq. (1.15).
3.2. Prove the orthogonality of the Wannier functions.
3.3. Derive expression (1.16).
3.4. Derive expression (1.24).
3.5. Prove the identity (1.39).
3.6. Prove the formula (1.41).
26 CHAPTER 1. ELECTRONS IN A LATTICE.
Part II
Normal metals and semiconductors
27
Chapter 2
Classical dc Transport in Electron
and Phonon Systems
In this chapter we discuss transport properties of bulk normal conductors and insulators.
2.1 The Boltzmann Equation for Electrons
General Form
The description of quasiparticles as wave packages allows one to introduce the nonequilibrium
distribution function f(p, r) which is the average occupation number for the state p at the
point r. This function is equal to the equilibrium one, f
0
, if there is no external ﬁelds and
interactions. Otherwise it becomes time dependent, and one can write
df
dt
= I(f)
where I(f) ≡ (∂f/∂t)
coll
is called the collision integral. One can write the l.h.s. as
∂f
∂t
+
∂f
∂r
∂r
∂t
+
∂f
∂p
∂p
∂t
.
Using the Newton equation we can write the previous formula as
∂f
∂t
+v
∂f
∂r
−e
_
E+
1
c
[v H]
_
∂f
∂p
.
The collision integral describes transitions between the states with diﬀerent p due to col
lisions. It can be speciﬁed if one knows the collision probability W(p, p
t
). Indeed, the
change of the distribution induced by the collisions is
decrease −
p
W(p, p
t
)f(p) [1 −f(p
t
)] →“out
tt
term,
29
30 CHAPTER 2. CLASSICAL DC TRANSPORT ...
increase
p
W(p
t
, p)f(p
t
) [1 −f(p)] →“in
tt
term.
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
t
. The factors [1 −f(p)] takes account of the Pauli principle. So
I(f) =
p
¦W(p
t
, p)f(p
t
) [1 −f(p)] −W(p, p
t
)f(p) [1 −f(p
t
)]¦ . (2.1)
Finally, we get the Boltzmann equation for electrons
∂f
∂t
+v
∂f
∂r
−e
_
E+
1
c
[v H]
_
∂f
∂p
= I(f). (2.2)
Let us investigate general properties of the collision integral. It is clear that if the
system is in the equilibrium the collision integral should vanish, I(f
0
) ≡ 0. Making use of
the relation
1 −f
0
(ε) = e
ε−ζ
k
B
T
f
0
(ε)
we get the general property
W(p
t
, p)e
ε
k
B
T
= W(p, p
t
)e
ε
k
B
T
where ε = ε(p), ε
t
= ε(p
t
). For any elastic scattering
W(p
t
, p) = W(p, p
t
)
and we get
I(f) =
p
W(p, p
t
) [f(p
t
) −f(p)] . (2.3)
We see that the Pauli principle is not important for elastic collisions because it is met
automatically. Now we will discuss one important collision mechanism to show the main
properties of the transport, namely, the impurity scattering. This mechanism is important
at low temperatures and in rather dirty materials.
Impurity scattering
Under the Born approximation, the scattering probability for impurities is
W(p, p
t
) =
2π
¯ h
[V
pp
[
2
δ (ε(p)−ε(p
t
)) (2.4)
where V
pp
is the matrix elements of the impurity potential
V (r) =
i
v(r −R
i
) (2.5)
2.1. THE BOLTZMANN EQUATION FOR ELECTRONS 31
which is the sum of the potentials v of the individual impurities between the Bloch states
1
√
1
e
ikr
u
k
(r), k ≡
p
¯ h
.
Substituting (2.5) into the expression for matrix elements we get
V
pp
=
1
1
i
_
v(r −R
i
)e
i(k−k
)r
u
∗
k
(r)u
k
(r) d
3
r =
=
1
1
i
e
i(k−k
)R
i
_
v(r)u
∗
k
(r)u
k
(r)e
i(k−k
)r
d
3
r =
=
1
1
i
e
i(k−k
)R
i
v
p
p
.
Here we have assumed all the impurity atoms be of the same kind and their positions in
the primitive cells are equivalent. So we have shifted the origin of the frame of reference for
each cell by an appropriate lattice vector. Now we can calculate the scattering probability
(2.4). We get
2π
¯ h
1
1
2
_
1(dp
t
) [v
p
p
[
2
δ (ε(p)−ε(p
t
))
i,k
e
i(k−k
)(R
i
−R
k
)
where we replaced the summation over the discrete quasimomenta by the integration
p
→1
_
(dp
t
) ≡
21
(2π¯ h)
3
_
d
3
p
t
.
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. So we can average
over their positions and the only terms important are the ones with i = k (the other
oscillate strongly, their contribution being very small). As a result,
i,k
e
i(k−k
)(R
i
−R
k
)
= N
imp
where N
imp
is the number of impurities. Finally, we get the following collision integral
I(f) =
2π
¯ h
n
i
_
(dp
t
) [v
p
p
[
2
δ (ε(p)−ε(p
t
)) [f(p
t
) −f(p)] (2.6)
where we introduced the impurity concentration as n
i
= N
imp
/1.
Now we change the variables from p
t
to the energy ε
t
and the surface S
t
deﬁned as
ε(p
t
) = ε
t
We get
2
(2π¯ h)
3
d
3
p =
2
(2π¯ h)
3
dS dp
⊥
=
2
(2π¯ h)
3
dS
dε
[∂ε/∂p[
= dε (ds
ε
)
where we have denoted
(ds
ε
) ≡
2
(2π¯ h)
3
dS
v
.
32 CHAPTER 2. CLASSICAL DC TRANSPORT ...
Note that
g(ε) =
_
Sε
(ds
ε
)
where the integral is calculated over the surface of constant energy ε. Using the above
mentioned notations we can than apply δfunction to integrate over the ε
t
. The result has
a simple form
I(f) =
2π
¯ h
n
i
_
Sε
(ds
ε
) [v
p
p
[
2
[f(p
t
) −f(p)] . (2.7)
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. Let us assume that the deviation from
the equilibrium is small, so that
f = f
0
+f
1
, [f
1
[ ¸f
0
.
Because I(f
0
) = 0 we have I(f) = I(f
1
). To get explicit results we assume that the
spectrum ε(p) is isotropic. Consequently p = p
t
, v
pp
depends only on the angle between
p and p
t
, the surface S is a sphere and the integration is in fact performed over the solid
angle.
It is convenient to write the function f
1
as
f
1
= −nf(ε), n ≡
p
p
(2.8)
is the unit vector directed along p. In this case
I(f) = f (ε)
_
dΩ
4π
W(θ)
_
cos(
¯
p
t
, f)−cos(
¯
p, f)
_
where Ω is the solid angle, θ is the angle between p and p
t
, while (Check!)
W(θ) = π
n
i
[v(θ)[
2
¯ h
g(ε). (2.9)
Then we can transform the integral as follows. Chose the polar axis z along the vector p.
So p
t
f =p
t
z
f
z
+p
t
⊥
f
⊥
that is the same as
cos(
¯
p
t
, f) =cos(
¯
p
t
, p) cos(
¯
f, p)+sin(
¯
p
t
, p) sin(
¯
f, p) cos ϕ
p
,f
(2.10)
where ϕ
p
,f
is the angle between the projections of p
t
and f to the plane normal to p. Note
that the angle (
¯
p
t
, p) is just the same as θ. The second term vanishes after integration over
ϕ
p
,f
. Finally we get
I(f) = −
f
1
τ
tr
= −
f −f
0
τ
tr
2.2. CONDUCTIVITY AND THERMOELECTRIC PHENOMENA. 33
where
1
τ
tr
=
_
dΩ
4π
W(θ)(1 −cos θ). (2.11)
The quantity τ
tr
is called the transport relaxation time. In many situations the Boltzmann
equation is represented in the form
∂f
∂t
+v
∂f
∂r
−e
_
E+
1
c
[v H]
_
∂f
∂p
= −
f −f
0
τ
. (2.12)
Here we have shown that this form is exact for the elastic impurity scattering if the non
equilibrium function can be expressed as (2.8). One should remember that we have made
several important simpliﬁcations:
• Isotropic spectrum;
• Elastic scattering;
• The form (2.8) for the nonequilibrium distribution function.
All these assumptions are important and in some cases they can be wrong. Nevertheless
the form (2.12) allows one to get good orderofmagnitude estimates and we will extensively
use it.
2.2 Conductivity and Thermoelectric Phenomena.
DC Electric Conductivity
Let us apply the outlined approach to calculate the conductivity of the conductor. Namely,
let us assume that a weak stationary electric ﬁeld E is applied to the sample. The Boltz
mann equation has the form
−eE
∂f
∂p
= −
f −f
0
τ
tr
. (2.13)
Because the ﬁeld is weak we can assume that f = f
0
+ f
1
, f
1
∝ E, [f
1
[ ¸ f
0
. and we
can replace f →f
0
in the l.h.s. and get e(Ev)
_
−
∂f
0
∂ε
_
. Immediately we get
f
1
= eEvτ
tr
∂f
0
∂ε
.
We see that it has just the form of (2.8) that justiﬁes our approach. Now we calculate the
current
j = −e
_
(dp) vf
1
= e
2
_
(dp) τ
tr
v(Ev)
_
−
∂f
0
∂ε
_
(the function f
0
is even in p and does not contribute to the current). Again, we can average
over the surface of a constant energy as
_
M(p)(dp) =
_
dε
_
Sε
M(p) (ds
ε
) =
_
dε g(ε)¸M(p))
ε
34 CHAPTER 2. CLASSICAL DC TRANSPORT ...
where
¸M(p))
ε
≡
_
Sε
M(p) (ds
ε
)
g(ε)
. (2.14)
In the case of isotropic spectrum the average (2.14) is just the average over the angles.
Finally for the isotropic spectrum we get the Ohm’s law j = σE with
σ = e
2
_
dε
_
−
∂f
0
∂ε
_
g(ε)D(ε) (2.15)
where
D(ε) =
1
3
_
v
2
τ
tr
_
ε
is the partial diﬀusivity for the electrons with the given energy.
Indeed, consider a gas of electrons with the mean free time τ and mean free path = vτ.
Let the density of electrons, n
e
be nonuniform along the xaxis. In this case the ﬂux of
the electrons through 1 cm
2
of the surface normal to x is equal
i
D
=
_
n
e
v cos θ
dΩ
4π
where θ is the angle between v and x. But now we take into account that the electrons
can propagate without collisions only along the path . Consequently one should insert in
the formula above n(x − cos θ). As a result, noncompensated current is
i
D
= −
∂n
e
∂x
lv
1
2
_
1
−1
cos
2
θ d(cos θ) = −
1
3
lv
∂n
e
∂x
.
According to the deﬁnition of the diﬀusivity (diﬀusion coeﬃcient), we get D=
1
3
v =
1
3
v
2
τ.
In the case of strong degeneracy where
_
−
∂f
0
∂ε
_
= δ(ε −
F
) we get the Drude formula
(Problem 1.1)
σ = e
2
D(
F
)g(
F
) =
ne
2
τ
tr
m
. (2.16)
The ﬁrst expression is known as the Einstein relation.
If the degeneracy is not so strong, the energy dependence of the factor D(ε) becomes
important. This is just the case for semiconductors. We will come back to this problem
after the analysis of important scattering mechanisms which determine the dependence
τ
tr
(ε).
In general anisotropic case the Ohms law has the form
j =
←→
σ E, or j
i
=
k
σ
ik
E
k
.
The conductivity tensor
←→
σ can be calculated with the help of the relation (2.15) if the
diﬀusivity tensor
D
ik
= ¸v
i
I
−1
v
k)ε
is known. Here the formal ”inverse collision operator” is introduced which shows that one
should in fact solve the Boltzmann equation.
2.2. CONDUCTIVITY AND THERMOELECTRIC PHENOMENA. 35
AC Conductivity
Solving Boltzmann equation for the perturbation ∝ exp(−iωt) we obtain
σ(ω) = σ
0
1
¸τ
tr
)
_
τ
tr
1 −iωτ
tr
_
.
Here angular brackets mean
¸A) =
_
dε ε
3/2
A(ε) (∂f
0
/∂ε)
_
dε ε
3/2
(∂f
0
/∂ε)
.
Real part of this expression,
1σ(ω) = σ
0
1
¸τ
tr
)
_
τ
tr
1 + ω
2
τ
2
tr
_
,
represents ac loss in the sample, while imaginary part is the contribution to dielectric
function. The typical scale for the momentum relaxation time is about 10
−12
–10
−14
s.
Consequently, frequency dependence is important at microwave frequencies.
Thermoelectric Phenomena
Now we demonstrate another kind of problems which appear if the temperature gradient is
created in the sample. In this case the temperature is a slow function of coordinates,
T = T
1
+ (r −r
1
)∇T.
If the characteristic scale of the spatial variation of the temperature, T/[∇T[, is large in
comparison with the scale at which temperature is formed (that is usually the phonon
mean free path,
ph
) one can introduce the localequilibrium suggestion, namely , assume
that at any point the distribution is close to the equilibrium one. Under this assumption
the function f
0
has the form
f
0
(ε, r) =
1
exp
_
ε−ζ(r)
k
B
T(r)
_
+ 1
.
Consequently, we get
∇
r
f
0
=
_
−
∂f
0
∂ε
__
∇ζ(r)+
ε −ζ
T
∇T(r)
_
.
Thus in the l.h.s. of the Boltzmann equation we get
_
(v∇ζ) +
ε −ζ
T
(v∇T)
_ _
−
∂f
0
∂ε
_
.
36 CHAPTER 2. CLASSICAL DC TRANSPORT ...
Comparing this expression with the corresponding l.h.s. (2.13) of the Boltzmann equation
in the case of electric ﬁeld we observe that an additional eﬀective δE =∇(ζ/e) electric ﬁeld
appears, the total ﬁeld being
E
∗
= ∇
_
ζ
e
−ϕ)
_
= −∇ϕ
∗
.
The quantity ϕ
∗
= ϕ − ζ/e is called the electrochemical potential. This quantity rather
the pure electric potential ϕ describes the transport. In the following we will assume that
the static electric ﬁeld includes this correction. Thus the ﬁrst item leads to the extra
contribution to the Ohmic current and ﬁnally j =σE
∗
. As for the second one, we can plug
it into the equation
v
∂f
∂r
=
ε −ζ
T
(v∇T)
_
−
∂f
0
∂ε
_
= −
f −f
0
τ
tr
to get
f
1
= τ
tr
ε −ζ
T
(v∇T)
∂f
0
∂ε
. (2.17)
Now we get the result in the for the current j
T
= −η∇T with
η = −
e
T
_
dε g(ε)D(ε)(ε −ζ)
_
−
∂f
0
∂ε
_
. (2.18)
This expression diﬀers strongly from the corresponding expression for the conductivity
by the factor (ε − ζ) under the integral. Indeed, assume that the temperature is zero,
so
_
−
∂f
0
∂ε
_
= δ(ε −
F
). We see that η = 0. At ﬁnite temperatures, some electrons are
excited above the Fermi level forming quasi electron and leaving quasi hole excitations
below the Fermi level. Both quasiparticles are dragged by the temperature gradient in
the same direction, but they have diﬀerent charges. Consequently, there is almost exact
compensation of the contributions, the remainder has the order of k
B
T/
F
. Indeed, because
_
−
∂f
0
∂ε
_
is a sharp function we can expand the integrand as
g(ε)D(ε) = g(
F
)D(
F
) + (ε −ζ)
d
d
F
[g(
F
)D(
F
)] .
We get the integral which we have already analyzed. The results is
η =
π
2
9
ek
2
B
T
d
d
F
[g(
F
)D(
F
)] .
This is the well known CutlerMott formula.
There are some important comments in connection with this formula.
• The thermoelectric coeﬃcient is proportional to the ﬁrst power of the charge. Con
sequently, it feels the type of the carriers and provides the way to determine it from
the experiment.
2.2. CONDUCTIVITY AND THERMOELECTRIC PHENOMENA. 37
• 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.
• If there are several kinds of carriers the behavior of thermoelectric coeﬃcient becomes
rich and very instructive to understand what happens.
Thermoelectric eﬀects have important applications. Indeed, we have seen that in our
simplest case the current can be written as
j =σE
∗
−η∇T.
If the circuit is open j = 0 and we obtain the thermoelectric ﬁeld
E
∗
= α∇T, α =
η
σ
.
The quantity α is called the diﬀerential thermoe.m.f. or Seebeck coeﬃcient. Indeed, the
voltage across the sample is
V =
_
2
1
α(dr∇T) =
_
T
2
T
1
α(T) dT.
To measure this voltage one should prepare the thermocouple, i. e. system depicted in Fig.
2.1. It should contain 2 branches fabricated from diﬀerent materials. One can easily show
Figure 2.1: The scheme of thermocouple.
that the voltage measured is
V
T
=
_
T
2
T
1
[α
a
(T) −α
b
(T)] dT.
We see that it is a relative eﬀect, to measure absolute thermoe.m.f. one branch is made
of superconductor.
38 CHAPTER 2. CLASSICAL DC TRANSPORT ...
2.3 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. There are 2 conventional
ways to express the charge and energy currents . The ﬁrst one is to express both currents
through the ﬁeld E
∗
and ∇T. In this way
j =σE
∗
−η∇T,
w−ϕ
∗
j =γE
∗
−β∇T.
Here the current which is created by the drag of potential energy is extracted. More usual
way is to express the electric ﬁeld and the energy ﬂux through the current j and ∇T. In
this case we get
E
∗
= ρj+α∇T,
w−ϕ
∗
j =Πj −κ∇T.
It is clear that
ρ =
1
σ
, α =
η
σ
, Π =
γ
σ
, κ = β + Πη.
The quantity ρ is called resistivity, κ is called thermal conductivity, while Π is called the
Peltier coeﬃcient.
The physical nature of the diﬀerential thermoe.m.f. has been discussed. The nature
of the Peltier coeﬃcient can be visualized if one induces the current through the boundary
of two materials at a given temperature. If Π
1
,= Π
2
the ﬂuxes are diﬀerent and it means
that some energy is taken from the contact or it is given to the contact. So, one has the
way to cool, or to heat special regions. This is very important property for applications.
It appears that all the thermoelectric coeﬃcients can be expressed through only one,
say diﬀerential thermoe.m.f. α. Indeed, there are very general Onsager relations between
the thermoelectric coeﬃcients.
Assume that some generalized forces X
i
applied to the system. They induce currents
J
i
=
k
Q
ik
X
k
where the quantities Q
ik
are called the kinetic coeﬃcients. They are deﬁned so that the
entropy production can be expressed as
˙
S = −
i
J
i
X
i
.
The Onsager relations read
1
Q
ik
= Q
ki
.
Now we should specify forces and currents. In our case, we have thermal ﬂux − div w
and the Joule heating jE
∗
. Consequently,
˙
S = −
_
div w
T
d1 +
_
jE
∗
T
d1.
1
In the presence of magnetic ﬁeld they should be generalized, see below.
2.3. ENERGY TRANSPORT. 39
Integrating the ﬁrst term by parts we get
˙
S =
_
w∇
_
1
T
_
d1 +
_
jE
∗
T
d1.
We see that the generalized forces are
−
E
∗
T
, −∇
_
1
T
_
.
Thus the kinetic coeﬃcients for our problem are
−σT, −ηT
2
,
−γT, −βT
2
.
Thus, we get γ = ηT, or Π = αT, and
γ = ηT, or Π = αT, and κ = β −Tηα.
The second contribution to the thermal conductivity is always small in the degenerate gas.
Consequently, to analyze the thermal conductivity of a metal it is enough to calculate β.
In fact, κ is determined both by electrons and phonons, but here we are interested
only in the electron contribution which is usually the main one in typical metals if the
temperature is not too low. We will estimate the coeﬃcient β from the kinetic equation
in a similar way as we have done to the thermoe.m.f. We use the formula (2.17) for the
distribution function and take into account that the energy ﬂux transferred by 1 electron
is (ε −ζ)v. As a result, instead of Eq. (2.18) we get
κ ≈ β =
1
3T
_
dε g(ε)D(ε)(ε −ζ)
2
_
−
∂f
0
∂ε
_
.
In the case of strong degeneracy we get
κ =
π
2
9
k
2
B
Tg(
F
)D(
F
).
It is interesting to calculate the ratio
κ
Tσ
=
π
2
k
2
B
3e
2
.
This relation is called the WiedemannFranz law while its r.h.s. is called the Lorenz number.
This law is derived under assumptions of isotropic spectrum and elastic scattering. One
can show that only the last one is necessary.
So we see that all the characteristics of the d.c. transport are determined by the energy
dependence of the quantity D(ε), i.e. by the energy dependence of the transport relaxation
time. If the relaxation time is described by the power law
τ
tr
(ε, T) ∝ T
a
ε
r
, D(ε, T) ∝ T
a
ε
r+1
40 CHAPTER 2. CLASSICAL DC TRANSPORT ...
we get from Eq. (2.15) σ ∝ T
a
for the degenerate gas. For the Boltzmann gas substituting
D(ε, T) = D
0
(T)(ε/k
B
T)
r+1
, g(ε) = g(T)(ε/k
B
T)
1/2
we obtain
σ =
e
2
D(T)n
e
k
B
T
_
∞
0
x
r+3/2
e
−x
dx
_
∞
0
x
1/2
e
−x
dx
=
e
2
D(T)n
e
k
B
T
Γ(r + 5/2)
Γ(3/2)
∝ T
a+r
.
Here Γ(x) is the Γfunction.
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.
2.4 Scattering by Neutral and Ionized Impurities.
In the following we will not perform very cumbersome calculations to solve the Boltzmann
equation. Rather we will outline the main physics and obtain important estimates. The
main goal is to learn how to make those estimates.
To study scattering it is convenient to determine the scattering cross section. The
simplest idea one can use is that the atom is neutral and behaves as a hard sphere. Nev
ertheless, in many important situations it is not the case, the atom is ionized and has an
electric charge.
The very important concept is that the electrons in the vicinity of the impurity atom
rearrange to screen the potential. Consequently, one should calculate the electric potential
which acts upon the electrons from the Poisson equation
∇
2
ϕ = 4πen
t
e
where −en
t
e
is the excess electric charge while is the dielectric constant. The boundary
condition for this equation is
ϕ =
Ze
r
at r →0.
Now we should remember that in the presence of electric potential the chemical potential
ζ is changed to the electrochemical one, ζ +eϕ. Consequently,
n
t
e
= n
e
(ζ +eϕ) −n
e
(ζ) ≈ eϕ
∂n
e
∂ζ
. (2.19)
Finally, the Poisson equation has the form
∇
2
ϕ −
1
r
2
s
ϕ = 0 (2.20)
where
r
s
=
_
4πe
2
∂n
e
∂ζ
_
−1/2
. (2.21)
2.4. NEUTRAL AND IONIZED IMPURITIES 41
The solution of the Eq. (2.20) has the form (Problem 1.5)
ϕ =
Ze
r
e
−r/rs
, (2.22)
so the quantity r
s
is called the screening length.
Now let us estimate the screening length. In a degenerate gas, we get n
e
∝ p
3
F
∝
3/2
F
.
So
∂n
e
∂ζ
=
3
2
n
e
F
and
r
s
=
_
6πe
2
n
e
F
_
−1/2
.
This is the socalled ThomasFermi length, r
TF
. For a typical metal we get
1
r
TF
∼
_
e
2
p
3
F
¯ h
3
m
p
2
F
_
1/2
∼
p
F
¯ h
_
e
2
¯ hv
F
_
1/2
.
The ratio e
2
/¯ hv
F
has a clear physical meaning  it is just the ratio of the typical potential
energy e
2
/¯ r to the typical kinetic energy p
2
F
/2m. Indeed, in a typical metal, ¯ r ∼ ¯ h/p
F
and
e
2
/¯ r
p
2
F
/m
∼
e
2
¯ hv
F
.
This ratio is or the order 1 because the metal is connected by the conduction electrons.
Consequently, we get that the screening length in a typical metal is of the order interatomic
distance a and one comes back to the model of hard spheres.
There two important things to be mentioned.
• We have assumed that the electron response in local, i. e. the electron density n
t
e
(r)
feels the potential at the same point. In fact, it is not the case because the eﬀective
potential changes sharply in space and the selfconsistent approach (2.19) fails. In
general,
n
t
e
(r) = −e
_
K(r −r
t
) ϕ(r
t
) d1
t
.
The function K cannot be derived from classical considerations because the typical
spatial scale of the potential variation appears of the order of de Broglie wave length
¯ h/p. We will come back to this problem later in connection with the quantum
transport. The function K(r) reads (in the isotropic case)
K(r) = −g(
F
)
p
3
F
(π¯ h)
3
_
cos(2k
F
r)
(2k
F
r)
3
−
sin(2k
F
r)
(2k
F
r)
4
_
.
We see that the response oscillates in space that is a consequence of the Fermi de
generacy (Friedel oscillations). These oscillations are important for speciﬁc eﬀects
but if we are interested in the distances much greater than k
−1
F
the oscillations are
smeared and we return to the picture of the spheres of atomic scale. So one can use
the ThomasFermi approximation to get the estimates.
42 CHAPTER 2. CLASSICAL DC TRANSPORT ...
• In the expression (2.19) we have assumed linear response to the external potential. 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.
If the electrons are nondegenerate one should plug into the general expression (2.21)
the Boltzmann distribution function exp
_
ζ−ε
k
B
T
_
to get ∂n
e
/∂ζ = n
e
/k
B
T. As a result
r
s
≡ r
D
=
_
4πe
2
n
e
k
B
T
_
−1/2
,
the quantity r
D
is called the DebyeHukkel length. One can get
r
D
¯ r
=
¸
k
B
T
4πe
2
/¯ r
,
so the estimate diﬀers from the ThomasFermi length by the presence k
B
T instead of the
Fermi energy
F
.
Now we can make a very rough estimate of the conductivity of a typical metal. We get
σ ∼
n
e
e
2
τ
m
∼
n
e
e
2
p
F
∼
n
e
n
i
e
2
p
F
Q
.
Here we have taken into account that
=
1
n
i
Q
where Q is the eﬀective cross section. Making use of the estimates
Q ∼ (¯ h/p
F
)
2
, e
2
∼ ¯ hv
F
, n
i
/n
e
∼ c
i
where c
i
is the atomic impurity concentration (the numbers of electrons and atoms are the
same) we get
σ ∼
10
16
c
i
, s
−1
.
To analyze the situation with the Boltzmann gas one should be more careful because
the energy dependence of the relaxation time is important. To calculate the matrix element
[v(θ)[ of the Coulomb potential we take into account that all the Boltzmann distribution
is the case for the electrons with p ¸ ¯ h/a, the screening length being much greater than
a. So we can forget about the periodic potential and just to calculate the matrix element
of the potential (2.22) between the plane wave states. As a result, (Problem 1.6).
W(θ) = 4πn
i
v
_
e
2
/
2ε(1 −cos θ) + ¯ h
2
/2mr
2
s
_
2
(2.23)
2.5. ELECTRONELECTRON SCATTERING 43
We see that in the absence of screening the transport relaxation time diverges (long
range potential!). After substitution of the cross section to the deﬁnition of the transport
relaxation time (2.11) we get
τ
tr
=
2
m
2
v
3
2πe
4
n
i
Φ(η)
=
√
2m
2
ε
3/2
πe
4
n
i
Φ(η)
(2.24)
where
Φ(η) = ln(1 + η) −
η
1 + η
, η =
4m
2
v
2
r
2
s
¯ h
2
=
8mεr
2
s
¯ h
2
.
The function Φ(η) slowly depends on the energy, so
τ
tr
∝ ε
3/2
.
2.5 ElectronElectron Scattering
Now we estimate the electronelectron scattering, and as usual, we start from the case of
Fermi gas. Suppose that we have a particle 1 outside the Fermi sea (see Fig. 2.2). If
Figure 2.2: Scattering processes for electronelectron interaction.
this particle interacts with another one, 2, inside the Fermi sea both ﬁnal states should be
outside the Fermi sea (Principle Pauli!). According to the momentum conservation law,
p
1
+p
2
= p
t
1
+p
t
2
,
and, as we have seen,
p
1,
p
t
1
, p
t
2
> p
F
; p
2
< p
F.
The momentum conservation law is shown graphically in the right panel of Fig. 2.2. One
should keep in mind that the planes (p
1
, p
2
) and (p
t
1
, p
t
2
) are not the same, they are
shown together for convenience. To get the escape probability for the particle 1 one should
integrate over the intermediate momenta
W ∝
_
δ(ε
1
+ε
2
−ε
t
1
−ε
t
2
) (dp
2
) (dp
t
1
)
44 CHAPTER 2. CLASSICAL DC TRANSPORT ...
(p
t
2
is ﬁxed by the momentum conservation). The energy conservation law actually deter
mines the angle between p
t
1
and p
t
2
for given absolute values of these vectors. Consequently,
the rest is to integrate over p
2
= [p
2
[ and p
t
1
= [p
1
[.
Let p
1
be close to p
F
. It means that all the momenta are close to p
F
and the angles
with the vector p
1
+p
2
are almost the same. So let us assume cosines to be the same and
from the relation between the projections write down
p
t
1
≈ p
1
+ p
2
−p
t
2
.
Now let us recall that p
t
2
> p
F
. Consequently, p
t
1
< p
1
+ p
2
− p
F
. But at the same time,
p
t
1
> p
F
. Thus
p
1
+p
2
−p
F
> p
F
, or p
2
> 2p
F
−p
1
.
But from the Pauli principle, the upper limit for p
2
is p
F
. As a result, we come to the
following chain of inequalities
0 > p
2
−p
F
> p
F
−p
1
, 0 < p
t
1
−p
F
< (p
1
−p
F
) + (p
2
−p
F
).
Finally,
_
dp
2
dp
t
1
=
_
0
−α
1
dα
2
_
α
1
+α
2
0
dα
t
1
=
α
2
1
2
where we have introduced α
i
= p
i
−p
F
. Now we should remember that ε−
F
= v
F
(p−p
F
).
So W ∝ (ε−
F
)
2
. The simplest way to estimate τ is to use dimensionality approach. Indeed,
the average potential and kinetic energies are of the order of
F
. Consequently, the only
quantity which is proportional to (ε −
F
)
2
and has the time dimensionality is
τ ∼
¯ h
F
(ε −
F
)
2
.
We came to important conclusion: if one is interested in quasiparticles near the Fermi
level, [ε −
F
[ ¸
F
, he can treat them as to near classical ones provided
¯ h
(ε −
F
)τ
≈
ε −
F
F
¸1.
The typical value for the quasiparticle energy is k
B
T. This is why the electronelectron
interaction can be treated in the leading approximation in a selfconsistent approximation.
Using the Drude formula we easily get the estimate of the conductivity, limited by the
electronelectron scattering
σ ∼
n
e
e
2
¯ h
F
m(k
B
T)
2
∼ 10
16
_
F
k
B
T
_
2
, s
−1
.
Note that electronelectron interaction is the typically inelastic one. Electronelectron
interaction is usually unimportant for the Boltzmann gas (not too many electrons!). One
should also know that disorder drastically increases the electronelectron interaction. We
will discuss this problem later.
2.6. SCATTERING BY LATTICE VIBRATIONS 45
2.6 Scattering by Lattice Vibrations
Now we come to very important point  to the electron phonon interaction which leads to
many important consequences including superconductivity.
Interaction Hamiltonian (Estimates for Metals)
There are several mechanisms of electronphonon interaction. First, the deformed lattice
creates polarization P, the polarization charge being div P. Consequently, one can write
down the interaction energy as
−e
_
Q(r −r
t
) div P(r
t
) d1
t
.
In the absence of screening, Q(r −r
t
) ∝ [r −r
t
[
−1
but in a typical metal the screening
makes it local. As a result the estimate of Q(r −r
t
) is Q(r −r
t
) ≈ a
2
δ(r −r
t
). The
polarization, in its turn, is of the order of n
a
eu where n
a
is the atomic density which is of
the order of the electron one while u is the displacement vector. The quantity div P(r)
has the estimate in
a
e(qu) ≈ i(ω/s)n
a
eu. Finally, we the following estimate for the Fourier
component of the interaction potential
U
q
∼ ie
2
a
2
n
a
ω
s
u
q
. (2.25)
To get the electronphonon interaction in terms of phonon variables. Remembering the
Sec. 2.3.2 we get for the simple lattice
ˆ u
q
=
¸
¸
¸
_
¯ h
2ω
q
NM
q
e(q)
_
b
q
e
i[qr−ω(q)t]
+b
†
q
e
−i[qr−ω(q)t]
_
(here we take into account only one acoustic mode). We use the socalled second quantiza
tion representation. According to this representation, phonon system is characterized by
number of phonons, N
q,j
, having the wave vector q and belonging to the branch j. b
q
, b
†
q
are the socalled phonon annihilation (or creation) operators deﬁned by the properties
bψ
N
=
√
N ψ
N−1
b
†
ψ
N
=
√
N + 1 ψ
N+1
,
the commutation rules being
bb
†
−b
†
b ≡ [b, b
†
]
−
= 1 .
The creation and annihilation operators for diﬀerent modes commute. It is easy to check
the following important properties of the creation and annihilation operators,
b
†
b ψ
N
= N ψ
N
,
¸N
t
[b[N) =
√
N δ
N
,N−1
, ¸N
t
[b
†
[N) =
√
N + 1 δ
N
,N+1
.
We can specify the following processes
46 CHAPTER 2. CLASSICAL DC TRANSPORT ...
• Phonon emission:
electron : scattered, k →k
t
= k −q +G
pnonon : created with the momentum ¯ hq.
matrix element : M
+
k,k
= C
∗
(q)
_
N
q
+ 1¸k
t
[e
−iqr
[k).
• Phonon absorption
electron : scattered, k →k
t
= k +q +G
pnonon : absorbed with the momentum¯ hq.
matrix element : M
−
k,k
= C(q)
_
N
q
¸k
t
[e
iqr
[k).
We have the following estimate for C(q)
C(q) ∼ i
e
2
a
2
n
a
√
NM
ω
s
¸
¯ h
ω
∼ i
¸
¯ hn
a
ω
1n
a
M
e
2
a
2
n
a
s
∼ i n
a
a
3
e
2
a
1
s
√
M
¸
¯ hω
1n
a
∼ i
¸
¯ hω
1mn
a
p
F
.
Here we have taken into account that n
a
a
3
∼ 1, e
2
/a ∼
F
∼ p
2
F
/2m, s
√
M ∼ v
F
√
m.
Finally we come to the interaction Hamiltonian in the second quantization representation
H
int
=
k,k
,qj
_
C
j
(q)¸k
t
[e
iqr
[k) a
†
k
a
k
b
q
+h.c.
_
(2.26)
where h.c. means the Hermitian conjugate. Here we use the electron annihilation and
creation operators, a, a
†
which properties are discussed in earlier.
Using the properties of the Bloch functions and lattice vibrations one can easily show
that the matrix element ¸k
t
[e
iqr
[k) behaves as
¸k
t
[e
iqr
[k) =
G
δ(k
t
−k −q −G)
where G are the reciprocal lattice vectors. The form (2.26) is very illustrative to show the
important transitions.
Transition Probability
Now we can construct the transition probabilities. For simplicity we assume here that
G = 0, that is the case for the most interesting situations (see later). We get
W
+
k−q,k
=
2π
¯ h
[C
j
(q)[
2
(N
q
+ 1)δ [ε(k −q)−ε(k)+¯ hω
j
(q)]
for the emission process and
W
−
k+q,k
=
2π
¯ h
[C
j
(q)[
2
N
q
δ [ε(k +q)−ε(k)−¯ hω
j
(q)] .
2.6. SCATTERING BY LATTICE VIBRATIONS 47
for the absorption one. Often people write the probability as
W
k−q←k
=
2π
¯h
[C
j
(q)[
2
_
(N
q
+ 1)δ [ε(k −q)−ε(k)+¯ hω
j
(q)]
. ¸¸ .
+N
−q
δ [ε(k −q)−ε(k)−¯ hω
j
(q)]
. ¸¸ .
_
emission absorption
To get the probability of the reverse transition, W
k←k−q
, one should ﬁrst replace k →
k +q and then q →−q. We get
W
k←k−q
=
2π
¯h
[C
j
(q)[
2
_
(N
−q
+ 1)δ [ε(k −q)−ε(k)−¯ hω
j
(q)]
. ¸¸ .
+N
q
δ [ε(k −q)−ε(k)+¯ hω
j
(q)]
. ¸¸ .
_
emission absorption
.
This probability has the factor f
k−q
(1 − f
k
). Finally we come to the following collision
integral
I =
2π
¯ h
jq
[C
j
(q)[
2
_
F
+
k,k−q
δ(ε
k−q
−ε
k
−¯ hω
jq
) +F
−
k,k−q
δ(ε
k−q
−ε
k
+¯ hω
jq
)
_
(2.27)
where
F
+
k,k−q
= f
k
(1 −f
k−q
)N
−q
−f
k−q
(1 −f
k
)(N
−q
+ 1),
F
−
k,k−q
= f
k
(1 −f
k−q
)(N
q
+ 1) −f
k−q
(1 −f
k
)N
q
(2.28)
Now we start from rough estimates and then derive the relaxation rate more carefully.
Relaxation Time for Phonon Scattering.
Rough Estimate.
To get a rough estimate we ﬁrst understand that the maximal phonon frequency is ω
D
that
corresponds to q
D
∼ π/a ∼ k
F
. One has the estimate ¯ hω
D
∼ ¯ hsπ/a ∼ sp
F
. So there are
two limiting cases which diﬀer by the relation between ¯ hω
D
and k
B
T.
1. At high temperature
¯ hω
D
¸k
B
T
the most probable are the processes with highfrequency phonons, ω ≈ ω
D
, and we can use
the classical limit for the Planck function
N
q
≈
k
B
T
¯ hω
q
≈
k
B
T
¯ hω
D
¸1.
We see that all the items in the collision integral have the same order. The integral over
the q is of the order
q
3
D
F
∼
mp
F
¯ h
3
.
48 CHAPTER 2. CLASSICAL DC TRANSPORT ...
Using the rough estimate for the coeﬃcient C(q) we get
1
τ
tr
∼
1
¯ h
p
2
F
¯ hω
D
mn
a
k
B
T
¯ hω
D
mp
F
¯ h
3
∼
k
B
T
¯ h
.
The estimate for conductivity is
σ =
n
e
e
2
τ
m
∼
p
2
F
m¯ h
F
k
B
T
∼ 10
16
F
k
B
T
, s
−1
.
2. At low temperatures where
¯ hω
D
¸k
B
T
the thermal phonons with ¯ hω
D
∼ k
B
T are most important, their wave vector being
q
T
∼
k
B
T
¯ hs
.
We see that q
T
¸ k
F
. So these collisions are strongly inelastic  the change of the quasi
particle energy is of the order of the energy while the change of momentum is relatively
small. The δfunction in the conservation laws can be written as
δ
_
p
2
2m
−
(p−¯hq)
2
2m
±¯ hω(q)
_
= δ
_
¯hpq
m
−
¯h
2
q
2
2m
±¯ hω(q)
_
≈
=
m
¯hpq
δ
_
cos ϑ −
¯hq
2p
±
mω
pq
_
.
We see that both the items under the δfunction are small (the second one is of the order
ms/p
F
∼ s/v
F
¸ 1). The integral over q splits into the integral over the length of the
wave vector and over the angles. Thus the δfunction gives 1 after the integration over the
angles because is requests [ cos ϑ[ ¸1. Finally, we get the following estimate
1
τ
∼
1
¯ h
p
2
F
¯ hω
mn
a
m
¯ hp
F
q
q
3
∼
1
¯ h
p
2
F
¯ hω
mn
a
ms
p
F
¯ hω
_
ω
s
_
3
∼
∼
1
¯ h
p
2
F
k
B
T
m(p
F
/¯ h)
3
ms
p
F
k
B
T
(k
B
T)
3
¯ h
3
s
3
∼
k
B
T
¯ h
_
k
B
T
¯ hω
D
_
2
This is the good estimate for the escape relaxation time. To get the estimate one should
multiply this quantity by the characteristic value of
1 −cos θ ≈
θ
2
2
∼
_
¯ hq
p
F
_
2
∼
_
k
B
T
¯ hω
D
_
2
.
As a result,
1
τ
tr
∼
k
B
T
¯ h
_
k
B
T
¯ hω
D
_
4
and the conductivity acquires an extra factor (¯ hω
D
/k
B
T)
4
:
σ ∼ 10
16
F
k
B
T
_
¯ hω
D
k
B
T
_
4
, s
−1
2.6. SCATTERING BY LATTICE VIBRATIONS 49
We see that for smallangle scattering the transport time is much longer than the escape
time. It is interesting that in the expression for the thermal conductivity one can study the
relaxation of the energy ﬂux. For the energy ﬂux, every collision is eﬀective and the proper
estimate for the relaxation rate is the escape time τ. As a result, the WiedemannFranz
law is not valid any more, and
κ
Tσ
∼
k
2
B
e
2
_
k
B
T
¯ hω
D
_
2
.
Derivation of the Relaxation Time.
2
Now we outline the procedure of more rigorous derivation of the relaxation rate which
includes the summation over q
q
→
1
(2π)
3
_
qmax
q
min
q
2
dq
_
π
0
sin ϑdϑ
_
2π
0
dϕ
where q
min
and q
max
are determined by the conservation laws, ϑ ≡ (
¯
q, k).
First, one should prove the relaxation time approximation, i.e. that
I(f
1
) ∝ f
1
.
To prove it let us (as we have done earlier) search the solution as
f
1
= −nf (ε) = −f cos(
¯
f , k), n ≡
k
k
and chose the polar axis z along the vector k. In our notations
1 −cos
¯
(k, k −q) =
qk
qk
= cos ϑ.
It is convenient to use the relation
fq =f
z
q
z
+f
⊥
q
⊥
,
or
cos(
¯
f, q) =cos(
¯
k, q) cos(
¯
f, k)+sin(
¯
k, q) sin(
¯
f , k) cos ϕ
q,f
=
= cos ϑcos(
¯
f, k)+sin ϑsin(
¯
f , k) cos ϕ
q,f
.
Now we can integrate this equation over ϕ
q,f
taking into account that the angle (
¯
f , k) is
ϕ
q,f
independent.(see Fig. 2.3). We get
_
cos(
¯
f , q) dϕ = 2π cos ϑcos(
¯
f , k).
2
Optional section
50 CHAPTER 2. CLASSICAL DC TRANSPORT ...
Figure 2.3: The arrangement of angles.
The term cos(
¯
f , k) can be extracted from the integral over q and we have proved that
I(f
1
) ∝ f
1
.
Finally, after neglecting of the term proportional to s/v we get
1
τ
tr
= −
(2π)
2
¯ h
1
(2π)
3
_
qmax
q
min
q
2
dq[C(q)[
2
m
¯ h
2
kq
q
k
_
π
0
sin ϑ cos θ dϑ
_
N
q
δ
_
q
2k
+ cos θ
_
−(N
q
+ 1)δ
_
q
2k
−cos θ
__
=
=
1
8π
2
m
¯ h
2
k
3
_
qmax
q
min
[C(q)[
2
(2N
q
+ 1) q
3
dq. (2.29)
The result is determined by its limits determined by the conservation law and by the
phonon spectrum. We have q
min
= 0 while
q
max
= min(q
D
, 2k), ω
max
= min(q
D
, 2k).
At high temperature, at ¯ hω
max
≤ k
B
T, as is was shown, N
q
≈ k
B
T/¯ hs and we get
1
τ
tr
∝
1
k
3
_
q
D
q
k
B
T
¯ hsq
q
3
dq ∝
Tq
4
D
k
3
_
q
4
D
(2k)
4
∝ T
_
ε
−3/2
ε
1/2
.
That is consistent with the rough estimates given above. The last case is important for
semiconductors with low values of k. Remember that for the Boltzmann gas the typical
value of ¯ hk is
√
mk
B
T. Indeed,
¯ hsk
k
B
T
≈
¸
ms
2
k
B
T
, ms
2
→0.1 K.
In typical metals, k ∼ k
F
∼ q
D
, and at low temperatures we meet the case ¯ hω
max
≤ k
B
T.
This case is much more tricky because the collisions are inelastic and we cannot use the
2.6. SCATTERING BY LATTICE VIBRATIONS 51
expression (2.11) for the relaxation time. Actually, one should linearize the collision integral
(2.27). The main steps of the derivation are given below.
We transform the collision integral as follows. First we denote f
k
= f
1
+ ϕ
1
, f
k−q
=
f
2
+ϕ
2
where f
i,k
are equilibrium functions and linearize with respect to ϕ
i
. We get
F
+
k,k−q
= f
k
(1 −f
k−q
)N
−q
−f
k−q
(1 −f
k
)(N
−q
+ 1) →
(ϕ
1
(1 −f
2
) −ϕ
2
f
1
) N −(ϕ
2
(1 −f
1
) −ϕ
1
f
2
) (N + 1) =
= ϕ
1
(N(1 −f
2
) +f
2
(N + 1)) −ϕ
2
(Nf
1
+ (N + 1)(1 −f
1
)) =
= ϕ
1
(N +f
2
) −ϕ
2
(N + 1 −f
1
)
for the phonon emission and
F
−
k,k−q
= f
k
(1 −f
k−q
)(N
q
+ 1) −f
k−q
(1 −f
k
)N
q
→
(ϕ
1
(1 −f
2
) −ϕ
2
f
1
) (N + 1) −(ϕ
2
(1 −f
1
) −ϕ
1
f
2
) N =
= ϕ
1
((N + 1)(1 −f
2
) + f
2
N) −ϕ
2
((N + 1)f
1
+N(1 −f
1
)) =
= ϕ
1
(N + 1 −f
2
) −ϕ
2
(N + f
1
)
for the absorption. Then we search solution in a form
ϕ(k) =a(k)
_
−
∂f
0
∂ε
_
=
a(k)
k
B
T
f
0
(1 −f
0
)
where a(k) weakly depends on the energy but strongly depends on the direction of k. As
a result, we have
k
B
T F
+
k,k−q
= a
1
f
1
(1 −f
1
)(N +f
2
) −a
2
f
2
(1 −f
2
)(N + 1 −f
1
) →emission
To get a similar formula for absorption one should have the same substitute.
a
1
f
1
(1 −f
1
) (N + 1 −f
2
) −a
2
f
2
(1 −f
2
) (N +f
1
)
and to take the conservation law into account we should change 1 →2 in the ffunctions.
Finally,
k
B
T F
−
k,k−q
= a
1
f
2
(1 −f
2
) (N + 1 −f
1
) −a
2
f
1
(1 −f
1
) (N +f
2
) →absorptiom
Combining with the expression for the emission and absorption we get
(a
1
−a
2
)
k
B
T
[f
2
(1 −f
2
) (N + 1 −f
1
) +f
1
(1 −f
1
) (N +f
2
)]
Fragments in the square brackets are
N + 1 −f
1
=
e
c
e
c
−1
−
1
e
x
+ 1
= Nf
1
_
e
x+c
+e
c
−e
c
+ 1
_
= N
f
1
f
2
,
52 CHAPTER 2. CLASSICAL DC TRANSPORT ...
N +f
2
=
1
e
c
−1
+
1
e
x+c
+ 1
= Nf
2
_
e
x+c
+ 1 +e
c
−1
_
= (N + 1)
f
2
f
1
where x = (ε −ζ)/k
B
T, a = ¯ hω/k
B
T. Finally, we get in the brackets
Nf
1
(1 −f
2
) + (N + 1)f
2
(1 −f
1
) = 2Nf
1
(1 −f
2
)
and the integrand in the collision integral becomes proportional to
2Nf
1
(1 −f
2
)
k
B
T
(a
1
−a
2
).
We see that only thermal phonons are important that the integrand of the collision operator
decreases exponentially at c ¸ 1. As a result, we have proved the estimates made above.
Unfortunately, the relaxation time approximation is not exact in this case and one should
solve to Boltzmann equation numerically.
UmklappProcesses
3
It was a sort of cheating in our previous calculations of the electronelectron scattering.
Indeed, suppose that we have only electrons which do not know anything about the lattice.
How the total momentum of the whole electron system can relax?
To understand this important problem one should remember that there are processed
where the quasimomentum is not conserved but there is a momentum transfer ¯ hG. To
analyze the situation more carefully we write down the collision integral
I(f) = −
_
W
p
1
p
2
p
1
p
2
_
f
p
1
f
p
2
(1 −f
p
1
)(1 −f
p
2
) −f
p
1
f
p
2
(1 −f
p
1
)(1 −f
p
2
)
_
δ(ε
1
+ε
2
−ε
t
1
−ε
t
2
) (dp
2
) (dp
t
1
).
(2.30)
Here we assume that the momentum p
t
2
is determined by the conservation law
p
1
+p
2
= p
t
1
+p
t
2
+ ¯ hG
and one should integrate over the rest 2 variables. Because the process in inelastic we
search the nonequilibrium function f
1
as
f
1
(p) = a(p)
_
−
∂f
0
∂ε
_
=
a(p)
k
B
T
f
0
(1 −f
0
). (2.31)
We have 4 terms proportional to a. The terms proportional to a(p
1
) ≡ a
1
are
−
a
1
k
B
T
f
1
(1 −f
1
) [f
2
(1 −f
t
1
)(1 −f
t
2
) + f
t
1
f
t
2
(1 −f
2
)]
where all the functions are the equilibrium Fermi ones. Using the detailed balance equation
f
1
f
2
(1 −f
t
1
)(1 −f
t
2
) −f
t
1
f
t
2
(1 −f
1
)(1 −f
2
) = 0
3
Optional section
2.6. SCATTERING BY LATTICE VIBRATIONS 53
Figure 2.4: The Fermi surfaces of alkali metals and semimetals.
we transform the previous equation as (Check!)
−
a
1
k
B
T
f
1
f
2
(1 −f
t
1
)(1 −f
t
2
).
The same transformation can be done with all other terms and we get the following com
binations in the collision integral (2.30).
1
k
B
T
f
1
f
2
(1 −f
t
1
)(1 −f
t
2
)(a
1
+a
2
−a
t
1
−a
t
2
).
If we assume that a ∝ p
i
we get that the last bracket vanishes because of the momentum
conservations. Consequently, we have no relaxation and a ﬁnite current in the absence of
any ﬁeld. To get a ﬁnite answer one should take into account the processes with ﬁnite G,
the socalled Pierls Umklapp processes.
We have seen that if p
1
is close to the Fermi surface all other momenta are also close
to the Fermi surface, all the vectors being in the BZ. Thus to get a ﬁnite resistance one
should request
max([p
1
+p
2
−p
t
1
−p
t
2
[) = ¯ hG
min
or
4 max p
F
(n) >¯ hG
min
.
This relation is deﬁnitely met if the FS reaches the boundary of the BZ. 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). It means that the radius of the FS is greater that 1/2 of the
reciprocal lattice vector.
In semimetals like Bi the FS contains quasielectron and quasihole valleys and electron
electron interaction is important for intervalley transitions (see Fig. 2.4).
The situation is more complicated for electronphonon collisions. We have assumed the
phonons to be equilibrium. It means that we assume some eﬀective mechanism to create
the equilibrium in the phonon gas, say, scattering of phonons by defects or phononphonon
interaction including Umklapp processes. If the metal is very pure and the temperature
is low the only scattering mechanism for phonons is their scattering by the electrons.
Consequently, one should construct the Boltzmann equation for phonons
∂N
q
∂t
+
∂ω(q)
∂q
∂N
q
∂r
= I
ph
(N
q
).
54 CHAPTER 2. CLASSICAL DC TRANSPORT ...
The collision integral with electrons has the form
I
ph−e
=
_
W [f
1
(1 −f
2
)(N
q
+ 1) −(1 −f
1
)f
2
N
q
] δ(ε
1
−ε
2
−¯ hω
q
) (dp
1
)
Again, we can search the solution for electrons as (2.31) and for phonon in the form
N
1
(q) =b(q)
_
−
∂N
0
∂(¯ hω)
_
=
b(q)
k
B
T
N
0
(1 +N
0
).
As a result, we get
I ≈
_
Wf
10
(1 −f
20
)(N
q0
+ 1)(a
1
−a
2
−b) (dp
1
).
Again, if a ∝ p
i
, b ∝ ¯ hq
i
we get zero. Physically, it means the sum of electron and phonon
quasimomenta conserve. As a result, we have a persisted motion of electrons accompanied
by a ”phonon wind”. Again, we need the Umklapp processes to get ﬁnite electric and
thermal conductivity. At high temperatures it is not a problem to ﬁnd such processes. But
at low temperatures the momenta of thermal phonons are small and one can neglect the
phonon quasimomenta in the conservation law
p
1
−p
2
−¯ hq = ¯ hG.
So we come to the criterion
2 max p
F
(n) >¯ hG
min
that cannon be met if the FS does not touch the BZ boundary. That changes all the
kinetics because thermal phonons cannot take the electron momentum. Consequently, we
need highfrequency phonons with q ∼ q
D
, their number being proportional to exp(−T
0
/T)
where T
0
∼ ¯ hω
D
/k
B
. The resulting situation appears very tricky. To get an insight, let us
come to the picture of extended BZs periodic in the reciprocal space. If the FS is open the
electron momenta relaxation is just a diﬀusion along this surface and we have shown that
τ
e
∼
1
ω
D
_
¯ hω
D
k
B
T
_
5
.
If the FS is closed, Umklapp processes mean hops between diﬀerent branches. As a result,
we get
1
τu
∼ ω
D
_
k
B
T
0
¯ hω
D
_
3
e
−T
0
/T
. ¸¸ .
k
B
T
¯ hω
D
. ¸¸ .
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. Indeed, δp ≈ k
B
T/s, and δp/p
F
∼ k
B
T/¯ hω
D
. The total relaxation time is a sum
τ
t
= τ
e
+τ
u
of the diﬀusion time over the close surface and the time τ
u
, the longest being most im
portant. So we come to the crossover between the power and exponential temperature
dependencies. Remember that all this physics is relevant only to very clean metals, other
wise impurity scattering is the most important at low temperatures.
2.7. ELECTRONPHONON INTERACTION IN SEMICONDUCTORS. 55
Temperature Dependence of Resistivity in Metals
Now we review the temperature dependence of conductivity of metals. We have assumed
recently that only one scattering mechanism is important. In real life there is a mixture of
the mechanisms, the interplay being temperature dependent. If we assume the mechanisms
to be independent the resistivities ρ are approximately additive because one should sum the
scattering rates. So, according to the results of Boltzmann equation, at low temperatures
ρ = c +aT
2
.¸¸.
+bT
5
.¸¸.
e −e e −ph
(except alkali metals) while at high temperatures phonon scattering is the most important
and
ρ = AT.
The corresponding dependencies of the thermal conductivity are
κ
−1
= dT
−1
+fT +gT
2
, and κ = const.
The temperature dependence of the resistivity of semiconductors is more tricky because
electron concentration is temperature dependent. We will come back to this problem later.
It is also important to know, that at very low temperatures quantum contribution to
resistivity becomes important. This contribution cannot be analyzed with the help of the
Boltzmann equation and we will also discuss it later.
2.7 ElectronPhonon Interaction in Semiconductors.
Acoustic Phonons.
Deformational interaction.
Usually, the interaction with acoustic phonons in semiconductors is expressed in terms of
the socalled deformation potential. For long waves one can describe the crystal a an elastic
continuum, the deformation being characterized by the strain tensor
←→
u →u
ik
=
1
2
_
∂u
i
∂x
k
+
∂u
k
∂x
i
_
.
The strain changes the distances between atoms and, as a result, the electron energies
change. A typical picture of the change of the forbidden gap width under the inﬂuence
of an acoustic vibration is shown in Fig. (2.5). Note that the strain leads to a diﬀerent
inﬂuence that an electric ﬁeld which shifts both bands in the same direction. Consequently,
one can expand the position, say, of the bottom of the conduction band as
c
c
(
←→
u ) = c
c
(0) +
ik
Λ
ik
u
ik
.
56 CHAPTER 2. CLASSICAL DC TRANSPORT ...
Figure 2.5: The variation of the forbidden gap.
One can show that in a cubic crystal oﬀdiagonal components of the deformation potential
tensor
←→
Λ vanish. Moreover, because all the axis are equivalent, Λ
ii
= Λ and we get
c
c
(
←→
u ) = c
c
(0) + Λdiv u. (2.32)
Consequently, we come to the interaction energy of the form (2.25)
U
q
∼ Λiqu
q
.
The only diﬀerence is the replacement of the estimate e
2
a
2
n
a
by the deformation potential
Λ. As a result, the interaction constant C(q) can be expressed as
[C(q)[
2
=
Λ
2
q
2
¯ h
2NMω
q
∝ q.
The deformation potential can be calculated for a real band structure and measured ex
perimentally. The selection rules for electronphonon transitions are determined by the
symmetry.
Piezoelectric interaction.
Piezoelectric materials (ZnS, ZnSe, Cds, etc.) are ionic crystals without the inversion sym
metry. The strain u
ik
induces in such crystals the electric polarization with the components
P
i
=
kl
β
i,kl
u
kl
.
where
←→
β is called the piezoelectric tensor. The corresponding electric potential is deter
mined from the Poisson equation
−
ik
ik
∂
2
ϕ
∂x
i
∂x
k
+ 4π
ikl
∂
∂x
i
β
i,kl
∂
∂x
k
u
l
= 0.
2.7. ELECTRONPHONON INTERACTION IN SEMICONDUCTORS. 57
If we assume
ϕ = ϕ
q
e
iqr
, u = u
q
e
iqr
we get
ϕ
q
=
4π
ikl
β
i,kl
q
i
q
k
u
ql
ik
ik
q
i
q
k
.
Specifying the polarization vector e
j
(q) and the unit vector of the propagation direction
n = q/q we get
−eϕ
q
= Gu
0
, G(q) = −
4πe
ikl
β
i,kl
n
i
n
k
e
jl
(q)
ik
ik
n
i
n
k
Comparing this expression with the expression (2.32) we see that for a given q one should
replace
ik
Λ
ik
n
i
e
k
→
G(q)
q
.
We see that the corresponding scattering factors [C(q)[
2
behave as q/q
2
∝ 1/q.It means
that at low temperatures piezoelectric interaction is more important than the deformational
one.
Optical Phonons
In nonpolar materials one can also characterize the interaction as
H
e−ph
= Λ
0
u
where u is the relative displacement of the atoms in the basis. Much more interesting is
the interaction in polar crystals where, as we have seen, optical phonons produce electric
ﬁelds. In these materials the displacement s = u
+
−u
−
creates the polarization
P =
¸
N
0
M
r
ω
2
l
4π
∗
(u
+
−u
−
) (2.33)
where
1
∗
=
1
∞
−
1
0
.
We take into account only longitudinal vibrations which eﬀectively interact with the elec
tron. Then,
∇
2
ϕ = 4π div P =
¸
4πN
0
M
r
ω
2
l
∗
div(u
+
−u
−
).
Then, as usual, we expand the displacements in terms of the normal coordinates
u
k
j
(r) =
1
√
NM
k
qj
e
jk
(q)b
j
(q,t)e
iqr
(2.34)
58 CHAPTER 2. CLASSICAL DC TRANSPORT ...
and take into account that at long waves the center of gravity does not move,
_
M
1
e
j1
+
_
M
2
e
j2
= 0, e
2
j1
+e
2
j2
= 1.
As a result,
e
j1
=
¸
M
1
M
1
+ M
2
i
j
, e
j2
= −
¸
M
2
M
1
+M
2
i
j
.
Finally we substitute these expressions to Eqs. (2.34) for u
±
and get (Problem 1.6)
φ = −i
¸
4πω
2
l
∗
q
1
q
(b
q
e
iqr
−b
∗
q
e
−iqr
) (2.35)
It is very easy come from this point to the famous Fr¨olich Hamiltonian
H
e−ph
=
1
√
1
q,j
M
j
q
a
†
p−¯hq
a
p
(b
qj
+b
†
qj
) (2.36)
with
M
2
j
=
2πe
2
¯ hω
l,j
∗
.
Sometimes it is expressed as
M
2
=
4πα¯ h(¯ hω
l
)
3/2
√
2m
, α =
e
2
¯ h
∗
¸
m
2¯ hω
l
.
The dimensionless constant α is called the polaron constant.
Now we can analyze the conservation laws
¯ h
2
(k ±q)
2
2m
=
¯ h
2
k
2
2m
±¯ hω
l
→
¯ h
2
q
2
2m
±
¯ h
2
kq cos ϑ
2m
∓¯ hω
l
= 0.
The roots of this equation are
q
1
= −k cos ϑ ±
_
k
2
cos
2
ϑ +k
2
0
, q
2
= −k cos ϑ ±
_
k
2
cos
2
ϑ −k
2
0
where ¯ h
2
k
2
0
/2m = ¯ hω
l
.
1. If k ¸k
0
we get for both absorption and emission the old conditions q
min
= 0, q
max
=
2k. At high temperatures, k
B
T ¸¯ hω
l
the scattering is elastic, and we return to the same
expression as for acoustic phonons. Using Eq. (2.29) we get
τ
tr
=
√
2
2
¯ h
2
∗
e
2
√
mk
B
T
ε
3/2
∝ T
−1
ε
3/2
.
2. The case of low temperatures is more tricky. In this case only absorption processes
can take place, and
q
min
=
_
k
2
+k
2
0
−k (ϑ = 0), q
max
=
_
k
2
+k
2
0
+k (ϑ = π).
2.7. ELECTRONPHONON INTERACTION IN SEMICONDUCTORS. 59
It is clear, that the scattering is strongly inelastic and in general one cannot use the
relaxation time approximation. Nevertheless, some simpliﬁcation does exist. Indeed, note
that the ratio of the emission and absorption probabilities is
N
q
+ 1
N
q
≈ exp
_
¯ hω
l
k
B
T
_
¸1.
So if the electron absorbs an optical phonon it should immediately emit another one. As
a result, the change of energy appears small while the change of the quasimomentum is
large. One can get the result taking into account only the absorption processes. The
corresponding δfunction is
δ
_
¯ h
2
q
2
2m
+
¯ h
2
kq cos ϑ
2m
−
¯ h
2
k
2
0
2m
_
=
m
¯ h
2
kq
δ
_
q
2
−k
2
0
2kq
+ cos ϑ
_
while the relaxation time can be obtained as
1
τtr
=
1
8π
2
m
¯h
2
k
3
_
qmax
q
min
w(q)N
q
q
2
−k
2
0
q
q
2
dq ≈
≈
e
2
mω
l
¯h
2
∗
k
3
e
−¯hω
l
/k
B
T
_
¸
¸
¸
_
2k
_
k
2
+k
2
0
−k
0
ln
_
k
2
+k
2
0
+k
_
k
2
+k
2
0
−k
. ¸¸ .
_
¸
¸
¸
_
≈ (4/3)k
3
/k
0
Expanding this expression in powers of k/k
0
we get/k
0
τ
tr
=
2
√
2
2
¯ h
2
∗
e
2
√
m¯ hω
l
exp
¯ hω
l
k
B
T
.
This scattering is very weak. Note that it is not the case of the socalled hot electrons with
high energies which can emit optical phonons.
The polaron.
4
We take the opportunity to demonstrate the role of interaction when it cannot be considered
as weak. Let us consider the interaction of an electron with optical phonons. According
to quantum mechanics, the change of the ground state energy due to interaction is
c
n
−c
(0)
n
= ¸n[H
int
[n) +
m,=n
[¸m[H
int
[n)[
2
c
(0)
n −c
(0)
0
.
Consider the interaction with a polarized crystal. At T = 0 only emission of phonons
is possible. We have N
q
= 0, N
t
q
= 1, k
t
= k −q. The diagonal matrix element is zero
because it contains the same number of phonons. As a result, we get
ε
k
−ε
(0)
k
=
q
[¸1,k−q[−eΦ[0,k)[
2
h
2
k
2
2m
−
h
2
(k−q)
2
2m
−¯hω
l
=
=
2πe
2
¯hω
l
∗
_
(dq)
1
q
2
_
h
2
k
2
2m
−
h
2
(k−q)
2
2m
−¯ hω
l
_
−1
.
4
Optional section
60 CHAPTER 2. CLASSICAL DC TRANSPORT ...
As usual we introduce polar coordinates with the axis along k
(dq) →(2π)
−2
q
2
dq sin ϑdϑ; kq = kq cos ϑ
and expand the integrand in powers of k. The integral can be calculated easily, and the
result is
ε
k
=
¯ h
2
k
2
2m
−α
_
¯ hω
l
+
¯ h
2
k
2
12m
_
≡ −α¯ hω
l
+
¯ h
2
k
2
2m
pol
where α has been introduced in the previous section as the polaron constant while
m
pol
=
m
1 −α/6
≈ m(1 + α/6).
All these considerations are good only when α ¸1. We have
Material α
InSb 0.015
InP 0.080
CdTe 0.39
CdS 0.65
Consequently, the interaction for the two last materials is strong and one cannot use the
perturbation theory in the simplest way. The qualitative conclusions that interaction with
phonons leads to the shift of the energy levels (the relative shift is α at α ¸1) and to its
”dressing”  increase of the eﬀective mass.
2.8 GalvanoMagnetic and ThermoMagnetic Phenom
ena
The Physical Reason.
The external magnetic ﬁeld distort electron trajectories. It inﬂuence is strong if the char
acteristic radius of cyclotron orbit, r
c
= v
⊥
/ω
c
, is less than the mean free path at which
all the kinetic coeﬃcients are formed. One can treat the distortion as an eﬀective decrease
of the mean free path . To estimate the inﬂuence of a weak magnetic ﬁeld on the resis
tance one should compare the path along the circle r
c
φ (see Fig. 2.6) with the distance
2r
c
sin φ/2, the diﬀerence being ∼ r
c
φ
3
. If we put r
c
φ ∼ we get
∆ρ/ρ ∼ (/r
c
)
2
∼ (ω
c
τ)
2
.
Another eﬀect that one can expect is the creation of a current perpendicular to the electric
and magnetic ﬁeld direction. Indeed, under the inﬂuence of magnetic ﬁeld an electron
moves in the [E H] direction by the distance
∼ r
c
(1 −cos φ) ≈ (1/2)r
c
φ
2
∼ (/r
c
) ∼ (ω
c
τ).
2.8. GALVANO AND THERMOMAGNETIC .. . 61
Figure 2.6: A trajectory fragment..
As a result, one can expect creation of oﬀdiagonal components of the conductivity tensor
with
[σ
xy
[ ∼ σ
0
(ω
c
τ).
To get the results in strong magnetic ﬁelds is more tricky and we will do it later.
Conductivity Tensor. Calculations.
Simpliﬁed version for isotropic case
In a magnetic ﬁeld the Boltzmann equation reads as
_
(v∇
r
) −e
_
E +
1
c
[v H]
_
∇
p
_
f +
f −f
0
τ
tr
= 0 .
We look for solution as
f = f
0
+ (vG) , [G[ ∝ E .
We have
_
−
e
c
[v H]
∂
∂p
+
1
τ
tr
_
(vG) = e
∂f
0
∂ε
(Ev) . (2.37)
As we’ll check for a given ε the vector G is independent of the direction of p. Thus
∂(vG)
∂p
=
G
m
.
In this way we get
µ
c
([v H]G) + (vG) = eτ
tr
(vE)
∂f
0
∂ε
(2.38)
where
µ(ε) =
[e[τ
tr
(ε)
m
.
62 CHAPTER 2. CLASSICAL DC TRANSPORT ...
It is natural to look for a solution of the equation (2.38) in the form
G = αE + βH+γ[HE] .
Substitution this form to (2.38) and using the equality ([v H]H) = 0 we get
α
µ
c
([v H]E) +γ
µ
c
_
(HE)(vH) −H
2
(vE)
+α(vE) + β(vH) +γ(v[HE])¦ = eτ
tr
(vE)
∂f
0
∂ε
Then we can collect the coeﬃcients at (vE), (vH) and (v[HE]). We have
α −γ
µ
c
H
2
= eτ
tr
(vE)
∂f
0
∂ε
,
γ
µ
c
(HE) +β = 0 , (2.39)
α
µ
c
+γ = 0 . (2.40)
As a result, (Problem 1.7)
G = eτ
tr
∂f
0
∂ε
E + (µ/c)
2
(HE)H+ (µ/c)[E H]
1 + µ
2
H
2
/c
2
. (2.41)
The quantity µH/c is nothing else than the product ω
c
τ
tr
We see that in the presence of
magnetic ﬁeld there is a current along the direction of [EH]. The conductivity tensor is
easily calculated from the expression
j
i
= −e
_
2d
3
p
(2π¯ h)
3
v
i
k
v
k
G
k
.
For an isotopic spectrum, we get σ
z
z = σ
0
,
σ
xx
= σ
yy
=
ne
2
m
_
τ
tr
1 +ω
2
c
τ
2
tr
_
,
while
σ
xy
= −σ
yx
=
ne
2
m
_
ω
c
τ
2
tr
1 + ω
2
c
τ
2
tr
_
General case
In the presence of external ﬁelds the l.h.s. of the Boltzmann equation can be written as
∂f
∂t
1
∂t
1
∂t
+
∂f
∂p
z
∂p
z
∂t
+
∂f
∂ε
∂ε
∂t
≈
∂f
∂t
1
−eE
z
∂f
∂p
z
−e(vE)
∂f
∂ε
2.8. GALVANO AND THERMOMAGNETIC .. . 63
where we consider the quantities t
1
, p
z
, ε as independent variables. As usual, we search
the solution as
f = f
0
+a
_
−
∂f
0
∂ε
_
.
The function f
0
depends only on the energy, and we get in the linear approximation
∂a
∂t
1
−I(a) = −e(vE). (2.42)
We should solve this equation with the boundary conditions. In the case of closed orbits
it is just the periodicity while for open orbits the function should be ﬁnite. We need to
analyze the solution of this equation in diﬀerent cases.
To make estimates we use the relaxation time approximation to get
∂a
∂t
1
+
a
τ
= −e (v(t
1
)E) . (2.43)
The general solution is
a(t
1
) =
_
t
1
c
−e (v(t
2
)E) e
−(t
1
−t
2
)/τ
dt
2
.
If the orbits are closed one should apply the periodic conditions
a(t
1
) = a(t
1
+T )
In this case one has to put c = −∞ (Problem 1.7). The electric current is
j
i
= −e
_
v
i
f (dp) = −
2e
2
H
(2π¯ h)
3
c
_
dε
_
−
∂f
0
∂ε
_
_
dp
z
dt
1
v
i
a(ε, p
z
, t) =
= −
2e
3
H
(2π¯ h)
3
c
_
dε
_
−
∂f
0
∂ε
_
_
p
F
−p
F
dp
z
_
T
0
dt
1
v
i
(t
1
)
_
t
1
−∞
dt
2
k
v
k
(t
2
)e
−(t
1
−t
2
)/τ
E
k
.
We see that the conductivity is the tensor with the components
σ
ik
= −
2e
3
H
(2π¯ h)
3
c
_
dε
_
−
∂f
0
∂ε
_
_
p
F
−p
F
dp
z
_
T
0
dt
1
v
i
(t
1
)
_
t
1
−∞
dt
2
k
v
k
(t
2
)e
−(t
1
−t
2
)/τ
.
Now we assume that E ⊥ H and i, k are x, ycomponents. If the spectrum is isotropic,
v
x
= v
⊥
cos ω
c
t
1,
v
y
= −v
⊥
sin ω
c
t
1,
ω
c
= −
eH
mc
.
Now we can extract v
⊥
and analyze
_
I
x
I
y
_
=
_
T
0
dt
1
_
cos ω
c
t
1
−sin ω
c
t
1
_
_
t
1
−∞
dt
2
e
−(t
1
−t
2
)/τ
(E
x
cos ω
c
t
2
−E
y
sin ω
c
t
1
)
64 CHAPTER 2. CLASSICAL DC TRANSPORT ...
It is convenient to employ an auxiliary integral
_
t
1
−∞
dt
2
e
t
2
/τ
e
iωct
2
= e
t
1
/τ
e
iωct
1
τ
−1
−iω
c
τ
−2
+ω
2
c
=
= e
t
1
/τ
1
τ
−2
+ω
2
c
_
(τ
−1
cos ω
c
t
1
+ ω
c
sin ω
c
t
1
) +i(τ
−1
sin ω
c
t
1
−ω
c
cos ω
c
t
1
)
_
.
Finally, we come to the integral
_
I
x
I
y
_
=
_
T
0
dt
1
_
cos ω
c
t
1
−sin ω
c
t
1
_
_
E
x
(τ
−1
cos ω
c
t
1
+ω
c
sin ω
c
t
1
) −E
y
(τ
−1
sin ω
c
t
1
−ω
c
cos ω
c
t
1
)
_
.
Finally we get
_
j
x
j
y
_
= −
2e
3
H
(2π¯ h)
3
c
T
2
_
dε
_
−
∂f
0
∂ε
_
1
τ
−2
+ω
2
c
_
τ
−1
E
x
+ω
c
E
y
−ω
c
E
x
+ τ
−1
E
y
_
_
dp
z
v
2
⊥
.
We have used the integrals
_
T
0
cos
2
ω
c
t dt =
_
T
0
sin
2
ω
c
t dt =
T
2
,
_
T
0
cos ω
c
t sin ω
c
t dt = 0.
For degenerate electrons the integral over the energy locates the internal integral to the
Fermi surface, the last integral being
_
p
F
−p
F
v
2
⊥
dp
z
=
1
m
2
_
p
F
−p
F
_
(p
2
F
−p
2
z
) dp
z
=
4
3
p
2
F
m
2
.
The ﬁnal result is
←→
σ
⊥
=
n
e
e
2
m
1
τ
−2
+ω
2
c
_
τ
−1
ω
c
−ω
c
τ
−1
_
.
Weak Magnetic Field
In weak magnetic ﬁelds, when
ω
c
τ ¸1
we get
←→
σ
⊥
= σ
0
_
1 ω
c
τ
−ω
c
τ 1
_
.
The typical conﬁguration to measure ofdiagonal components of the conductivity tensor is
shown in Fig. (2.7). I n general
j
x
= σ
xx
E
x
+σ
xy
E
y
,
j
y
= σ
yx
E
x
+σ
yy
E
y
.
(2.44)
2.8. GALVANO AND THERMOMAGNETIC .. . 65
Figure 2.7: Arrangement to measure oﬀdiagonal conductivity components.
If the circuit in ydirection is open we have j
y
= 0. As a result, a ﬁeld
E
y
= −
σ
xy
σ
xx
E
x
(2.45)
appears, the current density being
j = j
x
= ρ
xx
E
x
=
σ
2
xx
+ σ
2
xy
σ
xx
E
x
.
We have taken into account that
σ
xx
= σ
yy
, σ
xy
= −σ
yx
.
Thus,
E
y
= −
σ
xy
σ
2
xx
+σ
2
xy
j.
Creation of a transverse ﬁeld directed along [E H] is called the Hall eﬀect. The Hall
coeﬃcient is deﬁned as
R =
E
y
Hj
x
= −
σ
xy
(σ
2
xx
+σ
2
xy
)H
.
As we see, at weak magnetic ﬁeld
R = −
ω
c
τ
Hσ
o
=
1
n
e
ec
. (2.46)
We came to the conclusion that the Hall coeﬃcient depends only on the electron density.
It is not the case in real materials because we have canceled the factor τ which in real
life depends on the energy, directions, etc. In nondegenerate semiconductors the Hall
coeﬃcient becomes dependent on the scattering mechanisms. Usually, it is taken into
account by introduction the Hall factor in Eq. (2.46). The resistivity component ρ
xx
= 1/σ
0
in a weak ﬁeld because [σ
xy
[ ¸σ
xx
.
66 CHAPTER 2. CLASSICAL DC TRANSPORT ...
High Magnetic Field.
The results obtained above can be used to get estimates also in the case of high magnetic
ﬁelds. But we will make more rigorous calculations because many results can be obtained
for an arbitrary energy spectrum.
First, we introduce a speciﬁc perturbation theory to solve the Boltzmann equation in
strong magnetic ﬁelds, i.e. expansion in power of γ = (ω
c
τ)
−1
. We write the function a as
a =
k
a
k
, a
k
∼ γ
k
and substitute the Boltzmann equation (2.42)
∂a
0
∂t
1
= 0,
∂a
1
∂t
1
−I(a
0
) = −e(vE),
∂a
2
∂t
1
−I(a
1
) = 0, . . .
The solutions are:
a
0
= C
0
,
a
1
=
_
t
1
0
[I(C
0
) −e (v(t
2
)E)] dt
2
+C
1
,
a
k
=
_
t
1
0
[I(a
k−1
) −e (v(t
2
)E)] dt
2
+C
k
.
Then we average all the equations over the time taking into account that ∂a/∂t
1
= 0. As
a result,
−I(a
0
) = −e(vE), I(a
k,=0
) = 0.
These equations determine the constant items C
i
.
Now we can calculate the conductivity tensor.
Closed Orbits.
In this case v
x
= v
y
= 0, and C
0
depends only on v
z
E
z
. Consequently, we are interested in
a
1
and we can substitute
dp
x
dt
= −
e
c
v
y
H,
dp
y
dt
=
e
c
v
x
H. (2.47)
As a result,
a
1
=
c
H
_
t
1
0
dt
2
_
E
y
dp
x
dt
2
−E
x
dp
y
dt
2
_
−e
_
t
1
0
dt
2
v
z
(t
2
)E
z
+ const(v.
Now it is very simple to calculate σ
xy
. Let us calculate, say, j
x
for the Fermi gas. We have
j
x
=
2He
2
(2π¯ h)
3
c
_
dp
z
_
T
0
v
x
(t
1
)a
1
dt
1
=
2e
(2π¯ h)
3
_
dp
z
_
T
0
a(t
1
)
dp
y
dt
1
dt
1
=
2.8. GALVANO AND THERMOMAGNETIC .. . 67
=
2e
(2π¯ h)
3
_
dp
z
_
_
T
0
dt
1
(p
x
(t
1
) −p
x
(0)) E
y
c
H
dp
y
dt
1
+ vanishing items.
_
The result is
σ
xy
=
2ec
(2π¯h)
3
H
_
dp
z
_
T
0
dt
1
p
x
dpy
dt
1
=
2ec
(2π¯h)
3
H
_
dp
z
_
p
x
dp
y
. ¸¸ .
.
volume
The result can be expressed through the densities of electronlike and holelike excitations:
σ
xy
= −
ec
H
(n
e
−n
h
).
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. It is very important that the result is
independent on scattering mechanisms and the shape of the surfaces ε = const. Actually,
it the most common way to determine the carriers’ density.
Another conclusion is that there is no linear in γ contributions to the diagonal com
ponents of the conductivity tensor. Finally, we come to the following structure of the
conductivity tensor
σ
ik
=
_
_
_
γ
2
a
xx
γa
xy
γa
xz
γa
yx
γ
2
a
yy
γa
yz
γa
zx
γa
zy
a
zz
_
_
_
while the resistivity tensor
←→
ρ =
_
←→
σ
_
−1
is
ρ
ik
=
_
_
_
b
xx
γ
−1
b
xy
b
xz
γ
−1
b
yx
b
yy
b
yz
b
zx
b
zy
b
zz
_
_
_.
The case of compensated materials with n
e
= n
h
(like Bi) needs a special treatment.
Note that the components of the conductivity tensor should meet the Onsager principle
which in the presence of the magnetic ﬁeld reads as
σ
ik
(H) =σ
ki
(−H)
(the reason is that the Onsager principle is derived by use the symmetry with respect to
time reversion. Under such a transform magnetic ﬁeld changes its sign).
Open Orbits.
The case of open orbits is more tricky. To understand what happens let us consider the
case shown in Fig. 2.8. It is clear that the trajectory in p
z
direction is inﬁnite while in p
y
direction it is ﬁnite. Taking the average of the equations of motion (2.47) we get
v
y
= −
c
eH
lim
T
1
→∞
_
p
x
(T
1
) −p
x
(0)
T
1
_
,= 0, v
x
= 0.
68 CHAPTER 2. CLASSICAL DC TRANSPORT ...
Figure 2.8: The case of open orbits..
As a result, the quantity a
0
has the component ∝ E
y
and the component σ
yy
is not small.
As a result,
σ
ik
=
_
_
_
γ
2
a
xx
γa
xy
γa
xz
γa
yx
a
yy
a
yz
γa
zx
a
zy
a
zz
_
_
_.
One can see from Fig. 2.8 that the conductivity tensor strongly depends on the tilt angle of
the magnetic ﬁeld, having a sharp crossover at θ →0. The schematic angular dependencies
of the Hall coeﬃcient and transverse resistivity are shown in Fig. 2.9. .
ThermoMagnetic Eﬀects.
It is clear that the temperature gradient also produces electric currents and magnetic ﬁeld
leads to an oﬀdiagonal transport. As we have seen these current are produced by the
”eﬀective force”
ε−ζ
T
∇T. As a result, all the kinetic coeﬃcients become tensors. According
to the Onsager principle
ρ
ik
(H) =ρ
ki
(−H), κ
ik
(H) =κ
ki
(−H), Π
ik
(H) =Tα
ki
(−H).
Consequently, we have 36 kinetic coeﬃcients which obey 15 Onsager relations. It is clear
that 21 independent components lead to a very complicated picture and usually people
study simplest cases. For example, in an isotropic material in a weak magnetic ﬁeld one
2.9. SHUBNIKOVDE HAAS EFFECT 69
Figure 2.9: Crossover from closed to open orbits.
can write
j =ρE+R[Hj] + α _T +N [H_T] ,
w−jζ = Πj+B[Hj] −κ _T +L[H_T] .
(2.48)
According to the Onsager principle, B = NT. The expressions (2.48) describe many eﬀects.
For example, suppose that ∇
x
T = 0, j
y
= 0, w
y
= 0, but j
x
,= 0. In this case we get
∂T
∂y
=
B
κ
Hj
x
(the Ettingshausen eﬀect). Another eﬀect is creation of a ﬁeld E
y
by the gradient ∂T/∂x
(the Nernst eﬀect)
E
y
= NH(∂T/∂x).
All these eﬀects have important applications. In high magnetic ﬁelds all the coeﬃcients
become ﬁelddependent.
2.9 Shubnikovde Haas eﬀect
Oscillations similar to the de Haasvan Alphen eﬀect exist also for kinetic coeﬃcients.
Although quantum transport is out of the scope of the present part of the course we will
discuss the main picture.
Kinetic coeﬃcients depend both on the density of states and on the scattering prob
ability. We have have seen that DOS oscillated because of the energy quantization. The
scattering probability, in its term, is also dependent on the density of states, as well on
the scattering matrix element. Consequently, it also oscillates in magnetic ﬁeld, and it
appears that the last contribution is the most important. The quantum oscillations of
conductivity is called the Shubnikovde Haas eﬀect. Similar oscillations are also present for
thermo.magnetic coeﬃcients. Quantum oscillations of kinetic coeﬃcients are widely used
for investigation of the properties of metals and semiconductors.
70 CHAPTER 2. CLASSICAL DC TRANSPORT ...
Let us outline main principles of these eﬀects. To take the electric ﬁeld into account
one should analyze the SE in crossed electric and magnetic ﬁeld (H  z, E  x)
−
¯ h
2
2m
∂
2
ψ
∂x
2
+
1
2m
_
¯ h
i
∂
∂y
+
e
c
Hx
_
2
ψ −
¯ h
2
2m
∂
2
ψ
∂z
2
+ (eEx −ε)ψ = 0.
We can also search the solution as
ϕ(x) exp(ik
y
y +ik
z
z).
The equation for ϕ has the form
−
¯ h
2
2m
d
2
ϕ
dx
2
+
_
_
1
2m
_
eH
c
_
2
x
2
+
_
¯ heH
mc
k
y
+eE
_
x +
¯ h
2
(k
2
y
+k
2
z)
2m
−ε
_
_
ϕ = 0.
The result can be expressed just in the same way as for the case E = 0 with the additional
terms
ε
E
ν
= ε
N
+
¯ h
2
k
2
z
2m
+ δε, δε = −a
2
H
eEk
y
−
mc
2
2
_
E
H
_
2
for the energy and
x
E
0
= x
0
+δx
0
, δx
0
= −
eEa
2
H
¯ hω
c
.
for the oscillator center x
0
(see Sec. 3.7.2).
Now we introduce the following concept. Assume that the electron in the state ν is is
situated at the point x
E
0
. The electric current is
j
x
= −e
t
ν,ν
_
f
0
(ε
E
ν
)
_
1 −f
0
(ε
E
ν
)
_
W
E
νν
−f
0
(ε
E
ν
)
_
1 −f
0
(ε
E
ν
)
_
W
E
ν
ν
_
.
The prime over the sum means that the state ν has x
E
0
< 0, while the state ν
t
has x
E
0
> 0.
Then we expand the expression up to the linear in E term and get
σ
xx
= e
2
ν,ν
_
−
∂f
0
(ε
ν
)
∂ε
v
_
(x
0
−x
t
0
)
2
2
W
νν
.
This formula has an explicit physical meaning. Indeed, the quantity
(x
0
−x
t
0
)
2
2
W
νν
is just the contribution of the states ν, ν
t
to the 2D diﬀusion coeﬃcient in the plane (x, y).
thus we come to the old formula
σ = e
2
_
dε g(ε) D(ε)
_
−
∂f
0
∂ε
_
2.10. RESPONSE TO “SLOW” PERTURBATIONS 71
where both g(ε) and D(ε) should be calculated with the help of quantum mechanics:
g(ε) =
ν
δ(ε −ε
ν
), D(ε) =
1
g(ε)
ν,ν
δ(ε −ε
ν
)
(x
0
−x
t
0
)
2
2
W
νν
.
One can see that the result is strongly dependent on the scattering mechanism and oscillates
in the case of the Fermi statistics.
2.10 Response to “slow” perturbations
In this section we will discuss electron response to lowfrequency perturbation which vary
slowly in space.
Consider electron gas in a weak ac electric ﬁeld E(r, t). Let us separate odd and even
in p parts of the electron distribution function,
f(p) = f
+
(p) +f
−
(p) , f
±
(−p) = ±f
±
(p) .
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. Indeed, 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.
Assuming that inelastic processes are weak, we leave in the equation for f
−
only elastic
processes in the collision operator. As a result,
∂f
−
∂t
+v
∂f
−
∂r
+eE
∂f
+
∂p
+
f
−
τ
tr
= 0. (2.49)
Such a procedure is not correct for f
+
because the main part of f
+
depends only on the
electron energy. Thus one has to write
∂f
+
∂t
+v
∂f
+
∂r
+eE
∂f
−
∂p
+I¦f
+
¦ = 0 , (2.50)
where the collision operator includes inelastic processes. Now let us assume
ωτ
tr
¸1 , q ¸1
and solve Eq. (2.49),
f
−
(p) = −τ
tr
v
∂f
+
∂r
−eτ
tr
E
∂f
+
∂p
, (2.51)
72 CHAPTER 2. CLASSICAL DC TRANSPORT ...
then substitute into Eq. 2.50 and average over the constant energy surface. One can show
that the diﬀerence between f
+
(p) and F(
p
) can be neglected if
eEτ
tr
¸ ¯ p .
Neglecting this diﬀerence we arrive at the following equation for F().
∂F
1
∂t
−D
ik
()
∂
2
F
1
∂x
i
∂x
k
+¸I¦F
1
¦)
= eD
ik
()
∂E
k
∂x
i
∂f
0
∂
. (2.52)
Here we have introduced F
1
= F() −f
0
() and
D
ik
= ¸v
i
τ
tr
v
k
)
.
The typical estimate for the third term in Eq. 2.50 is F
1
/τ
in
where τ
in
is the inelastic
relaxation time. Thus the solution of Eq. (2.52) depends on the dimensionless quantities
ωτ
in
, q
2
Dτ
in
.
Because usually in semiconductors at low temperatures
τ
in
¸τ
tr
these quantities can be large even at ωτ
tr
, q ¸1.
Very low frequancies, ωτ
in
, q
2
Dτ
in
¸1.
In this case the third term in l.h.s. of Eq 2.52 is most important and one has to vanish
this term. That can be done assuming that
F
1
(, r, t) ∝ f
0
() = A(r, t)f
0
() .
Multiplying this equation by the density of states g() and integrating over the energies
we get
A(r, t) = n(r, t)/n
0
.
Here n(r, t) is the time and position dependent electron density. In this way (in the
isotropic case) we get
∂n
∂t
−D
∂
2
n
∂x
2
= eD
∂E
x
∂x
_
−
∂n
0
∂ζ
_
. (2.53)
Here ζ is the chemical potential while
D
ik
=
1
n
0
_
d g() f
0
()D
ik
() .
Moving all the terms into l.h.s. we get instead of Eq. 2.53
∂n
∂t
+
1
e
∂
∂x
_
−eD
∂n
∂x
+e
2
D
∂n
∂ζ
E
x
_
= 0 . (2.54)
2.10. RESPONSE TO “SLOW” PERTURBATIONS 73
This is nothing else than the charge conservation law
e
∂n
∂t
+ div j = 0 .
Indeed, due to Einstein relation
σ = e
2
D
∂n
0
∂ζ
we have a usual expression for the current density’
j
x
= σE
x
−eD
∂n
∂x
.
We conclude that at
ωτ
in
¸1, q
2
τ
tr
τ
in
¸1
one can employ very simple diﬀusion description of the response.
In the end of this section let us obtain a simpliﬁed expression for dielectric function
at low frequencies. Let us assume that one applies an external ﬁeld with the electrical
induction
D
e
exp(iqx −iωt) + h.c.
Then all the quantities are ∝ exp(iqx −iωt), and one obtains
j = −iq(eDn + σφ) , (2.55)
the charge conservation law being
(−iω +q
2
D)n +e
−1
q
2
σφ = 0 . (2.56)
Here n, and φ are Fourier components of the concentration and the potential, respectively.
To relate the potential φ to the external ﬁeld one has to employ Poisson equation
iqD = 4πen, D = −i
0
qφ +D
e
.
We get
0
q
2
φ +iqD
e
= 4πen.
Now we can substitute n from Eq. (2.56) as
n = −
1
e
q
2
σ
q
2
D −iω
φ
to get
q
2
φ
0
−iω +q
2
D + 1/τ
m
−iω +q
2
D
= −iqD
e
.
Here
τ
m
≡
0
/4πσ
74 CHAPTER 2. CLASSICAL DC TRANSPORT ...
is the well known Maxwell relaxation time. Having in mind that E = −iqφ and E =
D
e
/(q, ω) we get
(q, ω) =
0
−iω +q
2
D + 1/τ
m
−iω +q
2
D
. (2.57)
As ω →0
(q, 0) =
0
q
2
+κ
2
q
2
where
κ
2
=
4πσ
0
D
=
4πe
2
0
∂n
0
∂ζ
is the square of inverse static screening length.
2.11 “Hot” electrons
Now let us come back to the static case and discuss the diﬀerence between the function F()
and the equilibrium function f
0
(). For this case let us calculate the second approximation
in the electric ﬁeld. Using (2.51) for the spatially uniform case we get
eE
∂f
−
∂p
+I¦f
+
−f
0
¦ = 0 .
Now we can average this equation over the constant energy surface,
¸eE
∂f
−
∂p
)
+¸I¦f
+
−f
0
¦)
e
= 0 .
Substituting f
−
from (2.51) and neglecting the diﬀerence between f
+
and its average over
the constant energy surface we get
−e
2
E
i
E
k
1
g()
∂
∂
g() D
ik
()
∂F()
∂
+¸I¦F()¦)
e
= 0 . (2.58)
The ﬁrst item in l.h.s. has a meaning of the power transferred from the ﬁeld to the electrons
with a given energy . The second term is the relaxation rate for the isotropic part of the
nonequilibrium distribution function.
Let us calculate the relaxation rate of the power transferred from the ﬁeld to the
electrons with a given energy. We have
¸I¦F()¦)
e
=
1
g()
_
(dp) (dp
t
) δ( −
p
) [W
pp
F(
p
) −W
p
p
F(
p
)] .
Let us replace p →p
t
and take a symmetric combination of the expressions. We get
¸I¦F()¦)
=
1
2g()
_
(dp) (dp
t
) [δ( −
p
) −δ( −
p
)]
2.11. “HOT” ELECTRONS 75
[W
pp
F(
p
) −W
p
p
F(
p
)]
≈
1
2g()
∂
∂
_
(dp) (dp
t
) (
p
−
p
) δ( −
p
)
[W
pp
F(
p
) −W
p
p
F(
p
)] .
Then let us take into account that
W
p
p
= W
pp
exp
_
p
−
p
kT
_
and expand it up to the ﬁrst order in the energy diﬀerence,
W
p
p
= W
pp
_
1 +
p
−
p
kT
_
.
Expanding also the distribution function we get ﬁnally
¸I¦F()¦)
= −
1
g()
∂
∂
g()
kT
τ
_
1 +kT
∂
∂
_
F() . (2.59)
Here
1
τ
()
=
1
g()
_
(dp) (dp
t
) δ( −
p
)W
pp
_
p
−
p
kT
_
2
(2.60)
has a meaning of the energy relaxation rate.
Energy relaxation rate for electronphonon scattering
To give an example let us discuss the energy relaxation rate for electronphonon collisions.
Substituting the transition probability for the case of deformationalpotential scattering
one can rewrite the collision operator through a dimensionless variable x = /kT,
¸I¦F()¦)
= −
√
π
2τ
1
√
x
d
dx
x
2
_
1 +
d
dx
_
F(x) , (2.61)
where
τ
=
π
3/2
¯ h
4
ρ
4
√
2Λm
5/2
√
kT
.
The typical ratio
τ
τ
tr
=
_
kT
s
√
mkT
_
2
=
kT
ms
2
¸1 .
Thus, scattering by acoustic phonons is a quasielastic process.
76 CHAPTER 2. CLASSICAL DC TRANSPORT ...
Nonequilibrium distribution function
Now we can substitute the expression for collision operator into Eq. (2.58). Assuming
τ
tr
() = τ
tr
(kT) x
s
we get
1
√
x
d
dx
_
hx
s+3/2
dF
dx
+x
2
_
1 +
d
dx
F
__
= 0 . (2.62)
Here
h ≡
2
√
π
e
2
E
i
E
k
D
ik
(kT)τ
(kT)
2
is the socalled heating parameter. It has a transparent physical meaning. Having in mind
Einstein relation for nondegenerate electron gas,
σ = e
2
n
0
D/kT ,
we can express h as
h ∼
σE
2
τ
n
0
kT
,
that is as the ratio of the energy absorbed during the relaxation time to the average energy.
We have
_
hx
s+1/2
+x
2
_
dF
dx
+x
2
F = constant = 0 . (2.63)
Indeed, at large x the function F must vanish as well as its derivative. The general solution
of Eq. (2.63) is
F(x) = exp
_
−
_
x
A
dξ
ξ
2
ξ
2
+hξ
3/2+s
_
,
the constant A being determined from the normalization condition
n = kTg(kT)
_
dx
√
xF(x) .
In many cases electronelectron scattering is very much important. To take it into
account one has to add the proper collision operator. Electronelectron collisions do not
remove the energy form the electronic system. However, they redistribute electrons between
diﬀerent energy levels leading to establishment of the Maxwell distribution with some
eﬀective temperature, T
e
. We arrive at the qualitative picture of heating shown in Fig. 2.10
If
τ
ee
¸τ
one can think that the distribution function is ∝ exp(−/kT
e
) and substitute
F(x) ∝ exp
_
−
T
T
e
x
_
2.12. IMPACT IONIZATION 77
Figure 2.10: Schematic representation of the carrier energy balance.
into Eq. (2.63). We get
_
x
2
−(hx
s+3/2
+x
2
)
T
T
e
_
exp
_
−
T
T
e
x
_
= 0 . (2.64)
To determine T
e
one can use the energy balance, i.e. multiply Eq. (2.64) by the dimen
sionless “energy” x, integrate over x, and then solve the equation for the ratio T/T
e
.
Introducing new variable as, x = (T
e
/T)y and making integration over y we obtain the
equation for θ ≡ T
e
/T
θ −hθ
s−1/2
Γ(s + 7/2)
Γ(4)
−1 = 0 . (2.65)
For example, at s = 1/2
T
e
/T = 1 +h.
Electron heating is important in many devices. It leads to important limitations in electron
mobility, as well a to a speciﬁc time response (e. g. to the socalled “overshoot”).
2.12 Impact ionization
We have assumed earlier that the charge carrier remains in the same band. At large
ﬁelds (E ≥ 10
5
V/cm) this assumption breaks down. A typical process of bandtoband
impact ionization is shown in Fig. 2.11. The most common is impact ionization of shallow
impurities where the critical ﬁeld is very low. Indeed, the ionization energy of shallow
impurities in Ge is about 10
−2
eV, and the breakdown occurs at the ﬁelds of few V/cm.
In Fig. 2.12 I − V curves of nGe are shown in the temperature range 4.254.2 K. One
78 CHAPTER 2. CLASSICAL DC TRANSPORT ...
Figure 2.11: The impact ionization process where a high energy electron scatters from a
valence band electron producing 2 conduction band electrons and a a hole.
clearly observed a threshold in the current which is masked at large temperatures as the
impurities become ionized. The onset of the breakdown is shown more clearly in Fig. 2.13
where the reciprocal Hall coeﬃcient and Hall mobility are shown. The decrease of Hall
mobility is due to crossover to lattice scattering from the impurity one as the electron
energy increases.
The breakdown is governed by the equation
dn
dt
= A
T
(N
D
−N
A
) +A
I
n[N
D
− (N
A
+n)]
− B
T
n(N
A
+n) −B
I
n
2
(N
A
+n) . (2.66)
Here A
T
and A
I
are the coeﬃcients for thermal and impact ionization processes, B
T
(T, E)
is the coeﬃcient of thermal recombination of a single electron with an ionized donor,
while B
I
(T, E) is the coeﬃcient for the Auger process in which two electrons collide at an
ionized donor, one being captured with the other taking the excess energy. This term is
not important at small n. To understand the formula above note that N
D
− N
A
is the
concentration of uncompensated donors, N
A
+ n is the concentration of ionized donors
and N
D
−(N
A
+ n) is the concentration of neutral donors. The concentrations of neutral
acceptors and holes are assumed to be negligible.
At small n ¸N
A
we obtain for the steady state concentration
n
0
=
A
T
(N
D
−N
A
)
B
T
N
A
−A
I
(N
D
−N
A
)
.
At a proper electric ﬁeld, E
b
, the denominator vanishes, this is just the breakdown point.
It can be found from the expression
B
T
(T, E
b
)N
A
= A
I
(E
b
)(N
D
−N
A
) ,
2.13. FEW WORDS ABOUT PHONON KINETICS. 79
Figure 2.12: Currentvoltage curves of nGe at low temperatures.
it depends only on the degree of compensation N
A
/N
D
. If one deﬁnes a time constant,
τ =
n
0
A
T
(N
D
−N
A
)
,
then Eq. (2.66) can be rewritten as
−
dn
dt
=
n −n
0
τ
,
so the recovery from breakdown must be exponential, it has been studied experimentally.
Impact breakdown is often accompanied my instabilities of I −V curves.
2.13 Few Words About Phonon Kinetics.
In most of our consideration we have assumed the phonon distribution to be equilibrium.
Actually, phonon system form a thermal bath for electrons. Such a assumption is based
on the belief that phonons have eﬃcient enough scattering which brings them to the equi
librium. Consequently, the temperature T is just the temperature of the phonon system.
At the same time, phonon distribution can be nonequilibrium. In particular, it is
the case when a temperature gradient exists. To analyze the phonon kinetics one can
80 CHAPTER 2. CLASSICAL DC TRANSPORT ...
Figure 2.13: Impact ionization at low temperatures in nGe doped by Sb (N
D
− N
A
=
2.2 10
14
cm
−3
). The current density, reciprocal Hall coeﬃcient and Hall mobility are
shown, as well as extrapolated Ohm’s law.
investigate the Boltzmann equation for phonons
∂N
∂t
+s
g
∂N
∂r
= I
ph
(N, f), s
g
≡
∂ω
∂q
where the collision integral is determined by the scattering processes. The most important
of them are
• Phononphonon processes. These processes are rather complicated in comparison
with the electronelectron ones because the number of phonons does not conserve.
Consequently, along with the scattering processes (2 →2) there are processes (2 →1)
and (1 → 2). Scattering processes could be normal (N) or Umklapp ones. Their
frequency and temperature dependencies are diﬀerent (τ
−1
N
∝ Tω, τ
−1
U
∝ exp(Θ/T)).
• Scattering by static defects. Usually it is the Rayleigh scattering (scattering by im
perfections with the size less than the wave length, τ
−1
∝ ω
4
).
• Scattering phonons by electrons.
All these processes make the phonon physics rather complicated. We are not going to
discuss it in detail. Rather we restrict ourselves with few comments.
Probably most important phenomenon is phonon contribution to thermal conductiv
ity. Indeed, phonon ﬂux transfers the energy and this contribution in many cases is the
2.14. PROBLEMS 81
most important. If one introduced the phonon transport relaxation time, τ
ph
, the phonon
contribution can be derived in the same way as for electrons. The result is
κ
ph
=
_
dω ¯ hω g
ph
(ω) D
ph
(ω)
∂N
ω
∂T
where
D
ph
(ω) =
1
3
¸s
g
I
−1
s
g
)
ω
is the phonon diﬀusion coeﬃcient. As we have discussed, Nprocesses cannot lead to ﬁnite
thermal conductivity and one take into account defect scattering, or Umklappprocesses.
Usually, the phonon thermal conductivity increases with the decrease of the temperature.
Nevertheless, at low temperatures the phonon mean free path becomes of the order of
the sample size, and boundary scattering appears very important. It is the case in many
devices of modern electronics.
In very clean materials, the impurity scattering appears ineﬀective both for phonons and
electrons. In this case at low temperatures (when Umklapp processes are not important)
electron and phonon systems strongly interact (electronphonon drag). As a result, the
kinetics becomes rather complicated and very interesting.
2.14 Problems
1.0 An electron with a energy spectrum
ε(p) =
p
2
x
2m
x
+
p
2
y
2m
y
+
p
2
z
2m
z
is placed into a magnetic ﬁeld parallel to zaxis. Find the cyclotron eﬀective mass
and compare it with the densityofstates eﬀective mass deﬁned as
g(ε) =
√
2m
3/2
d
ε
1/2
π
2
¯ h
3
.
1.1. Derive the Drude formula (2.16).
σ =
ne
2
τ
tr
m
.
from the expression
σ = e
2
D(
F
)g(
F
) .
1.2 Assume that that the electrons obey Boltzmann statistics,
f
0
(ε) = exp
_
ζ −ε
T
_
,
82 CHAPTER 2. CLASSICAL DC TRANSPORT ...
and that
τ
tr
(ε, T) ∝ ε
r
.
Expressing the transport relaxation time as
τ
tr
(ε, T) = τ
0
(T)(ε/kT)
r
ﬁnd the expressions for Drude conductance at ωτ
0
¸1 and ωτ
0
¸1.
1.3 Compare thermopower α = η/σ for degenerate and nondegenerate electron gas. As
sume
τ
tr
(ε, T) = τ
0
(T)(ε/kT)
r
.
1.4. Using the WiedemannFranz law Compare the coeﬃcients κ and β for a typical metal.
1.5. Derive the expression (2.22) for the screened Coulomb potential.
ϕ =
Ze
r
e
−r/rs
,
1.6. Derive the expression (2.23).
W(θ) = 4πn
i
v
_
e
2
/
2ε(1 −cos θ) + ¯ h
2
/2mr
2
s
_
2
1.7 Derive the expression for the solution of the Boltzmann equation
G = eτ
tr
∂f
0
∂ε
E + (µ/c)
2
(HE)H+ (µ/c)[EH]
1 + µ
2
H
2
/c
2
.
Use this expression to calculate the conductivity tensor.
1.8. Using the expression (2.57) ﬁnd imaginary part of 1/(q, ω) which is responsible for
damping of the wave of electrical polarization.
Chapter 3
Electrodynamics of Metals
In this Chapter we discuss ac properties of metals.
3.1 Skin Eﬀect.
Normal Skin Eﬀect.
Assume that the sample is placed in an external ac electromagnetic ﬁeld. The Maxwell
equations read
curl E = −
1
c
∂H
∂t
, curl H =
4π
c
j.
As a starting point we assume that j = σE and consider the arrangement shown in Fig.
3.1: E  y, H  z, the propagation direction is x. Let all the ﬁelds be proportional to
Figure 3.1: Arrangement for the calculation of the skineﬀect.
exp [i(qx −ωt)] . We get the following equations
iqE
y
= i
ω
c
H
z
, −iqH
z
=
4π
c
σE
y
.
83
84 CHAPTER 3. ELECTRODYNAMICS OF METALS
Combining these equations we get
q
2
= 4πiωσ/c
2
→q =
_
4πiωσ/c
2
= (1 + i)
_
2πωσ/c
2
= q
1
+iq
2
.
We see that the wave dumps in the metal, the penetration depth being
δ =
1
q
2
=
c
√
2πωσ
. (3.1)
Usually the surface impedance is introduced as a sheet resistance of a surface layer
Z = E
y
(0)/
_
∞
0
j
y
dx ≡ R −iX.
The active (R) and reactive (X) components can be measured by monitoring the amplitude
and phase of the reﬂected wave. The part R is responsible for the heating of the metal
(surface quenching). Using the Maxwell equations we can rewrite
Z =
E
y
(0)
−(c/4π)H
z
[
∞
0
=
4π
c
E
y
(0)
H
z
(0)
=
4π
c
2
ω
q
.
Substituting (3.1) we get
R = X =
¸
2πω
σc
2
.
Anomalous Skin Eﬀect.
Let us consider the expression (3.1) in more detail. At low temperatures σ increases and
in clean metals it can be large. So the skin depth decreases (at least at high frequencies).
On the other hand, the mean free path increases with the decrease of the temperature.
Finally, one can face the violation of the simple expression j = σE we have employed.
Indeed, this expression can be valid only if all the ﬁelds change slowly at the scale of .
Now we consider the case δ ¸ that leads to the anomalous skin eﬀect (London,
1940). The picture of the fragment of the electron orbit near the surface is shown in
Fig. 3.2. Only the electrons with small component v
x
contribute the interaction with
the ﬁeld (the other ones spend very small part of time within the region where the ﬁeld
is present). Introducing the spherical coordinate system with the polar axis along x we
estimate dθ ∼ δ/, and the solid angle element being
dΩ ∼ 2π sin θ dθ ≈ 2πδ/, (θ ≈ π/2).
The eﬀective density of electrons is
n
eﬀ
∼ n
e
dΩ/4π ∼ n
e
δ/.
3.1. SKIN EFFECT. 85
Figure 3.2: On the anomalous skineﬀect.
So, we come to the conclusion that the eﬀective conductivity should also contain the factor
∼ δ/, while the complex coeﬃcient cannot be determined by these simple considerations.
It can be shown by exact calculation that
σ
eﬀ
= σ
0
ib
q
where q is the wave vector while b ∼ 1. This estimate means that the quantity i/q plays
the role of the eﬀective mean free path. Now we can use the expression
q =
_
4πiωσ
eﬀ
/c
2
and get (Problem 2.1)
q =
_
4πωσ
0
b
c
2
_
1/3
e
iπ/3
. (3.2)
Consequently,
δ =
1
Imq
=
2
√
3
_
c
2
4πσω
0
b
_
1/3
. (3.3)
The surface impedance could be found as
Z =
4πω
c
2
q
=
_
2
b
_
1/3
_
πω
c
2
_
2/3
_
σ
0
_
1/3
(1 −
√
3).
We get: Z ∝ ω
2/3
, X = R
√
3. It is important that the conductivity σ
0
enters only in
the combination σ
0
/ which is determined only by the electron spectrum. The typical
dependence of the surface conductance R on
√
σ
0
is shown in Fig. 3.3. This dependence
is conﬁrmed by the experiment.
86 CHAPTER 3. ELECTRODYNAMICS OF METALS
Figure 3.3: Dependence of the surface conductance on the bulk conductivity.
Finally, let us estimate the border between the normal skin eﬀect and the anomalous
one. From the criterion δ ≈ we get
ω ∼ c
2
p
F
/(2πn
e
e
2
3
).
For n
e
∼ 10
22
cm
−3
, p
F
∼ 10
−19
gcm/s we get
ω ∼ 10
−2
−3
, s
−1
where is measured in cm. For ∼ 10
−3
m we get ω ∼ 10
7
s
−1
. We do not demonstrate
here quite complicated procedure of solution of the Boltzmann equation.
3.2 Cyclotron Resonance
Now we consider the case where an external magnetic ﬁeld is also applied. To understand
the physical picture let us look at Fig. 3.4. Assume that the ﬁeld is strong enough and
r
c
¸.
In this case electrons move along helicoidal lines, the projection to x, yplane being shown
in the picture. If the frequency ω of the external electromagnetic ﬁeld is high and the
temperature is low the condition
δ ¸r
c
is also met. The main physics is connected with the possibility for some electrons to
return into the skin layer while the most part of time they spend in a ﬁeldfree region.
We understand that if the frequency ω equals to ω
c
the returning electrons are each time
accelerated by the electromagnetic ﬁeld. This is the source of the cyclotron resonance in
metals (Azbel, Kaner, 1956). It is clear that the resonance condition depends on the orbit
shape and one can study the latter observing the resonance.
3.2. CYCLOTRON RESONANCE 87
Figure 3.4: On the cyclotron resonance in metals.
To estimate the eﬀect we write down the nonstationary Boltzmann equation
∂f
∂t
+
∂f
∂t
1
+v
∂f
∂r
−eE
z
∂f
∂p
z
−e(vE)
∂f
∂ε
= −
f −f
0
τ
.
It is important that the relaxation time approximation is exact in this case. 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. Consequently, in this equation
1
τ(p)
=
p
W
p,p
δ(ε
p
−ε
p
).
As usual, we put
f = f
0
+a
_
−
∂f
0
∂ε
_
and get
∂a
∂t
1
+ (−iω +τ
−1
)a +v
∂a
∂r
= −e(vE).
Now we remember the characteristic method to solve partial diﬀerential equations. Namely,
we can write
dt
1
=
dx
v
x
=
dy
v
y
=
da
−e(vE)−(−iω +τ
−1
)a
.
The ﬁrst two equations give the electron trajectory
r(t
2
) −r(t
1
) =
_
t
2
t
1
v(t
3
) dt
3
.
It corresponds to the instant position of the electron which feels the ﬁeld E(r(t
i
)) . As a
result, we get the equation
∂a
∂t
1
+ (−iω +τ
−1
)a = −ev(t
1
)E(r(t
1
))
88 CHAPTER 3. ELECTRODYNAMICS OF METALS
The solution is
a(r,t
1
) = −e
_
t
1
c
v(t
2
)E(r(t
2
)) exp
_
(−iω +τ
−1
)(t
2
−t
1
)
_
dt
2
where the integration constant can be taken from the boundary conditions. As we have
seen, if the orbit does not touch the surface one can put c = −∞.
1
It is important, that
we are interested in the function a at a given point r at the time t
1
. So we should pick up
the electrons with
r(t
2
) = r+
_
t
2
t
1
v(t
3
) dt
3
.
Now we come to the result for the current
j
i
= e
2
_
(ds
F
) v
i
k
_
t
1
−∞
v
k
(t
2
)E
k
(r(t
2
)) exp
_
(−iω + τ
−1
)(t
2
−t
1
)
_
dt
2
. (3.4)
This is the general formula and we need to specify all the dependencies. We will not do
all the calculations. Rather we will make the orderofmagnitude estimates.
Consider the orbit depicted in Fig. 3.4. If we introduce the maximal angle ϕ
m
for
Figure 3.5: Surface orbits.
eﬀective interaction region, we get
δ = r
c
(1 −cos ϕ
m
), or r
c
ϕ
2
m
∼ δ → ϕ
m
∼
¸
δ
r
c
.
The length of the orbit inside the skin layer is ≈ 2r
c
ϕ
m
, the duration time being 2r
c
ϕ
m
/v
y
.
This is very short period in comparison with the total time T =2π/ω
c
between successive
excursions to the interaction region. As a result,
_
t
1
−∞
in Eq. (3.4) splits into the sum of
1
The electrons which touch the surface are not important for the resonance, they produce a background
current.
3.2. CYCLOTRON RESONANCE 89
the contributions corresponding to each excursion. It is important, that the only diﬀerence
between the contributions is the factors exp(−kw) where w = T (τ
−1
− iω) while k =
1, 2, . . . Finally, the integral is proportional to
(2r
c
ϕ
m
/v
y
)(1 + e
−w
+e
−2w
+. . .) =
2r
c
ϕ
m
v
y
1
1 −e
−w
.
The remaining integral over the FS can be written as
_
dS
F
→
_
dΩ
K(θ, ϕ)
where K(θ, ϕ) is the socalled Gaussian curvature which is just the product K = (R
1
R
2
)
−1
, R
1(2)
is the principal radius of curvature at the point with the direction θ, ϕ of the normal (see
Fig. 3.6).
Figure 3.6: The deﬁnition of the Gaussian curvature.
Now we can estimate the integral. We see the important electrons move along the
sample’s surface. So the integral over dθ is of the order of
v
x max
/v or (v
y
/v)ϕ
m
.
Finally, after the integration over θ we get the contribution v
y
ϕ
m
/vK(ϕ), where K(ϕ) ≡
K(π/2, ϕ). Picking up everything, we get
j
i
∼
2e
2
(2π¯ h)
3
_
dϕ
v
2r
c
ϕ
m
v
y
v
y
ϕ
m
vK(ϕ)
v
i
V
k
E
k
1 −e
−w
.
Substituting the estimate for ϕ
m
we get
(σ
r
)
ik
(ω, H) ∼
2e
2
(2π¯ h)
3
_
dϕ
δ
1 −e
−w
n
i
n
k
K(ϕ)
.
90 CHAPTER 3. ELECTRODYNAMICS OF METALS
Here n ≡ v/v. In the absence of external magnetic ﬁeld w → ∞ and we return to the
result
σ
r
(ω, 0) ∼ σ
0
δ/
for the anomalous skineﬀect.
Now we should remember that there are electrons which reach the sample’s surface.
Most important are the ones shown in Fig. 3.5. To estimate the corresponding contribution
of these electrons we take into account that n
eﬀ
∼ n
e
ϕ
m
∼ n
e
_
δ/r
c
. One could write the
usual estimate for the conductivity using the eﬀective number of electrons. But this result
appears wrong because it does not take into account that there is ﬁnite fraction of diﬀusive
scattering. If this fraction is β one can write
σ
s
∼ σ
0
ϕ
m
1 +βµ
where µ is the number of the reﬂections from the surface along the path . This factor
takes into account the momentum transfer to the surface. We have
µ ∼
r
c
ϕ
m
∼
¸
2
δr
c
¸1.
The fraction β has also the estimate β ∼ ϕ
m
for the surface with atomic roughness. So,
for an estimate, we can put βµ ∼ /r
c
¸1, and
σ
s
∼ σ
0
ϕ
m
βµ
∼ σ
0
ϕ
m
ϕ
m
µ
∼ σ
0
√
δr
c
As a result, we see that if the factor (1 −e
−w
)
−1
is of the order 1 σ
s
¸ σ
r
. Then we can
proceed as follows. Introducing α ≡ σ
r
/σ
s
¸1 we write eﬀective conductivity as
σ
eﬀ
∼ σ
0
√
δr
c
(1 +α)
and substitute it to the selfconsistent equation for the penetration depth (3.2). The result
is
δ ∼
_
c
2
ωσ
0
_
2/5
1
r
1/5
c
1
(1 + α)
2/5
and
Z ∼
ωδ
c
2
∼
_
ω
c
2
_
3/5
_
σ
0
_
2/5
1
r
1/5
c
_
1 −
2
5
α
_
.
From this expression the ratio
Z
r
Z
∼
¸
δ
r
c
∼
_
c
2
ωσ
0
r
3
c
_
1/5
¸1.
3.2. CYCLOTRON RESONANCE 91
Now we can estimate the resonant part in more detail. To do this we should analyze
the integral
B
ik
=
_
2π
0
n
i
n
k
K(ϕ)
1
1 −e
−w(ϕ)
In the denominator we have
1 −e
−w
= 1 −exp
_
2πiω
ω
c
_
exp
_
−
2π
ω
c
τ
_
Because ω
c
τ ¸1 we have the resonances at ω/ω
c
= k.
The complication is that ω
c
depends on ϕ. To clarify the situation let us recall that
ω
c
= eH/mc where
m(p
z
) =
1
2π
_
∂S(p
z
, ε)
∂ε
_
F
.
We are interested in the points where v
x
= 0. These points are connected by the dash line
in Fig. 3.7.
Figure 3.7: On the cyclotron resonance.
The problem is that the eﬀective mass is not constant along this line because the energy
spectrum is not quadratic. So, only small fraction of the trajectories can be important, i.e.
the ones near the sections with extreme eﬀective mass. Suppose that we are near the kth
resonance
ω = kω
ext
, where ω
ext
= eH/m
ext
c.
It is the case for some magnetic ﬁeld H
k
. Usually the frequency is ﬁxed while people change
the magnetic ﬁeld and monitor the absorption. Thus, if ∆ ≡ (H −H
k
)/H
k
; we can write
down
ω
c
=
ω
k
_
1 + ∆ +b(ϕ −ϕ
0
)
2
_
92 CHAPTER 3. ELECTRODYNAMICS OF METALS
where the angle ϕ
0
speciﬁes the direction for the extreme eﬀective mass. In this case,
expanding e
−w
in powers of (ω
c
τ)
−1
, (ϕ −ϕ
0
)
2
, ∆ we get
1 −e
−w
≈ w + 2πik ≈ 2πk
_
(ωτ)
−1
+ ∆ + b(ϕ −ϕ
0
)
2
_
.
The integral being determined by the vicinity of ϕ
0
, and we get
B
ik
=
n
i
(ϕ
0
)n
k
(ϕ
0
)
K(ϕ
0
)
_
∞
−∞
dx
2πika [x
2
+ ∆/b −i/bω
c
τ]
≡ B
(0)
ik
(ϕ
0
)I.
In fact, according to Fig. 3.7 there are 2 points of the intersection between the extreme
cross section and the line v
x
= 0. The integrals I are the same while one should take the
sum of the factors B
(0)
ik
(ϕ
0
) in both points (3 and 4).
The integral I depends on the relation between the parameters ∆ and (ωτ)
−1
. At b > 0
I =
_
¸
_
¸
_
−i
_
2k
√
∆b
_
−1
, ∆ > 0
_
2k
√
∆b
_
−1
, ∆ < 0.
.
At b < 0
I =
_
¸
_
¸
_
_
2k
_
∆[b[
_
−1
, ∆ > 0
i
_
2k
_
∆[b[
_
−1
, ∆ < 0.
We see that the result depends on the character of extreme (maximum or minimum). The
resonant contribution is maximal at ∆ ∼ (ωτ)
−1
: I
max
∼ (1/k)
√
ωτ For k ∼ 1 it means
I
max
∼
√
ω
c
τ. Consequently, at the maximum the ratio Z
r
/Z acquires the extra large factor
√
ω
c
τ, and
_
Z
r
Z
_
max
∼
√
δ
r
c
.
This ratio could be in principle large but usually is rather small.
The procedure employed is valid at ω
c
τ ¸1. In the opposite limiting case the oscillatory
part of the impedance is exponentially small.
In real metals there are many interesting manifestations of the cyclotron resonance
corresponding to diﬀerent properties of FS. A typical experimental picture is shown in Fig.
3.8.
3.3 Time and Spatial Dispersion
General Considerations
In general, the current density j(r,t) is determined by the electric ﬁeld in the vicinity of
the point r and at previous times t
1
<
˙
t
j(r, t) =
_
d1
1
_
t
−∞
dt
1
σ(r −r
1
, t −t
1
) E(r
1
, t
1
) .
3.3. TIME AND SPATIAL DISPERSION 93
Figure 3.8: Typical experimental picture of the cyclotron resonance.
After Fourier transform we get
j(q, ω) = σ(q, ω)E(q, ω)
where σ(q, ω) should be analytical function of ω in the upper halfspace to keep the causal
ity. Making use of the Boltzmann equation in the relaxation time approximation we get
σ
ik
(q, ω) = e
2
_
(dp)
v
i
v
k
i(qv −ω) +τ
−1
_
−
∂f
0
∂ε
_
.
In the case q → 0, ω → 0 we return to the expression for the static conductivity. We see
that there are 3 parameters with the dimension of frequency: q¯ v, ω, and τ
−1
. At
q¯ v, ω ¸τ
−1
we return to the static case. In general case we can write
1
i(qv −ω) + τ
−1
=
−i(qv −ω) +τ
−1
(qv −ω)
2
+τ
−2
=
1
qv
−i(cos ϑ −ω/qv) + (qvτ)
−1
(cos ϑ −ω/qv)
2
+ (qvτ)
−2
where ϑ is the angle between q and v. The case of strong spatial dispersion corresponds to
q¯ v ¸ω, τ
−1
.
We see that σ
⊥
(i.e. for the direction perpendicular to q) strongly diﬀers from σ

. Indeed
σ
⊥
∼ e
2
_
dε g(ε)
_
−
∂f
0
∂ε
_
_
sin ϑdϑdϕ
4π
v
2
sin
2
ϑ cos
2
ϕ
qv
πδ
_
cos ϑ −
ω
qv
_
∼
3π
4
σ
0
q
.
94 CHAPTER 3. ELECTRODYNAMICS OF METALS
This result is connected to the estimates which have been made in concern with the anoma
lous skineﬀect. For σ

and ωτ ¸1 we get
σ

∼ e
2
_
dε g(ε)
_
−
∂f
0
∂ε
_
_
sin ϑdϑ
2
v
2
cos
2
ϑ
qv
(qvτ)
−1
(cos ϑ −ω/qv)
2
+ (qvτ)
−2
∼ 3
σ
0
(q)
2
.
The limiting case
ω ¸qv, τ
−1
is called the time dispersion one. We get next to isotropic conductivity
σ(ω) ∼ e
2
_
dε g(ε)
_
−
∂f
0
∂ε
_
_
sin ϑdϑdϕ
4π
v
2
sin
2
ϑ cos
2
ϕ
−iω
∼ −
σ
0
iωτ
.
If we apply the Drude formula, we get
σ(ω) = i
4π
ω
2
p
ω
, where ω
2
p
=
4πn
e
e
2
m
(3.5)
is the plasma frequency. This term is connected with the plasma oscillations is an electron
gas. Indeed, let us consider longitudinal oscillations. We get the Poisson equation
div D = div E = −4πe(δn
e
).
Then we can apply the continuity equation,
−e
∂n
e
∂t
+ div j = 0 →ieω(δn
e
) + σ(q,ω)i(qE
∗
) = 0.
Here E
∗
= −_(ϕ−ζ/e) = E + (1/e)(∂ζ/∂n
e
) _(δn
e
) = E + (eg
T
)
−1
iq(δn
e
). As a result,
we come to the equation for (δn
e
)
_
ieω −
σ
eg
T
q
2
_
(δn
e
) +σi(qE) = 0
Consequently,
δn
e
= −σ(q, ω)
(qE)
e[ω + iD(q, ω)q
2
]
, and
_
+i
4πσ(q, ω)
ω +iD(q, ω)q
2
_
E = 0.
Here we have denoted
D(q, ω) =
σ(q, ω)
e
2
g
T
As a result, we get the following dispersion law for the waves in a gas
eﬀ
= +i
4πσ(q, ω)
ω +iD(q, ω)q
2
= 0.
3.3. TIME AND SPATIAL DISPERSION 95
Substituting (3.5) we get
iD(q, ω)q
2
= −
4πe
2
g
T
ω
2
p
ω
q
2
= −
ω
2
p
ω
(qR)
2
and come to the dispersion equation
1 −
ω
2
p
ω
2
1
1 −(ω
2
p
/ω
2
)(qR)
2
= 0.
At qR ¸ 1 we get plasma oscillations. If we expand the relation (3.5) in powers of qv/ω
and put ω = ω
p
we obtain the dispersion law for plasma waves (plasmons). (see Problem
2.2).
In a quasi static limiting case ω ¸qv
F
we get
eﬀ
=
q
2
+R
−2
q
2
i.e. the static screening.
The Jellium Model
Now we introduce a very simple but instructive model of the electronion response to the
external ﬁeld. This model is very useful to treat the nature of electronelectron interaction
in superconductors, as well to make estimates.
As we have seen in the previous subsection, the eﬀective dielectric function with respect
to longitudinal perturbations has the form
eﬀ
(q, ω) = +i
4πσ(q, ω)
ω
.
This expression is valid for both ions and electrons and one should sum the contributions
to the conductivity. At the same time, one should remember, that the masses for electrons
and ions are diﬀerent, and for important frequencies the inequality
ω
i
=
¸
4πZe
2
M
¸qv
F
, ω ¸ω
p
=
¸
4πe
2
m
is met. As a result, we obtain
eﬀ
(q, ω) =
_
1 −
ω
2
i
ω
2
+
R
−2
q
2
_
=
_
ω
2
(q
2
+R
−2
) −ω
2
i
q
2
ω
2
q
2
_
or
1
eﬀ
(q, ω)
=
1
q
2
q
2
+R
−2
_
1 +
ω
2
q
ω
2
−ω
2
q
_
, ω
2
q
= ω
2
i
q
2
R
−2
+q
2
.
For long waves, ω
q
∼ ω
i
/R ∼ v
F
_
m/M, i.e. of the order of the sound velocity. We see
that the eﬀective matrix elements of the electronelectron interaction 4πe
2
/q
2
eﬀ
(q, ω) has
two parts  Coulomb repulsion (1st term) and attraction for small frequencies.
96 CHAPTER 3. ELECTRODYNAMICS OF METALS
3.4 Electromagnetic Waves in High Magnetic Fields.
We came to the conclusion that in the absence of magnetic ﬁeld electromagnetic wave
decays in the metal. External magnetic ﬁeld changes drastically the situation because
nondissipative oﬀ diagonal part or conductivity exceeds the diagonal one.
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 2.3)
k
_
q
2
δ
ik
−q
i
q
k
_
E
k
=
4πiω
c
2
k
σ
ik
(q, ω)E
k
. (3.6)
Before starting our analysis let us specify the conductivity tensor. The Boltzmann equation
for the afunction has the form
_
i(qv −ω) +τ
−1
_
a +
∂a
∂t
1
= −e(vE).
We see that if
qv
F
, ω ¸ω
c
, mathrmoromega ¸ω
c
, qr
c
¸1
both time and spatial dispersion are unimportant, and one can use the static conductivity
tensor. The dispersion equation is
det
_
q
2
δ
ik
−q
i
q
k
−
4πiω
c
2
σ
ik
_
= 0. (3.7)
If the FS is closed and the numbers of electrons and holes are not equal we get
det
¸
¸
¸
¸
¸
¸
¸
q
2
−4πiωc
−2
σ
xy
−4πiωc
−2
σ
xz
4πiωc
−2
σ
xy
q
2
z
−q
y
q
z
−4πiωc
−2
σ
yz
4πiωc
−2
σ
xz
−q
y
q
z
+ 4πiωc
−2
σ
yz
q
2
y
−4πiωc
−2
σ
zz
¸
¸
¸
¸
¸
¸
¸
= 0.
Here we have assumed that the vector q is in the (y, z)plane, the angle (
¯
q, z) being θ
and have taken into account only the terms of 0th and 1st orders in (ω
c
τ)
−1
. Because
the greatest element in the last row is σ
zz
we come to the estimate for small enough
q ∼
_
4πωc
−2
σ
xy
q
2
∼ 4πωc
−2
σ
xy
∼ 4πωc
−2
σ
yz
¸4πωc
−2
σ
zz
.
As a result, the dispersion equation simpliﬁes as
q
2
q
2
z
+
_
4πiωc
−2
σ
xy
_
2
= 0.
Taking into account that q
z
= q cos θ we get
ω =
c
2
q
2
cos θ
4π[σ
xy
[
=
cHq
2
cos θ
4πe[n
e
−n
h
[
.
3.5. PROBLEMS 97
According to the last row of the matrix (3.6) we have E
z
¸ E
x
, E
y
. Then from the ﬁrst
row we get
q
2
E
x
−4πiωc
−2
σ
xy
E
y
= 0 →E
x
= i cos θ E
y
.
So the wave is polarized elliptically. This wave is called the helicon. There also wave of
other kinds in metals in magnetic ﬁeld.
There are diﬀerent experimental methods to study electromagnetic excitations in met
als. One of them is measurements of the surface impedance in thin plates. Changing
magnetic ﬁeld people change the wavelength of the waves and it is possible to observe
resonances when the sample’s thickness is the integer times the wavelength. Another ap
proach is to study the interference between the electromagnetic wave and the wave which
has passed through a thin plate.
3.5 Problems
2.1. Derive the equation (3.3).
δ =
1
Imq
=
2
√
3
_
c
2
4πσω
0
b
_
1/3
.
2.2. Derive the dispersion law for plasmons.
2.3. Derive the dispersion relation for electromagnetic waves in metals.
det
_
q
2
δ
ik
−q
i
q
k
−
4πiω
c
2
σ
ik
_
= 0.
98 CHAPTER 3. ELECTRODYNAMICS OF METALS
Chapter 4
Acoustical Properties of Metals and
Semiconductors.
4.1 Landau Attenuation.
There is the another useful approach to study highfrequency properties of good conductors
 to induce an acoustic wave and measure its attenuation (or its velocity). The main ad
vantage is that acoustic wave propagate inside the conductors without suﬃcient damping.
The interaction between the acoustic waves and the electrons can be written as
δε(p, r) = Λ
ik
(p)u
ik
(r) +eϕ(r)
where the potential ϕ should be determined from the Poisson equation. As far as for good
conductors ω ¸ σ and q ¸ R
−1
one can show that it is enough to request the neutrality
condition δn
e
= 0 that is the same as eϕ(r) = −¸Λ
ik
(p))
F
u
ik
(r). As a result, we get
δε(p, r) = [Λ
ik
(p)−¸Λ
ik
(p))
F
] u
ik
(r) ≡ λ
ik
(p)u
ik
(r).
We see that it is possible to produce the eﬀective force varying as exp(iqr−ωt) and in such
a way investigate the Fourier components of electronic response. The Boltzmann equation
for the electrons in the ﬁeld of a sound wave has the form
_
i(qv −ω) +τ
−1
_
a =
ik
λ
ik
(p)(v_)u
ik
(r).
If we express
ik
λ
ik
(p)u
ik
= i
1
2
ik
λ
ik
(p)(q
i
u
k
+ q
k
u
i
) = i
ik
λ
ik
(p)q
i
u
k
= iqλu
(where u is the displacement, λ =
ik
λ
ik
(p)n
i
e
k
, e is the polarization vector of the wave,
while n = q/q) we obtain
_
i(qv −ω) +τ
−1
_
a = −(qv)qλu.
99
100 CHAPTER 4. ACOUSTICAL PROPERTIES...
One can immediately express the absorbed power through the distribution function. In
deed,
Q =
_
(dp) ˙ ε f =
_
(dp) ˙ ε(p)a(p)
_
−
∂f
0
∂ε
_
=
_
dε g(ε)
_
−
∂f
0
∂ε
_
¸ ˙ ε(p)a(p))
ε
.
This expression should also be averaged over the period 2π/ω of the sound wave. This
average is calculated in a complex form
A(t)B(t) =
ω
2π
_
2π/ω
0
(Ae
−iωt
+ A
∗
e
iωt
) (Be
−iωt
+B
∗
e
iωt
) =
= AB
∗
+A
∗
B = 2 Re (AB
∗
).
.
So, for Fermi electrons we obtain
¯
Q = 2g(
F
) Re ¸(−iωδε)
∗
a)
F
. = 2ωq
2
g(
F
)λ
2
[u[
2
Re
_
(qv)
i(qv −ω) +τ
−1
_
F
=
= 2ωq
2
g(
F
)λ
2
[u[
2
_
(qv)τ
−1
(qv −ω)
2
+τ
−2
_
F
.
The most interesting case is the one of the socalled shotwave sound
q ¸1
which can be met in pure conductors at low temperatures. In this case w see that only the
electrons with
qv ≈ ω →v
q
≈ s (4.1)
are important. This condition has a straightforward physical meaning: because v
F
¸ s
most of electrons feel rapidly oscillating ﬁeld produced by the acoustic wave, the average
interaction being small. The electrons with qv ≈ ω move in resonance with the wave and
they feel a slow varying ﬁeld. The damping due to the resonant electrons is called the
Landau damping, it has been analyzed at ﬁrst for plasma waves. In the Landau damping
region
_
(qv)τ
−1
(qv −ω)
2
+τ
−2
_
F
≈ π
ω
qv
F
= π
s
v
F
.
As a result
Q ≈ 2ωq
2
g(
F
)λ
2
[u[
2
π
s
v
F
.
Usually, the attenuation coeﬃcient is measured which is determined as
Γ =
Q
c
ac
s
where c
ac
is the energy density in the wave
c
ac
= 2 ρω
2
u(r, t)
2
/2 = 2ρω
2
[u
2
[.
4.2. GEOMETRIC OSCILLATIONS. 101
We get
Γ =
2ωq
2
g(
F
)λ
2
[u[
2
π(s/v
F
)
2ρω
2
[u
2
[s
= π
g(
F
)λ
2
ρs
2
q
s
v
F
.
For rough estimates we can put λ ∼
F
, ρs
2
∼ Mn
a
s
2
∼ n
e
F
. So
π
g(
F
)λ
2
ρs
2
∼ 1
and Γ/q ∼ s/v
F
¸1. The coeﬃcient Γ characterizes spatial decay of the wave:
∂c
ac
∂x
= −Γc
ac
.
Thus, we have proved that acoustic waves have relatively small damping.
4.2 Geometric Oscillations.
The short wave regime is very useful to study the Fermi surface. Indeed, only the electrons
with v almost parallel to q are important. As a result, only small parts of the electron
orbit in a magnetic ﬁled contributes to attenuation.
To illustrate the situation we analyze the case
q ⊥ H, qr
c
¸1, ω
c
τ ¸1.
An electronic orbit is shown in Fig. 4.1. The dashed lined show the planes where wave’s
Figure 4.1: On the geometric oscillations.
phases are equal An electron spends diﬀerent time near these planes, the longest being near
the points 1 and 2. These points are the ones where the interaction is most important.
102 CHAPTER 4. ACOUSTICAL PROPERTIES...
Now let us assume that a function is extreme for a given phase diﬀerence
ϕ =
_
t
(2)
t
(1)
(qv) dt.
Then, if the number of wavelengths at the orbit’s diameter is changed by an integer n
the phase diﬀerence is changed by 2πn. Let us direct the xaxis along q. Then, from the
equation of motion
dp
y
dt
=
e
c
Hv
x
we obtain
ϕ =
cq
eH
_
p
(2)
y
−p
(1)
y
_
.
Consequently, if ϕ ¸1 the afunction oscillates with magnetic ﬁeld, the period being
∆
_
1
H
_
=
2πe
cq
1
p
(2)
y −p
(1)
y
.
In fact, the diﬀerence p
(2)
y
−p
(1)
y
depends on p
z
, and genuine oscillations correspond to the
extreme cross sections with respect to p
(2)
y
−p
(1)
y
. As a result, the oscillations are relatively
small (as in the case of the cyclotron resonance). The eﬀect is more pronounced for open
orbits.
The geometric oscillations provide a very powerful way to measure diameters of the FS.
4.3 Giant Quantum Oscillations.
Quantum transport is out of the scope of this part of the course. Nevertheless, we will
consider a very beautiful quantum eﬀect of giant oscillations of the sound absorption.
As we know, in a quantizing magnetic ﬁeld the energy spectrum consists of the Landau
bands
ε(N, p
z
) = ε
N
+p
2
z
/2m, ε
N
= ¯ hω
c
(N + 1/2).
The energymomentum conservation laws require
ε
N
+ (p
z
+ ¯ hq
z
)
2
/2m = ε
N
+p
2
z
/2m →¯ hω
c
(N
t
−N) + ¯ hp
z
q
z
/2m = ¯ hω.
For realistic sound frequency this condition can be met only for N
t
= N, and we get
p
z
= mω/q
z
= msq/q
z
= ms/ cos θ. (4.2)
Consequently, one can control the value of p
z
changing the propagation direction.
The Landau bands are shown in Fig. 4.2. The value of p
z
corresponding to the
condition (4.2) is denoted as p.
On the other hand, only the region near the FS (the layer of the thickness ∼ k
B
T)
contributes to the absorption, the corresponding regions for p
z
are depicted by the numbers
4.4. ACOUSTICAL PROPERTIES OF SEMICONDICTORS 103
Figure 4.2: Landau levels.
Figure 4.3: Giant oscillations of sound attenuation.
1, 2, 3. If the value p is outside these regions, the absorption is very small. If magnetic
ﬁeld is changed the regions 1, 2, 3 move along the p
z
axis. As a result, the attenuation
coeﬃcient Γ experiences giant oscillations. The typical experimental picture is shown in
Fig. 4.3.
The giant oscillations provide a useful tool for investigation of the FS.
4.4 Acoustical properties of semicondictors
In the previous section we discussed the case when q ¸ 1. However, in typical semicon
ductor materials and opposite inequality,
q ¸1 ,
104 CHAPTER 4. ACOUSTICAL PROPERTIES...
is usually met. This condition actually means that one can use a hydrodynamic approach
which we used to describe response to “slow” perturbations. Thus we can write
j = σ
0
E −eD∇(δn)
where δn is the variation in the electron density. In the stationary state j = 0 and
δn = −
σ
0
eD
ϕ.
Here φ is the electrical potential, so that
E = −∇ϕ.
In the case of piezoelectric interaction, the second relation between δn and ϕ can be
extracted from the Poisson equation
div D = 4πe(δn) . (4.3)
Here D is the electrical induction,
D = E +4πP
where P is the polarization created by the acoustic wave. The piezoelectric interaction
mechanism is clariﬁed in Fig. 4.4. To get a quantitative description let us write the free
energy deformed crystal (at ﬁxed electric ﬁeld E) as
˜
F(T, E) ≡ F(T, D) −
ED
4π
= F
0
+
1
2
c
iklm
u
ik
u
lm
−
1
8π
ik
E
i
E
k
+β
i,kl
E
i
u
kl
. (4.4)
Here summation over repeated subscripts is assumed, c
iklm
is the socalled elastic moduli
tensor while
u
ik
=
1
2
_
∂u
i
∂x
k
+
∂u
k
∂x
i
_
is the strain tensor. Tensor β
i,kl
describes the piezoelectric interaction.
According to general principles, the stress tensor is
σ
ik
=
∂
˜
F
∂u
ik
¸
¸
¸
¸
¸
E=const
= c
iklm
u
lm
+β
l,km
E
l
. (4.5)
The electric induction is
D
i
= −4π
∂
˜
F
∂E
i
¸
¸
¸
¸
¸
u
ik
=const
=
ik
E
k
−4πβ
i,kl
u
kl
. (4.6)
Now we can substitute Eq. (4.5) into the elasticity equation,
ρ
∂
2
u
i
∂t
2
=
∂σ
ik
∂x
k
4.4. ACOUSTICAL PROPERTIES OF SEMICONDICTORS 105
Figure 4.4: A plain ionic lattice without symmetry center. After deformation “center of
gravities” of positive and negative triangle do not coincide, and as a result a dipole moment
appears. Polarization P is just the dipole moment of unit volume.
to get
ρ
∂
2
u
i
∂t
2
= c
iklm
∂u
lm
∂x
k
+ β
l,ik
∂E
l
∂x
k
(4.7)
This equation should be solved together with the Poisson equation (4.3) and the continuity
equation,
e
∂δn
∂t
+ div j = 0 . (4.8)
Now let us assume for simplicity that the wave is propagating along a principal axis of the
crystal (axis x). For a traveling wave all the quantities should be proportional to
exp(iωt +iqx) .
Thus the continuity equation can be written as
(−iω + Dq
2
)(δn) +
σ
e
q
2
φ = 0 . (4.9)
As a result, one can rewrite the full set of equations as
(cq
2
−ρω
2
)u − βq
2
φ = 0 Elasticity
4πβq
2
u + q
2
φ − 4π e(δn) = 0 Poisson
σq
2
φ + (−iω + Dq
2
) e(δn) = 0 Continuity
(4.10)
106 CHAPTER 4. ACOUSTICAL PROPERTIES...
A nontrivial solution of this set exists only is the determinant of the corresponding matrix
vanishes. After some straightforward algebra the secular equation can be written as
q
2
−q
2
0
q
2
_
1 + (qR)
2
−iωτ
m
(qR)
2
−iωτ
m
_
= −χ, (4.11)
where q
0
= ω/w = ω
_
ρ/c,
R =
_
4πe
2
_
∂n
∂
F
__
−1/2
is the screening length,
τ
m
=
4πσ
is the Maxwell relaxation time, while
χ =
4πβ
2
c
is the socalled piezoelectric coupling constant.
Since usually χ ¸ 1 it is naturally to use an iteration procedure. If one puts chi = 0,
then Eq. (4.11) is decoupled into two equations. The 1st one yields
q
2
= q
2
0
→ q = ±q
0
,
so it describes usual acoustic waves propagating along (against) the xaxis.
The 2nd one yields
q =
i
R
√
1 −iωτ
m
,
it describes overdamped electron density waves.
In the general case it is natural to look for the solution as
q = q
0
+ q
1
, [q
1
[ ¸q
0
,
where ·q
1
characterizes the (amplitude) attenuation of the wave while the power attenu
ation is
Γ = 2·q = 2·q
1
.
One easily obtains
2q
1
q
0
= −χ
(qR)
2
−iωτ
m
1 + (qR)
2
−iωτ
m
(4.12)
to get
Γ = χq
0
ωτ
m
(1 + q
2
0
R
2
)
2
+ (ωτ
m
)
2
. (4.13)
Qualitative picture of such a dependence is straightforward  at low frequencies there is
a compensation of electrical and diﬀusion current, the attenuation being proportional to
4.4. ACOUSTICAL PROPERTIES OF SEMICONDICTORS 107
Joule heat, ω
2
. At large frequencies the charge has no time to redistribute in the ﬁeld os
acoustic wave.
One can see that the dependence Γ vs. ω has a maximum at
ω = ω
max
= s/R,
the maximal attenuation being
Γ
max
= χ
w
R
ω
max
τ
m
4 + (ω
max
τ
m
)
2
This maximum depends on the product ω
max
τ
m
reaching the absolute maximum
Γ
0
= χ
s
4R
at ω
max
τ
m
= 2. Frequency dependences of the absorption are shown in Fig. 4.5
Figure 4.5: Dependences of the reduced attenuation coeﬃcient, Γ/Γ
0
, on the reduced
frequency, ω/ω
max
for ω
max
τ
m
= 2 (curve 1), 4 (curve 2) and 0.5 (curve 3).
If the sample is a part of a close loop with the transport current density j one can
rewrite the variation of the transport current as
δj = e(δn)v
d
, v
d
≡
1
e
∂j
∂n
¸
¸
¸
¸
¸
E=const
.
108 CHAPTER 4. ACOUSTICAL PROPERTIES...
Substituting this expression to the equations above we obtain
Γ = χq
0
(ω −q
0
v
d
)τ
m
(1 +q
2
0
R
2
)
2
+ (ω −q
0
v
d
)
2
τ
2
m
. (4.14)
This dependence is shown in Fig. 4.6 One can see that at [v
d
[ ≥ s the attenuation
Figure 4.6: Dependences of the reduced attenuation coeﬃcient on the reduced drift velocity,
V = v
d
/w, for ω
max
τ
m
= 2. Horizontal line indicates the attenuation due to defects and
lattice vibrations.
coeﬃcient changes its sign. That mean ampliﬁcation of acoustic waves by the charge
carriers drift. If the gain is larger than the attenuation due to defects and lattice vibrations,
than the sample can generate acoustic waves (phonons). Such a system placed in an
acoustic resonator is an analog of acoustic laser.
4.5 Problems
3.1 Compare electrical and mechanical energies carried by the wave in a piezidielectric.
3.2 Find the relation between the amplitudes of electric ﬁles and deformation for the case
of acoustic wave in a piezoelectric semiconductor.
3.3 Find dc current induced by a acoustic wave in a nondegenerate piezoelectric semicon
ductor.
Hint: A dc current appears in the second approximation in the wave amplitude.
Thus
j
dc
= ¸σE −eD(∂ δn/∂x)
time
)
4.5. PROBLEMS 109
≈ ¸(δσ)E)
=
σ
n
¸(δn)E) .
110 CHAPTER 4. ACOUSTICAL PROPERTIES...
Chapter 5
Optical Properties of Semiconductors
5.1 Preliminary discussion
Basic equations
The Maxwell equations (ME) for electric ﬁeld, E, magnetic ﬁeld H, as well as for the
corresponding inductions D = E and B = µH read
∇E +
1
c
∂B
∂t
= 0
∇H−
1
c
∂D
∂t
=
4π
c
J
∇ D = 4πρ
∇ B = 0 . (5.1)
It is convenient to introduce scalar, φ and vector, A potentials as
E = −
1
c
∂A
∂t
−∇φ
B = ∇A. (5.2)
In this way we automatically meet the ﬁrst and the last ME. The potentials are not unique,
they can be replaced by new ones,
A
t
= A+∇χ
φ
t
= φ −
1
c
∂χ
∂t
, (5.3)
without changing of the physical ﬁeld, E and B. For many cases, the socalled Lorentz
gauge is convenient. In that case we put
∇ A
t
+
1
c
∂φ
t
∂t
= 0.
111
112 CHAPTER 5. OPTICAL PROPERTIES OF SEMICONDUCTORS
Then one can rewrite ME as
∇
2
A−
1
c
2
∂
2
A
∂t
2
= −
4π
c
J
∇
2
φ −
1
c
2
∂
2
φ
∂t
2
= −4πρ . (5.4)
At J = 0 one can put ∇ A
t
= 0, φ
t
= 0, and we get the solution
A(r, t) = A
0
¦exp[i(kr −ωt)] +c.c.¦ , (5.5)
the ﬁelds being
E = −2(ω/c)A
0
sin(kr −ωt)
B = −2k A
0
sin(kr −ωt) . (5.6)
The Poynting vector (power ﬂux) is
S =
c
4π
[E H] =
1
π
ck
2
√
µ
ˆ
k[A
2
0
[ sin
2
(kr −ωt) .
Its time average is
¸S) =
ˆ
k
c
√
µ
ω
2
2πc
2
µ
[A
2
0
[ .
Here c/
√
µ is the velocity of light, k = ω
√
µ/c is the wave vector of light.
The energy density is
W ≡
¸
¸
¸
¸
¸
S
√
µ
c
¸
¸
¸
¸
¸
=
ω
2
2πc
2
µ
[A
2
0
[ .
That can be expressed in terms of N
ω
photons in the volume 1 according to the relation
W =
¯ hωN
ω
1
.
Thus, the relation between the wave amplitude and photon density is
[A
0
[
2
=
2π¯ hµc
2
ω
N
ω
1
. (5.7)
5.2 PhotonMaterial Interaction
Now we can formulate a macroscopic theory of photonmaterial interaction. Substituting
into (5.1) J = σE and eliminating B we get the following equation for E
∇
2
E =
µ
c
2
∂
2
E
∂t
2
+
4πσµ
c
2
∂E
∂t
. (5.8)
5.2. PHOTONMATERIAL INTERACTION 113
Looking for the plane wave solution now we obtain complex k,
k =
ω
c
¸
µ +i
4πσ
ω
. (5.9)
Now it is time to introduce the complex refractive index
^ = n + iβ ,
so that
k = n
ω
c
+ iβ
ω
c
.
We have
^ =
¸
µ + i
4πσ
ω
. (5.10)
In this way, in the media z > 0, the solution has the form
E = E
0
exp
_
iω
_
nz
c
−t
__
exp
_
−
βωz
c
_
. (5.11)
The quantity α ≡ 2βω/c is called the (power) absorption coeﬃcient.
At the interface one has partial reﬂection. Consider an interface between the vacuum
and the material at z > 0. Then the solution in the vacuum is
E
1
exp
_
iω
_
nz
c
−t
__
+E
2
exp
_
−iω
_
nz
c
+t
__
,
while in the material it is given by (5.11). Matching the boundary conditions at z = 0 for
electric ﬁeld
E
0
= E
1
+E
2
.
From the continuity of the tangential component of magnetic induction we get (using ME)
(n +iβ)E
0
= E
2
−E
1
.
Combining the boundary conditions, we obtain
R ≡
¸
¸
¸
¸
E
1
E
2
¸
¸
¸
¸
2
=
(n −1)
2
+β
2
(n + 1)
2
+β
2
. (5.12)
Measuring α and R we ﬁnd optical constants n and β.
114 CHAPTER 5. OPTICAL PROPERTIES OF SEMICONDUCTORS
DrudeZener theory
Having in mind Eq. (5.10) and putting = µ = 1 we can introduce complex dielectric
function
(ω) = 1 +i
4π
ω
σ(ω) . (5.13)
Using linearized Boltzmann equation and relaxation time approximation one obtains
σ(ω) ≡ σ
1
+iσ
2
=
σ
0
1 + iωτ
, σ
0
=
ne
2
τ
m
.
In this way the optical functions are
n
2
−β
2
= 1 −
ω
2
p
τ
2
1 + ω
2
τ
2
nβ =
ω
2
p
τ
ω(1 +ω
2
τ
)
. (5.14)
Here
ω
p
=
¸
4πne
2
m
is the plasma frequency.
Let us discuss some limits of these equations
Low frequencies, ωτ ¸1.
(n +β)(n −β) = 1 −ω
2
p
τ
2
2nβ = ω
2
p
τ/ω .
As both n and β increase as ω →0
n ≈ β ≈ (2πσ
0
/ω)
1/2
.
From this expression one ﬁnds the skin depth
δ = c/ωβ = (c
2
/2πσ
0
ω)
1/2
=
¸
ω
2
p
τ
ω
.
Large frequencies, ωτ ¸1
1 ≈ 1 −(ω
p
/ω)
2
, · ≈ 1/ωτ .
At ω close to ω
p
(plasma edge) both n and β become very small, and the reﬂection coeﬃcient
is close to unity. For the frequencies above the plasma edge the material is essentially
transparent. Frequency dependence of the reﬂectivity is shown in Fig. 5.1
To construct a quantum theory, one needs to allow for the conservation laws which
include both energy and momentum transfer. Thus we employ secondorder perturbation
theory. The corresponding processes are shown in Fig. 5.2 One can ﬁnd a discussion in the
book [3], Sec. 11.10.
5.2. PHOTONMATERIAL INTERACTION 115
Figure 5.1: Dependence of the reﬂection coeﬃcient on the reduced frequency, w = ω/ω
p
.
Numbers near the curves indicate values of ω
p
τ.
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. The simplest equation for
electron velocity, v, has the form
m
_
˙ v +
1
τ
v
_
= −eE
0
η
±
e
iωt
−
e
c
v H. (5.15)
Here the polarization vector is
η
±
=
1
√
2
(1, ±i, 0) .
Solving the vector set (5.15) and deﬁning
j
x
= σE = −env
x
we obtain
σ
±
= σ
0
1 −i(ω ±ω
c
)τ
(1 −iωτ)
2
+ω
2
c
τ
2
(5.16)
One can see that the absorption given by
1σ
±
= σ
0
1 + (ω
c
±ω)
2
τ
2
[(1 + (ω
2
c
−ω
2
)τ
2
]
2
+ 4ω
2
τ
2
=
σ
0
1 + (ω
c
∓ω)
2
τ
2
.
is maximal (at ω
c
τ ¸ 1) if ω close to ω
c
(cyclotron resonance). It is strongly dependent
on the polarization because σ ≈ σ
0
for leftpolarized wave and almost vanishes for the
116 CHAPTER 5. OPTICAL PROPERTIES OF SEMICONDUCTORS
Figure 5.2: Scheme of phononassisted transitions.
rightpolarized one. This is the way to study the carrier’s charge because cyclotron mass
is proportional to e.
Introducing the complex refractive index,
n
±
= 1
_
_
_
¸
−
4π
ω
σ
±
_
_
_
,
we can decouple a plain wave into a sum of left and right circularly polarized waves having
the phases
φ
±
= ω
_
n
±
z
c
−t
_
.
Then the complex amplitude of the ﬁeld is
E
x
= E
0
exp
_
i
φ
+
+φ
−
2
_
cos
_
φ
+
−φ
−
2
_
,
E
y
= −E
0
exp
_
i
φ
+
+φ
−
2
_
sin
_
φ
+
−φ
−
2
_
.
Consequently, the angle between the polarization plane the xaxis is determined from the
relation
tan θ =
1¦E
y
¦
1¦E
x
¦
= −tan
_
φ
+
−φ
−
2
_
.
5.2. PHOTONMATERIAL INTERACTION 117
If damping is small than one can neglect 1¦σ¦ and express the rotation angle through
σ
(i)
≡ ·¦σ¦ as
θ =
ωd
c
(n
+
−n
−
) =
2πd
c
2σ
(i)
−
σ
(i)
+
n
+
+n
−
.
As a result, we get at ω, ω
c
¸1/τ
θ =
πe
2
nHd
c
2
m
2
ω
2
(n
+
+n
−
)
This expression is independent of τ and can be used to determine the eﬀective mass.
Lattice reﬂectivity in polar semiconductors
Lattice reﬂectivity can be modeled by the oscillator equation
m¨ x +mγ ˙ x +mω
2
0
x = eE
1
exp(−iωt) .
The dipole moment of the unit volume is
4πP = (ω)E
1
= 4πnex =
ω
2
p
ω
2
0
−ω
2
−iωγ
E
1
.
Here is a residual contribution to dielectric constant while n is the density of oscillators.
Thus
(ω) =
∞
+
ω
2
p
ω
2
0
−ω
2
−iωγ
. (5.17)
Introducing static dielectric constant
0
≡ (0) we get
(ω) =
∞
+
ω
2
0
ω
2
0
−ω
2
−iωγ
(
0
−
∞
) . (5.18)
The dependence of the reﬂection coeﬃcient on the reduced frequency in shown in Fig. 5.3
The minimum in that dependence corresponds to
ω
ω
o
=
¸
0
−1
∞
−1
≈
¸
0
∞
.
From the LyddaneSachsTeller relation
ω
l
ω
o
=
¸
0
∞
we identify ω
0
as the frequency of the transverse optical phonons, while the minimum
corresponds to longitudinal phonons.
118 CHAPTER 5. OPTICAL PROPERTIES OF SEMICONDUCTORS
Figure 5.3: Dependence of the reﬂection coeﬃcient on the reduced frequency, w = ω/ω
0
.
Numbers near the curves indicate values of γ/ω
0
.
∞
= 12,
0
= 15.
KramersKronig relation
Let us introduce complex conductivity as
j(ω) = σ(ω)E(ω) .
In time representation, one can write
j(t) =
_
dt
t
σ(t −t
t
) E(t
t
) , (5.19)
and
σ(t) =
1
2π
_
∞
−∞
dt σ(ω)e
−iωt
must be real. Thus,
σ(−ω) = σ
∗
(ω) , or
1σ(−ω) = ·σ(ω), ·σ(−ω) = −1σ(ω) .
The important point is causality and one must deﬁne
σ(t) = 0 at t < 0 .
Thus the integration limits in (5.19) should be (t, ∞). Using also the property σ(ω) → 0
as ω →∞ one can prove that the function σ(ω) is regular in the ωupper semiplane.
Now let us consider a contour integral
_
σ(ξ) dξ
ξ −ω
5.3. MICROSCOPIC SINGLEELECTRON THEORY 119
Figure 5.4: Integration circuit.
along the contour shown below. The integral must vanish. Thus
P
_
σ(ξ) dξ
ξ −ω
−iπσ(ω) = 0 .
As a result,
1σ(ω) =
1
π
P
_
∞
−∞
1σ(ξ)
ξ −ω
dξ
·σ(ω) = −
1
π
P
_
∞
−∞
·σ(ξ)
ξ −ω
dξ . (5.20)
These relations can be generalized for a dielectric function (ω). An important consequence
 summation rules. For example, we know that at ω ¸ω
p
β →0, and
(ω) −1(∞) = −ω
2
p
/ω
2
.
Thus
ω
2
p
= lim
ω→∞
¦ω
2
[1 −(ω)]¦ .
Using KramersKronig relation one can show the if ·(ω) decays faster that ω
−3
than
ω
2
p
=
2
π
_
∞
0
ξ ·(ξ) dξ .
5.3 Microscopic singleelectron theory
The Hamiltonian has the form
H =
1
2m
_
ˆ p +
e
c
A(ˆr)
_
2
+eφ +U(r) . (5.21)
An important point that momentum and coordinate do not commute. Using the relation
[f(ˆr), ˆ p] = i¯ h
∂
∂ˆr
f(ˆr)
120 CHAPTER 5. OPTICAL PROPERTIES OF SEMICONDUCTORS
we can rewrite Eq. (5.21) as
H =
p
2
2m
+
e
mc
A p −
ie¯ h
2mc
∇ A+
e
2
2mc
2
A
2
+eφ +U(r) . (5.22)
Hereby we will use semiclassical radiation theory as most simple. Namely, we shall consider
the radiation as a classical ﬁeld and use the timedependent perturbation theory which
yields scattering rates.
Let us chose the gauge ∇A = φ = 0. Assume the radiation ﬁeld to be small, such as
the linear term
[(ie¯ h/mc)A ∇[/[(h
2
/2m)∇
2
[ ∼ eA/pc ¸1 .
Thus one can decouple the Hamiltonian as H = H
0
+H
t
where
H
0
= −
¯ h
2
2m
∇
2
+U(r)
H
t
=
ie¯ h
mc
A ∇. (5.23)
The Fermi golden rule leads to the expressions for the scattering rate
W(i) =
2π
¯ h
f
[¸f[H
t
[i)[
2
δ(E
f
−E
i
∓¯ hω) (5.24)
where  corresponds to photon absorption while + is for emission.
Here we have to specify in what we are interested in. If we are interested what happens
with the electrons we have of sum over the phonon distribution. It can be written as the
product N = N
ω
g
ph
(ω) where
g
ph
(ω) =
ω
2
2π
2
¯ h˜ c
3
is the photon density of states, ˜ c ≡ c/
√
µ. Thus we specify the amplitude as
[A
0
[
2
dω =
2π¯ hc
2
ω
N
ω
g
ph
(ω) dω
to get the following expression for the transition probability with absorption,
W
(a)
(ω) =
4π
2
e
2
N
ω
g
ph
(ω)
m
2
ω
¸
¸
¸
¸
_
d
3
r ψ
∗
p
exp(ikr)ˆ p
A
ψ
∗
p
¸
¸
¸
¸
2
. (5.25)
Here ˆ p
A
is the projection of the electron momentum to the direction of A. Deﬁne photon
intensity as
I(ω) = 1¯ h
2
ωN
ω
g
ph
(ω)
we can write the ﬁnal expression as
W
(a)
(ω) =
4π
2
e
2
I(ω)
m
2
1ω
2
¯ h
2
¸
¸
¸
¸
_
d
3
r ψ
∗
p
exp(ikr)ˆ p
A
ψ
∗
p
¸
¸
¸
¸
2
. (5.26)
5.4. SELECTION RULES 121
For the situation when one is interested in light absorption it is necessary to sum over the
electron states. The result can be expressed through electron density of states, g
el
,
W
(a)
(ω) =
4π
2
e
2
N
ω
g
el
(E
f
)
m
2
ω
¸
¸
¸
¸
_
d
3
r ψ
∗
p
exp(ikr)ˆ p
A
ψ
∗
p
¸
¸
¸
¸
2
. (5.27)
It is important that the transition is almost “vertical”, one can neglect the photon wave
vector, and
¯ hω =
p
2
2
_
1
m
e
+
1
m
h
_
.
The only result of quantum theory of radiation is that it changes N
ω
→ N
ω
+ 1 in the
expression for the emission rate (spontaneous emission).
5.4 Selection rules
The selection rules are dependent on the matrix element
M
if
=
¸
¸
¸
¸
_
d
3
r ψ
∗
f
e
ik
ph
r
ˆ p
A
ψ
∗
i
¸
¸
¸
¸
2
.
Usually one can put e
ikr
≈ 1 (dipole approximation). Indeed,
1
m
¸f[p[i) =
d
dt
¸f[r[i) = iω
if
¸f[r[i) , ¯ hω
if
= E
i
−E
f
.
When the states have Bloch form ψ
kl
= e
ikr
u
kl
(r) the explicit expression for dipole matrix
element is
M
if
= ¯ hk
_
ψ
∗
k
l
ψ
kl
d
3
r −i¯ h
_
u
∗
k
l
(∇u
kl
)e
i(k−k
)r
d
3
r . (5.28)
Interband transitions
Bulk materials
Consider bandtoband transition in direct gap materials. The ﬁrst item in r.h.s. of
Eq. (5.28) is 0 (Bloch states are orthogonal!). The last term requires k = k
t
because
centralcell functions are periodic. Thus we are left with vertical transitions with matrix
elements
¸u
ck
[p
A
[u
vk
)
where c, v denotes conduction (valence) band. For near bandedge transitions one can use
the function in the BZ center. We have the following speciﬁcation of the states
• Conduction band:
u
c0
= [s)
spherically symmetric.
122 CHAPTER 5. OPTICAL PROPERTIES OF SEMICONDUCTORS
• Valence band:
– Heavy holes:
[3/2, 3/2) = −
1
√
2
([p
x
) +i[p
y
)) ↑
[3/2, −3/2) =
1
√
2
([p
x
) −i[p
y
)) ↓
– Light holes:
[3/2, 1/2) = −
1
√
6
[([p
x
) +i[p
y
)) ↓ −2[p
z
) ↑]
[3/2, −1/2) =
1
√
6
[([p
x
) −i[p
y
)) ↑ +2[p
z
) ↓]
Remember that
[p
x
) =
¸
3
4π
sin θ cos φ,
[p
y
) =
¸
3
4π
sin θ sin φ,
[p
y
) =
¸
3
4π
cos θ .
Symmetry allows the transitions
¸p
x
[p
x
[s) = ¸p
y
[p
y
[s) = ¸p
z
[p
z
[s) .
Thus measuring the matrix elements in the units of ¸p
x
[p
x
[s) we obtain
¸HH[p
x
[s) = ¸HH[p
y
[s) = 1/
√
2
¸LH[p
x
[s) = ¸LH[p
y
[s) = 1/
√
6
¸LH[p
x
[s) = 2/
√
6 , ¸LH[p
z
[s) = 0 . (5.29)
These rules have important implications for polarization dependencies of the light absorp
tion.
Quantum wells
The discussion above can be generalized for quantum wells. Two facts are important
• The centralcell functions are only weakly eﬀected by conﬁning potential.
5.4. SELECTION RULES 123
• The absorption at low enough frequencies is important only in the well region because
barriers have wide gaps. The states are
ψ
n
c
=
1
√
AW
e
ikeρ
g
n
c
(z)u
n
cke
ψ
m
v
=
1
√
AW
e
ik
h
ρ
ν
g
νm
v
(z)u
νm
vk
h
. (5.30)
Thus we have
M
2D
if
=
1
AW
ν
¸g
νm
v
[g
n
c
)
_
d
2
ρ e
i(ke−k
h
)r
¸u
νm
vk
h
[p
A
[u
n
cke
) (5.31)
For symmetric conﬁning potentials,
ν
¸g
νm
v
[g
n
c
) ≈ δ
nm
.
The main diﬀerence is replacement of the 3D density of states
g
3D
el
() =
√
2m
3/2
( −E
g
)
1/2
π¯ h
3
by its 2D analog
g
2D
el
W
=
m
r
π¯ h
2
W
nm
¸g
m
v
[g
n
c
)Θ(E
n
m−¯ hω) , E
nm
= E
gap
+E
n
c
+E
m
v
.
Here m
r
is reduced eﬀective mass, m
−1
r
= m
−1
e
+m
−1
h
.
Before summarizing, let us introduce a relation between the scattering rate and absorp
tion coeﬃcient. We have,
W
(a)
= α˜ cN
ω
,
Consequently,
α =
W
(a)
˜ cN
ω
.
Summary
Now we can give a summary for interband transitions.
Bulk semiconductors
α(¯ hω) =
4πe
2
¯ h
m
2
cη(¯ hω)
[a p
if
[
2
g
3D
(¯ hω) ,
g
el
(¯ hω) =
√
2(m
r
)
3/2
(¯ hω −E
g
)
1/2
π
2
¯ h
3
(parabolic bands) . (5.32)
Here a p
if
denotes the dipole matrix element, a is the polarization vector, while η is the
refractive index of the material.
124 CHAPTER 5. OPTICAL PROPERTIES OF SEMICONDUCTORS
Figure 5.5: Absorption coeﬃcient in GaAs. Note that excitonic eﬀect can change the
results inside the bandgap.
Quantum Well
α(¯ hω) =
4πe
2
¯ h
m
2
cη(¯ hω)
[a p
if
[
2
g
2D
W
nm
f
nm
Θ(E
nm
−¯ hω) ,
g
2D
= m
r
/π¯ h
2
, (5.33)
f
nm
represent the overlap between n and m subband overlap functions.
The recombination rate for a bulk material is
W
em
=
4πe
2
m
2
cηω
[a p
if
[
2
(N
ω
+ 1)g
ph
(¯ hω) . (5.34)
The total photon density of states if photons are emitted in 3D space is
g
ph
(¯ hω) =
2ω
2
2π
2
¯ h˜ c
2
where coeﬃcient 2 allows for 2 transverse modes for each q. This expression can be easily
modiﬁed for quantum wells. Some experimental results are shown in Figs. 5.5 and 5.6
Important feature is 1/W dependence in the case of quantum well. It is a consequence
of the assumption that the wave function is localized inside the well. In real life the upper
states are spread outside the well, see Fig. 5.7.
5.4. SELECTION RULES 125
Figure 5.6: The same for 100
˚
AGaAs/Al
0.3
Ga
0.7
As quantum well structure for inplane po
larized light. The HH transition is ≈ 3 times stronger than LH transition in this polariza
tion. The higher subbands become closer spaced and eventually one gets bulk absorption
coeﬃcient.
Few words about semiconductor lasers
A typical band proﬁle to get a lasing eﬀect is shown in Fig. 5.8 The main requirement is to
compensate losses by gain G(¯ hω), ΓG = α
loss
. Here Γ is the socalled optical conﬁnement
factor which is just the fraction of optical intensity in the active region. We have calculated
the rates assuming that initial state is occupied but ﬁnal is empty. What we need, is to
average the result in a proper way to extract relative number of such conﬁgurations. In
general, one has quasiFermi distributions for electrons and holes,
f
e(h)
=
_
1 + exp
_
±
E −µ
e(h)
kT
__
−1
,
the result being
G(¯ hω) =
4πe
2
m
2
cηω
_
d
3
p
(2π¯ h)
3
[a p
if
[
2
[f
e
(E
e
(p)) + f
h
(E
h
(p)) −1] δ [E
e
(p) −E
h
(p) −¯ hω] . (5.35)
Here we calculate the diﬀerence between (induced) emission and absorption rates. It can
be positive only if
f
e
(E
e
(p)) +f
h
(E
h
(p)) > 1
(population inversion). One gets a very similar form for a quantum well by replacement
the states [p) → [n, p

). In general, one has also to sum over the angular momentum
126 CHAPTER 5. OPTICAL PROPERTIES OF SEMICONDUCTORS
Figure 5.7: Schematic structure of wave functions.
states of the holes. In the most cases, the most important are the transitions with m = n.
The main directions to obtain lasing – increase of optical conﬁnement, of reduced density
of states (quantum wells!!)
An important feature is the threshold current that is the product of the electron charge
eR
rec
where R
rec
is the recombination rate due to spontaneous photon emission and non
radiative processes. It must be as small as possible, and people try to decrease them. An
important contribution which can be optimized is Auger processes, Fig. 5.9 They can be
direct or phononassisted (trapassisted, etc). Auger processes are very harmful for lasing.
Indirect interband transitions
When the energy and momentum conservation law cannot be met, then indirect transitions
come into play. Let us consider a situation when phonon energy is less than direct gap.
However, there are states at some other values of p where the energy conservation can
be met. In this case the necessary momentum can be supplied by a phonon in course of
phononassisted transition. One has to pay for that because this process involves 2nd order
perturbation theory.
Let us consider an example, Fig. 5.10 We have to employ the secondorder perturbation
theory,
W =
2π
¯ h
_
¸
¸
¸
¸
¸
n
¸f[H
int
[n)¸n[H
int
[i)
E
i
−E
n
¸
¸
¸
¸
¸
2
δ(E
f
−E
i
)
d
3
p
(2π¯ h)
3
, .
The interaction Hamiltonian is a sum of the contributions of electronphoton and electron
phonon interaction,
H
int
= H
ph
+H
ep
.
Both combinations shown in Fig. 5.10 can contribute. In any case, indirect transitions
lead to an additional small coeﬃcient corresponding to electronphonon coupling. One can
5.4. SELECTION RULES 127
Figure 5.8: Typical band proﬁles used for bulk (upper panel) and quantum well (lower
panel) lasers. The width of the active region dimensions in the quantum well ≤ 100
˚
A,
while in double heterostructure laser it is ≥ 0.1 µm.
Figure 5.9: A typical Auger process. A reverse one is called impact ionization.
128 CHAPTER 5. OPTICAL PROPERTIES OF SEMICONDUCTORS
Figure 5.10: A typical indirect transition.
trace that comparing the absorption proﬁles for GaAs and Si, Fig. 5.11.
5.5 Intraband Transitions
Bulk semiconductors
Intraband transitions must involve a phonon, or some other scattering mechanism. The
secondorder process is very much similar to the one discussed above. It is very important
for lasers because it is responsible for losses in cladding areas.
Quantum wells
A remarkable feature  possibility of intraband (but intersubband) transitions in the lowest
order. Consider 2 subbands with wave functions
ψ
i
= g
i
(z)e
ikρ
u
i
nk
(r) .
The functions g
i
(z) are orthogonal, while the central cell functions are essentially the same
for all the subbands. Thus
p
if
= −
i¯ h
W
_
g
2∗
(z)e
−ikρ
a∇g
1
(z)e
ikρ
d
2
ρ dz .
If k is in the ρplane, then the matrix element is 0. However, if the light is polarized in
zplane, then
p
if
= −
i¯ h
W
_
g
2∗
(z)ˆ z
∂
∂z
g
1
(z) d
2
ρ dz .
5.5. INTRABAND TRANSITIONS 129
Figure 5.11: Absorption coeﬃcient of Si and GaAs.
If the states have opposite parities, then the integral is ﬁnite, and
p
if
≈
¯ h
W
.
Finally, we get
W
abs
=
4π
2
e
2
N
ω
m
2
ω
1
W
f
[p
if
[
2
δ(E
f
−E
i
−¯ hω)f(E
i
)[1 −f(E
f
)] .
Assuming that only one subband is ﬁlled and introducing electron concentration as
N
c
=
f
δ(E
f
−E
i
−¯ hω)f(E
i
)
we could obtain the result. However, in 2D case the joint density of states is inﬁnite in the
resonance if both subbands have the same dispersion law. Usually, a Gaussian broadening
is assumed,
g(E) =
1
(1.44πσ)
1/2
exp
_
−
(E −E
12
)
2
1.44σ
_
.
Physics of the broadening is rather complicated (disorder, phononrelated processes). Any
way, we get
α(¯ hω) =
4π
2
e
2
m
2
cηω
[p
if
[
2
W
1
(1.44πσ)
1/2
exp
_
−
(E −E
12
)
2
1.44σ
_
, .
What is important that the absorption is strongly dependent on the polarization of the
incoming light. If electric ﬁeld is parallel to the 2D plane then there is a weak freeelectron
130 CHAPTER 5. OPTICAL PROPERTIES OF SEMICONDUCTORS
Figure 5.12: Energy proﬁle a quantum well (left panel) and schematic behavior of absorp
tion coeﬃcient (right panel).
absorption. The resonant absorption discussed above is possible only if the light is polarized
perpendicular to 2D gas. The selection rules (for symmetric quantum wells with isotropic
spectrum) imply that the transition can take place only between the states with opposite
parity, otherwise
p
if
∝
_
dz ψ
∗
M
(z)
dψ
N
(z)
dz
= 0 .
Note that this rule is opposite to the case of interband transitions.
In the wells with ﬁnite depth, there is a continuum spectrum above discrete states.
In such a situation, a properly polarized light can induce transitions from discrete to
continuum states, i. e. lead to photoionization.
Let us sketch the calculation for a rectangular well with the depth W (Fig. 5.12). For
a scattering state in the continuum spectrum, the wave function for the incoming energy
ε can be written as
ψ
ε
=
_
¸
_
¸
_
exp(ikz) + Rexp(−ikz) in the region I
Bexp(iKz) + C exp(−iKz) in the region II
T exp(ikz) in the region III
. (5.36)
Here
k
2
=
2mε
¯ h
2
, K
2
=
2m(W + ε)
¯ h
2
.
Then we have to match both the functions and their derivatives at two boundaries. For
example,
B =
2k(k +K)
(K +k)
2
+ (K −k)
2
exp(2iKa)
.
It is clear that at small k (k ¸K) the coeﬃcient B (as well as C and T) are small. Thus
the electrons are reﬂected from the well. However, at Ka = sπ/2, s = 1, 2, ... we have
B = c = 1/2 .
5.5. INTRABAND TRANSITIONS 131
That means full penetration  the well behaves as FabriPerot resonator for de Broglie
waves. As a result, these “resonant” states are very important. Only for these states
overlap of wave functions is signiﬁcant.
Now let us discuss the behavior of the absorption close to the threshold (¯ hω = W), i.
e. for small ε. One can show that for the socalled nonresonant wells with
√
2mW ,= s¯ h/a
the absorption is small and proportional to
√
¯ hω −W +ε
1
, while for the resonant ones it
is proportional to (¯ hω −W +ε
1
)
−1/2
.
Above we ignored frequency dependence of dielectric function which might be important
near resonant transitions. The account of these eﬀects is beyond the scope of this course.
Interband transitions in a magnetic ﬁeld
In a magnetic ﬁeld, Landau levels are formed in the conduction and valence bands, the
energies (for parabolic bands) being
n
=
_
n +
1
2
_
¯ hω
c
+
p
2
z
2m
; n = 0, 1, 2, . . . , (5.37)
where
ω
c
=
eB
mc
. (5.38)
Thus the band edge moves to give the energy gap as
E
g
(B) = E
g
(0) +
e¯ h
2m
r
B,
1
m
r
≡
_
1
m
e
+
1
m
h
_
. (5.39)
Thus, the fundamental edge must be shifted ∝ B. There is also spin splitting,
∆E
±
= gµ
B
B
z
, µ
B
= e¯ h/2m
0
c .
Now let us estimate the absorption coeﬃcient. As it is well known, the quantum
numbers of an electron in a magnetic ﬁeld are ¦n, p
y
, p
z
¦. One can easily show that because
one can neglect the photon wave vector the dipole matrix element can be expressed as
T
vc
=
e
mc
A
0
[ep
vc
[
2
δ
py,p
y
δ
pz,p
z
δ
nn
.
Thus the transition probability is
W
vc
=
2π
¯ h
e
2
[A
0
[
2
[ep
vc
[
2
m
2
c
2
n
_ _
dp
y
dp
z
π
2
¯ h
2
δ
_
¯ hω −E
g
−(n + 1/2)
eH
m
r
c
+
p
2
z
2m
r
c
_
.
132 CHAPTER 5. OPTICAL PROPERTIES OF SEMICONDUCTORS
The following calculation is straightforward. We use the following simpliﬁcations
_
dp
y
= L
x
eH/c ,
_
dp
z
δ
_
A −
p
2
z
2m
r
_
= L
z
_
m
r
/2A.
Finally,
α =
e
2
ω
c
m
2
ωnc
[ep
vc
[
2
_
2m
r
¯ h
2
_
3/2
N
1
_
¯ hω −E
g
−(¯ heH/m
r
c)(N + 1/2)
(5.40)
Thus, there are maxima at
¯ hω
max
−E
g
−(¯ heH/m
r
c)(N + 1/2) = 0 .
5.6 Problems
4.1 Calculate dipole matrix element for the transitions between the subbands in a rectan
gular quantum well of width W with inﬁnite potential barriers. Assume that light is
polarized perpendicular to the well.
4.2 Make a similar calculation for a parabolic conﬁnement
U(z) = (1/2)mω
2
z
2
.
Deﬁne ω from the request that the typical spread of the ground state wave function
is W and compare the result with the case of rectangular conﬁnement.
Chapter 6
Optical Properties: Excitons
In the previous discussion we employed the independent electron approximation. The
eﬀect of other electrons enters only through the occupation probabilities without altering
eigenvalues of the electronic problem. Now we turn to the role of electronelectron (electron
hole) interaction.
Consider a simple example.
Figure 6.1: The band structure of independent electrons (left) and Coulomb electronhole
interaction which would modify the band picture (right).
Excitonic states are known since 1931 (Frenkel). Further work – Peierls, Wannier,
Elliot, Knox. In bulk materials the binding energy is very low and such states can be
observed only in pure materials and used for their characterization. In poorer quality
samples these states merge with bandtoband transitions.
In heterostructures, due to spatial conﬁnement, the binding energy increases. The os
cillator strength is also increased. Thus one observes sharp excitonic transitions. There
energy positions can be tuned by electronics and optics. Implications  highspeed modu
lation of optical signals, optoelectronic switches, etc. In particular, one can tune exciton
transitions
133
134 CHAPTER 6. OPTICAL PROPERTIES: EXCITONS
• by application of a transverse electric ﬁeld (quantum conﬁned Stark eﬀect);
• “bleaching” of exciton transition by high electronhole density.
6.1 Excitonic states in semiconductors
There are two types of excitons – Frenkel (small radius) and WannierMott (large radius).
We will discuss the latters because they are relevant to semiconductors. For them we use
the eﬀective mass theory for the envelope function,
_
−
¯ h
2
2m
e
∇
2
e
−
¯ h
2
2m
h
∇
2
h
−
e
2
[r
e
−r
h
[
_
ψ
ex
= Eψ
ex
. (6.1)
Then we introduce new coordinates
r = r
e
−r
h
, R =
m
e
r
e
+m
h
r
h
m
e
+m
h
k =
m
e
k
e
+m
h
k
h
m
e
+m
h
, K = k
e
−k
h
(6.2)
to get
H =
¯ h
2
K
2
2(m
e
+m
h
)
+
_
h
2
k
2
2m
r
−
e
2
2[r[
_
. (6.3)
Here m
r
is the reduced mass. The 1st term gives solution
ψ
cm
= exp(iKR) .
The second leads to the hydrogen atom problem,
_
h
2
k
2
2m
r
−
e
2
2[r[
_
F(r) = EF(r) .
As a result
ψ
nK
= e
iKR
F
n
(r)φ
c
(r
e
)φ
v
(r
h
) (6.4)
where φ
c,v
are central cell functions. The eigenvalues are
E
nK
= E
n
+
¯ h
2
K
2
2(m
e
+m
h
)
, E
m
= −
m
r
e
4
2
2
¯ h
2
1
n
2
. (6.5)
Typically, E
1
= 2 −6 meV.
We need to develop a perturbation theory to ﬁnd an interaction between light and
excitons. In general,
H
e
= H
0
+
1
2
i,=j
e
2
[r
i
−r
j
[
.
6.1. EXCITONIC STATES IN SEMICONDUCTORS 135
Figure 6.2: Schematic picture of an exciton in Bloch representation.
Because of translational symmetry,
ψ
ex
(¦r
i
+a¦) = e
iKa
ψ
ex
(¦r
i
¦) ,
where a is the lattice vector. Thus the proper basis functions are
Φ
cαe;vα
h
(6.6)
where α
c(v)
≡ ¦k, S¦ describes momentum and spin state of the electron or hole, see
Fig. 6.2. The excitonic state then can be constructed as a linear combination of the
building blocks (6.6),
ψ
β
ex
=
k
A
β
(k)Φ
β
c,k−K/2,Se;v,k+K/2,S
h
(6.7)
where the set of quantum numbers β ≡ ¦n, l, m¦ characterizes the energy eigenvalue index
and angular momentum indices, respectively.
Now we employ the generalized eﬀective mass approximation assuming that the exciton
has large scale and the coeﬃcients A
β
(k) are localized in kspace. In this way we come
back to the real space,
F
β
(r) =
k
A
β
(k)e
ikr
which obeys the hydrogenlike equation
_
E
cv
(−i∇, K) −
e
2
[r[
_
F
β
(r) = E
ex
F
β
(r) . (6.8)
136 CHAPTER 6. OPTICAL PROPERTIES: EXCITONS
Here
E
cv
(−i∇, K) ≡ E
c
(k +K/2) −E
v
(k −K/2)[
k→−i∇
.
Note that is a quite complicated function which can strongly diﬀer from static dielectric
function at large carrier concentrations.
In the case of simple parabolic bands the solution is simple and coincides with given
above. Namely.
E
ex
n
= E
g
−R
ex
/n
2
, R
ex
= m
r
e
4
/2¯ h
2
2
.
The envelope ground state wave function is
F
100
=
1
_
πa
3
ex
e
−r/a
ex
, a
ex
= (m
0
/m
r
)a
B
. (6.9)
Here a
B
= 0.529
˚
Ais the Bohr radius. The typical value of a
ex
is about 100
˚
A, ¸ than
the lattice constant a.
6.2 Excitonic eﬀects in optical properties
The transition rate from the ground state ψ
0
to the excitonic state ψ
K
(according to the
Fermi golden rule) is
W =
2π
¯ h
_
eA
mc
_
2
δ
K
¸
¸
¸
¸
¸
k
A(k) ap
cv
(k)
¸
¸
¸
¸
¸
2
δ(E
ex
−E
0
−¯ hω) .
Assuming that p
cv
is k independent, we arrive at
W =
2π
¯ h
_
eA
mc
_
2
δ
K
[ap
if
[
2
¸
¸
¸
¸
¸
k
A(k)
¸
¸
¸
¸
¸
2
δ(E
ex
−E
0
−¯ hω) . (6.10)
From the deﬁnition,
k
A
β
(k) = F
β
(0) .
Finally, for the ground state we have
W =
2π
¯ h
_
eA
mc
_
2
δ
K
[ap
if
[
2
δ(E
ex
−E
0
−¯ hω)
πa
3
ex
n
3
. (6.11)
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
g
ex
= 2(∂n/∂E) = n
3
/R
ex
.
6.3. EXCITONIC STATES IN QUANTUM WELLS 137
Figure 6.3: Measured absorption in GaAs at the temperatures 294, 186, 90, and 21 K. At
room temperature the excitonic transitions merge with bandtoband absorption.
Then it is easy to rewrite the absorption coeﬃcient α inside the gap through α
F
– the
absorption coeﬃcient without excitonic eﬀects,
α [
¯hω≈Eg
= α
F
2πR
1/2
ex
(E
g
−¯ hω)
1/2
. (6.12)
Thus α reaches a constant at the band edge. Above the gap one can obtain
α = α
F
πxe
πx
sinh πx
, x =
_
R
ex
¯ hω −E
g
_
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. 6.3 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.
6.3 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
−
¯ h
2
2m
∇
2
Ψ−
e
2
_
x
2
+y
2
+ (z −z
0
)
2
Ψ = ε
i
Ψ. (6.13)
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.
The boundary conditions for inﬁnite potential are
Ψ(0) = Ψ(a) = 0 .
138 CHAPTER 6. OPTICAL PROPERTIES: EXCITONS
Let us consider a simpliﬁed situation when
a
B
¸a . (6.14)
Then one can neglect the item (z − z
0
)
2
in Eq. 6.13. In this case the variables z and
ρ =
√
x
2
+y
2
are decoupled, and
Ψ = φ(ρ)χ(z) .
The solution of the 2D problem (see e. g. [6]) lead to eigenvalues −ε
0
/(i − 1/2)
2
where
ε = me
4
/2
2
¯ h
2
is the 3D Rydberg energy. Thus
ε
N,i
= ε
s
N
2
−
ε
0
(i −1/2)
2
, ε
s
=
π¯ h
2
2ma
2
. (6.15)
According to inequality (6.14), ε
0
¸ ε
s
. 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 (6.14) the energy of ground state is 4 times larger than in the 3D
case. Beyond his limit the energy is between ε
0
and 4ε
0
, it depends on the position z
0
. As
a result, a sort of “impurity band” appears. Another assumption which was used is the
inﬁnite potential. It is valid until
a
B
¸δ =
¯ h
_
m(W −ε
1
)
.
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
_
−
e
2
2m
e
∇
2
e
−
e
2
2m
h
∇
2
h
_
Ψ−
e
2
_
(x
e
−x
h
)
2
+ (y
e
−y
h
)
2
+ (z
e
−z
h
)
2
Ψ = ε
ex
Ψ. (6.16)
Under the condition (6.14) we can also drop zdependent part of the denominator. Thus
we are left with 2D problem. It is natural to introduce new variables
R =
m
e
ρ
e
+m
h
ρ
h
m
e
+ m
h
, ρ = ρ
e
−ρ
h
.
Consequently,
Ψ(r
e
, r
h
) = ψ
N
(z
e
)ψ
M
(z
h
) exp(iKR)Φ(ρ) .
As a result, the equation for Φ diﬀers from similar equation foe an impurity state by the
replacement
m →m
r
=
m
e
m
h
m
e
+m
h
,
6.3. EXCITONIC STATES IN QUANTUM WELLS 139
and
ε
ex
= −
m
r
e
4
(i −1/2)
2
.
In many materials (Si, A
III
B
V
) 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
H = −
¯ h
2
2m
r
_
1
ρ
∂
∂ρ
ρ
∂
∂ρ
+
1
ρ
2
∂
2
∂φ
2
_
−
¯ h
2
2m
e
∂
2
∂z
2
e
−
¯ h
2
2m
h
∂
2
∂z
2
h
−
e
2
[r
e
−r
h
[
+V
ew
(z
e
) + V
hw
(z
h
)
where V
iw
(z
i
) 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
f
nm
=
2
(2π)
2
mE
ex
nm
¸
¸
¸
¸
_
d
2
k G
nm
(k) ap
nm
(k)
¸
¸
¸
¸
2
.
Here
p
nm
(k) =
µν
_
d
2
ρ U
ν
0
(ρ)ˆ pU
µ
0
(ρ)
_
dz g
µ
n
(z)g
ν
m
(k, z) (6.17)
while G
nm
are the coeﬃcients of expansion of the exciton wave function in terms of the
basis in kspace,
[ψ
ex
) =
nm
_
d
2
k [n, k)[n, −k) G
nm
(k).
Then, as usual,
α
nm
=
4π
2
e
2
¯ h
ηmcW
nm
f
nm
δ(E
ex
nm
−¯ hω).
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. 6.4). 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
140 CHAPTER 6. OPTICAL PROPERTIES: EXCITONS
Figure 6.4: On the FranzKeldysh eﬀect.
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 = H
0
+eFz ,
where F is the electric ﬁeld. The ﬁrst perturbative correction is
∆E
(1)
= ¸ψ
1
[eFz[ψ
1
) = 0
because the ground state is even. The second order correction for the ground state in a
square well is
∆E
(2)
=
1
24π
2
_
15
π
2
−1
_
me
2
F
2
W
4
¯ h
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 7
Ac transport and optics in doped
semiconductors
7.1 Impurity states
A typical energy level diagram is shown on Fig. 7.1 Shallow levels allow a universal de
Figure 7.1: band diagram of a semiconductor.
scription because the spread of wave function is large and the potential can be treated as
from the point charge,
U(r) = e
2
/r .
To ﬁnd impurity states one has to treat Schr¨odinger equation (SE) including periodic
potential + Coulomb potential of the defect.
Extremum at the center of BZ
Then for small k we have
E
n
(k) =
¯ h
2
k
2
2m
.
We look for solution of the SE
(H
0
+U)ψ = Eψ
141
142 CHAPTER 7. DOPED SEMICONDUCTORS
in the form
ψ =
n
k
B
n
(k
t
)φ
n
k
(r) ,
where φ
n
k
(r) are Bloch states. By a usual procedure (multiplication by φ
∗
nk
(r) and inte
gration over r) we get the equation
[E
n
(k) − E]B
n
(k) +
n
k
U
nk
n
k
B
n
(k) = 0
U
nk
n
k
=
1
1
_
u
∗
nk
u
n
k
e
i(k
−k)r
U(r) dr .
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
∗
n0
u
n
0
dr = δ
nn
because Bloch functions are orthonormal. Thus,
[E
n
(k) − E]B
n
(k) +
n
U(kk
t
)B
n
(k
t
) = 0
U(kk =
1
1
_
e
i(k−bk
)r
U(r) dr = −
4πe
2
1[k −k
t
[
2
.
Finally we get
_
¯ h
2
k
2
2m
−E
_
B
n
(k) −
4πe
2
1
k
1
[k −k
t
[
2
B
n
(k
t
)
where one can integrate over k in the inﬁnite region (because B
n
(k) decays rapidly.
Coming back to the real space and introducing
F(r) =
1
√
1
k
B
n
(k)e
ikr
we come to the SE for a hydrogen atom,
_
−
¯ h
2
2m
∇
2
−
e
2
r
_
F(r) = EF(r) .
Here
E
t
= −
1
t
2
e
4
m
2
2
¯ h
2
, t = 1, 2 . . .
F(r) = (πa
3
)
−1/2
exp(−r/a), a = ¯ h
2
/me
2
.
For the total wave function one can easily obtain
ψ = u
n0
(r)F(r) .
The results are summarized in the table.
7.1. IMPURITY STATES 143
Material m/m
0
E
1s
(th.) E
1s
(exp.)
(meV) (meV)
GaAs 12.5 0.066 5.67 Ge:6.1 Si: 5.8
Se: 5.9 S: 6.1
S: 5.9
InP 12.6 0.08 6.8 7.28
CdTe 10 0.1 13 13.*
Table 7.1: Characteristics of the impurity centers.
Several equivalent extrema
Let us consider silicon for example. The conduction band minimum is located at k
z
=
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,
E =
¯ h
2
2m
(k
z
−k
0
z
)
2
+
¯ h
2
2m
t
(k
2
x
+k
2
y
) .
Here m
= 0.916m
0
, m
t
= 0.19m
0
. According to the eﬀective mass theory, the energy levels
are Nfold 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 = m
t
/m
can
be obtained only numerically by a variational method (Kohn and Luttinger). The trial
function was chosen in the form
F = (πa

a
2
⊥
)
−1/2
exp
_
_
_
−
_
x
2
+y
2
a
2
⊥
+
z
2
a

_
1/2
_
_
_
,
and the parameters a
i
were chosen to minimize the energy at given γ. Excited states are
calculated in a similar way. The energies are listed in table 7.1.
Material E
1s
(meV) E
2p
0
(meV)
Si (theor.) 31.27 11.51
Si(P) 45.5 33.9 32.6 11.45
Si(As) 53.7 32.6 31.2 11.49
Si(Sb) 42.7 32.9 30.6 11.52
Ge(theor/) 9.81 4.74
Ge(P) 12.9 9.9 4.75
Ge(As) 14.17 10.0 4.75
Ge(Sb) 10.32 10.0 4.7
Table 7.2: Donor ionization energies in Ge and Si. Experimental values are diﬀerent
because of chemical shift
144 CHAPTER 7. DOPED SEMICONDUCTORS
Impurity levels near the point of degeneracy
Degeneracy means that there are t > 1 functions,
φ
j
nk
, j = 1, 2..t
which satisfy Schr¨ odinger equation without an impurity. In this case (remember, k ≈ 0),
ψ =
t
j=1
F
j
(r)φ
j
n0
(br) .
The functions F
j
satisfy matrix equation,
t
j
=1
_
_
3
α,β=1
H
αβ
jj
ˆ p
α
ˆ p
β
+U(r)δ
jj
_
_
F
j
= EF
j
. (7.1)
If we want to include spinorbital interaction we have to add
H
so
=
1
4m
c
0
c
2
[σ ∇V ] ˆ p.
Here σ is the spin operator while V is periodic potential. In general Hmatrix is com
plicated. 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.
There are only 2 invariants quadratic in p, namely ˆ p
2
and (ˆ p J)
2
. Thus we have only
two independent parameters, and traditionally the Hamiltonian is written as
H =
1
m
0
_
ˆ p
2
2
_
γ
1
+
5
2
γ
_
−γ(ˆ p J)
2
_
. (7.2)
That would be OK for spherical symmetry, while for cubic symmetry one has one more
invariant,
i
ˆ p
2
i
J
2
i
. As a result, the Hamiltonian is traditionally expressed as
H =
1
m
0
_
ˆ p
2
2
_
γ
1
+
5
2
γ
2
_
−γ
3
(ˆ p J)
2
+ (γ
3
−γ
2
)
i
ˆ p
2
i
J
2
i
_
. (7.3)
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¨ odinger equations (7.1). To check the situation, let us
ﬁrst put U(r) = 0 and look for solution in the form
F
j
= A
j
(k/k)e
ikr
, k ≡ [k[ .
7.2. LOCALIZATION OF ELECTRONIC STATES 145
The corresponding matrix lemenets can be obtained by substitution ¯ hk instead of the
operator ˆ p into Luttinger Hamiltonian. The Hamiltonian (7.2) does not depend on the
direction of k. Thus let us direct k along z axis and use representation with diagonal J
2
z
.
Thus the system is decoupled into 4 independent equation with two diﬀerent eigenvalues,
E
=
γ
1
+ 2γ
2m
0
¯ h
2
k
2
, E
=
γ
1
−2γ
2m
0
¯ h
2
k
2
.
If
γ
1
±2γ > 0
both energies are positive (here the energy is counted inside the valence band) and called
the light and heavy holes. The eﬀective masses are
m
(h)
= m
0
/(γ
1
±γ) .
The calculations for the full Luttinger Hamiltonian (7.3) require explicit form of Jmatrices.
It solutions lead to the anisotropic dispersion law
E
,h
=
¯ h
2
2m
0
_
γ
1
k
2
±4
_
γ
2
2
k
4
+12(γ
2
3
−γ
2
2
)(k
2
x
k
2
y
+ k
2
y
k
2
z
+k
2
z
k
2
x
)
_
1/2
_
.
The parameters of Ge and Si are given in the Table 7.1
Material γ
1
γ
2
γ
3
∆
Ge 4.22 0.39 1.44 0.044 11.4
Si 13.35 4.25 5.69 0.29 15.4
Table 7.3: Parameters of the Luttinger Hamiltonian for Ge and Si
The usual way to calculate acceptor states is variational calculation under the spherical
model (7.2). In this case the set of 4 diﬀerential equations can be reduced to a system of
2 diﬀerential equation containing only 1 parameter, β = m
/m
h
.
7.2 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, consider an ordered lattice of impurities, the potential being
V (r) =
j
U(r −r
j
) .
146 CHAPTER 7. DOPED SEMICONDUCTORS
Assume that we know the eigenstates φ
n
and eigenvalues, E
n
, of a singleimpurity problem.
Here we shall use singleband approximation, and therefore ignore Bloch (centralcell)
factors. Also, we assume the impurity bandwidth is less that the spacing between E
n
and
restrict ourselves by the lowest level, E
0
. Along the tightbinding method, we cam expand
the wave functions in terms of the above eigenvalues,
ψ =
j
a
j
φ(r −r
j
),
j
[a
j
[
2
= 1 ,
the energy being
E =
m
e
ikm
I(m) .
The only important property of the overlap integrals, I(m) is that it is small (tightbinding
approximation!).
In this way we get energy bands. For example, for a simple cubic lattice
E = 2I(b
0
)
i
cos(k
i
b
0
)
where here b
0
denotes the lattice constant for impurity lattice. Expanding near k = 0 we
get
E(k) = 6I(b
0
) −I(b
0
)k
2
b
2
0
the eﬀective mass being m
∗
= ¯ h
2
/2Ib
2
0
. As the lattice constant increases, I(b
0
) ∝ exp(−βb
0
/a)
where β is a number of the order 1.
According to our model, each impurity adds one electron, and each state possesses
2fold spin degeneracy. Thus the impurity lattice is a metal.
Is this correct? In principle, no, because we neglected electronelectron interaction.
In fact, two electrons at the same site repel each other the energy can be estimated as
U
0
≈ e
2
/a. It U
0
is comparable with the bandwidth ∼ I(b
0
), then one must allow for the
interaction. At large b
0
the band is narrow and this is the case. Let us plot the electron
terms a a function of 1/b
0
The insulatortometal transition of this kind is usually called
the Mott transition.
Anderson transition
We come back to singleelectron approximation and concentrate on disorder. Suppose that
impurities are still ordered, but depths of the potential wells are random, Fig. (7.3) The
eﬀective Hamiltonian has the form
H =
j
j
a
+
j
a
j
+
m,j,=0
I(m) a
+
j
a
j+m
.
The energies are assumed to be uncorrelated and random, the distribution being
P() =
_
1/A , [[ < A/2
0 , [[ > A/2
7.2. LOCALIZATION OF ELECTRONIC STATES 147
Figure 7.2: Dependence of electron bands on impurity sublattice period b
0
. To the left of
point A is an insulator, to the right a metal.
Figure 7.3: Potential wells in the Anderson model.
Anderson has formulated the following criterion for localization. Let us place a particle at
the site i and study its decay in time due to quantum smearing of the wave packet. The
state is called extended if [ψ
i
(t)[
2
→0 at t →∞.
The Anderson model has one dimensionless parameter, W/I, where I is the overlap
integral for nearest neighbors. In a 3D system there is a critical value, A
c
/I, at which
delocalized states begin to appear in the middle band. In 1D case the states are localized
at any disorder. 2D case is a marginal, the states being also localized at any disorder.
Twostate model
Now let us turn to 3D case and try to discuss Anderson result in a simpliﬁed form. Namely,
consider two potential wells. When isolated, they can be characterized by the energies
1
148 CHAPTER 7. DOPED SEMICONDUCTORS
Lattice x
c
4/x
c
A
c
/I
Diamond 0.43 9.3 8.0
Simple cubic 0.31 12.9 15
Table 7.4: Percolation thresholds and critical values A
c
/I obtained numerically for diﬀerent
lattices
and
2
and wave functions φ
1
and φ
2
. At
1
=
2
the wave functions are
Ψ
I,II
=
1
√
2
(φ
1
±φ
2
),
the energy diﬀerence being E
I
−E
II
= 2I. This solution is reasonably good at [
1
−
2
[ ¸I.
In general,
ψ
I,II
= c
1
φ
1
±c
2
φ
2
,
and we have a matrix Schr¨ odinger equation,
_
∆/2 −E I
I
∗
−∆/2 −E
_
.
Here the origin for energy is taken at (
1
+
2
)/2, while ∆ ≡
1
−
2
. The secular equation
is thus
E
2
−(∆/2)
2
−[I[
2
= 0 → E
I,II
= ±
_
(∆/2)
2
+[I[
2
.
Consequently,
E
I
−E
II
=
_
∆
2
+ 4[I[
2
. (7.4)
The ratio
c
1
c
2
=
I
∆/2 ±
_
(∆/2)
2
+I
2
.
Thus at ∆ ¸I either c
1
or c
2
is close to 1, and collectivization does not occur.
Now, following Thouless, let us chose a band
δ/2 ≤ ≤ δ/2, δ ∼ I
and call the sites resonant if their energy falls into the band. Then let us look for connected
resonant states which share a site. Nonresonant sites can be disregarded as I ¸W.
It is clear that it must be a threshold in the quantity W/I where the transition takes
place. If one assumes that the connected cluster is a 1D chain, then the bandwidth is 4I.
In such a model,
A
c
I
=
4
x
c
where x
c
is the percolation threshold for the site problem. This is quite a good estimate,
see the Table 7.2 Finally, one arrives at the following proﬁle of densityofstates (DOS) for
the Anderson model, Fig. 7.4
7.3. IMPURITY BAND FOR LIGHTLY DOPED SEMICONDUCTORS. 149
Figure 7.4: Density of states in the Anderson model. Localized states are shaded. Mobility
edges are denoted as E
c
.
7.3 Impurity band for lightly doped semiconductors.
The material is called lightly doped if there is only a small overlap between electronic states
belonging to diﬀerent impurities, Na
3
¸1. Here N is the impurity concentration while a
is the localization length. In lightly doped materials conductivity vanished exponentially
as T →0.
Let us start with a material with only one type of impurities, say ntype. At T = 0 each
of donors must have an electron, the missing electron represents an elementary excitation.
An excitation can be localized at any donor, the energies being slightly diﬀerent. The
reasons are
• If one removes an electron, the remaining positive charges polarize the neutral donor
located in vicinity. That contributes to donor ionization energy, the contribution
being dependent on the conﬁguration of neutral neighbors.
• There is a quantum overlap between the donors being excited.
The ﬁrst mechanism is usually more important for realistic semiconductors having com
pensating impurities.
Now let us assume that there are also acceptors which at capture electrons from the
donors and are fully occupied T = 0. Thus we have neutral donors, negatively charged
acceptors and an equal number of positively charged donors. Theses randomly distributed
charges create a ﬂuctuating random potential which localizes the electronic states.
Let us count the energy
i
of ith donor from the energy of an isolated donor, −E
0
. We
have
i
=
e
2
κ
_
_
acc
l
1
[r
i
−r
l
[
−
don
k,=i
1 −n
k
[r
i
−r
k
[
_
_
.
The occupation numbers have to be determined to minimize the free energy (at T = 0 –
electrostatic energy).
A typical dependence of the Fermi level µ on the degree of compensation, K = N
A
/N
D
,
is shown in Fig. 7.5 Below we discuss limiting cases of small and large K.
150 CHAPTER 7. DOPED SEMICONDUCTORS
Figure 7.5: Position of the Fermi level µ as a function of the degree of compensation, K.
Low degree of compensation
At K ¸ 1 most of donors keep their electrons, and only a small number is empty and
charged positive. Each acceptor carries a negative charge, the concentration of charged
donors is equal to N
A
.
A positive charged hole will be located as close as possible to a negative acceptor.
Thus, it occupies the donor the most closed to an acceptor. In a ﬁrst approximation, each
acceptor can be regarded as immersed in an inﬁnite sea of donors. Transporting a hole
from a donor situated near a charged acceptor to inﬁnity requires work of order e
2
/κr
D
,
where r
D
is the average distance between the donors.
To get a quantitative theory one has to add more input. Namely, there are some
acceptor without holes, and some acceptors having 2 holes. Indeed, some acceptors do not
have a close donors (Poisson distribution), so they bind holes very weakly. So holes prefer
to ﬁnd another acceptor with more close donors even at the expense to become a second
hole. To illustrate the situation let us consider a conﬁguration shown in Fig. 7.6,a. The
work necessary to remove a hole equals to
e
2
/κr −e
2
/2κr = e
2
/2κ,
it becomes large at small r.
It is curious that an acceptor cannot bind more than 2 holes. Consider a conﬁgura
tion shown in Fig. 7.6,b. The energy of attraction to the acceptor equals
√
3e
2
/κl while
the repulsion energy from two other holes is 2e
2
/κl. We end at the following situation.
There are 3 conﬁgurations – 0complexes (negative) where there is no ionized donor near a
particular acceptor, 1complexes (neutral), and 2complexes (positive). So the neutrality
condition which ﬁxes the Fermi level is actually
N
0
(µ) = N
2
(µ) .
7.3. IMPURITY BAND FOR LIGHTLY DOPED SEMICONDUCTORS. 151
Figure 7.6: Donoracceptor conﬁgurations.
For 0complex, there must be no donors within the sphere of radius r
µ
= e
2
/κµ from a
ﬁxed acceptor, the probability being exp(−4πN
D
r
3
µ
/3). Thus,
N
0
(µ) = N
A
exp
_
−
4π
3
e
6
N
D
κ
3
µ
3
_
.
It is much more diﬃcult to ﬁnd number of 2complexes. Let us estimate it from above,
N
>
2
(µ), as a concentration of pairs of donors whose additional energies
1
and
2
exceed µ
when both donors are ionized. This estimate is larger because
• it could be another close donor which initiates a 1complex,
• it can be more than one pair of donors near a given acceptor.
Let us put the origin of coordinates at acceptor site and suppose that a donor is located
at r
1
. The average number of donors in the element dr
2
is equal to N
D
dr
2
. Thus, the
number of pairs with r
2
≥ r
1
is
N
D
_
r
2
>r
1
dr
2
Θ[
1
(r
1
, r
2
) −µ]Θ[
2
(r
1
, r
2
) −µ] .
Here
1,2
=
e
2
κ
_
1
[r
1,2
[
−
1
[r
1
−r
2
[
_
.
To get the total concentration of pairs one has to multiply it by N
D
and integrate over r
1
,
and ﬁnally multiply by N
A
. As a result,
N
>
2
(µ) = N
A
N
2
D
_
dr
1
_
r
2
>r
1
dr
2
Θ[
1
(r
1
, r
2
) −µ]Θ[
2
(r
1
, r
2
) −µ] .
This estimate is very close to exact result. Integration yields
N
>
2
(µ) = 7.14 10
−4
N
A
(4πN
D
r
3
µ
/3)
2
.
Using this estimate and solving the neutrality equation one obtains
µ = 0.61
D
,
D
= e
2
/κr
D
= (e
2
/κ)(4πN
D
/3)
1/3
.
Now let us discuss the shape of the peak. The majority of donors are far from few
acceptors, so there must be a sharp peak at −E
0
. The tails of g() above the Fermi level
falls with the characteristic energy
D
. Consequently, near the Fermi level
g() ∝ N
A
/
D
.
152 CHAPTER 7. DOPED SEMICONDUCTORS
Longrange potential
Above we did not take into account electrostatic interaction between the complexes. It is
small indeed because N
0
¸N
D
. However, the interaction leads to an additional dispersion
of the peak.
An average ﬂuctuations of charge produce an average potential of order e
2
N
1/3
0
/κ.
We shall show that longrange ﬂuctuations are much more important. Let us introduce
ﬂuctuations of the complex concentrations for 0 and 2complexes,
ξ
i
(r) = N
i
(r) −¸N
i
(r)) .
We consider the ﬂuctuations as uncorrelated,
¸ξ
0
(r)ξ
0
(r
t
)) = ¸ξ
2
(r)ξ
2
(r
t
)) = N
0
δ(r −r
t
),
¸ξ
0
(r)ξ
2
(r
t
)) = 0 .
Consequently, the charge ﬂuctuations are
¸ρ(r)ρ(r
t
)) = 2e
2
N
0
δ(r −r
t
) . (7.5)
Let us now consider a sphere of radius R where there is ∼ N
0
R
3
complexes. The
typical charge in the sphere is e
2
(N
0
R
3
)
1/2
, the resultant potential being e
2
(N
0
R
3
)
1/2
/R.
It diverges as R → ∞, and one has to allow for screening. We will check later that the
screening potential varies little over a distance between the complexes. Therefore, one can
employ the selfconsistent ﬁeld approximation.
As a result, we and at the Poisson equation
∆φ = −
4π
κ
ρ(r) −
4πe
κ
[N
2
(µ +eφ) −N
0
(µ + eφ)] .
Here ρ(r) is a Gaussian random function whose correlator is given by (7.5). This approach
is consistent at
[eφ(r)[ ¸µ
when only small number of complexes are responsible for screening. At the same time, the
majority of complexes contribute to charge ﬂuctuations and are uncorrelated. In such a
way we obtain the equation
∆φ = −
4πρ
κ
+
φ
r
2
0
where the screening length r
0
is given by the expression
1
r
2
0
=
4πe
κ
d
dφ
[N
2
(µ +eφ) −N
0
(µ +eφ]
φ=0
.
Substituting the expressions for the complex concentrations we obtain
r
0
= 0.58N
−1/2
A
N
1/6
D
= 0.58N
−1/3
D
K
−1/2
.
7.3. IMPURITY BAND FOR LIGHTLY DOPED SEMICONDUCTORS. 153
In a standard way, one can determine the distribution function near the Fermi level. It is
Gaussian,
F(eφ) =
1
γ
√
pi
exp[−(eφ)
2
/γ
2
] , γ = 2e
2
¸φ(r))
2
= 0.26
D
K
1/4
.
All the above results are applicable only at very small K. Indeed, to get a Gaussian
ﬂuctuations one has to assume r
0
¸N
−1/3
0
or
4πN
0
r
3
0
/3 ¸1 .
The condition can be rewritten as K
−1/2
¸0.05.
High degrees of compensation
Now we turn to the case
1 −K ¸1 .
In this case, the concentration of occupied donors,
n = N
D
−N
A
¸N
D
.
Thus all the electrons are able to ﬁnd proper donors whose potential is lowered by the
potential of charges neighborhood. Thus the Fermi level is situated well below −E
0
, see
Fig. 7.7
Figure 7.7: Energy diagram of highly compensated semiconductor. Solid line shows the
conduction band edge, occupied states are shaded.
To understand the structure of the DOS tail consider a certain donor having at small
(r ¸ N
−1.3
D
) another positively charged donor. Its inﬂuence at r ¸ a is just = −e
2
/κr.
It is assumed that the second donor is empty, the binding energy being ∼ E
0
. Thus a pair
can contain only 1 electron.
154 CHAPTER 7. DOPED SEMICONDUCTORS
To ﬁnd g() let us calculate the concentration of pairs having the energy in the interval
(, +d). The probability to ﬁnd another donor is 4πN
D
r
2
(dr/d) d, where r() = e
2
/κ.
One has to multiply this quantity by N
D
and divide by 2 (pairs!) to get
g() =
3
2
3
D
4
N
D
.
Now the Fermi level (at T = 0) is easily found from the conservation law
_
µ
−∞
g() d = n.
As a result, we get
µ = −
D
2
1/3
(1 −K)
1/3
.
This is purely classical result. It is valid only at r
µ
¸a.
Longrange ﬂuctuations
At 1 − K ¸ 1 it is a large and important eﬀect because screening is weak. To obtain an
estimates we can repeat the discussion for K ¸ 1 and replace the donor concentration
by the total concentration, N
t
, of donors and acceptors. In this way we get for a typical
potential energy of an electron,
γ(R) =
e
2
κR
(N
t
R
3
)
1/2
.
It also diverges at large R.
How the screening takes place. The excess ﬂuctuating density is
∆N = (N
t
R
3
)
1/2
/R
3
.
They can be neutralized at ∆N = n leading to the expression for the screening length,
n =
N
t
r
3
s
)
1/2
r
3
s
→ r
s
=
2
2/3
N
−1/3
t
(1 −K)
2/3
.
The random potential amplitude is
γ(r
s
) =
e
2
N
2/3
t
κn
1/3
.
It increases with decreasing n.
Here we disregarded the states with several extra electrons which are important very
deep in the gap.
7.4. AC CONDUCTANCE DUE TO LOCALIZED STATES 155
7.4 AC conductance due to localized states
As we have seen, at low temperatures dc conductance vanishes in the insulating phase, the
electronic states being localized. However, ac conductance remains ﬁnite. The reason is
that an electron (or hole) can hop between the adjacent localized states giving rise to a
ﬁnite energy dissipation.
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. To analyze the physics
of dissipation, let us consider such a pair. We used such a concept to discuss Anderson
localization.
Consider a close pair of localized states. As we have seen, the quantum states of an
electron sharing the pair can be expressed through onecenter wave functions as
ψ
±
= c
1
φ
1
±c
2
φ
2
,
which must satisfy matrix Schr¨ odinger equation,
_
∆/2 −E I
I
∗
−∆/2 −E
__
ψ
+
ψ
−
_
= 0 .
Here the origin for energy is taken at (
1
+
2
)/2, while ∆ ≡
1
−
2
. The secular equation
is thus
E
2
−(∆/2)
2
−[I[
2
= 0 → E
±
= ±
_
(∆/2)
2
+[I[
2
.
Consequently,
E
+
−E
−
≡ W =
_
∆
2
+ 4[I[
2
, (7.6)
c
1
c
2
=
2I(r)
∆±W
. (7.7)
Thus at ∆ ¸I either c
1
or c
2
is close to 1, and collectivization does not occur.
To ﬁnd the dissipation one has to calculate the contribution of a single pair, and then
sum the contributions of diﬀerent pairs.
Dissipation by an isolated pair
One can discriminate between two absorption mechanisms. The ﬁrst one is resonant ab
sorption due to direct absorption of photons accompanied by transition between the states
ψ
+
and ψ
−
. The second mechanism is due to phononassistant transitions – an external
ﬁeld modulates the occupation numbers of close pairs. The modulation lags in phase com
paring to the ﬁled due to relaxation. As a result, a ﬁnite dissipation appears. Below we
consider both mechanisms.
156 CHAPTER 7. DOPED SEMICONDUCTORS
Resonant contribution
The resonant absorption is due to transition of an electron from the state with the energy
E
−
to the state E
+
. The energy absorbed by a pair per unit time due to an electric ﬁeld
c = c
0
cos ωt =
1
2
c
0
[exp(iωt) + exp(−iωt)] (7.8)
can be written as (Fermi golden rule!):
q =
2π
¯ h
¯ hω
4
[ec
0
¸−[r[+)[
2
δ (¯ hω −W) (n
−
−n
+
) , (7.9)
Occupation numbers
The occupation numbers n
±
are determined from the following considerations. Let us write
down a twosite Hamiltonian
H
1,2
=
1
n
1
+
2
n
2
+
e
2
κr
n
1
n
2
+I(r)(a
+
1
a
2
+a
+
2
a
1
) . (7.10)
Here n
i
are the occupation numbers, while
i
include Coulomb interaction with other
neighbors.
The Hamiltonian (7.10) describes 4 states of the pair:
1. The pair has no electrons. The energy E
0
= 0.
2. The pair has 1 electron. There are two states with energies
E
±
1
=
1
+
2
2
±
W
2
.
3. The pair has 2 electrons. There is one state with the energy
E
2
=
1
+
2
+
e
2
κr
.
Consequently, the probability to ﬁnd a pair with 1 electron, the lower level to be occupied
is
n
−
=
1
Z
exp
_
−
E
−
1
−µ
kT
_
,
Z = 1 + exp
_
−
E
−
1
−µ
kT
_
+ exp
_
−
E
+
1
−µ
kT
_
+ exp
_
−
E
2
−2µ
kT
_
.
The occupation number n
+
= n
−
exp(−W/kT), and we obtain ﬁnally,
q =
2π
¯ h
¯ hω
4Z
[ec
0
¸−[r[+)[
2
δ (¯ hω −W) exp
_
−
E
−
1
−µ
kT
__
1 −exp
_
−
¯ hω
kT
__
, (7.11)
7.4. AC CONDUCTANCE DUE TO LOCALIZED STATES 157
Relaxational contribution
To analyze this contribution one has to consider the balance equation, say for n
+
(t),
∂n
+
∂t
=
n
+
−n
0
(t)
τ
. (7.12)
Here
n
0
(t) =
1
exp[W(t)/kT] + 1
, W(t) =
_
[∆ + ec(t) r]
2
+ 4I(r)
2
, (7.13)
while τ is the population relaxation time. Substituting
n
+
(t) = n
0
(t) +n
1
(t) , n
1
(t) ∝ [e
−iωt
+h.c.]
one easily obtains the relevant contribution to the absorbed energy as
q =
ω
2π
_
2π/ω
0
dt
˙
W(t)n
1
(t) .
We get
q =
[ec
0
r[
2
2
_
∆
W
_
2
ω
2
τ(W, r)
1 + [ωτ(W, r)]
2
1
4kT cosh(W/2kT)
. (7.14)
The last factor is just −(∂n
0
/∂W).
To calculate the dissipation one has to specify the relaxation time, which depends in
general on W and r. To do that let us specify the Hamiltonian to describe coupling
between localized electrons and phonons. To construct the Hamiltonian, let us start with
the unperturbed one,
H
0
=
1
2
_
∆ 2I(r)
2I(r) −∆
_
=
∆
2
σ
3
+I(r)σ
1
. (7.15)
Here we introduce Pauli matrices,
σ
1
=
_
0 1
1 0
_
, σ
2
=
_
0 −i
i 0
_
, σ
3
=
_
1 0
0 −1
_
.
Under inﬂuence of the phononinduced strain the energy of each (j) component of the pair
acquires the term proportional to the strain tensor,
u
ik
(r
j
) =
1
2
_
∂u
i
(r
j
)
∂x
k
+
∂u
k
(r
j
)
∂x
i
_
.
Thus,
˜
H
int
=
1
2
ik
_
Λ
(1)
ik
u
ik
(r
1
) −Λ
(2)
ik
u
ik
(r
2
)
_
σ
3
, (7.16)
where Λ
(j)
ik
are the component of the deformational potential tensor for each component.
158 CHAPTER 7. DOPED SEMICONDUCTORS
Now we can make the transformation to a new basis which makes the Hamiltonian H
0
diagonal. Technically, it is convenient to rewrite (7.16) in the form
H
0
=
W
2
_
cos χ sin χ
sin χ −cos χ
_
, cos χ ≡
∆
W
.
Then one can represent the old basis through the new one as
_
φ
1
φ
2
_
=
ˆ
T
_
ψ
+
ψ
−
_
,
ˆ
T =
_
cos χ −sin χ
sin χ cos χ
_
=
ˆ
1 cos χ −iσ
2
sin χ.
Having in mind the algebra for Pauli matrices,
σ
2
i
= 1, σ
2
σ
3
= iσ
1
, σ
3
σ
1
= iσ
2
, σ
1
σ
2
= iσ
3
we obtain the interaction Hamiltonian in a new basis,
H
int
=
ˆ
T
−1
˜
H
int
ˆ
T =
1
2
ik
_
Λ
(1)
ik
u
ik
(r
1
) −Λ
(2)
ik
u
ik
(r
2
)
_
_
∆
W
σ
3
−
2I(r)
W
σ
1
_
. (7.17)
We are interested in the item proportional to σ
1
which is responsible for phononassisted
transitions between the levels. Using Fermi golden rule to calculate the relaxation rate, we
get
1
τ(W, r)
=
1
τ
min
(W)
_
2I(r)
W
_
2
. (7.18)
Here we have extracted the coordinatedependent factor (2I(r)/W)
2
= 2I
0
exp(−2r/a).
The quantity τ
min
has a transparent physical meaning of the minimal relaxation time for
a pair with given interlevel spacing W. It is dependent on several characteristics of the
electronphonon interaction which we do not discuss now.
Summation over the relevant pairs.
Now we can proceed adding the contributions of diﬀerent pairs that appears rather tricky.
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.
Resonant contribution
For simplicity, let us assume low temperatures, T ≤ ¯ hω/k. Then n
−
−n
+
≈ 1 at
E
−
1
−µ < 0 , E
−
1
−µ < E
2
−2µ.
It means that one can introduce the variables ∆ =
1
−
2
and E
−
1
= (
1
+
2
− W)/2
instead of
1
and
2
. One can show that T ≈ 1 at
−
e
2
κr
−W < E
−
1
−µ < 0 ,
7.4. AC CONDUCTANCE DUE TO LOCALIZED STATES 159
and
_
dE
−
1
(n
−
= n
+
) . . . →
_
W +
e
2
κr
_
. . .
One can explain qualitatively this factor as follows from Fig. 7.8. When the center of
Figure 7.8: Energy scheme of absorption by a pair with the length r with allowance of
Coulomb interaction.
gravity (
1
+
2
)/2 falls into the region of the width ∼ e
2
/κr below the Fermi level the pair
remains singly ionized and contains only 1 electron.
The full scheme of calculations can be described as follows. We deﬁne
σ(ω) =
2
i
q
i
c
2
0
=
1
c
2
0
_
dr
_
d
2
g(
2
)
_
2
d
1
g(
1
) q(
1
,
2
, r) . (7.19)
For the simplest (Anderson) model
g() = g
0
Θ(A/2 −[[).
Another important simpliﬁcation arises from exponential decay of the overlap integral,
I(r) ∝ exp(−r/a). As a result, 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. As a result, one can replace r apart from
exponential functions by a proper characteristic length r
c
(which is diﬀerent for the resonant
and the relaxational contributions).
Now we are ready to specify the results for low temperatures.. Substituting expression
(7.20) for the contribution of a single pair we get (at T = 0)
σ(ω) =
8π
2
e
2
g
2
0
3¯ h
_
∞
rω
_
¯ hω +
e
2
κr
_
r
4
I
2
(r) dr
[(¯ hω)
2
−4I
2
(r)]
1/2
160 CHAPTER 7. DOPED SEMICONDUCTORS
=
2π
2
3
e
2
g
2
0
aωr
4
ω
_
¯ hω +
e
2
κr
ω
_
(7.20)
where
r
ω
= a ln(2I
0
/¯ hω) . (7.21)
The case of ﬁnite temperatures is more complicated. At the region
¯ hω ¸kT ¸e
2
/κr
ω
the width of integration over E
−
1
remains essentially the same. However the occupation
numbers of the states E
±
1
become very close, and
(n
−
−n
+
) ≈ tanh(¯ hω/2kT) .
This estimate is valid within all the region
¯ hω, kT ¸e
2
/κr
ω
.
The case of very large temperatures can be considered in a similar way. At
kT ¸e
2
/κr
ω
, ¯ hω
both states E
±
1
fall into the layer ≤ kT around the Fermi level, the diﬀerence (n
−
− n
+
)
being
(n
−
−n
+
) ≈
1
4 cosh
2
[(E
−
1
−µ)/2kT]
.
Thus.
σ(ω) =
2
3
π
2
e
2
ag
2
0
¯ hω
2
r
4
ω
.
Relaxational contribution
Let us start with expression (7.14) which assumes that there are only the pairs with one
electron. Introducing the distribution function F(W, r) of the energy and spatial spacings
(W and r) one obtains
σ(ω) =
e
2
π
3kT
ω
2
_
∞
0
r
4
dr
_
∞
0
F(W, r) dW
cosh
2
(W/2kT)
τ
1 +ω
2
τ
2
. (7.22)
We will see later that F(W, r) is a smooth function of r comparing to
τ(W, r) ∝ exp(2r/a) .
Thus let us deﬁne
τ = τ
0
exp(2r/a)
7.4. AC CONDUCTANCE DUE TO LOCALIZED STATES 161
where τ
0
is a smooth function of W and (in general) r. The properties of the ratio
G =
ωτ
1 +ω
2
τ
2
=
ωτ
0
exp(2r/a)
1 +ω
2
τ
2
0
exp(4r/a)
depend strongly on the product ωτ
0
. At
ωτ
0
≥ 1 , r ≥ a
one has
G ≈
1
ωτ
0
exp(−2r/a) .
As a result,
σ(ω) =
e
2
π
3kT
_
∞
0
r
4
e
−2r/a
dr
_
∞
0
F(W, r) dW
cosh
2
(W/2kT)
1
τ
0
(W, r)
. (7.23)
Thus, σ appears ωindependent, the temperature dependence being determined by the
properties of the functions F(W, r) and τ
0
(W, r). It is important that for the relevant pairs
W ∼ kT, r = r
T
∼ (a/2) ln(2I
0
/kT).
At
ωτ
0
¸1
the ratio G has a sharp maximum at
r = r
cω
= (a/2) ln(1/ωτ
0
)
and we can express G as
G ≈
4a
π
δ(r −r
cω
) .
In this way we obtain
σ(ω) =
4e
2
3kT
ωar
4
cω
_
∞
0
F(W, r
cω
) dW
cosh
2
(W/2kT)
∝ ω . (7.24)
Let us discuss a bit the distribution function F which is just the probability to ﬁnd a single
electron pair with the energy distance W, spatial distance r. In the absence of Coulomb
interaction,
F(W, r) =
_
d
1
d
2
g(
1
)g(
2
) δ
_
W −
_
(
1
−
2
)
2
+ 4I
2
(r)
_
_
[f
0
(E
−
1
)[1 −f
0
(E
+
1
)] + f
0
(E
+
1
)(1 −f
0
(E
−
1
)]
_
.
Here f
0
is the Fermi function. The integration is very simple for the Anderson model
(g = g
0
= const). In that case
F(W, r) = g
2
0
[W
2
−4I
2
(r)]
1/2
tanh(W/2kT)
∼ g
2
0
kT .
162 CHAPTER 7. DOPED SEMICONDUCTORS
Coulomb interaction changes the situation, and one has to calculate the number of pairs
taking into account electron repulsion at the same center. At low enough at kT ¸e
2
/κr
cω
that leads to the result similar to the one discussed above,
F(W, r) = g
2
0
[W
2
−4I
2
(r)]
1/2
W
_
W +
e
2
κr
_
.
Thus at kT ¸e
2
/κr
cω
the absorption is essentially temperatureindependent at ωτ
0
¸1.
7.5 Interband light absorption
A typical experimental picture of frequencydependent light absorption in heavily doped
degenerate GaAs is shown in Fig. 7.9 The main features are:
Figure 7.9: The absorption coeﬃcient as a function of the energy of light quanta at 77 K
in nGaAs. n 10
−17
, cm
−3
: 1 – 0.02, 2 – 2.2, 3 – 5.3, 4 – 12, 5 – 16.2, 6 – 31.5, 6 – 65.
• 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).
7.5. INTERBAND LIGHT ABSORPTION 163
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 + m
e
/m
h
), see Fig. 7.10. This picture is
Figure 7.10: 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 +E
g
¯ hω)/kT] .
Another important source which we are going to discuss are transitions from ﬂuctuation
levels above the top of valence gap, Fig. 7.11 We see that the absorption is proportional to
the probability to ﬁnd a level with the energy
h
= E
g
+µ−¯ hω 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 temper
atures or degrees of compensation, as well as in indirect materials.
Assume that there are impurities of both signs, N
t
= N
D
+N
A
. The impurity potential
is regarded as Coulombic at short distances r ≤ r
0
and screened at large distances. Let
r
0
be large enough to consider the potential as classical; we also neglect the correlation in
defect positions. Mathematically, that can be expressed as
¯ h
2
m
e
r
2
0
,
¯ h
2
m
h
r
2
0
¸γ , γ =
e
2
κr
0
(N
t
r
3
0
)
1/2
.
164 CHAPTER 7. DOPED SEMICONDUCTORS
Figure 7.11: Scheme of interband transitions in a degenerate semiconductor at T = 0.
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. 7.12 Suppose we are studying the transition which results in the formation of an
Figure 7.12: Absorption of a quantum of deﬁcit ∆ in a nondegenerate semiconductor.
electron of energy
e
and a hole of energy
h
,
∆ =
h
−
e
(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.
7.5. INTERBAND LIGHT ABSORPTION 165
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 = Ze
2
/κR
2
must be
Z =
EκR
2
e
=
κR∆
e
2
. (7.25)
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
/N
t
R
2
)
t
,
2. the probability for an electron to tunnel the distance R to meet the hole,
exp
_
−R
_
m
2
∆/¯ h
_
(we assume m
h
¸m
2
).
Substituting Z from Eq. (7.25) we obtain the probability to be proportional to
exp
_
−
κ
2
∆
2
e
2
N
t
R
−
R
√
m
e
∆
¯ h
_
.
Maximizing the exponent, we obtain
˜
R = a
_
∆
E
0
_
1/2
1
(N
t
a
3
)
1/2
.
Consequently,
α(∆)
α(0)
= exp
_
−β
_
∆
E
0
_
1/2
1
(N
t
a
3
)
1/2
_
where β is the number of the order 1. The derivation is valid at
˜
R ≤ r
0
.
In the opposite case, the probability to ﬁnd the proper ﬂuctuation decreases, and the
optimal cluster has the size r
0
. In that situation one has to substitute r
0
instead of
˜
R to
obtain
α(∆)
α(0)
= exp
_
−
∆
2
γ
2
_
.
166 CHAPTER 7. DOPED SEMICONDUCTORS
Chapter 8
Solutions of the Problems
Chapter 1
1.0 An electron with a energy spectrum
ε(p) =
p
2
x
2m
x
+
p
2
y
2m
y
+
p
2
z
2m
z
is placed into a magnetic ﬁeld parallel to zaxis. Find the cyclotron eﬀective mass and
compare it with the densityofstates eﬀective mass deﬁned as
g(ε) =
√
2m
3/2
d
ε
1/2
π
2
¯ h
3
.
Solution. The equation for the electron trajectory, ε(p) = ε for a given p
z
, has the form
1
2ε −p
2
z
/m
z
_
p
2
x
m
x
+
p
2
y
m
y
_
= 1 .
This is the ellipse having the area
S(ε, p
z
) = π(2ε −p
2
z
/m
z
)
√
m
x
m
y
.
Thus, according to deﬁnition,
m
c
=
1
2π
∂S(ε, p
z
)
∂ε
=
√
m
x
m
y
.
According to the deﬁnition of the density of states,
g(ε) =
2
(2π¯ h)
3
_
dp
x
dp
y
dp
z
δ[ε(p) −ε] .
Introducing new variables as
p
x
= ξ
√
2m
x
, p
y
= η
_
2m
y
, p
y
= ζ
√
2m
z
167
168 CHAPTER 8. SOLUTIONS OF THE PROBLEMS
we obtain that
m
d
= (m
x
m
y
m
z
)
1/3
.
1.1. Derive the Drude formula (2.16).
σ =
ne
2
τ
tr
m
.
from the expression
σ = e
2
D(
F
)g(
F
) .
Solution. For zero temperature we have
g(
F
) =
∂n
∂
F
=
3
2
n
F
=
3n
mv
2
F
.
1.2. Assume that that the electrons obey Boltzmann statistics,
f
0
(ε) = exp
_
ζ −ε
T
_
,
and that
τ
tr
(ε, T) ∝ ε
r
.
Expressing the transport relaxation time as
τ
tr
(ε, T) = τ
0
(T)(ε/kT)
r
ﬁnd the expressions for Drude conductance at ωτ
0
¸1 and ωτ
0
¸1.
Solution Using the deﬁnition of Drude conductance we get
¸τ
tr
) = τ(T)
Γ(r + 5/2)
Γ(5/2)
.
Thus, σ
0
∝ τ
0
(T).
At large frequencies,
1σ(ω) =
ne
2
mω
2
_
1
τ
tr
_
=
ne
2
mω
2
τ
0
(T)
Γ(5/2 −r)
Γ(5/2)
.
1.3. Compare thermoelectric coeﬃcitns η for degenerate and nondegenerate electron gas.
Assume
τ
tr
(ε, T) = τ
0
(T)(ε/kT)
r
.
Solution. 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). Then
_
−
∂f
0
∂ε
_
=
1
T
exp(ζ
∗
−x) , g(ε)D(ε)(ε −ζ) = g(T)D(T)T(x −ζ
∗
)x
r+3/2
.
169
Thus
η = −eg(T)D(T)e
ζ∗
_
∞
0
dx(x −ζ
∗
)x
r+3/2
e
−x
= −eg(T)D(T)e
ζ∗
[Γ(r + 7/2) −ζ
∗
Γ(r + 5/2)] .
Similarly,
σ
0
= e
2
g(T)D(T)e
ζ∗
Γ(r + 5/2) .
Thus, introducing k we get
α = −
k
e
(r + 5/2 −ζ
∗
) .
Note that
n = e
ζ
∗
g(T)TΓ(3/2) → ζ
∗
= −ln
√
πg(T)T
2n
.
In the Fermi gas,
d
ζ
g(ζ)D(ζ) = (r + 3/2)
g(ζ)D(ζ)
ζ
.
Thus according to the deﬁnition,
α = −
k
e
(r + 3/2)
π
2
3
kT
ζ
.
1.4. Using the WiedemannFranz law Compare the coeﬃcients κ and β for a typical
metal.
Solution. We have the relation κ = β − Tηα. The ratio Tηα/β (according to the
WiedamannFranz law) has the order
Tη
2
e
2
σTσk
2
B
≈
_
k
B
T
F
_
2
.
1.5. Derive the expression (2.22) for the screened Coulomb potential.
ϕ =
Ze
r
e
−r/rs
,
Solution. In a spherical symmetric system it is natural to chose spherical coordinates,
the Laplace operator for the angleindependent case being
∇
2
ϕ =
1
r
2
d
dr
_
r
2
dϕ
dr
_
.
If we search the solution as u(r)/r the equation for u has the form
1
r
2
d
dr
_
r
2 d
dr
_
u
r
__
=
1
r
2
d
dr
r
2
_
u
r
−
u
r
2
_
=
=
1
r
2
d
dr
(ru
t
−u) =
u
r
.
170 CHAPTER 8. SOLUTIONS OF THE PROBLEMS
Substituting this expression to the Poisson equation we get
u
tt
−
1
r
2
s
u = 0 →u ∝ exp
_
−
r
r
s
_
.
1.6. Derive the expression (2.23).
W(θ) = 4πn
i
v
_
e
2
/
2ε(1 −cos θ) + ¯ h
2
/2mr
2
s
_
2
Solution. One should calculate the matrix element
v ∝ M =
_
d
3
r e
iqr
e
−r/rs
r
where q = k
t
−k. We have
M = 2π
_
∞
0
rdr
_
1
−1
d(cos β) exp (iqr cos β) exp
_
−
r
rs
_
=
= 4π
_
∞
0
dr
sin(qr)
q
exp
_
−
r
rs
_
=
4π
q
Im
_
∞
0
dr exp(iq −
1
rs
)r =
2π
q
2
+r
−2
s
.
Using the property k = k
t
and the equality
q
2
= 2k
2
(1 −cos θ) = 2ε(2m/¯ h
2
)(1 −cos θ)
we get the result.
1.7. Derive the expression for the solution of the Boltzmann equation
G = eτ
tr
∂f
0
∂ε
E + (µ/c)
2
(HE)H+ (µ/c)[EH]
1 + µ
2
H
2
/c
2
.
Use this expression to ﬁnd the conductivity tensor.
Solution Use the relatuion (2.39), determine the coeﬃcients α, β and γ and then sub
sttitute them into initial expression for G. The calculation of the conductivity tensor is
straightforward.
1.8 Using the expression (2.57) ﬁnd imaginary part of 1/(q, ω) which is responsible for
damping of the wave of electrical polarization.
Solution We have
·
1
(q, ω)
= −
1
0
ω/τ
M
(q
2
D + 1/τ
M
)
2
+ω
2
= −
1
0
ωτ
M
(1 +q
2
/κ
2
)
2
+ω
2
τ
2
M
.
171
Chapter 2.
2.1. Derive the equation (3.3).
δ =
1
Imq
=
2
√
3
_
c
2
4πσω
0
b
_
1/3
.
Solution. Start from the equation q
2
= 4πiωσ/c
2
and substitute σ = iaσ
0
/ql. We get
q
3
= −4πaωσ
0
/c
2
=
_
4πaωσ
0
/c
2
_
e
iπ
.
The folowing way is straightforward.
2.2. Derive the dispersion law for plasmons.
Solution. We have
1
−iω(1 −qv/ω)
= −i
1
ω
_
1 +
qv
ω
+
_
qv
ω
_
2
+. . .
_
The longitudinal conductivity contains
v
2
z
_
1 +
q
z
v
z
ω
+
_
q
z
v
z
ω
_
2
+. . .
_
= v
2
cos
2
θ +
q
2
v
4
ω
2
cos
4
θ =
1
3
v
2
_
1 +
3
5
q
2
v
2
ω
2
_
.
Consequently, the dispersion equation for the Fermi gas has the form
1 −
ω
2
p
ω
2
_
1 +
3
5
q
2
v
2
F
ω
2
p
_
= 0 →ω
2
= ω
2
p
_
1 +
3
5
q
2
v
2
F
ω
2
p
_
= ω
2
p
_
1 +
9
5
(qr
TF
)
2
_
.
Thus, we come to the dispersion equation
1 −
ω
2
p
ω
2
(1 + (9/5)(qr
TF
)
2
)
1 −(ω
2
p
/ω
2
)(qr
TF
)
2
= 0.
or
ω ≈ ω
p
(1 + 7q
2
r
2
TF
/5) .
2.3. Derive the dispersion relation for electromagnetic waves in metals.
det
_
q
2
δ
ik
−q
i
q
k
−
4πiω
c
2
σ
ik
_
= 0.
Solution. We start from the Maxwell equations
curl H =
4π
c
j, curl E = −
1
c
∂H
∂t
and take the curl of the second one with the identity
curl curl E = grad div E −∇
2
E.
After the substitution j
i
=
k
σ
ik
E
k
we come to the result.
172 CHAPTER 8. SOLUTIONS OF THE PROBLEMS
Chapter 3.
3.1. Compare electrical and mechanical energies carried by the wave in a piezidielectric.
Solution. The density of electrical energy in the insulating sample is
Q
e
=
¸ED)
4π
=
0
q
2
[φ[
2
8π
=
1
2
4π[β
i,kl
q
i
q
l
u
k
[2
0
q
2
.
The mechanical energy can be estimated as
Q
m
= 2ρ
ω
2
¸u
2
i
)
2
=
1/2
ρ
w
2
q
2
[u
i
[
2
.
Thus
Q
e
Q
m
= χ =
4π[β
i,kl
q
i
q
k
u
l
[
2
0
ρw
2
q
4
[u
i
[
2
.
3.2. Find the relation between the amplitudes of electric ﬁles and deformation for the
case of acoustic wave in a piezoelectric semiconductor. Compare electrical and mechanical
energies carried by the wave.
Solution. Taking into account the Poisson equation
div D = 4πe(δn)
together with the expression (4.6) for the electrical induction D and expression (4.9) yields
φ = i
4πβ
i,kl
q
i
u
kl
q
2
(q, ω)
= i
4πβ
i,kl
q
i
u
kl
q
2
0
−iω +q
2
D
−iω +q
2
D + 1/τ
m
. (8.1)
3.3. Find dc current induced by a acoustic wave in a nondegenerate piezoelectric
semiconductor.
Hint: A dc current appears in the second approximation in the wave amplitude. Thus
j
dc
= ¸σE −eD(∂ δn/∂x)
time
)
≈ ¸(δσ)E)
=
σ
n
¸(δn)E) .
Solution. Using the hint we write
j
dc
=
σ
2en
1[(δn)
ω
E
∗
ω
]
= −
qσ
2en
·[(δn)
ω
φ
∗
ω
] .
Then, we have from (4.9)
(δn)
ω
= −
σ
e(−iω +Dq
2
)
q
2
φ
ω
.
173
As a result,
j
dc
=
σ
en
_
0
[φ
ω
[
2
q
2
4π
_
q
ω/τ
m
ω
2
+ (q
2
D)
2
.
Now we can express the actual potential φ
ω
through the bare one, φ
0
ω
, as
φ
ω
= φ
0
ω
/(q, ω) .
As a result,
j
dc
=
σ
enw
_
[φ
0
ω
[
2
q
2
4π
0
_
q
ωτ
m
(1 + q
2
/κ
2
)
2
+ ω
2
τ
2
m
.
Here w is the sound velocity The coeﬃcient
_
w
0
[φ
ω
[
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, S as χS. The the product
χq
ωτ
m
(1 + q
2
/κ
2
)
2
+ω
2
τ
2
m
is nothing else than the absorption coeﬃcient Γ. Finally we obtain
j
dc
=
σΓS
s
.
Chapter 4
4.1 Calculate dipole matrix element for the transitions between adjacent subbands in a
rectangular quantum well with inﬁnite potential barriers. Assume that light is polarized
perpendicular to the well.
Solution Normalized wave functions are
g
n
(z) =
¸
2
W
_
cos(πnz/W), n odd
sin(πnz/W), n even
Thus, for odd n
¸n[p
z
[n + s) = ¸n +s[p
z
[n)
= −i
2¯ h
W
_
W/2
−W/2
dz cos(πnz/W)(∂/∂z) sin[π(n +s)z/W]
=
2¯ h
iW
[2 sin(πsn/2) +sin(πs
2
/2) + sin(πns +πs
2
/2)](n +s)
s(2n +s)
.
174 CHAPTER 8. SOLUTIONS OF THE PROBLEMS
For s = 1 the matrix element is
−
4i¯ h
W
n(n + 1)
2n + 1
.
4.2 Make a similar calculation for a parabolic conﬁnement
U(z) = (1/2)mω
2
z
2
.
Deﬁne ω from the request that the typical spread of the ground state wave function is W
and compare the result with the case of rectangular conﬁnement.
Solution. The solution is similar. The typical conﬁnement length is related to the
frequency ω as
W =
_
¯ h/mω → ω = ¯ h
2
/mW
2
.
From textbooks in quantum mechanics,
¸n[p
z
[n +s) = i
¯ h
W
√
2
[
√
nδ
s,−1
−
√
n + 1δ
s,1
] .
Part III
Superconductivity
175
Chapter 9
Fundamental Properties of
Superconductors
9.1 General properties.
We discuss here the most important properties of superconductors which are deﬁnitely well
known. They are
• Zero resistance (KammerlinghOnnes, 1911) at T < T
c
. The temperature T
c
is called
the critical one.
• Superconductivity can be destroyed also by external magnetic ﬁeld H
c
which is also
called the critical one (KammerlinghOnnes, 1914). Empirically,
H
c
(T) = H
c
(0)
_
1 −(T/T
c
)
2
_
.
• If the superconductivity is destroyed by the current the critical current is just the
one which produces the ﬁeld H
c
at the surface (the Silsby rule). (This rule is not
valid for thin samples, see below).
• The MeissnerOchsenfeld eﬀect (1933). Magnetic ﬁeld does not penetrate the sample,
the magnetic induction being zero, B = 0 (see Fig. 9.1). In many important case
this eﬀect can be not complete. We will come back to the problem later.
• To be more exact, the ﬁeld does exist inside a surface region with the thickness
δ ∼ 10
−5
−10
−6
cm where persistent screening currents ﬂow. Empirical temperature
dependence of the penetration depth is
δ(T) = δ(0)
1
_
1 −(T/T
c
)
4
so δ →∞ at T →T
c.
177
178 CHAPTER 9. FUNDAMENTAL PROPERTIES
Figure 9.1: The Meissner eﬀect.
• The phase transition to the superconducting (SC) state in the absence of magnetic
ﬁeld is the type II one. So, there in no hidden heat. Rather, there is a discontinuity
of the speciﬁc heat. Contrary, if H ,= 0 (i.e. at T < T
c
) the transition is the type I
one.
• The penetration depth continuously changes from the ﬁnite value to inﬁnity at T
c
. It
means that the properties of electron system change also continuously. At the same
time, resistivity changes abruptly. One could imagine that electrons do not interact
with the lattice in the SC state. In this case one would expect great increase of the
thermal conductivity. Nevertheless, it is continuous at the transition point.
• The last property which is very important is that electron contribution to the speciﬁc
heat behaves at low temperatures as exp(−∆/k
B
T) that means that there is a gap in
the elementary excitation spectrum. But this gap is strongly temperature dependent
contrary to semiconductors. Indeed, it should vanish at the transition point.
• There are other arguments in favor of the gap in the excitation spectrum, namely,
electromagnetic and sound absorption which has the threshold ¯ hω = 2∆ (because a
pair of excitations is created by a quantum), tunnel eﬀect and so on.
As a result, one comes to the conclusion that it is a new type of condensed state.
The London Equation
In the following, it is convenient to use the local magnetic ﬁeld h(r), the induction being
B =
¯
h. One can write the free energy as
T =
_
F
s
d1 +E
kin
+E
mag
where F
s
is the free energy on the condensed system, while E
kin
is connected with persistent
currents. If we denote
j
s
= −n
s
ev(r)
9.1. GENERAL PROPERTIES. 179
with the density of superconducting electrons, n
s
,
1
E
kin
=
1
2
_
n
s
mv
2
d1.
The energy of magnetic ﬁeld is
E
mag
=
_
h
2
8π
d1.
Then,
curl h =
4π
c
j
s
. (9.1)
As a result,
T = T
0
+
1
8π
_
_
h
2
+δ
2
L
[curl h[
2
_
d1
with
T
0
=
_
F
s
d1 δ
L
=
¸
mc
2
4πn
s
e
2
. (9.2)
At low temperature it is natural to assume that n
s
= n
e
. Then, for orderofmagnitude
estimates we get for δ ∼ 500
˚
A for simple metals like Al and Sn (m ∼ m
0
) and ∼ 2000
˚
A
for transition metals with large m.
Now we get the equation for h that provides the minimal free energy. We get
δT =
1
4π
_
(h δh+δ
2
L
curl h curl δh) d1 =
1
4π
_
(h +δ
2
L
curl curl h) δhd1
(the second expression is obtained by the interacting by parts, check!). As a result, for the
minimum we get the London equation
h +δ
2
L
curl curl h = 0. (9.3)
which should be analyzed together with the Maxwell equation (9.1).
The Meissner eﬀect
For the simplest geometry, Fig. 9.2, the surface is the (x, y) plane, ﬁeld and current
depend only on z. We have
h +δ
2
L
curl curl h = 0,
curl h = (4π/c) j
s
,
div h = 0.
1. If h  z, we obtain ∂h/∂z = 0, h = const. Consequently, curl h = 0, j
s
= 0. From
the London equation, h = 0. The ﬁeld cannot be normal to the superconductor
surface.
1
We assume that the velocity is a slowvarying function of coordinates.
180 CHAPTER 9. FUNDAMENTAL PROPERTIES
Figure 9.2: The Meissner eﬀect. Penetration depth.
2. If h  x the equation div h = 0 is automatically met, and we get j  y. So, the
Maxwell equation is
dh
dz
=
4π
c
j
s
and the London one
dj
s
dz
=
n
s
e
2
mc
h =
h
δ
2
L
c
4π
.
The solution is
h(z) = h(0) e
−z/δ
L
.
Thus, we have proved the concept of the penetration depth.
Chapter 10
Magnetic Properties of Type I
Superconductors
10.1 Thermodynamics in a Magnetic Field.
Consider a long cylinder shown in Fig. 10.1.
Figure 10.1: Magnetic properties of a long cylinder.
1. In a normal state, the ﬁeld is homogeneous
h =
4πNI
cL
,
T
n
= πr
2
0
LF
n
+πr
2
1
L
h
2
8π
.
2. In a SC state
T
s
= πr
2
0
LF
s
+π(r
2
1
−r
2
0
)L
h
2
8π
.
181
182 CHAPTER 10. PROPERTIES OF TYPE I ..
Here we have neglected surface eﬀects – penetration of the ﬁeld inside the sample and
kinetic energy of surface currents (r
0
¸δ).
Let us ﬁnd the diﬀerence F
n
−F
s
. At the transition the magnetic ﬂux Φ decreases. As
a result, the voltage V is induced, the work being
_
V I dt = −
_
s
n
_
N
c
dΦ
dt
_
I dt.
If we keep the current constant
_
V I dt =
NI
c
(Φ
n
−Φ
s
) =
NI
c
πr
2
0
h = πr
2
0
L
h
2
4π
.
In the equilibrium, at h = H
c
,
T
n
−T
s
=
_
V I dt = πr
2
0
L
H
2
c
8π
.
As a result,
F
n
−F
s
=
H
2
c
4π
.
Now we can derive several important relations.
1. Let us ﬁx the current I and change the temperature. The entropy
S
n
= −
dF
n
dT
, S
s
= −
dF
s
dT
→
S
n
−S
s
= −
1
4π
H
c
dH
c
dT
the hidden heat being
L = T(S
n
−S
s
) = −
T
4π
H
c
dH
c
dT
> 0.
It is known that at T → T
c
H
c
→ 0 while dH
c
/dT remains ﬁnite. We have proved that
at H = 0 L = 0 (type II transition). The speciﬁc heat step is
C
n
−C
s
=
_
T
d
dT
(S
n
−S
s
)
_
Tc
= −
1
4π
_
_
T
_
dH
c
dT
_
2
_
_
Tc
.
This relation is conﬁrmed by experiments.
10.2 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.
10.2. PENETRATION DEPTH 183
To make this equation deﬁnite one should chose the gauge and the boundary conditions.
Usually the gauge
div A =0, [A
n
= 0]
surface
is chosen. In such a gauge the current response is
j
s
= −
n
s
e
2
mc
A (10.1)
with
div j =0, [j
n
= 0]
surface
.
The ﬁrst condition is just the continuity equation while the second is met in the absence
of the currents ﬂowing into the sample.
Eq. (10.1) is valid if both the current and ﬁeld slowly vary in space. As the same time,
if there is a gap ∆ in the excitations spectrum the electrons in the layer
F
−∆ < p
2
/2m <
F
+ ∆
are correlated. The width of the layer in the pspace is
δp ∼ 2∆/v
F
.
According to the uncertainty principle, it means that the spatial size of the package is
ζ
0
=
¯ hv
F
π∆
(the factor 1/π is introduced for convenience). The quantity ζ
0
is called the coherence
length.
We see that the London equation is valid at
δ
L
¸ζ
0
.
The materials with δ
L
¸ζ
0
are called the type II superconductors. In this section we are
interested in the opposite limiting case, δ
L
¸ζ
0
, for type I materials.
To get the relation between the current and the vectorpotential usually the Pippard’s
phenomelogical expression is used
j(r) = C
_
_
A(r
t
) R
_
R
R
4
e
−R/ζ
0
d1
t
, R = r −r
t
. (10.2)
To get C we apply this expression to the case of slowvarying vector potential. In this case
the potential can be considered as constant, and we should come to the London expression.
As a result (see Problem 8.1)
C = −
3n
s
e
2
4πmcζ
0
. (10.3)
The exact result can be obtained from the microscopic theory and it is much more com
plicated. Nevertheless, the Eq. (10.2) is a very good approximation and we will use it
extensively.
184 CHAPTER 10. PROPERTIES OF TYPE I ..
Penetration depth.
The integration in Eq. (10.2) is performed over the whole sample. Near the surface it is
obviously incorrect. One can use the following rule. Let us keep Eq. (10.2) but perform the
integration only over the points r
t
which are accessible from the point r along the straight
line (see Fig. 10.2).
Figure 10.2: On the shadow eﬀect.
The exact theory is very complicated for this case, and we will apply the model con
siderations (Pippard).
Let us return to our geometry, Fig. 9.2. Let the vectors A, j are parallel to z. If the
vectorpotential would be constant near the surface one would obtain
j = −
n
s
e
2
mc
A.
In reality, A is not very small only in the layer with the thickness δ ¸ ζ
0
. Consequently,
one should multiply this expression by δ/ζ
0
to get
j = −
n
s
e
2
mc
δ
ζ
0
A.
Substituting this relation to the Maxwell equation (9.1) we get
h(z) = h(0) e
−z/δ
with the following selfconsistent equation for δ
δ
−2
=
4πn
s
e
2
mc
2
δ
ζ
0
→δ
3
= δ
2
L
ζ
0
.
The exact theory leads to the extra factor 0.62 it this equation:
δ
3
= 0.62 δ
2
L
ζ
0
. (10.4)
10.2. PENETRATION DEPTH 185
Metal δ
L
,
˚
A ζ
0
,
˚
A δ
th
,
˚
A δ
exp
,
˚
A
Al 157 16000 530 490515
Sn 355 2300 560 510
Pb 370 830 480 390
Table 10.1: Values of δ and ζ
0
for 3 metals.
As a result
δ
δ
L
∼
_
ζ
0
δ
L
_
1/3
¸1, while
δ
ζ
0
∼
_
δ
L
ζ
0
_
2/3
¸1.
There are several conventional ways to measure the penetration depth: by magnetic
susceptibility of small SC particles, or thin ﬁlms. Another way is measuring the inductance
of a coil near the SC surface, or the inductance of a coil with long SC cylinder as a kernel
(the Kazimir method). The best way is study a cavity with SC walls.
Filed Penetration into Clean Metals and Alloys.
Clean Metals
Now we brieﬂy discuss the experimental picture. It interesting to check the relation (10.4).
For clean metals one can obtain the ratio n
e
/m and v
F
from the speciﬁc heat data and
calculate δ
L
, while ∆(0) can be obtained from the similar measurements in the SC state,
so we can determine ζ
0
. The comparison is given in the table 10.1.
Alloys
The idea to take impurities into account in the simplest way belongs also to Pippard. It is
just to introduce the facto exp(−[r −r
t
[/) in the integrand of Eq. (10.2) to get
j(r) = C
_
_
A(r
t
) R
_
R
R
4
exp
_
−R
_
1
ζ
0
+
1
__
d1
t
, R = r −r
t
. (10.5)
This way was successful to explain many experimental results, in particular, on the alloys
SnIn, Fig. 10.3. We see that the penetration depth increases with the increase of the
impurity concentration.
ImpurematerialsaretypeIIsuperconductors.
At δ ¸ one can integrate over R considering A(r
t
) as constant. The result is
j(r) = C
4π
3
1
ζ
−1
0
+
−1
A(r).
186 CHAPTER 10. PROPERTIES OF TYPE I ..
Figure 10.3: The dependence δ vs in SnIn alloys.
We returned to the London equation
j(r) = −
n
s
e
2
mc
ζ
0
A(r)
which leads to the penetration depth
δ = δ
L
¸
ζ
0
at ¸δ, ζ
0
. (10.6)
Temperature Dependence of the Penetration Depth
As a prescription, the Pippards relations (10.2) and (10.5) remain valid at ﬁnite temper
atures. One can retain the quantity ζ
0
obtained for zero temperature while the factor C
becomes temperaturedependent. Near T
c
C ∝ T
c
−T .
We will discuss this complete dependence after considering microscopic theory. People
often use the empirical relation given above which works relatively well.
10.3 Magnetic Properties of Samples with an Arbi
trary Shape
Nature of the Intermediate State.
To discuss the penetration depth we have always used the long cylinder conﬁguration which
provides constant magnetic ﬁeld at the surface. 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 H
0
, Fig. 10.4. If the ﬁeld is very low, we have the Meissner eﬀect
10.3. ...ARBITRARY SHAPE 187
Figure 10.4: Field distribution near a SC sphere with the radius a.
and h =0 inside the sphere. To get the ﬁeld outside one should write the Maxwell equation
div h = curl h = 0, h →H
0
at r →∞.
Another boundary condition is
(h
n
)
r=a
= 0
(the ﬁeld cannot be normal to a SC). As a result, we get the solution for the region outside
the sphere
h = H
0
+H
0
a
3
2
∇
_
cos θ
r
2
_
that is just the ﬁeld of a magnetic dipole. At the surface, the tangential ﬁeld component
is
(h
θ
)
r=a
=
3
2
H
0
sin θ.
Thus, at the equator (θ = π/2) h
θ
= (3/2)H
0
and at H
0
= (2/3)H
c
the maximal ﬁeld is
just H
c
. What happens at
frac23H
c
< H
0
< H
c
? (10.7)
In this region the normal and SC phases coexist. This state is called the intermediate
one. It is clear that condition (10.7) is shape dependent. For example, in a very thin plate
intermediate state exists at any ﬁeld H < H
c
.
To study the system in more detail, let us consider the plate in a perpendicular magnetic
ﬁeld, Fig.(10.5). We see the set in N and S layers, the ﬁeld at the interface being H
c
. In
the Nregions h  z, i.e. div h = curl h = 0. As a result, h = const. In Slayers h = 0.
To keep the ﬂux constant we should ﬁx the fraction of SC volume to be
ρ =
d
s
d
n
+ d
s
.
188 CHAPTER 10. PROPERTIES OF TYPE I ..
Figure 10.5: Field distribution in a plate embedded in a transverse ﬁeld.
Indeed, far away the ﬁeld is homogeneous, h = H
0
, and the ﬂux is AH
0
where A is the
ﬁlm’s area. Inside the ﬁlm the total ﬂux penetrated only the normal regions, the area
being A(1 −ρ) while the ﬁeld is equal to H
c
. As a result,
AH
0
= A(1 −ρ)H
c
→ρ = 1 −
H
0
H
c
.
We cannot determine the thickness d
n,s
from geometry consideration and need to discuss
thermodynamics.
Important Thermodynamics Relations
Now we introduce the most important concepts of thermodynamics to use them in the
following chapters.
Free energy
Consider a system consisting of the sample and external objects (coils, generators, etc.).
The energy of the electrons can be written as (we put the electron charge −e)
U =
i
_
1
2m
_
p
i
+
e
c
A
_
2
+V
i
_
+
i,=j
V
ij
.
To get the free energy one should add the entropy contribution−TS. Thus
U −TS ≡
_
sample
F
s
d1.
Adding the magnetic energy
_
(h
2
/8π) d1 we get
T =
_
sample
F
s
d1+
_
all space
(h
2
/8π) d1. (10.8)
10.3. ...ARBITRARY SHAPE 189
Magnetic induction
In many cases, we will face the problems when the ﬁeld changes at the scale ∆x which
is small in comparison with the sample’s size. In those case it is convenient to introduce
magnetic induction B(r) as the average ﬁeld at the distances ¸ ∆x, but much less than
the sample’s size. According to this deﬁnition
B =
¯
h inside the sample
B = h outside .
From the local Maxwell equations we get
curl B =
4π
c
¯
j, div B = 0. (10.9)
Magnetic ﬁeld strength
Assume that the ﬁeld h(r) has changed because of the variation of the currents in the coils.
As a result, the induction B should also change. Expanding the free energy in powers of
δB(r) we get
δT =
1
4π
_
H(r) δB(r) d1 (10.10)
where we have introduced the factor (1/4π) just for convenience. The function H(r) deﬁned
in such a way is called the magnetic ﬁeld. Outside the sample
hδh
4π
=
HδB
4π
, h = B.
Consequently, outside the sample the thermodynamic ﬁeld H is the same as the microscopic
ﬁeld.
The deﬁnition (10.10) is rather formal. To understand its physical meaning we consider
the situation when no external currents ﬂow into the sample. In this case
¯
j =
¯
j
s
+j
e
where j
e
is the current density in the external coils, etc. We have
curl H =
4π
c
j
e
. (10.11)
To prove this expression let us assume that the induction B(r) has the variation δB(r) for
the time δt. As a results, the electric ﬁeld E appears in the external circuit according to
the Maxwell equation
curl E = −
1
c
δB
δt
.
This electric ﬁeld leads to the work δt
_
j
e
Ed1 upon the external currents, while the work
produced by these currents is
δW = −δt
_
j
e
Ed1. (10.12)
190 CHAPTER 10. PROPERTIES OF TYPE I ..
On the other hand, it is known from the thermodynamics that for reversible processes this
work should be equal to the variation of the free energy, δW = δT. Now we return to the
deﬁnition (10.10)
δT = δt
1
4π
_
H
δB
δt
d1 = −δt
c
4π
_
Hcurl Ed1
= −δt
c
4π
_
Ecurl Hd1 −δt
c
4π
_
[E H] ds
where the last integral is calculated over the surface of the whole system and it is equal to
the emitted energy. Neglecting the last term and comparing the result with Eq. (10.12)
we prove Eq. (10.11).
Thermodynamic potential at ﬁxed T and j
e
If both the temperature and ﬁeld are changed
δT =
1
4π
_
HδBd1 −S δT.
To get the equilibrium at ﬁxed T and B one should minimize T.
Usually, experimentally both the external currents and the temperature are kept ﬁxed.
To take it into account it is convenient to construct a special thermodynamic potential
( = T −
1
4π
_
B Hd1.
Consequently,
δ( = −
1
4π
_
B δHd1 −S δT. (10.13)
Because div B =0 one can put B = curl
¯
A where
¯
A is the “macroscopic” vectorpotential.
Then, after the integration by parts,
S δT +δ( = −
1
4π
_
curl
¯
A δHd1 =
1
4π
_
¯
A curl δHd1 =
1
c
_
¯
A δj
e
d1.
This is just the potential which should be minimized at ﬁxed T and j
e
.
Magnetization Curve in the Intermediate State
To get the magnetization curve B(H) let us calculate the (potential for the sample. If
the magnetic ﬁeld in a normal state if h
n
B = (1 −ρ)h
n
+ρ 0 = (1 −ρ)h
n
.
The free energy density is
F = F
n
−
ρH
2
c
8π
. ¸¸ .
+(1 −ρ)
h
2
n
8π
.
condensation energy
10.3. ...ARBITRARY SHAPE 191
Here we dropped the interface energy at S −Nboundaries, as well as the ﬁeld distortion
near the surface. Introducing B we get
F = F
n
−
ρH
2
c
8π
+
B
2
8π(1 −ρ)
.
Now
((B, ρ)= T −
BH
4π
= F
n
−
ρH
2
c
8π
+
B
2
8π(1 −ρ)
−
BH
4π
.
1. Minimization with respect to ρ :
[B[ = H
c
(1 −ρ) →h
n
= H
c
.
2. Minimization with respect to B :
B = H(1 −ρ).
That means: i) B  H, ii) the quantity H is constant over the sample and equal to H
c
.
These relation are equivalent to the conventional relation B =µH for a paramagnet. The
only (but very important) diﬀerence is that in SC it is nonlinear.
The distribution of magnetic ﬁeld can be obtained from the set of equations
div B = 0,
curl H = 0,
H =
B
B
H
c
and usual boundary condition of continuity of B
n
and H
t
(normal component of induction
and tangential component of the ﬁeld.
Applications.
1. Force lines are the straight ones.
Proof. We have H
2
= H
2
c
, so
0 = ∇H
2
= 2(H ∇)H+2
_
H curl H
. ¸¸ .
_
.
0
Consequently, (H ∇)H =0  vector H does not change along the force line and it is the
straight one.
192 CHAPTER 10. PROPERTIES OF TYPE I ..
2. Field distribution in a sphere.
We chose zaxis along B and H, which are constant. We know that inside H = H
c
. Let us
denote B as B
0
. Outside the sample
H = B = H
0
−H
1
a
3
2
∇
_
cos θ
r
2
_
where H
1
is a constant. Then we apply boundary conditions:
Continuity of H
t
→
_
H
0
+
H
1
2
_
sin θ = H
c
sin θ,
Continuity of B
n
→(H
0
−H
1
) cos θ = B
0
cos θ.
As a result,
B
0
= 3H
0
−2H
c
,
H
1
= 2(H −H
c
).
We come to the conclusion the fraction of SC regions in a sphere is
ρ = 1 −
B
0
H
c
= 1 −
3H
0
−2H
c
H
c
= 3
H
c
−H
0
H
c
,
2
3
H
c
< H
0
< H
c
.
The ﬁeld at the equator and at the poles of a sphere is shown in Fig. 10.6.
Figure 10.6: Field distribution at the equator (1) and poles (2) of a SC sphere.
3. Critical current of a SC wire.
Consider a wire with the radius a, Fig. 10.7 carrying the current I. The ﬁeld at the surface
is H(a) = 2I/ca. If H(a) < H
c
all the wire is in a SC state. So, the critical current is
I
c
=
ca
2
H
c
.
At I > I
c
the surface is to become normal. On the other hand, in this case the current
would be uniform that leads to the condition H < H
c
near the central part. Thus, we
10.3. ...ARBITRARY SHAPE 193
Figure 10.7: Field distribution in a wire.
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.
At the boundary, at r = R, one has H(R) = H
c
and we get the condition for the
current inside the tube r < R
H(R) = H
c
=
2I
1
cR
→I
1
=
cRH
c
2
= I
c
R
a
< I
c
< I.
We come to the conclusion that the current I −I
1
should ﬂow through the normal external
part. As a result, this current should produce a constant electric ﬁeld E (remember: curl
E = 0). So, the central part cannot be completely SC. The picture of the intermediate
state in a wire is shown in Fig. 10.7.
Microscopic Structure of the Intermediate State.
Let us discuss the structure of the intermediate state in more detail. Consider a plate
shown in Fig. 10.8 and placed in a perpendicular magnetic ﬁeld H
0
. Let us assume that
the normal and SC regions form a layered structure. Our aim is to determine the widths
d
n,s
of the layers.
The way is to minimize the free energy with respect to d
n,s
at given H
0
. That means
the ﬁxed ﬂux through the plate and one has to use (potential. If the interfaces are ﬂat
and the surface energy is neglected
T = −
H
2
c
8π
L
x
L
y
e
d
s
d
. ¸¸ .
+
H
2
0
8π
L
x
L
y
e
d
d
n
. ¸¸ .
, d = d
n
+d
s
condens. magn. energy for h = H
0
(d/d
n
)
Now we come to the next approximation. We have to take into account
194 CHAPTER 10. PROPERTIES OF TYPE I ..
Figure 10.8: Microscopic domain structure.
1. Creation of the N − S interfaces. We allow for the interfaces introducing a speciﬁc
surface energy
γ =
H
2
c
8π
λ, λ ∼ 10
3
−10
4
˚
A.
The corresponding contribution to T is
γeL
y
(number of interfaces) =
H
2
c
8π
λeL
y
2L
x
d
.
2. Deformation of the force lines near the surface. As shown in Fig. 10.9, SC domains
become thinner near the surface. The energy ”loss” is of the order ∼ d
2
s
L
y
for each
interface. The total loss is
H
2
c
8π
d
2
s
L
y
L
x
d
U
0
_
d
s
d
_
where U
0
is the dimensionless function which depends on the shape of the regions.
3. Magnetic energy is also changed near the surface which we take into account by
another dimensionless function V
0
H
2
0
8π
d
2
s
L
y
L
x
d
V
0
_
d
s
d
_
.
Let us consider the quantities ρ
s
and d as independent variables. As we have seen
earlier, for a macroscopic material
1 −ρ
s
=
H
0
H
c
.
We ﬁx the SC density ρ
s
according to this expression and get
T = T
macro
+
H
2
c
8π
eL
x
L
y
_
2λ
d
+
_
ρ
2
s
U
0
+ρ
2
s
(1 −ρ
2
s
)V
0
_
d
e
_
.
10.3. ...ARBITRARY SHAPE 195
Figure 10.9: Domain structure near the surface.
Minimizing with respect to d we get
d =
¸
λe
ϕ(ρ
s
)
, ϕ(ρ
s
) =
1
2
_
ρ
2
s
U
0
+ρ
2
s
(1 −ρ
2
s
)V
0
_
.
The typical estimates are: for H
0
/H
c
∼ 0.7, ϕ = 10
−2
, we get d ∼
√
λe. Taking e ∼ 1
cm, λ ∼ 3000
˚
A, we obtain d ≈ 0.06 cm.
There are several methods to observe the domain structure.
1. Change of the resistance of a thin wire while motion along the sample’s surface
(Meshkovskii, Shal’nikov, 1947).
2. Decoration by ferromagnetic powder.
3. Optical methods (using Faraday rotation).
We have discussed a simpliﬁed picture. The surface domain structure is much more
complicated because of the surface winding (see the lower panel of Fig. 10.9).
196 CHAPTER 10. PROPERTIES OF TYPE I ..
10.4 The Nature of the Surface Energy.
In the end of the chapter we discuss qualitatively the nature of the interface contribution
to the energy.
Consider two limiting cases.
1. ζ
0
¸ δ. In our previous macroscopic treatment we have assumed the sharp N − S
boundary. In the Nregion the thermodynamic potential ( decreases due to mag
netic contribution (H
2
c
/8π) − (H
2
c
/4π) while in the Sregion it decreases according
to the condensation energy as −(H
2
c
/8π). What is the diﬀerence if we come to the
microscopics? The new feature is that the superconductivity becomes ”spoiled” at
the distance ∼ ζ
0
that leads to the loss of the condensation energy. Consequently,
λ ∼ ζ
0
and γ ∼ (H
2
c
/8π)ζ
0
.
2. ζ
0
¸δ. The contribution discussed above is very small and we return to the Lonfon
equation for the ﬁeld. We have h = H
c
in the N region while h = H
s
exp(−x/δ) in
the Sregion. The (potential has the form
( =
_
x>0
d1
_
_
F
n
−
H
2
c
8π
+
h
2
8π
−
Hh
8π
+
δ
2
8π
_
dh
dx
_
2
_
_
The speciﬁcation of the items is
1 →free energy of normal phaseat H = 0,
2 →condensation energy of the S−region,
3 →energy of magneticﬁeld,
4 →microscopic analog of the quantity −(BH/4π),
5 →kinetic energy of the currents.
We write the previous expression as
( =
_
d1
_
F
n
−
H
2
c
8π
_
+γA
extracting the surface contribution. As a result,
γ =
1
8π
_
∞
0
dx
_
_
h
2
+δ
2
_
dh
dx
_
2
−2hH
c
_
_
= −
H
2
c
8π
δ.
We see that surface energy is negative. So the system ”wants” to make as many
surfaces as possible. It is not surprising that superconductors with ζ
0
¸ δ have
speciﬁc magnetic properties. They are called the type II superconductors and we
will discuss these materials in the next chapter.
Chapter 11
Magnetic Properties of Type II
Superconductors
11.1 Magnetization Curve for a Long Cylinder
Type II superconductors have the following general properties
1. The Meissner eﬀect in a long cylinder is complete only in very weak ﬁelds, H < H
c1
.
The lower critical ﬁeld H
c1
is much less than the thermodynamic ﬁeld H
c
deﬁned as
F
n
−F
s
=
H
2
c
8π
.
2. At H > H
c1
magnetic ﬁeld lines penetrate the cylinder. Nevertheless, even in the
equilibrium state the penetration is not complete. The ﬂux Φ is less than in the
normal state. It means that persistent currents still exist. Such a situation holds at
H
c1
< H < H
c2
where H
c2
is the socalled upper critical ﬁeld which is much greater
than H
c
.
3. At H > H
c2
a macroscopic sample does not repel the ﬂux, and B ≡ H. At the same
time, at H
c2
< H < H
c3
a surface SC layer still exists, the thickness being ∼ 10
3
˚
A.
Usually, H
c3
= 1.69H
c2
. One can observe the layer measuring surface conductivity.
The physical reason is similar to the bubbles creation at the wall of the glass with
beer (see later).
The values of critical ﬁelds for V
3
Ga at T = 0 are: H
c1
= 200 G, H
c
= 6 000 G, H
c2
=
300 000 G.
The temperature dependencies of the critical ﬁelds are shown in Fig. 11.1. Now we will
concentrate on the region H
c1
< H < H
c2
with partial ﬁeld penetration. Such a region has
been discovered by Shubnikov (1937) and is called the Shubnikov phase. Another names
for this region are the vortex state (see below), and the mixed state (do not mix with the
intermediate state for type I SC). The magnetization curve B(H) is shown in Fig. 11.2.
197
198 CHAPTER 11. MAGNETIC PROPERTIES TYPE II
Figure 11.1: Phase diagram of a long cylinder of type II superconductor.
In some experimental works people prefer to plot magnetization
M =
M −H
4π
(see Fig. 11.3). It is interesting that the areas below the curves in Fig. 11.2 are the same
for type I and type II SC (Problem 10.1).
Now let us discuss the phase transition at H equal to the critical value H
c1
or H
c2
. We
start with H = H
c2
. According to experimental results,
1. The curve B(H) is continuous at H = H
c2
.
2. There is no hidden heat while there is a discontinuity of the speciﬁc heat.
So we face the typical type II transition. Let us consider thermodynamics for this
transition. Let us consider two phases: the Shubnikov one i, and the ”normal” one, j, in
which most of the sample is in the normal state (B = H(. We have
G
i
= F
i
(T, B) −
B
i
H
4π
,
the dependence B(H) is determined from the condition
∂
∂B
i
F
i
(T, B
i
) =
H
4π
, (11.1)
while the entropy is
S
i
= −
_
∂G
i
∂T
_
H
= −
∂F
i
∂T
.
11.1. MAGNETIZATION CURVE FOR A LONG CYLINDER 199
Figure 11.2: 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
∗
= H
c2
)
that means
G
i
= G
j
.
If there is no hidden heat the entropies should be also equal,
S
i
= S
j
.
That leads to the continuity of the curve B(H) along the equilibrium line H = H
∗
(T).
Indeed, we have at the line
dF
i
dT
=
∂F
i
∂T
+
∂F
i
∂B
i
dB
i
dT
Using the magnetization curve (11.1) we obtain [dH = (dH
∗
/dT)dT]
dG
i
dT
= −S
i
−
B
i
4π
dH
∗
dT
.
Then, along the equilibrium curve (G
i
= G
j
) we have
dG
i
/dT = dG
j
/dT , S
i
= S
j
.
Thus B
i
= B
j
.
Now we can calculate the speciﬁc heat at given magnetic ﬁeld as
C
i
= T
_
∂S
i
∂T
_
H
.
200 CHAPTER 11. MAGNETIC PROPERTIES TYPE II
Figure 11.3: Magnetization curves for type I (dashed line) and type II (solid line) super
conductors.
As earlier, we express
dS
i
dT
=
_
∂S
i
∂T
_
H
+
_
∂S
i
∂H
_
T
dH
∗
dT
.
We should remember that along the magnetization curve
dS
i
dT
=
dS
j
dt
.
As a result, we get
C
j
−C
i
= T
dH
∗
dT
__
∂S
i
∂H
_
T
−
_
∂S
j
∂H
_
T
_
.
The last part of the calculation is to express the derivative (∂S
i
/∂H)
T
through magnetic
characteristics. We have
_
∂S
i
∂H
_
T
=
_
∂S
i
∂B
i
_
T
_
∂B
i
∂H
_
T
= −
∂
2
F
i
∂B
i
∂T
_
∂B
i
∂H
_
T
= −
1
4π
∂H(B
i
, T)
∂T
_
∂B
i
∂H
_
T
. (11.2)
Then
dH
∗
dT
=
_
∂H
∂T
_
B
i
+
_
∂H
∂B
i
_
T
dB
dT
(11.3)
where
dB
dT
=
dB
i
dT
=
dB
j
dT
11.2. MICROSCOPIC STRUCTURE OF THE MIXED STATE 201
is the induction derivative along the equilibrium line. Substituting (∂H/∂T)
B
i
from (11.3)
into (11.2) we get
_
∂S
i
∂H
_
T
= −
1
4π
dH
∗
dT
_
∂B
i
∂H
_
T
+
1
4π
dB
dT
C
j
−C
i
=
T
4π
_
dH
∗
dT
_
2
__
∂B
j
∂H
_
T
−
_
∂B
i
∂H
_
T
_
Consequently, if one knows both the dependence H
∗
(T) and magnetic susceptibility
_
∂B
j
∂H
_
T
for both phases he can predict the speciﬁc heat discontinuity. Looking at the curves in
Fig. 11.2 we see that C
i
> C
j
. 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).
Check of thermodynamic properties is very important to prove that you
observe the true bulk eﬀects.
11.2 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.
9.4). It is clear that in this case the system “wants” to form a ﬁne mixture of normal and
SC regions, the surface contribution to the free energy being very important.
To get the physical picture we start with the case of a mixed state with small B
(H − H
c1
¸ H
c1
). One can imagine 2 types of the structure: thin layers (with the width
∼ ζ), or ﬁlaments with the radius ∼ ζ. One can show that at δ ¸ ζ the latter is more
advantageous, and we discuss it in more detail.
Consider an isolated ﬁlament (see Fig. 11.4) which is called the Abrikosov vortex line
(Abrikosov, 1956). It has a core with a radius ζ in which the density n
s
of SC electrons
decays to zero in the center. The magnetic ﬁeld is maximal in the center while at r > δ it
decays as a result of screening by circular currents.
As we will see later, the structure of the core is not important for many applications,
at least at δ ¸ ζ (the core’s characteristics usually enter under the sign of logarithm).
According to the results both of the experiment and the theory (we will discuss it in
detail), the magnetic ﬂux through a hole in a massive SC in quantized:
Φ = kΦ
0
, Φ
0
=
ch
2e
= 2 10
7
G cm
2
.
Thus, we can expect that the magnetic ﬂux
Φ =
_
h dS
is equal to Φ
0
(maximal mixing in the system). The condition Φ = Φ
0
determines all the
structure of an isolated line at δ ¸ζ.
202 CHAPTER 11. MAGNETIC PROPERTIES TYPE II
Figure 11.4: Structure of an isolated ﬁlament in a type II superconductor.
Properties of a isolated vortex line.
Because we are interested in the case δ ¸ζ, let us neglect the core contribution to the free
energy. As was shown in Sec. 8.1.1, the contribution of an isolated line can be expressed
as
T =
1
8π
_
r>ζ
_
h
2
+δ
2
L
(curl h)
2
_
d1 . (11.4)
We are interested in the linear tension, i.e.in the value of T for a unit length. Outside the
core the ﬁeld is determined by the London equation
h +δ
2
L
curl curl h = 0 , r > ζ .
The presence of the core we take into account as a boundary condition at r → ζ.
Because δ ¸ ζ we can express it introducing a δfunction source in the London equation
as
h +δ
2
L
curl curl h = z Φ
0
δ
2
(r) (11.5)
where z is the unit vector directed along zaxis. To prove this assumption let us integrate
the Eq. (11.5) over the area of a circular contour with the center at the axis and the radius
11.2. MICROSCOPIC STRUCTURE OF THE MIXED STATE 203
r. Using the Stokes theorem we get
_
h dS +δ
2
L
_
curl h dl = Φ
0
.
The ﬁrst integral in the l.h.s. is just the magnetic ﬂux through the contour. Remembering
that
j =
c
4π
curl h
we see that for r ¸δ it is possible to neglect the contour integral. Thus we prove that the
total ﬂux is equal to Φ
0
.
Now we will ﬁnd the structure of the ﬁled. It is easy to calculate it for
ζ ¸r ¸δ .
Indeed, one can neglect the ﬁrst integral in the l.h.s. of Eq. (11.5) and get
δ
2
L
2πr[ curl h[ = Φ
0
→[ curl h[ ≡ −
∂h
∂r
=
Φ
0
2πδ
2
L
1
r
.
As a result,
h =
Φ
0
2πδ
2
L
_
ln
δ
L
r
+ const
_
, ζ ¸r ¸δ .
In principle, one can ﬁnd exact solution of the London equation (11.5) together with
the condition div h = 0. It has the form
h =
Φ
0
2πδ
2
L
K
0
_
r
δ
L
_
(11.6)
where K
0
is the Bessel function. Comparing the exact solution (11.6) with the asymptotic
one we get: const =0. The largedistance asymptotics of the ﬁeld, according to (11.6) is
h =
Φ
0
2πδ
2
L
¸
πδ
L
2r
e
−r/δ
L
, r ¸δ .
Now we can easily calculate the free energy. After integration of the second term in
the integrand of (11.4) we get
T =
δ
2
L
8π
_
[h curl h] dS
where the integral is to be calculated over the surface of the core (the cylinder with the
radius ζ). We have
T =
δ
2
L
8π
2πζ h(ζ)[ curl h[
r=ζ
=
_
Φ
0
4πδ
L
_
2
ln
δ
L
ζ
. (11.7)
204 CHAPTER 11. MAGNETIC PROPERTIES TYPE II
Discussion of the last formula.
1. T is only logarithmically dependent on ζ.
2. T is proportional to Φ
2
0
. Consequently it is more proﬁtable to create 2 vortices with
the ﬂux Φ
0
that one with the ﬂux 2Φ
0
.
3. We can rewrite the formula for T = 0 using the expression for Φ
0
and the relations
(see below)
ζ
0
=
¯ hv
F
π∆(0)
,
H
2
c
8π
=
1
2
g(
F
)∆
2
(0) (11.8)
which follow from the BCS microscopic theory. We get
T =
π
2
3
H
2
c
8π
ζ
2
ln
δ
L
ζ
.
Now we can compare this energy with the core contribution which is of the order
δT
core
∼
H
2
c
8π
ζ
2
.
We prove that the core contribution appears small in comparison with the one due
to the supercurrent.
Isolated Vortex in a Slab
Now we discuss the properties of the isolated vortex in a thin slab (d ¸δ) (Pearl). Inside
we have the London equation
h +
4πδ
2
L
c
curl j = z Φ
0
δ
2
(r).
It is convenient to come to the vectorpotential A,
h = curl A, div A = 0 .
We have
A+
4πδ
2
L
c
j = F (11.9)
where in the cylindric coordinates
F
r
= F
z
= 0 , F
θ
=
Φ
0
2πr
.
Now let us average Eq. (11.9) over zcoordinate. Because d ¸δ the quantities A and F
are almost zindependent. Denoting the total current as J = jd we get
J =
c
4π
1
δ
eﬀ
(F −A) , δ
eﬀ
=
δ
2
L
d
.
11.2. MICROSCOPIC STRUCTURE OF THE MIXED STATE 205
To solve the problem we need the ﬁeld distribution outside the slab. We can make calcu
lations assuming that we have a plane with the current Jδ(z):
curl curl A =
4π
c
j =
1
δ
eﬀ
(F −A) δ(z) →∇
2
A+
1
δ
eﬀ
(F −A) δ(z) = 0. (11.10)
To get the last equation we used the London gauge (curl curl A = −∇
2
A).
To solve Eq. (11.10) we introduce Fourier components
A
qk
=
_
A(s,z) e
i(qs+kz)
d1, , A
q
=
1
2π
_
dk A
qk
=
_
A(s,z) δ(z)e
iqs
d1 ,
F
q
=
_
F(s) δ(z) e
iqs
d1 = i
Φ
0
q
2
[z q] . (11.11)
where s is the inplane coordinate. We come to the very simple equation
−(q
2
+ k
2
)A
qk
+
1
δ
eﬀ
A
q
=
1
δ
eﬀ
F
q
.
We can ﬁnd A
qk
from this equation and then substitute it to the deﬁnition (11.11) of A
q
.
The result is
A
q
=
1
2π
_
dk
1
q
2
+k
2
1
δ
eﬀ
(A
q
−F
q
) =
1
2qδ
eﬀ
(A
q
−F
q
).
Finally,
A
q
=
1
1 + 2qδ
eﬀ
F
q
.
Now we know everything: the current
J
q
=
c
4π
1
δ
eﬀ
(F
q
−A
q
) =
c
4πδ
eﬀ
2qδ
eﬀ
1 + 2qδ
eﬀ
F
q
,
magnetic ﬁeld:
h
q
= i [q A
q
] =
Φ
0
1 + 2qδ
eﬀ
z.
Small distances correspond to large q (qδ
eff
¸1). We have
h
zq
≈
Φ
0
2qδ
eﬀ
→h
z
≈
Φ
0
4πδ
eﬀ
1
r
.
For large distances (qδ
eﬀ
¸1)
J
q
≈
c
4πδ
eﬀ
2qδ
eﬀ
F
q
=
cΦ
0
2π
i [z q]
q
→J(r) =
cΦ
0
4π
2
r
2
,
h
z
(r) = −
4πδ
eﬀ
c
1
r
d
dr
(Jr) ≈
2
π
Φ
0
δ
eﬀ
r
3
.
206 CHAPTER 11. MAGNETIC PROPERTIES TYPE II
The free energy of the vortex is
T =
_
Φ
0
4π
_
2
1
δ
eﬀ
ln
δ
eﬀ
ζ
.
It is important that the vortices in a slab have long range interaction. Indeed
F
12
=
Φ
0
c
[z J(R
12
)] ∝ R
−2
12
,
the interaction (repulsion) energy decays only as R
−1
12
.
Interaction between Abrikosov Vortices.
Now we return to the bulk material and consider interaction of 2 vortex lines parallel to
zaxis. We have
h+δ
2
L
curl curl h = z Φ
0
[δ
2
(r −r
1
)+δ
2
(r −r
2
)] .
Its solution is a superposition of the two ﬁelds
h(r) = h
1
(r) +h
2
(r) , h
i
(r) = z
Φ
0
2πδ
2
L
K
0
_
[r −r
i
[
δ
L
_
.
As usual, the free energy is
T =
δ
2
L
8π
_
[h curl h] dS
where one should integrate over the both cores’ surfaces. As a result, the energy is
c =
δ
2
L
8π
_
[(h
1
+h
2
) (curl h
1
+ curl h
2
)] (dS
1
+dS
2
).
One can separate the 2
3
= 8 items into 3 groups.
1. Sum of the free energies of separate lines
2T =
δ
2
L
8π
__
[h
1
curl h
1
] dS
1
+
_
[h
2
curl h
2
] dS
2
_
,
2. Item
_
(h
1
+h
2
) ([curl h
1
dS
2
] + [curl h
2
dS
1
])
which is small at ζ ¸δ
L
(currents and ﬁelds remain ﬁnite at the axis of the opposite
vortex),
11.2. MICROSCOPIC STRUCTURE OF THE MIXED STATE 207
3. The interaction energy

12
=
δ
2
L
8π
__
[h
1
curl h
2
] dS
2
+
_
[h
2
curl h
1
] dS
1
_
.
Using the relation
[curl h[ =
Φ
0
2πδ
2
L
1
r
we get

12
=
Φ
0
4π
h
12
, h
12
=
Φ
0
2πδ
2
L
K
0
_
[r
1
−r
2
[
δ
L
_
.
We see that lines repulse and the interaction energy decays as R
−1/2
12
exp(−R
12
/δ
L
) at
long distances and behaves as ln [δ
L
/R
12
[ at small distances.
Interaction of a Vortex with a Surface
Now we discuss an important problem  interaction of a ﬂux line with the sample’s surface.
Assume that we have a vortex line directed along zaxis and parallel to a plane surface (yz
plane), the external magnetic ﬁeld being H. Let SC occupy the semi space x ≥ 0. The
London equation for the problem is
h+δ
2
L
curl curl h = zΦ
0
δ
2
(r −r
L
)
where r
L
= (x
L
, 0) is the ”line coordinate”. The boundary conditions at the surface are
h = H, (curl h)
x
= 0 , at x = 0
(the second condition is just the vanishing of the current normal to the surface). We search
solution as
h = h
1
+h
2
where h
1
= H exp(−x/δ
L
) is the penetration of the external ﬁeld. The ﬁeld h
2
is due to
the vortex. It can be calculated with the help of the image approach.
Let us add the auxiliary image vortex placed at the point r
L
= (−x
L
, 0) with all the
currents ﬂowing in the opposite directions (mirror image), Fig. 11.5. It is clear that the
sum of the ﬁelds produced by the both lines meet the boundary conditions. Thus we can
prove that the ﬁeld h
2
is equal to this sum.
The resulting London equation becomes
h+δ
2
L
curlcurlh = zΦ
0
[δ
2
(r −r
L
)−δ
2
(r−r
L
)]
and the total ﬁeld is
h = H e
−x/δ
L
+
Φ
0
2πδ
2
L
_
K
0
_
[r −r
L
[
δ
L
_
−K
0
_
[r−r
L
[
δ
L
__
.
208 CHAPTER 11. MAGNETIC PROPERTIES TYPE II
Figure 11.5: On the mirror image approach.
Then we go along the old way. The ( free energy
( =
_
d1
_
h
2
+δ
2
L
(curl h)
2
8π
−
h H
4π
_
.
We are interested in the energy per unit length. This integral is evaluated on the total
volume of the sample (x ≥ 0) excluding the core region.
Transferring to the surface integral we get the ﬁrst contribution
δ( =
δ
2
L
4π
_
S
1
+S
2
dS
__
1
2
h −H
_
curl h
_
.
where S
1
is the core’s surface while S
2
is the sample’s one. We denote the corresponding
contributions as (
1
and (
2
. As usual, at ζ →0 the main contribution to S
1
is the diverging
part of curl h and
(
1
=
Φ
0
4π
_
1
2
h(r
L
) −H
_
.
The second contribution can be written as
(
2
= −
δ
2
L
8π
_
S
2
dS [h
1
curl h]
because at the surface h
2
= 0, h
1
= H. Now we can split the ﬁeld as h = h
1
+h
2
and
consider the part, proportional to [h
1
curl h
1
] as an additive constant which is present
in the absence of the vortex. The remainder is
(
2
=
δ
2
L
8π
_
S
2
dS [h
1
curl h
2
] .
To get the result, we do the following trick. The integral could be rewritten as
_
S
2
=
_
S
1
+S
2
−
_
S1
11.3. MAGNETIZATION CURVES. 209
According to the London equation
_
S
1
+S
2
dS [h
1
curl h
2
] =
_
S
1
+S
2
dS [h
2
curl h
1
]
We can see that the integral is very small. Indeed, at the surface S
1
the ﬁeld h
1
is non
singular while at the surface the ﬁeld h
2
is zero because of the boundary conditions. As a
result,
(
2
=
δ
2
L
8π
_
S
1
dS [h
1
curl h
2
] =
Φ
0
8π
h
1
(r
l
).
The result is
( =
Φ
0
4π
_
H e
−x/δ
L
+
1
2
h
2
(r
L
) −H
_
.
It is clear that ( = 0 if the line is at the surface (h
2
= 0). Now we should remember that
the ﬁeld h
2
consists from the initial and the mirror ﬁelds. The ﬁrst contribution leads to
the free energy of a isolated vortex
( =
Φ
0
H
c1
4π
while the second is just the interaction energy between the line and the image
−
Φ
0
8π
h(2x
L
) with h(r) =
Φ
0
2πδ
2
L
K
0
_
r
δ
L
_
.
The ﬁnal result is
( =
Φ
0
4π
_
H e
−x/δ
L
−
1
2
h(2x
L
) +H
c1
−H
_
.
The graphs of the function ((x
L
) for diﬀerent H are shown in Fig. 11.6. In these
graphs the magnetic ﬁeld is measured in units Φ
0
/4πδ
2
L
. We see that at ﬁnite magnetic
ﬁelds a surface barrier appears (BeanLivingstone barrier). This barrier is a consequence
of interplay between the tendency to penetrate the sample and attraction to the image
”antivortex”. The barrier is very important for the real life and should be taken into
account interpreting experimental results.
11.3 Magnetization curves.
Now we discuss the magnetization curves for type II SC. The free energy is
( = n
L
T−
i,j

ij
−
BH
4π
(11.12)
where n
L
is the density of vortex lines, B = n
L
Φ
0
.
To make explicit estimates we separate 3 regions
1. Small B (n
L
δ
2
L
¸1) where only nearest neighbor’s interaction is important.
210 CHAPTER 11. MAGNETIC PROPERTIES TYPE II
Figure 11.6: Surface barrier in type II superconductors.
2. Intermediate B (n
L
δ
2
L
¸ 1) where there are many vortices inside the interaction
region.
3. High B where n
L
ζ
2
∼ 1 and the cores overlap.
The Lower Critical Field H
c1
.
To get H
c1
one can neglect interaction at all. We have
( ≈ B
_
T
Φ
0
−
H
4π
_
.
The bracket vanishes at H = H
c1
= 4πT/Φ
0
. Indeed, at H < H
c1
the free energy (
increases with the increases of B, so the equilibrium value is B = 0. At the same time, at
H > H
c1
there is a possibility to get a minimum at B ,= 0. Consequently, we get
H
c1
=
4πT
Φ
0
=
Φ
0
4πδ
2
L
ln
δ
L
ζ
. (11.13)
Making use of the relations (11.8) we get for T = 0
H
c1
H
c
=
π
√
24
ζ
0
δ
L
ln
δ
L
ζ
0
that is usually ¸1.
11.3. MAGNETIZATION CURVES. 211
The vicinity of H
c1
.
Repulsion of vortices becomes important and one should use the general equation (11.12).
A detailed calculation show that for all the values of B the most stable is triangle lattice
vortices (see Fig. 11.7). Taking into account that only nearest neighbors are important
Figure 11.7: Triangle vortex lattice. Solid lines correspond to constant values of n
s
.
we get
( ≈
B
4π
_
H
c1
−H +
1
2
z
Φ
0
2πδ
2
L
K
0
_
d
δ
L
__
,
where z is the number of nearest neighbors (z = 6) while the lattice constant d is determined
from the relation
B = n
L
Φ
0
=
2
√
3
Φ
0
d
2
. (11.14)
The result of calculations according to this scheme is shown in Fig. 11.8. We see the
Figure 11.8: Dependence ( vs. B.
minimum which corresponds to the equilibrium value of induction B for a given H. The
magnetization curve calculated from this model, as well as experimental results for the
alloy More are shown in Fig. 11.9.
212 CHAPTER 11. MAGNETIC PROPERTIES TYPE II
Figure 11.9: Magnetization curves for the vicinity of H
c1
. Crosses  experiment, dashed
line  calculations for a laminar model.
Intermediate magnetic ﬁelds.
In this case one should sum interaction energies for many vortices and we discuss the way
to perform calculations. We start with the London equation
h+δ
2
L
curl curlh = zΦ
0
i
δ
2
(r −r
i
)
where the sites r
i
form a 2D periodic lattice. Introducing the primitive cell we get the
Fourier component
h
m
= n
L
_
Cell
h(r) e
imr
d
2
r.
Certainly, h
m
,= 0 only for the vectors proportional to the reciprocal lattice vector. From
the London equation we get
h
m
=
n
L
Φ
0
1 + m
2
δ
2
L
.
Then we write
1
T =
1
8π
_
_
h
2
+δ
2
L
(curlh)
2
_
d
2
r =
1
8π
m
h
2
m
(1 +m
2
δ
2
L
) =
=
B
2
8π
m
1
(1 +m
2
δ
2
L
)
=
B
2
8π
+
B
2
8π
m,=0
1
(1 +m
2
δ
2
L
)
.
The minimal value of m in the last sum is of the order 1/d ∼
√
n
L
Thus, in our region
m
2
δ
2
L
¸ 1 and we can drop 1 in the denominator. The sum
m,=0
m
−2
depends only on
the properties of the lattice. To get an estimate one can replace the sum by the integral
m,=0
1
m
2
→
1
(2π)
2
1
n
L
_
d
2
m
m
2
=
1
2π
1
n
L
_
mdm
m
2
=
1
2πn
L
ln
¸
¸
¸
¸
m
max
m
min
¸
¸
¸
¸
1
We calculate the energy per 1 cm.
11.4. NONEQUILIBRIUM PROPERTIES. PINNING. 213
with m
max
∼ 1/d, m
min
∼ 1/ζ. Finally,
T =
B
2
8π
+
BH
c1
4π
ln(βd/ζ)
ln(δ
L
/ζ)
, β = 0.381 (trianglelattice, exactsolution).
Then, as usual, we put ∂(/∂B = ∂
_
T −
BH
4π
_
/∂B = 0 and obtain (we should not forget
that B is related to d according Eq. (11.14)
H = B +H
c1
ln(β
t
d/ζ)
ln(δ
L
/ζ)
, β
t
= β/
√
e.
This result is in a good agreement with the experiment.
High ﬁeld region
In this region where cores overlap our approach is deﬁnitely not suﬃcient. We return to
this region later after the analysis of the GinzburgLandau theory and show that the upper
critical ﬁeld has the order Φ
0
/ζ
2
.
11.4 NonEquilibrium Properties. Pinning.
General Properties. Pinning.
It is clear that people are interested to fabricate a SC which is able to carry large supercur
rent and, consequently, superconductivity should exist in a high magnetic ﬁeld. We know
that in type II SC the upper critical ﬁeld can be very high. At the same time, the question
arises:
Is the mixed state superconducting?
Indeed, in a magnetic ﬁeld a force should act upon the vortices and leads them to move.
But moving vortices should produce nonsteady magnetic ﬁelds and, consequently, energy
loss.
To make the estimates assume that there is one vortex with the current j and the exter
nal current density is equal to j
ex
, the total current being j +j
ex
. Assuming that the corre
sponding contribution to the free energy is n
s
mv
2
s
/2 = (n
s
m/2)(j/n
s
e)
2
= (4π/c
2
δ
2
L
)j
2
/2
we get for the interaction energy
 =
4π
c
2
δ
2
L
_
j
ex
j d1.
Then we remember that j depends only on the diﬀerence r −r
L
(where r is the 2D co
ordinate in the plane perpendicular to the line). The force is
F
k
= −
∂
∂r
Lk
∝ −
i
_
d1 j
ex
i
∂j
i
∂r
Lk
=
i
_
d1 j
ex
i
∂j
i
∂r
k
=
214 CHAPTER 11. MAGNETIC PROPERTIES TYPE II
=
i
_
d1 j
ex
i
_
∂j
i
∂r
k
−
∂j
k
∂r
i
_
+
i
_
d1 j
ex
i
∂j
k
∂r
i
.
The last item vanishes because by integration by parts we get div j
ex
= 0. Thus
F =
4π
c
2
δ
2
L
_
[j
ex
curlj] d1.
Substituting the expression for curl j we get
f
L
=
Φ
0
c
[j
ex
z]
for a separate vortex. The total force acting upon the vortex structure is just the Lorentz
force
F
L
=
1
c
[j
ex
B] .
Now let us assume that a vortex moves with a given velocity v
L
and there is a viscous
braking force
f
v
= −ηv
L
.
As a result of force balance,
v
L
=
Φ
0
ηc
[j
ex
z] .
We see that v
L
⊥ j
ex
⊥B. According to the laws of electrodynamics, such a motion produces
the electric ﬁeld
E =
1
c
[Bv
L
] =
Φ
0
B
ηc
2
j
ex
.
We observe the Ohm’s law with the resistivity
ρ =
Φ
0
B
ηc
2
.
If we assume that at B = H
c2
ρ = ρ
n
(i.e. to the resistivity of the normal phase) we get
η(H
c2
) =
Φ
0
H
c2
ρ
n
c
2
→ ρ = ρ
n
B
H
c2
.
This expression is only a very rough orderofmagnitude estimate. In fact the viscosity η
is a very complicated and interesting function of both the temperature and magnetic ﬁeld.
From this point of view we get the conclusion that the superconductivity is destroyed at
H = H
c1
.
Fortunately, this statement is wrong. In real materials there is pinning, i.e. the vortices
become pinned by the defects. One kind of pinning is the surface barrier we have discussed
earlier. It is clear that largescale defects with size greater than ζ should be very eﬀective.
To get a simple estimate let us consider a cavity in the SC with d ¸ ζ. Suppose that
the core is in the normal state that leads to the extra energy ∼ H
2
c
ζ
2
per unit length. If the
11.4. NONEQUILIBRIUM PROPERTIES. PINNING. 215
vortex passes through the cavity, this energy is absent. Consequently, there is attraction
between the line and the cavity the force being of the order
f
p
∼ H
2
c
ζ
(we have taken into account that at the distance ∼ ζ the vortex collides with its image).
Combining this expression with the expression for the Lorentz force we ﬁnd the critical
current density able to start the motion
j
c
∼ H
c
c
δ
L
(we have used the relations f
L
= j
ex
Φ
0
/c and H
c
∼ Φ
0
/δ
L
ζ).
This discussion is oversimpliﬁed for many reasons.
• The pinning force acts upon a small part of the line while the Lorentz force is applied
to the whole line.
• Vortices interact, and one should take into account the deformation energy of the
lattice. So the problem is collective.
• It is not clear in general case what is the external current distribution inside the
sample because the critical current is Bdependent. This property will be discussed
in more detail in the following section.
As a result, the pinning is a very complicated property, and it is not completely under
stood today (especially for highT
c
materials).
Fluctuations, Flux Creep
One can imagine that at very j < j
c
the resistance is zero while at j = j
c
the resistance
appears in a steplike character. This statement is wrong at ﬁnite temperatures. In fact,
pining centers create a potential proﬁle for the vortices which can hop between the valleys
due to thermally activated ﬂuctuations. As a result, the resistance becomes ﬁnite (but
exponentially small) at any ﬁnite temperature. This phenomenon is called the ﬂux creep.
In other words, the true critical current is zero at any ﬁnite temperature. That is why one
should be very accurate in interpreting relevant experiments.
One of the consequences of the creep is dumping of the ”persistent current”. In practice,
for many materials it can be not so important.
Another consequence are current instabilities. Assume that at some region a bunch
of vortices hop from one position to another. Immediately this region becomes heated
that leads to decrease of the critical current. As a result, the heating increases. Those
instabilities are extremely important for superconductor engineering. The typical way to
ﬁght with them is the thermal shunting (composite materials).
The theory of creep and thermal instabilities is very complicated, and we do not discuss
it in detail.
216 CHAPTER 11. MAGNETIC PROPERTIES TYPE II
Critical State at T = 0.
In this section we discuss a very popular simpliﬁed model to treat the external current
distribution in a type II SC  the critical state model.
Suppose that the SC is in a mixed state with the ﬁeld Hz. In the equilibrium the
vortex density is constant and equal to B(H)/Φ
0
. If we come to a metastable state
• the vortex density is position dependent,
• there is the macroscopic current
j =
c
4π
∂B
∂x
.
Now let us discuss the interaction forces. The ﬁrst type is the repulsion one, we can
describe them as a pressure p in the 2D vortex system. The total force acting upon the
unit volume is −∂p/∂x. Another type is the pinning force which has the maximal value
α
m
. the necessary condition of the mechanical equilibrium is just
¸
¸
¸
¸
¸
∂p
∂x
¸
¸
¸
¸
¸
≤ α
m
.
The critical state model uses the condition
¸
¸
¸
¸
¸
∂p
∂x
¸
¸
¸
¸
¸
= α
m
to determine the ﬂux distribution.
To be more precise, we estimate the force from the thermodynamic considerations.
Consider a piece of the xyplane with the area S having N vortices (the external ﬁeld is
parallel to zaxis). We have
( = SG, p = −
_
∂(
∂S
_
N
= −G−S
∂G
∂S
At the same time, B = NΦ
0
/S, and
dS
S
= −
dB
B
.
As a result
p = −G+B
∂G
∂B
.
Inserting the deﬁnition of the .thermodynamic potential G
G(B) = F(B) −
BH
4π
11.4. NONEQUILIBRIUM PROPERTIES. PINNING. 217
and taking into account that in the equilibrium
∂G
∂B
= 0 → H(B) = 4π
∂F
∂B
we get (Problem 10.2)
∂p
∂x
=
B
4π
∂H(B)
∂x
(11.15)
In the most important cases at H
c2
¸H ¸H
c1
we have H(B) ≈ B, and
−
∂p
∂x
= −
B
4π
∂B
∂x
=
Bj
y
c
.
In this case the current distribution is given by the equation
¸
¸
¸
¸
¸
B
4π
∂B
∂x
¸
¸
¸
¸
¸
=
¸
¸
¸
¸
Bj
y
c
¸
¸
¸
¸
= α
m
at H(B) ¸H
c1
.
To solve the problem one needs the dependence α
m
(B). According to Bean’s model This
dependence is linear and j
y
=const. According to the KimAnderson model the quantity
α
m
is Bindependent. The proﬁles of the magnetic induction for both models are shown
in Fig. 11.10. Usual ways to study pinning is to observe the penetration of slowvarying
Figure 11.10: Magnetic induction proﬁles for the Bean and KimAnderson models.
magnetic ﬁeld in a bulk or hollow cylinder.
218 CHAPTER 11. MAGNETIC PROPERTIES TYPE II
11.5 Problems
10.1 Prove that the areas under magnetization curves are the same for type I and type II
SC with the same H
c
.
10.2. Derive Eq. (11.15).
Chapter 12
Microscopic Theory of
Superconductivity. Basic Concepts
12.1 PhononMediated Attraction
The ﬁrst important motivation to study electronphonon interaction was discovery of the
isotopic eﬀect, i.e. the dependence of the critical parameters on the atomic mass
T
c
∝ M
−1/2
, H
c
∝ M
−1/2
.
Relying upon this fact the concept of phononmediated electronelectron attraction has
been introduced (Fr¨ olich, Bardin, 1950).
To understand what happens let us discuss the scattering process shown in the left
panel of Fig. 12.1. The amplitude of this secondorder process is
Figure 12.1: Electronphonon processes.
[V
q
[
2
ε
k
1
−ε
k
1
−q
−¯ hω
q
, V
q
≡ V
k−q,k
.
219
220 CHAPTER 12. MICROSCOPIC THEORY
One should also add the amplitude of the process with phonon absorption shown in the
right panel,
[V
q
[
2
ε
k
2
−ε
k
1
+q
−¯ hω
q
.
We have taken into account that ω
−q
= ω
q
, [V
−q
[ = [V
q
[ . If we take into account the
conservation law
ε
k
1
+
ε
k
2
=
ε
k
1
+
ε
k
2
we obtain
−
2[V
q
[
2
¯ hω
q
(¯ hω
q
)
2
−(ε
k
1
−ε
k
1
−q
)
2
.
Remembering that
V
q
∼ −i
p
F
√
1nm
we get the following expression for the total amplitude
−
¯ h
3
p
F
m1
(¯ hω
q
)
2
(¯ hω
q
)
2
−(ε
k
1
−ε
k
1
−q
)
2
.
At [ε
k
1
−ε
k
1
−q
[ ¸¯ hω
q
this amplitude is negative, and kindependent. Thus it is equivalent
to a shortrange attraction. Another feature is that it is the interaction with the total
orbital moment equal to 0 (it is independent on k direction). Consequently, the wave
function should be symmetric with respect to the interchange of the electron coordinates,
But, at the same time, electrons are Fermi particles, and the total wave function should be
antisymmetric. Thus the spin wave function should be also antisymmetric, i.e. the spins
should be opposite. It is the only way to meet the Pauli principle. It is clear that phonons
with maximal q are most important (density of states increases with q). Consequently we
can say that electrons within a thin layer
¸
¸
¸ε
k
1
−ε
k
1
¸
¸
¸ ∼ ¯ hω
D
near the Fermi surface attract,
that in the momentum space means ∆p ∼ ¯ hω
D
/v
F.
Let us ﬁnd a typical spatial spread of the corresponding quantum state from the un
certainty principle
∆r ∼ ¯ h/∆p ∼ v
F
/ω
D
∼ (v
F
/s)a ∼ a
_
M/m.
Thus, phonon attraction is a longrange one, its orderofmagnitude estimate being ¯ h
3
/mp
F
.
At the same time, there is Coulomb repulsive forces. It is a shortrange one due to screening
and it can be written as
e
2
a
2
δ(r
1
−r
2
).
The ratio is
e
2
a
2
¯ h
3
/mp
F
∼
e
2
¯ hv
F
∼ 1.
12.2. COOPER PAIRS 221
Actually, this is a very rough estimate, and in real metals the contributions to the interac
tion diﬀer strong enough. It the following we neglect Coulomb eﬀects and will model the
interaction as constant −λ where
λ ∼
¯ h
3
mp
F
∼
1
g(
F
)
in the interval
F
−¯ hω
q
< ε <
F
+ ¯ hω
q
and λ = 0 outside this interval (the socalled BCS model).
12.2 Cooper Pairs
Attraction does not mean formation of a bound state. Indeed, in 3D case the bound state
is formed only if the potential is strong enough. The situation in 1D case is completely
diﬀerent: one can form a bounded state at any attraction strength. At the ﬁrst glance, this
model has nothing to do with the real life, but L. Cooper (1956) was ﬁrst to understand
that it is the case. Unfortunately, his original paper had a mistake and we shall follow the
correct derivation below.
To start, let us reformulate the quasiparticle concept which has been used for normal
metals. We know, the electron states near the Fermi surface are very similar to ordinary
particles, they decay very weakly. Thus, it is natural to use the Fermi level as the origin
of the energies. As a result, we can classify the particles with ε >
F
as particlelike
excitations. We write their energies as
ξ
(e)
=
p
2
2m
−
p
2
F
2m
≈ v
F
(p −p
F
).
The excitations with ε <
F
behave as antiparticles (or holes). It is conventional to write
their energy as
ξ
(h)
= −ξ
(e)
=
p
2
F
2m
−
p
2
2m
≈ v
F
(p
F
−p)
to have positive energy. As a result, one can describe the quasiparticle spectrum in a
normal metal as
ξ(p) = v
F
(p −p
F
).
This spectrum is shown in Fig. 12.2, the right branch corresponding to particlelike ex
citations while the left branch  to antiparticlelike ones. One should remember that
antiparticles have the electric charge of the opposite sign.
Consider the interaction of 2 quasiparticles with the same [k[. The SE is
[H
0
(r
1
) +H
0
(r
2
) + U(r
1
, r
2
)] Ψ(r
1
, r
2
) = EΨ(r
1
, r
2
) (12.1)
where H
0
(r
1
) is the free quasiparticle Hamiltonian
H
0
(r
1
)ψ
k
(r
1
) = [ξ
k
[ψ
k
(r
1
)
222 CHAPTER 12. MICROSCOPIC THEORY
Figure 12.2: Quasiparticle spectra in normal (solid line) and SC (dashed line) states.
[for free particles ψ
k
(r
1
) = (1)
−1/2
exp(ikr
1
)].
In the ground state both the total momentum and total spin should vanish. As a result,
one can construct the wave function as
Ψ(r
1
, r
2
) =
k
c
k
ψ
k↑
(r
1
)ψ
−k↓
(r
2
) (12.2)
where arrows mean the spin projections. Substituting (12.2) into Eq. (12.2) we get (Check!)
the following integral equation
2[ξ
k
[c
k
+
k
U
kk
c
k
= Ec
k
.
To solve the equation we use the model
U
kk
=
_
−λ, k
F
−ω
D
/v
F
< [k[, [k
t
[ < k
F
+ω
D
/v
F
0, outside the interval
.) (12.3)
Denoting
I =
[k
[=k
F
+ω
D
/v
F
[k
[=k
F
−ω
D
/v
F
c
k
(12.4)
we get
c
k
=
λI
2[ξ
k
[ −E
.
Substituting this equation into Eq. (12.4) we get the selfconsistency equation
I =
[k
[=k
F
+ω
D
/v
F
[k
[=k
F
−ω
D
/v
F
λI
2[ξ
k
[ −E
Now recall that we are interested in a bound state with negative energy. Denoting E = −2∆
and transferring the sum into the integral we get
1 =
λg(
F
)
2
ln
_
¯ hω
D
∆
_
,
12.3. ENERGY SPECTRUM 223
(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
∆ = ¯ hω
D
exp
_
−
2
λg(
F
)
_
(12.5)
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).
Let us discuss Eq. (12.5).
• As we have seen, λg(
F
) ∼ 1. Actually, this product is small enough to make ∆ ¸
¯ hω
D
.
• We see that ∆ ,= 0 at any interaction strength. The reason is that we have integrated
only in the vicinity of the Fermi surface. Indeed, our rule
_
d
3
k
(2π)
3
→
g(
F
)
2
_
dξ
corresponds to 1D problem.
• We see that presence of the Fermi surface is very important. So we can suspect that
its temperature smearing will strongly inﬂuence upon superconductivity.
12.3 Energy Spectrum
Now we come to a more detailed calculation. For this we need to minimize the free energy
with respect to the wave functions. To do this we need to calculate the ground state energy
for attracting electrons.
As we have mentioned, it is convenient to come to the quasiparticle description. Then
means that we will keep the chemical potential
F
ﬁxed as the origin of the energy reference
frame. Technically, we transfer the Hamiltonian to H−
F
N where N =
kσ
a
†
kσ
a
kσ
is the
operator of number of particles.
We have
H−
F
N =
kσ
ξ
k
a
†
kσ
a
kσ
−
λ
1
k
1
+k
2
=k
1
+k
2
k
1
,=k
1
a
†
k
1
↑
a
†
k
2
↓
a
k
2
↓
a
k
1
↑
. (12.6)
All the sums are calculated over the thin interval ∼ ¯ hω
D
near the Fermi surface. Now
we come to a very important point  introduction of quasiparticle operators. In a normal
metal we can deﬁne
at p > p
F
: a
kσ
= α
kσ
,
at p < p
F
: a
kσ
= α
†
−k−σ
where α(α
†
) are the quasiparticle operators. The physical meaning is transparent: annihi
lation of an electron below the Fermi surface is just the same as creation of a hole with
opposite values of momentum and spin.
224 CHAPTER 12. MICROSCOPIC THEORY
In a superconductor, the ground state is more complicated, and the simplest way to
calculate the spectrum is to use the Bogolyubov transform
a
k↑
= u
k
α
k↑
+v
k
α
†
−k↓
,
a
k↓
= u
k
α
k↓
−v
k
α
†
−k↑
.
Note that this transform conserves the momentum. Then we use the coeﬃcients u
k
, v
k
as parameters to minimize the free energy. The key idea  to dagonalize the Hamiltonian
(12.6).
Let us check the commutation rules for the quasiparticle operators. We have
_
a
kσ
, a
†
kσ
_
= u
2
k
_
α
kσ
, α
†
kσ
_
+ v
2
k
_
α
−k−σ
, α
†
−k−σ
_
+
+σu
k
v
k
¦α
kσ
, α
−k−σ
¦ +σu
k
v
k
_
α
†
−k−σ
, α
†
kσ
_
= 1.
If we request the usual Fermi commutation rules for the quasiparticle commutators we
obtain the relation
u
2
k
+v
2
k
= 1 (12.7)
that leaves only one free variable, say v
k
.
Now we can express the energy through the quasiparticle numbers n
kσ
=
_
α
†
kσ
α
kσ
_
.
We get
¸H−
F
N) =
k
ξ
k
_
u
2
k
(n
k↑
+ n
k↓
) +v
2
k
(2 −n
k↑
−n
k↓
)
_
−
−λ
k
u
k
v
k
(1 −n
k↑
−n
k↓
)
k
u
k
v
k
(1 −n
k
↑
−n
k
↓
) ≡ E −
F
N. (12.8)
Now we calculate the variation with respect to v
k
taking into account (12.7). We get
(Problem 11.1)
2ξ
k
u
k
v
k
= ∆(1 −2v
2
k
), (12.9)
∆ = λ
k
u
k
v
k
(1 −n
k↑
−n
k↓
). (12.10)
The solution of the equation is
u
2
k
=
1
2
_
1 +
ξ
k
ε
k
_
, v
2
k
=
1
2
_
1 −
ξ
k
ε
k
_
(12.11)
where
ε
k
=
_
ξ
2
k
+ ∆
2
. (12.12)
In the following we consider isotropic model where the spectrum is independent of the
direction of k.
Now we can calculate the quasiparticle energy as a variational derivative of the total
energy with respect to the distribution function. Thus we have
δc =
k
(ε
k↑
δn
k↑
+ε
k↓
δn
k↓
) .
12.4. TEMPERATURE DEPENDENCE ... 225
Because of the symmetry of the problem we get ε
k↑
= ε
k↓
, n
k↑
= n
k↓
. After the variation
of (12.8) with respect to, say, n
k↑
at constant u
k
, v
k
we get
ε
k↑
=
δc
δn
k↑
=
_
ξ
2
k
+ ∆
2
= ε
k
So we come to the following conclusion
• There is the gap ∆ in the quasiparticle spectrum.
• At [ξ
k
[ ¸ ∆ we come to the normal metal properties: ε
k
→ [ξ
k
[, at ξ
k
> 0 u
k
→
1, v
k
→ 0, at ξ
k
< 0 u
k
→ 0, v
k
→ 1. Thus, we come to the quasiparticles of the
normal metal.
The presence of the gap is very important. It means that there is no lowenergy
excitations and the electron liquid may be superﬂuid. Indeed, if the liquid moves as total
with the velocity v the energy in the laboratory frame of reference is
ε(p) +pv.
Consequently, to create a new quasiparticle one needs the condition ε(p) + pv <0 to be
met, or
v < v
c
= min
ε(p)
p
.
In the presence, of the gap we come to the relation
1
v
c
∼
∆
p
F
.
We have discussed here the simplest variant of the theory with the sstate pairing. The
pairing with nonzero orbital moment has been discussed in connection with superconduc
tivity in the socalled heavy fermion compounds and with superﬂuid
3
He.
12.4 Temperature Dependence of the Energy Gap
Now we are prepared to discuss the temperature dependence of the gap. From Eq. (12.10)
we get
1 =
λ
2
_
(dk)
1 −2n
0
(ε
k
)
ε
k
=
λg(
F
)
2
_
¯hω
D
0
dξ
tanh(
√
ξ
2
+ ∆
2
/2k
B
T)
√
ξ
2
+ ∆
2
. (12.13)
At T →0 tanh(
√
ξ
2
+ ∆
2
/2k
B
T) →1 and
1 =
λg(
F
)
2
ln
2¯ hω
D
∆(0)
→∆(0) = 2¯ hω
D
exp (−2/λg(
F
)) (12.14)
1
The life is not so simple. One can imagine also collective excitations which may have no gap. As has
been shown, it is not the case because of the ﬁnite electron charge.
226 CHAPTER 12. MICROSCOPIC THEORY
(note the extra factor 2). At T →T
c
∆ →0, and
1 =
λg(
F
)
2
_
¯hω
D
0
dξ
tanh(ξ/2k
B
T
c
)
ξ
=
λg(
F
)
2
ln
2¯ hω
D
γ
πk
B
T
c
, γ = 1.78.
Thus
k
B
T
c
=
2¯ hω
D
γ
π
exp (−2/λg(
F
)) (12.15)
and
∆(0) =
π
γ
k
B
T
c
= 1.76k
B
T
c
. (12.16)
To discuss the temperature dependence one can simply calculate the integral in (12.13).
It is interesting to show the analytical formula, so we analyze brieﬂy this integral. At low
temperatures we can rewrite the formula as
ln
∆(0)
∆
=
_
∞
0
1 −tanh(
√
ξ
2
+ ∆
2
/2k
B
T)
√
ξ
2
+ ∆
2
dξ = 2f
_
∆
k
B
T
_
where
f(x) =
_
∞
1
dy
(1 + e
yx
)
√
y
2
−1
, y =
√
ξ
2
+ ∆
2
∆
.
Here we have used the expression (12.14) and expanded the integration region to inﬁnity
(the important region is ∼ ∆). We are interested in large values of x,
f(x) =
_
∞
1
dy
∞
n=1
(−1)
n+1
e
−nyx
√
y
2
−1
.
Then we use the integral representation for the McDonald function
K
ν
(z) =
Γ(1/2)
Γ(ν + 1/2)
_
z
2
_
ν
_
∞
1
e
−yz
(y
2
−1)
v−1/2
dy
and get
f(x) =
∞
n=1
(−1)
n+1
K
0
(nx) ∼
_
π
2x
e
−x
.
Thus, at T ¸T
c
∆(T) = ∆(0) −
_
2π∆(0)k
B
T e
−∆(0)/k
B
T
. ¸¸ .
.
∼ number of quasiparticles
(12.17)
At T →T
c
it is convenient to expand over ∆ →0. To do this we also divide the expression
(12.13) by (λg(
F
)/2) and subtract its limit at ∆ = 0. We get
ln
T
c
T
=
_
∞
0
dξ
_
tanh ξ
ξ
−
tanh(
√
ξ
2
+ ∆
2
/2k
B
T)
√
ξ
2
+ ∆
2
_
.
12.5. THERMODYNAMICS OF A SUPERCONDUCTOR 227
Then we use the formula
tanh
_
πx
2
_
=
_
4x
π
_
∞
k=0
1
(2k + 1)
2
+ x
2
.
Substituting this formula into the previous one, expanding over ∆ and integrating over ξ
we get
ln
T
c
T
= 2
∞
n=1
(−1)
n+1
(2n −1)!!
(2n)!!
_
∆
πk
B
T
_
2n ∞
k=0
1
(2k + 1)
2n+1
.
The ﬁrst item leads to
∆ ≈ 3.06
¸
T
c
T
c
−T
.
The graph of the dependence ∆(T) is given in Fig. 12.3.
Figure 12.3: Temperature dependence of the energy gap.
12.5 Thermodynamics of a Superconductor
According to statistical physics, the thermodynamic potential Ω depending on the variables
T, 1, and chemical potential is
Ω = −k
B
T ln Z,
with the partition function
Z =
s,N
exp
_
−
E
sN
−N
k
B
T
_
= Tr
_
exp
_
−
H−N
k
B
T
__
.
Splitting the Hamiltonian as H
0
+H
int
and diﬀerentiating with respect to the interaction
constant λ we get
∂Ω
∂λ
=
1
λ
Tr
_
H
int
exp
_
−
1−N
k
B
T
__
Tr
_
exp
_
−
1−N
k
B
T
__
=
1
λ
¸H
int
) .
228 CHAPTER 12. MICROSCOPIC THEORY
Substituting the expression for the interaction Hamiltonian
2
H
int
= −λ
k
1
+k
2
=k
1
+k
2
k
1
,=k
1
a
†
k
1
↑
a
†
k
2
↓
a
k
2
↓
a
k
1
↑
and expressing the electron operators through the quasiparticle ones as
a
k↑
= u
k
α
k↑
+v
k
α
†
−k↓
, a
k↓
= u
k
α
k↓
−v
k
α
†
−k↑
we get (Problem 11.2)
∂Ω
∂λ
= −
∆
2
λ
2
. (12.18)
Then we can integrate over λ to get
Ω
s
−Ω
n
= −
_
λ
0
dλ
1
λ
2
1
∆
2
(λ
1
).
It is more convenient to change variables to introduce inverse function λ
1
(∆
1
) to get dλ
1
=
(dλ
1
/d∆
1
)d∆
1
. We get
Ω
s
−Ω
n
=
_
∆
0
dλ
−1
1
(∆
1
)
d∆
1
∆
2
1
d∆
1
.
We can obtain the integrand from the selfconsistency equation
ln
∆(0)
∆
=
_
∞
0
1 −tanh(
√
ξ
2
+ ∆
2
/2k
B
T)
√
ξ
2
+ ∆
2
dξ = 2f
_
∆
k
B
T
_
,
∆(0) = 2¯ hω
D
exp (−2/λg(
F
)) .
Finally,
λ
−1
(∆) =
g()
2
_
ln
2¯ hω
D
∆
−2f
_
∆
2k
B
T
_
_
.
As a result, we get the exact formula
Ω
s
−Ω
n
=
g()
2
_
∆
0
d
d∆
1
_
ln
2¯ hω
D
∆
1
−2f
_
∆
1
2k
B
T
_
_
∆
2
1
d∆
1
.
It is easy to calculate asymptotic behavior because we know all the functions. At T = 0
Ω
s
(0) = −
g()∆
2
(0)
4
.
This formula is clear enough: the bonding energy ∼ ∆ while the number of electron in the
actual region ∼ g()∆. The temperaturedependent part at low temperatures is
Ω
s
(T) −Ω
s
(0) ∼ g()
_
2π(k
B
T)
3
∆(0)e
−∆(0)/k
B
T
.
2
For brevity we assume 1 = ∞.
12.5. THERMODYNAMICS OF A SUPERCONDUCTOR 229
As a result, we get
S
s
= −
∂Ω
s
∂T
≈ g()
¸
2π∆
3
(0)
k
B
T
e
−∆(0)/k
B
T
,
C
s
= T
∂S
s
∂T
= k
B
g()
¸
¸
¸
_
2π∆
5
(0)
(k
B
T)
3
e
−∆(0)/k
B
T
.
Near T
c
we get
Ω
s
−Ω
n
= −g()
7ζ(3)
32
∆
4
(πk
B
T)
2
where ζ(3) is the Riemann zeta function
ζ(x) =
∞
1
1
n
x
.
In the same way, we can obtain the speciﬁc heat
C
s
(T
c
) = C
n
(T
c
) +
4
7ζ(3)
k
B
p
F
m(k
B
T
c
)
¯ h
3
, C
n
(T
c
) = k
B
p
F
m(k
B
T
c
)
3¯ h
3
.
Making use of all the relations we get near T
c
C
s
(T)
C
n
(T
c
)
= 2.42 + 4.76
T −T
c
T
c
.
The temperature dependence of the speciﬁc heat is shown in Fig. 12.4. We can also de
Figure 12.4: Temperature dependence of the speciﬁc heat.
termine the critical magnetic ﬁeld. Indeed, the additional terms to all the thermodynamic
potentials are equal if they are expressed in the corresponding variables. In particular,
(δF)
N,T,V
= (δΩ)
,T,V
230 CHAPTER 12. MICROSCOPIC THEORY
and
Ω
n
−Ω
s
=
H
2
c
8π
.
Thus,
H
c
(0) =
_
2πg()∆(0).
At low temperatures we have
H
c
(T) = H
c
(0)
_
1 −
π
2
3
(k
B
T)
2
∆
2
(0)
_
while near T
c
H
c
= k
B
¸
16π
7ζ(3)
mp
F
¯ h
3
(T
c
−T) ≈ 1.735H
c
(0)
T
c
−T
T
c
.
In conclusion to this section, we should mention that one very important assumption has
been extensively used, namely the interaction assumed to be weak:
λg() ¸1.
There are some materials where this condition is invalid. The theory should be generalized
to treat those materials.
12.6 Electromagnetic Response of a Superconductor
In this section we analyze the applicability of the London equation and its generalization.
Qualitative Discussion
When we’ve derived the London equation
j = −QA, Q =
n
e
e
2
mc
2
we thought that the current is transferred by the electrons. Now we know that Cooper
pairs are responsible for the superconductivity. The main diﬀerence is that Cooper pairs
have quite large size ζ ∼ ¯ hv
F
/∆ ¸a (at ∆ ≈10 K ζ ∼ 10
−4
cm). 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. That means that one can discuss the
correlation length rather than the size of pairs.
Because of the correlation, the relation currentvectorial potential becomes nonlocal
j
i
= −
k
_
Q
ik
(r −r
t
)A
k
(r
t
) d1
t
12.6. ELECTROMAGNETIC RESPONSE ... 231
where Q
ik
(r) decays at [r[ >ζ. The London equation is the case at very slow variation of
A(r). In this situation one can replace A(r
t
) →A(r) and
_
Q
ik
(r −r
t
) d1
t
= δ
ik
Q.
We know that the characteristic scale for the variation of A is δ, consequently we return to
the London limit at δ ¸ζ. In the opposite limiting case, δ ¸ζ, we can assume that only
the electron which live for a long time in the surface region ∼ δ are eﬀective. The number
of those electrons is proportional to the angle θ ∼ δ/ζ and n
eff
≈ n
e
δ/ζ. As a result,
δ ∼
¸
mc
2
ζ
4πn
e
e
2
δ
→ δ
P
∼
_
mc
2
ζ
4πn
e
e
2
_
1/3
.
As was mentioned, most of pure materials are type I (or Pippard) ones. Nevertheless, one
can decrease the ratio ζ/δ introducing defects, impurities, etc. Moreover, we’ll see later
that near T
c
all the SC are type II ones.
It is interesting that all the formulas do not feel if the carriers are single electrons, or
pairs (one can check it replacing e →2e, n
e
→n
e
/2).
Theory of the Meissner Eﬀect at T = 0.
Here we consider only the simplest case: response of a SC to a weak steady magnetic ﬁeld
at T = 0. The aim is just to show the way of microscopic calculations.
According to quantum mechanics, in the presence of a magnetic ﬁeld the Hamilton
acquires the additional factor
δH = −
1
c
_
jδAd1 that leads → δE = −
1
c
_
¸j) δAd1
where ¸j) is the quantum mechanical average of the current (in the following we omit the
angular brackets ¸ )). We will do like this: we calculate the contribution to the energy
and than ﬁnd the variation with respect to δA. It is clear that in a weak ﬁeld we need 2nd
order of the perturbation theory because the current is proportional to A.
The prescription to take the ﬁeld into account is to replace
3
p = −i¯ h∇ →−i¯ h∇+
e
c
A
As a result, for a bare electron the Hamiltonian is
1
2m
_
−¯ h
2
∇
2
−i¯ h
e
c
(A∇+∇A) +
_
e
c
_
2
A
2
_
.
3
Remember: the charge is denoted as −e.
232 CHAPTER 12. MICROSCOPIC THEORY
We see that only the ﬁrst item conserves the particle momentum. To take the lack of
conservation into account we expand the vector potential in the Fourier series
A(r) =
q
A
q
e
iqr
,
the component A
q
can be understood as the absorption of electromagnetic quantum with
the momentum ¯ hq. Using the second quantization, we write the interaction Hamiltonian
as a sum of 2 parts
H
1
=
e
mc
p,q,σ
_
(p−¯ hq)a
†
pσ
a
p−¯hq,σ
+pa
†
pσ
a
p−¯hq,σ
_
A
q
,
H
2
=
e
2
2mc
2
p,q,q
,σ
a
†
pσ
a
p−¯hq−¯hq
,σ
A
q
A
q
.
Then we transform
σ
a
†
pσ
a
p
,σ
through quasiparticle operators
σ
a
†
pσ
a
p
,σ
= u
p
u
p
(α
†
p↑
α
p
↑
+α
†
p↓
α
p
↓
) +v
p
v
p
(α
−p↓
α
†
−p
↓
+α
−p↑
α
†
−p
↑
)+
+u
p
v
p
(α
†
p↑
α
†
−p
↓
−α
†
p↑
α
†
−p
↓
) +v
p
u
p
(α
−p↓
α
p
↑
−α
−p↑
α
p
↓
).
The part H
2
is of he 2nd order and it is enough to average it over the ground state. We see
that only the item proportional to v
p
v
p
gives a ﬁnite contribution, and k = k
t
, q = −q
t
.
At low temperatures n
p↑
= n
p↓
= 0, and
E
2
=
e
2
mc
2
p,q
v
2
p
A
q
A
−q
.
The ﬁrst order contribution from H
1
vanishes because
p
pv
2
p
δ
q,0
= 0. Thus, in the second
order
E
1
=
m,=0
[¸0[H
1
[m)[
2
E
(0)
−E
(m)
.
Then, in the ground state there is no quasiparticles, and only transitions involving 2
quasiparticles are important. As a result
¸0[H
1
[m) =
2
mc
(u
p
v
p−¯hq
−v
p
u
p−¯hq
)(2p−¯ hq), E
(0)
−E
(m)
= −(ε
p
+ε
p−¯hq
).
Finally
E
1
= −
_
e
2mc
_
2
p,q
(u
p
v
p−¯hq
−v
p
u
p−¯hq
)
2
((2p−¯ hq) A
q
) ((2p−¯ hq) A
−q
)
ε
p
+ε
p−¯hq
.
We have taken into account that A
q
= [A
−q
]
∗
and that quasiparticle operators for diﬀerent
momenta anticommute. Now we use the gauge div A =0, or (qA
q
) = 0. We change
p →p+¯ hq/2 and denote
ξ
p+¯ hq/2
≡ ξ
+
, ξ
p−¯hq/2
= ξ
−
.
12.6. ELECTROMAGNETIC RESPONSE ... 233
As a result
E
1
= −
1
2
_
e
mc
_
2
p,q
(pA
q
)(pA
−q
)(ε
+
ε
−
−ξ
+
ξ
−
−∆
2
)
ε
+
ε
−
(ε
+
+ε
−
)
.
Remembering that
δE = −
1
c
q
j
q
δA
−q
we get
j
q
= −
2e
2
mc
p
v
2
p
A
q
+
e
2
m
2
c
p
p(pA
q
)(ε
+
ε
−
−ξ
+
ξ
−
−∆
2
)
ε
+
ε
−
(ε
+
+ε
−
)
.
In the ﬁrst integral 2
p
v
2
p
= n
e
. In the second integral we put ¯ hq ¸p
F
and
ξ
±
=
(p ±¯ hq/2)
2
−p
2
F
2m
≈ ξ ±¯ hqv
F
cos θ
(zaxis is directed along q). Finally, coming to the integral over momenta and calculating
the perpendicular current we get
Q(q) =
n
e
e
2
mc
−
e
2
p
4
F
m
2
cv
F
1
(2π¯ h)
3
_
∞
−∞
dξ
_
cos
2
θ sin
2
θ
(ε
+
ε
−
−ξ
+
ξ
−
−∆
2
)
ε
+
ε
−
(ε
+
+ε
−
)
dΩ =
=
n
e
e
2
mc
T
_
¯ hqv
F
2∆(0)
_
, T(z) =
3
2z
_
1
0
(1 −t
2
) dt
t
arsh (zt)
√
1 +z
2
t
2
(we have introduced t = cos θ). This integral could be analyzed in limiting cases. At small
q (z →0) T(z) →1 (London limiting case). At large q only small values of t are important.
Thus we can neglect t
2
in comparison with 1 and get
T(z) =
π
2
4z
→Q(q) =
3π
2
4
n
e
e
2
mc
∆(0)
¯ hv
F
1
q
.
This formula is not enough to calculate the penetration depth because it is determined for
inhomogeneous space. The result depends on the scattering conditions for the electron at
the surface. The result for mirror reﬂection has the form
δ
P
=
2
8/3
3
11/6
π
2/3
δ
2/3
L
_
¯ hv
F
∆(0)
_
1/3
,
i.e. it corresponds to the qualitative estimates.
Electrodynamics at T ,= 0 (London limit).
Now we brieﬂy discuss the inﬂuence of ﬁnite temperature. First, we emphasize that near T
c
all the SC meet the London limit. Indeed, at all the temperatures the correlation length is
of the order of ζ
0
∼ ¯ hv
F
/T
c
. At the same time, the penetration depth diverges at T →T
c
.
234 CHAPTER 12. MICROSCOPIC THEORY
The inﬂuence of the ﬁnite temperature leads to creation of quasiparticles, i.e. to decrease
of the number of superconducting electrons. 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. We get
P =
_
pn
F
(ε −pu) (dp) ≈
_
p(pu)
_
−
∂n
F
∂ε
_
(dp) = g(
F
)
_
dξ
_
dΩ
4π
p(pu)
_
−
∂n
F
∂ε
_
.
Then, we have
_
dΩ
4π
p(pu) ≈
1
3
p
2
F
u.
Introducing new variable ϕ as ξ = ∆sinh ϕ we get
P =
1
3
p
2
F
ug(
F
)(
_
∆
k
B
T
_
, ((z) = 2z
_
∞
0
cosh ϕdϕ
(e
z cosh ϕ
+ 1)(e
−z cosh ϕ
+ 1)
We denote
P =n
n
mu
where n
n
is the number of ”normal electrons”. We see that
n
n
n
e
= (
_
∆
k
B
T
_
=
1
T
d∆
dT
_
d
dt
∆
T
_
−1
.
We check the last formula remembering that
ln
∆(0)
∆(T)
= 2
_
∞
0
dϕ
(e
(∆/k
B
T) cosh ϕ
+ 1)
.
One can show that at T → T
c
n
n
/n
e
→ 1 (∆ ∝
√
T
c
−T). At the same time, at T < T
c
this ratio is less than 1. It means that displacement of quasiparticles is not the same as
displacement of all the liquid, the rest being superconducting electrons. We have
n
s
n
e
= 1 −
n
n
n
e
= −
_
d ln(∆/T)
d ln T
_
−1
.
It is just the number which enters the London penetration depth at ﬁnite temperatures.
At T →T
c
n
s
n
e
= 2
T
c
−T
T
c
→ δ
L
(T) = δ
L
(0)
¸
T
c
2(T
c
−T)
.
At the end of this section one should mention that although all the SC come to the London
limit near T
c
this transition takes place very close to T
c
if δ
L
(0) ¸ζ
0
. In the Pippard region
δ
P
(T) = δ
P
(0)
_
∆
∆(0)
tanh
_
∆
2k
B
T
_
_
−1/3
∝
_
T
c
T
c
−T
_
1/3
near T
c
.
12.7. KINETICS OF SUPERCONDUCTORS 235
12.7 Kinetics of Superconductors
Formulas for Transition Probabilities
Consider the case where a weak a.c. ﬁeld acts upon a SC. Such a ﬁeld can be created by
acoustic wave, or by electromagnetic wave.
Acoustic Wave
As we know, acoustic ﬁeld create a perturbation Λ
ik
u
ik
(r,t). Denoting the interaction
matrix element as Λu
k−k
we get
H
int
=
k,k
,σ
Λu
k−k
a
†
kσ
a
k
σ
.
Microwave Field
In the linear approximation the perturbation is (e/2mc)(pA+Ap). As a result
H
int
=
e
mc
k,k
,σ
(A
k−k
(k +k
t
)) a
†
kσ
a
k
σ
.
Thus in general case
H
int
=
k,k
,σ
_
k
t
σ
t
¸
¸
¸
ˆ
B
¸
¸
¸ kσ
_
a
†
kσ
a
k
σ
. (12.19)
There are two kinds of processes induced by H
int
.
1. Transitions between diﬀerent states, described by quasiparticle operators. To analyze
them we transform the Hamiltonian (12.19) to the quasiparticle operators α. We have
done this transformation earlier. In a compact form in can be written as (Problem
11.3)
a
†
mσ
= u
m
α
†
mσ
+
σ
ρ
σσ
α
−mσ
, where ρ =
_
0 −1
1 0
_
. (12.20)
As a result
a
†
kσ
a
k
σ
= u
k
u
k
α
†
kσ
α
k
σ
+v
k
v
k
σ
1
σ
2
ρ
σσ
1
ρ
σ
σ
2
α
−kσ
1
α
†
−k
σ
2
+
+u
k
v
k
σ
1
ρ
σ
σ
1
α
†
kσ
α
†
−k
σ
1
+v
k
u
k
σ
1
ρ
σσ
1
α
−kσ
1
α
k
σ
. (12.21)
Note that the items α
†
kσ
α
k
σ
and α
kσ
1
α
†
k
σ
2
describe scattering of quasiparticles while
α
†
kσ
α
†
−k
σ
1
and α
−kσ
1
α
k
σ
describe creation and annihilation of pairs of quasiparticles.
(The number of quasiparticles is not conserved!).
2. The perturbation can also modulates the system’s parameters. Usually it is not so
important.
Now we analyze diﬀerent processes.
236 CHAPTER 12. MICROSCOPIC THEORY
Scattering processes.
Making use of anti commutation of quasiparticle operators we get the following expression
for transition matrix element
M(kσ[k
t
σ
t
) = u
k
u
k
_
k
t
σ
t
¸
¸
¸
ˆ
B
¸
¸
¸ kσ
_
−v
k
v
k
σ
1
σ
2
ρ
σ
2
σ
ρ
σ
1
σ
_
−k
t
σ
t
¸
¸
¸
ˆ
B
¸
¸
¸ −kσ
_
.
In fact,
σ
1
σ
2
ρ
σ
2
σ
ρ
σ
1
σ
_
−k
t
σ
t
¸
¸
¸
ˆ
B
¸
¸
¸ −kσ
_
is the matrix element where all the momenta and
spins are reversed which means time reversion. It is clear that they can diﬀer only by signs:
σ
1
σ
2
ρ
σ
2
σ
ρ
σ
1
σ
_
−k
t
σ
t
¸
¸
¸
ˆ
B
¸
¸
¸ −kσ
_
= η
_
k
t
σ
t
¸
¸
¸
ˆ
B
¸
¸
¸ kσ
_
where
η =
_
+1, for the case 1
−1, for the case 2
.
Thus
M(kσ[k
t
σ
t
) = (u
k
u
k
−ηv
k
v
k
)
_
k
t
σ
t
¸
¸
¸
ˆ
B
¸
¸
¸ kσ
_
where the coeﬃcient (u
k
u
k
− ηv
k
v
k
) is called the coherence factor. This factor is very
important. The resulting contribution to the transition rate is
ν
kk
=
2π
¯h
[M(kσ[k
t
σ
t
)[
2
¦n
F
(ε
k
) [1 −n
F
(ε
k
)] −n
F
(ε
k
) [1 −n
F
(ε
k
)]¦
δ(ε
k
−ε
k
−¯ hω).
(12.22)
Consequently, the absorbed power is
W
1
=
kk
¯ hω ν
kk
.
Denoting B
2
≡
¸
¸
¸
_
k
t
σ
t
¸
¸
¸
ˆ
B
¸
¸
¸ kσ
_¸
¸
¸
2
where the bar means angle average over the Fermi surface
we get
W
1
= 2πωB
2
_
∞
∆
dε dε
t
g
s
(ε)g
s
(ε
t
)(u
k
u
k
−ηv
k
v
k
)
2
[n
F
(ε
t
) −n
F
(ε)] δ(ε −ε
t
−¯ hω).
Here we have introduces the density of states with respect to the energy ε
g
s
(ε) = g(
F
)
¸
¸
¸
¸
¸
dξ
dε
¸
¸
¸
¸
¸
= g(
F
)
ε
√
ε
2
−∆
2
.
According to the deﬁnition,
(u
k
u
k
−ηv
k
v
k
)
2
=
1
2
_
1 +
ξξ
t
εε
t
−η
∆
2
εε
t
_
.
12.7. KINETICS OF SUPERCONDUCTORS 237
Finally
W
1
= 2πωB
2
g
2
(
F
)
_
∞
∆
dε
_
∞
∆
dε
t
εε
t
−η∆
2
_
(ε
2
−∆
2
) (ε
t2
−∆
2
)
[n
F
(ε
t
) −n
F
(ε)] δ(ε −ε
t
−¯ hω). (12.23)
We can make the same calculation for the second part, corresponding to creation and
annihilation of quasiparticles which is nonzero at ¯ hω > 2∆. The result can be formulated
as
W
s
W
n
=
1
¯ hω
_
∞
−∞
dε
_
∞
−∞
dε
t
εε
t
−η∆
2
_
(ε
2
−∆
2
) (ε
t2
−∆
2
)
Θ([ε[ −∆) Θ([ε
t
[ −∆)
[n
F
(ε
t
) −n
F
(ε)] δ(ε −ε
t
−¯ hω). (12.24)
Now we discuss the applications of the formula.
Ultrasonic Absorption
We have η = 1. At ¯ hω ¸∆
W
s
W
n
=
_
[ε[>∆
dε
ε
2
−∆
2
ε
2
−∆
2
_
−
∂n
F
∂ε
_
=
2
1 +e
∆/k
B
T
.
At T = 0 the absorption takes place only at ¯ hω > 2∆. The graph of this function is shown
in Fig. 12.5.
Figure 12.5: Temperature dependence of sound absorption.
238 CHAPTER 12. MICROSCOPIC THEORY
Response to Microwave Field
The quantitative analysis is more diﬃcult. The key results are the follows. At T = 0
the absorption takes place only at ¯ hω > 2∆ (see Fig. 12.6). At low frequencies and
Figure 12.6: Frequency dependence of microwave absorption at T = 0.
temperatures, k
B
T, ¯ hω ¸∆(0) we have
ImQ ≈ −4π sinh
_
¯ hω
2k
B
T
_
K
0
_
¯ hω
2k
B
T
_
exp
_
−
∆(0)
k
B
T
_
Note that the condition ¯ hω = 2∆ corresponds to the frequencies ∼ 10
11
− 10
12
Hz. Con
sequently, in the optical frequency range the electromagnetic properties of SC and normal
conductors are practically the same.
Finally, we discuss also the very important limiting case of the vicinity of T
c
and small
frequencies
¯ hω ¸∆ ¸k
B
T
c
.
In this region
j =
_
−
c
4πδ
2
+
iωσ
c
_
A.
Remembering that E = −(1/c)
˙
A we see that the second item is just σE and
j = j
s
+j
n
.
Note that such a twoﬂuid hydrodynamics is not the case beyond the vicinity of T
c
.
Electron Thermal Conductivity
The main electronic contribution to thermal conductivity can be calculated from the
Boltzmannlike equation for quasiparticles
4
∂ε
∂p
∂n
∂r
−
∂ε
∂r
∂n
∂p
= I(n)
4
This equation is oversimpliﬁed, but appropriate for the problem.
12.7. KINETICS OF SUPERCONDUCTORS 239
where ε(p, r) is the quasiparticle energy. To estimate the scattering rate we assume impu
rity scattering,
H
int
=
k,k
,σ
V
kk
a
†
kσ
a
k
σ
where the matrix element V
kk
depends only on the angle θ = (
¯
k, k
t
). After Bogolyubov
transform neglecting creationannihilation terms we get
H
int
=
k,k
,σ
V
kk
α
†
kσ
α
k
σ
(u
k
u
k
−v
k
v
k
).
For elastic scattering ξ
k
= ±ξ
k
. For the sign + we get ξ
k
/ε
k
for the coherence factor while
for the sign  this factor vanishes. As a result,
1
τ
s
=
2π
¯ h
_
[V
kk
[
2
(1 −cos θ)(u
k
u
k
−v
k
v
k
)
2
δ(ε
k
−ε
k
)(dk
t
) =
=
π
¯ h
g(
F
)
_
ξ
k
ε
k
_
2
¸
¸
¸
¸
¸
dξ
k
dε
k
¸
¸
¸
¸
¸
_
dΩ
4π
[V (θ)[
2
(1 −cos θ) =
1
τ
tr
[ξ
k
[
ε
k
Now we can do everything:
∂n
F
∂r
= −
ε
T
∂n
F
∂ε
∇T,
∂ε
∂p
=
∂n
F
∂ξ
∂ξ
∂p
= v
ξ
k
ε
k
, I(n) =
n −n
F
τ
tr
[ξ
k
[
ε
k
.
Finally,
n
(1)
=
ε
T
∂n
F
∂ε
τ
tr
sign ξ
k
v∇T. (12.25)
It is easy to calculate the thermal current
Q =
_
ε
p
∂ε
∂p
n
(1)
(dp) = −
n
e
τ
tr
2mk
B
T
2
_
∞
∆
ε
2
dε
cosh
2
(ε/2k
B
T)
∇T.
Thus
κ =
n
e
τ
tr
k
B
T
2m
_
∞
∆/k
B
T
x dx
cosh
2
(x/2)
.
The graph of this function is shown in Fig. 12.7.
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. Then
it was shown that there are ways to observe the supercurrent and in such a way to study
the thermoelectric eﬀect. It is not so easy to calculate the thermoelectric current because
of some important features of superﬂow. Here we use a simpliﬁed approach.
Assume that the condensate moves as a whole with the velocity v
s
, the Cooper pair mo
mentum being p
s
=2mv
s
. The motion as a whole means that the supercondicting coupling
240 CHAPTER 12. MICROSCOPIC THEORY
Figure 12.7: Temperature dependence of thermal conductivity.
should be the case for the momenta p and −p +p
s
. As a result, instead of the Bogolyubov
transform we get
a
p↑
= u
p
α
p↑
+v
p
α
†
−p+p
s
↓
,
a
p↓
= u
−p+p
s
α
p↓
−v
−p+p
s
α
†
−p+p
s
↑
.
(we have chosen the subscripts in the second line to fulﬁll the anti commutation condition
_
a
p↑
, a
−p+p
s
↓
_
= −u
p
v
p
+u
p
v
p
= 0.
Then we make the same procedure as earlier and get
¸H−N) =
p
_
ξ
_
n
p↑
+[v
p
[
2
(1 −n
p↑
−n
−p+p
s
↓
)
_
+
+ξ
t
_
n
−p+p
s
↓
+[v
p
[
2
(1 −n
p↑
−n
−p+p
s
↓
)
__
−
∆
2
λ
.
Here
∆ = λ
p
u
p
v
p
(1 −n
p↑
−n
−p+p
s
↓
),
ξ
t
= ξ(−p +p
s
).
(12.26)
Minimizing the energy, we get
u
2
p
= u
2
−p+p
s
=
1
2
_
1 +
ξ +ξ
t
2ε
_
,
v
2
p
= v
2
−p+p
s
=
1
2
_
1 −
ξ +ξ
t
2ε
_
,
ε =
¸
(ξ +ξ
t
)
2
4
+ ∆
2
.
Consequently, after variation over n
pσ
we obtain the quasiparticle energies
ε
p↑
= ε +
ξ −ξ
t
2
, ε
−p+p
s
↓
= ε −
ξ −ξ
t
2
12.8. PROBLEMS 241
In a more symmetric way, it is reasonable to shift the momentum by p
s
/2. In this case
we can denote ξ
±
≡ ξ(p ± p
s
/2), ξ + ξ
t
= 2ξ(p) +p
s
/4m, ξ − ξ
t
= pp
s
/m = 2pv
s
. At
small p
s
one can obtain
ε
p+p
s
/2↑
= ε
0
+pv
s
, ε
−p+p
s
/2↓
= ε
0
−pv
s
that means just the Doppler shift of the energy.
One should be careful to calculate the current. We get
j = −
e
m
pσ
pa
†
pσ
a
pσ
= −
e
m
p
p
_
u
2
p
n
p↑
+v
2
p
(1 −n
−p+p
s
↓
) +u
2
p
n
p↓
+v
2
p
(1 −n
−p+p
s
↑
)
_
.
Then we shift the variables as p →p +p
s
/2 and assume p
s
¸∆/p
F
to get
j = −
2e
m
pσ
(p +p
s
/2)
_
u
2
p+p
s
/2
n
p+p
s
/2,σ
+v
2
p+p
s
/2
(1 −n
−p+p
s
/2,σ
)
_
.
Expanding in terms of pv
s
we get [n
F
(ε +pv
s
) = n
F
(ε) +pv
s
(∂n
F
/∂ε)]
j = −2ev
s
p
_
u
2
p
n
F
+v
2
p
(1 −n
F
)
_
−
2e
m
p
p(pv
s
)
_
∂n
F
∂ε
_
−
2e
m
p
pn
(1)
.
The two ﬁrst item can be grouped as −en
s
v
s
while the last one is the thermoelectric current
of normal excitations. Substituting the expression for n
(1)
from (12.25) we get
j =−η
s
∇T, η
s
= −
e
F
κ.
We will come back to this problem later to explain how one can observe this current.
12.8 Problems
11.1. Prove the Eqs. (12.9) and (12.10).
11.2. Prove Eq. (12.18).
11.3. Check Eq. (12.20)
242 CHAPTER 12. MICROSCOPIC THEORY
Chapter 13
GinzburgLandau Theory
In this chapter we consider a very powerful macroscopic theory which is very useful for
many problems in SC.
13.1 GinzburgLandau Equations
Derivation
Let us formulate the theory of SC transition as the one for a general type II transition.
First, one should deﬁne the order parameter. As the order parameter it is natural to chose
the wave function of the Bose condensate, Ψ. According to the principles of SC, it is natural
to assume that the ground state corresponds to the total momentum equal to 0, the wave
function being the same for all the Bose particles.
Near the critical temperature, the modulus of the order parameter is small, and one
can expand the thermodynamic potential as
Ω
s
= Ω
n
+a[Ψ[
2
+
b
2
[Ψ[
4
+ .
Because we are interested in the vicinity of T
c
we can expand the coeﬃcients in power of
τ =
T −T
c
T
c
.
According the deﬁnition of T
c
, above T
c
the stable state corresponds to Ψ = 0, while below
T
c
Ψ ,= 0. Thus the coeﬃcient a should change the sign at the transition point:
a = ατ, α > 0.
As a result, we describe the equilibrium values of the order parameter as
Ψ = 0, at T > T
c
,
[Ψ[
2
= −
α
b
τ = [Ψ
0
[
2
, at T < T
c
.
243
244 CHAPTER 13. GINZBURGLANDAU THEORY
Inserting the equilibrium value if [Ψ
0
[
2
into the expansion and comparing the result with
the known relation for the critical ﬁeld, we get
Ω
s
−Ω
n
=
(ατ)
2
2b
=
H
2
c
8π
.
Consequently, using the microscopic theory we have
α
2
2b
=
4
7ζ(3)
(k
B
T
c
)
2
mp
F
¯ h
3
=
4π
2
7ζ(3)
g(
F
) (k
B
T
c
)
2
.
The most interesting case is the case of external magnetic ﬁeld. In this case Ψ is coordinate
dependent. Thus we should add both the energy of magnetic ﬁeld H
2
/8π and the energy
connected with the inhomogeneity. Near the critical point it is enough to add [∇Ψ[
2
. Here
we come to the most important point: Cooper pairs are charged particles. Consequently,
because of gauge invariance, only combination
−i¯ h∇+
2e
c
A
is possible. To make a proper dimension we write the corresponding term as
1
4m
¸
¸
¸
¸
_
−i¯ h∇+
2e
c
A
_
Ψ
¸
¸
¸
¸
2
.
Finally, we get
_
_
Ω
s
−Ω
(0)
n
_
d1 =
_
d1
_
ατ[Ψ[
2
+
b
2
[Ψ[
4
+
+
1
4m
¸
¸
¸
_
−i¯ h∇+
2e
c
A
_
Ψ
¸
¸
¸
2
+
H
2
8π
_
.
Here Ω
(0)
n
is the thermodynamic potential of the normal state without magnetic ﬁeld. To
get the minimum we calculate variation with respect to Ψ
∗
:
_
d1
_
ατΨδΨ
∗
+b[Ψ[
2
ΨδΨ
∗
+
1
4m
_
−i¯ h∇+
2e
c
A
_
Ψ
_
i¯ h∇+
2e
c
A
_
δΨ
∗
_
The item with the ∇δΨ
∗
can be integrated by parts. Using the Gauss theorem we get
i¯ h
4m
_
surface
δΨ
∗
_
−i¯ h∇+
2e
c
A
_
ΨdS+
+
1
4m
_
d1 δΨ
∗
_
−i¯ h∇+
2e
c
A
_
2
Ψ.
Then we put δΨ
∗
= 0 at the surface and arbitrary inside. As a result, we get the following
equation for the order parameter
1
4m
_
−i¯ h∇+
2e
c
A
_
2
Ψ + ατΨ +b[Ψ[
2
Ψ = 0.
13.1. GINZBURGLANDAU EQUATIONS 245
If now we put δΨ
∗
at the surface to be arbitrary, we obtain the boundary condition
n
_
−i¯ h∇+
2e
c
A
_
Ψ[
surface
= 0.
The variation with respect to δΨ leads to the complex conjugate expressions.
Now it is important to get the equation for electric current. To obtain it one should
calculate the variation with respect to the vector potential A. The variation of H
2
leads
to
δ(curl A)
2
= 2 curl Acurl δA.
Then we can use the relation
div [a b] = bcurl a −a curl b
to get
δ(curl A)
2
= 2δAcurl curl A+2div [δAcurl A] .
The second integral can be transformed into the surface one, thus it is not important. On
the other hand, from the Maxwell equations
curl curl A =curl H =
4π
c
j → δ(curlA)
2
= 2jδA.
The rest of the free energy can be calculated in a straightforward way, and equating the
total variation to zero we obtain
j =
ie¯ h
2m
(Ψ
∗
∇Ψ−Ψ∇Ψ
∗
) −
2e
2
mc
[Ψ[
2
A
This is just the quantum mechanical expression for the current for a particle with the
charge (−2e) and the mass 2m. The set
(1/4m)
_
−i¯ h∇+
2e
c
A
_
2
Ψ +ατΨ + b[Ψ[
2
Ψ = 0,
j = (ie¯ h/2m) (Ψ
∗
∇Ψ−Ψ∇Ψ
∗
) −(2e
2
/mc)[Ψ[
2
A
forms the GinzburgLandau equations.
Dimensionless Parameters and Their Meaning
To make the equations simples new dimensionless parameters are usually introduced:
Ψ
t
=
Ψ
Ψ
0
, H
t
=
H
H
c
√
2
, r
t
=
r
δ
, A
t
=
A
H
c
δ
√
2
with δ =
¸
¸
¸
_
2mc
2
4π(2e)
2
Ψ
2
0
, H
c
= 2
√
π
ατ
√
b
, Ψ
2
0
=
α[τ[
b
.
246 CHAPTER 13. GINZBURGLANDAU THEORY
In the following we will omit primes and use these variables. As a result, the set of equations
can be expressed as
_
i
κ
∇−A
_
2
Ψ−Ψ +[Ψ[
2
Ψ = 0,
n
_
i
κ
∇−A
_
Ψ
surface
= 0, boundary condition
curl curl A =
i
2κ
(Ψ
∗
∇Ψ−Ψ∇Ψ
∗
) −[Ψ[
2
A. (13.1)
This set contains only one dimensionless parameter
κ = 2
√
2
eH
c
δ
2
¯ hc
(13.2)
which is called the GinzburgLandau (GL) parameter.
To understand the meaning of the parameters let us consider the simplest problem,
namely penetration of a weak ﬁeld into the superconductor x > 0. Let H  z, A  y, i.e.
H(x) =
dA
y
dx
.
It is natural to consider Ψ as a function only of x. We get
−
1
κ
2
d
2
Ψ
dx
2
−Ψ + A
2
[Ψ[ = 0,
dΨ
dx
[
surf
= 0.
At k ¸1 one can assume Ψ =const, in the bulk of material it is natural to assume[Ψ[
2
= 1,
we chose Ψ real. Immediately we get from the second GL equation
d
2
A
dx
2
−A = 0 →H = H
0
e
−x
, in usual units H = H
0
e
−x/δ
.
Thus δ is just the London penetration depth near T
c
. Immediately we get
[Ψ
0
[
2
=
n
s
2
→−
α
b
τ =
n
s
2
.
Comparing this expression with the microscopic formula for n
s
obtained in the previous
chapter we get
α
b
= n
e
.
Then it is possible to express the constants α and b through the microscopic parameters.
Indeed,
α
2
2b
=
4π
2
7ζ(3)
g(
F
) (k
B
T
c
)
2
→α =
8π
2
n
e
7ζ(3)
g(
F
) (k
B
T
c
)
2
, b =
α
n
e
.
One can show using these expressions that
κ = a
1
δ
L
(0)
ζ
0
, a
1
=
¸
24
7ζ(3)
γ
π
≈ 0.96.
13.1. GINZBURGLANDAU EQUATIONS 247
Thus we determined the meaning of all the parameters. The last thing is to discuss the
physics of the order parameter. It is clear that Ψ ∝ ∆ (both are proportional to
_
[τ[).
Computing the coeﬃcients at τ →0 we obtain
Ψ(r) = a
2
1
√
n
e
∆(r)
k
B
T
c
, a
2
=
1
π
¸
7ζ(3)
8
.
Modiﬁcation for SC Alloys.
As we have discussed, impurities change strongly the penetration depth δ. To take this
change into account we substitute the expression for the penetration depth for dirty SC
into Eq. (13.2). According to exact theory, at ¸ζ
0
δ(T) = δ
L
(0)
¸
¯ h
∆τ
tr
tanh(∆/2k
B
T)
. ∼ δ
L
(0)
¸
ζ
.
At the same time, let us take into account that the coherence length ζ can be expressed as
the electron path during the time ¯ h/∆ : ζ ∼ ¯ hv
F
/∆. If the electron moves diﬀusively due
to impurity scattering, the coherence length can be expressed as the characteristic electron
path during the time ¯ h/∆ :
ζ
eff
∼
¸
D
¯ h
∆
∼
¸
v
2
F
τ
tr
¯ h
∆
∼
_
ζ
where D is the electron diﬀusion coeﬃcient. Thus
κ ∼
δ
ζ
eff
∼
δ
L
(0)
(the exact theory leads to the coeﬃcient 0.72 in this formula). Note that in this case the
coeﬃcient
1
4mκ
2
∼
2
4mδ
2
L
(0)
∼
3D
4p
F
δ
2
L
(0)
.
Thus one can express the GL equation for alloys in the form
πD¯ h
8k
B
T
c
_
∇+
2ie
¯ hc
A
_
2
∆ +
T
c
−T
T
c
∆−
7ζ(3)
8π
2
[∆[
2
(k
B
T
c
)
2
∆ = 0
and the current is expressed in the form
j =
ieg(
F
)D
4k
B
T
c
_
1
2
(∆
∗
∇∆−∆∇∆
∗
) +
2ie
¯ hc
[∆[
2
A
_
.
Finally, we will derive an auxiliary expression for the free energy which will be used
below. Using dimensionless notations we get
_
_
Ω
s
−Ω
(0)
n
_
d1 =
H
2
c
4π
_
d1
_
−[Ψ[
2
+
[Ψ[
4
2
+
¸
¸
¸
¸
_
i∇
κ
−A
_
Ψ
¸
¸
¸
¸
2
+H
2
_
.
248 CHAPTER 13. GINZBURGLANDAU THEORY
Then we integrate the item with ∇Ψ
∗
by parts, the surface integral being zero. In the rest
integral we take into account that Ψ obeys the GL equation. As a result,
_
_
Ω
s
−Ω
(0)
n
_
d1 =
H
2
c
4π
_
d1
_
H
2
−
[Ψ[
4
2
_
.
If one keeps the external ﬁeld H
0
ﬁxed the corresponding thermodynamic potential can be
obtained by subtracting H
0
B/4π. In a normal phase, correspondingly Ω
nH
= Ω
(0)
n
−H
2
0
/8π.
As a result,
_
(Ω
sH
−Ω
nH
) d1 =
H
2
c
4π
_
d1
_
(H −H
0
)
2
−
[Ψ[
4
2
_
. (13.3)
Range of Applicability for the GL Theory.
As we have mentioned, one of the conditions is the vicinity of the transition, [τ[ ¸ 1.
Another condition is the local relation between the current and vector potential, δ ¸ζ
0
. In
fact, it is possible to combine these equations taking into account that δ(T) ∼ δ
L
(0)[τ[
−1/2
.
The criterion reads as
[τ[ ¸min(κ
2
, 1).
In fact, the theory works not so bad even beyond the vicinity of T
c
.
There is another limitation of the range of GL theory: at very small[τ[ where ﬂuctua
tions become important and the self consistent approach becomes invalid. This limitation
is not important for bulk materials but may be very important for layered and low dimen
sional SC.
13.2 Applications of the GL Theory
Surface Energy at NS Interface
Consider the problem where all the quantities depend only upon one coordinate, say x,
while A ⊥ x. The set of equations has the form (we’ll see that Ψ is real)
κ
−2
(d
2
Ψ/dx
2
) + Ψ(1 −A
2
) −Ψ
3
= 0,
(dΨ/dx)[
surface
= 0,
d
2
A/dx
2
−Ψ
2
A = 0.
It is easy to ﬁnd the integral of this set. Let us multiply the ﬁrst equation by dΨ/dx, the
last one  by dA/dx and them add the equation and integrate over x :
_
x
0
dx
_
1
κ
2
d
2
Ψ
dx
2
dΨ
dx
+ Ψ
dΨ
dx
(1 −A
2
) −
dΨ
dx
Ψ
3
+
d
2
A
dx
2
dA
dx
−Ψ
2
A
dA
dx
_
= 0.
We obtain
1
κ
2
_
dΨ
dx
_
2
+ Ψ
2
(1 −A
2
) −
Ψ
4
2
+
_
dA
dx
_
2
= const =
1
2
13.2. APPLICATIONS OF THE GL THEORY 249
(the constant being determined from the boundary conditions.
To ﬁnd the surface energy we formulate the boundary conditions
x →∞(superconductor) : Ψ = 1, H = A = 0, dΨ/dx = 0,
x →−∞ (normal conductor) : Ψ = 0, H = H
0
= 1/
√
2, dΨ/dx = 0.
At κ ¸1 (ζ ¸δ) the most important region where A and H are small. Thus, we get
1
κ
2
_
dΨ
dx
_
2
+ Ψ
2
−
Ψ
4
2
=
1
2
→
dΨ
dx
=
κ
√
2
(1 −Ψ
2
).
The solution is
Ψ = tanh
κx
√
2
,
it is wrong in the region where the ﬁeld penetrates, but this region is small. Now we can
employ Eq. (13.3) and put H
0
= 1/
√
2, H = 0. We obtain
σ
ns
=
H
2
c
8π
_
_
1 −tanh
2
κx
√
2
_
dx =
H
2
c
8π
4
√
2
3κ
.
In dimensional units that means
σ
ns
=
4
√
2
3
H
2
c
8π
δ
κ
.
The opposite limiting case can be treated only numerically. The result is that σ
ns
at
κ = 1/
√
2 and at κ > 1/
√
2 it is negative. The orderof magnitude estimate has been
made earlier.
Quantization of Magnetic Flux.
Consider a hollow cylinder placed into a longitudinal magnetic ﬁeld. Assume that the
cylinder is in the Meissner state. If the order parameter has the form
Ψ = [Ψ[e
iχ
the current is
j = −.
e¯ h
m
[Ψ[
2
_
∇χ +
2e
¯ hc
A
_
.
We can divide the current density by [Ψ[ and integrate over a closed circuit in the bulk of
superconductor:
_
j
[Ψ[
2
dl
. ¸¸ .
= −.
e¯h
m
_
_
_
∇χdl
. ¸¸ .
+
2e
¯hc
_
Adl
. ¸¸ .
_
_
.
0 −2πk ﬂux
250 CHAPTER 13. GINZBURGLANDAU THEORY
Thus
Φ = kΦ
0
, Φ
0
= π¯ hc/e = 2.07 10
−7
G cm
2
.
It is interesting that the eﬀect has been predicted by F. London (1950) before the concept
of Cooper pairs. He assumed the quantum to be π¯ hc/e = 2Φ
0
.
In any case the quantized quantity is in fact ﬂuxoid
_
∇χdl
which is equal to the total ﬂux through the hole and the surface layer. As a result, the
ﬂux quantization through the hole is not exact.
Experimentally, the SC is cooled in a ﬁxed magnetic ﬁeld and the ﬂux is frozen inside
the hole. To determine the trapped ﬂux one should minimize the free energy diﬀerence
_
(Ω
sH
−Ω
nH
) d1 =
H
2
c
4π
_
¸
_
¸
_
(H
int
−H
0
)
2
πR
2
1
. ¸¸ .
+
_
R
2
R
1
_
(H −H
0
)
2
−
[Ψ[
4
2
_
2πρ dρ
. ¸¸ .
_
¸
_
¸
_
.
hole SC walls
Here R
1,2
are internal (external) radius of the SC pipe. The second term is not important
for a macroscopic pipe (R
2
−R
1
¸∆) and one should ﬁnd H
int
to minimize the previous
expression under the quantization condition. It is clear to understand that the internal
magnetic ﬂux is equal to
Φ = nΦ
0
at
_
n −
1
2
_
Φ
0
< Φ
ext
<
_
n +
1
2
_
Φ
0
(see Fig. 13.1).
Figure 13.1: Quantization of magnetic ﬂux through a SC cylinder.
This kind of behavior has been demonstrated in a very interesting experiments by
Little and Parks (1962). Let us make the hollow cylinder from a very thin ﬁlm with the
13.2. APPLICATIONS OF THE GL THEORY 251
thickness ¸δ. Such s ﬁlm does not screen the magnetic ﬁeld. If the ﬁlm radius is ¸δ one
can consider the vector potential to be constant in the ﬁlm. We can come to cylindric co
ordinates and assume that the only component of A as A
ϕ
. Expressing the order parameter
as Ψe
iχ
we have
_
_
Ω
s
−Ω
(0)
n
_
d1 =
_
d1
_
ατ[Ψ[
2
+
b
2
[Ψ[
4
+
+
1
4m
¸
¸
¸
_
−i¯ h∇+
2e
c
A
_
Ψ
¸
¸
¸
2
+
H
2
8π
_
→
Ω
s
−Ω
(0)
n
= ατ[Ψ[
2
+
b
2
[Ψ[
4
+
¯ h
2
4m
_
∇χ +
2e
¯ hc
A
_
2
+
H
2
8π
. (13.4)
In our case [Ψ[ =const, as well as the quantities ∇χ and A are constant along the ﬁlm. So
we can replace the gaugeinvariant diﬀerence ∇χ +
2e
¯hc
A by its average value
∇χ +
2e
¯ hc
A =
1
2πR
_ _
∇χ +
2e
¯ hc
A
_
dl =
1
R
_
n −
Φ
Φ
0
_
.
Now we can substitute this expression into (13.4) to get
Ω
s
−Ω
(0)
n
= ατ[Ψ[
2
+
b
2
[Ψ[
4
+
¯ h
2
4mR
2
_
n −
Φ
Φ
0
_
2
[Ψ[
2
+
H
2
8π
,
the number n is within the interval
_
n −
1
2
_
Φ
0
< Φ
ext
<
_
n +
1
2
_
Φ.
We see that the magnetic ﬁeld leads to the renormalization of the critical temperature
τ →τ
t
= τ +
¯ h
2
4mR
2
α
_
n −
Φ
Φ
0
_
2
or
δT
c
T
c
= −
¯ h
2
4mR
2
α
_
n −
Φ
Φ
0
_
2
.
The graph of the experimental dependence is shown in Fig. 13.2. 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. The key feature of the experiment discussed is the thin walls of the cylinder.
Thermoelectric Phenomena
Now we can discuss how to observe the thermoelectric eﬀects we’ve considered earlier. For
this reason we write the supercurrent as
j = j
T
+j
s
, j
T
= −η
s
∇T, j
s
= −
¯ hen
s
2m
_
∇χ +
2e
¯ hc
A
_
252 CHAPTER 13. GINZBURGLANDAU THEORY
Figure 13.2: On the experiments by Little and Parks.
Figure 13.3: On the thermoelectric eﬀect.
(we have substituted [Ψ[
2
= n
s
/2. Now consider a cylindric system shown in Fig. 13.3, the
branches a and b being fabricated from diﬀerent materials. In the bulk of materials j =0,
and
∇χ =
2mη
s
¯ hen
s
∇T −
2e
¯ hc
A.
Integrating over the closed loop we get
2πn =
2m
¯ he
_
η
s
n
s
∇T dl−
2e
¯ hc
_
η
s
n
s
Adl =
=
2m
¯ he
_
T
2
T
1
_
_
η
s
n
s
_
a
−
_
η
s
n
s
_
b
_
dT −2π
Φ
Φ
0
.
As a result,
Φ
Φ
0
= −n +
m
π¯ he
_
T
2
T
1
_
_
η
s
n
s
_
a
−
_
η
s
n
s
_
b
_
dT.
We see that there is nonquantized contribution to the magnetic ﬂux. This contribution is
small but observable.
13.2. APPLICATIONS OF THE GL THEORY 253
Surface Superconductivity
Now we discuss the surface superconductivity. To start let us discuss stability of the SC
region in the normal phase. We have diﬀerent possibilities (see Fig. 13.4 where the order
parameter is shown). For all the cases one should use the boundary condition
Figure 13.4: On the surface supercondutivity.
_
dΨ
dx
_
surface
= 0.
Assume that the ﬁeld is parallel to the surface. We chose
A = H(x −x
0
)
where x
0
is the parameter. The GL equation has the form
−
d
2
Ψ
dx
2
+κ
2
H
2
0
(x −x
0
)
2
Ψ = κ
2
Ψ
It is convenient to transform the equation to dimensionless variable x
t
= x
√
κH
0
, and we
have
−Ψ
tt
+ (x
t
−x
t
0
)
2
Ψ =
κ
H
0
Ψ.
This equation has 2 parameters: β = κ/H
0
, and x
t
0
= x
0
√
κH
0
. There is an exact solution
of this equation that can be expressed in terms of hyper geometric function. It has the
form
Ψ = e
−x
2
/2
_
C
1
F
_
1 −β
4
,
1
2
, (x
t
−x
t
0
)
2
_
+C
2
x
t
F
_
3 −β
4
,
3
2
, (x
t
−x
t
0
)
2
__
where F(α, γ, z) obeys the equation
zF
tt
+ (γ −z)F −αF = 0.
254 CHAPTER 13. GINZBURGLANDAU THEORY
We can ﬁnd the ratio C
1
/C
2
and β from the boundary conditions at the surface and at
inﬁnity (they can be expressed as the function of x
t
0
. Then one can minimize β with respect
to x
t
0
, the quantity β
min
corresponds to H
0 max
. The result is
H
c3
= 1.69κ = 1.695H
c2
.
13.3 NS Boundary
Proximity Eﬀect
In this section we brieﬂy discuss important physics for the NS boundary. To make the
discussion as simple as possible we discuss the case of the temperature close to T
c
, so we
can use the GL theory.
The most important feature that one should modify the boundary condition for the
order parameter. It has the form
n
_
∇+
2ie
c¯ h
A
_
Ψ
¸
¸
¸
¸
¸
surface
=
1
µ
Ψ
¸
¸
¸
¸
¸
surface
. (13.5)
To calculate µ one needs the microscopic theory but it is clear that µ ∼ ζ. The exact result
is
µ =
_
0.6ζ
0
, pureSC
0.3
√
ζ
0
,
tt
dirty
tt
SC.
Let us consider the plain surface x = 0. The integral of the GL equation at A = 0 is
ζ
2
_
dΨ
dx
_
2
+ Ψ
2
−
Ψ
4
2
=
1
2
.
The length ζ is just the coherence length . We know the solution
Ψ = tanh
_
x −x
0
ζ
√
2
_
,
the parameter x
0
is to be determined from the boundary condition (13.5)
sinh
_
x
0
√
2
ζ
_
= −2
µ
ζ
.
Near T
c
ζ ∝ 1/
√
T
c
−T and x
0
≈ −µ
√
2. Thus
Ψ = tanh
_
x
ζ
√
2
+ 1
_
.
That means that the order parameter is nonzero also in the thin layer of former normal
phase. At the same time, normal conductor ”spoils the superconductivity near the surface.
13.3. NS BOUNDARY 255
Andreev Reﬂection
Let us discuss the NS boundary in more detail. At the interface the chemical potentials
in both phases should be equal. At the same time, in the SC the electrons exist as Cooper
pairs. As a result, the chemical potential of the pair of electrons should be the same as the
chemical potential of a Cooper pair.
Now let one electron come to the SC. It has no partner, and consequently its energy is
greater by ∆. Consequently, if the excitation energy of the electron above the Fermi level
is less than ∆ it should be reﬂected from the boundary.
To discuss the physical picture in more detail let us assume that metal s are the same
(say, we discuss the NS boundary in the intermediate state). In this case the order
parameter penetrates into the normal phase up to the thickness ∼ ζ ≈ ¯ hv
F
/∆. The energy
spectrum ε =
√
ξ
2
+ ∆
2
is shown in Fig. 13.5. As we have discussed, the quasiparticle
Figure 13.5: Quasiparticle spectrum near the surface.
from the normal metal (left panel) is reﬂected, its energy being conserved. At the same
time, the momentum change can be estimated as follows: δp ∼ (dp/dt)δt where δt is the
time to be inside SC: δt ∼ ζ/v
F
. The derivative
dp/dt ∼ −dU/dx ∼ ∆/ζ.
Thus
δp ∼ (∆/ζ)(ζ/v
F
) ∼ p
F
(∆/
F
) ¸p
F
.
The only way to meet these conditions is to make interbranch transition (from particlelike
to antiparticlelike branch and vice versa). We see that both energy and momentum are
almost the same. At the same time, the group velocity will have an opposite direction.
Actually the process is
particle →anti −particle,ε
1
= ε
2
, p
1
≈ p
2
, v
1
= −v
2
.
Such a process is called the Andreev reﬂection (Andreev, 1964).
What happens with the charge? In fact, such a reﬂection is assisted with the creation
of a Cooper pair in the SC region which carries the charge.
256 CHAPTER 13. GINZBURGLANDAU THEORY
This is the mechanism for charge transfer from normal conductor to SC.
Andreev reﬂection is very important for many eﬀects in superconductors.
Chapter 14
Tunnel Junction. Josephson Eﬀect.
14.1 OneParticle Tunnel Current
Tunneling is the famous problem of quantum mechanics. It is important that a quantum
particle can penetrate the barrier with the energy less than the barrier height. The tunnel
transparency, up to the main approximation, is given by the formula
W ∼ exp
__
Imp
x
dx
_
= exp
_
−
2
√
2m
¯ h
_
x
2
x
1
_
U(x) −E dx
_
(14.1)
(see Fig. 14.1).
Figure 14.1: Quantum tunneling.
We start with the case of two normal metals. In the equilibrium their chemical poten
tials are equal. At a ﬁxed bias, all the voltage is dropped across the barrier (the resistance
being maximal), so the diﬀerence of the electrochemical potentials is −eV (Fig. 14.2).
We see that the number of the electron which can penetrate the barrier is proportional to
eV , and we get the Ohm’s law (Fig. 14.3, curve 1).
257
258 CHAPTER 14. TUNNEL JUNCTION. JOSEPHSON EFFECT.
Figure 14.2: Tunnel junction at a given bias.
Figure 14.3: I −V curves for normal conductors (1), oneelectron (2), and twoelectron (3)
tunneling.
Now let us discuss the NS case at T = 0. In a SC the electrons form Cooper pairs,
their chemical potentials are just the same as the energy level of the Bose condensate. In
a normal conductor, we have two free quasiparticles at the Fermi level.
Let us suppose that 1 electron made the N→S transition through the junction. In a SC
its energy is greater by ∆ than the energy of an electron inside the Cooper pair. Thus, an
extra energy should be given to the electron. Energy cost for the reverse transition is just
the same because one should destroy the Cooper pair, the energy per electron being ∆.
Why the electron pairs cannot tunnel as a whole? The total charge transferred is −2e
that doubles U(x) in Eq. (14.1), while the mass is 2m that leads to the extra
√
2.We see
that the probability decreases drastically.
To understand the situation let us look at Fig. 14.4. This is the socalled quasiparticle
scheme, and we see that the cost is ∆. Consequently, there is a threshold at eV = ∆.
To calculate the current one needs the densities of states: g
n
= g(
F
) for the normal
metal and
g
s
(ε) = g
n
ε
√
ε
2
−∆
2
, ε > ∆.
14.1. ONEPARTICLE TUNNEL CURRENT 259
Figure 14.4: Energy diagram for NS tunneling (S – left side, N – right side of each panel).
This is real density of states. To use the scheme depicted in Fig. 14.4 we should assume
both signs of ε. So we deﬁne
g
s
(ε) =
_
g
n
[ε[/
√
ε
2
−∆
2
, [ε[ > ∆
0, [ε[ < ∆
.
Here positive ε corresponds to N→S tunnel transitions while ε < 0 corresponds to destruc
tion of Cooper pairs assisted by S→N transitions.
The current is given by the golden rule formula
j ∝
_
dε W g
1
(ε −eV )g
2
(ε)
¦n
1
(ε −eV ) [1 −n
2
(ε)] −n
2
(ε) [1 −n
1
(ε −eV )]¦ =
=
_
dε W g
1
(ε −eV )g
2
(ε) [n
1
(ε −eV ) −n
2
(ε)] ≈
≈ W g
1n
g
2n
_
dε
[ε −eV [
_
(ε −eV )
2
−∆
2
[n
1
(ε −eV ) −n
2
(ε)] .
At zero temperature, n(ε) = Θ(ε) and we get
j ∝ W g
1n
g
2n
_
eV −∆
0
dε
[ε −eV [
_
(ε −eV )
2
−∆
2
= W g
1n
g
2n
_
(eV )
2
−∆
2
.
One can easily obtain the coeﬃcient taking into account that at eV ¸∆ the result should
be the same as for NN system. Thus
j
j
n
=
_
(eV )
2
−∆
2
eV
.
Now let us discuss the SS junction. We have
j ∝ W g
2
1n
_
eV −∆
∆
dε
eV −ε
_
(ε −eV )
2
−∆
2
ε
√
ε
2
−∆
2
.
260 CHAPTER 14. TUNNEL JUNCTION. JOSEPHSON EFFECT.
We see that threshold value is eV = 2∆, the result being
j
j
n
= E
_
_
_
(eV )
2
−(2∆)
2
eV
_
_
−2
_
∆
eV
_
2
K
_
_
_
(eV )
2
−(2∆)
2
eV
_
_
where E, K are the elliptic integrals
K(k) =
_
π/2
0
1
√
1−k
2
sin
2
ϕ
dϕ,
E(k) =
_
π/2
0
_
1 −k
2
sin
2
ϕdϕ.
At eV = 2∆ j/j
n
= π/4 (see Fig. 14.3, curve 3).
At ﬁnal temperatures, the threshold singularity is smeared, nevertheless even a ﬁnite
temperatures it is convenient to measure the dependence ∆(T) from the derivative ∂j/∂V.
It is interesting to consider the case of 2 diﬀerent superconductors with T
c2
> T
c1
≥ T.
At low temperatures the singularity takes place at
eV = ∆
1
+ ∆
2
.
To see what happens at ﬁnite temperatures let us look at Fig. 14.5 (left panel) where the
density of states are plotted. At the increase of voltage the left side of the picture moves
Figure 14.5: SS tunnelling. Left – Energy diagram, right – I −V curve.
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. Then, when eV ≥ (∆
2
−∆
1
), the number
of free states decreases with the voltage increase. Consequently, the current decreases. 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. The I −V curve is shown in Fig. 14.5 (right
panel).
Tunneling experiments appear extremely informative to study properties of SC.
14.2. JOSEPHSON EFFECT 261
14.2 Josephson Eﬀect
Up to now, we have considered incoherent processes. Actually, the complete theory should
take into account coherent transfer of the electron wave function. As a result, the order
parameters overlap, and there is a possibility to form a united condensate. As a result, a
ﬁnite supercurrent can ﬂow through SIS system almost like through a bulk SC (Josephson,
1962).
Let us calculate the Josephson current in a very simple way. Namely, let us ﬁnd the
contribution of the coupling to the energy up to the lowest order. The simplest expression
E = C
_
dy dz (∆
1
∆
∗
2
+ ∆
∗
1
∆
2
) = 2C
_
dy dz [∆
1
∆
2
[ cos(χ
2
−χ
1
).
Here C is a constant, (y, z) is the plane of the contact.
Why the phase diﬀerence is dependent on (χ
2
−χ
1
)? Let us consider the magnetic ﬁeld
H  (yz). According to the gauge invariance, all the physical quantities depend on
∇χ +
2e
¯ hc
A.
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. We get
χ
2
−χ
1
+
2e
¯ hc
_
2
1
A
x
dx.
Thus,
E = 2C
_
dy dz [∆
1
∆
2
[ cos
_
χ
2
−χ
1
+
2e
¯ hc
_
2
1
A
x
dx
_
.
After variation with respect to A
x
is
δE = −
4e
¯ hc
C
_
[∆
1
∆
2
[ sin
_
χ
2
−χ
1
+
2e
¯ hc
_
2
1
A
x
dx
_
δA
x
d1.
Comparing this equation with the general formula of electrodynamics
δE = −
1
c
_
jδAd1
we obtain
j =
4e
¯ h
C[∆
1
∆
2
[ sin
_
χ
2
−χ
1
+
2e
¯ hc
_
2
1
A
x
dx
_
= j
c
sin
_
χ
2
−χ
1
+
2e
¯ hc
_
2
1
A
x
dx
_
.
In particular, in the absence of magnetic ﬁeld,
j = j
c
sin (χ
2
−χ
1
) .
Thus the phase diﬀerence is connected with the supercurrent.
262 CHAPTER 14. TUNNEL JUNCTION. JOSEPHSON EFFECT.
It is clear that the critical current is proportional to the tunneling probability. At the
same time, the normal conductance R
−1
is also proportional to the tunneling probability.
The microscopic formula for two identical SC at T = 0 (Ambegaokar, Baratoﬀ, 1963) is
j
c
=
π∆(0)
2eR
while at ﬁnite temperature
j
c
=
π∆(T)
2eR
tanh
_
∆(T)
k
B
T
_
.
Experimentally, j
c
∼ 10
3
− 10
4
A/cm
2
that is 56 orders less than the critical current
in a bulk sample. Consequently, Josephson eﬀect and related topics are called the weak
superconductivity. Actually, the current is tuned by the ballast resistor and the transition
from zero voltage to the ﬁnite one is observed. In fact, this transition is assisted by many
interesting nonlinear phenomena (see e.g. Problem 13.1).
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. Among such systems are
S −I −S(SC −insulator −SC, tunneljunction)
S −N −S (SC −normalconductor −SC, proximitybridge)
S −C −S(SC −constriction −SC, bridgeorpointcontact)
To explain the reason we discuss here a very simple derivation based on the GL theory.
Consider the GL equation
−
1
κ
2
∇
2
Ψ−Ψ +[Ψ[
2
Ψ = 0
and suppose that the length L of the bridge is much less than ζ (in our units L/δ ¸κ
−1
).
In this case, inside the bridge the ﬁrst item is the most important, and we have in the
lowest approximation
∇
2
Ψ = 0.
In the bulk of the ”banks” Ψ →const. Let us assume that
const = e
iχ
1
, intheleftside
const = e
iχ
2
, intherightside
.
Thus we can search the solution of the GL equation as
Ψ = f(r)e
iχ
1
+ [1 −f(r)] e
iχ
2
(14.2)
14.3. JOSEPHSON EFFECT IN A MAGNETIC FIELD 263
where f(r)obeys the equation
∇
2
f(r) = 0
and tends to 1 in the bank 1 and to 0 in the bank 2. We will not discuss the exact form of
the solution which depends on the concrete system. Rather we substitute Eq. (14.2) into
the expression for the supercurrent and transform it to dimensional units. The result is
j =
2¯ h
m
Ψ
2
0
∇f(r
. ¸¸ .
) sin(χ
2
−χ
1
)
criticalcurrent
.
14.3 Josephson Eﬀect in a Magnetic Field
Narrow Junction
Suppose that there is an external magnetic ﬁeld H  y (the junction plane is yz one). The
ﬁeld can be described by the vector potential
A
x
= H
y
(x)z
We also neglect the ﬁeld created by the current. In this case
_
2
1
A
x
dx = H
y0
zd, where d = 2δ(T) +d
t
≈ 2δ(T),
d
t
is the thickness of the insulating region (we have taken into account that the ﬁeld decays
as exp(−x/δ) in SC regions). As a result, we have
j = j
c
sin
_
χ
1
−χ
2
−2
eH
c¯ h
_
.
The experimentally measurable quantity is the average current,
¯
j =
1
L
_
L
0
j(z) dz = j
c
c¯h
2e HLd
. ¸¸ .
_
cos
_
χ
1
−χ
2
−2
eH
c¯h
_
−cos (χ
1
−χ
2
)
_
.
ﬂuxthroughthecontact
Denoting θ
0
= χ
1
−χ
2
we get
¯
j =
j
c
π
Φ
Φ
0
sin
_
π
Φ
Φ
0
_
. ¸¸ .
sin
_
θ
0
+π
Φ
Φ
0
_
j
c max
−maximalcriticalcurrent
As a result, the maximal critical current is
j
c max
= j
c
¸
¸
¸
¸
¸
sin (πΦ/Φ
0
)
πΦ/Φ
0
¸
¸
¸
¸
¸
.
The graph of this function is shown in Fig. 14.6.
264 CHAPTER 14. TUNNEL JUNCTION. JOSEPHSON EFFECT.
Figure 14.6: Josephson eﬀect in a magnetic ﬁeld.
Wide Junction
One can neglect the ﬁeld produced by the own current only if the width of the junction is
small. In a wide junction the ﬁeld becomes zdependent due to the ﬁeld produced by the
transport current. To take this dependence into account we denote
χ
2
−χ
1
+
2e
¯ hc
_
2
1
A
x
dx ≡ θ(z)
and write
θ(z + dz) −θ(z) =
2e
c¯ h
d H
y
(z) dz =
2π
Φ
0
d H
y
(z) dz.
Thus
H
y
(z) =
Φ
0
2πd
dθ
dz
.
On the other hand, from the Maxwell equation
j =
c
4π
dH
y
dz
while according to the Josephson relation
j = j
c
sin θ.
As a result, we come to the equation
j
c
sin θ =
c
4π
dH
y
dz
=
cΦ
0
8π
2
d
d
2
θ
dz
2
→
d
2
θ
dz
2
=
1
δ
2
J
sin θ. (14.3)
This is the FerrellPrange equation. Here
δ
J
=
¸
cΦ
0
8π
2
dj
c
14.3. JOSEPHSON EFFECT IN A MAGNETIC FIELD 265
is the socalled Josephson penetration depth.
To understand the situation let us consider the case of weak magnetic ﬁeld with no
transport current. In this case we can replace sin θ →θ, and the solution is
θ = θ
0
e
−z/δ
J
→H = H
0
e
−z/δ
J
.
For j
c
∼ 10
2
A/cm
2
δ
J
∼ 10
−2
cm ¸δ
L
.. Thus the junction can be considered as narrow
if
L ¸δ
J
.
In wide junctions we come to a very interesting picture – the junction behaves as 2D
superconductor with the speciﬁc Meissner eﬀect. The current distribution is shown in Fig.
14.7, left panel.
Figure 14.7: Josephson eﬀect in a wide junction. Left panel  weak magnetic ﬁeld, right
panel  strong magnetic ﬁeld.
In a strong enough ﬁeld we return to Eq. (14.3) multiply it by dθ/dz and integrate
over z. As a result, we get the integral
_
dθ
dz
_
2
= −
2
δ
2
J
cos θ +C.
The solution can be written as
z −z
0
=
_
θ
π
dθ
1
_
C −2δ
−2
J
cos θ
1
.
To study the structure of the magnetic ﬁeld we discuss the solution of the soliton type with
the boundary condition
dθ
dz
→0 at z →±∞.
To ﬁnd the constants C note that
dθ
dz
=
_
_
d
dθ
_
θ
π
dθ
1
_
C −2δ
−2
J
cos θ
1
_
_
−1
=
_
C −2δ
−2
J
cos θ
266 CHAPTER 14. TUNNEL JUNCTION. JOSEPHSON EFFECT.
We can get the solution assuming that θ → 0 at z → −∞ and θ → 2π at z→ ∞ We get
C = 2δ
−2
J
and
θ(z) = 4 arctan
_
exp
_
z −z
0
δ
L
__
.
The distribution of current is shown in Fig 14.7, right panel, while the graphs of the phase,
ﬁeld and current are shown in Fig. 14.8.
Figure 14.8: Josephson eﬀect in a wide junction. Distributions of phase, current, and
ﬁeld.
In general, there is a chain of vortexes. The magnetic ﬂux in each one is
Φ = d
_
∞
−∞
H dz =
Φ
0
2πd
d [θ(∞) −θ(0)] = Φ
0
.
Thus we come to the picture similar to the type II SC. One can show that the analog of
the ﬁeld H
c1
is
H
c1
=
2Φ
0
π
2
dδ
J
.
The important diﬀerence that the Josephson vortexes have no normal core. Consequently,
there is no upper critical ﬁeld H
c2
. At high ﬁeld vortexes overlap and the ﬁeld is almost
uniform.
Superconductor Interferometers
Let us discuss the principle of a very important application of quantum interference in
superconductors. Consider a system show in Fig. 14.9. . The total current through the
external circuit is
I = I
c1
sin θ
1
+I
c2
sin θ
2
.
14.3. JOSEPHSON EFFECT IN A MAGNETIC FIELD 267
Figure 14.9: Superconductor interferometer.
If magnetic ﬁeld is directed perpendicular to the loop’s plane, the phase of the order
parameter in the bulk of material is
∇χ =
2e
¯ hc
A (currentisabsent, j =0).
Integrating along the dashed line we get for the total phase variation:
θ
1
−θ
2
+
2e
¯ hc
Φ = 2πn →θ
1
−θ
2
+ 2π
Φ
Φ
0
= 2πn.
Consequently, we can denote
θ
1
= θ −π
Φ
Φ
0
+ 2πn, θ
2
= θ + π
Φ
Φ
0
.
If the ﬁeld is weak enough in order not to aﬀect upon the currents I
c1
, I
c2
we have
I = I
c1
sin
_
θ −π
Φ
Φ
0
_
+I
c2
sin
_
θ +π
Φ
Φ
0
_
.
The result has the simplest form at I
c1
= I
c2
= I
c
:
I = I
eff
c
sin θ, I
eff
c
= 2I
c
cos
_
π
Φ
Φ
0
_
.
We see that the critical current of the interferometer oscillates with the external magnetic
ﬁeld.
We have described only one possible scheme of a SQUID (Superconductor Quantum
Interference Device). In fact, SQUIDs are very important for applications and there are
diﬀerent schemes to use them.
268 CHAPTER 14. TUNNEL JUNCTION. JOSEPHSON EFFECT.
14.4 NonStationary Josephson Eﬀect
According to the gauge invariance, the electric potential enters all the equations in a
combination
2eϕ + ¯ h
∂χ
∂t
.
It means that the phase acquires the additional factor
2e
¯ h
_
t
ϕ(t
t
) dt
t
or
∂θ
∂t
=
2e
¯ h
V.
This is the socalled notstationary Josephson eﬀect. Thus, if the voltage V at the junction
kept constant
j = j
c
sin [θ
0
+ω
J
t] , ω
j
=
2e
¯ h
V
(for V = 10
−4
V ω
J
∼ 10
11
s
−1
). Usually, the voltage is never kept constant. Rather a
series circuit is constructed with a battery and a load tunable resistor. In this case an
interesting and complicated picture can be observed (see Problem 13.1).
It is important that at ﬁnite temperature in the presence of voltage the oneparticle
tunneling is present, the normal current being V/R = (¯ h/2eR) ∂θ/∂t. Thus
j = j
c
sin θ + (¯ h/2eR) ∂θ/∂t.
According to the Josephson formula,
dθ
dt
=
2e
¯ h
V =
2e
¯ h
(U −J
c
R sin θ) = ω
J
(1 −λ sin θ), λ =
J
c
R
U
.
As a result
ω
j
(t −t
0
) =
_
dθ
1 −λ sin θ
At λ > 1 there is a pole in the integrand at θ
0
= arcsin(1/λ). Thus at t →∞ θ →θ
0
, the
current being U/R while the voltage at the junction is zero. At λ > 1 (or J > J
c
) one can
calculate the integral exactly: assuming m = tan(θ/2) we get
m = λ +
√
1 −λ
2
tan
_
1
2
√
1 −λ
2
ω
J
(t −t
0
)
_
The current being
I =
2
c
m
1 + m
2
.
We see that the current oscillates with the period 2π/ω = 2π/ω
J
√
1 −λ
2
.
14.4. NONSTATIONARY JOSEPHSON EFFECT 269
Having in mind that V = (¯ h/2e)(∂θ ∂t) we obtain
V (t) = R
j(j
2
−j
2
c
)
j
2
+j
2
c
cos ωt +j
c
_
j
2
−j
2
c
sin ωt
, ω =
2eR
¯ h
_
j
2
−j
2
c
.
One can show that the time average is equal to
V (t) =
1
2π
_
2π
0
d(ωt) V (t) =
¯ hω
2e
.
This property is employed in metrology.
Another important property is the reaction of the Josephson junction to the external
a.c. ﬁeld. Suppose that one modulates the voltage as
V (t) = V
0
+v cos Ωt.
We obtain
θ(t) =
2e
¯ h
_
V
0
t +θ
0
+
v
Ω
sin Ωt
_
,
j
j
c
= sin θ(t) = sin
_
2e
¯ h
(V
0
t +θ
0
)
_
cos
_
2eV
¯ hΩ
sin Ωt
_
+ cos
_
2e
¯ h
(V
0
t +θ
0
)
_
sin
_
2eV
¯ hΩ
sin Ωt
_
.
Then, one should remember that
cos(a sin Ωt) =
∞
−∞
J
2k
(a)e
i2kΩt
= 2
∞
0
J
2k
(a) cos 2kΩt,
sin(a sin Ωt) =
∞
−∞
J
2k+1
(a)e
i(2k+1)Ωt
= 2
∞
1
J
2k−1
(a) sin (2k −1) Ωt.
Consequently we can plug in these series into the previous equation denoting a ≡ 2eV/¯ hΩ.
Now, we can recall that
2 sin
_
2e
¯ h
(V
0
t +θ
0
)
_
cos 2kΩt = sin
__
2eV
0
¯ h
+ 2kΩ
_
t +θ
0
_
+sin
__
2eV
0
¯ h
−2kΩ
_
t +θ
0
_
,
2 cos
_
2e
¯ h
(V
0
t +θ
0
)
_
sin (2k −1) Ωt = sin
__
2eV
0
¯ h
+ (2k −1) Ω
_
t +θ
0
_
−sin
__
2eV
0
¯ h
−(2k −1) Ω
_
t +θ
0
_
.
We see that at
2eV
¯ h
= nΩ
a timeindependent item appears, the amplitude being
j
n
= (−1)
n
J
n
(2ev/¯ hΩ) sin θ
0
.
Thus we get resonant additional contributions to the current.
270 CHAPTER 14. TUNNEL JUNCTION. JOSEPHSON EFFECT.
Figure 14.10: Shapira steps. Diﬀerent curves are measured for diﬀerent amplitudes of
microwave and shifted along the xaxis.
Such a formulation does not coincide with the experiment where usually the current is
kept constant. To describe the situation one should solve the corresponding problem which
is more diﬃcult mathematically but is not too diﬃcult qualitatively. As a result, the steps
at the currentvoltage curves appear (Shapira steps, Fig. 14.10).
Registration of the steps is one way to construct Josephson detectors for microwave
ﬁelds.
14.5 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,
j = j
c
sin [θ
0
+ (2eV/¯ h)t + (2eHd/¯ hc)z] . (14.4)
This is just the wave propagating along z axis, the wave vector being k = 2eHd/¯ hc, and
the phase velocity being
v
0
= ω/k = cV/Hd . (14.5)
Swihart waves
Do not forget that the junction has a ﬁnite capacitance, and the current has a contribution
∂Q
∂t
= C
∂V
∂t
=
C¯ h
2e
∂
2
θ
∂t
2
.
14.5. WAVE IN JOSEPHSON JUNCTIONS 271
Thus
j = j
c
sin θ +
¯ h
2eR
∂θ
∂t
+
C¯ h
2e
∂
2
θ
∂t
2
. (14.6)
If we substitute this expression to the Maxwell equation
j =
c
4π
dH
dz
, H(z) =
Φ
0
2πd
dθ
dz
we obtain nonlinear wave equation
∂
2
θ
∂z
2
−
1
c
2
0
∂
2
θ
∂t
2
−
γ
c
2
0
∂θ
∂t
=
1
δ
2
J
sin θ . (14.7)
Here
c
0
=
¸
ec
4π
2
dC¯ hΦ
0
= c
¸
d
t
κd
, d
t
=
κ
4πC
,
γ =
1
RC
At j
c
→ 0, γ → 0 one obtains eigen modes with velocity c
0
¸ c. These waves are called
the Swihart waves.
In the presence of Josephson current they interact with the Josephson waves. To study
such a coupling let us assume that j
c
→0 and iterate the r.h.s. of Eq. (14.7):
θ = θ
0
+ωt +kz +θ
1
, θ
1
¸omegat +kz .
In this case we have
∂
2
θ
1
∂z
2
−
1
c
2
0
∂
2
θ
1
∂t
2
−
γ
c
2
0
∂θ
1
∂t
=
1
δ
2
J
sin(θ
0
+ kz +ωt) . (14.8)
From this equation,
θ
1
=
c
2
0
δ
2
J
·
_
exp[i(θ
0
+kz +ωt)]
ω
2
−k
2
c
2
0
−iωγ)
_
.
Now we can calculate the average current,
¯
J ≡ lim
T,L→∞
1
T
_
T
0
dt
_
L
0
dz j(z, t) .
Expanding the expression as
sin θ(z, t) = cos(θ
0
+ωt +kz) sin(θ
1
(z, t) + vanishing items
we get
¯
J = j
c
ωc
2
0
γ
2δ
2
j
1
(ω
2
−c
2
0
k
2
)
2
+ω
2
γ
2
.
272 CHAPTER 14. TUNNEL JUNCTION. JOSEPHSON EFFECT.
As a result, one obtains a clear peak (resonance) at
v
0
= c
0
, → V =
c
0
c
Hd .
Note that the criterion of applicability is
¯
j ¸j
c
→
c
2
0
δ
2
J
¸ωγ .
Usually the current rather than the voltage is kept constant. Then one observes the steps
at the V −I curve.
14.6 Problems
13.1. Consider the current in a series circuit containing a Josephson junction, load resistor,
and a battery.
Chapter 15
Problem Solutions
Chapter 9
8.1. Derive Eq. (10.3).
Solution. For A  z
_
_
A(r
t
)R
_
R
R
4
e
−R/ζ
0
d1
t
→A
_
R
2
dR d(cos θ) dϕ
(zR)R
R
4
e
−R/ζ
0
=
= A
_
R
2
dR d(cos θ) dϕ
cos
2
θ
R
2
e
−R/ζ
0
=
4π
3ζ
0
Chapter 11
10.1 Prove that the areas under magnetiation curves are the same for type I and type
II SC with the same H
c
.
Solution. Introducing Gpotential as
G
s
= F
s
(B) −
BH
4π
we note that is should be minimal in an equilibrium state with ﬁxed H :
_
∂G
s
∂B
_
H
= 0.
For a normal state
G
n
= F
n
+
B
2
8π
−
BH
4π
.
From the stability condition for the normal state
_
∂Gn
∂B
_
H
= 0 we get B = H and
G
n
= F
n
−
H
2
8π
.
273
274 CHAPTER 15. PROBLEM SOLUTIONS
Now let us change H by δH. We get
∂
∂H
(G
n
−G
s
) =
B −H
4π
= M.
Now we can integrate this relation over H from 0 to H
c2
(where G
n
= G
s
−equilibrium!).
At the same time, at H = 0 G
i
= F
i
and (F
n
−F
s
)
B=0
= H
2
c
/8π. We get
_
H
c2
0
M dH = −
H
2
c
8π
.
Consequently, it depends only on H
c
.
10.2. Derive Eq. (11.15).
Solution.
∂p
∂x
= B
∂
2
G
∂B
2
∂B
∂x
=
B
4π
∂H(B)
∂B
∂B
∂x
=
B
4π
∂H(B)
∂x.
Chapter 12
11.1. Prove the Eqs. (12.9) and (12.10).
Solution. For Eq. (12.8)
c =E −
F
N =
k
ξ
k
_
(n
k↑
+n
k↓
) + 2v
2
k
(1 −n
k↑
−n
k↓
)
_
−
∆
2
λ
with
∆ = λ
k
u
k
v
k
(1 −n
k↑
−n
k↓
).
We get
δc
δv
k
= 4v
k
ξ
k
(1 −n
k↑
−n
k↓
) −2
∆
λ
δ∆
δv
k
=
= 4v
k
ξ
k
(1 −n
k↑
−n
k↓
) −2
∆
λ
λ(u
k
+v
k
du
k
dv
k
)(1 −n
k↑
−n
k↓
) =
= 4v
k
ξ
k
(1 −n
k↑
−n
k↓
) −2
∆
u
k
(1 −2v
2
k
)(1 −n
k↑
−n
k↓
) = 0.
This is just the result we need.
11.2. Prove Eq. (12.18).
Solution. We have
H
int
= −λ
a
†
k
1
↑
a
†
k
2
↓
a
k
2
↓
a
k
1
↑
= −λ
_
u
k
1
α
†
k
1
↑
+v
k
1
α
−k
1
↓
_ _
u
k
2
α
†
k
2
↓
−v
k
2
α
−k
2
↑
_
_
u
k
2
α
k
2
↓
−v
k
2
α
†
−k
2
↑
_ _
u
k
1
α
k
1
↑
+v
k
1
α
†
−k
1
↓
_
.
We get
_
u
k
1
u
k
2
α
†
k
1
↑
α
†
k
2
↓
−v
k
1
v
k
2
α
−k
1
↓
α
−k
2
↑
+v
k
1
u
k
2
α
−k
1
↓
α
†
k
2
↓
−u
k
1
v
k
2
α
†
k
1
↑
α
−k
2
↑
_
275
_
u
k
2
u
k
1
α
k
2
↓
α
k
1
↑
−v
k
2
v
k
1
α
†
−k
2
↑
α
†
−k
1
↓
+u
k
2
v
k
1
α
k
2
↓
α
†
−k
1
↓
−v
k
2
u
k
1
α
†
−k
2
↑
α
k
1
↑
_
Now we should remember that k
t
1
,= k
1
. onsequently only the following combinations lead
to nonzero averages
_
v
k
1
u
k
2
α
−k
1
↓
α
†
k
2
↓
−u
k
1
v
k
2
α
†
k
1
↑
α
−k
2
↑
_ _
u
k
2
v
k
1
α
k
2
↓
α
†
−k
1
↓
−v
k
2
u
k
1
α
†
−k
2
↑
α
k
1
↑
_
→
→v
k
1
u
k
2
u
k
2
v
k
1
_
α
−k
1
↓
α
†
k
2
↓
α
k
2
↓
α
†
−k
1
↓
_
−u
k
1
v
k
2
u
k
2
v
k
1
_
α
†
k
1
↑
α
−k
2
↑
α
k
2
↓
α
†
−k
1
↓
_
−
−v
k
2
u
k
1
v
k
1
u
k
2
_
α
−k
1
↓
α
†
k
2
↓
α
†
−k
2
↑
α
k
1
↑
_
+u
k
1
v
k
2
v
k
2
u
k
1
_
α
†
k
1
↑
α
−k
2
↑
α
†
−k
2
↑
α
k
1
↑
_
To get nonzero averages we put k
t
2
= −k
t
1
, k
1
= −k
2
. Consequently, we have
v
k
1
u
k
1
u
k
1
v
k
1
__
α
−k
1
↓
α
†
−k
1
↓
α
−k
1
↓
α
†
−k
1
↓
_
−
_
α
†
k
1
↑
α
k
1
↑
α
−k
1
↓
α
†
−k
1
↓
_
−
−
_
α
−k
1
↓
α
†
−k
1
↓
α
†
k
1
↑
α
k
1
↑
_
+
_
α
†
k
1
↑
α
k
1
↑
α
†
k
1
↑
α
k
1
↑
__
=
= v
k
1
u
k
1
u
k
1
v
k
1
__
1 −n
−k
1
↓
_
(1 −n
−k
1
↓
) −n
k
1
↑
(1 −n
−k
1
↓
) −(1 −n
−k
1
↓
)n
k
1
↑
+n
k
1
↑
n
k
1
↑
_
Combinong the formulas we come to the ﬁnal result.
11.3. Check Eq. (12.20).
Solution. It is checked directly by use of Bogoliubov transform.
Chapter 14
13.1. Consider the current in a series circuit containing a Josephson junction, load
resistor R, and a battery.
Solution. The voltage is
V = U −RI = U −J
c
R sin θ.
According to the Josephson formula,
dθ
dt
=
2e
¯ h
V =
2e
¯ h
(U −J
c
R sin θ) = ω
J
(1 −λ sin θ), λ =
J
c
R
U
.
As a result
ω
j
(t −t
0
) =
_
dθ
1 −λ sin θ
At λ > 1 there is a pole in the integrand at θ
0
= arcsin(1/λ). Thus at t →∞ θ →θ
0
, the
current being U/R while the voltage at the junction is zero. At λ > 1 (or J > J
c
) one can
calculate the integral exactly: assuming m = tan(θ/2) we get
m = λ +
√
1 −λ
2
tan
_
1
2
√
1 −λ
2
ω
J
(t −t
0
)
_
The current being
I =
2
c
m
1 + m
2
.
We see that the current oscillates with the period 2π/ω
J
√
1 −λ
2
.
276 CHAPTER 15. PROBLEM SOLUTIONS
Appendix A
Band structure of semiconductors
Let us start with atomic structure of few important semiconductors.
IV Semiconductors
C 1s
2
2s
2
2p
2
. ¸¸ .
Si 1s
2
2s
2
2p
6
3s
2
3p
2
. ¸¸ .
Ge 1s
2
2s
2
2p
6
3s
2
3p
6
3d
10
4s
2
4p
2
. ¸¸ .
IIIV Semiconductors
Ga 1s
2
2s
2
2p
6
3s
2
3p
6
3d
10
4s
2
4p
1
. ¸¸ .
As 1s
2
2s
2
2p
6
3s
2
3p
6
3d
10
4s
2
4p
3
. ¸¸ .
Important feature  outermost valence electrons are made of either s or p orbitals.
We will classify the band structure of following a simple tightbinding approximation.
Namely, we look for the wave function in the form
ψ
k
(r) =
R
e
ikR
n
b
n
φ(r −R)
where φ
n
(r) are atomic eigenfunctions. From the Schr¨odinger equation we have
[E(k) −E
m
]b
m
≈
n
b
n
__
d
3
r φ
∗
m
(r)φ
n
(r)∆U(r)
+
R,=0
_
d
3
r φ
∗
m
(r)φ
n
(r)∆U(r)e
ikR
_
_
Here ∆U is the deviation of the real potential from the superposition of atomic ones. It is
not small only in the places where atomic wave functions are small. Usually, the integrals
_
d
3
r φ
∗
m
(r)φ
n
(r)∆U(r) ∝ δ
nm
and thus lead to a renormalization of the onsite energy.
277
278 APPENDIX A. BAND STRUCTURE OF SEMICONDUCTORS
Single atomic slevel
In this case, b
s
= 1. Denoting
α(R) =
_
d
3
r φ
∗
s
(r)φ
s
(r −R)
β
s
= −
_
d
3
r φ
∗
s
(r)φ
s
(r)∆U(r)
γ(R) = −
_
d
3
r φ
∗
m
(r)φ
n
(r −R)∆U(r)
and neglecting (for simplicity) α(R) we obtain
E(k) = E
s
−β
s
−
R,=0
γ(R)e
ikR
.
It is reasonable to keep nearest neighbors. A simple example is fcc cubic lattice, where 12
nearest neighbors are situated at
a
2
(±1, ±1, 0);
a
2
(±1, 0, ±1);
a
2
(0, ±1, ±1) .
In this case,
E(k) = E
s
−β
s
−4γ
_
cos
k
x
a
2
cos
k
y
a
2
+ cos
k
y
a
2
cos
k
z
a
2
+ cos
k
x
a
2
cos
k
z
a
2
_
.
Let us examine important points, Fig. A.1.
Figure A.1: Brillouin zone of fcc lattice.
279
• Γ ⇒(0, 0, 0), zone center,
• X ⇒(1, 0, 0) and 5 other equivalent points,
• L ⇒(1/2, 1/2, 1/2) and 7 other equivalent points,
• L ⇒(3/4, 3/4, 0)
• L ⇒(1, 1/2, 0).
The opposite L points are connected by a reciprocal lattice vector, and real degeneracy is
only 4fold. Xpoint has only 3 distinct analogs in the 1st BZ. We get the following band
structure
Along ΓX k
x
= 2πα/a 0 ≤ α ≤ 1
k
y
= k
x
= 0
E(k) = E
s
−β
s
−4γ(1 + 2 cos πa)
Along ΓL k
x
= k
y
= k
z
= 2πα/a 0 ≤ α ≤ 1/2
E(k) = E
s
−β
s
−12γ cos
2
πa)
Along ΓK k
x
= k
y
= 2πα/a 0 ≤ α ≤ 3/4
k
z
= 0
E(k) = E
s
−β
s
−4γ(cos
2
πa + 2 cos πa)
Near the Γ point,
E(k) = E
s
−β
s
−12γ +γ
2
k
2
a
2
.
The case of s and p orbitals
In this case, we have 4 wave functions,s and p
i
, i = x, y, z. Moreover, there are 2 atoms
per unit cell, j = 1, 2,
ψ(k, r) =
R
i
4
m=1
j=1
2
C
mj
(k)φ
mj
(r −r
j
−R
i
)
where R
i
stand for unit cells.
The coeﬃcients are determined from the Schr¨ odinger equation,
¸φ
m
j
[H−E[ψ(k)) = 0 .
This is impossible to do in general, and there are many approximate methods. One of
the simplest is sp
2
nearest neighbor expansion, which ignores spin degrees of freedom. We
shall not go along this way leaving this for special courses.
280 APPENDIX A. BAND STRUCTURE OF SEMICONDUCTORS
Spinorbit coupling
It is diﬃcult to calculate spinorbit interaction in crystals, and it is usually done with
adjustable parameters.
Here we consider simple examples using tightbinding approximation,
H = H
tb
+H
so
.
The interaction Hamiltonian is usually written as
H
so
= λL S,
the total angular momentum being
J
2
= (L +S)
2
= L
2
+S
2
+ 2LS.
Thus,
2¸LS) = ¸J
2
−L
2
−S
2
) = ¯ h
2
[j(j + 1) −l(l + 1) −s(s + 1)] .
Here we face a problem – all this considerations are applicable to the eigenfunctions of a
given total angular momentum. So ﬁrst one must decouple electronic states into the eigen
functions of a given angular momentum. Original pstates are in fact linear combinations
of such functions, e.g.
p
x
=
1
√
2
(−φ
1,1
+φ
1,−1
)
p
y
=
i
√
2
(φ
1,1
+φ
1,−1
)
p
z
= φ
1,0
φ
1,±1
= ∓
¸
3
8π
sin θe
±iφ
φ
1,0
=
¸
3
4π
cos θ .
Here φ
ij
are eigenfunctions of the operators L
2
and L
z
with respective quantum numbers
l = i and l
z
= j. Then we must add spin and decompose mixed states to get eigenfunctions
for total angular momentum. In this way one gets (see Quantum Mechanics)
Φ
3/2,3/2
= −
1
√
2
(p
x
+ip
y
) ↑
Φ
3/2,1/2
= −
1
√
6
[(p
x
+ ip
y
) ↓ −2p
z
↑]
Φ
3/2,−1/2
= −
√
2
√
3
[(p
x
−ip
y
) ↑ +2p
z
↓]
281
Φ
3/2,−3/2
=
1
√
2
(p
x
−ip
y
) ↓
Φ
1/2,1/2
= −
1
√
3
[(p
x
+ ip
y
) ↓ +p
z
↑]
Φ
1/2,−1/2
= −
1
√
3
[(p
x
−ip
y
) ↑ −p
z
↓]
Then one can invert this set of equations to express [p
i
, s) through the functions Φ
l,m
. For
references,
p
x
↑ =
1
√
2
_
−Φ
3/2,3/2
+
1
√
3
Φ
3/2,−1/2
−
√
2
√
3
Φ
1/2,−1/2
_
p
x
↓ =
1
√
2
_
+Φ
3/2,−3/2
−
1
√
3
Φ
3/2,1/2
−
√
2
√
3
Φ
1/2,1/2
_
p
y
↑ =
i
√
2
_
Φ
3/2,3/2
+
1
√
3
Φ
3/2,−1/2
−
√
2
√
3
Φ
1/2,−1/2
_
p
y
↓ =
i
√
2
_
+Φ
3/2,−3/2
+
1
√
3
Φ
3/2,1/2
+
√
2
√
3
Φ
1/2,1/2
_
p
z
↑ =
√
2
√
3
Φ
3/2,1/2
−
√
2
√
3
Φ
1/2,1/2
p
z
↓ =
√
2
√
3
Φ
3/2,−1/2
−
√
2
√
3
Φ
1/2,−1/2
.
Finally, we can write the spinorbit Hamiltonian as
H
so
=
λ¯ h
2
2
[j(j + 1) −l(l + 1) −s(s + 1)] .
For porbitals, l = 1, s = 1/2 while j is given by the ﬁrst index of Φ
ij
. One can prove that
the only nonvanishing matrix elements in p representation are
¸p
x
↑ [H
so
[p
y
↑) = −i
∆
3
¸p
x
↑ [H
so
[p
z
↓) =
∆
3
¸p
y
↑ [H
so
[p
z
↓) = −i
∆
3
¸p
x
↓ [H
so
[p
y
↓) = i
∆
3
¸p
x
↓ [H
so
[p
z
↑) = −
∆
3
¸p
y
↓ [H
so
[p
z
↑) = −i
∆
3
.
Here ∆ = 3λ¯ h
2
/2 is the spinorbit splitting. As a result, we arrive at the following structure
of valence band, Fig. A.2 Spinorbit splitting is given in the table A
282 APPENDIX A. BAND STRUCTURE OF SEMICONDUCTORS
Figure A.2: The general form of the valence band including spinorbit coupling.
Semiconductor ∆ (eV)
Si 0.044
Ge 0.29
GaAs 0.35
InAs 0.41
InSb 0.82
InP 0.14
GaP 0.094
Table A.1: Spinorbit splitting for diﬀerent semiconductors
A.1 Symmetry of the band edge states
One has to discriminate between direct gap (GaAs, InAs) and indirect gap (Si, Ge) materi
als, Fig. A.3. In direct gap materials the conduction band minimum occurs at Γpoint and
have a spherically symmetric central cell function. So they are made of s atomic states.
As one goes apart, admixture of pstates appears. This implies important limitations for
selection rules.
In the valence band, he have
Heavy holes:
Φ
3/2,3/2
= −
1
√
2
([p
x
) +i[p
y
)) ↑
Φ
3/2,−3/2
=
1
√
2
([p
x
) −i[p
y
)) ↓
Light holes:
Φ
3/2,1/2
= −
1
√
6
[([p
x
) +i[p
y
)) ↓ −2[p
z
) ↑]
A.2. MODIFICATIONS IN HETEROSTRUCTURES. 283
Figure A.3: Schematic description of the nature of central cell functions.
Φ
3/2,−1/2
=
1
√
6
[([p
x
) −i[p
y
)) ↑ +2[p
z
) ↓]
Splitoﬀ hole states:
Φ
1/2,1/2
= −
1
√
3
[([p
x
) + i[p
y
)) ↓ +[p
z
) ↑]
Φ
1/2,−1/2
= −
1
√
3
[([p
x
) −i[p
y
)) ↑ +[p
z
) ↓]
A Brillouin zone for silicon is shown in Fig. A.2
A.2 Modiﬁcations in heterostructures.
An important feature is how the bands align. Three type are usually studied, Fig. A.5.
The problem of band oﬀsets is very complicated, and several theories exist.
Quantum wells
Let us discuss the case where the well region is made of direct gap material, so conduction
band states are of stype while valence band states are ptype. For simplicity we discuss
squarebox conﬁnement, Fig A.6. Within the eﬀective mass approach the Schr¨ odinger
equation for the electron states is (in the following we do not discriminate between m
∗
and
m)
_
−
¯ h
2
2m
∗
∇
2
+V (z)
_
ψ = Eψ .
284 APPENDIX A. BAND STRUCTURE OF SEMICONDUCTORS
Looking for the solution as
Ψ(r) = e
i(kyy+kxx)
f(z)
we have the equation for f
_
−
¯ h
2
2m
∗
∂
2
∂z
2
+V (z)
_
ψ = E
n
ψ .
For an inﬁnite barrier, its solution has the form
f(z) = cos
πnz
W
, if n is even
= sin
πnz
W
, if n is odd
E
n
=
π
2
¯ h
2
n
2
2mW
2
.
Then the total energy is
E = E
n
+
¯ h
2
k
2

2m
.
The situation for the valence band is much more complicated because the heavy and
lighthole states mix away from k = 0.
A.3 Impurity states
A typical energy level diagram is shown on Fig. A.7 Shallow levels allow a universal de
scription because the spread of wave function is large and the potential can be treated as
from the point charge,
U(r) = e
2
/r .
To ﬁnd impurity states one has to treat Schr¨odinger equation (SE) including periodic
potential + Coulomb potential of the defect.
Extremum at the center of BZ
Then for small k we have
E
n
(k) =
¯ h
2
k
2
2m
.
We look for solution of the SE
(H
0
+U)ψ = Eψ
in the form
ψ =
n
k
B
n
(k
t
)φ
n
k
(r) ,
A.3. IMPURITY STATES 285
where φ
n
k
(r) are Bloch states. By a usual procedure (multiplication by φ
∗
nk
(r) and inte
gration over r) we get the equation
[E
n
(k) − E]B
n
(k) +
n
k
U
nk
n
k
B
n
(k) = 0
U
nk
n
k
=
1
1
_
u
∗
nk
u
n
k
e
i(k
−k)r
U(r) dr .
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
∗
n0
u
n
0
dr = δ
nn
because Bloch functions are orthonormal. Thus,
[E
n
(k) − E]B
n
(k) +
n
U(kk
t
)B
n
(k
t
) = 0
U(kk) =
1
1
_
e
i(k−bk
)r
U(r) dr = −
4πe
2
1[k −k
t
[
2
.
Finally we get
_
¯ h
2
k
2
2m
−E
_
B
n
(k) −
4πe
2
1
k
1
[k −k
t
[
2
B
n
(k
t
)
where one can integrate over k in the inﬁnite region (because B
n
(k) decays rapidly).
Coming back to the real space and introducing
F(r) =
1
√
1
k
B
n
(k)e
ikr
we come to the SE for a hydrogen atom,
_
−
¯ h
2
2m
∇
2
−
e
2
r
_
F(r) = EF(r) .
Here
E
t
= −
1
t
2
e
4
m
2
2
¯ h
2
, t = 1, 2 . . .
F(r) = (πa
3
)
−1/2
exp(−r/a), a = ¯ h
2
/me
2
.
For the total wave function one can easily obtain
ψ = u
n0
(r)F(r) .
The results are summarized in the table.
286 APPENDIX A. BAND STRUCTURE OF SEMICONDUCTORS
Material m/m
0
E
1s
(th.) E
1s
(exp.)
(meV) (meV)
GaAs 12.5 0.066 5.67 Ge:6.1 Si: 5.8
Se: 5.9 S: 6.1
S: 5.9
InP 12.6 0.08 6.8 7.28
CdTe 10 0.1 13 13.*
Table A.2: Characteristics of the impurity centers.
Several equivalent extrema
Let us consider silicon for example. The conduction band minimum is located at k
z
=
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,
E =
¯ h
2
2m
(k
z
−k
0
z
)
2
+
¯ h
2
2m
t
(k
2
x
+k
2
y
) .
Here m
= 0.916m
0
, m
t
= 0.19m
0
. According to the eﬀective mass theory, the energy levels
are Nfold 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 = m
t
/m
can
be obtained only numerically by a variational method (Kohn and Luttinger). The trial
function was chosen in the form
F = (πa

a
2
⊥
)
−1/2
exp
_
_
_
−
_
x
2
+y
2
a
2
⊥
+
z
2
a

_
1/2
_
_
_
,
and the parameters a
i
were chosen to minimize the energy at given γ. Excited states are
calculated in a similar way. The energies are listed in table A.3.
Material E
1s
(meV) E
2p
0
(meV)
Si (theor.) 31.27 11.51
Si(P) 45.5 33.9 32.6 11.45
Si(As) 53.7 32.6 31.2 11.49
Si(Sb) 42.7 32.9 30.6 11.52
Ge(theor/) 9.81 4.74
Ge(P) 12.9 9.9 4.75
Ge(As) 14.17 10.0 4.75
Ge(Sb) 10.32 10.0 4.7
Table A.3: Donor ionization energies in Ge and Si. Experimental values are diﬀerent
because of chemical shift
A.3. IMPURITY STATES 287
Impurity levels near the point of degeneracy
Degeneracy means that there are t > 1 functions,
φ
j
nk
, j = 1, 2..t
which satisfy Schr¨ odinger equation without an impurity. In this case (remember, k ≈ 0),
ψ =
t
j=1
F
j
(r)φ
j
n0
(br) .
The functions F
j
satisfy matrix equation,
t
j
=1
_
_
3
α,β=1
H
αβ
jj
ˆ p
α
ˆ p
β
+U(r)δ
jj
_
_
F
j
= EF
j
. (A.1)
If we want to include spinorbital interaction we have to add
H
so
=
1
4m
c
0
c
2
[σ ∇V ] ˆ p.
Here σ is the spin operator while V is periodic potential. In general Hmatrix is com
plicated. 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.
There are only 2 invariants quadratic in p, namely ˆ p
2
and (ˆ p J)
2
. Thus we have only
two independent parameters, and traditionally the Hamiltonian is written as
H =
1
m
0
_
ˆ p
2
2
_
γ
1
+
5
2
γ
_
−γ(ˆ p J)
2
_
. (A.2)
That would be OK for spherical symmetry, while for cubic symmetry one has one more
invariant,
i
ˆ p
2
i
J
2
i
. As a result, the Hamiltonian is traditionally expressed as
H =
1
m
0
_
ˆ p
2
2
_
γ
1
+
5
2
γ
2
_
−γ
3
(ˆ p J)
2
+ (γ
3
−γ
2
)
i
ˆ p
2
i
J
2
i
_
. (A.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¨ odinger equations (A.1). To check the situation, let us
ﬁrst put U(r) = 0 and look for solution in the form
F
j
= A
j
(k/k)e
ikr
, k ≡ [k[ .
288 APPENDIX A. BAND STRUCTURE OF SEMICONDUCTORS
The corresponding matrix lemenets can be obtained by substitution ¯ hk instead of the
operator ˆ p into Luttinger Hamiltonian. The Hamiltonian (A.2) does not depend on the
direction of k. Thus let us direct k along z axis and use representation with diagonal J
2
z
.
Thus the system is decoupled into 4 independent equation with two diﬀerent eigenvalues,
E
=
γ
1
+ 2γ
2m
0
¯ h
2
k
2
, E
=
γ
1
−2γ
2m
0
¯ h
2
k
2
.
If
γ
1
±2γ > 0
both energies are positive (here the energy is counted inside the valence band) and called
the light and heavy holes. The eﬀective masses are
m
(h)
= m
0
/(γ
1
±γ) .
The calculations for the full Luttinger Hamiltonian (A.3) require explicit form of Jmatrices.
It solutions lead to the anisotropic dispersion law
E
,h
=
¯ h
2
2m
0
_
γ
1
k
2
±4
_
γ
2
2
k
4
+12(γ
2
3
−γ
2
2
)(k
2
x
k
2
y
+ k
2
y
k
2
z
+k
2
z
k
2
x
)
_
1/2
_
.
The parameters of Ge and Si are given in the Table A.3
Material γ
1
γ
2
γ
3
∆
Ge 4.22 0.39 1.44 0.044 11.4
Si 13.35 4.25 5.69 0.29 15.4
Table A.4: Parameters of the Luttinger Hamiltonian for Ge and Si
The usual way to calculate acceptor states is variational calculation under the spherical
model (A.2). In this case the set of 4 diﬀerential equations can be reduced to a system of
2 diﬀerential equation containing only 1 parameter, β = m
/m
h
.
A.3. IMPURITY STATES 289
Figure A.4: Constant energy ellipsoids for Si conduction band. There are 6 equivalent
valleys resulting in a very large density of states.
Figure A.5: Various possible band lineups in heterostructures.
Figure A.6: Subband levels in a quantum well.
290 APPENDIX A. BAND STRUCTURE OF SEMICONDUCTORS
Figure A.7: band diagram of a semiconductor.
Appendix B
Useful Relations
B.1 Trigonometry Relations
_
cos x
sin x
_
=
1
2
_
e
ix
±e
−ix
_
(B.1)
_
cos
2
x
sin
2
x
_
=
1
2
(1 ±cos x) (B.2)
B.2 Application of the Poisson summation formula
The Poisson formula reads
∞
N=−∞
ϕ(2πN +t) =
1
2π
∞
l=−∞
e
ilt
_
∞
−∞
ϕ(τ)e
−ilτ
dτ.
In our case
ϕ(2πN +t) =
1
(2π)
3/2
(2πN +t)
3/2
(B.3)
if we replace N → −N and put t = 2πx − π. The other diﬀerence is that the function ϕ
is ﬁnite. So, if we introduce the maximal integer in the quantity x as [x] we get the limits
of the ϕ
from2π
_
x −
1
2
−
_
x −
1
2
__
to t.
The lower limit we replace by 0 that is good for large x. Finally we get the for Φ(x)
Φ(x) =
1
(2π)
5/2
∞
l=−∞
e
ilt
_
t
0
τ
3/2
e
−ilτ
dτ.
Then we take into account that for l = 0
_
t
0
τ
3/2
dτ =
2
5
t
5/2
,
291
292 APPENDIX B. USEFUL RELATIONS
and combine the item with ±l. As a result, we get
(−1)
l
_
e
2πilx
_
t
0
τ
3/2
e
−ilτ
dτ+
+e
−2πilx
_
t
0
τ
3/2
e
ilτ
dτ
_
=
= (−1)
l
2
_
t
0
τ
3/2
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
Φ(x) =
1
(2π)
5/2
_
2
5
(2πx)
5/2
+ 3
∞
1
(−1)
l
l
5/2
_
(2πlx)
1/2−
−
_
π
2
_
sin(2πlx)S
_
√
4lx
_
+ cos(2πlx)C
_
√
4lx
____
.
Here we have introduced the Fresnel integrals
S(u) =
_
u
0
sin
_
π
2
x
2
_
dx
C(u) =
_
u
0
cos
_
π
2
x
2
_
dx
.
These function oscillate with the period ≈ 1 and with dumping amplitudes; the asymptotic
behavior being 0.5 at u →∞. The nonoscillating term can be easily summed over l:
∞
l=1
(−1)
l
l
5/2
(2πlx)
1/2
= (2πx)
1/2
∞
l=1
(−1)
l
l
2
= −
π
2
12
(2πx)
1/2
Appendix C
Vector and Matrix Relations
Vector A is a column A
i.
Usually, two kind of vector products are deﬁned: the scalar
product
AB = A B =
i
A
i
B
i
and the vector product
[AB] = [AB] = det
¸
¸
¸
¸
¸
¸
¸
i
1
i
2
i
3
A
1
A
2
A
3
B
1
B
2
B
3
¸
¸
¸
¸
¸
¸
¸
where i
i
are the unit vectors. We have AB = BA, [AB] = −[BA] .
Matrix
ˆ
A is a table with the elements A
ik
. If
A
ik
= A
i
δ
ik
the matrix is called the diagonal, the unit matrix
ˆ
1 has the elements δ
ik
. We have
ˆ
1
ˆ
A =
ˆ
A
ˆ
1 =
ˆ
A. 0matrix has all the elements equal to 0; (
ˆ
A +
ˆ
B)
ik
= A
ik
+B
ik
.
Trace of the matrix deﬁned as
Tr
ˆ
A =
i
A
ii
; Tr (
ˆ
A
ˆ
B) = Tr (
ˆ
B
ˆ
A).
Matrix dot product is deﬁned as
(
ˆ
A
ˆ
B)
ik
=
l
A
il
B
lk
.
It is important that
ˆ
A
ˆ
B ,=
ˆ
B
ˆ
A. At the same time,
ˆ
C(
ˆ
B
ˆ
A) = (
ˆ
C
ˆ
B)
ˆ
A. The inverse matrix
is deﬁned by the relation
ˆ
A
ˆ
A
−1
=
ˆ
A
−1
ˆ
A =
ˆ
1.
We have
(
ˆ
A
ˆ
B)
−1
=
ˆ
B
−1
ˆ
A
−1
.
293
294 APPENDIX C. VECTOR AND MATRIX RELATIONS
The conjugate matrix is deﬁned as
_
ˆ
A
†
_
ik
= A
∗
ki
.
If
ˆ
A
†
=
ˆ
A the matrix is called the Hermitian. The matrix is called unitary if
ˆ
A
†
=
ˆ
A
−1
, or
ˆ
A
†
ˆ
A =
ˆ
1.
Sometimes it is useful to introduce a row A
†
with the elements A
i
. We get A
†
A =
i
A
2
i
.
Eigenvectors u and eigenvalues λ of the matrix
ˆ
A are deﬁned as solutions of matrix
equation:
ˆ
Au = λu or
k
(A
ik
−λδ
ik
)u
k
= 0.
It is a set of i equations. The number of solutions is equal to the matrix’s range. They
exist only if
det (
ˆ
A −λ
ˆ
1) = 0,
it is just the equation for the eigenvalues λ
i
. If the matrix
ˆ
A is Hermitian. its eigenvalues
are real
Bibliography
[1] N. W. Ashkroft, and N. D. Mermin, Solid State Physics (Holt,
Rinehart and Winston, New York, 1976).
[2] C. Kittel, Quantum Theory of Solids (John Wiley and Sons, New York, 1987).
[3] K. Seeger “Semiconductor Physics”, Springer (1997)
[4] Jasprit Singh, Physics of Semiconductors and their Heterostructures (McGrawHill,
Inc., New York, 1993).
[5] R. B. Leighton, Principles of Modern Physics (McGrawHill, Inc., New York, 1959).
[6] H. Haug and S. W. Koch Quantum theory of the optical and electronic properties of
semiconductors, World Scintiﬁc, 1990.
295
Contents
I Basic concepts
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1
3 3 4 5 8 10 10 11 12 12 13 14 14 21 23 25
1 Electrons in a Lattice. 1.1 Electron in a Periodic Field . . . . . . . . . . . . . . . . . . . . . . . . 1.1.1 Electron in a Periodic Potential . . . . . . . . . . . . . . . . . . 1.2 Tight Binding Approximation . . . . . . . . . . . . . . . . . . . . . . . 1.3 The Model of Near Free Electrons . . . . . . . . . . . . . . . . . . . . . 1.4 Main Properties of Bloch Electrons . . . . . . . . . . . . . . . . . . . . 1.4.1 Eﬀective Mass . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.4.2 Wannier Theorem → Eﬀective Mass Approach . . . . . . . . . . 1.5 Electron Velocity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.5.1 Electric current in a Bloch State. Concept of Holes. . . . . . . . 1.6 Classiﬁcation of Materials . . . . . . . . . . . . . . . . . . . . . . . . . 1.7 Dynamics of Bloch Electrons . . . . . . . . . . . . . . . . . . . . . . . . 1.7.1 Classical Mechanics . . . . . . . . . . . . . . . . . . . . . . . . . 1.7.2 Quantum Mechanics of Bloch Electron (Landau Quantization). . 1.8 Second Quantization of Electrons . . . . . . . . . . . . . . . . . . . . . 1.9 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
II
Normal metals and semiconductors
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27
29 29 33 38 40 43 45 55 60 69 71 74
2 Classical dc Transport ... 2.1 The Boltzmann Equation for Electrons . . . . . 2.2 Conductivity and Thermoelectric Phenomena. . 2.3 Energy Transport. . . . . . . . . . . . . . . . . 2.4 Neutral and Ionized Impurities . . . . . . . . . . 2.5 ElectronElectron Scattering . . . . . . . . . . . 2.6 Scattering by Lattice Vibrations . . . . . . . . . 2.7 ElectronPhonon Interaction in Semiconductors. 2.8 Galvano and ThermoMagnetic .. . . . . . . . . 2.9 Shubnikovde Haas eﬀect . . . . . . . . . . . . . 2.10 Response to “slow” perturbations . . . . . . . . 2.11 “Hot” electrons . . . . . . . . . . . . . . . . . . i
ii
CONTENTS 2.12 Impact ionization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.13 Few Words About Phonon Kinetics. . . . . . . . . . . . . . . . . . . . . . . 2.14 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 79 81 83 83 86 92 96 97 99 99 101 102 103 108 111 111 112 119 121 128 132 133 134 136 137 141 141 145 149 155 162 167
3 Electrodynamics of Metals 3.1 Skin Eﬀect. . . . . . . . . . . 3.2 Cyclotron Resonance . . . . . 3.3 Time and Spatial Dispersion . 3.4 ... Waves in a Magnetic Field 3.5 Problems . . . . . . . . . . . .
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4 Acoustical Properties... 4.1 Landau Attenuation. . . . . . . . . . . 4.2 Geometric Oscillations. . . . . . . . . . 4.3 Giant Quantum Oscillations. . . . . . . 4.4 Acoustical properties of semicondictors 4.5 Problems . . . . . . . . . . . . . . . . . 5 Optical Properties of Semiconductors 5.1 Preliminary discussion . . . . . . . . 5.2 PhotonMaterial Interaction . . . . . 5.3 Microscopic singleelectron theory . . 5.4 Selection rules . . . . . . . . . . . . . 5.5 Intraband Transitions . . . . . . . . . 5.6 Problems . . . . . . . . . . . . . . . .
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6 Optical Properties: Excitons 6.1 Excitonic states in semiconductors . . . . . . . . . . . . . . . . . . . . . . . 6.2 Excitonic eﬀects in optical properties . . . . . . . . . . . . . . . . . . . . . 6.3 Excitonic states in quantum wells . . . . . . . . . . . . . . . . . . . . . . . 7 Doped semiconductors 7.1 Impurity states . . . . . . . . . . . . . . . . . . 7.2 Localization of electronic states . . . . . . . . . 7.3 Impurity band for lightly doped semiconductors. 7.4 AC conductance due to localized states . . . . . 7.5 Interband light absorption . . . . . . . . . . . . 8 Solutions of the Problems
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CONTENTS
iii
III
Superconductivity
175
9 Fundamental Properties 177 9.1 General properties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177 10 Properties of Type I .. 10.1 Thermodynamics in a Magnetic Field. 10.2 Penetration Depth . . . . . . . . . . . 10.3 ...Arbitrary Shape . . . . . . . . . . . . 10.4 The Nature of the Surface Energy. . . . 181 181 182 186 196 197 197 201 209 213 218 219 219 221 223 225 227 230 235 241 243 243 248 254 257 257 261 263 268 270 272 273
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11 Magnetic Properties Type II 11.1 Magnetization Curve for a Long Cylinder 11.2 Microscopic Structure of the Mixed State 11.3 Magnetization curves. . . . . . . . . . . . 11.4 NonEquilibrium Properties. Pinning. . . 11.5 Problems . . . . . . . . . . . . . . . . . . 12 Microscopic Theory 12.1 PhononMediated Attraction . . . . . . 12.2 Cooper Pairs . . . . . . . . . . . . . . 12.3 Energy Spectrum . . . . . . . . . . . . 12.4 Temperature Dependence ... . . . . . . 12.5 Thermodynamics of a Superconductor 12.6 Electromagnetic Response ... . . . . . . 12.7 Kinetics of Superconductors . . . . . . 12.8 Problems . . . . . . . . . . . . . . . . .
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13 GinzburgLandau Theory 13.1 GinzburgLandau Equations . . . . . . . . . . . . . . . . . . . . . . . . . . 13.2 Applications of the GL Theory . . . . . . . . . . . . . . . . . . . . . . . . 13.3 NS Boundary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Tunnel Junction. Josephson Eﬀect. 14.1 OneParticle Tunnel Current . . . . . 14.2 Josephson Eﬀect . . . . . . . . . . . 14.3 Josephson Eﬀect in a Magnetic Field 14.4 NonStationary Josephson Eﬀect . . 14.5 Wave in Josephson Junctions . . . . 14.6 Problems . . . . . . . . . . . . . . . . 15 Problem Solutions
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iv
CONTENTS
A Band structure of semiconductors 277 A.1 Symmetry of the band edge states . . . . . . . . . . . . . . . . . . . . . . . 282 A.2 Modiﬁcations in heterostructures. . . . . . . . . . . . . . . . . . . . . . . . 283 A.3 Impurity states . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284 B Useful Relations 291 B.1 Trigonometry Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291 B.2 Application of the Poisson summation formula . . . . . . . . . . . . . . . . 291 C Vector and Matrix Relations 293
Part I Basic concepts 1 .
.
[1.g. 2]. e. 3 . Band Structure. e. There are several very important simpliﬁcations. In this way we come to the SE for the electrons − h2 ¯ 2m 2 i + V (r. 1. gas) in an external selfconsistent ﬁeld produced by the lattice ions and other electrons. It is very diﬃcult to calculate this ﬁeld but it is clear that it has the same symmetry as the lattice.1 General Discussion. • We will see that the behavior of interacting electrons is very similar to the one of noninteracting particles (i. considering atoms as ﬁxed.Chapter 1 Electrons in a Lattice. So let us take advantage of this fact and study the general properties of the electron motion. • Atomic mass M is much greater than the electron one m. R) ψ = Eψ (1.1) i where atomic coordinates are considered as external parameters ψ(r. it is natural to neglect the atomic kinetic energy. In this chapter the properties of electron gas will be considered. R) . So. An extra information can be found in many books. E(R) . for the beginning. 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.
As in the situation with lattice vibrations. The Bloch function (1. C = constant . (1.10) Li the number of states being V ∆pi . Consequently.6) It is clear that vector p is deﬁned with the accuracy of hG where G is the reciprocal lattice ¯ vector.8) is very similar to the plane wave. a and a . we apply cyclic boundary conditions.11) ∆ni = (2π¯ )3 i h i . if the level ε is nondegenerate we get − ψ(r + a) = Cψ(r) .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) . we can consider only one cell in the reciprocal ¯ lattice space.8) (1. the diﬀerence being the presence of the modulation u. the general form of the electron wave function in a lattice is h ψ(r) = eipr/¯ u(r) (1.5) where ϕ is some real function of the lattice vector.1.7) (1. (1. The expression (1. ELECTRONS IN A LATTICE. (1.3) 2m should also have the solution ψ(r + a) corresponding to the same energy. Finally.8) is known as the Bloch theorem. h (1. (1.4) The one electron SE According to the normalization condition C2 = 1 one can write C = eiϕ(a) (1. Now we can apply the translation symmetry and make consequential displacements. Because of periodicity.4 CHAPTER 1.2) h2 2 ¯ ψ(r) + V (r)ψ(r) = εψ(r) (1.9) where u(r + a) = u(r) is a periodic function. 1. We get C(a)C(a ) = C(a + a ) that means the ϕfunction should be linear ϕ(a) = pa/¯ . The vector p is called quasimomentum because it is deﬁned with the accuracy hG. so the vector p is a discrete variable: 2π¯ h pi = ni .
so they have maximal and minimal values and form bands. It means that if ψlp (r. n (1. respectively. Thus. this overlap can be considered as perturbation and we start with the potential V (x) = the SE equation being h2 d2 ψ ¯ + − 2m dx2 Let the exact wave functions be h ψp (x) = eipx/¯ up (x) U (x − na) . But it is known that Hamiltonian is the Hermitian operator and H = H∗ . the projection to a given axis being ±1/2 that doubles the number of states.2. 2N states correspond to the level εl (p) where N is the number of primitive cells in the sample. At the same time. We will very often replace the sums over h discrete states by the integrals V i →V 2 d3 p ≡V (2π¯ )3 h (dp) . If one writes down the complex conjugate to the Schr¨dinger equation and then replaces t → −t he gets the same o equation with the Hamiltonian H∗ . (1. TIGHT BINDING APPROXIMATION 5 It means that the density of states is V/(2π¯ )3 . −t) is also the eigenfunction. Here we have taken into account that an electron has spin 1/2. The functions εl (p) are periodic in the reciprocal space. These band can overlap or some energy gaps can exist.2 Tight Binding Approximation To get some simple example we consider the socalled tightbindingapproximation. It means εl (p) = εl (−p) .13) . In the following we will specify the region of the reciprocal space in the same way as for lattice vibrations. Consequently.1. e±ipa/h .12) U (x − na)ψ(x) = εψ(x) . 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. namely. 1. after the shift a these functions acquire diﬀerent factors. t) = exp [−iεl (p)t/¯ ] ψlp (r) h ∗ is an eigenfunction of H the function ψlp (r. Let us start with 1D case and assume that the overlap of the electron shells is very small. Let us consider some other general properties of wave functions. Brillouin zones (BZ).
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)). Consequently ε(0) (p) = ε0 . because of periodicity wn (x) = w(x − na) .15) The Wannier functions are orthogonal and normalized (Problem 3. Now we can substitute the function (1. with the eigenvalues ε(p). h ikan The product hn (x)e wn (x) at is small because it contains only the items U (x − ma)wn (x) for m = n and we can neglect it for zero approximation. We construct the socalled Wannier functions as 1 wn (x) = √ N h e−ipna/¯ ψp (x) .2).16) Here we have introduced the electron wave vector k ≡ p/¯ . One can check (Problem 3. n (1. Moreover.1) that the inverse transform is 1 ψp (x) = √ N h eipna/¯ wn (x) . p (1.14) where N is the total number of atoms in the chain while p belongs to the 1st BZ. (1. In the next approximation we put w = w(0) + w(1) and ﬁnd − n h2 d2 ¯ 2m dx2 (1) + U (x − na) − ε0 ] eikan wn (x) = = − n (0) hn (x)eikan wn (x) + (ε(p) − ε0 ) n (0) eikan wn (x) .15) into exact SE and make the auxiliary transform H= n − h2 d2 ¯ + U (x − na) + hn (x) 2m dx2 where hn (x) ≡ V (x) − U (x − na) . (1.17) . We get h 2 d2 ¯ − + U (x − na) eikan wn (x) + 2 2m dx hn (x)eikan wn (x) = n n = ε(k) n eikan wn (x) . As a result we get w(0) = ψ0 (x) where ψ0 (x) is the wave function of a free atom. ELECTRONS IN A LATTICE.6 CHAPTER 1.
±1. 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)] . so h(−n) = h(n). In this case we come to a similar expression ε(p) − ε0 = h(n)eika . Second. .) ε − ε0 = h(0) + 2[h(1) − h(0)I(1)] cos(ka) . (1. we get (Problem 3. is orthogonal to the solution of the corresponding uniform equation with the same boundary conditions. (1. atoms’ positions are connected by the symmetry transforms which diﬀer from a simple translation. Finally.s. we get ikan n h(n)e ε(p) − ε0 = (1. (0) This solution is wn . It has solution only if the r.2. (1. 1. First. ±1) .24) The physical meaning of the results is the spreading of atomic levels into narrow bands (Fig.20) 3D case is more complicated if there are more than 1 atom in a primitive cell. Another application is to produce starting empirical formulas having proper symmetry. TIGHT BINDING APPROXIMATION 7 (1) This is nonuniform linear equation for wn . We discuss here the simplest case with 1 atom per a primitive cell and for sstates of the atoms having sphericak symmetry.22) where W = [h(1) − h(0)I(1)] is the characteristics of bandwidth.h. (1. and ε(k) − ε0 = h(0) + 8W cos(kx a/2) cos(ky a/2) cos(kz a/2) .2) The tight binding approximation is useful when the overlap is small (transition and rare earth metals). I(n)eka (1.21) In a bcc lattice taking into account nearest neighbors we get a = (a/2)(±1. atomic levels for higher momenta are degenerate. (1.23) In a sc lattice one gets (Problem 3.19) The atomic wave function can be chosen as real.18) ikan n I(n)e where h(n) = I(n) = ∗ dx ψ0 (x)hn (x)ψ0 (x − na) . both functions rapidly decrease with increasing n (small overlap!). ∗ dx ψ0 (x)ψ0 (x − na) . As a result.3.1. I(−n) = I(n).4) ε(k) − ε0 = h(0) + 2W [cos(kx a) + cos(ky a) + cos(kz a)] .
8 CHAPTER 1.25) (1.28) ε(2) (k) = 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. ¯ We can expand the periodic potential as V (x) = n k = p/¯ .3 The Model of Near Free Electrons Now we come to the opposite limiting case where electrons are almost free.26) Vn e2πinx/a (1. We start from 1D model for a very weak periodic potential. At the same time. a The ﬁrst perturbation correction ε(1) = V0 is not important (shift of energy) while the second one is Vn 2 (1. Consequently. Figure 1. So let us recall the famous problem of quantum mechanics.27) where V (k. h (1. The starting approximation is a plane wave (we have in mind periodic boundary conditions) 1 √ eikx . . k ) = 1 L dx V (x)e−i(k−k )x = Vn δ k − k − 2πn . at k → πn/a the quantity k → −πn/a and denominator tends to zero. L the energy being ε(0) (k) = h2 k 2 /2m . one has to use the perturbation theory for degenerate states.1: Spreading of atomic levels into bands 1. ELECTRONS IN A LATTICE.
we get quadratic equation for ε (we include the constant V0 into this quantity): ε2 − (ε1 + ε2 )ε + ε1 ε2 − Vn 2 = 0 . Substituting this function into SE we get A1 (ε1 − ε)ψ1 + V (A1 ψ1 + A2 ψ2 ) + A2 (ε2 − ε)ψ2 = 0 . More 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. THE MODEL OF NEAR FREE ELECTRONS 9 Assume that the functions ψi where i = 1.30) 2 4 The sign is chosen from the request that far from the “dangerous” point ε should be close to ε0 . (1. This situation is illustrated in Fig. As a result. which has solutions (ε1 − ε2 )2 ε1 + ε2 ± + Vn 2 .2: Energy spectrum in a weak periodic potential. ∗ Vn A1 + (ε2 − ε + V0 )A2 = 0 . 1. We chose the wave function as their superposition. Integrating over x we get (ε1 − ε + V0 )A1 + Vn A2 = 0 .29) As a result. 2 correspond to the states 1. 2.2 ε= Figure 1.1.3. ∗ ∗ Then we multiply the equation ﬁrst by ψ1 and second fy ψ2 . So we come from . ψ = A1 ψ1 + A2 ψ2 . the energy has a drop 2Vn  near the points k = ±πn/a. (1.
(1. 2W a2 (1. Thus the structure of BZ is extremely important for understanding of electron properties.31) It is just the equation for the plane boundary of the BZ. From the expression (1. Substituting ki = π/a − ki and expanding (1.4 1.33) Now we can analyze the BZ boundary a with ki ≈ π/a.35) (1. In 3D case the periodicity of the potential is taken into account by the expansion V (r) = G VG eiGr where G is the reciprocal lattice vector. Near the minimum expanding (1.24) for small product ki a 1 we get ε = εb + W k 2 a2 . So the spectrum is just the same as the one of the particle with the eﬀective mass m∗ (b) = n ∂2ε ∂p2 x −1 = b h2 ¯ . (1. In a similar way. Substituting ε(0) = h2 k 2 /2m we get ¯ kG = G/2 . k= 2 2 2 kx + ky + kz . we get the expression for the eﬀective mass m∗ (a) n h2 ¯ =− 2W a2 (1. We have once more the picture of bands with gaps in between. ELECTRONS IN A LATTICE.1 Main Properties of Bloch Electrons Eﬀective Mass Let us discuss general properties on electrons in periodic potential. the perturbation theory being destroyed at ε(0) (k) = ε(0) (k − G) .32) where εb is the energy of the minimum.24) in powers of ki a 1 we get ε = εa − W a2 k 2 . 1.34) .24) we see that there is a minimum b in the BZ center k = 0. the gaps being small in comparison with thw widths of the allowed bands.4.10 CHAPTER 1. To make it as simple as possible we start with the case of simple cubic crystal under tight binding limit. the left panel to the right one.
So we come to the following prescription. It is important to note that the prescription has essentially one band character.to the socalled eﬀective mass approach. 1. it needs a very serious generalization if the bands are degenerate (or the gaps are narrow and interband transitions are possible). If we return to the situation where quadratic expansion is possible we come to the problem for a particle with (anisotropic) eﬀective mass which can strongly diﬀer from the free electron mass m0 . (1.36) α.38) where a are lattice vectors (Check!).39) This relation is called the Wannier theorem. We know that the energy in a given band is periodic in the kspace that is the same as the reciprocal lattice space.5): exp(a )ψl (r) = ψl (r + a) . It is important in many situations in semiconductor crystals and we will come back to this point in the corresponding Section.2 Wannier Theorem → Eﬀective Mass Approach Now we come to a very important concept of solid state physics which allows one to treat electron in periodic ﬁeld like ordinary particles .4. . As far as we know the spectrum εl (k) we can replace k → −i to the SE (which can also contain external ﬁelds) and analyze electron’s quantum dynamics. It is valid only if the spectrum is nondegenerate in the point k. Very often such a quasiparticle called the hole (see later) and deﬁne its mass as the electron mass with opposite sign.β and introduce the inverse eﬀective mass tensor (m−1 )αβ = ∂ 2 ε(k) ∂kα ∂kβ (1. So we can expand εl (k) = ceika (1. So. in a simple cubic crystal the hole mass near the band top is the same as the electron mass near its bottom. How the operator exp(a ) acts upon the Bloch function? One can immediately show that it is just the operator.1.37) 0 This 2range tensor can be transformed to its principal axes.40) (1. MAIN PROPERTIES OF BLOCH ELECTRONS 11 that is negative. Then we come to the very important formula: εl (−i )ψl (r) = εl (k)ψl (r) . In general case one can expand energy as in lth band near an extremum as 1 εl (k) = 2 ∂ 2 ε(k) ∂kα ∂kβ (kα − kα0 )(kβ − kβ0 ) 0 (1.4. which shifts the coordinate by a (Problem 2.
It remains valid also in an external electric ﬁeld (if the ﬁeld is small enough and electrons are not transferred to higher bands). If the band is only ﬁlled partly. The electric current is jγ = −evγ . s) which characterizes the probability of empty states.12 CHAPTER 1.5. v= ∂ε 1 ∂ε = ∂p h ∂k ¯ (1. 1. It is very important statement. s)v(k) = e k.s νn (k.43) where summation is performed inside the BZ. To formulate the current we introduce the occupation factor νn (k. Consequently.42) We know that ε(−k) = ε(k).5 Electron Velocity Let us calculate quantum mechanical average electron velocity v in a Bloch state γ ≡ lk. s) which is equal to 1 if the state with the quasimomentum hk and spin s is occupied ¯ and 0 otherwise.s νp (k. Taking into account relation (1. In and external ﬁeld we get the Newton equation ∂v m∗ = F.1 Electric current in a Bloch State.6).42) by 2 (number of spin projections). s) = 1 − νn (k. For a free electron one would obtain v = i¯ h hk ¯ 1 p =− γ γ = . (1. 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. the total current is determined by the diﬀerence of ﬁlled states with k and −k.41) (see Problem 3. ELECTRONS IN A LATTICE. We see that if the spectrum is determined by quadratic expansion we get the usual expression for a particle with the mass m∗ . v(−k) = −v(k) and one can easily show that v(k) = 0 (1. To get the total current one should multiply the equation (1. One can also introduce the occupation number of holes as νp (k. s)v(k) . The current can be expressed as j = −e k. Suppose that the electron has the charge −e (we suppose e to be positive). Concept of Holes. ∂t 1.43) one can prove that the total current of completely ﬁlled band vanishes.
there is a band gap and the next band is empty. A typical example of semimetals is Bi.s νp (k. mp = −mn > 0 where subscript n characterize electron variable.s [ε(k) − eϕ]v(k) + 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 . The same as in the previous case. their conductivity exponentially decreases at low temperatures. The usual way to treat the quasiparticles near the top of the band where the expansion (1. CLASSIFICATION OF MATERIALS 13 (the current of completely ﬁlled band is zero!). Consequently. If the bans overlap the conduction is usually metallic (see Fig. it is a metal. There are two atoms per cell and each atom contributes 1 electron. conduction one.1. So we can express the current of partly full band as the current of holes with the charge +e > 0. 1. The cases 2 and 3 correspond to insulators.6 Band Filling and Classiﬁcation of Materials We have discussed the picture of allowed bands and forbidden gaps. One can discuss the following variants. 1. So there are holes in the valence band and the electrons in the conduction one. at T = 0 the band is halffull.3 All this scheme is valid if the bands do not overlap.34) is valid is to deﬁne the hole energy as εp (k) = εa − εn (k) . There is one atom per cell.s [1 − νp (k. Such semiconductor is called intrinsic. This is shown in Fig. Such materials are often call semimetals if eﬀective number of carriers is small. s)[−ε(k) + eϕ]v(k) So we see that holes can be considered as particles with the energy −ε(k). The modern way to produce materials for electronics . To get more deep analogy let us calculate the energy current due to the ﬂux of electrons and holes. The semiconductors are deﬁned as insulators with small forbidden gaps. s)[ε(k) − eϕ]v(k) = k. The band is full.6.4). Characterizing the energy current in a state k as v[ε(k) − eϕ] where ϕ is electric potential we get w = k. 1.44) = k. At ﬁnite temperatures some electrons are excited from the lower valence band to the upper. 1.s νn (k. One atom per cell and 2 electrons per atom. 2. In the case 1 the material has high conductivity at very low temperatures. s)][ε(k) − eϕ]v(k) = (1. 3.
The impurity level are usually situated in the forbidden gap. 1. h .3: Electron occupation of bands (schematically). under the one band approximation the Bloch electron can be described as a particle with the classical Hamilton function H(p.7 Dynamics of Bloch Electrons Now we discuss dynamic properties of Bloch electrons both classical and quantum.7. is to “dope” semiconductor material with impurity atoms which introduce carriers in a controllable way. 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). p =¯ k. 1. ELECTRONS IN A LATTICE. Figure 1. Contrary. r) = ε(p) + U(r).1 Classical Mechanics As we have seen. if the levels are near the top of the valence band they take electrons from the band producing holes (they are called accepters).14 CHAPTER 1. We will come back to this classiﬁcation later to describe special features of diﬀerent materials.
while ϕ is the electrostatic potential.7. v= ∂ε ∂p p =¯ k h while the second one needs more care because the vectorpotential is rdependent. c where U(r) = U (r) − eϕ(r). ∂xi c ∂xi Remember that we denote the electron charge as −e. To analyze the dynamics one should use classical Hamilton equations ∂H ∂H r=v= ˙ . Consequently. 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.4: The case of band overlap. ∂p ∂r The ﬁrst equation reduces to the one we have discussed earlier. we have e H(p. p=− ˙ . r) = ε p+ A(r) + U(r). We get pi = − ˙ 1 ∂ e ∂U(r) ε p+ A(r) − . DYNAMICS OF BLOCH ELECTRONS 15 Figure 1.1. .
FS can touch the boundaries of the BZ. as one can easily show. c ∂x c c As a result. 1. In semiconductors usually only the electrons near band extrema are important and al the orbits are close lines. The examples of closed and open FS in 2D case are shown in Fig. Indeed dε ∂ε ∂p e = = − (v [v × H]) = 0.45) 0 In this case we have e ∂Ay e e − vy = − vy Hz = − [v × H]x . ∂xi We will consider the case of homogeneous magnetic ﬁeld. It is clear that the result is strongly dependent on the shape of the surface ε(p) = const. 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 . energy is conserved. The resulting line is just the electron orbit in pspace.7. we come to the very usual formula 1 p = (−e) E+ [v × H] − ˙ c U (r). H =Hˆ. ε = const. (1. In this case it is called open. Thus we come to a geometric picture: one should take the surface ε(p) = const and intersect this surface by the plane pz = const. pz = const. In general. 1. ELECTRONS IN A LATTICE. e c k ∂ε ∂Ak e =− ∂pk ∂xi c vk k ∂Ak . . If the Fermi surface is conﬁned within one BZ it is called the closed. dt ∂p ∂t c So we have 2 integrals of motion. z (1.5 while some FS in 3D case are shown in Fig. 1. E = − ϕ(r). . FS) are most important for all the properties of metals.16 The ﬁrst item is − CHAPTER 1.46) 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 .6 and Fig. The electrons near the surface ε(p) = F (the Fermi surface. It is convenient to choose the socalled Landau gauge 0 A = Hx .
1. 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. DYNAMICS OF BLOCH ELECTRONS 17 Figure 1. the hole ones have to velocity directed “inside”. If magnetic ﬁeld is tilted with respect to the symmetry axes both closed and open orbits can exist (see Fig. The closed orbits can be both electron. (1.7. 1. eH v⊥ If the orbit is closed we immediately get the expression for the period through the integral along the orbit c dp T = . the width in pspace in the normal direction being dε∂ε/∂p⊥ −1 = dε/v⊥ . To study the motion in momentum space one can introduce the element dp ≡ (dpx )2 + (dpy )2 .and holelike. dt c or dt = c dp .8). Electron orbits are the ones with the velocity v = p ε(p) is directed “outside” the orbit.47) . It easy to show that it just the same deﬁnition as we have used previously (see later). Taking squares of Eq.5: Closed and open FS in twodimensional case (examples). (1.46) for px and py and adding them we get dp e = Hv⊥ .
where mc (ε. Returning to real space.18 CHAPTER 1. The convex surface encloses holes. It completely encloses the 1st zone. (b) 2nd BZ for a fcc crystal. and mc = m0 . (c) The free elctron sphere for a trivalent fcc Bravais lattice. v⊥ Finally. we get the following formula for the cyclotron frequency S= dε ωc = eH 1 ∂S . one can rewrite the equation of motion as e dp = − [dr × H] . The same holds for all the quasiparticles with isotropic and quadratic spectrum ε(p). and z ⊥ S(pz ) = πp2 = 2πm0 ε − πp2 . the cyclotron mass appears constant. Thus dp . (e) portion of the free electron shpere in the 3d zone when translated into the 1st zone. c . pz ) = cmc 2π ∂ε pz is the cyclotron eﬀective mass. Figure 1. ⊥ z Thus.6: (a) 1st BZ for a fcc crystal (Al). ELECTRONS IN A LATTICE. The surface encloses electrons. (d) Protion of the free electron surface in the second zone when translated into the 1st zone. For a free electron ε = (p2 + p2 )/2m0 . passing trough and beyond the 2nd zone into the third and (at the corners) ever slightly into the fourth.
1.hole ones. right part .7: Possible SF for a cubic metal.Lower pahel: Left part .7. .electron orbits. DYNAMICS OF BLOCH ELECTRONS 19 Figure 1.
20 CHAPTER 1. We get 2 2 eH dpx dpy dpz = dpz dε dt1 3 (2π¯ ) h (2π¯ )3 c h Here we have used the relation (1. Cyclotron resonance. E0 x ˆ . Namely. let us introduce the time of the motion along the orbit as t1 = c eH dp v⊥ One should keep in mind that it is not the real time but some function of the point in the pspace. This trick will be extensively used later. Figure 1. electric ﬁeld E = E0 exp(−iωt). Now we discuss one very useful trick to calculate the properties of electrons in a magnetic ﬁeld. ELECTRONS IN A LATTICE. Now we discuss one of the ways to measure the characteristics of electron spectra.47).c. e Also remains the motion along zaxis with the velocity vz = ∂ε/∂z. 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 .8: Electron orbits for tilted magnetic ﬁeld. Let us assume that the electron with eﬀective mass m moves in a weak a.
7. yindependent it is natural to search the solution as ψ(r) =ϕ(x)ei(ky y+kz z) . 1.49) We ignore for a while the electron spin. To get the SE2 one can replace p in the classical Hamilton function with the operator p = −i¯ ˆ h ∂ ieHx h2 ∂ 2 ψ ¯ + + − 2 2m ∂x ∂y c 2 ∂2ψ ψ + 2 = εψ. We get z 21 −iωmvx = −eEx − e vy H.45). H aH = c¯ h .1. 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). To get more adequate theory of the cyclotron resonance one needs to take into account relaxation (we will come back to this problem later). It means that electron absorbs the energy from the electric ﬁeld. Substituting this expression into (1. 2m The quantity 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 ≡ hωc (N + 1/2). c To solve this set it is convenient to introduce the complex velocity v ≡ vx + ivy and get i(ω − ωc )v = eEx . . The cyclotron resonance is a very useful tool to determine the cyclotron eﬀective mass. ¯ 2 (1. ∂z (1. An electron with isotropic quadratic spectrum. eH ε1 = ε − h2 kz ¯ 2 .2 Quantum Mechanics of Bloch Electron (Landau Quantization).48) we get the equation for ϕ(x) (Check!) − h2 ∂ 2 ϕ 1 ¯ 2 + mωc (x − x0 )2 ϕ = ε1 ϕ 2 2m ∂x 2 where ωc is the cyclotron frequency. We see that at ω → ωc the amplitude of velocity increases.7.48) Because the equation is x. DYNAMICS OF BLOCH ELECTRONS and in a constant magnetic ﬁeld H ˆ. c −iωmvy = e vx H. x0 = −a2 ky . We also use the Landau gauge (1.
ELECTRONS IN A LATTICE. [Py . General case. h Now we can directly apply the quantization rule Py dY = c eH Py dPx = cS = 2π¯ [N + γ(N )] .22 the socalled Landau levels.50) correspond to the energy independent of ky . CHAPTER 1. c c Py eH . Indeed. Consequently. as we have seen the kinematic momentum operator is P = −i¯ h Consequently. 1 1 x − x0 ϕ(x) = √ exp − aH 2 aH 2 HN x − x0 aH (1. c Py = −i¯ ∂/∂y + (e/c)Hx. We see that the electron states in a magnetic ﬁeld could be speciﬁed by the set of quantum numbers α = N. h the commutator being [Px . Px = −i¯ ∂/∂x.51) has a very simple form for the case of isotropic quadratic spectrum. ky . the energy levels εα = εN + h 2 kz ¯ 2 2m (1. kz . Py ] = iπ One can see that the coordinate Y =− is canonically conjugated to Py . kz . The spectrum (1. h e + A. in the presence of magnetic ﬁeld. In this case one can expect that one can use the BohrSommerfeld quantization procedure. h eH eH . any function of the type C(ky )ψN. One can ask: why the coordinates x and y are not equivalent? The reason is that the wave functions (1.ky .kz ky corresponds to the same energy and one can chose convenient linear combinations to get correct asymptotic behavior. 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.51) being dependent only on N.50) where HN is the Hermit polynom. Y ] = −i¯ .
It is easy to show that the distance between the levels is just hωc .. P (1. Such a procedure was introduced for phonons which are Bose particles and we ﬁrst generalize that procedure. So in is reasonable to introduce the operators with matrix elements ∗ (bi )Ni −1 = Ni .1. In is clear that acting upon ΦN1 N2 .53) can be expressed in terms of the creationannihilation operators as F (1) = ik fik b† bk i (1) (1.. as a function of the occupation numbers Ni .57) . .8. . (1.8 Second Quantization of Electrons Now we brieﬂy discuss the way to describe manyelectron states with the occupation numbers.. ϕpN (ξN ) . Indeed. the total wave function of bosons is symmetric in replacement of the particles. In general case. The coeﬃcient is introduced to make the to total function normalized: Φ2 i dξi = 1..54) i Ni Ni Ni It is just annihilation and creation operators introduced earlier.b fab (2) (1. .. ϕpi are while the sum is calculated over all the permutations of {pi }. = N1 !N2 ! . The operator (1. 0 < γ < 1. Assume that we have an arbitrary oneparticle symmetric operator F (1) = a (1) fa (1.55) where fik = (1) ϕ∗ (ξ)f (1) ϕ(ξ) dξ . h eH ∂ε 1.56) One can easily prove this relation comparing both diagonal and oﬀdiagonal matrix elements of the operators. Thus it can be expressed as a symmetric product of individual wave functions ΦN1 N2 . neglecting γ(N ) − γ(N − 1) we get ¯ c ∂S(ε) ∆ε = 2π¯ .53) where fa acts only upon the functions of ξa .. (b† )Ni −1 = (bi )Ni −1 = Ni (1. it changes the state of only one particle. N! 1/2 ϕp1 (ξ1 )ϕp2 (ξ2 ) . . A 2particle symmetric operator F (2) = a.52) where pi label the states. SECOND QUANTIZATION OF ELECTRONS 23 Here γ(N ) is a slow function of N. The main idea is to consider ΦN1 N2 .
i k a† a† = 0 . . The symbol (−1)P shows that odd and even permutations enter the expression (1. ELECTRONS IN A LATTICE. i k (1. < pN ). .63) We immediately get (Check!) the commutation rules for the Fermi operators: ai a† k ≡ ai a† + a† ak = δik . Note that the expression (1.64) {ai ak } = The product of Fermi operators are a† ai = Ni . (1. Eqs.55).. i k (1. .58). ϕpN (ξN ) P (1. i (1. .Nk −1 Ni −1. p2 . 3 Consequently.Nk = fik (1) √ Ni Nk . (1. .58) where ik flm = ϕ∗ (ξ1 )ϕ∗ (ξ2 )f (2) ϕl (ξ1 )ϕm (ξ2 ) dξ1 dξ2 . the total wave function should be antisymmetric over all the variables.60) can be expressed √ as the determinant of the matrix with the elements Mik = (1/ N !)ϕpi (ξk ) which is often called the Slater determinant.52) 1 ΦN1 N2 .24 (2) CHAPTER 1. The diagonal matrix elements of the operator F (1) are ¯ F (1) = i fii Ni (1) (1. (1. In this case we get instead of (1. . i ai a† = 1 − Ni . So the occupation numbers could be 0 or 1. 3 Note that for Bose particles similar matrix elements are F (1) Ni . . pN are diﬀerent. . .65) One can express all the operators for Fermi particles exactly in the same way as the Bose ones. According to the Pauli principle.59) Now we turn to the Fermi statistics to describe electrons.60) with opposite signs (we take the sign ‘+’ for the term with p1 < p2 < .60) where all the numbers p1 .62) where the sign is determined by the parity of the total number of particles in the states between the i and k ones. for Fermi particles it is convenient to introduce the annihilation and creation operators as (ai )0 = (a† )1 = (−1) i 0 1 i−1 l=1 Nl . 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 (1.. = √ N! (−1)P ϕp1 (ξ1 )ϕp2 (ξ2 ) .61) just as for the Bose particles. But oﬀdiagonal elements are F (1) 1i 0k 0i 1k = ±fik (1) (1.
Prove the identity (1. 3.6. Prove the formula (1.9 Problems 3. Derive Eq.24).15).39).1. . 3. 3. PROBLEMS 25 1. Derive expression (1. (1. Derive expression (1. Prove the orthogonality of the Wannier functions.9.3.16). 3.2.4.41).1. 3.5.
26 CHAPTER 1. ELECTRONS IN A LATTICE. .
Part II Normal metals and semiconductors 27 .
.
f0 . the change of the distribution induced by the collisions is decrease − p W (p. Otherwise it becomes time dependent.s. p )f (p) [1 − f (p )] → “out term. Indeed. as ∂f ∂f ∂r ∂f ∂p + + . p ). and one can write df = I(f ) dt where I(f ) ≡ (∂f /∂t)coll is called the collision integral. 29 . r) which is the average occupation number for the state p at the point r.Chapter 2 Classical dc Transport in Electron and Phonon Systems In this chapter we discuss transport properties of bulk normal conductors and insulators. if there is no external ﬁelds and interactions. One can write the l. 2. ∂t ∂r c ∂p The collision integral describes transitions between the states with diﬀerent p due to collisions. ∂t ∂r ∂t ∂p ∂t Using the Newton equation we can write the previous formula as ∂f ∂f 1 ∂f +v − e E+ [v × H] . This function is equal to the equilibrium one. It can be speciﬁed if one knows the collision probability W (p.1 The Boltzmann Equation for Electrons General Form The description of quasiparticles as wave packages allows one to introduce the nonequilibrium distribution function f (p.h.
p)f (p ) [1 − f (p)] − W (p. the impurity scattering. ∂t ∂r c ∂p (2. p )e kB T where ε = ε(p). (2. p ) [f (p ) − f (p)] . The ﬁrst term describes the scattering processes in which the electron leaves the state p while the second one describes the processes where an electron comes to the state p from other states p . So I(f ) = p {W (p . Making use of the relation ε−ζ 1 − f0 (ε) = e kB T f0 (ε) we get the general property ε ε W (p . p)e kB T = W (p. ε = ε(p ). W (p . This mechanism is important at low temperatures and in rather dirty materials. p ) and we get I(f ) = p W (p..1) Finally. p)f (p ) [1 − f (p)] → “in term.30 increase p CHAPTER 2. p) = W (p. It is clear that if the system is in the equilibrium the collision integral should vanish. CLASSICAL DC TRANSPORT . Impurity scattering Under the Born approximation. the scattering probability for impurities is W (p. (2.4) where Vpp is the matrix elements of the impurity potential V (r) = i v(r − Ri ) (2. Now we will discuss one important collision mechanism to show the main properties of the transport. p ) = 2π Vpp 2 δ (ε(p)−ε(p )) h ¯ (2.5) .3) We see that the Pauli principle is not important for elastic collisions because it is met automatically. I(f0 ) ≡ 0.. For any elastic scattering W (p . namely. The factors [1 − f (p)] takes account of the Pauli principle.2) Let us investigate general properties of the collision integral. we get the Boltzmann equation for electrons ∂f ∂f 1 ∂f +v − e E+ [v × H] = I(f ). p )f (p) [1 − f (p )]} .
ei(k−k )(Ri −Rk ) = Nimp i. we get the following collision integral I(f ) = 2π ni h ¯ (dp ) vp p 2 δ (ε(p)−ε(p )) [f (p ) − f (p)] (2.k ei(k−k )(Ri −Rk ) where we replaced the summation over the discrete quasimomenta by the integration →V p (dp ) ≡ 2V (2π¯ )3 h d3 p .4). their contribution being very small). 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. V k≡ p .k where Nimp is the number of impurities. (2π¯ )3 v h . As a result. ie i Here we have assumed all the impurity atoms be of the same kind and their positions in the primitive cells are equivalent.5) into the expression for matrix elements we get Vpp = = = 1 V 1 V 1 V v(r − Ri )ei(k−k )r u∗ (r)uk (r) d3 r = k i(k−k )Ri v(r)u∗ (r)uk (r)ei(k−k )r d3 r = ie k i(k−k )Ri vp p .6) where we introduced the impurity concentration as ni = Nimp /V.2. Now we change the variables from p to the energy ε and the surface S deﬁned as ε(p ) = ε We get 2 2 2 dε d3 p = dS dp⊥ = dS = dε (dsε ) (2π¯ )3 h (2π¯ )3 h (2π¯ )3 ∂ε/∂p h where we have denoted (dsε ) ≡ 2 dS . We get 2π 1 h V2 ¯ V(dp ) vp p 2 δ (ε(p)−ε(p )) i. Now we can calculate the scattering probability (2. So we have shifted the origin of the frame of reference for each cell by an appropriate lattice vector.1. h ¯ Substituting (2. THE BOLTZMANN EQUATION FOR ELECTRONS 31 which is the sum of the potentials v of the individual impurities between the Bloch states 1 √ eikr uk (r). Finally.
Consequently p = p . Let us assume that the deviation from the equilibrium is small. f )− cos(p. the surface S is a sphere and the integration is in fact performed over the solid angle. The second term vanishes after integration over ϕp .9) Then we can transform the integral as follows. f ) = cos(p . So p f =pz fz + p⊥ f⊥ that is the same as cos(p . In this case I(f ) = f (ε) dΩ W (θ) cos(p . Using the above mentioned notations we can than apply δfunction to integrate over the ε .10) where ϕp .8) where Ω is the solid angle. Because I(f0 ) = 0 we have I(f ) = I(f1 ). p) cos(f . f ) 4π n≡ p p (2. so that f = f0 + f1 . p) sin(f . Finally we get f1 f − f0 I(f ) = − =− τtr τtr . p)+ sin(p . It is convenient to write the function f1 as f1 = −nf (ε). Chose the polar axis z along the vector p. p) is just the same as θ.7) h ¯ Sε 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. is the unit vector directed along p. The result has a simple form 2π I(f ) = ni (dsε ) vp p 2 [f (p ) − f (p)] .f (2. To get explicit results we assume that the spectrum ε(p) is isotropic. θ is the angle between p and p . (2.f is the angle between the projections of p and f to the plane normal to p. f1  f0 .. p) cos ϕp .32 Note that CHAPTER 2. while (Check!) W (θ) = π ni v(θ)2 g(ε).f . Note that the angle (p . vpp depends only on the angle between p and p .. h ¯ (2. g(ε) = Sε (dsε ) where the integral is calculated over the surface of constant energy ε. CLASSICAL DC TRANSPORT .
11) τtr 4π The quantity τtr is called the transport relaxation time. All these assumptions are important and in some cases they can be wrong. In many situations the Boltzmann equation is represented in the form ∂f ∂f 1 ∂f f − f0 +v − e E+ [v × H] =− . Now we calculate the current ∂f0 j = −e (dp) vf1 = e2 (dp) τtr v(Ev) − ∂ε (the function f0 is even in p and does not contribute to the current). Namely. The Boltzmann equation has the form ∂f f − f0 − eE =− . and we ∂f0 can replace f → f0 in the l. Again.13) ∂p τtr Because the ﬁeld is weak we can assume that f = f0 + f1 . DC Electric Conductivity Let us apply the outlined approach to calculate the conductivity of the conductor. ∂ε We see that it has just the form of (2.s. (2. 2. Nevertheless the form (2.8) for the nonequilibrium distribution function. • The form (2.8). ∂t ∂r c ∂p τ (2.12) Here we have shown that this form is exact for the elastic impurity scattering if the nonequilibrium function can be expressed as (2.8) that justiﬁes our approach. f1 ∝ E.h.2. Immediately we get f1 = eEvτtr ∂f0 . where 33 1 dΩ = W (θ)(1 − cos θ). let us assume that a weak stationary electric ﬁeld E is applied to the sample.2 Conductivity and Thermoelectric Phenomena. CONDUCTIVITY AND THERMOELECTRIC PHENOMENA.12) allows one to get good orderofmagnitude estimates and we will extensively use it.2. One should remember that we have made several important simpliﬁcations: • Isotropic spectrum. f1  f0 . (2. and get e(Ev) − ∂ε . we can average over the surface of a constant energy as M (p)(dp) = dε Sε M (p) (dsε ) = dε g(ε) M (p) ε . • Elastic scattering.
If the degeneracy is not so strong. (2.. Finally for the isotropic spectrum we get the Ohm’s law j = σE with M (p) ε ≡ Sε σ = e2 where dε − ∂f0 g(ε)D(ε) ∂ε (2. consider a gas of electrons with the mean free time τ and mean free path = vτ . As a result.16) m The ﬁrst expression is known as the Einstein relation. noncompensated current is iD = ne v cos θ iD = − ∂ne 1 lv ∂x 2 1 ∂ne cos2 θ d(cos θ) = − lv . We will come back to this problem after the analysis of important scattering mechanisms which determine the dependence τtr (ε).. Here the formal ”inverse collision operator” is introduced which shows that one should in fact solve the Boltzmann equation. the energy dependence of the factor D(ε) becomes important. . M (p) (dsε ) . σ or j = σ E . Indeed.15) 1 2 v τtr ε 3 is the partial diﬀusivity for the electrons with the given energy. In general anisotropic case the Ohms law has the form → j =← E. In this case the ﬂux of the electrons through 1 cm2 of the surface normal to x is equal D(ε) = dΩ 4π where θ is the angle between v and x.14) is just the average over the angles. (2. Consequently one should insert in the formula above n(x − cos θ). CLASSICAL DC TRANSPORT . 3 ∂x −1 1 1 According to the deﬁnition of the diﬀusivity (diﬀusion coeﬃcient).34 where CHAPTER 2.15) if the σ diﬀusivity tensor Dik = vi I −1 vk ε is known. This is just the case for semiconductors. Let the density of electrons.14) g(ε) In the case of isotropic spectrum the average (2. i ik k k → The conductivity tensor ← can be calculated with the help of the relation (2. 3 In the case of strong degeneracy where − ∂f0 = δ(ε − F ) we get the Drude formula ∂ε (Problem 1. But now we take into account that the electrons can propagate without collisions only along the path . ne be nonuniform along the xaxis. we get D= 3 v = 1 v 2 τ.1) ne2 τtr σ = e2 D( F )g( F ) = .
35 AC Conductivity Solving Boltzmann equation for the perturbation ∝ exp(−iωt) we obtain σ(ω) = σ0 Here angular brackets mean A = Real part of this expression. we get r f0 1 exp ε−ζ(r) kB T (r) +1 . while imaginary part is the contribution to dielectric function. σ(ω) = σ0 1 τtr τtr 2 1 + ω 2 τtr . assume that at any point the distribution is close to the equilibrium one. ph ) one can introduce the localequilibrium suggestion.2. If the characteristic scale of the spatial variation of the temperature. r) = Consequently. In this case the temperature is a slow function of coordinates. is large in comparison with the scale at which temperature is formed (that is usually the phonon mean free path. dε ε3/2 A(ε) (∂f0 /∂ε) . Under this assumption the function f0 has the form f0 (ε.2. namely .h. T = T1 + (r − r1 ) T. dε ε3/2 (∂f0 /∂ε) 1 τtr τtr 1 − iωτtr . frequency dependence is important at microwave frequencies.s. CONDUCTIVITY AND THERMOELECTRIC PHENOMENA. represents ac loss in the sample. = − ∂f0 ∂ε ζ(r)+ ε−ζ T T (r) . of the Boltzmann equation we get (v ζ) + ε−ζ (v T ) T − ∂f0 . Thus in the l. The typical scale for the momentum relaxation time is about 10−12 –10−14 s. Consequently. Thermoelectric Phenomena Now we demonstrate another kind of problems which appear if the temperature gradient is created in the sample. T / T . ∂ε .
At ﬁnite temperatures.18) This expression diﬀers strongly from the corresponding expression for the conductivity by the factor (ε − ζ) under the integral. (2...13) of the Boltzmann equation in the case of electric ﬁeld we observe that an additional eﬀective δE = (ζ/e) electric ﬁeld appears. .17) (2. Consequently. assume that the temperature is zero. it feels the type of the carriers and provides the way to determine it from the experiment. In the following we will assume that the static electric ﬁeld includes this correction. CLASSICAL DC TRANSPORT . As for the second one. ∂ε (2. dF We get the integral which we have already analyzed. This quantity rather the pure electric potential ϕ describes the transport. Thus the ﬁrst item leads to the extra contribution to the Ohmic current and ﬁnally j =σE∗ . so − ∂f0 = δ(ε − F ).s. some electrons are ∂ε excited above the Fermi level forming quasi electron and leaving quasi hole excitations below the Fermi level. 9 dF This is the well known CutlerMott formula. • The thermoelectric coeﬃcient is proportional to the ﬁrst power of the charge.h. e The quantity ϕ∗ = ϕ − ζ/e is called the electrochemical potential. because − ∂f0 is a sharp function we can expand the integrand as ∂ε g(ε)D(ε) = g( F )D( F ) + (ε − ζ) d [g( F )D( F )] . we can plug it into the equation ∂f ε−ζ ∂f0 f − f0 v = (v T ) − =− ∂r T ∂ε τtr to get ε−ζ ∂f0 (v T ) . Both quasiparticles are dragged by the temperature gradient in the same direction. Indeed. Indeed. Comparing this expression with the corresponding l. We see that η = 0. There are some important comments in connection with this formula. the remainder has the order of kB T / F . but they have diﬀerent charges. Consequently. the total ﬁeld being E∗ = ζ − ϕ) = − ϕ∗ .36 CHAPTER 2. there is almost exact compensation of the contributions. T ∂ε Now we get the result in the for the current jT = −η T with f1 = τtr η=− e T dε g(ε)D(ε)(ε − ζ) − ∂f0 . The results is η= π2 2 d ekB T [g( F )D( F )] .
Thermoelectric eﬀects have important applications. the voltage across the sample is 2 T2 V = 1 α(dr T ) = T1 α(T ) dT.m. that the voltage measured is T2 VT = T1 [αa (T ) − αb (T )] dT. If the circuit is open j = 0 and we obtain the thermoelectric ﬁeld E∗ = α T. to measure absolute thermoe.f. We see that it is a relative eﬀect.2. 2. • If there are several kinds of carriers the behavior of thermoelectric coeﬃcient becomes rich and very instructive to understand what happens. σ The quantity α is called the diﬀerential thermoe. 37 • 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. Indeed. we have seen that in our simplest case the current can be written as j =σE∗ − η T. . e.m. α= η .1. i. To measure this voltage one should prepare the thermocouple. or Seebeck coeﬃcient. system depicted in Fig. One can easily show Figure 2.2. Indeed.1: The scheme of thermocouple.f. It should contain 2 branches fabricated from diﬀerent materials. CONDUCTIVITY AND THERMOELECTRIC PHENOMENA. one branch is made of superconductor.
The physical nature of the diﬀerential thermoe. Now we should specify forces and currents. The nature of the Peltier coeﬃcient can be visualized if one induces the current through the boundary of two materials at a given temperature. So.. say diﬀerential thermoe. div w ˙ dV + S=− T 1 jE∗ dV. w−ϕ∗ j =Πj − κ T. They are deﬁned so that the entropy production can be expressed as ˙ S=− i Ji Xi . see below. T In the presence of magnetic ﬁeld they should be generalized.f. α. Here the current which is created by the drag of potential energy is extracted. CLASSICAL DC TRANSPORT .m. we have thermal ﬂux − div w and the Joule heating jE∗ . 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. while Π is called the Peltier coeﬃcient. one has the way to cool. It appears that all the thermoelectric coeﬃcients can be expressed through only one. Assume that some generalized forces Xi applied to the system. In this case we get E∗ = ρj+α T. κ is called thermal conductivity. In this way j =σE∗ − η T. They induce currents ρ= Ji = k It is clear that Qik Xk where the quantities Qik are called the kinetic coeﬃcients. has been discussed. More usual way is to express the electric ﬁeld and the energy ﬂux through the current j and T. This is very important property for applications. The Onsager relations read1 Qik = Qki . 1 η γ . there are very general Onsager relations between the thermoelectric coeﬃcients. Π = . First we should deﬁne the energy ﬂux.3 Energy Transport. α = . κ = β + Πη. Now we discuss the energy transport in an electron system in the presence of electric ﬁeld and temperature gradient. .f. or to heat special regions. 2.. There are 2 conventional ways to express the charge and energy currents . Consequently. In our case. w−ϕ∗ j =γE∗ − β T.m. The ﬁrst one is to express both currents through the ﬁeld E∗ and T. Indeed. σ σ σ The quantity ρ is called resistivity.38 CHAPTER 2.
by the energy dependence of the transport relaxation time.18) we get κ≈β= 1 3T dε g(ε)D(ε)(ε − ζ)2 − ∂f0 . T 39 We see that the generalized forces are E∗ − . In fact. to analyze the thermal conductivity of a metal it is enough to calculate β. but here we are interested only in the electron contribution which is usually the main one in typical metals if the temperature is not too low. We will estimate the coeﬃcient β from the kinetic equation in a similar way as we have done to the thermoe. Tσ 3e2 π2 2 k T g( F )D( F ). and γ = ηT.3. (2. T ) ∝ T a εr+1 .c. Integrating the ﬁrst term by parts we get ˙ S= w 1 T dV + jE∗ dV. i.2.e. or Π = αT . −γT. 9 B This relation is called the WiedemannFranz law while its r. Thus. T Thus the kinetic coeﬃcients for our problem are −σT.s. So we see that all the characteristics of the d. κ is determined both by electrons and phonons. transport are determined by the energy dependence of the quantity D(ε). and κ = β − T ηα. −ηT 2 .h. −βT 2 . ENERGY TRANSPORT. We use the formula (2. or Π = αT. Consequently. If the relaxation time is described by the power law τtr (ε. T ) ∝ T a εr . One can show that only the last one is necessary.f. This law is derived under assumptions of isotropic spectrum and elastic scattering. The second contribution to the thermal conductivity is always small in the degenerate gas. ∂ε In the case of strong degeneracy we get κ= It is interesting to calculate the ratio 2 κ π 2 kB = .17) for the distribution function and take into account that the energy ﬂux transferred by 1 electron is (ε − ζ)v. we get γ = ηT . instead of Eq. D(ε. T − 1 . As a result.m. is called the Lorenz number.
(2. The simplest idea one can use is that the atom is neutral and behaves as a hard sphere. g(ε) = g(T )(ε/kB T )1/2 we obtain σ= e2 D(T )ne kB T ∞ r+3/2 −x e dx 0 x ∞ 1/2 −x e dx 0 x = e2 D(T )ne Γ(r + 5/2) ∝ T a+r . the Poisson equation has the form 2 ∂ne .21) . the atom is ionized and has an electric charge. Consequently.40 CHAPTER 2.4 Scattering by Neutral and Ionized Impurities. Rather we will outline the main physics and obtain important estimates. The main goal is to learn how to make those estimates. For the Boltzmann gas substituting D(ε. ne = ne (ζ + eϕ) − ne (ζ) ≈ eϕ Finally. In the following we will not perform very cumbersome calculations to solve the Boltzmann equation. we get from Eq.15) σ ∝ T a for the degenerate gas. To study scattering it is convenient to determine the scattering cross section. 2. T ) = D0 (T )(ε/kB T )r+1 .19) ϕ− 1 ϕ=0 2 rs −1/2 (2. one should calculate the electric potential which acts upon the electrons from the Poisson equation 2 ϕ = 4πene is the dielectric constant. kB T Γ(3/2) Here Γ(x) is the Γfunction. ζ + eϕ. 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. (2. Consequently. ∂ζ (2. in many important situations it is not the case. CLASSICAL DC TRANSPORT .. Now we should remember that in the presence of electric potential the chemical potential ζ is changed to the electrochemical one. Nevertheless. The very important concept is that the electrons in the vicinity of the impurity atom rearrange to screen the potential. The boundary where −ene is the excess electric charge while condition for this equation is ϕ= Ze r at r → 0..20) where rs = 4πe2 ∂ne ∂ζ .
(2. The function K(r) reads (in the isotropic case) p3 cos(2kF r) sin(2kF r) K(r) = −g( F ) F 3 − . in a typical metal.19) fails.2. (2. In fact. e. In general. rT F . Consequently. The ratio e2 /¯ vF has a clear physical meaning . For a typical metal we get 1 rT F ∼ p3 e2 F 3 m h p2 ¯ F 1/2 pF ∼ h ¯ e2 hvF ¯ 1/2 . NEUTRAL AND IONIZED IMPURITIES The solution of the Eq. . p2 /m hvF ¯ F This ratio is or the order 1 because the metal is connected by the conduction electrons.22) r so the quantity rs is called the screening length. we get ne ∝ p3 ∝ F .4. ne (r) = −e K(r − r ) ϕ(r ) dV . • We have assumed that the electron response in local. the electron density ne (r) feels the potential at the same point.5) 41 Ze −r/rs e . it is not the case because the eﬀective potential changes sharply in space and the selfconsistent approach (2. In a degenerate gas. (π¯ ) h (2kF r)3 (2kF r)4 We see that the response oscillates in space that is a consequence of the Fermi degeneracy (Friedel oscillations). F So ∂ne 3 ne = ∂ζ 2 F and −1/2 6πe2 ne rs = .it is just the ratio of the typical potential h 2 energy e /¯ to the typical kinetic energy p2 /2m. We will come back to this problem later in connection with the quantum ¯ transport.20) has the form (Problem 1. i. 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. ϕ= F This is the socalled ThomasFermi length. So one can use the ThomasFermi approximation to get the estimates. 3/2 Now let us estimate the screening length. r ∼ h/pF and r ¯ ¯ F e2 /¯ r e2 ∼ . There two important things to be mentioned. Indeed. The function K cannot be derived from classical considerations because the typical spatial scale of the potential variation appears of the order of de Broglie wave length h/p. we get that the screening length in a typical metal is of the order interatomic distance a and one comes back to the model of hard spheres.
As a result rs ≡ rD = 4πe2 ne kB T −1/2 . In typical metals it is the case but in some semiconductors with small electron density one needs some generalizations (not enough electrons to screen). the quantity rD is called the DebyeHukkel length..19) we have assumed linear response to the external potential. To calculate the matrix element v(θ) of the Coulomb potential we take into account that all the Boltzmann distribution is the case for the electrons with p h/a. As a result. We will come back to the problem discussing hopping transport in semiconductors. Now we can make a very rough estimate of the conductivity of a typical metal. ci To analyze the situation with the Boltzmann gas one should be more careful because the energy dependence of the relaxation time is important. CLASSICAL DC TRANSPORT .23) . Making use of the estimates Q ∼ (¯ /pF )2 . (Problem 1. If the electrons are nondegenerate one should plug into the general expression (2. h e2 ∼ hvF .21) ζ−ε the Boltzmann distribution function exp kB T to get ∂ne /∂ζ = ne /kB T. s .. We get σ∼ ne e2 τ ne e2 ne e2 ∼ ∼ .6). • In the expression (2. So we can forget about the periodic potential and just to calculate the matrix element of the potential (2.22) between the plane wave states. the screening length being much greater than ¯ a. 4πe2 / r ¯ so the estimate diﬀers from the ThomasFermi length by the presence kB T instead of the Fermi energy F . m pF ni pF Q Here we have taken into account that = 1 ni Q where Q is the eﬀective cross section.42 CHAPTER 2. e2 / W (θ) = 4πni v 2 2ε(1 − cos θ) + h2 /2mrs ¯ 2 (2. ¯ ni /ne ∼ ci where ci is the atomic impurity concentration (the numbers of electrons and atoms are the same) we get 1016 −1 σ∼ . One can get rD = r ¯ kB T .
they are shown together for convenience. 1+η h2 ¯ h2 ¯ The function Φ(η) slowly depends on the energy.24) 2πe4 ni Φ(η) πe4 ni Φ(η) 2 2 η 4m2 v 2 rs 8mεrs . p2 ) and (p1 . this particle interacts with another one. 2. we start from the case of Fermi gas. To get the escape probability for the particle 1 one should integrate over the intermediate momenta W ∝ δ(ε1 + ε2 − ε1 − ε2 ) (dp2 ) (dp1 ) .5 ElectronElectron Scattering Now we estimate the electronelectron scattering.2).2. so where Φ(η) = ln(1 + η) − τtr ∝ ε3/2 .5. 2.2. p2 < pF.2: Scattering processes for electronelectron interaction. Suppose that we have a particle 1 outside the Fermi sea (see Fig. as we have seen. p1 + p2 = p1 + p2 .11) we get √ 2 2 3 mv 2m 2 ε3/2 τtr = = (2. p1 . After substitution of the cross section to the deﬁnition of the transport relaxation time (2. The momentum conservation law is shown graphically in the right panel of Fig. ELECTRONELECTRON SCATTERING 43 We see that in the absence of screening the transport relaxation time diverges (longrange potential!). One should keep in mind that the planes (p1 . η= = . If Figure 2. According to the momentum conservation law. 2. 2. and. inside the Fermi sea both ﬁnal states should be outside the Fermi sea (Principle Pauli!). and as usual. p2 > pF . p2 ) are not the same. p1.
Consequently. But from the Pauli principle. The simplest way to estimate τ is to use dimensionality approach. (p2 is ﬁxed by the momentum conservation). We will discuss this problem later. CLASSICAL DC TRANSPORT . dp2 dp1 = dα2 dα1 = τ∼ hF ¯ . The energy conservation law actually determines the angle between p1 and p2 for given absolute values of these vectors. Using the Drude formula we easily get the estimate of the conductivity. So let us assume cosines to be the same and from the relation between the projections write down p1 ≈ p1 + p2 − p2 . Thus p1 + p2 − pF > pF . Now we should remember that ε − F = vF (p − pF ). But at the same time. . Note that electronelectron interaction is the typically inelastic one. It means that all the momenta are close to pF and the angles with the vector p1 + p2 are almost the same. ε − F  F . we come to the following chain of inequalities 0 > p2 − pF > pF − p1 . Indeed. p1 < p1 + p2 − pF . Consequently. One should also know that disorder drastically increases the electronelectron interaction. This is why the electronelectron interaction can be treated in the leading approximation in a selfconsistent approximation. the only quantity which is proportional to (ε − F )2 and has the time dimensionality is 0 α1 +α2 0 < p1 − pF < (p1 − pF ) + (p2 − pF ). the rest is to integrate over p2 = p2  and p1 = p1 . So W ∝ (ε− F )2 . limited by the electronelectron scattering σ∼ n e e2 h F ¯ F ∼ 1016 2 m(kB T ) kB T 2 . he can treat them as to near classical ones provided h ¯ ε− ≈ (ε − F )τ F F 1. Let p1 be close to pF . the upper limit for p2 is pF .. (ε − F )2 We came to important conclusion: if one is interested in quasiparticles near the Fermi level. p1 > pF .44 CHAPTER 2. Electronelectron interaction is usually unimportant for the Boltzmann gas (not too many electrons!). The typical value for the quasiparticle energy is kB T. As a result. or p2 > 2pF − p1 . Finally. s−1 . Now let us recall that p2 > pF . the average potential and kinetic energies are of the order of F .. 2 α1 2 −α1 0 where we have introduced αi = pi − pF . Consequently.
bq . The polarization. It is easy to check the following important properties of the creation and annihilation operators. Consequently. We can specify the following processes . one can write down the interaction energy as −e Q(r − r ) div P(r ) dV . in its turn. As a result the estimate of Q(r − r ) is Q(r − r ) ≈ a2 δ(r − r ).3. having the wave vector q and belonging to the branch j.N −1 .2. the deformed lattice creates polarization P. The quantity div P(r) has the estimate ina e(qu) ≈ i(ω/s)na eu. b† q are the socalled phonon annihilation (or creation) operators deﬁned by the properties √ √ bψN = N ψN −1 b† ψN = N + 1 ψN +1 . N b† N = N + 1 δN .2 we get for the simple lattice uq = ˆ h ¯ 2ωq N M e(q) bq ei[qr−ω(q)t] + b† e−i[qr−ω(q)t] q q (here we take into account only one acoustic mode). The creation and annihilation operators for diﬀerent modes commute. SCATTERING BY LATTICE VIBRATIONS 45 2. the polarization charge being div P. Q(r − r ) ∝ r − r −1 but in a typical metal the screening makes it local. 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. 2. √ N δN . N bN = √ b† b ψN = N ψN . In the absence of screening.6 Scattering by Lattice Vibrations Now we come to very important point .25) s To get the electronphonon interaction in terms of phonon variables.6. According to this representation. (2. the commutation rules being bb† − b† b ≡ [b. b† ]− = 1 .j . phonon system is characterized by number of phonons.to the electron phonon interaction which leads to many important consequences including superconductivity. We use the socalled second quantization representation. we the following estimate for the Fourier component of the interaction potential ω Uq ∼ ie2 a2 na uq . First. Remembering the Sec.N +1 . Nq. Finally. Interaction Hamiltonian (Estimates for Metals) There are several mechanisms of electronphonon interaction.
k (2. Vna Vmna √ √ Here we have taken into account that na a3 ∼ 1. The form (2.c.k = 2π Cj (q)2 (Nq + 1)δ [ε(k − q)−ε(k)+¯ ωj (q)] h h ¯ for the emission process and − Wk+q. Transition Probability Now we can construct the transition probabilities. For simplicity we assume here that G = 0. k → k = k − q + G pnonon : created with the momentum hq. Using the properties of the Bloch functions and lattice vibrations one can easily show that the matrix element k eiqr k behaves as k eiqr k = G δ(k − k − q − G) where G are the reciprocal lattice vectors. F Finally we come to the interaction Hamiltonian in the second quantization representation Hint = k.k = C (q) Nq + 1 k e • Phonon absorption electron : scattered. a. CLASSICAL DC TRANSPORT .c. means the Hermitian conjugate. We get + Wk−q. matrix element : Mk. We have the following estimate for C(q) hω ¯ hω ¯ ∼i pF .k = 2π Cj (q)2 Nq δ [ε(k + q)−ε(k)−¯ ωj (q)] . h − iqr matrix element : Mk. Here we use the electron annihilation and creation operators. a† which properties are discussed in earlier. ¯ + ∗ −iqr k .. e2 /a ∼ F ∼ p2 /2m. h h ¯ . k → k = k + q + G pnonon : absorbed with the momentum¯ q.26) where h.46 • Phonon emission: CHAPTER 2.k . s M ∼ vF m.. electron : scattered. that is the case for the most interesting situations (see later).26) is very illustrative to show the important transitions.k = C(q) Nq k e k .qj e2 a2 na ω C(q) ∼ i √ NM s h ¯ hna ω e2 a2 na ¯ e2 1 √ ∼i ∼ i na a3 ω Vna M s as M Cj (q) k eiqr k a† ak bq + h.
Wk←k−q .6. One has the estimate hωD ∼ hsπ/a ∼ spF .k−q = fk (1 − fk−q )(Nq + 1) − fk−q (1 − fk )Nq (2. We get Wk←k−q = 2π Cj (q)2 × h ¯ h × (N−q + 1)δ [ε(k − q)−ε(k)−¯ ωj (q)] + Nq δ [ε(k − q)−ε(k)+¯ ωj (q)] h emission absorption . Relaxation Time for Phonon Scattering. ω ≈ ωD . h ¯ F .k−q δ(εk−q −εk +¯ ωjq ) h h jq (2.28) Now we start from rough estimates and then derive the relaxation rate more carefully. The integral over the q is of the order 3 qD mpF ∼ 3 . ¯ 1. So there are ¯ ¯ two limiting cases which diﬀer by the relation between hωD and kB T. and we can use the classical limit for the Planck function Nq ≈ kB T kB T ≈ hωq ¯ hωD ¯ 1. SCATTERING BY LATTICE VIBRATIONS for the absorption one. Often people write the probability as Wk−q←k = 2π Cj (q)2 × h ¯ 47 × (Nq + 1)δ [ε(k − q)−ε(k)+¯ ωj (q)] + N−q δ [ε(k − q)−ε(k)−¯ ωj (q)] h h emission absorption To get the probability of the reverse transition. − Fk.k−q δ(εk−q −εk −¯ ωjq ) + Fk.27) + Fk. Finally we come to the following collision integral I= where 2π h ¯ + − Cj (q)2 Fk. At high temperature hω D ¯ kB T the most probable are the processes with highfrequency phonons. one should ﬁrst replace k → k + q and then q → −q.k−q = fk (1 − fk−q )N−q − fk−q (1 − fk )(N−q + 1). Rough Estimate. To get a rough estimate we ﬁrst understand that the maximal phonon frequency is ωD that corresponds to qD ∼ π/a ∼ kF . This probability has the factor fk−q (1 − fk ).2. We see that all the items in the collision integral have the same order.
their wave vector being ¯ qT ∼ We see that qT kF . hs ¯ s−1 . At low temperatures where the thermal phonons with hωD ∼ kB T are most important. and the conductivity acquires an extra factor (¯ ωD /kB T )4 : h σ ∼ 10 16 F kB T hωD ¯ kB T . we get the following estimate 1 1 p2 hω m 3 1 p2 hω ms F¯ F¯ ∼ q ∼ τ h mna hpF q ¯ ¯ h mna pF hω ¯ ¯ ω s 3 ∼ 2 1 p2 kB T ms (kB T )3 kB T kB T F ∼ ∼ 3 p k T h3 s3 h m(pF /¯ ) F B ¯ h h ¯ hωD ¯ ¯ This is the good estimate for the escape relaxation time.48 CHAPTER 2.the change of the quasiparticle energy is of the order of the energy while the change of momentum is relatively small.. F 3 ∼ τtr h mna hωD h ¯ ¯ h ¯ ¯ The estimate for conductivity is σ= ne e2 τ p2 F F ∼ F ∼ 1016 . s−1 .. Using the rough estimate for the coeﬃcient C(q) we get 1 hωD kB T mpF ¯ kB T 1 ∼ p2 . CLASSICAL DC TRANSPORT . 1 kB T ∼ τtr h ¯ kB T hωD ¯ 4 4 hq ¯ pF 2 ∼ kB T hωD ¯ 2 . pq 2 2 We see that both the items under the δfunction are small (the second one is of the order ms/pF ∼ s/vF 1). The integral over q splits into the integral over the length of the wave vector and over the angles. The δfunction in the conservation laws can be written as δ p2 2m − (p−¯ q)2 h 2m ± hω(q) = δ ¯ = h ¯ pq m m δ h ¯ pq h q − ¯2m ± hω(q) ≈ ¯ h ¯q cos ϑ − 2p ± mω . Finally. 2. m m¯ kB T h kB T hωD ¯ kB T kB T . So these collisions are strongly inelastic . To get the estimate one should multiply this quantity by the characteristic value of θ2 ∼ 1 − cos θ ≈ 2 As a result. Thus the δfunction gives 1 after the integration over the angles because is requests  cos ϑ 1.
every collision is eﬀective and the proper estimate for the relaxation rate is the escape time τ. For the energy ﬂux. k) is ϕq. k) cos ϕq. and κ k2 ∼ B Tσ e2 kB T hωD ¯ 2 2 . k)+ sin ϑ sin(f . 2 qk = cos ϑ. Derivation of the Relaxation Time. k).f = = cos ϑ cos(f . or cos(f . one should prove the relaxation time approximation. k)+ sin(k. k) cos ϕq. q) sin(f .e. To prove it let us (as we have done earlier) search the solution as f1 = −nf (ε) = −f cos(f .f taking into account that the angle (f . k). We get cos(f . that I(f1 ) ∝ f1 . As a result.3). In our notations 1 − cos (k. q) dϕ = 2π cos ϑ cos(f . Now we can integrate this equation over ϕq. SCATTERING BY LATTICE VIBRATIONS 49 We see that for smallangle scattering the transport time is much longer than the escape time. First. ϑ ≡ (q. It is interesting that in the expression for the thermal conductivity one can study the relaxation of the energy ﬂux.f . q) cos(f . qk Optional section . Now we outline the procedure of more rigorous derivation of the relaxation rate which includes the summation over q → q V (2π)3 qmax qmin q 2 dq 0 π 2π sin ϑ dϑ 0 dϕ where qmin and qmax are determined by the conservation laws. n≡ k k and chose the polar axis z along the vector k. k − q) = It is convenient to use the relation fq =fz qz +f ⊥ q⊥ . k). i. q) = cos(k.f independent.2. the WiedemannFranz law is not valid any more.6. 2.(see Fig.
and at low temperatures we meet the case hωmax ≤ kB T. Figure 2. after neglecting of the term proportional to s/v we get 1 (2π)2 V =− τtr h (2π)3 ¯ × Nq δ qmax qmin q 2 dqC(q)2 m q h2 kq k ¯ π sin ϑ cos θ dϑ× 0 q q + cos θ − (Nq + 1)δ − cos θ = 2k 2k qmax V m = 2 2 3 C(q)2 (2Nq + 1) q 3 dq. Indeed. Remember that for the Boltzmann gas the typical √ value of hk is mkB T .3: The arrangement of angles. as is was shown. k ∼ kF ∼ qD . ωmax = min(qD . ε1/2 That is consistent with the rough estimates given above. (2. kB T ms2 → 0.1 K.. Nq ≈ kB T /¯ s and we get ¯ h 1 1 ∝ 3 τtr k qD q kB T 3 T q4 q dq ∝ 3D hsq ¯ k 4 qD ∝T (2k)4 ε−3/2 . k) can be extracted from the integral over q and we have proved that I(f1 ) ∝ f1 . 2k). ¯ hsk ¯ ≈ kB T ms2 .50 CHAPTER 2. 2k). In typical metals.29) 8π h k qmin ¯ The result is determined by its limits determined by the conservation law and by the phonon spectrum. At high temperature. at hωmax ≤ kB T. Finally. ¯ This case is much more tricky because the collisions are inelastic and we cannot use the . We have qmin = 0 while qmax = min(qD . The term cos(f . The last case is important for semiconductors with low values of k.. CLASSICAL DC TRANSPORT .
a1 f1 (1 − f1 ) (N + 1 − f2 ) − a2 f2 (1 − f2 ) (N + f1 ) and to take the conservation law into account we should change 1 → 2 in the f functions.27). We transform the collision integral as follows. one should linearize the collision integral (2.6. fk−q = f2 + ϕ2 where fi. As a result.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 ) for the phonon emission and − Fk. We get + Fk. The main steps of the derivation are given below.11) for the relaxation time. Finally. c−1 e e +1 f2 .k−q = 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 ) for the absorption.2.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 have the same substitute. SCATTERING BY LATTICE VIBRATIONS 51 expression (2. − kB T Fk.k are equilibrium functions and linearize with respect to ϕi . Actually. we have + kB T Fk. Then we search solution in a form ϕ(k) =a(k) − ∂f0 ∂ε = a(k) f0 (1 − f0 ) kB T where a(k) weakly depends on the energy but strongly depends on the direction of k.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 )] kB T Fragments in the square brackets are N + 1 − f1 = ec 1 f1 − x = N f1 ex+c + ec − ec + 1 = N . First we denote fk = f1 + ϕ1 .
. As a result.31) p p (2. Using the detailed balance equation f1 f2 (1 − f1 )(1 − f2 ) − f1 f2 (1 − f1 )(1 − f2 ) = 0 3 Optional section . we get in the brackets ¯ ec 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 ). suppose that we have only electrons which do not know anything about the lattice.52 N + f2 = CHAPTER 2. kB T (2. Because the process in inelastic we search the nonequilibrium function f1 as f1 (p) = a(p) − ∂f0 ∂ε = a(p) f0 (1 − f0 ). Finally. Indeed..30) We have 4 terms proportional to a. the relaxation time approximation is not exact in this case and one should solve to Boltzmann equation numerically. Unfortunately. Here we assume that the momentum p2 is determined by the conservation law p1 + p2 = p1 + p2 + hG ¯ and one should integrate over the rest 2 variables. UmklappProcesses 3 It was a sort of cheating in our previous calculations of the electronelectron scattering. a = hω/kB T. we have proved the estimates made above. CLASSICAL DC TRANSPORT . 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. How the total momentum of the whole electron system can relax? To understand this important problem one should remember that there are processed where the quasimomentum is not conserved but there is a momentum transfer hG. kB T We see that only thermal phonons are important that the integrand of the collision operator decreases exponentially at c 1. 1 f2 1 + x+c = N f2 ex+c + 1 + ec − 1 = (N + 1) −1 e +1 f1 where x = (ε − ζ)/kB T. To ¯ analyze the situation more carefully we write down the collision integral I(f ) = − Wp11p22 fp1 fp2 (1 − fp1 )(1 − fp2 ) − fp1 fp2 (1 − fp1 )(1 − fp2 ) × ×δ(ε1 + ε2 − ε1 − ε2 ) (dp2 ) (dp1 ).
To get a ﬁnite answer one should take into account the processes with ﬁnite G. It means that the radius of the FS is greater that 1/2 of the reciprocal lattice vector. 2. h This relation is deﬁnitely met if the FS reaches the boundary of the BZ. We have assumed the phonons to be equilibrium. It means that we assume some eﬀective mechanism to create the equilibrium in the phonon gas. kB T The same transformation can be done with all other terms and we get the following combinations in the collision integral (2. the socalled Pierls Umklapp processes.4).6. one should construct the Boltzmann equation for phonons ∂Nq ∂ω(q) ∂Nq + = Iph (Nq ).30). we transform the previous equation as (Check!) − a1 f1 f2 (1 − f1 )(1 − f2 ). In semimetals like Bi the FS contains quasielectron and quasihole valleys and electronelectron interaction is important for intervalley transitions (see Fig. 1 f1 f2 (1 − f1 )(1 − f2 )(a1 + a2 − a1 − a2 ). SCATTERING BY LATTICE VIBRATIONS 53 Figure 2. The situation is more complicated for electronphonon collisions. We have seen that if p1 is close to the Fermi surface all other momenta are also close to the Fermi surface. Consequently. kB T If we assume that a ∝ pi we get that the last bracket vanishes because of the momentum conservations. say. ∂t ∂q ∂r . Consequently. Thus to get a ﬁnite resistance one should request max(p1 + p2 − p1 − p2 ) = hGmin ¯ or 4 max pF (n) >¯ Gmin . If the metal is very pure and the temperature is low the only scattering mechanism for phonons is their scattering by the electrons. we have no relaxation and a ﬁnite current in the absence of any ﬁeld.2. scattering of phonons by defects or phononphonon interaction including Umklapp processes.4: The Fermi surfaces of alkali metals and semimetals. all the vectors being in the BZ. 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).
otherwise impurity scattering is the most important at low temperatures. If the FS is closed. . let us ¯ come to the picture of extended BZs periodic in the reciprocal space. If the FS is open the electron momenta relaxation is just a diﬀusion along this surface and we have shown that 1 τe ∼ ωD hωD ¯ kB T 5 . So we come to the crossover between the power and exponential temperature dependencies. The collision integral with electrons has the form Iph−e = W [f1 (1 − f2 )(Nq + 1) − (1 − f1 )f2 Nq ] δ(ε1 − ε2 − hωq ) (dp1 ) ¯ Again.31) and for phonon in the form N1 (q) =b(q) − As a result. But at low temperatures the momenta of thermal phonons are small and one can neglect the phonon quasimomenta in the conservation law p1 −p2 −¯ q = hG.. it means the sum of electron and phonon ¯ quasimomenta conserve. 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. As a result. Remember that all this physics is relevant only to very clean metals. we need the Umklapp processes to get ﬁnite electric and thermal conductivity. if a ∝ pi . The total relaxation time is a sum h τ = τe + τu of the diﬀusion time over the close surface and the time τu . δp ≈ kB T /s.. we can search the solution for electrons as (2. h ¯ So we come to the criterion 2 max pF (n) >¯ Gmin h that cannon be met if the FS does not touch the BZ boundary. The resulting situation appears very tricky. the longest being most important. ∂N0 ∂(¯ ω) h = b(q) N0 (1 + N0 ). CLASSICAL DC TRANSPORT .54 CHAPTER 2. we get I≈ W f10 (1 − f20 )(Nq0 + 1)(a1 − a2 − b) (dp1 ). we have a persisted motion of electrons accompanied by a ”phonon wind”. we need highfrequency phonons with q ∼ qD . As a result. To get an insight. At high temperatures it is not a problem to ﬁnd such processes. Again. we get 3 kB T0 kB T 1 ∼ ωD e−T0 /T τu hωD ¯ hωD ¯ . Indeed. Physically. b ∝ hqi we get zero. That changes all the kinetics because thermal phonons cannot take the electron momentum. their number being proportional to exp(−T0 /T ) where T0 ∼ hωD /kB . Consequently. and δp/pF ∼ kB T /¯ ωD . Umklapp processes mean hops between diﬀerent branches. kB T Again.
one can expand the position. that at very low temperatures quantum contribution to resistivity becomes important. say. according to the results of Boltzmann equation. Usually. the interplay being temperature dependent. It is also important to know. 55 Temperature Dependence of Resistivity in Metals Now we review the temperature dependence of conductivity of metals. This contribution cannot be analyzed with the help of the Boltzmann equation and we will also discuss it later. So. (2.5). ∂xk ∂xi The strain changes the distances between atoms and. A typical picture of the change of the forbidden gap width under the inﬂuence of an acoustic vibration is shown in Fig. Consequently. and κ = const. the electron energies change. If we assume the mechanisms to be independent the resistivities ρ are approximately additive because one should sum the scattering rates.2. Deformational interaction. 2. Acoustic Phonons. as a result. the deformation being characterized by the strain tensor ← →u = 1 → u ik 2 ∂ui ∂uk + . . In real life there is a mixture of the mechanisms. For long waves one can describe the crystal a an elastic continuum. The corresponding dependencies of the thermal conductivity are κ−1 = dT −1 + f T + gT 2 . the interaction with acoustic phonons in semiconductors is expressed in terms of the socalled deformation potential. ELECTRONPHONON INTERACTION IN SEMICONDUCTORS. Note that the strain leads to a diﬀerent inﬂuence that an electric ﬁeld which shifts both bands in the same direction. We will come back to this problem later.7. at low temperatures ρ = c + aT 2 + bT 5 e − e e − ph (except alkali metals) while at high temperatures phonon scattering is the most important and ρ = AT. The temperature dependence of the resistivity of semiconductors is more tricky because electron concentration is temperature dependent. of the bottom of the conduction band as → Ec (← ) = Ec (0) + u ik Λik uik . We have assumed recently that only one scattering mechanism is important.7 ElectronPhonon Interaction in Semiconductors.
kl ul = 0.5: The variation of the forbidden gap.56 CHAPTER 2. The corresponding electric potential is determined from the Poisson equation − ik ∂2ϕ + 4π ik ∂xi ∂xk ikl ∂ ∂ βi. The selection rules for electronphonon transitions are determined by the symmetry. Cds.25) Uq ∼ Λiquq . ∂xi ∂xk . Piezoelectric interaction. One can show that in a cubic crystal oﬀdiagonal components of the deformation potential ← → tensor Λ vanish.. 2N M ωq (2. Moreover. we come to the interaction energy of the form (2. CLASSICAL DC TRANSPORT .kl ukl .32) The deformation potential can be calculated for a real band structure and measured experimentally. the interaction constant C(q) can be expressed as C(q)2 = Λ2 q 2 h ¯ ∝ q. etc. Λii = Λ and we get → Ec (← ) = Ec (0) + Λ div u.) are ionic crystals without the inversion symmetry. The strain uik induces in such crystals the electric polarization with the components Pi = kl βi. The only diﬀerence is the replacement of the estimate e2 a2 na by the deformation potential Λ. ← → where β is called the piezoelectric tensor. u Consequently. Piezoelectric materials (ZnS. As a result. because all the axis are equivalent.. ZnSe. Figure 2.
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.kl qi qk uql .33) = 1 ∞ − 1 0 .7.t)eiqr qj (2. we expand the displacements in terms of the normal coordinates 1 uk (r) = √ j N Mk ejk (q)bj (q. 4πN0 Mr ωl2 2 div(u+ − u− ).34) . 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 . If we assume ϕ = ϕq eiqr . optical phonons produce electric ﬁelds. as we have seen. ϕ = 4π div P = ∗ Then.32) we see that for a given q one should replace G(q) Λik ni ek → . we get ϕq = 4π ikl 57 u = uq eiqr βi. as usual.2.It means that at low temperatures piezoelectric interaction is more important than the deformational one. Then. Much more interesting is the interaction in polar crystals where. G(q) = − 4πe ikl βi.kl ni nk ejl (q) ik ik ni nk Comparing this expression with the expression (2. ELECTRONPHONON INTERACTION IN SEMICONDUCTORS. q ik We see that the corresponding scattering factors C(q)2 behave as q/q 2 ∝ 1/q. In these materials the displacement s = u+ − u− creates the polarization P= where N0 Mr ωl2 (u+ − u− ) 4π ∗ 1 ∗ (2. We take into account only longitudinal vibrations which eﬀectively interact with the electron.
The dimensionless constant α is called the polaron constant.35) It is very easy come from this point to the famous Fr¨lich Hamiltonian o 1 He−ph = √ V with Mj2 = Sometimes it is expressed as M2 = 4πα¯ (¯ ωl )3/2 hh √ .34) for u± and get (Problem 1. hωl = 0. ¯ 2 ¯ 1. ej1 = M1 ij . 2¯ ωl h Mj † ap−¯ q ap (bqj + b† ) qj h q 2πe2 hωl. M1 + M2 ej2 = − M2 ij . If k k0 we get for both absorption and emission the old conditions qmin = 0. qmax = 2 k 2 + k0 + k (ϑ = π). Using Eq..j . In this case only absorption processes can take place. and take into account that at long waves the center of gravity does not move. CLASSICAL DC TRANSPORT . (2. The case of low temperatures is more tricky. and qmin = 2 k 2 + k0 − k (ϑ = 0).6) φ = −i 4πωl2 ∗ q 1 (bq eiqr − b∗ e−iqr ) q q (2. qmax = 2k. e2 + e2 = 1. M1 + M2 M2 ej2 = 0. 2 mk T 2 e B 2.36) q. and we return to the same ¯ expression as for acoustic phonons. At high temperatures. kB T hωl the scattering is elastic. ¯ q2 = −k cos ϑ ± 2 k 2 cos2 ϑ − k0 where h2 k0 /2m = hωl . . Now we can analyze the conservation laws h2 (k ± q)2 ¯ h2 k 2 ¯ h2 q 2 h2 kq cos ϑ ¯ ¯ = ± hωl → ¯ ± 2m 2m 2m 2m The roots of this equation are q1 = −k cos ϑ ± 2 k 2 cos2 ϑ + k0 . (2. M1 ej1 + As a result.j ¯ ∗ (2.58 CHAPTER 2.. j1 j2 Finally we substitute these expressions to Eqs. 2m α= e2 h∗ ¯ m .29) we get √ 2 h2 ∗ ¯ √ τtr = ε3/2 ∝ T −1 ε3/2 .
ELECTRONPHONON INTERACTION IN SEMICONDUCTORS. 2 m¯ ω 2 e kB T h l This scattering is very weak. So if the electron absorbs an optical phonon it should immediately emit another one. Let us consider the interaction of an electron with optical phonons. Indeed. Nq = 1.k 2 2πe2 ¯ ωl h ∗ (dq) q2 h2 (k−q)2 h2 k2 − −¯ ωl h 2m 2m h2 (k−q)2 1 h2 k2 = − hωl ¯ −1 2m − 2m . The polaron. some simpliﬁcation does exist.7. Nevertheless.k−q−eΦ0. Optional section . Note that it is not the case of the socalled hot electrons with high energies which can emit optical phonons. As a result. we get εk − εk = = 4 (0) q  1. k = k − q. that the scattering is strongly inelastic and in general one cannot use the relaxation time approximation. The corresponding δfunction is δ ¯ ¯ 2 h2 q 2 h2 kq cos ϑ h2 k0 ¯ + − 2m 2m 2m 1 τtr = 2 m q 2 − k0 δ + cos ϑ 2kq h2 kq ¯ while the relaxation time can be obtained as = 1 m 8π 2 ¯ 3 h2 k qmax qmin w(q)Nq 2 q 2 −k0 2 q q dq ≈ ≈ e2 mωl −¯ ωl /kB T e h h ¯ 2 ∗ k3 2k 2 k 2 + k0 − k0 ln 2 k 2 + k0 − k 2 k 2 + k0 + k ≈ (4/3)k 3 /k0 Expanding this expression in powers of k/k0 we get/k0 √ 2 2 h2 ∗ ¯ hωl ¯ √ τtr = exp . One can get the result taking into account only the absorption processes. We have Nq = 0. Consider the interaction with a polarized crystal. the change of the ground state energy due to interaction is En − (0) En = nHint n + m=n  mHint n 2 En − E0 (0) (0) . the change of energy appears small while the change of the quasimomentum is large. The diagonal matrix element is zero because it contains the same number of phonons.2. At T = 0 only emission of phonons is possible. 59 It is clear. 4 We take the opportunity to demonstrate the role of interaction when it cannot be considered as weak. As a result. note that the ratio of the emission and absorption probabilities is Nq + 1 hωl ¯ ≈ exp Nq kB T 1. According to quantum mechanics.
The external magnetic ﬁeld distort electron trajectories. and the result is h2 k 2 ¯ h2 k 2 ¯ h2 k 2 ¯ εk = − α hωl + ¯ ≡ −α¯ ωl + h 2m 12m 2mpol where α has been introduced in the previous section as the polaron constant while mpol = m ≈ m(1 + α/6). 2. 1 − α/6 1. kq = kq cos ϑ and expand the integrand in powers of k..015 InP 0. 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 ).080 CdTe 0.39 CdS 0.8 GalvanoMagnetic and ThermoMagnetic Phenomena The Physical Reason. the diﬀerence being ∼ rc φ3 . It inﬂuence is strong if the characteristic radius of cyclotron orbit. the interaction for the two last materials is strong and one cannot use the perturbation theory in the simplest way. The qualitative conclusions that interaction with phonons leads to the shift of the energy levels (the relative shift is α at α 1) and to its ”dressing” .65 Consequently. is less than the mean free path at which all the kinetic coeﬃcients are formed.. To estimate the inﬂuence of a weak magnetic ﬁeld on the resistance one should compare the path along the circle rc φ (see Fig. Another eﬀect that one can expect is the creation of a current perpendicular to the electric and magnetic ﬁeld direction. 2.6) with the distance 2rc sin φ/2. Indeed. As usual we introduce polar coordinates with the axis along k (dq) → (2π)−2 q 2 dq sin ϑ dϑ. The integral can be calculated easily. If we put rc φ ∼ we get ∆ρ/ρ ∼ ( /rc )2 ∼ (ωc τ )2 . CLASSICAL DC TRANSPORT . . rc = v⊥ /ωc .60 CHAPTER 2.increase of the eﬀective mass. We have All these considerations are good only when α Material α InSb 0. One can treat the distortion as an eﬀective decrease of the mean free path .
one can expect creation of oﬀdiagonal components of the conductivity tensor with σxy  ∼ σ0 (ωc τ ). c ∂p τtr ∂ε As we’ll check for a given ε the vector G is independent of the direction of p. GALVANO. Thus ∂(vG) G = . As a result.38) (2. To get the results in strong magnetic ﬁelds is more tricky and we will do it later. m (2. ∂p m In this way we get µ ∂f0 ([v × H]G) + (vG) = eτtr (vE) c ∂ε where µ(ε) = eτtr (ε) . 61 Figure 2. Simpliﬁed version for isotropic case In a magnetic ﬁeld the Boltzmann equation reads as (v We look for solution as f = f0 + (vG) . τtr . Calculations.8. We have e ∂ 1 ∂f0 − [v × H] + (vG) = e (Ev) .. .37) G ∝ E .2. r) 1 − e E + [v × H] c p f+ f − f0 = 0. Conductivity Tensor.6: A trajectory fragment.AND THERMOMAGNETIC ..
41) (2.7) G = eτtr ∂f0 E + (µ/c)2 (HE)H + (µ/c)[E × H] .s. General case In the presence of external ﬁelds the l. (Problem 1. It is natural to look for a solution of the equation (2. σxx = σyy = while σxy = −σyx = ne2 m ne2 m τtr 2 2 1 + ωc τtr 2 ωc τtr 2 2 1 + ωc τtr . ∂ε 1 + µ2 H 2 /c2 (2.39) (2. c As a result. CLASSICAL DC TRANSPORT .62 CHAPTER 2.38) and using the equality ([v × H]H) = 0 we get µ µ α ([v × H]E) + γ (HE)(vH) − H 2 (vE) c c +α(vE) + β(vH) + γ(v[H × E])} = eτtr (vE) ∂f0 ∂ε Then we can collect the coeﬃcients at (vE).h. We have ∂f0 µ α − γ H 2 = eτtr (vE) .. we get σz z = σ0 .40) 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]. k For an isotopic spectrum. c µ α + γ = 0. The conductivity tensor is easily calculated from the expression ji = −e 2d3 p vi (2π¯ )3 h vk Gk .38) in the form G = αE + βH + γ[H × E] . Substitution this form to (2. c ∂ε µ γ (HE) + β = 0 . (vH) and (v[H × E]). of the Boltzmann equation can be written as ∂f ∂t1 ∂f ∂pz ∂f ∂ε ∂f ∂f ∂f + + ≈ − eEz − e(vE) ∂t1 ∂t ∂pz ∂t ∂ε ∂t ∂t1 ∂pz ∂ε ..
ωc = − eH . pz . 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 1. To make estimates we use the relaxation time approximation to get ∂a a + = −e (v(t1 )E) . we search the solution as ∂f0 f = f0 + a − . ∂t1 (2.7). ∂t1 τ The general solution is t1 (2. We need to analyze the solution of this equation in diﬀerent cases. ε as independent variables. If the spectrum is isotropic. 63 where we consider the quantities t1 . k are x.42) We should solve this equation with the boundary conditions.AND THERMOMAGNETIC . k dpz dt1 vi (t1 ) −∞ dt2 We see that the conductivity is the tensor with the components σik = − 2e3 H (2π¯ )3 c h dε − ∂f0 ∂ε pF −pF dpz T 0 t1 dt1 vi (t1 ) −∞ dt2 k vk (t2 )e−(t1 −t2 )/τ .2. t) = vk (t2 )e−(t1 −t2 )/τ Ek . GALVANO. In the case of closed orbits it is just the periodicity while for open orbits the function should be ﬁnite. As usual. vx = v⊥ cos ωc t1. ycomponents. The electric current is ji = −e =− 2e3 H (2π¯ )3 c h vi f (dp) = − dε − ∂f0 ∂ε 2e2 H (2π¯ )3 c h pF −pF dε − T 0 ∂f0 ∂ε t1 dpz dt1 vi a(ε. Now we can extract v⊥ and analyze Ix Iy = 0 T vy = −v⊥ sin ωc t1.8. .43) a(t1 ) = c −e (v(t2 )E) e−(t1 −t2 )/τ dt2 . and we get in the linear approximation ∂a − I(a) = −e(vE). Now we assume that E ⊥ H and i. ∂ε The function f0 depends only on the energy. mc dt1 cos ωc t1 − sin ωc t1 t1 −∞ dt2 e−(t1 −t2 )/τ (Ex cos ωc t2 − Ey sin ωc t1 ) . pz ..
. we come to the integral Ix Iy = 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 ) . Finally we get jx jy =− 2e3 H T (2π¯ )3 c 2 h dε − ∂f0 ∂ε 1 −2 + ω 2 τ c τ −1 Ex + ωc Ey −ωc Ex + τ −1 Ey 2 dpz v⊥ .. (2. the last integral being pF −pF 2 v⊥ dpz = 1 m2 pF −pF (p2 − p2 ) dpz = F z τ −1 ωc −ωc τ −1 4 p2 F . I n general jx = σxx Ex + σxy Ey . CLASSICAL DC TRANSPORT . jy = σyx Ex + σyy Ey .7). 3 m2 The ﬁnal result is 2 1 ← = ne e → σ ⊥ −2 + ω 2 m τ c . Weak Magnetic Field In weak magnetic ﬁelds. 2 + ωc T 0 Finally. (2.44) . For degenerate electrons the integral over the energy locates the internal integral to the Fermi surface. We have used the integrals T 0 cos2 ωc t dt = 0T sin2 ωc t dt = T 0 cos ωc t sin ωc t dt = 0. when ωc τ we get ← =σ → σ ⊥ 0 1 ωc τ −ωc τ 1 .64 CHAPTER 2. T 2 . 1 The typical conﬁguration to measure ofdiagonal components of the conductivity tensor is shown in Fig. It is convenient to employ an auxiliary integral t1 −∞ 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 ) .
directions. As a result. . The resistivity component ρxx = 1/σ0 in a weak ﬁeld because σxy  σxx .2. The Hall coeﬃcient is deﬁned as Ey σxy R= =− 2 . (2. σxx σxy Ex σxx (2.. GALVANO. It is not the case in real materials because we have canceled the factor τ which in real life depends on the energy. In nondegenerate semiconductors the Hall coeﬃcient becomes dependent on the scattering mechanisms. 2 Hjx (σxx + σxy )H As we see. Usually.8. at weak magnetic ﬁeld R=− ωc τ 1 = . If the circuit in ydirection is open we have jy = 0. etc. a ﬁeld Ey = − appears.AND THERMOMAGNETIC . it is taken into account by introduction the Hall factor in Eq.45) 2 σxx Creation of a transverse ﬁeld directed along [E × H] is called the Hall eﬀect. the current density being j = jx = ρxx Ex = We have taken into account that σxx = σyy .46). σxy j. Thus.46) We came to the conclusion that the Hall coeﬃcient depends only on the electron density. 65 Figure 2. Hσo ne ec (2.7: Arrangement to measure oﬀdiagonal conductivity components. Ey = − σxy = −σyx . . 2 + σxy 2 2 σxx + σxy Ex .
66 CHAPTER 2. Let us calculate. a0 = C0 . The solutions are: t1 a1 = ak = 0 t1 0 [I(C0 ) − e (v(t2 )E)] dt2 + C1 .. a1 = c H t1 0 dpy e = vx H. Now it is very simple to calculate σxy . We have jx = 2He2 (2π¯ )3 c h dpz T 0 vx (t1 )a1 dt1 = 2e (2π¯ )3 h dpz T 0 a(t1 ) dpy dt1 = dt1 .47) dt2 Ey dpx dpy − Ex dt2 dt2 −e t1 0 dt2 vz (t2 )Ez + const(v. Closed Orbits.42) ∂a0 ∂t1 ∂a1 ∂t1 ∂a2 ∂t1 = 0. expansion in power of γ = (ωc τ )−1 . and C0 depends only on vz Ez . We write the function a as a= k ak . . . .e. High Magnetic Field. dt c (2. First. In this case vx = vy = 0. ak ∼ γ k and substitute the Boltzmann equation (2. The results obtained above can be used to get estimates also in the case of high magnetic ﬁelds. Now we can calculate the conductivity tensor. [I(ak−1 ) − e (v(t2 )E)] dt2 + Ck . jx for the Fermi gas. Then we average all the equations over the time taking into account that ∂a/∂t1 = 0. −I(a0 ) = −e(vE). we introduce a speciﬁc perturbation theory to solve the Boltzmann equation in strong magnetic ﬁelds. These equations determine the constant items Ci . CLASSICAL DC TRANSPORT . we are interested in a1 and we can substitute dpx e = − vy H. − I(a1 ) = 0. I(ak=0 ) = 0. As a result.. say. dt c As a result. − I(a0 ) = −e(vE). Consequently. i. But we will make more rigorous calculations because many results can be obtained for an arbitrary energy spectrum.
AND THERMOMAGNETIC . Finally. Actually. The case of open orbits is more tricky. It is clear that the trajectory in pz direction is inﬁnite while in py direction it is ﬁnite.. . It is very important that the result is independent on scattering mechanisms and the shape of the surfaces ε = const. T1 →∞ eH T1 vx = 0. = The result is σxy = 2ec (2π¯ )3 H h 67 c dpy + vanishing items. 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.47) we get vy = − c px (T1 ) − px (0) lim = 0. To understand what happens let us consider the case shown in Fig. ρik = γ byx bzx bzy bzz The case of compensated materials with ne = nh (like Bi) needs a special treatment. 2.8. . H dt1 2e (2π¯ )3 h dpz T 0 dt1 (px (t1 ) − px (0)) Ey dpz T 0 y dt1 px dp1 = dt 2ec (2π¯ )3 H h dpz px dpy . Taking the average of the equations of motion (2. Another conclusion is that there is no linear in γ contributions to the diagonal components of the conductivity tensor. Under such a transform magnetic ﬁeld changes its sign). 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. GALVANO.2. 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 σ −1 is bxx γ −1 bxy bxz −1 byy byz . it the most common way to determine the carriers’ density. volume The result can be expressed through the densities of electronlike and holelike excitations: ec σxy = − H (ne − nh ). Open Orbits.8.
. 2 γ axx γaxy γaxz σik = γayx ayy ayz . all the kinetic coeﬃcients become tensors. we have 36 kinetic coeﬃcients which obey 15 Onsager relations. It is clear that 21 independent components lead to a very complicated picture and usually people study simplest cases.. For example.. CLASSICAL DC TRANSPORT .9. ThermoMagnetic Eﬀects.8 that the conductivity tensor strongly depends on the tilt angle of the magnetic ﬁeld. in an isotropic material in a weak magnetic ﬁeld one . It is clear that the temperature gradient also produces electric currents and magnetic ﬁeld leads to an oﬀdiagonal transport.68 CHAPTER 2. As a result. According T to the Onsager principle ρik (H) =ρki (−H). having a sharp crossover at θ → 0. γazx azy azz One can see from Fig. Πik (H) =T αki (−H). As a result. As we have seen these current are produced by the ”eﬀective force” ε−ζ T. Figure 2. 2. κik (H) =κki (−H). As a result. The schematic angular dependencies of the Hall coeﬃcient and transverse resistivity are shown in Fig. the quantity a0 has the component ∝ Ey and the component σyy is not small. Consequently. . 2.8: The case of open orbits.
2.9. SHUBNIKOVDE HAAS EFFECT
69
Figure 2.9: Crossover from closed to open orbits. can write
j =ρE+R [H × j] + α T + N [H × T ] , w − jζ = Πj+B [H × j] − κ T + L [H × T ] .
(2.48)
According to the Onsager principle, B = N T. The expressions (2.48) describe many eﬀects. For example, suppose that x T = 0, jy = 0, wy = 0, but jx = 0. In this case we get ∂T B = Hjx ∂y κ (the Ettingshausen eﬀect). Another eﬀect is creation of a ﬁeld Ey by the gradient ∂T /∂x (the Nernst eﬀect) Ey = N H(∂T /∂x). All these eﬀects have important applications. In high magnetic ﬁelds all the coeﬃcients become ﬁelddependent.
2.9
Shubnikovde Haas eﬀect
Oscillations similar to the de Haasvan Alphen eﬀect exist also for kinetic coeﬃcients. Although quantum transport is out of the scope of the present part of the course we will discuss the main picture. Kinetic coeﬃcients depend both on the density of states and on the scattering probability. We have have seen that DOS oscillated because of the energy quantization. The scattering probability, in its term, is also dependent on the density of states, as well on the scattering matrix element. Consequently, it also oscillates in magnetic ﬁeld, and it appears that the last contribution is the most important. The quantum oscillations of conductivity is called the Shubnikovde Haas eﬀect. Similar oscillations are also present for thermo.magnetic coeﬃcients. Quantum oscillations of kinetic coeﬃcients are widely used for investigation of the properties of metals and semiconductors.
70
CHAPTER 2. CLASSICAL DC TRANSPORT ...
Let us outline main principles of these eﬀects. To take the electric ﬁeld into account one should analyze the SE in crossed electric and magnetic ﬁeld (H z, E x) h2 ∂ 2 ψ ¯ 1 − + 2 2m ∂x 2m h ∂ ¯ e + Hx i ∂y c
2
ψ−
h2 ∂ 2 ψ ¯ + (eEx − ε)ψ = 0. 2m ∂z 2
We can also search the solution as ϕ(x) exp(iky y + ikz z). The equation for ϕ has the form h2 d2 ϕ 1 eH ¯ − + 2m dx2 2m c
2 2 h2 (ky + kz) ¯ 2 heH ¯ 2 x + ky + eE x + − ε ϕ = 0. mc 2m
The result can be expressed just in the same way as for the case E = 0 with the additional terms h 2 kz ¯ 2 mc2 E 2 εE = εN + + δε, δε = −a2 eEky − ν H 2m 2 H for the energy and eEa2 H xE = x0 + δx0 , δx0 = − . 0 hωc ¯ for the oscillator center x0 (see Sec. 3.7.2). Now we introduce the following concept. Assume that the electron in the state ν is is situated at the point xE . The electric current is 0 jx = −e
ν,ν E E f0 (εE ) 1 − f0 (εE ) Wνν − f0 (εE ) 1 − f0 (εE ) Wν ν . ν ν ν ν
The prime over the sum means that the state ν has xE < 0, while the state ν has xE > 0. 0 0 Then we expand the expression up to the linear in E term and get σxx = e2
ν,ν
−
∂f0 (εν ) ∂εv
(x0 − x0 )2 Wνν . 2
This formula has an explicit physical meaning. Indeed, the quantity (x0 − x0 )2 Wνν 2 is just the contribution of the states ν, ν to the 2D diﬀusion coeﬃcient in the plane (x, y). thus we come to the old formula σ = e2 dε g(ε) D(ε) − ∂f0 ∂ε
2.10. RESPONSE TO “SLOW” PERTURBATIONS where both g(ε) and D(ε) should be calculated with the help of quantum mechanics: g(ε) =
ν
71
δ(ε − εν ),
D(ε) =
1 (x0 − x0 )2 δ(ε − εν ) Wνν . g(ε) ν,ν 2
One can see that the result is strongly dependent on the scattering mechanism and oscillates in the case of the Fermi statistics.
2.10
Response to “slow” perturbations
In this section we will discuss electron response to lowfrequency perturbation which vary slowly in space. Consider electron gas in a weak ac electric ﬁeld E(r, t). Let us separate odd and even in p parts of the electron distribution function, f (p) = f + (p) + f − (p) , f ± (−p) = ±f ± (p) .
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. Indeed, 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. Assuming that inelastic processes are weak, we leave in the equation for f − only elastic processes in the collision operator. As a result, ∂f − ∂f − ∂f + f − +v + eE + = 0. ∂t ∂r ∂p τtr (2.49)
Such a procedure is not correct for f + because the main part of f + depends only on the electron energy. Thus one has to write ∂f + ∂f + ∂f − +v + eE + I{f + } = 0 , ∂t ∂r ∂p where the collision operator includes inelastic processes. Now let us assume ωτtr and solve Eq. (2.49), f − (p) = −τtr v ∂f + ∂f + − eτtr E , ∂r ∂p (2.51) 1, q 1 (2.50)
72
CHAPTER 2. CLASSICAL DC TRANSPORT ...
then substitute into Eq. 2.50 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. ¯
Neglecting this diﬀerence we arrive at the following equation for F ( ). ∂F1 ∂ 2 F1 ∂Ek ∂f0 − Dik ( ) + I{F1 } = eDik ( ) . ∂t ∂xi ∂xk ∂xi ∂ Here we have introduced F1 = F ( ) − f0 ( ) and Dik = vi τtr vk . The typical estimate for the third term in Eq. 2.50 is F1 /τin where τin is the inelastic relaxation time. Thus the solution of Eq. (2.52) depends on the dimensionless quantities ωτin , q 2 Dτin . (2.52)
Because usually in semiconductors at low temperatures τin these quantities can be large even at ωτtr , q Very low frequancies, ωτin , q 2 Dτin 1. τtr 1.
In this case the third term in l.h.s. of Eq 2.52 is most important and one has to vanish this term. That can be done assuming that F1 ( , r, t) ∝ f0 ( ) = A(r, t)f0 ( ) . Multiplying this equation by the density of states g( ) and integrating over the energies we get A(r, t) = n(r, t)/n0 . Here n(r, t) is the time and position dependent electron density. In this way (in the isotropic case) we get ∂n ∂2n ∂Ex ∂n0 − D 2 = eD − . (2.53) ∂t ∂x ∂x ∂ζ Here ζ is the chemical potential while Dik = 1 n0 d g( ) f0 ( )Dik ( ) .
Moving all the terms into l.h.s. we get instead of Eq. 2.53 ∂n 1 ∂ ∂n ∂n + −eD + e2 D Ex = 0 . ∂t e ∂x ∂x ∂ζ (2.54)
2.10. RESPONSE TO “SLOW” PERTURBATIONS This is nothing else than the charge conservation law e Indeed, due to Einstein relation ∂n0 ∂ζ we have a usual expression for the current density’ σ = e2 D jx = σEx − eD We conclude that at ωτin 1, q 2 τtr τin 1 ∂n . ∂x ∂n + div j = 0 . ∂t
73
one can employ very simple diﬀusion description of the response. In the end of this section let us obtain a simpliﬁed expression for dielectric function at low frequencies. Let us assume that one applies an external ﬁeld with the electrical induction De exp(iqx − iωt) + h.c. Then all the quantities are ∝ exp(iqx − iωt), and one obtains j = −iq(eDn + σφ) , the charge conservation law being (−iω + q 2 D)n + e−1 q 2 σφ = 0 . (2.56) (2.55)
Here n, and φ are Fourier components of the concentration and the potential, respectively. To relate the potential φ to the external ﬁeld one has to employ Poisson equation iqD = 4πen , We get
0q 2
D = −i 0 qφ + De .
φ + iqDe = 4πen .
Now we can substitute n from Eq. (2.56) as n=− to get q2φ Here τm ≡
0 /4πσ 0
1 q2σ φ e q 2 D − iω
−iω + q 2 D + 1/τm = −iqDe . −iω + q 2 D
74
CHAPTER 2. CLASSICAL DC TRANSPORT ...
is the well known Maxwell relaxation time. Having in mind that E = −iqφ and E = De / (q, ω) we get −iω + q 2 D + 1/τm (q, ω) = 0 . (2.57) −iω + q 2 D As ω → 0 q 2 + κ2 (q, 0) = 0 q2 where 4πσ 4πe2 ∂n0 κ2 = = ∂ζ 0D 0 is the square of inverse static screening length.
2.11
“Hot” electrons
Now let us come back to the static case and discuss the diﬀerence between the function F ( ) and the equilibrium function f0 ( ). For this case let us calculate the second approximation in the electric ﬁeld. Using (2.51) for the spatially uniform case we get eE ∂f − + I{f + − f0 } = 0 . ∂p
Now we can average this equation over the constant energy surface, eE ∂f − ∂p + I{f + − f0 }
e
= 0.
Substituting f − from (2.51) 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.
(2.58)
The ﬁrst item in l.h.s. has a meaning of the power transferred from the ﬁeld to the electrons with a given energy . The second term is the relaxation rate for the isotropic part of the nonequilibrium distribution function. Let us calculate the relaxation rate of the power transferred from the ﬁeld to the electrons with a given energy. We have I{F ( )}
e
=
1 g( )
(dp) (dp ) δ( −
p ) [Wpp
F ( p ) − Wp p F (
p
)] .
Let us replace p → p and take a symmetric combination of the expressions. We get I{F ( )} = 1 2g( ) (dp) (dp ) [δ( −
p)
− δ( −
p
)]
Expanding also the distribution function we get ﬁnally I{F ( )} = − Here 1 1 = τ() g( ) (dp) (dp ) δ( − p )Wpp p 1 ∂ kT g( ) g( ) ∂ τ 1 + kT ∂ ∂ F( ).59) − kT p 2 (2. (2.2. “HOT” ELECTRONS × [Wpp F ( p ) − Wp p F ( p )] 1 ∂ ≈ (dp) (dp ) ( p − p ) δ( − 2g( ) ∂ × [Wpp F ( p ) − Wp p F ( p )] . 2τ x dx dx (2. scattering by acoustic phonons is a quasielastic process.61) = kT ms2 1. Thus. Then let us take into account that Wp p = Wpp exp p 75 p) − kT p and expand it up to the ﬁrst order in the energy diﬀerence. . Wp p = Wpp 1 + p − kT p . Substituting the transition probability for the case of deformationalpotential scattering one can rewrite the collision operator through a dimensionless variable x = /kT .11.60) has a meaning of the energy relaxation rate. √ I{F ( )} = − where π 3/2 h4 ρ ¯ √ τ = √ . 4 2Λm5/2 kT The typical ratio τ = τtr kT √ s mkT 2 π 1 d 2 d √ x 1+ F (x) . Energy relaxation rate for electronphonon scattering To give an example let us discuss the energy relaxation rate for electronphonon collisions.
. (2. In many cases electronelectron scattering is very much important. It has a transparent physical meaning. We arrive at the qualitative picture of heating shown in Fig. However. ξ + hξ 3/2+s A the constant A being determined from the normalization condition n = kT g(kT ) √ dx x F (x) . We have dF hxs+1/2 + x2 + x2 F = constant = 0 .62) is the socalled heating parameter. (2. (2. To take it into account one has to add the proper collision operator. 2.63) dx Indeed. (2. CLASSICAL DC TRANSPORT .58). The general solution of Eq.. σ = e2 n0 D/kT . Nonequilibrium distribution function Now we can substitute the expression for collision operator into Eq. Having in mind Einstein relation for nondegenerate electron gas. at large x the function F must vanish as well as its derivative. Te . n0 kT that is as the ratio of the energy absorbed during the relaxation time to the average energy.76 CHAPTER 2. Assuming τtr ( ) = τtr (kT ) · xs we get 1 d dF d √ hxs+3/2 + x2 1 + F x dx dx dx Here 2 e2 Ei Ek Dik (kT )τ h≡ √ π (kT )2 = 0. we can express h as h∼ σE 2 τ .63) is x ξ2 dξ 2 F (x) = exp − . they redistribute electrons between diﬀerent energy levels leading to establishment of the Maxwell distribution with some eﬀective temperature.10 If τee τ one can think that the distribution function is ∝ exp(− /kTe ) and substitute F (x) ∝ exp − T x Te . Electronelectron collisions do not remove the energy form the electronic system.
10: Schematic representation of the carrier energy balance. to the socalled “overshoot”).64) by the dimensionless “energy” x.63). One .254. i.2. (2. the ionization energy of shallow impurities in Ge is about 10−2 eV.12. (2. Indeed.11. 2. multiply Eq. x = (Te /T )y and making integration over y we obtain the equation for θ ≡ Te /T Γ(s + 7/2) θ − hθs−1/2 − 1 = 0. as well a to a speciﬁc time response (e.64) To determine Te one can use the energy balance. IMPACT IONIZATION 77 Figure 2. Te Te (2. and the breakdown occurs at the ﬁelds of few V/cm. (2. It leads to important limitations in electron mobility. At large ﬁelds (E ≥ 105 V/cm) this assumption breaks down. g. 2. Electron heating is important in many devices.65) Γ(4) For example.12 I − V curves of nGe are shown in the temperature range 4. and then solve the equation for the ratio T /Te . into Eq. The most common is impact ionization of shallow impurities where the critical ﬁeld is very low. We get x2 − (hxs+3/2 + x2 ) T T exp − x = 0 .e. integrate over x. Introducing new variable as. 2. at s = 1/2 Te /T = 1 + h .2 K. In Fig. A typical process of bandtoband impact ionization is shown in Fig.12 Impact ionization We have assumed earlier that the charge carrier remains in the same band.
(2.11: The impact ionization process where a high energy electron scatters from a valence band electron producing 2 conduction band electrons and a a hole. The concentrations of neutral acceptors and holes are assumed to be negligible.13 where the reciprocal Hall coeﬃcient and Hall mobility are shown. BT (T. Figure 2. This term is not important at small n. NA + n is the concentration of ionized donors and ND − (NA + n) is the concentration of neutral donors. E) is the coeﬃcient for the Auger process in which two electrons collide at an ionized donor. one being captured with the other taking the excess energy. At small n NA we obtain for the steady state concentration n0 = AT (ND − NA ) . Eb . 2.. BT NA − AI (ND − NA ) At a proper electric ﬁeld. . The decrease of Hall mobility is due to crossover to lattice scattering from the impurity one as the electron energy increases. CLASSICAL DC TRANSPORT .66) Here AT and AI are the coeﬃcients for thermal and impact ionization processes. Eb )NA = AI (Eb )(ND − NA ) . To understand the formula above note that ND − NA is the concentration of uncompensated donors. 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. clearly observed a threshold in the current which is masked at large temperatures as the impurities become ionized. this is just the breakdown point.78 CHAPTER 2. It can be found from the expression BT (T. the denominator vanishes. while BI (T. 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) .
12: Currentvoltage curves of nGe at low temperatures. Such a assumption is based on the belief that phonons have eﬃcient enough scattering which brings them to the equilibrium. Impact breakdown is often accompanied my instabilities of I − V curves.13. it is the case when a temperature gradient exists. AT (ND − NA ) so the recovery from breakdown must be exponential.2. In most of our consideration we have assumed the phonon distribution to be equilibrium. Actually. To analyze the phonon kinetics one can . dt τ n0 . In particular.66) can be rewritten as − dn n − n0 = . phonon system form a thermal bath for electrons. At the same time.13 Few Words About Phonon Kinetics. FEW WORDS ABOUT PHONON KINETICS. phonon distribution can be nonequilibrium. 79 Figure 2. (2. 2. τ= then Eq. it has been studied experimentally. it depends only on the degree of compensation NA /ND . the temperature T is just the temperature of the phonon system. If one deﬁnes a time constant. Consequently.
2 × 1014 cm−3 ).13: Impact ionization at low temperatures in nGe doped by Sb (ND − NA = 2. investigate the Boltzmann equation for phonons ∂N ∂N + sg = Iph (N. τU ∝ exp(Θ/T )). Usually it is the Rayleigh scattering (scattering by imperfections with the size less than the wave length. Indeed. Consequently. • Scattering phonons by electrons. f ). phonon ﬂux transfers the energy and this contribution in many cases is the . Figure 2. Probably most important phenomenon is phonon contribution to thermal conductivity. Their −1 −1 frequency and temperature dependencies are diﬀerent (τN ∝ T ω.80 CHAPTER 2.. The most important of them are • Phononphonon processes. All these processes make the phonon physics rather complicated. τ −1 ∝ ω 4 ). ∂t ∂r sg ≡ ∂ω ∂q where the collision integral is determined by the scattering processes. • Scattering by static defects. Scattering processes could be normal (N) or Umklapp ones.. along with the scattering processes (2 → 2) there are processes (2 → 1) and (1 → 2). We are not going to discuss it in detail. These processes are rather complicated in comparison with the electronelectron ones because the number of phonons does not conserve. as well as extrapolated Ohm’s law. The current density. CLASSICAL DC TRANSPORT . Rather we restrict ourselves with few comments. reciprocal Hall coeﬃcient and Hall mobility are shown.
It is the case in many devices of modern electronics.2. 1. As we have discussed. Dph (ω) = 2. at low temperatures the phonon mean free path becomes of the order of the sample size. As a result. In very clean materials. Nprocesses cannot lead to ﬁnite thermal conductivity and one take into account defect scattering.2 Assume that that the electrons obey Boltzmann statistics. f0 (ε) = exp ζ −ε T . the kinetics becomes rather complicated and very interesting. the impurity scattering appears ineﬀective both for phonons and electrons. τph . π 2 h3 ¯ 1. Derive the Drude formula (2.14 Problems p2 p2 p2 x + y + z 2mx 2my 2mz 1.1. In this case at low temperatures (when Umklapp processes are not important) electron and phonon systems strongly interact (electronphonon drag). σ= from the expression σ = e2 D( F )g( F ) . and boundary scattering appears very important. If one introduced the phonon transport relaxation time. PROBLEMS 81 most important. Nevertheless. the phonon thermal conductivity increases with the decrease of the temperature.16). Find the cyclotron eﬀective mass and compare it with the densityofstates eﬀective mass deﬁned as √ 3/2 1/2 2md ε g(ε) = . Usually.0 An electron with a energy spectrum ε(p) = is placed into a magnetic ﬁeld parallel to zaxis. ne2 τtr . m . The result is κph = where dω hω gph (ω) Dph (ω) ¯ ∂Nω ∂T 1 sg I −1 sg ω 3 is the phonon diﬀusion coeﬃcient.14. or Umklappprocesses. the phonon contribution can be derived in the same way as for electrons.
ϕ= 1.8. . CLASSICAL DC TRANSPORT . Derive the expression (2. 1.57) ﬁnd imaginary part of 1/ (q. r 1. ∂ε 1 + µ2 H 2 /c2 Use this expression to calculate the conductivity tensor.4. 1.22) for the screened Coulomb potential. 1.23). ω) which is responsible for damping of the wave of electrical polarization.82 and that CHAPTER 2. τtr (ε. e2 / W (θ) = 4πni v 2 2ε(1 − cos θ) + h2 /2mrs ¯ 2 Ze −r/rs e ..5.. 1.3 Compare thermopower α = η/σ for degenerate and nondegenerate electron gas. T ) = τ0 (T )(ε/kT )r . T ) = τ0 (T )(ε/kT )r ﬁnd the expressions for Drude conductance at ωτ0 1 and ωτ0 1.6. T ) ∝ εr . Derive the expression (2. Expressing the transport relaxation time as τtr (ε. Using the expression (2. Using the WiedemannFranz law Compare the coeﬃcients κ and β for a typical metal. Assume τtr (ε.7 Derive the expression for the solution of the Boltzmann equation G = eτtr ∂f0 E + (µ/c)2 (HE)H + (µ/c)[EH] .
c ∂t c As a starting point we assume that j = σE and consider the arrangement shown in Fig. 3. c −iqHz = 83 4π σEy .1: Arrangement for the calculation of the skineﬀect. exp [i(qx − ωt)] . 3. H z. We get the following equations ω iqEy = i Hz . The Maxwell equations read 1 ∂H 4π curl E = − .1: E y. Assume that the sample is placed in an external ac electromagnetic ﬁeld. Normal Skin Eﬀect.Chapter 3 Electrodynamics of Metals In this Chapter we discuss ac properties of metals.1 Skin Eﬀect. c . Let all the ﬁelds be proportional to Figure 3. the propagation direction is x. curl H = j.
The active (R) and reactive (X) components can be measured by monitoring the amplitude and phase of the reﬂected wave. So the skin depth decreases (at least at high frequencies). 3. Using the Maxwell equations we can rewrite Z= Substituting (3. (θ ≈ π/2). The eﬀective density of electrons is neﬀ ∼ ne dΩ/4π ∼ ne δ/ . The part R is responsible for the heating of the metal (surface quenching). the penetration depth being δ= 1 c =√ . this expression can be valid only if all the ﬁelds change slowly at the scale of . Indeed.1) Usually the surface impedance is introduced as a sheet resistance of a surface layer Z = Ey (0)/ ∞ 0 jy dx ≡ R − iX. Finally. Introducing the spherical coordinate system with the polar axis along x we estimate dθ ∼ δ/ . one can face the violation of the simple expression j = σE we have employed. ELECTRODYNAMICS OF METALS 4πiωσ/c2 = (1 + i) 2πωσ/c2 = q1 + iq2 .2.1) in more detail.1) we get R=X= 2πω . Now we consider the case δ that leads to the anomalous skin eﬀect (London.84 Combining these equations we get q 2 = 4πiωσ/c2 → q = CHAPTER 3. Only the electrons with small component vx contribute the interaction with the ﬁeld (the other ones spend very small part of time within the region where the ﬁeld is present). We see that the wave dumps in the metal. . At low temperatures σ increases and in clean metals it can be large. 1940). and the solid angle element being dΩ ∼ 2π sin θ dθ ≈ 2πδ/ . ∞ −(c/4π)Hz 0 c Hz (0) c q Anomalous Skin Eﬀect. The picture of the fragment of the electron orbit near the surface is shown in Fig. Let us consider the expression (3. σc2 Ey (0) 4π Ey (0) 4π ω = = 2 . q2 2πωσ (3. the mean free path increases with the decrease of the temperature. On the other hand.
This estimate means that the quantity i/q plays the role of the eﬀective mean free path. we come to the conclusion that the eﬀective conductivity should also contain the factor ∼ δ/ . It is important that the conductivity σ0 enters only in the combination σ0 / which is determined only by the electron spectrum. (3. while the complex coeﬃcient cannot be determined by these simple considerations.2: On the anomalous skineﬀect.1.3. 85 Figure 3. So.3.1) q= Consequently. The typical √ dependence of the surface conductance R on σ0 is shown in Fig. (3. This dependence is conﬁrmed by the experiment. X = R 3. SKIN EFFECT. It can be shown by exact calculation that σeﬀ = σ0 ib q where q is the wave vector while b ∼ 1.3) πω c2 2/3 1/3 σ0 (1 − √ 3). Now we can use the expression q= and get (Problem 2. 3. . 1 2 =√ δ= Im q 3 The surface impedance could be found as 4πω 2 Z= 2 = cq b 1/3 4πiωσeﬀ /c2 1/3 4πωσ0 b c2 eiπ/3 .2) c2 4πσω0 b 1/3 . √ We get: Z ∝ ω 2/3 .
. It is clear that the resonance condition depends on the orbit shape and one can study the latter observing the resonance.3: Dependence of the surface conductance on the bulk conductivity. Finally. This is the source of the cyclotron resonance in metals (Azbel. In this case electrons move along helicoidal lines. let us estimate the border between the normal skin eﬀect and the anomalous one. the projection to x. 1956). yplane being shown in the picture. From the criterion δ ≈ we get ω ∼ c2 pF /(2πne e2 3 ).86 CHAPTER 3. If the frequency ω of the external electromagnetic ﬁeld is high and the temperature is low the condition δ rc is also met. Kaner. For ∼ 10−3 m we get ω ∼ 107 s−1 .4. 3. For ne ∼ 1022 cm−3 . ELECTRODYNAMICS OF METALS Figure 3.2 Cyclotron Resonance Now we consider the case where an external magnetic ﬁeld is also applied. pF ∼ 10−19 g·cm/s we get ω ∼ 10−2 −3 . To understand the physical picture let us look at Fig. We do not demonstrate here quite complicated procedure of solution of the Boltzmann equation. Assume that the ﬁeld is strong enough and rc . We understand that if the frequency ω equals to ωc the returning electrons are each time accelerated by the electromagnetic ﬁeld. s−1 where is measured in cm. 3. 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.
p ∂f0 ∂ε v(t3 ) dt3 . 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. ∂t ∂t1 ∂r ∂pz ∂ε τ It is important that the relaxation time approximation is exact in this case. To estimate the eﬀect we write down the nonstationary Boltzmann equation ∂f ∂f ∂f ∂f ∂f f − f0 + +v − eEz − e(vE) =− . Namely. It corresponds to the instant position of the electron which feels the ﬁeld E (r(ti )) . in this equation 1 = τ (p) As usual. we get the equation ∂a + (−iω + τ −1 )a = −ev(t1 )E (r(t1 )) ∂t1 . As a result. we can write dx dy da dt1 = = = .3. CYCLOTRON RESONANCE 87 Figure 3. ∂t1 ∂r Now we remember the characteristic method to solve partial diﬀerential equations. we put f = f0 + a − and get ∂a ∂a + (−iω + τ −1 )a + v = −e(vE).4: On the cyclotron resonance in metals.2. Consequently. vx vy −e(vE)−(−iω + τ −1 )a The ﬁrst two equations give the electron trajectory r(t2 ) − r(t1 ) = t2 t1 Wp.p δ(εp − εp ).
If we introduce the maximal angle ϕm for Figure 3. As we have seen.4. As a result.1 It is important. they produce a background current. eﬀective interaction region.4) splits into the sum of The electrons which touch the surface are not important for the resonance. Rather we will make the orderofmagnitude estimates. Consider the orbit depicted in Fig. if the orbit does not touch the surface one can put c = −∞. −∞ in Eq.4) This is the general formula and we need to specify all the dependencies. or rc ϕ2 ∼ δ m → ϕm ∼ δ . the duration time being 2rc ϕm /vy . We will not do all the calculations. 3. 1 . (3. rc The length of the orbit inside the skin layer is ≈ 2rc ϕm . ELECTRODYNAMICS OF METALS v(t2 )E (r(t2 )) exp (−iω + τ −1 )(t2 − t1 ) dt2 where the integration constant can be taken from the boundary conditions.88 The solution is a(r. t1 Now we come to the result for the current j i = e2 t1 (dsF ) vi k −∞ vk (t2 )Ek (r(t2 )) exp (−iω + τ −1 )(t2 − t1 ) dt2 .5: Surface orbits. This is very short period in comparison with the total time T =2π/ωc between successive t1 excursions to the interaction region. that we are interested in the function a at a given point r at the time t1 . So we should pick up the electrons with t2 r(t2 ) = r+ v(t3 ) dt3 . we get δ = rc (1 − cos ϕm ). (3.t1 ) = −e t1 c CHAPTER 3.
. Figure 3. v vy vK(ϕ) 1 − e−w Substituting the estimate for ϕm we get (σr )ik (ω. Now we can estimate the integral. ϕ). Finally. Finally. that the only diﬀerence between the contributions is the factors exp(−kw) where w = T (τ −1 − iω) while k = 1. 3. ϕ of the normal (see Fig. . ϕ) 2rc ϕm 1 .3. vy 1 − e−w where K(θ. the integral is proportional to (2rc ϕm /vy )(1 + e−w + e−2w + . So the integral over dθ is of the order of vx max /v or (vy /v)ϕm .6). H) ∼ 2e2 (2π¯ )3 h dϕ δ ni nk . we get ji ∼ 2e2 (2π¯ )3 h dϕ 2rc ϕm vy ϕm vi Vk Ek . 2.) = The remaining integral over the FS can be written as dSF → dΩ K(θ. . We see the important electrons move along the sample’s surface. where K(ϕ) ≡ K(π/2.6: The deﬁnition of the Gaussian curvature. after the integration over θ we get the contribution vy ϕm /vK(ϕ). R1(2) is the principal radius of curvature at the point with the direction θ.2. . −w K(ϕ) 1−e . It is important. ϕ) is the socalled Gaussian curvature which is just the product K = (R1 R2 )−1 . . CYCLOTRON RESONANCE 89 the contributions corresponding to each excursion. Picking up everything.
3. We have 2 µ∼ rc ϕm ∼ δrc 1. Most important are the ones shown in Fig.90 CHAPTER 3. and √ ϕm ϕm δrc σ s ∼ σ0 ∼ σ0 ∼ σ0 βµ ϕm µ σr . To estimate the corresponding contribution of these electrons we take into account that neﬀ ∼ ne ϕm ∼ ne δ/rc . we can put βµ ∼ /rc 1. Introducing α ≡ σr /σs 1 we write eﬀective conductivity as √ δrc (1 + α) σeﬀ ∼ σ0 and substitute it to the selfconsistent equation for the penetration depth (3. The result is 2/5 c2 1 1 δ∼ 1/5 ωσ0 rc (1 + α)2/5 and Z∼ ωδ ω ∼ 2 2 c c 3/5 2/5 −1 1 1/5 rc σ0 2 1− α . So. . The fraction β has also the estimate β ∼ ϕm for the surface with atomic roughness. ELECTRODYNAMICS OF METALS Here n ≡ v/v.2). This factor takes into account the momentum transfer to the surface. we see that if the factor (1 − e−w ) is of the order 1 σs proceed as follows. 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 .5. Now we should remember that there are electrons which reach the sample’s surface. But this result appears wrong because it does not take into account that there is ﬁnite fraction of diﬀusive scattering. for an estimate. One could write the usual estimate for the conductivity using the eﬀective number of electrons. In the absence of external magnetic ﬁeld w → ∞ and we return to the result σr (ω. Then we can As a result. 0) ∼ σ0 δ/ for the anomalous skineﬀect. 5 From this expression the ratio Zr ∼ Z δ ∼ rc c2 3 ωσ0 rc 1/5 1.
CYCLOTRON RESONANCE 91 Now we can estimate the resonant part in more detail.7. The complication is that ωc depends on ϕ. we can write down ω ωc = 1 + ∆ + b(ϕ − ϕ0 )2 k . It is the case for some magnetic ﬁeld Hk . To clarify the situation let us recall that ωc = eH/mc where 1 ∂S(pz .2. if ∆ ≡ (H − Hk )/Hk . i. The problem is that the eﬀective mass is not constant along this line because the energy spectrum is not quadratic. Suppose that we are near the kth resonance ω = kωext . only small fraction of the trajectories can be important. Figure 3.3. These points are connected by the dash line in Fig. Thus. ε) m(pz ) = . To do this we should analyze the integral 2π n n 1 i k 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. the ones near the sections with extreme eﬀective mass. where ωext = eH/mext c. 2π ∂ε F We are interested in the points where vx = 0. Usually the frequency is ﬁxed while people change the magnetic ﬁeld and monitor the absorption.e. 3.7: On the cyclotron resonance. So.
t) is determined by the electric ﬁeld in the vicinity of ˙ the point r and at previous times t1 < t t j(r. t) = dV1 −∞ dt1 σ(r − r1 . The integral being determined by the vicinity of ϕ0 . The integrals I are the same while one should take the (0) sum of the factors Bik (ϕ0 ) in both points (3 and 4).3 Time and Spatial Dispersion General Considerations In general.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 . ∆ < 0. At b < 0 We see that the result depends on the character of extreme (maximum or minimum). The integral I depends on the relation between the parameters ∆ and (ωτ )−1 .92 CHAPTER 3. At b > 0 √ −1 −i 2k ∆b . In this case. at the maximum the ratio Zr /Z acquires the extra large factor √ ωc τ . Z max rc This ratio could be in principle large but usually is rather small. ∆ < 0. t − t1 ) E(r1 . The √ resonant contribution is maximal at ∆ ∼ (ωτ )−1 : Imax ∼ (1/k) ωτ For k ∼ 1 it means √ Imax ∼ ωc τ . The procedure employed is valid at ωc τ 1. and √ δ Zr ∼ . In the opposite limiting case the oscillatory part of the impedance is exponentially small. −1 3. the current density j(r. √ −1 2k ∆b . ∆>0 . Consequently. ELECTRODYNAMICS OF METALS where the angle ϕ0 speciﬁes the direction for the extreme eﬀective mass. (ϕ − ϕ0 )2 . 3. + ∆/b − i/bωc τ ] In fact. I= i 2k ∆b 2k ∆b −1 . t1 ) . according to Fig. expanding e−w in powers of (ωc τ )−1 . and we get Bik = ni (ϕ0 )nk (ϕ0 ) K(ϕ0 ) ∞ −∞ 2πika [x2 dx (0) ≡ Bik (ϕ0 )I. ∆>0 I= . 3. A typical experimental picture is shown in Fig. In real metals there are many interesting manifestations of the cyclotron resonance corresponding to diﬀerent properties of FS.8.
After Fourier transform we get j(q. At v q¯. We see that σ⊥ (i. In 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 where ϑ is the angle between q and v. τ −1 . We see that there are 3 parameters with the dimension of frequency: q¯. ω → 0 we return to the expression for the static conductivity. for the direction perpendicular to q) strongly diﬀers from σ .8: Typical experimental picture of the cyclotron resonance. TIME AND SPATIAL DISPERSION 93 Figure 3. ω) should be analytical function of ω in the upper halfspace to keep the causality. ω) where σ(q. Indeed σ⊥ ∼ e 2 ∂f0 dε g(ε) − ∂ε sin ϑ dϑ dϕ v 2 sin2 ϑ cos2 ϕ ω πδ cos ϑ − 4π qv qv ∼ 3π σ0 . Making use of the Boltzmann equation in the relaxation time approximation we get σik (q. −1 i(qv − ω) + τ ∂ε In the case q → 0. ω v τ −1 we return to the static case. The case of strong spatial dispersion corresponds to q¯ v ω.e. ω) = e2 (dp) vi vk ∂f0 − . ω)E(q. ω) = σ(q.3. and τ −1 .3. ω. 4 q .
5) is the plasma frequency. ω)q 2 σ(q. ω) = 0. δne = −σ(q. let us consider longitudinal oscillations. ω)q 2 . ELECTRODYNAMICS OF METALS This result is connected to the estimates which have been made in concern with the anomalous skineﬀect. As a result. e[ω + iD(q. ω) Here we have denoted D(q. Then we can apply the continuity equation. τ −1 The limiting case is called the time dispersion one. −e ∂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 .ω)i(qE∗ ) = 0. ω) = (qE) . ω) e2 g T As a result. 4π −iω iωτ If we apply the Drude formula. ω) E = 0. Indeed. 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 the following dispersion law for the waves in a gas eﬀ = +i 4πσ(q. ω + iD(q. ω)q 2 ] σ 2 q (δne ) + σi(qE) = 0 egT and +i 4πσ(q. We get the Poisson equation div D = div E = −4πe(δne ). Here E∗ = − (ϕ − ζ/e) = E + (1/e)(∂ζ/∂ne ) we come to the equation for (δne ) ieω − Consequently. 4π ω 2 where ωp = 4πne e2 m (3. ω + iD(q. 2 + (qvτ )−2 2 qv (cos ϑ − ω/qv) (q )2 ω qv. This term is connected with the plasma oscillations is an electron gas. ∂t (δne ) = E + (egT )−1 iq(δne ). we get σ(ω) = i 2 ωp .94 CHAPTER 3.
3. As a result. and for important frequencies the inequality eﬀ (q. that the masses for electrons and ions are diﬀerent. ω) = + i ωi = is met.5) in powers of qv/ω and put ω = ωp we obtain the dispersion law for plasma waves (plasmons). ω)q 2 = − and come to the dispersion equation 1− 2 ωp 1 = 0. of the order of the sound velocity. 2 1 − (ω 2 /ω 2 )(qR)2 ω p 2 ωp 2 ω2 q = − p (qR)2 4πe2 gT ω ω 95 At qR 1 we get plasma oscillations.5) we get iD(q. ω ωp = 4πe2 m 1− 2 ωi R−2 + 2 ω2 q = 2 ω 2 (q 2 + R−2 ) − ωi q 2 ω2q2 or 2 ωq 1 1 q2 = 1+ 2 . one should remember.3. the static screening.e.e. In a quasi static limiting case ω qvF we get eﬀ = q 2 + R−2 q2 i. At the same time. The Jellium Model Now we introduce a very simple but instructive model of the electronion response to the external ﬁeld. the eﬀective dielectric function with respect to longitudinal perturbations has the form 4πσ(q. we obtain eﬀ (q. ω) . ω) has two parts . ω This expression is valid for both ions and electrons and one should sum the contributions to the conductivity. i. . This model is very useful to treat the nature of electronelectron interaction in superconductors. as well to make estimates. ω) 2 2 ωq = ω i q2 . (see Problem 2. We see that the eﬀective matrix elements of the electronelectron interaction 4πe2 /q 2 eﬀ (q. ω) = 4πZe2 M qvF .2). As we have seen in the previous subsection. If we expand the relation (3.Coulomb repulsion (1st term) and attraction for small frequencies. 2 q 2 + R−2 ω − ωq eﬀ (q. TIME AND SPATIAL DISPERSION Substituting (3. R−2 + q 2 For long waves. ωq ∼ ωi /R ∼ vF m/M .
6) Before starting our analysis let us specify the conductivity tensor. the dispersion equation simpliﬁes as 2 q 2 qz + 4πiωc−2 σxy 2 = 0.96 CHAPTER 3. Taking into account that qz = q cos θ we get ω= c2 q 2 cos θ cHq 2 cos θ = . The dispersion equation is det q 2 δik − qi qk − 4πiω σik = 0. To analyze the wave propagation one needs to solve the Maxwell equations which in the absence of the displacement current and for the ﬁelds proportional to exp(iqx − ωt) read as (Problem 2. 4πσxy  4πene − nh  . k (3. We came to the conclusion that in the absence of magnetic ﬁeld electromagnetic wave decays in the metal. Because the greatest 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 . As a result. mathrmoromega ωc .4 Electromagnetic Waves in High Magnetic Fields. the angle (q. ω ωc . ∂t1 If the FS is closed and the numbers of electrons and holes are not equal we get det 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 = 0. and one can use the static conductivity tensor. z)plane. Here we have assumed that the vector q is in the (y. z) being θ and have taken into account only the terms of 0th and 1st orders in (ωc τ )−1 . ω)Ek .3) q 2 δik − qi qk Ek = k 4πiω c2 σik (q. ELECTRODYNAMICS OF METALS 3. qrc 1 both time and spatial dispersion are unimportant. External magnetic ﬁeld changes drastically the situation because nondissipative oﬀ diagonal part or conductivity exceeds the diagonal one. The Boltzmann equation for the afunction has the form i(qv − ω) + τ −1 a + We see that if qvF . c2 (3.7) ∂a = −e(vE).
c2 . 2. Another approach is to study the interference between the electromagnetic wave and the wave which has passed through a thin plate. There are diﬀerent experimental methods to study electromagnetic excitations in metals. Changing magnetic ﬁeld people change the wavelength of the waves and it is possible to observe resonances when the sample’s thickness is the integer times the wavelength.6) we have Ez Ex . 3. PROBLEMS 97 According to the last row of the matrix (3. Derive the dispersion relation for electromagnetic waves in metals. det q 2 δik − qi qk − 4πiω σik = 0. Then from the ﬁrst row we get q 2 Ex − 4πiωc−2 σxy Ey = 0 → Ex = i cos θ Ey . Derive the equation (3.3).1.5 Problems c2 4πσω0 b 1/3 2.3. 1 2 δ= =√ Im q 3 2. One of them is measurements of the surface impedance in thin plates. So the wave is polarized elliptically. This wave is called the helicon.3.5. Derive the dispersion law for plasmons. Ey .2. There also wave of other kinds in metals in magnetic ﬁeld. .
98 CHAPTER 3. ELECTRODYNAMICS OF METALS .
λ = while n = q/q) we obtain λik (p)ni ek . As a result.to induce an acoustic wave and measure its attenuation (or its velocity). The interaction between the acoustic waves and the electrons can be written as δε(p. e is the polarization vector of the wave. r) = [Λik (p)− Λik (p) F ] uik (r) ≡ λik (p)uik (r).1 Landau Attenuation. We see that it is possible to produce the eﬀective force varying as exp(iqr − ωt) and in such a way investigate the Fourier components of electronic response. 99 . 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. 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. 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). The main advantage is that acoustic wave propagate inside the conductors without suﬃcient damping.Chapter 4 Acoustical Properties of Metals and Semiconductors. There is the another useful approach to study highfrequency properties of good conductors . we get δε(p. 4. r) = Λik (p)uik (r) + eϕ(r) where the potential ϕ should be determined from the Poisson equation.
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.1) are important.100 CHAPTER 4. ˙ This expression should also be averaged over the period 2π/ω of the sound wave. Indeed.. The electrons with qv ≈ ω move in resonance with the wave and they feel a slow varying ﬁeld. F = F = 2ωq 2 g( F )λ2 u2 The most interesting case is the one of the socalled shotwave sound q 1 which can be met in pure conductors at low temperatures. Q Eac s . This average is calculated in a complex form A(t)B(t) = ω 2π (Ae−iωt + A∗ eiωt ) (Be−iωt + B ∗ eiωt ) = . 2 + τ −2 (qv − ω) qvF vF F As a result s . = AB ∗ + A∗ B = 2 Re (AB ∗ ). 2π/ω 0 So. = 2ωq 2 g( F )λ2 u2 Re (qv)τ −1 (qv − ω)2 + τ −2 (qv) i(qv − ω) + τ −1 .. In this case w see that only the electrons with qv ≈ ω → vq ≈ s (4. One can immediately express the absorbed power through the distribution function. This condition has a straightforward physical meaning: because vF s most of electrons feel rapidly oscillating ﬁeld produced by the acoustic wave. for Fermi electrons we obtain ¯ Q = 2g( F ) Re (−iωδε)∗ a F . the average interaction being small. ACOUSTICAL PROPERTIES. In the Landau damping region (qv)τ −1 ω s ≈π =π . The damping due to the resonant electrons is called the Landau damping. t)2 /2 = 2ρω 2 u2 . it has been analyzed at ﬁrst for plasma waves. vF Usually. Q= (dp) ε f = ˙ (dp) ε(p)a(p) − ˙ ∂f0 ∂ε = dε g(ε) − ∂f0 ∂ε ε(p)a(p) ε .
phases are equal An electron spends diﬀerent time near these planes. Indeed. we have proved that acoustic waves have relatively small damping. The coeﬃcient Γ characterizes spatial decay of the wave: ∂Eac = −ΓEac . the longest being near the points 1 and 2. 4.1: On the geometric oscillations. An electronic orbit is shown in Fig. 4. only small parts of the electron orbit in a magnetic ﬁled contributes to attenuation. only the electrons with v almost parallel to q are important. These points are the ones where the interaction is most important. ∂x Thus.1. To illustrate the situation we analyze the case q ⊥ H.2 Geometric Oscillations. . As a result.4. ωc τ 1. The short wave regime is very useful to study the Fermi surface. 101 For rough estimates we can put λ ∼ ρs2 ∼ M na s2 ∼ ne F. We get Γ= 2ωq 2 g( F )λ2 u2 π(s/vF ) g( F )λ2 s =π q .2. qrc 1. So π and Γ/q ∼ s/vF g( F )λ2 ∼1 ρs2 1. The dashed lined show the planes where wave’s Figure 4. GEOMETRIC OSCILLATIONS. 2ρω 2 u2 s ρs2 vF F.
2) Consequently. the diﬀerence p(2) − p(1) depends on pz . Quantum transport is out of the scope of this part of the course. The value of pz corresponding to the condition (4. On the other hand. Then. one can control the value of pz changing the propagation direction. Then. we will consider a very beautiful quantum eﬀect of giant oscillations of the sound absorption..2. ¯ ¯ ¯ ¯ z For realistic sound frequency this condition can be met only for N = N . y eH y Consequently. and we get pz = mω/qz = msq/qz = ms/ cos θ.2) is denoted as p. (4. in a quantizing magnetic ﬁeld the energy spectrum consists of the Landau bands ε(N. 4. from the equation of motion dpy e = Hvx dt c we obtain cq (2) ϕ= p − p(1) .102 CHAPTER 4. ACOUSTICAL PROPERTIES.. The eﬀect is more pronounced for open orbits. if the number of wavelengths at the orbit’s diameter is changed by an integer n the phase diﬀerence is changed by 2πn. The Landau bands are shown in Fig. the oscillations are relatively y y small (as in the case of the cyclotron resonance). the period being ∆ 1 H = 2πe 1 .3 Giant Quantum Oscillations. only the region near the FS (the layer of the thickness ∼ kB T ) contributes to the absorption. Now let us assume that a function is extreme for a given phase diﬀerence ϕ= t(2) t(1) (qv) dt. ¯ z The energymomentum conservation laws require εN + (pz + hqz )2 /2m = εN + p2 /2m → hωc (N − N ) + hpz qz /2m = hω. and genuine oscillations correspond to the y y extreme cross sections with respect to p(2) − p(1) . Let us direct the xaxis along q. 4. (2) cq py − p(1) y In fact. εN = hωc (N + 1/2). if ϕ 1 the afunction oscillates with magnetic ﬁeld. As a result. The geometric oscillations provide a very powerful way to measure diameters of the FS. As we know. pz ) = εN + p2 /2m. Nevertheless. the corresponding regions for pz are depicted by the numbers .
.3. The typical experimental picture is shown in Fig.2: Landau levels. As a result. 3.3: Giant oscillations of sound attenuation. If magnetic ﬁeld is changed the regions 1. Figure 4. 2. 4. q 1. in typical semicon In the previous section we discussed the case when q ductor materials and opposite inequality. 4. The giant oscillations provide a useful tool for investigation of the FS. the absorption is very small.4. the attenuation coeﬃcient Γ experiences giant oscillations. If the value p is outside these regions. 2. 1. However.4 Acoustical properties of semicondictors 1. ACOUSTICAL PROPERTIES OF SEMICONDICTORS 103 Figure 4. 3 move along the pz axis.4.
kl Ei ukl . so that E = − ϕ. Thus we can write j = σ0 E − eD (δn) where δn is the variation in the electron density. ρ ∂ 2 ui ∂σik = 2 ∂t ∂xk .kl ukl . D) − = F0 + ciklm uik ulm − 4π 2 8π ik Ei Ek σ0 ϕ. 4.6) Now we can substitute Eq.. is usually met. In the case of piezoelectric interaction. (4. According to general principles.kl describes the piezoelectric interaction. (4. D = E + 4πP where P is the polarization created by the acoustic wave.5) − 4πβi. E) ≡ F (T. (4. To get a quantitative description let us write the free energy deformed crystal (at ﬁxed electric ﬁeld E) as ED 1 1 ˜ F (T.km El .4. the second relation between δn and ϕ can be extracted from the Poisson equation div D = 4πe(δn) . ciklm is the socalled elastic moduli tensor while ∂uk 1 ∂ui + uik = 2 ∂xk ∂xi is the strain tensor. Tensor βi. This condition actually means that one can use a hydrodynamic approach which we used to describe response to “slow” perturbations. ACOUSTICAL PROPERTIES. the stress tensor is σik = The electric induction is Di = −4π ˜ ∂F ∂Ei = uik =const ik Ek ˜ ∂F ∂uik = ciklm ulm + βl. Here D is the electrical induction.104 CHAPTER 4. In the stationary state j = 0 and δn = − Here φ is the electrical potential. eD (4.3) + βi..5) into the elasticity equation.4) Here summation over repeated subscripts is assumed. E=const (4. The piezoelectric interaction mechanism is clariﬁed in Fig.
e As a result. For a traveling wave all the quantities should be proportional to ρ exp(iωt + iqx) .3) and the continuity equation. ∂δn + div j = 0 .7) 2 ∂t ∂xk ∂xk This equation should be solved together with the Poisson equation (4. 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 (4. to get ∂ 2 ui ∂ulm ∂El = ciklm + βl. (4.9) (4.8) e ∂t Now let us assume for simplicity that the wave is propagating along a principal axis of the crystal (axis x). and as a result a dipole moment appears. Thus the continuity equation can be written as σ 2 q φ = 0.10) . Polarization P is just the dipole moment of unit volume.4. After deformation “center of gravities” of positive and negative triangle do not coincide.ik (4. ACOUSTICAL PROPERTIES OF SEMICONDICTORS 105 Figure 4.4: A plain ionic lattice without symmetry center.4.
R it describes overdamped electron density waves.12) (4.. so it describes usual acoustic waves propagating along (against) the xaxis.11) where q0 = ω/w = ω ρ/c. After some straightforward algebra the secular equation can be written as 2 q 2 − q0 1 + (qR)2 − iωτm = −χ . ACOUSTICAL PROPERTIES.13) Qualitative picture of such a dependence is straightforward . The 1st one yields 2 q 2 = q0 → q = ±q0 . where q1 characterizes the (amplitude) attenuation of the wave while the power attenuation is Γ = 2 q = 2 q1 . R= is the screening length. q1  q0 . Since usually χ 1 it is naturally to use an iteration procedure. q2 (qR)2 − iωτm (4. One easily obtains 2q1 (qR)2 − iωτm = −χ q0 1 + (qR)2 − iωτm to get Γ = χq0 (1 + ωτm 2 2 2 q0 R ) + (ωτm )2 .. the attenuation being proportional to . The 2nd one yields i√ q= 1 − iωτm .106 CHAPTER 4. τm = is the Maxwell relaxation time. A nontrivial solution of this set exists only is the determinant of the corresponding matrix vanishes. In the general case it is natural to look for the solution as q = q0 + q1 . If one puts chi = 0. then Eq.at low frequencies there is a compensation of electrical and diﬀusion current. (4. while χ= 4πβ 2 c 4πσ 4πe2 ∂n ∂ F −1/2 is the socalled piezoelectric coupling constant.11) is decoupled into two equations. (4.
Γ/Γ0 . 4. vd ≡ 1 ∂j e ∂n .5 Figure 4. At large frequencies the charge has no time to redistribute in the ﬁeld os acoustic wave.5 (curve 3). Frequency dependences of the absorption are shown in Fig. One can see that the dependence Γ vs. ω 2 . ω has a maximum at ω = ωmax = s/R . 4 (curve 2) and 0. on the reduced frequency. ACOUSTICAL PROPERTIES OF SEMICONDICTORS 107 Joule heat. E=const .4. the maximal attenuation being Γmax = χ w ωmax τm R 4 + (ωmax τm )2 s 4R This maximum depends on the product ωmax τm reaching the absolute maximum Γ0 = χ at ωmax τm = 2. ω/ωmax for ωmax τm = 2 (curve 1).4. If the sample is a part of a close loop with the transport current density j one can rewrite the variation of the transport current as δj = e(δn)vd .5: Dependences of the reduced attenuation coeﬃcient.
14) This dependence is shown in Fig.108 CHAPTER 4.2 Find the relation between the amplitudes of electric ﬁles and deformation for the case of acoustic wave in a piezoelectric semiconductor.5 Problems 3. That mean ampliﬁcation of acoustic waves by the charge carriers drift. If the gain is larger than the attenuation due to defects and lattice vibrations. 4.. 3. than the sample can generate acoustic waves (phonons).6 One can see that at vd  ≥ s the attenuation Figure 4. Horizontal line indicates the attenuation due to defects and lattice vibrations..6: Dependences of the reduced attenuation coeﬃcient on the reduced drift velocity.1 Compare electrical and mechanical energies carried by the wave in a piezidielectric. Such a system placed in an acoustic resonator is an analog of acoustic laser. 2 2 (1 + q0 R2 )2 + (ω − q0 vd )2 τm (4. Thus jdc = σE − eD(∂ δn/∂x time ) . 3. for ωmax τm = 2. Hint: A dc current appears in the second approximation in the wave amplitude. coeﬃcient changes its sign. ACOUSTICAL PROPERTIES.3 Find dc current induced by a acoustic wave in a nondegenerate piezoelectric semiconductor. 4. V = vd /w. Substituting this expression to the equations above we obtain Γ = χq0 (ω − q0 vd )τm .
PROBLEMS ≈ (δσ)E σ = (δn)E .4. n 109 .5.
110 CHAPTER 4.. .. ACOUSTICAL PROPERTIES.
A potentials as E = − B = 1 ∂A − c ∂t × A. 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. = (5. they can be replaced by new ones.1 Preliminary discussion Basic equations The Maxwell equations (ME) for electric ﬁeld. φ (5. In that case we put ·A + 1 ∂φ = 0. c ∂t 111 . magnetic ﬁeld H. E and B. For many cases. The potentials are not unique.Chapter 5 Optical Properties of Semiconductors 5. A φ = A+ χ 1 ∂χ = φ− . φ and vector. E.3) without changing of the physical ﬁeld.2) In this way we automatically meet the ﬁrst and the last ME. the socalled Lorentz gauge is convenient. c ∂t (5.1) It is convenient to introduce scalar.
t) = A0 {exp[i(kr − ωt)] + c.5) the ﬁelds being E = −2(ω/c)A0 sin(kr − ωt) B = −2k × A0 sin(kr − ωt) .4) At J = 0 one can put · A = 0.1) J = σE and eliminating B we get the following equation for E 2 µ ∂ 2 E 4πσµ ∂E .} . c ∂t (5. φ = 0. V Thus. E= 2 2 + 2 c ∂t c ∂t (5.112 CHAPTER 5.6) √ √ Here c/ µ is the velocity of light. c 2πc2 µ 0 That can be expressed in terms of Nω photons in the volume V according to the relation W = hωNω ¯ . k = ω µ/c is the wave vector of light. (5. ω V (5. and we get the solution A(r.2 PhotonMaterial Interaction Now we can formulate a macroscopic theory of photonmaterial interaction. the relation between the wave amplitude and photon density is A0 2 = 2π¯ µc2 Nω h . 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 . Substituting into (5.c.8) . µ 2πc2 µ 0 c 1 ck 2 ˆ [E × H] = √ kA2  sin2 (kr − ωt) . The energy density is √ S µ ω2 W ≡ = A2  .7) 5. 0 4π π µ (5. The Poynting vector (power ﬂux) is S= Its time average is ˆ c S = k√ ω2 A2  .
PHOTONMATERIAL INTERACTION Looking for the plane wave solution now we obtain complex k.11) The quantity α ≡ 2βω/c is called the (power) absorption coeﬃcient. ω 113 (5.10) ω ω + iβ . At the interface one has partial reﬂection.12) Measuring α and R we ﬁnd optical constants n and β. . Matching the boundary conditions at z = 0 for electric ﬁeld E0 = E1 + E2 .11). c c In this way.5. in the media z > 0. the solution has the form E = E0 exp iω nz −t c exp − βωz c . Consider an interface between the vacuum and the material at z > 0. so that k=n We have N = µ+i 4πσ . Combining the boundary conditions. we obtain R≡ E1 E2 2 = (n − 1)2 + β 2 .2. (n + 1)2 + β 2 (5. k= ω c µ+i 4πσ .9) Now it is time to introduce the complex refractive index N = n + iβ . Then the solution in the vacuum is E1 exp iω nz −t c + E2 exp −iω nz +t c . From the continuity of the tangential component of magnetic induction we get (using ME) (n + iβ)E0 = E2 − E1 . ω (5. (5. while in the material it is given by (5.
5.114 CHAPTER 5. Frequency dependence of the reﬂectivity is shown in Fig. 2 (n + β)(n − β) = 1 − ωp τ 2 2 2nβ = ωp τ /ω . 1 + iωτ σ0 = ne2 τ . As both n and β increase as ω → 0 n ≈ β ≈ (2πσ0 /ω)1/2 . OPTICAL PROPERTIES OF SEMICONDUCTORS DrudeZener theory Having in mind Eq. m (5. . ωτ ≈ 1 − (ωp /ω)2 . The corresponding processes are shown in Fig. Sec. ω ≈ 1/ωτ . and the reﬂection coeﬃcient is close to unity. 1 2 ωp τ . ω(1 + ω 2 τ ) σ0 . Let us discuss some limits of these equations Low frequencies. At ω close to ωp (plasma edge) both n and β become very small. From this expression one ﬁnds the skin depth δ = c/ωβ = (c2 /2πσ0 ω)1/2 = Large frequencies. ωτ 1.14) Here ωp = 4πne2 m is the plasma frequency. 5.2 One can ﬁnd a discussion in the book [3].1 To construct a quantum theory. (5.10) and putting function = µ = 1 we can introduce complex dielectric 4π σ(ω) .13) ω Using 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 = . one needs to allow for the conservation laws which include both energy and momentum transfer.10. (5. 11. For the frequencies above the plasma edge the material is essentially transparent. Thus we employ secondorder perturbation theory.
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.1: Dependence of the reﬂection coeﬃcient on the reduced frequency.15) (5.15) and deﬁning jx = σE = −envx we obtain σ ± = σ0 1 − i(ω ± ωc )τ 2 (1 − iωτ )2 + ωc τ 2 (5. Numbers near the curves indicate values of ωp τ .2. 2 Solving the vector set (5. ±i. 2 − ω 2 )τ 2 ]2 + 4ω 2 τ 2 [(1 + (ωc 1 + (ωc ω)2 τ 2 is maximal (at ωc τ 1) if ω close to ωc (cyclotron resonance). PHOTONMATERIAL INTERACTION 115 Figure 5. It is strongly dependent on the polarization because σ ≈ σ0 for leftpolarized wave and almost vanishes for the . has the form 1 e ˙ m v + v = −eE0 η± eiωt − v × H . The simplest equation for electron velocity.16) One can see that the absorption given by 1 + (ωc ± ω)2 τ 2 σ0 σ± = σ 0 = . τ c Here the polarization vector is 1 η± = √ (1.5. 0) . v. w = ω/ωp .
ω we can decouple a plain wave into a sum of left.2: Scheme of phononassisted transitions. the angle between the polarization plane the xaxis is determined from the relation {Ey } φ+ − φ− tan θ = = − tan .116 CHAPTER 5. 2 2 φ+ + φ− φ+ − φ− = −E0 exp i sin . This is the way to study the carrier’s charge because cyclotron mass is proportional to e. n± = 4π − σ± .and right. {Ex } 2 . OPTICAL PROPERTIES OF SEMICONDUCTORS Figure 5. 2 2 E0 exp i Consequently. rightpolarized one. c Then the complex amplitude of the ﬁeld is Ex = Ey φ+ + φ− φ+ − φ− cos . Introducing the complex refractive index.circularly polarized waves having the phases n± z φ± = ω −t .
c c n+ + n− As a result.17) ω0 − ω 2 − iωγ Introducing static dielectric constant 0 ≡ (0) we get 0 2 ω0 ( (ω) = ∞ + 2 ω0 − ω 2 − iωγ − ∞) .18) The dependence of the reﬂection coeﬃcient on the reduced frequency in shown in Fig. 5.3 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) . x ˙ The dipole moment of the unit volume is 4πP = (ω)E1 = 4πnex = 2 ωp E1 . Thus 2 ωp (ω) = ∞ + 2 . we get at ω.2. 2 ω0 − ω 2 − iωγ Here is a residual contribution to dielectric constant while n is the density of oscillators. PHOTONMATERIAL INTERACTION 117 If damping is small than one can neglect {σ} and express the rotation angle through σ (i) ≡ {σ} as (i) (i) ωd 2πd 2σ− σ+ θ= (n+ − n− ) = . while the minimum corresponds to longitudinal phonons. we identify ω0 as the frequency of the transverse optical phonons. .5. (5. (5. ωc 1/τ θ= πe2 nHd c2 m2 ω 2 (n+ + n− ) This expression is independent of τ and can be used to determine the eﬀective mass.
∞ = 12. OPTICAL PROPERTIES OF SEMICONDUCTORS Figure 5. 0 = 15. ∞).118 CHAPTER 5. Using also the property σ(ω) → 0 as ω → ∞ one can prove that the function σ(ω) is regular in the ωupper semiplane. Thus the integration limits in (5. KramersKronig relation Let us introduce complex conductivity as j(ω) = σ(ω)E(ω) . 1 2π ∞ −∞ (5.3: Dependence of the reﬂection coeﬃcient on the reduced frequency.19) should be (t. σ(−ω) = − σ(ω) .19) dt σ(ω)e−iωt . In time representation. Numbers near the curves indicate values of γ/ω0 . Thus. w = ω/ω0 . The important point is causality and one must deﬁne σ(t) = 0 at t < 0 . Now let us consider a contour integral σ(ξ) dξ ξ−ω dt σ(t − t ) E(t ) . σ(−ω) = σ ∗ (ω) . or σ(−ω) = σ(ω). one can write j(t) = and σ(t) = must be real.
3. along the contour shown below.4: Integration circuit. Using the relation [f (ˆ).21) An important point that momentum and coordinate do not commute.3 Microscopic singleelectron theory 1 e ˆ p + A(ˆ) r 2m c 2 The Hamiltonian has the form H= + eφ + U (r) . 5. For example. The integral must vanish. we know that at ω ωp β → 0. (5. π −∞ ξ − ω σ(ξ) dξ − iπσ(ω) = 0 . and (ω) − Thus 2 ωp = ω→∞{ω 2 [1 − (ω)]} .5. MICROSCOPIC SINGLEELECTRON THEORY 119 Figure 5.summation rules. Using KramersKronig relation one can show the if 2 ωp = (ω) decays faster that ω −3 than 2 π ∞ 0 ξ (ξ) dξ .20) These relations can be generalized for a dielectric function (ω). Thus P As a result. An important consequence . ξ−ω (5. p] = i¯ r ˆ h ∂ f (ˆ) r ∂ˆ r . lim 2 (∞) = −ωp /ω 2 . σ(ω) = ∞ σ(ξ) 1 P dξ π −∞ ξ − ω ∞ σ(ξ) 1 σ(ω) = − P dξ .
22) Hereby we will use semiclassical radiation theory as most simple.25) Here pA is the projection of the electron momentum to the direction of A. Let us chose the gauge A = φ = 0. 2 2mc (5. OPTICAL PROPERTIES OF SEMICONDUCTORS we can rewrite Eq.21) as p2 e ie¯ h H= + A·p− 2m mc 2mc e2 ·A+ A2 + eφ + U (r) .23) The Fermi golden rule leads to the expressions for the scattering rate W (i) = 2π h ¯  f H i  δ(Ef − Ei f 2 hω) ¯ (5. Namely. W (a) (ω) = 4π 2 e2 Nω gph (ω) m2 ω ∗ d3 r ψp exp(ikr)ˆA ψp p ∗ 2 .24) where . Assume the radiation ﬁeld to be small. It can be written as the product N = Nω gph (ω) where ω2 gph (ω) = 2 3 2π hc ¯˜ √ is the photon density of states. mc (5. (5.corresponds to photon absorption while + is for emission. c ≡ c/ µ. Deﬁne photon ˆ intensity as I(ω) = V¯ 2 ωNω gph (ω) h we can write the ﬁnal expression as W (a) (ω) = 4π 2 e2 I(ω) m2 Vω 2 h2 ¯ ∗ d3 r ψp exp(ikr)ˆA ψp p ∗ 2 .120 CHAPTER 5. Here we have to specify in what we are interested in. such as the linear term (ie¯ /mc)A · /(h2 /2m) 2  ∼ eA/pc h 1. (5. we shall consider the radiation as a classical ﬁeld and use the timedependent perturbation theory which yields scattering rates. (5. Thus one can decouple the Hamiltonian as H = H0 + H where H0 = − H h2 2 ¯ + U (r) 2m ie¯ h = A· . If we are interested what happens with the electrons we have of sum over the phonon distribution.26) . Thus we specify the amplitude as ˜ 2π¯ c2 h Nω gph (ω) dω A0  dω = ω 2 to get the following expression for the transition probability with absorption.
h. Indeed. ¯ h (5. 1 d f pi = f ri = iωif f ri . v denotes conduction (valence) band. gel . 5. SELECTION RULES 121 For the situation when one is interested in light absorption it is necessary to sum over the electron states.28) is 0 (Bloch states are orthogonal!). Thus we are left with vertical transitions with matrix elements uck pA uvk where c.28) k Interband transitions Bulk materials Consider bandtoband transition in direct gap materials. The last term requires k = k because centralcell functions are periodic. For near bandedge transitions one can use the function in the BZ center. . ¯ When the states have Bloch form ψkl = eikr ukl (r) the explicit expression for dipole matrix element is ∗ Mif = hk ψk l ψkl d3 r − i¯ u∗ l ( ukl )ei(k−k )r d3 r .4 Selection rules 2 The selection rules are dependent on the matrix element Mif = ∗ ˆ ∗ d3 r ψf eikph r pA ψi . and p2 1 1 hω = ¯ + . of Eq. Usually one can put eikr ≈ 1 (dipole approximation). (5. m dt hωif = Ei − Ef . one can neglect the photon wave vector. (5.27) It is important that the transition is almost “vertical”. We have the following speciﬁcation of the states • Conduction band: uc0 = s spherically symmetric. 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).5.s.4. The ﬁrst item in r. W (a) (ω) = 4π 2 e2 Nω gel (Ef ) m2 ω ∗ d3 r ψp exp(ikr)ˆA ψp p ∗ 2 . The result can be expressed through electron density of states.
−3/2 – Light holes: 3/2. Thus measuring the matrix elements in the units of px px s we obtain √ HHpx s = HHpy s = 1/ 2 √ LHpx s = LHpy s = 1/ 6 √ LHpx s = 2/ 6 . 4π 1 = − √ [(px + ipy ) ↓ −2pz ↑] 6 1 = √ [(px − ipy ) ↑ +2pz ↓] 6 1 = − √ (px + ipy ) ↑ 2 1 = √ (px − ipy ) ↓ 2 (5. 1/2 3/2.122 • Valence band: CHAPTER 5. LHpz s = 0 . 4π 3 cos θ .29) These rules have important implications for polarization dependencies of the light absorption. −1/2 Remember that px py py Symmetry allows the transitions px px s = py py s = pz pz s . . Two facts are important • The centralcell functions are only weakly eﬀected by conﬁning potential. Quantum wells The discussion above can be generalized for quantum wells. OPTICAL PROPERTIES OF SEMICONDUCTORS – Heavy holes: 3/2. 3/2 3/2. = = = 3 sin θ cos φ . 4π 3 sin θ sin φ .
while η is the refractive index of the material. cNω ˜ (5. ψv = √ vkh AW ν Thus we have 2D Mif = (5. m−1 = m−1 + m−1 . The states are 1 n n ψc = √ eike ρ gc (z)un e ck AW 1 νm m eikh ρ gv (z)uνm .30) 1 AW νm n gv gc ν d2 ρ ei(ke −kh )r uνm pA un e vkh ck (5. Bulk semiconductors 4πe2 h ¯ a · pif 2 g3D (¯ ω) . SELECTION RULES 123 • The absorption at low enough frequencies is important only in the well region because barriers have wide gaps. Here mr is reduced eﬀective mass. r e h Before summarizing.5.31) For symmetric conﬁning potentials. ¯ nm n m Enm = Egap + Ec + Ev .32) Here a · pif denotes the dipole matrix element. a is the polarization vector. gel (¯ ω) = h π 2 h3 ¯ α(¯ ω) = h W (a) . W (a) = α˜Nω . α= Summary Now we can give a summary for interband transitions. h 2 cη(¯ ω) m h √ 2(mr )3/2 (¯ ω − Eg )1/2 h (parabolic bands) . ν The main diﬀerence is replacement of the 3D density of states √ 3/2 2m ( − Eg )1/2 3D gel ( ) = π¯ 3 h by its 2D analog 2D gel mr = W π¯ 2 W h m n gv gc Θ(En m − hω) . νm n gv gc ≈ δnm . c Consequently. .4. We have. let us introduce a relation between the scattering rate and absorption coeﬃcient.
. h fnm represent the overlap between n and m subband overlap functions.6 Important feature is 1/W dependence in the case of quantum well. Note that excitonic eﬀect can change the results inside the bandgap. Quantum Well α(¯ ω) = h 4πe2 h ¯ g2D a · pif 2 2 cη(¯ ω) m h W fnm Θ(Enm − hω) . 5. It is a consequence of the assumption that the wave function is localized inside the well. In real life the upper states are spread outside the well.7. see Fig.33) (5. 5. This expression can be easily modiﬁed for quantum wells. h m2 cηω (5.124 CHAPTER 5.5: Absorption coeﬃcient in GaAs. ¯ nm g2D = mr /π¯ 2 .34) The total photon density of states if photons are emitted in 3D space is gph (¯ ω) = h 2ω 2 2π 2 hc2 ¯˜ where coeﬃcient 2 allows for 2 transverse modes for each q. The recombination rate for a bulk material is Wem = 4πe2 a · pif 2 (Nω + 1)gph (¯ ω) . OPTICAL PROPERTIES OF SEMICONDUCTORS Figure 5. Some experimental results are shown in Figs.5 and 5.
ΓG = αloss . p .4.5. It can be positive only if fe (Ee (p)) + fh (Eh (p)) > 1 (population inversion). The HH transition is ≈ 3 times stronger than LH transition in this polarization. In general.3 Ga0. In general. one has quasiFermi distributions for electrons and holes. One gets a very similar form for a quantum well by replacement the states p → n. is to average the result in a proper way to extract relative number of such conﬁgurations. one has also to sum over the angular momentum . We have calculated the rates assuming that initial state is occupied but ﬁnal is empty. Few words about semiconductor lasers A typical band proﬁle to get a lasing eﬀect is shown in Fig.8 The main requirement is to compensate losses by gain G(¯ ω). SELECTION RULES 125 Figure 5. (5. Here Γ is the socalled optical conﬁnement h factor which is just the fraction of optical intensity in the active region. What we need.6: The same for 100 ˚GaAs/Al0. fe(h) the result being G(¯ ω) = h 4πe2 d3 p a · pif 2 2 cηω 3 m (2π¯ ) h × [fe (Ee (p)) + fh (Eh (p)) − 1] δ [Ee (p) − Eh (p) − hω] . 5.35) Here we calculate the diﬀerence between (induced) emission and absorption rates. ¯ E − µe(h) = 1 + exp ± kT −1 .7 As quantum well structure for inplane poA larized light. The higher subbands become closer spaced and eventually one gets bulk absorption coeﬃcient.
10 We have to employ the secondorder perturbation theory.126 CHAPTER 5. then indirect transitions come into play. the most important are the transitions with m = n. 2 2π f Hint n nHint i d3 p δ(Ef − Ei ) . OPTICAL PROPERTIES OF SEMICONDUCTORS Figure 5. states of the holes. The main directions to obtain lasing – increase of optical conﬁnement. indirect transitions lead to an additional small coeﬃcient corresponding to electronphonon coupling. Both combinations shown in Fig. It must be as small as possible.9 They can be direct or phononassisted (trapassisted. In this case the necessary momentum can be supplied by a phonon in course of phononassisted transition.7: Schematic structure of wave functions. In the most cases. Indirect interband transitions When the energy and momentum conservation law cannot be met. Fig. However. and people try to decrease them. Fig. there are states at some other values of p where the energy conservation can be met. Hint = Hph + Hep . W = h ¯ Ei − En (2π¯ )3 h n The interaction Hamiltonian is a sum of the contributions of electronphoton and electronphonon interaction. An important contribution which can be optimized is Auger processes. One can .. In any case. etc). 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. Auger processes are very harmful for lasing. Let us consider an example. One has to pay for that because this process involves 2nd order perturbation theory.10 can contribute. 5. 5. Let us consider a situation when phonon energy is less than direct gap. 5.
5. .8: Typical band proﬁles used for bulk (upper panel) and quantum well (lower panel) lasers. A while in double heterostructure laser it is ≥ 0. A reverse one is called impact ionization.9: A typical Auger process. Figure 5. SELECTION RULES 127 Figure 5.1 µm. The width of the active region dimensions in the quantum well ≤ 100 ˚.4.
then the matrix element is 0. then i¯ h ∂ pif = − g 2∗ (z)ˆ g 1 (z) d2 ρ dz . If k is in the ρplane. trace that comparing the absorption proﬁles for GaAs and Si.10: A typical indirect transition. while the central cell functions are essentially the same for all the subbands.5 Intraband Transitions Bulk semiconductors Intraband transitions must involve a phonon. OPTICAL PROPERTIES OF SEMICONDUCTORS Figure 5. It is very important for lasers because it is responsible for losses in cladding areas. or some other scattering mechanism. if the light is polarized in zplane. Consider 2 subbands with wave functions ψ i = g i (z)eikρ ui (r) . The secondorder process is very much similar to the one discussed above.possibility of intraband (but intersubband) transitions in the lowest order.11.128 CHAPTER 5. Fig. nk The functions gi (z) are orthogonal. z W ∂z . 5. Quantum wells A remarkable feature . 5. However. Thus pif = − i¯ h W g 2∗ (z)e−ikρ a g 1 (z)eikρ d2 ρ dz .
11: Absorption coeﬃcient of Si and GaAs. and pif ≈ Finally. a Gaussian broadening is assumed. If the states have opposite parities. Usually. W Assuming that only one subband is ﬁlled and introducing electron concentration as Nc = f δ(Ef − Ei − hω)f (Ei ) ¯ we could obtain the result. phononrelated processes). in 2D case the joint density of states is inﬁnite in the resonance if both subbands have the same dispersion law. If electric ﬁeld is parallel to the 2D plane then there is a weak freeelectron . g(E) = (1.44σ What is important that the absorption is strongly dependent on the polarization of the incoming light. m cηω W (1. then the integral is ﬁnite. Any way. INTRABAND TRANSITIONS 129 Figure 5. However. 1 (E − E12 )2 exp − .44πσ)1/2 1. we get 4π 2 e2 pif 2 1 (E − E12 )2 α(¯ ω) = 2 h exp − .44σ Physics of the broadening is rather complicated (disorder. ¯ f h ¯ .5.5.. we get Wabs = 4π 2 e2 Nω 1 m2 ω W pif 2 δ(Ef − Ei − hω)f (Ei )[1 − f (Ef )] .44πσ)1/2 1.
Thus the electrons are reﬂected from the well. lead to photoionization. 2k(k + K) . otherwise dψN (z) ∗ pif ∝ dz ψM (z) = 0. 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. In such a situation.12: Energy proﬁle a quantum well (left panel) and schematic behavior of absorption coeﬃcient (right panel). 5.36) 2mε 2m(W + ε) K2 = .130 CHAPTER 5. The resonant absorption discussed above is possible only if the light is polarized perpendicular to 2D gas. T exp(ikz) in the region III Here k2 = (5. dz Note that this rule is opposite to the case of interband transitions.12). 2 . at Ka = sπ/2. For a scattering state in the continuum spectrum.. h ¯ h2 ¯ Then we have to match both the functions and their derivatives at two boundaries. there is a continuum spectrum above discrete states. e.. For example. In the wells with ﬁnite depth. OPTICAL PROPERTIES OF SEMICONDUCTORS Figure 5. we have B = c = 1/2 . . However. the wave function for the incoming energy ε can be written as exp(ikz) + R exp(−ikz) in the region I ψε = B exp(iKz) + C exp(−iKz) in the region II . a properly polarized light can induce transitions from discrete to continuum states. B= 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. s = 1. Let us sketch the calculation for a rectangular well with the depth W (Fig. 2. . i.
.py δpz .37) where ωc = (5. As a result. ¯ 2 2m eB . mr c 2mr c π 2 h2 ¯ e A0 epvc 2 δpy . There is also spin splitting. 2. the fundamental edge must be shifted ∝ B. INTRABAND TRANSITIONS 131 That means full penetration . (5. for small ε. Above we ignored frequency dependence of dielectric function which might be important near resonant transitions. 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 h ¯ m2 c2 dpy dpz eH p2 δ hω − Eg − (n + 1/2) ¯ + z . Interband transitions in a magnetic ﬁeld In a magnetic ﬁeld. h Now let us estimate the absorption coeﬃcient. mc n = 0. pz }. Now let us discuss the behavior of the absorption close to the threshold (¯ ω = W ). these “resonant” states are very important. 2mr 1 1 1 ≡ + mr me mh .pz δnn . . mc n . h e. 1. As it is well known. the energies (for parabolic bands) being n = n+ 1 p2 hωc + z .39) Thus. Only for these states overlap of wave functions is signiﬁcant.the well behaves as FabriPerot resonator for de Broglie waves.5. .5.38) Thus the band edge moves to give the energy gap as Eg (B) = Eg (0) + e¯ h B. (5. One can show that for the socalled nonresonant wells with √ 2mW = s¯ /a h √ the absorption is small and proportional to hω − W + ε1 . py . The account of these eﬀects is beyond the scope of this course. µB = e¯ /2m0 c . i. . Landau levels are formed in the conduction and valence bands. ∆E± = gµB Bz . the quantum numbers of an electron in a magnetic ﬁeld are {n. while for the resonant ones it ¯ −1/2 is proportional to (¯ ω − W + ε1 ) h .
Assume that light is polarized perpendicular to the well. 2mr Finally. α= e2 ωc 2mr epvc 2 m2 ωnc h2 ¯ 3/2 N 1 hω − Eg − (¯ eH/mr c)(N + 1/2) ¯ h (5.6 Problems 4.40) Thus. ¯ h 5. 4. .2 Make a similar calculation for a parabolic conﬁnement U (z) = (1/2)mω 2 z 2 .1 Calculate dipole matrix element for the transitions between the subbands in a rectangular quantum well of width W with inﬁnite potential barriers. p2 dpz δ A − z = Lz mr /2A . We use the following simpliﬁcations dpy = Lx eH/c . there are maxima at hωmax − Eg − (¯ eH/mr c)(N + 1/2) = 0 .132 CHAPTER 5. OPTICAL PROPERTIES OF SEMICONDUCTORS The following calculation is straightforward. 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.
due to spatial conﬁnement. etc. Excitonic states are known since 1931 (Frenkel). one can tune exciton transitions 133 . Knox. Thus one observes sharp excitonic transitions. Further work – Peierls.Chapter 6 Optical Properties: Excitons In the previous discussion we employed the independent electron approximation. In heterostructures. the binding energy increases. Figure 6. There energy positions can be tuned by electronics and optics. Now we turn to the role of electronelectron (electronhole) interaction. 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 oscillator strength is also increased.1: The band structure of independent electrons (left) and Coulomb electronhole interaction which would modify the band picture (right). The eﬀect of other electrons enters only through the occupation probabilities without altering eigenvalues of the electronic problem. Wannier. Implications . optoelectronic switches. In particular.highspeed modulation of optical signals. In poorer quality samples these states merge with bandtoband transitions. Elliot. Consider a simple example.
2 i=j ri − rj  .1) Then we introduce new coordinates r = re − rh . We will discuss the latters because they are relevant to semiconductors. 2mr 2r As a result ψnK = eiKR Fn (r)φc (re )φv (rh ) where φc. In general. − h2 ¯ 2me 2 e − h2 ¯ 2mh 2 h − e2 ψex = Eψex .v are central cell functions. h2 k 2 e2 − F (r) = EF (r) . 1 e2 He = H0 + . (6.1 Excitonic states in semiconductors There are two types of excitons – Frenkel (small radius) and WannierMott (large radius). 6. E1 = 2 − 6 meV. The 1st term gives solution ψcm = exp(iKR) .4) Typically. • “bleaching” of exciton transition by high electronhole density. OPTICAL PROPERTIES: EXCITONS • by application of a transverse electric ﬁeld (quantum conﬁned Stark eﬀect). The eigenvalues are EnK = En + h2 K 2 ¯ .2) me ke + mh kh . The second leads to the hydrogen atom problem. 2 2 h2 n2 ¯ (6. We need to develop a perturbation theory to ﬁnd an interaction between light and excitons.134 CHAPTER 6.5) (6.3) R= m e re + m h r h me + mh K = ke − kh (6. For them we use the eﬀective mass theory for the envelope function. re − rh  (6. me + mh Here mr is the reduced mass. 2(me + mh ) Em = − mr e4 1 . k = to get H= h2 K 2 ¯ h2 k 2 e2 + − 2(me + mh ) 2mr 2r .
vαh (6. Now we employ the generalized eﬀective mass approximation assuming that the exciton has large scale and the coeﬃcients Aβ (k) are localized in kspace. S} describes momentum and spin state of the electron or hole. In this way we come back to the real space.2: Schematic picture of an exciton in Bloch representation. r (6.Sh k where the set of quantum numbers β ≡ {n. where a is the lattice vector. m} characterizes the energy eigenvalue index and angular momentum indices. 6.6. Fβ (r) = Aβ (k)eikr k which obeys the hydrogenlike equation Ecv (−i . Because of translational symmetry. see Fig.6) where αc(v) ≡ {k. ψex ({ri + a}) = eiKa ψex ({ri }) . β ψex = Aβ (k)Φβ (6.7) c. respectively. K) − e2 Fβ (r) = Eex Fβ (r) .2.8) .k−K/2.v. The excitonic state then can be constructed as a linear combination of the building blocks (6.1. Thus the proper basis functions are Φcαe .Se . EXCITONIC STATES IN SEMICONDUCTORS 135 Figure 6.6).k+K/2. l.
As a result. Rex = mr e4 /2¯ 2 2 . Namely. One can introduce exciton density of states as gex = 2(∂n/∂E) = n3 /Rex . πa3 n3 ex (6. An important note is that we have a selection rule K = 0. ex En = Eg − Rex /n2 . Inside the gap there are sharp excitonic lines with intensities proportional to n−3 . Note that is a quite complicated function which can strongly diﬀer from static dielectric function at large carrier concentrations. The typical value of aex is about 100 ˚. δfunction is broadened. (6.136 Here CHAPTER 6. . we arrive at the following picture. for the ground state we have W = 2π h ¯ eA mc 2 δK apif 2 δ(Eex − E0 − hω) ¯ . aex = ( m0 /mr )aB . 6. ¯ Assuming that pcv is k independent. k eA mc 2 2 δK apif  2 k A(k) δ(Eex − E0 − hω) . we arrive at 2π W = h ¯ From the deﬁnition. They become closer and closer as n increases.10) Finally. Aβ (k) = Fβ (0) . In the case of simple parabolic bands the solution is simple and coincides with given above. A the lattice constant a. OPTICAL PROPERTIES: EXCITONS Ecv (−i . K) ≡ Ec (k + K/2) − Ev (k − K/2)k→−i . ¯ (6. h The envelope ground state wave function is F100 = 1 πa3 ex e−r/aex .9) than ˚ Here aB = 0. This is why the transition is discrete even though the excitonic states are extended.529 Ais the Bohr radius.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 h ¯ eA mc 2 2 δK k A(k) apcv (k) δ(Eex − E0 − hω) .11) In a realistic case.
12) Thus α reaches a constant at the band edge. 186. (Eg − hω)1/2 ¯ 1/2 (6. 6. sinh πx x= Rex hω − Eg ¯ 1/2 . and 21 K. 6. Then it is easy to rewrite the absorption coeﬃcient α inside the gap through αF – the absorption coeﬃcient without excitonic eﬀects. α ¯ ω≈Eg = αF h 2πRex .3: Measured absorption in GaAs at the temperatures 294. (6. . Such an assumption is good for heterostructures but fails for MOS systems. EXCITONIC STATES IN QUANTUM WELLS 137 Figure 6.3 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. Above the gap one can obtain πxeπx α = αF . At room temperature the excitonic transitions merge with bandtoband absorption. Here one can clearly observe free excitons. We have to solve SE of the type − h2 ¯ 2m 2 Ψ− e2 x2 + y 2 + (z − z0 )2 Ψ = εi Ψ .13) Here we assume that the structure has the same dielectric constant of all the parts.3.3 Very instructive is luminescence at low temperatures where electrons an holes freeze out in the excitonic states. Far enough from the edge the result tends to the one for the absence of the excitonic eﬀects. The boundary conditions for inﬁnite potential are Ψ(0) = Ψ(a) = 0 . A typical experimental plot is shown in Fig.6. 90. as well as various bound excitons. Also it is assumed that the eﬀective mass approach is valid.
In the limiting case (6. As a result. Beyond his limit the energy is between ε0 and 4ε0 . It is natural to introduce new variables R= Consequently. It is valid until aB δ= h ¯ m(W − ε1 ) . especially when eﬀective masses within the well and the barrier are diﬀerent. g. the equation for Φ diﬀers from similar equation foe an impurity state by the replacement me mh m → mr = . Consequently. That means that each level of size quantization has impurity satellites. me + mh me ρe + mh ρh . 6. me + mh ρ = ρe − ρh .138 CHAPTER 6. Ψ(re . Thus ¯ εN. As a result. In this case the variables z and √ ρ = x2 + y 2 are decoupled. [6]) lead to eigenvalues −ε0 /(i − 1/2)2 where ε = me4 /2 2 h2 is the 3D Rydberg energy. 2ma2 (6. . rh ) = ψN (ze )ψM (zh ) exp(iKR)Φ(ρ) .14) Then one can neglect the item (z − z0 )2 in Eq. a sort of “impurity band” appears.15) According to inequality (6. Thus we are left with 2D problem. 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 . ε0 εs . It is important that for all the N = 1 impurity states overlap with continuous spectrum of lower subbands. Another assumption which was used is the inﬁnite potential.14).i = εs N 2 − ε0 . OPTICAL PROPERTIES: EXCITONS Let us consider a simpliﬁed situation when aB a.14) the energy of ground state is 4 times larger than in the 3D case. (i − 1/2)2 εs = π¯ 2 h .14) we can also drop zdependent part of the denominator.13. (6. (6. it depends on the position z0 . The solution of the 2D problem (see e. Now we can reformulate the results for the excitons. it has a ﬁnite life time even in the absence of collisions. and Ψ = φ(ρ)χ(z) .16) Under the condition (6. In the opposite case the calculations are rather cumbersome.
The expressions for the absorption coeﬃcient are similar. in the book [6]. g.17) while Gnm are the coeﬃcients of expansion of the exciton wave function in terms of the basis in kspace.4). αnm = 4π 2 e2 h ¯ ηmcW ex fnm δ(Enm − hω). (i − 1/2)2 In many materials (Si. More exact theoretical treatment is given e. 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. The electric ﬁeld .3. the Hamiltonian for relative motion has the form H = − 1 ∂2 h2 ∂ 2 ¯ h2 ∂ 2 ¯ h2 1 ∂ ∂ ¯ ρ + 2 2 − − 2 2 2mr ρ ∂ρ ∂ρ ρ ∂φ 2me ∂ze 2mh ∂zh e2 − + Vew (ze ) + Vhw (zh ) re − rh  where Viw (zi ) are conﬁning potentials. In general. It is also important to allow for screening. There is no simple analytical solution for this equation. nm Then. So numerical methods are usual. (6.6. 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. the parabolic approximation is usually bad for hole states in GaAlAs heterostructures. ψ ex = d2 k n. Fig. however one must use correct matrix elements. k n. 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. 6. z) 2 2 mE ex (2π) nm d2 k Gnm (k) apnm (k) 2 . EXCITONIC STATES IN QUANTUM WELLS and εex = − 139 m r e4 . the most interesting is transverse ﬁeld because it allows to tune exciton transitions. Moreover. −k Gnm (k). In heterostructures. as usual. AIII BV ) because of the presence of both light and heavy holes there are 2 type of excitons. ¯ nm Oscillator strength is substantially increased because of exciton conﬁnement. Quantum conﬁned Stark eﬀect Consider optical absorption in the presence of an external electric ﬁeld.
Let us make a crude estimate valid at small electric ﬁeld. The ﬁrst perturbative correction is ∆E (1) = ψ1 eF zψ1 = 0 because the ground state is even. 2.140 CHAPTER 6. 24π 2 π 2 h2 ¯ One has to optimize the well width W because in wide wells the absorption goes down. Due to the separations of electron and holes in space the exciton binding energy decreases.4: On the FranzKeldysh eﬀect. The ﬁrst eﬀect is usually much more important. The Hamiltonian can be written as H = H0 + eF z . Changes intersubband separations. A . 1. Pushes electrons and holes to opposite directions making the energy sepatations smaller. The second order correction for the ground state in a square well is 1 15 me2 F 2 W 4 ∆E (2) = −1 . where F is the electric ﬁeld. the optimum being at W ∼ 100 ˚. OPTICAL PROPERTIES: EXCITONS Figure 6.
scription because the spread of wave function is large and the potential can be treated as from the point charge.1: band diagram of a semiconductor.1 Shallow levels allow a universal de Figure 7.1 Impurity states A typical energy level diagram is shown on Fig. 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. 2m (H0 + U )ψ = Eψ 141 We look for solution of the SE .Chapter 7 Ac transport and optics in doped semiconductors 7. Extremum at the center of BZ Then for small k we have h2 k 2 ¯ En (k) = . 7.
h2 ¯ 2m 2 Bn (k)eikr k − e2 F (r) = EF (r) . ¯ Et = − For the total wave function one can easily obtain ψ = un0 (r)F (r) . and to replace central cell functions u by their values at k = 0. 2 . 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 .142 in the form ψ= nk CHAPTER 7. Vk − k 2 U (kk = Finally we get 1 V ei(k−bk )r U (r) dr = − h2 k 2 ¯ 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. . a = h2 /me2 . it is natural to assume that B(k) is nonvanishing only near the BZ center. Coming back to the real space and introducing 1 F (r) = √ V we come to the SE for a hydrogen atom. nk Then. − Here 1 e4 m . t2 2 2 h2 ¯ F (r) = (πa3 )−1/2 exp(−r/a). t = 1. The results are summarized in the table. where φn k (r) are Bloch states. Thus. DOPED SEMICONDUCTORS Bn (k )φn k (r) . r . Then within each cell cell u∗ un 0 dr = δnn n0 because Bloch functions are orthonormal. . These function rapidly oscillate within the cell while the rest varies slowly. [En (k) − E]Bn (k) + n U (kk )Bn (k ) = 0 4πe2 .
19m0 .45 32.7 45. The energies are listed in table 7.) E1s (exp. 2m 2mt x Here m = 0.2: Donor ionization energies in Ge and Si.) (meV) (meV) 5.916m0 . h2 2 ¯ h2 ¯ 0 2 E= (kz − kz )2 + (k + ky ) . According to the eﬀective mass theory.9 4.52 9.75 10.0 4.7 42. For a given ellipsoid.9 32.8 7.74 9.7.1.6 11. and the parameters ai were chosen to minimize the energy at given γ. Several equivalent extrema Let us consider silicon for example.17 10.066 E1s (th.* 143 InP CdTe 12.6 11. where n is the number of equivalent ellipsoids.1. the constant energy surfaces are ellipsoids of revolution around [100].5 m/m0 0. There must be 6 equivalent ellipsoids according to cubic symmetry. The trial function was chosen in the form x2 + y 2 z 2 F = (πa a2 )−1/2 exp − + ⊥ a2 a ⊥ 1/2 . Material Si (theor.28 13 13.6 10 0.51 33.9 6.9 S: 6.9 30. mt = 0.1: Characteristics of the impurity centers.8 Se: 5.49 32.1 S: 5. IMPURITY STATES Material GaAs 12. these levels are split due to shortrange corrections to the potential.67 Ge:6.6 31.5 53.) Si(P) Si(As) Si(Sb) Ge(theor/) Ge(P) Ge(As) Ge(Sb) E1s (meV) E2p0 (meV) 31.08 0.7 12.2 11.85(2π/a) in the [100] direction.0 4. the energy levels are N fold degenerate.32 Table 7. In real situation.75 10.1 Si: 5. These corrections provide interextrema matrix elements.1 Table 7. The conduction band minimum is located at kz = 0.9 14.81 4.27 11. Excited states are calculated in a similar way. Experimental values are diﬀerent because of chemical shift . The results for an arbitrary ration γ = mt /m can be obtained only numerically by a variational method (Kohn and Luttinger).
Note that if the lattice has no inversion center there also linear in p terms. and splitoﬀ mode is very far.. k ≈ 0).β=1 αβ ˆ ˆ Hjj pα pβ + U (r)δjj Fj = EFj . let us o ﬁrst put U (r) = 0 and look for solution in the form Fj = Aj (k/k)eikr . n0 The functions Fj satisfy matrix equation.3) This is the famous Luttinger Hamiltonian. As a result.144 CHAPTER 7. p m0 2 2 (7. Then we have 4fold degenerate system. . Here σ is the spin operator while V is periodic potential. ˆi i (7. t j =1 3 α.1) If we want to include spinorbital interaction we have to add Hso = 1 [σ × 4mc c2 0 ˆ V ] · p. o t ψ= j=1 Fj (r)φj (br) . Here we use the opportunity to introduce a simpliﬁed (the socalled invariant) method based just upon the symmetry.2) That would be OK for spherical symmetry. Now we left with 4 coupled Schr¨dinger equations (7. φj . k ≡ k . while for cubic symmetry one has one more invariant. In general Hmatrix is complicated. the Hamiltonian is traditionally expressed as ˆi H= ˆ 1 p2 5 γ1 + γ2 − γ3 (ˆ · J)2 + (γ3 − γ2 ) p m0 2 2 p2 Ji2 . In this case (remember. For simplicity. and traditionally the Hamiltonian is written as H= ˆ 1 p2 5 γ1 + γ − γ(ˆ · J)2 . i p2 Ji2 . To check the situation. Mathematically. 2.1). DOPED SEMICONDUCTORS Impurity levels near the point of degeneracy Degeneracy means that there are t > 1 functions. let us start with the situation when spinorbit interaction is very large. (7. namely p2 and (ˆ · J)2 . Thus we have only p two independent parameters. it can be represented by a pseudospin 3/2 characterized by a pseudovector J. ˆ There are only 2 invariants quadratic in p.t nk which satisfy Schr¨dinger equation without an impurity. j = 1.
.3) require explicit form of Jmatrices.044 0.44 5.2 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.7.2. β = m /mh . 7.4 Table 7. Thus the system is decoupled into 4 independent equation with two diﬀerent eigenvalues. 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.3: Parameters of the Luttinger Hamiltonian for Ge and Si The usual way to calculate acceptor states is variational calculation under the spherical model (7.1 Material γ1 Ge 4. consider an ordered lattice of impurities. It solutions lead to the anisotropic dispersion law E .4 15. ¯ 2m0 E = γ1 − 2γ 2 2 hk .h h2 ¯ 2 = γ1 k 2 ± 4 γ2 k 4 2m0 2 2 2 2 2 2 2 2 +12(γ3 − γ2 )(kx ky + ky kz + kz kx ) 1/2 γ1 + 2γ 2 2 hk .39 4. The parameters of Ge and Si are given in the Table 7. ¯ 2m0 . The Hamiltonian (7.35 γ2 0. The calculations for the full Luttinger Hamiltonian (7.69 ∆ 0. the potential being V (r) = j U (r − rj ) .22 Si 13.29 11. In this case the set of 4 diﬀerential equations can be reduced to a system of 2 diﬀerential equation containing only 1 parameter. Thus let us direct k along z axis and use representation with diagonal Jz .25 γ3 1. LOCALIZATION OF ELECTRONIC STATES 145 The corresponding matrix lemenets can be obtained by substitution hk instead of the ¯ operator p into Luttinger Hamiltonian.2).2) does not depend on the ˆ 2 direction of k. The eﬀective masses are m (h) = m0 /(γ1 ± γ) .
For example. (7. j The energies are assumed to be uncorrelated and random. At large b0 the band is narrow and this is the case. It U0 is comparable with the bandwidth ∼ I(b0 ). Here we shall use singleband approximation. no. En . As the lattice constant increases. I(b0 ) ∝ exp(−βb0 /a) ¯ 0 where β is a number of the order 1.146 CHAPTER 7. we cam expand the wave functions in terms of the above eigenvalues. The only important property of the overlap integrals.3) The eﬀective Hamiltonian has the form H= j + j aj aj + m. E0 . and each state possesses 2fold spin degeneracy. Suppose that impurities are still ordered. and therefore ignore Bloch (centralcell) factors. each impurity adds one electron. I(m) is that it is small (tightbinding approximation!). Expanding near k = 0 we get E(k) = 6I(b0 ) − I(b0 )k 2 b2 0 the eﬀective mass being m∗ = h2 /2Ib2 . for a simple cubic lattice E = 2I(b0 ) i cos(ki b0 ) where here b0 denotes the lattice constant for impurity lattice. but depths of the potential wells are random. Also. DOPED SEMICONDUCTORS Assume that we know the eigenstates φn and eigenvalues. of a singleimpurity problem. Along the tightbinding method. the distribution being P( ) = 1/A . Fig.j=0 I(m) a+ aj+m . because we neglected electronelectron interaction. two electrons at the same site repel each other the energy can be estimated as U0 ≈ e2 /a. Anderson transition We come back to singleelectron approximation and concentrate on disorder. Is this correct? In principle. In fact.   < A/2 0 . j aj 2 = 1 . ψ= j aj φ(r − rj ). we assume the impurity bandwidth is less that the spacing between En and restrict ourselves by the lowest level. Let us plot the electron terms a a function of 1/b0 The insulatortometal transition of this kind is usually called the Mott transition.   > A/2 . then one must allow for the interaction. Thus the impurity lattice is a metal. the energy being E= m eikm I(m) . According to our model. In this way we get energy bands.
7.2. LOCALIZATION OF ELECTRONIC STATES
147
Figure 7.2: Dependence of electron bands on impurity sublattice period b0 . To the left of point A is an insulator, to the right a metal.
Figure 7.3: Potential wells in the Anderson model. Anderson has formulated the following criterion for localization. Let us place a particle at the site i and study its decay in time due to quantum smearing of the wave packet. The state is called extended if ψi (t)2 → 0 at t → ∞. The Anderson model has one dimensionless parameter, W/I, where I is the overlap integral for nearest neighbors. In a 3D system there is a critical value, Ac /I, at which delocalized states begin to appear in the middle band. In 1D case the states are localized at any disorder. 2D case is a marginal, the states being also localized at any disorder.
Twostate model
Now let us turn to 3D case and try to discuss Anderson result in a simpliﬁed form. Namely, consider two potential wells. When isolated, they can be characterized by the energies 1
148
CHAPTER 7. DOPED SEMICONDUCTORS Lattice xc Diamond 0.43 Simple cubic 0.31 4/xc 9.3 12.9 Ac /I 8.0 15
Table 7.4: Percolation thresholds and critical values Ac /I obtained numerically for diﬀerent lattices and
2
and wave functions φ1 and φ2 . At
1
=
2
the wave functions are
1 ΨI,II = √ (φ1 ± φ2 ), 2 the energy diﬀerence being EI −EII = 2I. This solution is reasonably good at  1 − 2  In general, ψI,II = c1 φ1 ± c2 φ2 , and we have a matrix Schr¨dinger equation, o ∆/2 − E I ∗ I −∆/2 − E . I.
Here the origin for energy is taken at ( 1 + 2 )/2, while ∆ ≡ 1 − 2 . The secular equation is thus E 2 − (∆/2)2 − I2 = 0 → EI,II = ± (∆/2)2 + I2 . Consequently, EI − EII = The ratio c1 = c2 ∆/2 ± ∆2 + 4I2 . I (∆/2)2 + I 2 . (7.4)
Thus at ∆ I either c1 or c2 is close to 1, and collectivization does not occur. Now, following Thouless, let us chose a band δ/2 ≤ ≤ δ/2, δ∼I
and call the sites resonant if their energy falls into the band. Then let us look for connected resonant states which share a site. Nonresonant sites can be disregarded as I W. It is clear that it must be a threshold in the quantity W/I where the transition takes place. If one assumes that the connected cluster is a 1D chain, then the bandwidth is 4I. In such a model, Ac 4 = I xc where xc is the percolation threshold for the site problem. This is quite a good estimate, see the Table 7.2 Finally, one arrives at the following proﬁle of densityofstates (DOS) for the Anderson model, Fig. 7.4
7.3. IMPURITY BAND FOR LIGHTLY DOPED SEMICONDUCTORS.
149
Figure 7.4: Density of states in the Anderson model. Localized states are shaded. Mobility edges are denoted as Ec .
7.3
Impurity band for lightly doped semiconductors.
The material is called lightly doped if there is only a small overlap between electronic states belonging to diﬀerent impurities, N a3 1. Here N is the impurity concentration while a is the localization length. In lightly doped materials conductivity vanished exponentially as T → 0. Let us start with a material with only one type of impurities, say ntype. At T = 0 each of donors must have an electron, the missing electron represents an elementary excitation. An excitation can be localized at any donor, the energies being slightly diﬀerent. The reasons are • If one removes an electron, the remaining positive charges polarize the neutral donor located in vicinity. That contributes to donor ionization energy, the contribution being dependent on the conﬁguration of neutral neighbors. • There is a quantum overlap between the donors being excited. The ﬁrst mechanism is usually more important for realistic semiconductors having compensating impurities. Now let us assume that there are also acceptors which at capture electrons from the donors and are fully occupied T = 0. Thus we have neutral donors, negatively charged acceptors and an equal number of positively charged donors. Theses randomly distributed charges create a ﬂuctuating random potential which localizes the electronic states. Let us count the energy i of ith donor from the energy of an isolated donor, −E0 . We have don e2 acc 1 1 − nk − . i = κ l ri − rl  k=i ri − rk  The occupation numbers have to be determined to minimize the free energy (at T = 0 – electrostatic energy). A typical dependence of the Fermi level µ on the degree of compensation, K = NA /ND , is shown in Fig. 7.5 Below we discuss limiting cases of small and large K.
150
CHAPTER 7. DOPED SEMICONDUCTORS
Figure 7.5: Position of the Fermi level µ as a function of the degree of compensation, K.
Low degree of compensation
At K 1 most of donors keep their electrons, and only a small number is empty and charged positive. Each acceptor carries a negative charge, the concentration of charged donors is equal to NA . A positive charged hole will be located as close as possible to a negative acceptor. Thus, it occupies the donor the most closed to an acceptor. In a ﬁrst approximation, each acceptor can be regarded as immersed in an inﬁnite sea of donors. Transporting a hole from a donor situated near a charged acceptor to inﬁnity requires work of order e2 /κrD , where rD is the average distance between the donors. To get a quantitative theory one has to add more input. Namely, there are some acceptor without holes, and some acceptors having 2 holes. Indeed, some acceptors do not have a close donors (Poisson distribution), so they bind holes very weakly. So holes prefer to ﬁnd another acceptor with more close donors even at the expense to become a second hole. To illustrate the situation let us consider a conﬁguration shown in Fig. 7.6,a. The work necessary to remove a hole equals to e2 /κr − e2 /2κr = e2 /2κ, it becomes large at small r. It is curious that an acceptor cannot bind more than 2 holes. Consider a conﬁgura√ tion shown in Fig. 7.6,b. The energy of attraction to the acceptor equals 3e2 /κl while the repulsion energy from two other holes is 2e2 /κl. We end at the following situation. There are 3 conﬁgurations – 0complexes (negative) where there is no ionized donor near a particular acceptor, 1complexes (neutral), and 2complexes (positive). So the neutrality condition which ﬁxes the Fermi level is actually N0 (µ) = N2 (µ) .
7.3. IMPURITY BAND FOR LIGHTLY DOPED SEMICONDUCTORS.
151
Figure 7.6: Donoracceptor conﬁgurations. For 0complex, there must be no donors within the sphere of radius rµ = e2 /κµ from a 3 ﬁxed acceptor, the probability being exp(−4πND rµ /3). Thus, N0 (µ) = NA exp − 4π e6 ND 3 κ3 µ3 .
It is much more diﬃcult to ﬁnd number of 2complexes. Let us estimate it from above, > N2 (µ), as a concentration of pairs of donors whose additional energies 1 and 2 exceed µ when both donors are ionized. This estimate is larger because • it could be another close donor which initiates a 1complex, • it can be more than one pair of donors near a given acceptor. Let us put the origin of coordinates at acceptor site and suppose that a donor is located at r1 . The average number of donors in the element dr2 is equal to ND dr2 . Thus, the number of pairs with r2 ≥ r1 is ND Here
r2 >r1
dr2 Θ[ 1 (r1 , r2 ) − µ]Θ[ 2 (r1 , r2 ) − µ] .
e2 1 1 − . 1,2 κ r1,2  r1 − r2  To get the total concentration of pairs one has to multiply it by ND and integrate over r1 , and ﬁnally multiply by NA . As a result, =
> 2 N2 (µ) = NA ND
dr1
r2 >r1
dr2 Θ[ 1 (r1 , r2 ) − µ]Θ[ 2 (r1 , r2 ) − µ] .
This estimate is very close to exact result. Integration yields
> 3 N2 (µ) = 7.14 · 10−4 NA (4πND rµ /3)2 .
Using this estimate and solving the neutrality equation one obtains µ = 0.61
D
,
D
= e2 /κrD = (e2 /κ)(4πND /3)1/3 .
Now let us discuss the shape of the peak. The majority of donors are far from few acceptors, so there must be a sharp peak at −E0 . The tails of g( ) above the Fermi level falls with the characteristic energy D . Consequently, near the Fermi level g( ) ∝ NA /
D
.
152 Longrange potential
CHAPTER 7. DOPED SEMICONDUCTORS
Above we did not take into account electrostatic interaction between the complexes. It is small indeed because N0 ND . However, the interaction leads to an additional dispersion of the peak. 1/3 An average ﬂuctuations of charge produce an average potential of order e2 N0 /κ. We shall show that longrange ﬂuctuations are much more important. Let us introduce ﬂuctuations of the complex concentrations for 0 and 2complexes, ξi (r) = Ni (r) − Ni (r) . We consider the ﬂuctuations as uncorrelated, ξ0 (r)ξ0 (r ) ξ0 (r)ξ2 (r ) = ξ2 (r)ξ2 (r ) = N0 δ(r − r ), = 0.
Consequently, the charge ﬂuctuations are ρ(r)ρ(r ) = 2e2 N0 δ(r − r ) . (7.5)
Let us now consider a sphere of radius R where there is ∼ N0 R3 complexes. The typical charge in the sphere is e2 (N0 R3 )1/2 , the resultant potential being e2 (N0 R3 )1/2 /R. It diverges as R → ∞, and one has to allow for screening. We will check later that the screening potential varies little over a distance between the complexes. Therefore, one can employ the selfconsistent ﬁeld approximation. As a result, we and at the Poisson equation ∆φ = − 4π 4πe ρ(r) − [N2 (µ + eφ) − N0 (µ + eφ)] . κ κ
Here ρ(r) is a Gaussian random function whose correlator is given by (7.5). This approach is consistent at eφ(r) µ when only small number of complexes are responsible for screening. At the same time, the majority of complexes contribute to charge ﬂuctuations and are uncorrelated. 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 . 2 r0 κ dφ Substituting the expressions for the complex concentrations we obtain r0 = 0.58NA
−1/2
ND = 0.58ND
1/6
−1/3
K −1/2 .
see Fig. Solid line shows the conduction band edge.3 (r ND ) another positively charged donor. All the above results are applicable only at very small K.05.3. Indeed. The condition can be rewritten as K −1/2 0. γ pi γ = 2e2 φ(r) 2 = 0. the concentration of occupied donors. the binding energy being ∼ E0 . It is assumed that the second donor is empty. . Thus all the electrons are able to ﬁnd proper donors whose potential is lowered by the potential of charges neighborhood.7: Energy diagram of highly compensated semiconductor. occupied states are shaded. 153 In a standard way. To understand the structure of the DOS tail consider a certain donor having at small −1. High degrees of compensation Now we turn to the case 1−K 1. n = ND − NA ND . Its inﬂuence at r a is just = −e2 /κr. It is Gaussian. IMPURITY BAND FOR LIGHTLY DOPED SEMICONDUCTORS. Thus the Fermi level is situated well below −E0 .26 DK 1/4 . Thus a pair can contain only 1 electron.7. to get a Gaussian −1/3 ﬂuctuations one has to assume r0 N0 or 3 4πN0 r0 /3 1. 1 F (eφ) = √ exp[−(eφ)2 /γ 2 ] . one can determine the distribution function near the Fermi level. 7.7 Figure 7. In this case.
154 CHAPTER 7. + d ). 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 excess ﬂuctuating density is ∆N = (Nt R3 )1/2 /R3 . How the screening takes place. 3 Nt rs )1/2 n= 3 rs → 22/3 Nt rs = . Now the Fermi level (at T = 0) is easily found from the conservation law µ g( ) d = n . This is purely classical result. we get µ=− D 21/3 (1 − K)1/3 . a. In this way we get for a typical potential energy of an electron. It is valid only at rµ Longrange ﬂuctuations At 1 − K 1 it is a large and important eﬀect because screening is weak. (1 − K)2/3 −1/3 The random potential amplitude is γ(rs ) = e2 Nt . κn1/3 2/3 It increases with decreasing n. Here we disregarded the states with several extra electrons which are important very deep in the gap. where r( ) = e2 /κ . . The probability to ﬁnd another donor is 4πND r2 (dr/d ) d . κR It also diverges at large R. −∞ As a result. Nt . γ(R) = e2 (Nt R3 )1/2 . One has to multiply this quantity by ND and divide by 2 (pairs!) to get g( ) = 3 2 3 D ND 4 . of donors and acceptors. DOPED SEMICONDUCTORS To ﬁnd g( ) let us calculate the concentration of pairs having the energy in the interval ( .
let us consider such a pair. We used such a concept to discuss Anderson localization. . Dissipation by an isolated pair One can discriminate between two absorption mechanisms. The modulation lags in phase comparing to the ﬁled due to relaxation. The second mechanism is due to phononassistant transitions – an external ﬁeld modulates the occupation numbers of close pairs. o ∆/2 − E I ∗ I −∆/2 − E ψ+ ψ− = 0. As we have seen. ac conductance remains ﬁnite. To ﬁnd the dissipation one has to calculate the contribution of a single pair. As a result. Consequently. Consider a close pair of localized states. Below we consider both mechanisms. a ﬁnite dissipation appears. which must satisfy matrix Schr¨dinger equation. The ﬁrst one is resonant absorption due to direct absorption of photons accompanied by transition between the states ψ + and ψ − .7.6) (7. Here the origin for energy is taken at ( 1 + 2 )/2. Deeply in the insulating phase the most probable is to ﬁnd only pairs of localized states which are separated by the distances much less than the average.7) Thus at ∆ I either c1 or c2 is close to 1. AC CONDUCTANCE DUE TO LOCALIZED STATES 155 7. To analyze the physics of dissipation. c2 ∆±W (7. and collectivization does not occur. However. while ∆ ≡ 1 − 2 .4. the electronic states being localized. the quantum states of an electron sharing the pair can be expressed through onecenter wave functions as ψ± = c 1 φ 1 ± c 2 φ 2 . E+ − E− ≡ W = ∆2 + 4I2 . c1 2I(r) = . The reason is that an electron (or hole) can hop between the adjacent localized states giving rise to a ﬁnite energy dissipation. The secular equation is thus E 2 − (∆/2)2 − I2 = 0 → E± = ± (∆/2)2 + I2 . and then sum the contributions of diﬀerent pairs. at low temperatures dc conductance vanishes in the insulating phase.4 AC conductance due to localized states As we have seen.
(7. 2. There is one state with the energy E2 = 1 + 2 + e2 . the probability to ﬁnd a pair with 1 electron. while i include Coulomb interaction with other neighbors. q= 2π hω ¯ E− − µ eE0 −r+ 2 δ (¯ ω − W ) exp − 1 h h 4Z ¯ kT 1 − exp − hω ¯ kT .10) describes 4 states of the pair: 1. the lower level to be occupied is − 1 E1 − µ n− = exp − . The pair has no electrons. The pair has 1 electron. Z kT E− − µ E+ − µ E2 − 2µ Z = 1 + exp − 1 + exp − 1 + exp − kT kT kT . 2 3. The occupation number n+ = n− exp(−W/kT ). The pair has 2 electrons. DOPED SEMICONDUCTORS The resonant absorption is due to transition of an electron from the state with the energy E − to the state E + .10) Here ni are the occupation numbers. and we obtain ﬁnally. 1 2 κr (7. The Hamiltonian (7.2 = 1 n1 + 2 n2 + (7. The energy E0 = 0.11) . κr Consequently.156 Resonant contribution CHAPTER 7. Let us write down a twosite Hamiltonian H1. There are two states with energies ± E1 = 1 + 2 2 ± W .9) e2 n1 n2 + I(r)(a+ a2 + a+ a1 ) .8) 2π hω ¯ eE0 −r+ 2 δ (¯ ω − W ) (n− − n+ ) . h h 4 ¯ (7. 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.
4. 2 (7.c. uik (rj ) = Thus. exp[W (t)/kT ] + 1 W (t) = [∆ + eE(t) · r]2 + 4I(r)2 . 1 + [ωτ (W.] one easily obtains the relevant contribution to the absorbed energy as q= We get q= eE0 · r2 2 ∆ W 2 ω 2π 2π/ω 0 ˙ dt W (t)n1 (t) .14) The last factor is just −(∂n0 /∂W ). σ1 = 0 1 1 0 . r) 1 . σ2 = 0 −i i 0 . Substituting n+ (t) = n0 (t) + n1 (t) . Λik uik (r1 ) − Λik uik (r2 ) σ3 . To calculate the dissipation one has to specify the relaxation time. r)]2 4kT cosh(W/2kT ) (7. Under inﬂuence of the phononinduced strain the energy of each (j) component of the pair acquires the term proportional to the strain tensor. which depends in general on W and r.16) where Λik are the component of the deformational potential tensor for each component.15) Here we introduce Pauli matrices.7. To construct the Hamiltonian. ω 2 τ (W. let us start with the unperturbed one. n1 (t) ∝ [e−iωt + h. ik (7. To do that let us specify the Hamiltonian to describe coupling between localized electrons and phonons. 1 ˜ Hint = 2 (j) 1 2 (1) ∂ui (rj ) ∂uk (rj ) + ∂xk ∂xi (2) . ∂n+ n+ − n0 (t) = . H0 = 1 2 ∆ 2I(r) 2I(r) −∆ = ∆ σ3 + I(r)σ1 . ∂t τ Here n0 (t) = 1 . .12) (7. 157 (7.13) while τ is the population relaxation time. AC CONDUCTANCE DUE TO LOCALIZED STATES Relaxational contribution To analyze this contribution one has to consider the balance equation. say for n+ (t). σ3 = 1 0 0 −1 .
Summation over the relevant pairs. It is dependent on several characteristics of the electronphonon interaction which we do not discuss now. it is convenient to rewrite (7. ˆ T = cos χ − sin χ sin χ cos χ = ˆ cos χ − iσ2 sin χ . σ1 σ2 = iσ3 we obtain the interaction Hamiltonian in a new basis. 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. 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. Resonant contribution For simplicity. − E1 − µ < E2 − 2µ . DOPED SEMICONDUCTORS Now we can make the transformation to a new basis which makes the Hamiltonian H0 diagonal.17) We are interested in the item proportional to σ1 which is responsible for phononassisted transitions between the levels. (7. let us assume low temperatures. Using Fermi golden rule to calculate the relaxation rate. 1 It means that one can introduce the variables ∆ = instead of 1 and 2 . we get 2 1 2I(r) 1 = .18) τ (W. One can show that P ≈ 1 at − 2 − and E1 = ( 1 + 2 − W )/2 e2 − − − W < E1 − µ < 0 .16) in the form H0 = W 2 cos χ sin χ sin χ − cos χ . σ2 σ3 = iσ1 . (7. Now we can proceed adding the contributions of diﬀerent pairs that appears rather tricky. cos χ ≡ ∆ . T ≤ hω/k. Then n− − n+ ≈ 1 at ¯ − E1 − µ < 0 . σ3 σ1 = iσ2 . r) τmin (W ) W Here we have extracted the coordinatedependent factor (2I(r)/W )2 = 2I0 exp(−2r/a). W Then one can represent the old basis through the new one as φ1 φ2 ˆ =T ψ+ ψ− . Technically. 2 σi = 1. κr .158 CHAPTER 7. ˆ ˜ ˆ 1 Hint = T −1 Hint T = 2 Λik uik (r1 ) − Λik uik (r2 ) ik (1) (2) ∆ 2I(r) σ3 − σ1 W W .
Substituting expression (7. As a result.7. . 2 .8: Energy scheme of absorption by a pair with the length r with allowance of Coulomb interaction. 7. r) . I(r) ∝ exp(−r/a). (7. When the center of Figure 7.4.19) 2 E0 E0 2 For the simplest (Anderson) model g( ) = g0 Θ(A/2 −  ).20) for the contribution of a single pair we get (at T = 0) σ(ω) = 2 8π 2 e2 g0 3¯ h ∞ rω hω + ¯ e2 κr r4 I 2 (r) dr [(¯ ω)2 − 4I 2 (r)]1/2 h ... .8. one can replace r apart from exponential functions by a proper characteristic length rc (which is diﬀerent for the resonant and the relaxational contributions).. 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. → W + 159 e2 . 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. We deﬁne 2 i qi 1 σ(ω) = = 2 dr d 2 g( 2 ) d 1 g( 1 ) q( 1 . AC CONDUCTANCE DUE TO LOCALIZED STATES and − dE1 (n− = n+ ) . Now we are ready to specify the results for low temperatures. As a result. κr One can explain qualitatively this factor as follows from Fig. The full scheme of calculations can be described as follows.
r) of the energy and spatial spacings (W and r) one obtains σ(ω) = e2 π 2 ω 3kT ∞ 0 r4 dr 0 ∞ F (W.14) which assumes that there are only the pairs with one electron. ¯ 3 Relaxational contribution Let us start with expression (7. Thus let us deﬁne τ = τ0 exp(2r/a) . r) is a smooth function of r comparing to τ (W. r) dW τ . 2 2 4 σ(ω) = π 2 e2 ag0 hω 2 rω . h This estimate is valid within all the region hω. 2 − 4 cosh [(E1 − µ)/2kT ] Thus. and (n− − n+ ) ≈ tanh(¯ ω/2kT ) .160 = where CHAPTER 7.20) (7.21) The case of ﬁnite temperatures is more complicated. h (7.22) We will see later that F (W. At kT e2 /κrω . hω ¯ ± both states E1 fall into the layer ≤ kT around the Fermi level. r) ∝ exp(2r/a) . 2 cosh (W/2kT ) 1 + ω 2 τ 2 (7. kT ¯ e2 /κrω . Introducing the distribution function F (W. However the occupation ± numbers of the states E1 become very close. At the region hω ¯ kT e2 /κrω − the width of integration over E1 remains essentially the same. The case of very large temperatures can be considered in a similar way. DOPED SEMICONDUCTORS 2π 2 2 2 e2 4 e g0 aωrω hω + ¯ 3 κrω rω = a ln(2I0 /¯ ω) . the diﬀerence (n− − n+ ) being 1 (n− − n+ ) ≈ .
the temperature dependence being determined by the properties of the functions F (W. The integration is very simple for the Anderson model (g = g0 = const). r) dW 1 . one has G≈ As a result. 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 ) . r). spatial distance r. 2 cosh (W/2kT ) τ0 (W.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 . 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 )] . The properties of the ratio G= ωτ ωτ0 exp(2r/a) = 2 2τ 2 1+ω 1 + ω 2 τ0 exp(4r/a) 161 depend strongly on the product ωτ0 . At ωτ0 ≥ 1 .4. F (W. It is important that for the relevant pairs W ∼ kT . Here f0 is the Fermi function. σ appears ωindependent. tanh(W/2kT ) . π F (W. r) (7. ωτ0 ∞ 0 r4 e−2r/a dr F (W. In the absence of Coulomb interaction. AC CONDUCTANCE DUE TO LOCALIZED STATES where τ0 is a smooth function of W and (in general) r. cosh2 (W/2kT ) (7. r) and τ0 (W. r) = g0 [W 2 − 4I 2 (r)]1/2 2 ∼ g0 kT . r = rT ∼ (a/2) ln(2I0 /kT ). σ(ω) = e2 π 3kT ∞ 0 r≥a 1 exp(−2r/a) .23) Thus.7. rcω ) dW ∝ ω. In that case 2 F (W.
3. n · 10−17 . 4 – 12.9 The main features are: Figure 7.02. . r) = g0 e2 [W 2 − 4I 2 (r)]1/2 W+ W κr . 6 – 65. 2 F (W. cm−3 : 1 – 0. DOPED SEMICONDUCTORS Coulomb interaction changes the situation.5 Interband light absorption A typical experimental picture of frequencydependent light absorption in heavily doped degenerate GaAs is shown in Fig.2. • rapid decrease of absorption (4 orders of magnitude) inside the forbidden gap (1. 1. 7.5. • Shift towards short waves with increasing concentration (MossBurstein shift). 2 – 2. 3 – 5.162 CHAPTER 7. and one has to calculate the number of pairs taking into account electron repulsion at the same center. Thus at kT e2 /κrcω the absorption is essentially temperatureindependent at ωτ0 7.9: The absorption coeﬃcient as a function of the energy of light quanta at 77 K in nGaAs. At low enough at kT e2 /κrcω that leads to the result similar to the one discussed above.2. 5 – 16. 6 – 31.51 eV at 77 K).
The situation is realized at high temperatures or degrees of compensation. Thus. ¯ Another important source which we are going to discuss are transitions from ﬂuctuation levels above the top of valence gap. 7. The impurity potential is regarded as Coulombic at short distances r ≤ r0 and screened at large distances. INTERBAND LIGHT ABSORPTION 163 The last feature is due to Pauli principle which requires that the transitions should take place only into empty states (above the Fermi level). we also neglect the correlation in defect positions. For indirect transitions the shift is equal to µ while for direct ones it is µ(1 + me /mh ). see Fig. 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 ). This picture is Figure 7. 7.5. relevant to very low temperatures. Assume that there are impurities of both signs. γ= e2 3 (Nt r0 )1/2 . κr0 . This probability must be multiplied by the transition probability which is not exponentially small in many important cases. α ∝ exp[−(µ + Eg hω)/kT ] .7.10. Thus. The situation is somewhat diﬀerent in the case of nondegenerate materials where the Fermi level is situated deep in the forbidden gap. as well as in indirect materials. Mathematically. Let r0 be large enough to consider the potential as classical. 2 2 me r0 mh r0 γ. Fig. Nt = ND + NA .10: Scheme of typical interband absorption processes.11 We see that the absorption is proportional to the probability to ﬁnd a level with the energy h = Eg + µ − hω which decays exponentially ¯ with h . the frequency dependence of absorption in degenerate doped semiconductors reproduces the DOS proﬁle for minority carriers. that can be expressed as h2 ¯ h2 ¯ .
What we meet here. 7. In such an important case the absorption behavior does not represent the behavior of DOS. electron of energy e and a hole of energy h.12 Suppose we are studying the transition which results in the formation of an Figure 7. One can show that in such a case the DOS tail can be represented as g( ) = g(0) exp(− 2 /γ 2 ) .164 CHAPTER 7. We observe that the electron and hole are spatially separated.12: Absorption of a quantum of deﬁcit ∆ in a nondegenerate semiconductor. is the FranzKeldysh eﬀect in a random ﬁeld. . Thus the matrix element involves overlap integral which has almost nothing to do with DOS. see Fig. DOPED SEMICONDUCTORS Figure 7.11: Scheme of interband transitions in a degenerate semiconductor at T = 0. ∆= h − e (here the energies are calculated from the nonperturbed band edges).
INTERBAND LIGHT ABSORPTION 165 To derive the result we use the conventional optimum ﬂuctuation method. 2. and the ˜ optimal cluster has the size r0 .5.7. Charge ﬂuctuations in the volume create a uniform electric ﬁeld E.25) The contribution of such a ﬂuctuation to the absorption coeﬃcient is proportional to 1. In the opposite case. the probability to ﬁnd the proper ﬂuctuation decreases. e e (7. α(∆) ∆ = exp −β α(0) E0 ˜ R ≤ r0 . The excess number Z of charge defects to create the ﬁeld E = Ze2 /κR2 must be Z= EκR2 κR∆ = 2 .25) we obtain the probability to be proportional to √ R me ∆ κ 2 ∆2 exp − 2 − . e Nt R h ¯ Maximizing the exponent. we obtain ˜ R=a Consequently. In that situation one has to substitute r0 instead of R to obtain α(∆) ∆2 = exp − 2 . exp −R m2 ∆/¯ h (we assume mh m2 ). The derivation is valid at . (Nt a3 )1/2 1 (Nt a3 )1/2 where β is the number of the order 1. Consider a volume with linear dimension R. α(0) γ 1/2 ∆ E0 1/2 1 . Substituting Z from Eq. the probability for an electron to tunnel the distance R to meet the hole. exp(−Z 2 /Nt R2 ) . Here we demonstrate a simpliﬁed version of the method. determined by the condition eER = ∆ . the probability to ﬁnd Z excess charges in the given volume. (7.
DOPED SEMICONDUCTORS .166 CHAPTER 7.
mc = 1 ∂S(ε. according to deﬁnition. 2π ∂ε p2 p2 x + y mx my = 1. Find the cyclotron eﬀective mass and compare it with the densityofstates eﬀective mass deﬁned as √ 3/2 1/2 2md ε . ε(p) = ε for a given pz . The equation for the electron trajectory.Chapter 8 Solutions of the Problems Chapter 1 1. pz ) = π(2ε − p2 /mz ) mx my . has the form 1 2ε − p2 /mz z This is the ellipse having the area √ S(ε. According to the deﬁnition of the density of states. g(ε) = Introducing new variables as √ px = ξ 2mx . pz ) √ = mx my . g(ε) = π 2 h3 ¯ Solution. py = η 2my . 167 √ py = ζ 2mz 2 (2π¯ )3 h dpx dpy dpz δ[ε(p) − ε] .0 An electron with a energy spectrum p2 p2 p2 x ε(p) = + y + z 2mx 2my 2mz is placed into a magnetic ﬁeld parallel to zaxis. z Thus. .
2. ζ −ε T .168 we obtain that CHAPTER 8. Then − ∂f0 ∂ε = 1 exp(ζ ∗ − x) . σ0 ∝ τ0 (T ).1.16). Γ(5/2) 1. SOLUTIONS OF THE PROBLEMS md = (mx my mz )1/3 . f0 (ε) = exp and that τtr (ε. mω 2 τ0 (T ) Γ(5/2) Γ(r + 5/2) . 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). For zero temperature we have g( F ) = 3n 3n ∂n = = . 2 ∂ F 2 F mvF ne2 τtr . Compare thermoelectric coeﬃcitns η for degenerate and nondegenerate electron gas. σ(ω) = ne2 mω 2 1 τtr = ne2 Γ(5/2 − r) . . Solution. σ= from the expression σ = e2 D( F )g( F ) . Assume τtr (ε. T ) ∝ εr . T ) = τ0 (T )(ε/kT )r . 1. Solution. Assume that that the electrons obey Boltzmann statistics. 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 Solution Using the deﬁnition of Drude conductance we get τtr = τ (T ) Thus. At large frequencies. T g(ε)D(ε)(ε − ζ) = g(T )D(T )T (x − ζ ∗ )xr+3/2 .3. m 1. 1. Derive the Drude formula (2.
d g(ζ)D(ζ) g(ζ)D(ζ) = (r + 3/2) . Similarly. e 3 ζ 1. 2 dr r dr 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 1 d = r2 dr (ru − u) = ur .4. the Laplace operator for the angleindependent case being 2 ϕ= 1 d dϕ r2 . e Note that n = e g(T )T Γ(3/2) In the Fermi gas. u r2 = . 1. ζ ζ Thus according to the deﬁnition. We have the relation κ = β − T ηα. k π 2 kT α = − (r + 3/2) . Solution. ϕ= Ze −r/rs e . 2n ∗ . Derive the expression (2.169 Thus η = −eg(T )D(T )eζ∗ ∞ 0 dx (x − ζ ∗ )xr+3/2 e−x = −eg(T )D(T )eζ∗ [Γ(r + 7/2) − ζ ∗ Γ(r + 5/2)] . σ0 = e2 g(T )D(T )eζ∗ Γ(r + 5/2) . Using the WiedemannFranz law Compare the coeﬃcients κ and β for a typical metal. Thus. introducing k we get k α = − (r + 5/2 − ζ ∗ ) . The ratio T ηα/β (according to the WiedamannFranz law) has the order T η 2 e2 ≈ 2 σT σkB kB T F 2 ζ∗ → √ πg(T )T ζ = − ln . r Solution.22) for the screened Coulomb potential.5. In a spherical symmetric system it is natural to chose spherical coordinates.
One should calculate the matrix element v∝M = where q = k − k. Derive the expression for the solution of the Boltzmann equation G = eτtr ∂f0 E + (µ/c)2 (HE)H + (µ/c)[EH] . 2 D + 1/τ )2 + ω 2 2 /κ2 )2 + ω 2 τ 2 (q. 1.6. W (θ) = 4πni v e2 / 2 2ε(1 − cos θ) + h2 /2mrs ¯ 2 Solution. 1. Solution We have 1 1 ω/τM 1 ωτM =− =− . q q s d re 3 iqr 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) h we get the result.8 Using the expression (2. ∂ε 1 + µ2 H 2 /c2 Use this expression to ﬁnd the conductivity tensor. Derive the expression (2.170 CHAPTER 8. 2 rs rs 1.7. The calculation of the conductivity tensor is straightforward.39).57) ﬁnd imaginary part of 1/ (q. SOLUTIONS OF THE PROBLEMS Substituting this expression to the Poisson equation we get u − r 1 u = 0 → u ∝ exp − .23). ω) 0 (q M 0 (1 + q M . β and γ and then substtitute them into initial expression for G. We have 1 M = 2π 0∞ rdr −1 d(cos β) exp (iqr cos β) · exp − rrs = 2π = 4π 0∞ dr sin(qr) exp − rrs = 4π Im 0∞ dr exp(iq − r1s )r = q2 +r−2 . Solution Use the relatuion (2. determine the coeﬃcients α. ω) which is responsible for damping of the wave of electrical polarization.
. Derive the dispersion relation for electromagnetic waves in metals. Start from the equation q 2 = 4πiωσ/c2 and substitute σ = iaσ0 /ql. = v 2 cos2 θ + 3 q2v2 q2v4 4 1 cos θ = v 2 1 + .2. 2. + .171 Chapter 2. 2. Solution. . ω2 3 5 ω2 Consequently. 5 Thus. 2 ω 1 − (ωp /ω 2 )(qrT F )2 or 2 ω ≈ ωp (1 + 7q 2 rT F /5) . Derive the equation (3. We have 1 qv qv 1 = −i 1 + + −iω(1 − qv/ω) ω ω ω The longitudinal conductivity contains 2 vz 1 + 2 eiπ .3). we come to the dispersion equation 2 ωp (1 + (9/5)(qrT F )2 ) 1− 2 = 0. Derive the dispersion law for plasmons.1. Solution. . 2. . qz vz qz vz + ω ω 2 + . det q 2 δik − qi qk − 4πiω σik = 0. 1 2 δ= =√ Im q 3 c2 4πσω0 b 1/3 ..3. We start from the Maxwell equations curl H = 4π j. the dispersion equation for the Fermi gas has the form 1− 2 2 ωp 3 q 2 vF 1+ 2 ω2 5 ωp 2 = 0 → ω 2 = ωp 1 + 2 3 q 2 vF 2 5 ωp 9 2 = ωp 1 + (qrT F )2 . σik Ek we come to the result. We get q 3 = −4πaωσ0 /c2 = 4πaωσ0 /c2 The folowing way is straightforward. c curl E = − and take the curl of the second one with the identity curl curl E = grad div E − After the substitution ji = k E. c2 1 ∂H c ∂t 2 Solution.
kl qi ukl =i . 3.9) (δn)ω = − σ q 2 φω . e(−iω + Dq 2 ) . Compare electrical and mechanical energies carried by the wave in a piezidielectric. = − ω 2en Then. we have from (4. Find the relation between the amplitudes of electric ﬁles and deformation for the case of acoustic wave in a piezoelectric semiconductor. Solution. Taking into account the Poisson equation div D = 4πe(δn) together with the expression (4.kl qi qk ul 2 Qe =χ= . ω) q2 0 −iω + q 2 D + 1/τm (8. q 2 (q.kl qi ql uk 2 = . Solution. 2 8π 2 0q 2 The mechanical energy can be estimated as Qm = 2ρ Thus ω 2 u2 1/2 2 2 2 i = w q ui  .2. 2 4 2 Qm 0 ρw q ui  3. n time ) Solution. The density of electrical energy in the insulating sample is Qe = ED = 4π 0q φ2 1 4πβi.172 CHAPTER 8. 2 ρ 4πβi. SOLUTIONS OF THE PROBLEMS Chapter 3.9) yields φ=i 4πβi. Compare electrical and mechanical energies carried by the wave. Using the hint we write jdc = σ ∗ [(δn)ω Eω ] 2en qσ [(δn)ω φ∗ ] .6) for the electrical induction D and expression (4.kl qi ukl −iω + q 2 D 4πβi.3. Thus jdc = ≈ σE − eD(∂ δn/∂x (δσ)E σ = (δn)E . Find dc current induced by a acoustic wave in a nondegenerate piezoelectric semiconductor.1. Hint: A dc current appears in the second approximation in the wave amplitude.1) 3.
Finally we obtain jdc = σΓS . ω As a result. iW s(2n + s) = 2 W cos(πnz/W ). S as χS. n odd sin(πnz/W ). s Chapter 4 4. Solution Normalized wave functions are g n (z) = Thus.173 As a result.1 Calculate dipole matrix element for the transitions between adjacent subbands in a rectangular quantum well with inﬁnite potential barriers. jdc = σ enw φ0 2 q 2 ωτm ω q . 2 /κ2 )2 + ω 2 τ 2 4π 0 (1 + q m Here w is the sound velocity The coeﬃcient 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. jdc = σ en 2 2 0 φω  q 4π q ω2 ω/τm . n even . The the product χq (1 + ωτm 2 /κ2 )2 q 2 + ω 2 τm is nothing else than the absorption coeﬃcient Γ. as ω φω = φ0 / (q. φ0 . ω) . for odd n npz n + s n + spz n 2¯ W/2 h dz cos(πnz/W )(∂/∂z) sin[π(n + s)z/W ] = −i W −W/2 2¯ [2 sin(πsn/2) + sin(πs2 /2) + sin(πns + πs2 /2)](n + s) h = . Assume that light is polarized perpendicular to the well. + (q 2 D)2 Now we can express the actual potential φω through the bare one.
W 2n + 1 4.2 Make a similar calculation for a parabolic conﬁnement − U (z) = (1/2)mω 2 z 2 . The typical conﬁnement length is related to the frequency ω as W = h/mω → ω = h2 /mW 2 . The solution is similar.1 ] . SOLUTIONS OF THE PROBLEMS 4i¯ n(n + 1) h . W 2 . ¯ ¯ From textbooks in quantum mechanics. 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. Solution.174 For s = 1 the matrix element is CHAPTER 8. npz n + s = i √ h √ ¯ √ [ nδs.−1 − n + 1δs.
Part III Superconductivity 175 .
.
9. Magnetic ﬁeld does not penetrate the sample.1 General properties. Empirically. We will come back to the problem later. Empirical temperature dependence of the penetration depth is δ(T ) = δ(0) so δ → ∞ at T → Tc. They are • Zero resistance (KammerlinghOnnes. 177 1 1 − (T /Tc )4 . In many important case this eﬀect can be not complete. We discuss here the most important properties of superconductors which are deﬁnitely well known. • The MeissnerOchsenfeld eﬀect (1933). • To be more exact.1). the ﬁeld does exist inside a surface region with the thickness δ ∼ 10−5 − 10−6 cm where persistent screening currents ﬂow. the magnetic induction being zero. see below). Hc (T ) = Hc (0) 1 − (T /Tc )2 . B = 0 (see Fig. • Superconductivity can be destroyed also by external magnetic ﬁeld Hc which is also called the critical one (KammerlinghOnnes. • If the superconductivity is destroyed by the current the critical current is just the one which produces the ﬁeld Hc at the surface (the Silsby rule). The temperature Tc is called the critical one. (This rule is not valid for thin samples.Chapter 9 Fundamental Properties of Superconductors 9. 1911) at T < Tc . 1914).
there is a discontinuity of the speciﬁc heat. If we denote js = −ns ev(r) . It means that the properties of electron system change also continuously. tunnel eﬀect and so on. while Ekin is connected with persistent currents. • There are other arguments in favor of the gap in the excitation spectrum. So. Nevertheless. Contrary. it is convenient to use the local magnetic ﬁeld h(r). it should vanish at the transition point.1: The Meissner eﬀect. if H = 0 (i. resistivity changes abruptly. electromagnetic and sound absorption which has the threshold hω = 2∆ (because a ¯ pair of excitations is created by a quantum). it is continuous at the transition point. At the same time. • The penetration depth continuously changes from the ﬁnite value to inﬁnity at Tc . • The phase transition to the superconducting (SC) state in the absence of magnetic ﬁeld is the type II one. But this gap is strongly temperature dependent contrary to semiconductors. • 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. one comes to the conclusion that it is a new type of condensed state. Rather. FUNDAMENTAL PROPERTIES Figure 9. the induction being ¯ B = h. Indeed.e. One can write the free energy as F= Fs dV + Ekin + Emag where Fs is the free energy on the condensed system. there in no hidden heat. namely. The London Equation In the following.178 CHAPTER 9. As a result. In this case one would expect great increase of the thermal conductivity. One could imagine that electrons do not interact with the lattice in the SC state. at T < Tc ) the transition is the type I one.
div h = 0. Now we get the equation for h that provides the minimal free energy.2) 4πns e2 At low temperature it is natural to assume that ns = ne .1. for the minimum we get the London equation 2 h + δL curl curl h = 0. 8π 4π js . curl h = (4π/c) js . As a result. 9. 1 We assume that the velocity is a slowvarying function of coordinates.1).3) which should be analyzed together with the Maxwell equation (9. c (9. The ﬁeld cannot be normal to the superconductor surface. We get F0 = Fs dV δL = 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. GENERAL PROPERTIES. we obtain ∂h/∂z = 0. We have 2 h + δL curl curl h = 0. h = const. (9. From the London equation. check!). the surface is the (x. with the density of superconducting electrons. . (9. ﬁeld and current depend only on z. h2 dV. y) plane. F = F0 + with 1 8π 2 h2 + δL curl h2 dV 179 1 2 ns mv 2 dV. js = 0. for orderofmagnitude estimates we get for δ ∼ 500 ˚ for simple metals like Al and Sn (m ∼ m0 ) and ∼ 2000 ˚ A A for transition metals with large m.1) mc2 . The Meissner eﬀect For the simplest geometry. If h z. ns . 1. Then. Consequently. curl h = 0.2. h = 0.9. curl h = As a result.1 Ekin = The energy of magnetic ﬁeld is Emag = Then. Fig.
we have proved the concept of the penetration depth. Thus.180 CHAPTER 9. dz mc δL 4π The solution is h(z) = h(0) e−z/δL . y. 2. So. Penetration depth. the . If h x the equation div h = 0 is automatically met.2: The Meissner eﬀect. and we get j Maxwell equation is dh 4π = js dz c and the London one n s e2 h c djs = h= 2 . FUNDAMENTAL PROPERTIES Figure 9.
10. cL h2 . In a normal state.Chapter 10 Magnetic Properties of Type I Superconductors 10. 181 .1: Magnetic properties of a long cylinder. 8π 2 2 2 Fn = πr0 LFn + πr1 L 2.1.1 Thermodynamics in a Magnetic Field. Consider a long cylinder shown in Fig. In a SC state Fs = 2 πr0 LFs + 2 π(r1 − h 2 r0 )L 8π . 1. the ﬁeld is homogeneous h= 4πN I . Figure 10.
Here we have neglected surface eﬀects – penetration of the ﬁeld inside the sample and kinetic energy of surface currents (r0 δ). 10. 4π Now we can derive several important relations. As a result. Let us ﬁnd the diﬀerence Fn − Fs . We have proved that at H = 0 L = 0 (type II transition). 1 = − T 4π Tc dHc dT 2 Tc .182 CHAPTER 10. 4π dT It is known that at T → Tc Hc → 0 while dHc /dT remains ﬁnite. At the transition the magnetic ﬂux Φ decreases. at h = Hc . F n − Fs = As a result. the work being s V I dt = − If we keep the current constant V I dt = In the equilibrium. 8π Fn − Fs = 2 Hc . c dt 2 NI NI 2 2 h (Φn − Φs ) = πr0 h = πr0 L . n N dΦ I dt. the voltage V is induced. .. dT Ss = − dFs → dT Sn − Ss = − the hidden heat being 1 dHc Hc 4π dT dHc T Hc > 0. PROPERTIES OF TYPE I . Let us ﬁx the current I and change the temperature. c c 4π 2 V I dt = πr0 L 2 Hc . The speciﬁc heat step is L = T (Sn − Ss ) = − d (Sn − Ss ) Cn − Cs = T dT This relation is conﬁrmed by experiments. The entropy Sn = − dFn . 1.2 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.
PENETRATION DEPTH 183 To make this equation deﬁnite one should chose the gauge and the boundary conditions. [jn = 0]surface . As the same time. (10. The width of the layer in the pspace is δp ∼ 2∆/vF . In this case the potential can be considered as constant. the Eq. Nevertheless. Eq.2) To get C we apply this expression to the case of slowvarying vector potential. According to the uncertainty principle. for type I materials. if there is a gap ∆ in the excitations spectrum the electrons in the layer F ns e2 A mc (10.1) − ∆ < p2 /2m < F +∆ are correlated. As a result (see Problem 8. δL ζ0 .2. . and we should come to the London expression. (10. The materials with δL ζ0 are called the type II superconductors.3) C=− 4πmcζ0 The exact result can be obtained from the microscopic theory and it is much more complicated. R=r−r . The ﬁrst condition is just the continuity equation while the second is met in the absence of the currents ﬂowing into the sample.1) 3ns e2 . We see that the London equation is valid at δL ζ0 .1) is valid if both the current and ﬁeld slowly vary in space. In this section we are interested in the opposite limiting case.2) is a very good approximation and we will use it extensively. 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 R4 e−R/ζ0 dV . In such a gauge the current response is js = − with div j =0. The quantity ζ0 is called the coherence length. Usually the gauge div A =0. [An = 0]surf ace is chosen. (10. it means that the spatial size of the package is ζ0 = hvF ¯ π∆ (the factor 1/π is introduced for convenience).10. (10.
Fig. Consequently.4) . (10.184 CHAPTER 10. If the vectorpotential would be constant near the surface one would obtain j=− n s e2 A. 9. In reality. One can use the following rule.2) but perform the integration only over the points r which are accessible from the point r along the straight line (see Fig.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 ζ 0 . mc ζ0 Substituting this relation to the Maxwell equation (9. 10. (10. Let the vectors A.. (10. Let us return to our geometry. Penetration depth.2) is performed over the whole sample.2.2). 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.2: On the shadow eﬀect. j are parallel to z. Near the surface it is obviously incorrect.62 δL ζ0 . The integration in Eq. The exact theory is very complicated for this case. Figure 10. Let us keep Eq. mc ζ0 . 2 ζ mc 0 The exact theory leads to the extra factor 0. and we will apply the model considerations (Pippard).62 it this equation: 2 δ 3 = 0. PROPERTIES OF TYPE I .
1. ˚ δth .4). (10. in particular. Fig. The best way is study a cavity with SC walls. Another way is measuring the inductance of a coil near the SC surface. For clean metals one can obtain the ratio ne /m and vF from the speciﬁc heat data and calculate δL .5) This way was successful to explain many experimental results. The result is j(r) = C 4π 1 −1 3 ζ0 + −1 A(r).2) to get j(r) = C A(r ) · R R R4 exp −R 1 1 + ζ0 dV .1: Values of δ and ζ0 for 3 metals. It is just to introduce the facto exp(−r − r / ) in the integrand of Eq. Filed Penetration into Clean Metals and Alloys. R=r−r. δ while ∼ ζ0 δL ζ0 2/3 1. ˚ A A A Al 157 16000 530 490515 Sn 355 2300 560 510 Pb 370 830 480 390 Table 10. We see that the penetration depth increases with the increase of the impurity concentration. ˚ δexp . At δ one can integrate over R considering A(r ) as constant. It interesting to check the relation (10. A ζ0 .2. There are several conventional ways to measure the penetration depth: by magnetic susceptibility of small SC particles. or the inductance of a coil with long SC cylinder as a kernel (the Kazimir method). (10. ImpurematerialsaretypeIIsuperconductors. Clean Metals Now we brieﬂy discuss the experimental picture.10. on the alloys SnIn.3. . 10. or thin ﬁlms. while ∆(0) can be obtained from the similar measurements in the SC state. The comparison is given in the table 10. PENETRATION DEPTH ˚ Metal δL . so we can determine ζ0 . As a result δ ∼ δL ζ0 δL 1/3 185 1. Alloys The idea to take impurities into account in the simplest way belongs also to Pippard.
. 10. Figure 10. (10. We will discuss this complete dependence after considering microscopic theory. 10. If the ﬁeld is very low.4. Near Tc C ∝ Tc − T .3: The dependence δ vs We returned to the London equation j(r) = − which leads to the penetration depth δ = δL ζ0 at n s e2 A(r) mc ζ0 in SnIn alloys. 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 .5) remain valid at ﬁnite temperatures.186 CHAPTER 10. ζ0 . Fig. People often use the empirical relation given above which works relatively well. the Pippards relations (10. To discuss the penetration depth we have always used the long cylinder conﬁguration which provides constant magnetic ﬁeld at the surface.3 Magnetic Properties of Samples with an Arbitrary Shape Nature of the Intermediate State. PROPERTIES OF TYPE I . we have the Meissner eﬀect . One can retain the quantity ζ0 obtained for zero temperature while the factor C becomes temperaturedependent.2) and (10. δ.6) Temperature Dependence of the Penetration Depth As a prescription.
let us consider the plate in a perpendicular magnetic ﬁeld. div h = curl h = 0. In Slayers h = 0.(10. To keep the ﬂux constant we should ﬁx the fraction of SC volume to be ρ= ds . at the equator (θ = π/2) hθ = (3/2)H0 and at H0 = (2/3)Hc the maximal ﬁeld is just Hc . Fig. This state is called the intermediate one. and h =0 inside the sphere. the tangential ﬁeld component is 3 (hθ )r=a = H0 sin θ. As a result. 2 Thus. h = const.7) In this region the normal and SC phases coexist. In the N regions h z.. At the surface. As a result. What happens at f rac23Hc < H0 < Hc ? (10. in a very thin plate intermediate state exists at any ﬁeld H < Hc . To get the ﬁeld outside one should write the Maxwell equation div h = curl h = 0. . the ﬁeld at the interface being Hc .4: Field distribution near a SC sphere with the radius a. i.5). dn + ds h → H0 at r → ∞.e.7) is shape dependent. we get the solution for the region outside the sphere cos θ a3 h = H0 + H0 2 r2 that is just the ﬁeld of a magnetic dipole.3. We see the set in N and S layers. To study the system in more detail. Another boundary condition is (hn )r=a = 0 (the ﬁeld cannot be normal to a SC). It is clear that condition (10. ..ARBITRARY SHAPE 187 Figure 10. For example.10.
188 CHAPTER 10. the area being A(1 − ρ) while the ﬁeld is equal to Hc . Indeed. Figure 10..). etc. all space (10. As a result. generators. and the ﬂux is AH0 where A is the ﬁlm’s area. Hc We cannot determine the thickness dn. 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 . Adding the magnetic energy (h2 /8π) dV we get F= sample Fs dV+ (h2 /8π) dV. Free energy Consider a system consisting of the sample and external objects (coils. Inside the ﬁlm the total ﬂux penetrated only the normal regions. h = H0 . Important Thermodynamics Relations Now we introduce the most important concepts of thermodynamics to use them in the following chapters. far away the ﬁeld is homogeneous. AH0 = A(1 − ρ)Hc → ρ = 1 − H0 .8) . To get the free energy one should add the entropy contribution−T S. PROPERTIES OF TYPE I . Thus U − TS ≡ sample Fs dV.s from geometry consideration and need to discuss thermodynamics.5: Field distribution in a plate embedded in a transverse ﬁeld.
In those case it is convenient to introduce magnetic induction B(r) as the average ﬁeld at the distances ∆x.ARBITRARY SHAPE Magnetic induction 189 In many cases. As a results.. 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. (10. c div B = 0. As a result.10) is rather formal.3.10) 4π where we have introduced the factor (1/4π) just for convenience.12) . the induction B should also change. The function H(r) deﬁned in such a way is called the magnetic ﬁeld. 4π¯ j. 4π 4π h = B. outside the sample the thermodynamic ﬁeld H is the same as the microscopic ﬁeld. curl E = − c δt This electric ﬁeld leads to the work δt je E dV upon the external currents. Expanding the free energy in powers of δB(r) we get 1 δF = H(r) δB(r) dV (10. the electric ﬁeld E appears in the external circuit according to the Maxwell equation 1 δB . According to this deﬁnition ¯ B = h inside the sample B = h outside . To understand its physical meaning we consider the situation when no external currents ﬂow into the sample. Outside the sample h δh H δB = . but much less than the sample’s size. etc. while the work produced by these currents is δW = −δt je E dV.. we will face the problems when the ﬁeld changes at the scale ∆x which is small in comparison with the sample’s size. In this case ¯ = ¯s + je j j where je is the current density in the external coils. The deﬁnition (10. We have curl H = 4π je . . c (10.9) Consequently.11) To prove this expression let us assume that the induction B(r) has the variation δB(r) for the time δt. (10.10.
10) δF = δt 1 4π H δB c dV = −δt δt 4π H curl E dV c 4π [E × H] ds = −δt c 4π 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. Now we return to the deﬁnition (10. 8π 8π condensation energy . after the integration by parts.190 CHAPTER 10. it is known from the thermodynamics that for reversible processes this work should be equal to the variation of the free energy.. experimentally both the external currents and the temperature are kept ﬁxed. (10. Neglecting the last term and comparing the result with Eq. To take it into account it is convenient to construct a special thermodynamic potential G=F− Consequently. PROPERTIES OF TYPE I . Thermodynamic potential at ﬁxed T and je If both the temperature and ﬁeld are changed δF = 1 4π H δB dV − S δT.13) 4π ¯ ¯ Because div B =0 one can put B = curl A where A is the “macroscopic” vectorpotential. 1 B · δH dV − S δT.12) we prove Eq. This is just the potential which should be minimized at ﬁxed T and je . (10. Usually.11). To get the equilibrium at ﬁxed T and B one should minimize F. δG = − S δT + δG = − 1 4π 1 ¯ curl A · δH dV = 4π 1 ¯ A · curl δH dV = c ¯ A · δje dV. On the other hand. δW = δF. If the magnetic ﬁeld in a normal state if hn B = (1 − ρ)hn + ρ · 0 = (1 − ρ)hn . Magnetization Curve in the Intermediate State To get the magnetization curve B(H) let us calculate the Gpotential for the sample. The free energy density is F = Fn − 2 2 ρHc +(1 − ρ) hn . (10. 1 4π B · H dV. Then.
curl H = 0. The distribution of magnetic ﬁeld can be obtained from the set of equations div B = 0. .vector H does not change along the force line and it is the .ARBITRARY SHAPE 191 Here we dropped the interface energy at S − N boundaries. Applications. (H · straight one. 4π 8π 8π(1 − ρ) 4π 2 ρHc B2 + . 1. 2. B H = Hc B and usual boundary condition of continuity of Bn and Ht (normal component of induction and tangential component of the ﬁeld. These relation are equivalent to the conventional relation B =µH for a paramagnet.3. )H =0 . 2 Proof. We have H 2 = Hc . ρ)= F − 2 ρHc B2 BH BH = Fn − + − . The only (but very important) diﬀerence is that in SC it is nonlinear. 0 Consequently. ii) the quantity H is constant over the sample and equal to Hc .. as well as the ﬁeld distortion near the surface.. That means: i) B H. 8π 8π(1 − ρ) 1. Minimization with respect to B : B = H(1 − ρ). Minimization with respect to ρ : B = Hc (1 − ρ) → hn = Hc .10. Force lines are the straight ones. Introducing B we get F = Fn − Now G(B. so 0= H 2 = 2(H · )H+2 H × curl H .
We know that inside H = Hc . 2 At I > Ic the surface is to become normal. We come to the conclusion the fraction of SC regions in a sphere is ρ=1− B0 3H0 − 2Hc Hc − H0 =1− =3 .6. So. the critical current is Ic = ca Hc . Figure 10.7 carrying the current I. Hc Hc Hc 2 Hc < H 0 < H c . which are constant. 2 Continuity of Bn → (H0 − H1 ) cos θ = B0 cos θ.6: Field distribution at the equator (1) and poles (2) of a SC sphere. H1 = 2(H − Hc ). Thus. 3.192 2. PROPERTIES OF TYPE I . in this case the current would be uniform that leads to the condition H < Hc near the central part. Then we apply boundary conditions: Continuity of Ht → H0 + H1 sin θ = Hc sin θ. If H(a) < Hc all the wire is in a SC state. On the other hand. 3 The ﬁeld at the equator and at the poles of a sphere is shown in Fig. The ﬁeld at the surface is H(a) = 2I/ca. we . Let us denote B as B0 . CHAPTER 10. Critical current of a SC wire. Fig. We chose zaxis along B and H. Field distribution in a sphere. 10.. Outside the sample H = B = H0 − H1 a3 2 cos θ r2 where H1 is a constant. Consider a wire with the radius a. B0 = 3H0 − 2Hc . As a result. 10.
Let us assume that the normal and SC regions form a layered structure. . 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. magn.s at given H0 . At the boundary.s of the layers.7. 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. We have to take into account .ARBITRARY SHAPE 193 Figure 10. the central part cannot be completely SC. As a result.7: Field distribution in a wire. Let us discuss the structure of the intermediate state in more detail. 10. Microscopic Structure of the Intermediate State. Consider a plate shown in Fig.8 and placed in a perpendicular magnetic ﬁeld H0 .. That means the ﬁxed ﬂux through the plate and one has to use Gpotential. cR 2 a We come to the conclusion that the current I − I1 should ﬂow through the normal external part. energy for h = H0 (d/dn ) Now we come to the next approximation. The way is to minimize the free energy with respect to dn.3. at r = R. 10. this current should produce a constant electric ﬁeld E (remember: curl E = 0). So..10. Our aim is to determine the widths dn. 8π d 8π dn d = dn + ds condens. The picture of the intermediate state in a wire is shown in Fig. If the interfaces are ﬂat and the surface energy is neglected F =− 2 Hc ds H 2 d Lx Ly e + 0 Lx Ly e .
PROPERTIES OF TYPE I . Deformation of the force lines near the surface. 10. 8π d d Let us consider the quantities ρs and d as independent variables. for a macroscopic material 1 − ρs = H0 . Figure 10.8: Microscopic domain structure. As we have seen earlier. SC domains become thinner near the surface. 8π d 2. As shown in Fig. The energy ”loss” is of the order ∼ d2 Ly for each s interface.. s s s d e . We allow for the interfaces introducing a speciﬁc surface energy H2 γ = c λ. Creation of the N − S interfaces. The total loss is 2 Hc 2 Lx ds ds Ly U0 8π d d where U0 is the dimensionless function which depends on the shape of the regions.194 CHAPTER 10.9. 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 . λ ∼ 103 − 104 ˚. 1. Magnetic energy is also changed near the surface which we take into account by another dimensionless function V0 2 H0 2 Lx ds ds Ly V0 . A 8π The corresponding contribution to F is γeLy × (number of interfaces) = 2 Hc 2Lx λeLy . 3.
. λ ∼ 3000 ˚. The surface domain structure is much more complicated because of the surface winding (see the lower panel of Fig.7.3. Optical methods (using Faraday rotation).10. Change of the resistance of a thin wire while motion along the sample’s surface (Meshkovskii. Shal’nikov. 1. ϕ(ρs ) ϕ(ρs ) = 1 2 ρs U0 + ρ2 (1 − ρ2 )V0 . A There are several methods to observe the domain structure. we obtain d ≈ 0. . Decoration by ferromagnetic powder.9: Domain structure near the surface. s s 2 √ λe. We have discussed a simpliﬁed picture. we get d ∼ cm. ϕ = 10−2 .. Taking e ∼ 1 The typical estimates are: for H0 /Hc ∼ 0. 1947).. 3. 10.ARBITRARY SHAPE 195 Figure 10. Minimizing with respect to d we get d= λe .06 cm.9). 2.
. 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. 3 → energy of magneticﬁeld. 4 → microscopic analog of the quantity − (BH/4π).region while h = Hs exp(−x/δ) in the Sregion. The contribution discussed above is very small and we return to the Lonfon equation for the ﬁeld. In the end of the chapter we discuss qualitatively the nature of the interface contribution to the energy. So the system ”wants” to make as many surfaces as possible. It is not surprising that superconductors with ζ0 δ have speciﬁc magnetic properties. We have h = Hc in the N . 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).. Consequently. 8π We see that surface energy is negative. ζ0 δ. 2. 2 λ ∼ ζ0 and γ ∼ (Hc /8π)ζ0 . 5 → kinetic energy of the currents. In our previous macroscopic treatment we have assumed the sharp N − S boundary. The Gpotential has the form H2 h2 Hh δ2 G= dV Fn − c + − + 8π 8π 8π 8π x>0 The speciﬁcation of the items is 1 → free energy of normal phaseat H = 0. 1. As a result. PROPERTIES OF TYPE I . They are called the type II superconductors and we will discuss these materials in the next chapter. We write the previous expression as G= dV Fn − 2 Hc 8π dh dx 2 + γA extracting the surface contribution. ζ0 δ.4 The Nature of the Surface Energy. Consider two limiting cases. 1 γ= 8π ∞ 0 dx h2 + δ 2 dh dx 2 − 2hHc = − 2 Hc δ.196 CHAPTER 10. 2 → condensation energy of the S−region. 10.
The temperature dependencies of the critical ﬁelds are shown in Fig. Hc3 = 1. and the mixed state (do not mix with the intermediate state for type I SC). H < Hc1 . 8π 2. the thickness being ∼ 103 ˚. Another names for this region are the vortex state (see below). It means that persistent currents still exist. Such a situation holds at Hc1 < H < Hc2 where Hc2 is the socalled upper critical ﬁeld which is much greater than Hc .1. 11. 11. At the same time. Hc2 = 300 000 G. One can observe the layer measuring surface conductivity. 197 . Such a region has been discovered by Shubnikov (1937) and is called the Shubnikov phase.2. The values of critical ﬁelds for V3 Ga at T = 0 are: Hc1 = 200 G. Nevertheless. At H > Hc1 magnetic ﬁeld lines penetrate the cylinder. The physical reason is similar to the bubbles creation at the wall of the glass with beer (see later). and B ≡ H. Hc = 6 000 G.69Hc2 . Now we will concentrate on the region Hc1 < H < Hc2 with partial ﬁeld penetration. 3. The ﬂux Φ is less than in the normal state. The Meissner eﬀect in a long cylinder is complete only in very weak ﬁelds. At H > Hc2 a macroscopic sample does not repel the ﬂux. A Usually. The lower critical ﬁeld Hc1 is much less than the thermodynamic ﬁeld Hc deﬁned as 2 Hc Fn − Fs = .Chapter 11 Magnetic Properties of Type II Superconductors 11. at Hc2 < H < Hc3 a surface SC layer still exists.1 Magnetization Curve for a Long Cylinder Type II superconductors have the following general properties 1. even in the equilibrium state the penetration is not complete. The magnetization curve B(H) is shown in Fig.
∂Bi 4π while the entropy is Si = − ∂Gi ∂T =− H (11. We have Gi = Fi (T. Let us consider two phases: the Shubnikov one i. and the ”normal” one.198 CHAPTER 11. The curve B(H) is continuous at H = Hc2 . In some experimental works people prefer to plot magnetization M= M −H 4π (see Fig. 11. 11. Now let us discuss the phase transition at H equal to the critical value Hc1 or Hc2 . 4π the dependence B(H) is determined from the condition ∂ H Fi (T. Bi ) = . 1. B) − Bi H . j. MAGNETIC PROPERTIES TYPE II Figure 11.3). ∂T . in which most of the sample is in the normal state (B = H(.1) ∂Fi . Let us consider thermodynamics for this transition.1: Phase diagram of a long cylinder of type II superconductor. There is no hidden heat while there is a discontinuity of the speciﬁc heat.2 are the same for type I and type II SC (Problem 10. According to experimental results.1). 2. We start with H = Hc2 . So we face the typical type II transition. It is interesting that the areas below the curves in Fig.
Let the SC and normal state are in equilibrium at some ﬁeld H ∗ (in our case H ∗ = Hc2 ) that means Gi = Gj . along the equilibrium curve (Gi = Gj ) we have dGi /dT = dGj /dT . Indeed. Si = Sj . dT 4π dT Then.2: B vs H curves for type I (dashed line) and type II (solid line) superconductors. we have at the line dFi ∂Fi ∂Fi dBi = + dT ∂T ∂Bi dT Using the magnetization curve (11. Now we can calculate the speciﬁc heat at given magnetic ﬁeld as Ci = T ∂Si ∂T . If there is no hidden heat the entropies should be also equal. Si = Sj . MAGNETIZATION CURVE FOR A LONG CYLINDER 199 Figure 11.11. H . Thus Bi = Bj .1) we obtain [dH = (dH ∗ /dT )dT ] dGi Bi dH ∗ = −Si − .1. That leads to the continuity of the curve B(H) along the equilibrium line H = H ∗ (T ).
2) ∂H ∂Bi T dB dT (11. MAGNETIC PROPERTIES TYPE II Figure 11.200 CHAPTER 11. we express dSi = dT ∂Si ∂T + H ∂Si ∂H T dH ∗ . We have ∂Si ∂H Then dH ∗ = dT where dB dBi dBj = = dT dT dT ∂H ∂T + Bi = T ∂Si ∂Bi T ∂Bi ∂H =− T ∂ 2 Fi ∂Bi ∂T ∂Bi ∂H =− T 1 ∂H(Bi .3) . we get Cj − Ci = T dH ∗ dT ∂Si ∂H − T ∂Sj ∂H . T (11. dT We should remember that along the magnetization curve dSi dSj = . dT dt As a result. As earlier. T ) 4π ∂T ∂Bi ∂H . T The last part of the calculation is to express the derivative (∂Si /∂H)T through magnetic characteristics.3: Magnetization curves for type I (dashed line) and type II (solid line) superconductors.
the structure of the core is not important for many applications.11. Φ0 = ch = 2 · 107 G · cm2 . Consider an isolated ﬁlament (see Fig. It has a core with a radius ζ in which the density ns of SC electrons decays to zero in the center. The condition Φ = Φ0 determines all the structure of an isolated line at δ 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 Consequently. if one knows both the dependence H ∗ (T ) and magnetic susceptibility ∂Bj ∂H T for both phases he can predict the speciﬁc heat discontinuity. 11. However one should keep in mind that it is rather diﬃcult to reach true equilibrium conditions in type II SC (see below). One can show that at δ ζ the latter is more advantageous. 9. the magnetic ﬂux through a hole in a massive SC in quantized: Φ = kΦ0 .2. MICROSCOPIC STRUCTURE OF THE MIXED STATE 201 is the induction derivative along the equilibrium line.4). the surface contribution to the free energy being very important.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. The magnetic ﬁeld is maximal in the center while at r > δ it decays as a result of screening by circular currents. Looking at the curves in Fig.4) which is called the Abrikosov vortex line (Abrikosov. 11. and we discuss it in more detail. Check of thermodynamic properties is very important to prove that you observe the true bulk eﬀects. . As we will see later.3) into (11. 2e Thus. we can expect that the magnetic ﬂux Φ= h · dS is equal to Φ0 (maximal mixing in the system). To get the physical picture we start with the case of a mixed state with small B (H − Hc1 Hc1 ). at least at δ ζ (the core’s characteristics usually enter under the sign of logarithm). 11. or ﬁlaments with the radius ∼ ζ. According to the results both of the experiment and the theory (we will discuss it in detail). It is clear that in this case the system “wants” to form a ﬁne mixture of normal and SC regions. 1956).2 we see that Ci > Cj . One can imagine 2 types of the structure: thin layers (with the width ∼ ζ). This relation can be checked experimentally. Substituting (∂H/∂T )Bi from (11.
i. To prove this assumption let us integrate the Eq.e. The presence of the core we take into account as a boundary condition at r → ζ. let us neglect the core contribution to the free energy. r>ζ. Because δ ζ we can express it introducing a δfunction source in the London equation as 2 h + δL curl curl h = z Φ0 δ2 (r) (11.4: Structure of an isolated ﬁlament in a type II superconductor. As was shown in Sec. 8. Because we are interested in the case δ ζ. (11.5) where z is the unit vector directed along zaxis.202 CHAPTER 11.5) over the area of a circular contour with the center at the axis and the radius .1. Properties of a isolated vortex line. the contribution of an isolated line can be expressed as 1 2 F= h2 + δL (curl h)2 dV .in the value of F for a unit length.1. MAGNETIC PROPERTIES TYPE II Figure 11. Outside the core the ﬁeld is determined by the London equation 2 h + δL curl curl h = 0 . (11.4) 8π r>ζ We are interested in the linear tension.
2.5) together with the condition div h = 0. Using the Stokes theorem we get 2 h · dS + δL 203 curl h · dl = Φ0 . Now we will ﬁnd the structure of the ﬁled. according to (11. Now we can easily calculate the free energy.7) .11. Indeed. We have F= 2 δL Φ0 2πζ h(ζ) curl hr=ζ = 8π 4πδL 2 ln δL . MICROSCOPIC STRUCTURE OF THE MIXED STATE r. (11. The largedistance asymptotics of the ﬁeld.6) where K0 is the Bessel function. h= Φ0 δL ln + const . It is easy to calculate it for ζ r δ. In principle.6) with the asymptotic one we get: const =0. Remembering that c j= curl h 4π we see that for r δ it is possible to neglect the contour integral.h.s. 2r r δ. 2 ∂r 2πδL r As a result. ζ (11. It has the form h= Φ0 r K0 2 2πδL δL (11. Comparing the exact solution (11. Thus we prove that the total ﬂux is equal to Φ0 .h. of Eq. one can neglect the ﬁrst integral in the l. one can ﬁnd exact solution of the London equation (11.6) is h= Φ0 2 2πδL πδL −r/δL e . is just the magnetic ﬂux through the contour. The ﬁrst integral in the l.5) and get 2 δL 2πr curl h = Φ0 →  curl h ≡ − ∂h Φ0 1 = . 2 2πδL r ζ r δ. After integration of the second term in the integrand of (11.4) we get F= 2 δL 8π [h × curl h] dS where the integral is to be calculated over the surface of the core (the cylinder with the radius ζ).s.
9) over zcoordinate. F is only logarithmically dependent on ζ. (11. 2πr Now let us average Eq. We get F= 2 π 2 Hc 2 δ L ζ ln . Because d δ the quantities A and F are almost zindependent. Consequently it is more proﬁtable to create 2 vortices with 0 the ﬂux Φ0 that one with the ﬂux 2Φ0 .204 CHAPTER 11. 2. 3 8π ζ Now we can compare this energy with the core contribution which is of the order δFcore ∼ 2 Hc 2 ζ . Fθ = Φ0 .8) π∆(0) 8π 2 which follow from the BCS microscopic theory. F is proportional to Φ2 . h = curl A . 1. MAGNETIC PROPERTIES TYPE II Discussion of the last formula. We have div A = 0 . 3. We can rewrite the formula for T = 0 using the expression for Φ0 and the relations (see below) 2 hvF ¯ Hc 1 ζ0 = . Inside It is convenient to come to the vectorpotential A.9) where in the cylindric coordinates Fr = Fz = 0 . c δ) (Pearl). 2 4πδL j=F A+ c (11. Denoting the total current as J = jd we get J= c 1 (F − A) . = g( F )∆2 (0) (11. 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). 4π δeﬀ δeﬀ = 2 δL . d . 8π We prove that the core contribution appears small in comparison with the one due to the supercurrent.
2qδeﬀ 4πδeﬀ r c cΦ0 i [z × q] cΦ0 2qδeﬀ Fq = → J(r) = 2 2 . hz (r) = − c r dr π r3 . δeﬀ δeﬀ We can ﬁnd Aqk from this equation and then substitute it to the deﬁnition (11. F(s) δ(z) eiqs dV = i Aq = 1 2π dk Aqk = A). 4π δeﬀ 4πδeﬀ 1 + 2qδeﬀ 1 Fq . 1 + 2qδeﬀ c 1 c 2qδeﬀ (Fq −Aq ) = Fq . (11. We can make calculations assuming that we have a plane with the current Jδ(z): curl curl A = 4π 1 j = (F − A) δ(z) → c δeﬀ 2 A+ 1 (F − A) δ(z) = 0. q2 where s is the inplane coordinate.2. We have Φ0 Φ0 1 → hz ≈ . MICROSCOPIC STRUCTURE OF THE MIXED STATE 205 To solve the problem we need the ﬁeld distribution outside the slab. 1 + 2qδeﬀ 1 2π dk q2 1 1 1 (Aq − Fq ) = (Aq − Fq ).11) of Aq . Aq = Now we know everything: the current Jq = magnetic ﬁeld: hq = i [q × Aq ] = Small distances correspond to large q (qδef f hzq ≈ For large distances (qδeﬀ Jq ≈ 1) Φ0 z. 2 δ + k eﬀ 2qδeﬀ 1). (11. We come to the very simple equation −(q 2 + k 2 )Aqk + 1 1 Aq = Fq . .11) Φ0 [z × q] . 4πδeﬀ 2π q 4π r 4πδeﬀ 1 d 2 Φ0 δeﬀ (Jr) ≈ .10) To get the last equation we used the London gauge (curl curl A = − To solve Eq.10) we introduce Fourier components Aqk = Fq = A(s. A(s. δeﬀ 2 (11. The result is Aq = Finally.z) δ(z)eiqs dV .z) ei(qs+kz) dV.11.
Indeed F12 = Φ0 −2 [z × J(R12 )] ∝ R12 . Interaction between Abrikosov Vortices. We have 2 h+δL curl curl h = z Φ0 [δ2 (r − r1 )+δ2 (r − r2 )] . δL (currents and ﬁelds remain ﬁnite at the axis of the opposite 2 δL 8π [h1 × curl h1 ] dS1 + [h2 × curl h2 ] dS2 . c −1 the interaction (repulsion) energy decays only as R12 . the free energy is F= 2 δL 8π hi (r) = z Φ0 r − ri  K0 2 2πδL δL . Its solution is a superposition of the two ﬁelds h(r) = h1 (r) + h2 (r) . Item (h1 +h2 ) · ([curl h1 × dS2 ] + [curl h2 × dS1 ]) which is small at ζ vortex). Now we return to the bulk material and consider interaction of 2 vortex lines parallel to zaxis. Sum of the free energies of separate lines 2F = 2. . One can separate the 23 = 8 items into 3 groups. δeﬀ ζ It is important that the vortices in a slab have long range interaction. the energy is E= 2 δL 8π [(h1 +h2 ) × (curl h1 + curl h2 )] (dS1 + dS2 ). [h × curl h] dS where one should integrate over the both cores’ surfaces. As a result. As usual. 1.206 The free energy of the vortex is CHAPTER 11. MAGNETIC PROPERTIES TYPE II F= Φ0 4π 2 1 δeﬀ ln .
It can be calculated with the help of the image approach. (curl h)x = 0 . 11. 0) is the ”line coordinate”. 0) with all the currents ﬂowing in the opposite directions (mirror image). We search solution as h = h1 +h2 where h1 = H exp(−x/δL ) is the penetration of the external ﬁeld. Let SC occupy the semi space x ≥ 0. at x = 0 (the second condition is just the vanishing of the current normal to the surface). Thus we can prove that the ﬁeld h2 is equal to this sum. Fig. exp(−R12 /δL ) at Interaction of a Vortex with a Surface Now we discuss an important problem . It is clear that the sum of the ﬁelds produced by the both lines meet the boundary conditions. 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 r − rL  r−rL  K0 − K0 2 2πδL δL δL . Let us add the auxiliary image vortex placed at the point rL = (−xL . 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.5. the external magnetic ﬁeld being H.2. Assume that we have a vortex line directed along zaxis and parallel to a plane surface (yz plane). The London equation for the problem is 2 h+δL curl curl h = zΦ0 δ2 (r − rL ) where rL = (xL .11. MICROSCOPIC STRUCTURE OF THE MIXED STATE 3. The boundary conditions at the surface are h = H. .interaction of a ﬂux line with the sample’s surface. The ﬁeld h2 is due to the vortex. 4π h12 = Φ0 r1 −r2  . K0 2 2πδL δL −1/2 2 δL 8π 207 [h1 × curl h2 ] dS2 + [h2 × curl h1 ] dS1 . The interaction energy U12 = Using the relation curl h = we get U12 = Φ0 h12 .
we do the following trick. at ζ → 0 the main contribution to S1 is the diverging part of curl h and Φ0 1 G1 = h(rL ) − H . 4π 2 The second contribution can be written as G2 = − 2 δL 8π S2 dS [h1 × curl h] because at the surface h2 = 0. 2 where S1 is the core’s surface while S2 is the sample’s one. Now we can split the ﬁeld as h = h1 +h2 and consider the part. h1 = H. To get the result.5: On the mirror image approach. The integral could be rewritten as = S2 S1 +S2 − S1 . Then we go along the old way.208 CHAPTER 11. proportional to [h1 × curl h1 ] as an additive constant which is present in the absence of the vortex. Transferring to the surface integral we get the ﬁrst contribution δG = 2 δL 4π dS S1 +S2 1 h − H × curl h . This integral is evaluated on the total volume of the sample (x ≥ 0) excluding the core region. 8π 4π We are interested in the energy per unit length. The G free energy G= dV 2 h2 + δL (curl h)2 h · H − . As usual. The remainder is G2 = 2 δL 8π S2 dS [h1 × curl h2 ] . We denote the corresponding contributions as G1 and G2 . MAGNETIC PROPERTIES TYPE II Figure 11.
. at the surface S1 the ﬁeld h1 is nonsingular while at the surface the ﬁeld h2 is zero because of the boundary conditions. BH 4π Now we discuss the magnetization curves for type II SC.12) where nL is the density of vortex lines. δ2 Φ0 G2 = L dS [h1 × curl h2 ] = h1 (rl ). 4π 2 The graphs of the function G(xL ) for diﬀerent H are shown in Fig. The barrier is very important for the real life and should be taken into account interpreting experimental results. To make explicit estimates we separate 3 regions 2 1. According to the London equation S1 +S2 209 dS [h1 × curl h2 ] = S1 +S2 dS [h2 × curl h1 ] We can see that the integral is very small. G= 11.j Uij − (11. 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 Φ0 r Φ0 h(2xL ) with h(r) = K0 . The free energy is G = nL F− i. 4π 2 It is clear that G = 0 if the line is at the surface (h2 = 0). MAGNETIZATION CURVES. Now we should remember that the ﬁeld h2 consists from the initial and the mirror ﬁelds. 2 8π 2πδL δL Φ0 1 H e−x/δL − h(2xL ) + Hc1 − H . Small B (nL δL 1) where only nearest neighbor’s interaction is important.6.11. As a result.3. We see that at ﬁnite magnetic ﬁelds a surface barrier appears (BeanLivingstone barrier). 8π S1 8π The result is Φ0 1 G= H e−x/δL + h2 (rL ) − H .3 Magnetization curves. Indeed. 11. This barrier is a consequence of interplay between the tendency to penetrate the sample and attraction to the image ”antivortex”. B = nL Φ0 . In these 2 graphs the magnetic ﬁeld is measured in units Φ0 /4πδL .
Consequently. At the same time. 2 Φ0 4πδL ζ (11.8) we get for T = 0 Hc1 π ζ0 δ L =√ ln Hc 24 δL ζ0 that is usually 1. Intermediate B (nL δL region. so the equilibrium value is B = 0. The Lower Critical Field Hc1 . Indeed. . To get Hc1 one can neglect interaction at all. 2 2. We have G≈B F H − .210 CHAPTER 11. we get Hc1 = 4πF Φ0 δL = ln . MAGNETIC PROPERTIES TYPE II Figure 11. at H > Hc1 there is a possibility to get a minimum at B = 0.13) Making use of the relations (11. at H < Hc1 the free energy G increases with the increases of B. 1) where there are many vortices inside the interaction 3.6: Surface barrier in type II superconductors. High B where nL ζ 2 ∼ 1 and the cores overlap. Φ0 4π The bracket vanishes at H = Hc1 = 4πF/Φ0 .
11. we get G≈ 1 Φ0 d B Hc1 − H + z K0 2 4π 2 2πδL δL . .3. (11. We see the Figure 11. A detailed calculation show that for all the values of B the most stable is triangle lattice vortices (see Fig. minimum which corresponds to the equilibrium value of induction B for a given H. 11.7). B.8. MAGNETIZATION CURVES. Repulsion of vortices becomes important and one should use the general equation (11. 211 The vicinity of Hc1 . 11. Taking into account that only nearest neighbors are important Figure 11.12).8: Dependence G vs.14) 3d The result of calculations according to this scheme is shown in Fig. as well as experimental results for the alloy More are shown in Fig. The magnetization curve calculated from this model. Solid lines correspond to constant values of ns . where z is the number of nearest neighbors (z = 6) while the lattice constant d is determined from the relation 2 Φ0 B = nL Φ0 = √ 2 .9.7: Triangle vortex lattice.11.
Intermediate magnetic ﬁelds. 2 2 m m=0 (1 + m δL ) √ The minimal value of m in the last sum is of the order 1/d ∼ nL Thus. . dashed line .212 CHAPTER 11. in our region 2 m2 δ L 1 and we can drop 1 in the denominator. MAGNETIC PROPERTIES TYPE II Figure 11.9: Magnetization curves for the vicinity of Hc1 . To get an estimate one can replace the sum by the integral = 1 1 1 → 2 (2π)2 nL m=0 m 1 1 B2 B2 = + 2 (1 + m2 δL ) 8π 8π d2 m 1 1 = 2 m 2π nL m dm 1 mmax = ln 2 m 2πnL mmin We calculate the energy per 1 cm. hm = 0 only for the vectors proportional to the reciprocal lattice vector. 2 1 + m 2 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 . Crosses . From the London equation we get nL Φ0 hm = . In this case one should sum interaction energies for many vortices and we discuss the way to perform calculations. hm = nL Cell Certainly. Introducing the primitive cell we get the Fourier component h(r) eimr d2 r. The sum m=0 m−2 depends only on the properties of the lattice. 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.calculations for a laminar model.experiment.
as usual. 213 Then. The force is Fk = − ∂U ∝− ∂rLk dV jiex i ∂ji = ∂rLk dV jiex i ∂ji = ∂rk . F= B 2 BHc1 ln(βd/ζ) + . At the same time.381 (trianglelattice. with mmax ∼ 1/d. NONEQUILIBRIUM PROPERTIES. Finally. 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).4 NonEquilibrium Properties. superconductivity should exist in a high magnetic ﬁeld. (11. 11. consequently. 8π 4π ln(δL /ζ) β = 0.11. mmin ∼ 1/ζ. exactsolution).4.14) H = B + Hc1 ln(β d/ζ) . consequently. 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. we put ∂G/∂B = ∂ F − BH /∂B = 0 and obtain (we should not forget 4π that B is related to d according Eq. the total current being j + jex . High ﬁeld region In this region where cores overlap our approach is deﬁnitely not suﬃcient. This result is in a good agreement with the experiment. It is clear that people are interested to fabricate a SC which is able to carry large supercurrent and. To make the estimates assume that there is one vortex with the current j and the external current density is equal to jex . Pinning. But moving vortices should produce nonsteady magnetic ﬁelds and. Pinning. 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 . ln(δL /ζ) √ β = β/ e. PINNING. in a magnetic ﬁeld a force should act upon the vortices and leads them to move. We know that in type II SC the upper critical ﬁeld can be very high. energy loss. General Properties. the question arises: Is the mixed state superconducting? Indeed.
ηc We see that vL ⊥ jex ⊥B.e. MAGNETIC PROPERTIES TYPE II dV jiex ∂ji ∂jk − ∂rk ∂ri + i dV jiex ∂jk . One kind of pinning is the surface barrier we have discussed earlier.e. 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. Substituting the expression for curl j we get fL = Φ0 ex [j × z] c for a separate vortex. Suppose that 2 2 the core is in the normal state that leads to the extra energy ∼ Hc ζ per unit length. c ηc2 We observe the Ohm’s law with the resistivity vL = ρ= If we assume that at B = Hc2 Φ0 B .214 = i CHAPTER 11. ∂ri The last item vanishes because by integration by parts we get div jex = 0. i. Thus F= 4π 2 c2 δL [jex × curlj] dV. In real materials there is pinning. such a motion produces the electric ﬁeld 1 Φ0 B ex E = [B × vL ] = j . From this point of view we get the conclusion that the superconductivity is destroyed at H = Hc1 . If the . Fortunately. Φ0 ex [j × z] . c Now let us assume that a vortex moves with a given velocity vL and there is a viscous braking force fv = −ηvL . The total force acting upon the vortex structure is just the Lorentz force 1 FL = [jex × B] . As a result of force balance. this statement is wrong. to the resistivity of the normal phase) we get Φ0 Hc2 ρn c2 → ρ = ρn B . ηc2 ρ = ρn (i. Hc2 η(Hc2 ) = This expression is only a very rough orderofmagnitude estimate. It is clear that largescale defects with size greater than ζ should be very eﬀective. the vortices become pinned by the defects. To get a simple estimate let us consider a cavity in the SC with d ζ.
This property will be discussed in more detail in the following section. • The pinning force acts upon a small part of the line while the Lorentz force is applied to the whole line. The theory of creep and thermal instabilities is very complicated. In fact. As a result. As a result. • It is not clear in general case what is the external current distribution inside the sample because the critical current is Bdependent. The typical way to ﬁght with them is the thermal shunting (composite materials). • Vortices interact. In other words. So the problem is collective.11. Immediately this region becomes heated that leads to decrease of the critical current. Combining this expression with the expression for the Lorentz force we ﬁnd the critical current density able to start the motion jc ∼ Hc c δL (we have used the relations fL = j ex Φ0 /c and Hc ∼ Φ0 /δL ζ). NONEQUILIBRIUM PROPERTIES. This phenomenon is called the ﬂux creep. One of the consequences of the creep is dumping of the ”persistent current”. Consequently. That is why one should be very accurate in interpreting relevant experiments. and one should take into account the deformation energy of the lattice. the true critical current is zero at any ﬁnite temperature. This discussion is oversimpliﬁed for many reasons. the heating increases. 215 vortex passes through the cavity. Fluctuations. . PINNING.4. the resistance becomes ﬁnite (but exponentially small) at any ﬁnite temperature. and we do not discuss it in detail. 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. In practice. Another consequence are current instabilities. this energy is absent. Those instabilities are extremely important for superconductor engineering. As a result. there is attraction between the line and the cavity the force being of the order 2 f p ∼ Hc ζ (we have taken into account that at the distance ∼ ζ the vortex collides with its image). pining centers create a potential proﬁle for the vortices which can hop between the valleys due to thermally activated ﬂuctuations. for many materials it can be not so important. Assume that at some region a bunch of vortices hop from one position to another. This statement is wrong at ﬁnite temperatures. the pinning is a very complicated property. and it is not completely understood today (especially for highTc materials).
B = N Φ0 /S. Suppose that the SC is in a mixed state with the ﬁeld H z. In this section we discuss a very popular simpliﬁed model to treat the external current distribution in a type II SC . The ﬁrst type is the repulsion one. we estimate the force from the thermodynamic considerations. To be more precise.thermodynamic potential G p = −G + B G(B) = F (B) − BH 4π p=− ∂G ∂S = −G − S N ∂G ∂S .the critical state model. ∂B Inserting the deﬁnition of the . We have G = SG. Consider a piece of the xyplane with the area S having N vortices (the external ﬁeld is parallel to zaxis). The total force acting upon the unit volume is −∂p/∂x.216 CHAPTER 11. MAGNETIC PROPERTIES TYPE II Critical State at T = 0. In the equilibrium the vortex density is constant and equal to B(H)/Φ0 . the necessary condition of the mechanical equilibrium is just ∂p ≤ αm . At the same time. we can describe them as a pressure p in the 2D vortex system. If we come to a metastable state • the vortex density is position dependent. ∂x The critical state model uses the condition ∂p = αm ∂x to determine the ﬂux distribution. and dS dB =− . 4π ∂x Now let us discuss the interaction forces. Another type is the pinning force which has the maximal value αm . • there is the macroscopic current j= c ∂B . S B As a result ∂G .
magnetic ﬁeld in a bulk or hollow cylinder. The proﬁles of the magnetic induction for both models are shown in Fig. PINNING. 11.4. According to the KimAnderson model the quantity αm is Bindependent. Usual ways to study pinning is to observe the penetration of slowvarying Figure 11.10: Magnetic induction proﬁles for the Bean and KimAnderson models. To solve the problem one needs the dependence αm (B). NONEQUILIBRIUM PROPERTIES.2) ∂p B ∂H(B) = ∂x 4π ∂x In the most important cases at Hc2 − H Hc1 we have H(B) ≈ B.11. . and taking into account that in the equilibrium ∂G =0 ∂B we get (Problem 10.15) B ∂B Bjy ∂p =− = . According to Bean’s model This dependence is linear and jy =const.10. and → H(B) = 4π ∂F ∂B 217 (11. ∂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) Hc1 .
15). MAGNETIC PROPERTIES TYPE II 11. Derive Eq.5 Problems 10. 10.1 Prove that the areas under magnetization curves are the same for type I and type II SC with the same Hc . .218 CHAPTER 11.2. (11.
o To understand what happens let us discuss the scattering process shown in the left panel of Fig. . − εk1 −q − hωq ¯ 219 Vq ≡ Vk−q. Hc ∝ M −1/2 .Chapter 12 Microscopic Theory of Superconductivity. εk1 Vq 2 . i.1. 1950). Bardin.e. 12. the dependence of the critical parameters on the atomic mass Tc ∝ M −1/2 . Relying upon this fact the concept of phononmediated electronelectron attraction has been introduced (Fr¨lich.k .1 PhononMediated Attraction The ﬁrst important motivation to study electronphonon interaction was discovery of the isotopic eﬀect. The amplitude of this secondorder process is Figure 12.1: Electronphonon processes. Basic Concepts 12.
the wave function should be symmetric with respect to the interchange of the electron coordinates. its orderofmagnitude estimate being h3 /mpF . Thus the spin wave function should be also antisymmetric. − 2 pF mV (¯ ωq ) − (εk1 − εk1 −q )2 h At εk1 − εk1 −q  hωq this amplitude is negative. Consequently we can say that electrons within a thin layer εk1 − εk ∼ hωD near the Fermi surface attract. phonon attraction is a longrange one. MICROSCOPIC THEORY One should also add the amplitude of the process with phonon absorption shown in the right panel. V−q  = Vq  . there is Coulomb repulsive forces. 2 (¯ ωq ) − (εk1 − εk1 −q )2 h pF Vq ∼ −i √ Vnm we get the following expression for the total amplitude h3 ¯ (¯ ωq )2 h . and kindependent. Vq 2 . i. Thus it is equivalent ¯ to a shortrange attraction. ¯ Thus. Consequently. at the same time. It is a shortrange one due to screening and it can be written as e2 a2 δ(r1 −r2 ). It is clear that phonons with maximal q are most important (density of states increases with q). εk2 − εk1 +q − hωq ¯ We have taken into account that ω−q = ωq . ¯ At the same time. ¯ Let us ﬁnd a typical spatial spread of the corresponding quantum state from the uncertainty principle ∆r ∼ h/∆p ∼ vF /ωD ∼ (vF /s)a ∼ a M/m. electrons are Fermi particles.220 CHAPTER 12. hvF ¯ h3 /mpF ¯ . and the total wave function should be antisymmetric. It is the only way to meet the Pauli principle. If we take into account the conservation law εk1 + εk2 = εk + εk 1 2 we obtain − Remembering that 2Vq 2 hωq ¯ . But.e. The ratio is e2 a2 e2 ∼ ∼ 1. Another feature is that it is the interaction with the total orbital moment equal to 0 (it is independent on k direction). the spins should be opposite. ¯ 1 that in the momentum space means ∆p ∼ hωD /vF.
the electron states near the Fermi surface are very similar to ordinary particles.12.2. in 3D case the bound state is formed only if the potential is strong enough. one can describe the quasiparticle spectrum in a normal metal as ξ(p) = vF (p − pF ). We write their energies as ξ (e) = The excitations with ε < their energy as F p2 p2 − F ≈ vF (p − pF ). ξ (h) = −ξ (e) = This spectrum is shown in Fig. To start. Cooper (1956) was ﬁrst to understand that it is the case. Unfortunately.2. his original paper had a mistake and we shall follow the correct derivation below. We know.to antiparticlelike ones. 12. this model has nothing to do with the real life. The situation in 1D case is completely diﬀerent: one can form a bounded state at any attraction strength. Thus. COOPER PAIRS 221 Actually. it is natural to use the Fermi level as the origin of the energies. As a result. Consider the interaction of 2 quasiparticles with the same k. Indeed. and in real metals the contributions to the interaction diﬀer strong enough. r2 ) = EΨ(r1 . It the following we neglect Coulomb eﬀects and will model the interaction as constant −λ where λ∼ in the interval F h3 ¯ 1 ∼ mpF g( F ) F − hωq < ε < ¯ + hωq ¯ and λ = 0 outside this interval (the socalled BCS model). we can classify the particles with ε > F as particlelike excitations. The SE is [H0 (r1 ) + H0 (r2 ) + U (r1 . One should remember that antiparticles have the electric charge of the opposite sign. As a result.2 Cooper Pairs Attraction does not mean formation of a bound state. let us reformulate the quasiparticle concept which has been used for normal metals. the right branch corresponding to particlelike excitations while the left branch . r2 )] Ψ(r1 . but L. At the ﬁrst glance.1) . they decay very weakly. r2 ) where H0 (r1 ) is the free quasiparticle Hamiltonian H0 (r1 )ψk (r1 ) = ξk ψk (r1 ) (12. 2m 2m behave as antiparticles (or holes). this is a very rough estimate. It is conventional to write p2 p2 F − ≈ vF (pF − p) 2m 2m to have positive energy. 12.
222 CHAPTER 12. kF − ωD /vF < k.) 0. MICROSCOPIC THEORY Figure 12.2) where arrows mean the spin projections. [for free particles ψk (r1 ) = (V)−1/2 exp(ikr1 )]. As a result. To solve the equation we use the model Ukk = Denoting k =kF +ωD /vF −λ. Substituting (12. one can construct the wave function as Ψ(r1 . (12. k  < kF + ωD /vF .4) we get λI . 2 ∆ .4) we get the selfconsistency equation ck = k =kF +ωD /vF I= k =kF −ωD /vF λI 2ξk  − E Now recall that we are interested in a bound state with negative energy.2) we get (Check!) the following integral equation 2ξk ck + k Ukk ck = Eck . In the ground state both the total momentum and total spin should vanish.2: Quasiparticle spectra in normal (solid line) and SC (dashed line) states. Denoting E = −2∆ and transferring the sum into the integral we get 1= λg( F ) hωD ¯ ln .2) into Eq. outside the interval (12.3) I= k =kF −ωD /vF ck (12. r2 ) = k ck ψk↑ (r1 )ψ−k↓ (r2 ) (12. 2ξk  − E Substituting this equation into Eq. (12.
For this we need to minimize the free energy with respect to the wave functions. we transfer the Hamiltonian to H− F N where N = kσ a† akσ is the kσ operator of number of particles. The reason is that we have integrated only in the vicinity of the Fermi surface. Let us discuss Eq. (12. λg( F ) ∼ 1. As we have mentioned. In a normal metal we can deﬁne at p > pF : akσ = αkσ . 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. ENERGY SPECTRUM 223 (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 ∆ = hωD exp − ¯ 2 λg( F ) (12. Then means that we will keep the chemical potential F ﬁxed as the origin of the energy reference frame. † at p < pF : akσ = α−k−σ where α(α† ) are the quasiparticle operators. dξ 12.5) 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). our rule d3 k g( F ) → 3 (2π) 2 corresponds to 1D problem. Technically. We have λ H− F N = ξk a† akσ − a† ↑ a† ↓ ak2 ↓ ak1 ↑ . • We see that presence of the Fermi surface is very important.introduction of quasiparticle operators.12. So we can suspect that its temperature smearing will strongly inﬂuence upon superconductivity. it is convenient to come to the quasiparticle description. . ¯ • We see that ∆ = 0 at any interaction strength. Actually. (12.6) kσ V k1 +k =k +k k1 k2 kσ 2 1 2 k1 =k1 All the sums are calculated over the thin interval ∼ hωD near the Fermi surface.3.3 Energy Spectrum Now we come to a more detailed calculation. Indeed. • As we have seen. To do this we need to calculate the ground state energy for attracting electrons. Now ¯ we come to a very important point .5). this product is small enough to make ∆ hω D .
We have † † 2 akσ . Then we use the coeﬃcients uk . ξk 1 1+ . The key idea .11) (12. (12.224 CHAPTER 12. 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.6). (12. † ak↓ = uk αk↓ − vk α−k↑ . the ground state is more complicated. α−k−σ + k kσ † † +σuk vk {αkσ . αkσ = 1. (12. α−k−σ } + σuk vk α−k−σ . vk as parameters to minimize the free energy. Let us check the commutation rules for the quasiparticle operators. Thus we have δE = k (εk↑ δnk↑ + εk↓ δnk↓ ) . . MICROSCOPIC THEORY In a superconductor. If we request the usual Fermi commutation rules for the quasiparticle commutators we obtain the relation 2 u2 + vk = 1 (12.10) The solution of the equation is u2 = k where εk = 2 ξk + ∆2 .12) In the following we consider isotropic model where the spectrum is independent of the direction of k.7). 2 εk 2 vk = 1 ξk 1− 2 εk (12.8) Now we calculate the variation with respect to vk taking into account (12. † Now we can express the energy through the quasiparticle numbers nkσ = αkσ αkσ .to dagonalize the Hamiltonian (12. Note that this transform conserves the momentum. say vk . and the simplest way to calculate the spectrum is to use the Bogolyubov transform † ak↑ = uk αk↑ + vk α−k↓ . a† = u2 αkσ .7) k that leaves only one free variable. We get (Problem 11.9) ∆=λ k uk vk (1 − nk↑ − nk↓ ). Now we can calculate the quasiparticle energy as a variational derivative of the total energy with respect to the distribution function.1) 2 2ξk uk vk = ∆(1 − 2vk ). αkσ + vk α−k−σ .
Indeed. we come to the quasiparticles of the normal metal. As has been shown. it is not the case because of the ﬁnite electron charge. to create a new quasiparticle one needs the condition ε(p) + pv <0 to be met.. pF We have discussed here the simplest variant of the theory with the sstate pairing.12. After the variation of (12. (12.14) The life is not so simple.13) 2 εk 2 ξ + ∆2 0 √ At T → 0 tanh( ξ 2 + ∆2 /2kB T ) → 1 and 1= 1 λg( F ) 2¯ ωD h ln → ∆(0) = 2¯ ωD exp (−2/λg( F )) h 2 ∆(0) (12. One can imagine also collective excitations which may have no gap. (12. The presence of the gap is very important. at ξk < 0 uk → 0. nk↑ at constant uk .10) we get √ h λ 1 − 2n0 (εk ) λg( F ) ¯ ωD tanh( ξ 2 + ∆2 /2kB T ) √ 2 1= (dk) = dξ . 12.4 Temperature Dependence of the Energy Gap Now we are prepared to discuss the temperature dependence of the gap. p In the presence. From Eq. if the liquid moves as total with the velocity v the energy in the laboratory frame of reference is ε(p) + pv. The pairing with nonzero orbital moment has been discussed in connection with superconductivity in the socalled heavy fermion compounds and with superﬂuid 3 He.. TEMPERATURE DEPENDENCE . say. • At ξk  ∆ we come to the normal metal properties: εk → ξk . Consequently.4. Thus. of the gap we come to the relation1 vc ∼ ∆ .8) with respect to. at ξk > 0 uk → 1. vk → 1. vk we get εk↑ = δE = δnk↑ 2 ξk + ∆2 = εk So we come to the following conclusion • There is the gap ∆ in the quasiparticle spectrum. vk → 0. 225 Because of the symmetry of the problem we get εk↑ = εk↓ . nk↑ = nk↓ . It means that there is no lowenergy excitations and the electron liquid may be superﬂuid. or ε(p) v < vc = min . .
ξ 2 πkB Tc 2¯ ωD γ h exp (−2/λg( F )) π π kB Tc = 1.78.16) To discuss the temperature dependence one can simply calculate the integral in (12. ∆ Here we have used the expression (12.17) At T → Tc it is convenient to expand over ∆ → 0. MICROSCOPIC THEORY (note the extra factor 2).15) (12. It is interesting to show the analytical formula.13) by (λg( F )/2) and subtract its limit at ∆ = 0. T ξ ξ + ∆2 0 .76kB Tc .226 CHAPTER 12. γ (12. (1 + eyx ) y 2 − 1 √ y= ξ 2 + ∆2 . and 1= Thus kB Tc = and ∆(0) = λg( F ) 2 h ¯ ωD dξ 0 tanh(ξ/2kB Tc ) λg( F ) 2¯ ωD γ h = ln . ∼ number of quasiparticles (12. 2x Thus. We are interested in large values of x. γ = 1.13). At T → Tc ∆ → 0. at T Tc ∆(T ) = ∆(0) − 2π∆(0)kB T e−∆(0)/kB T . so we analyze brieﬂy this integral. y −1 n=1 ∞ Then we use the integral representation for the McDonald function Kν (z) = and get f (x) = n=1 Γ(1/2) z Γ(ν + 1/2) 2 ∞ ν 1 ∞ e−yz (y 2 − 1)v−1/2 dy (−1)n+1 K0 (nx) ∼ π −x e . f (x) = 1 ∞ dy e−nyx (−1)n+1 √ 2 .14) and expanded the integration region to inﬁnity (the important region is ∼ ∆). To do this we also divide the expression (12. At low temperatures we can rewrite the formula as √ ∞ 1 − tanh( ξ 2 + ∆2 /2k T ) ∆(0) ∆ B √ 2 dξ = 2f ln = 2 kB T ∆ ξ +∆ 0 where f (x) = 1 ∞ dy √ . We get √ ∞ Tc tanh ξ tanh( ξ 2 + ∆2 /2kB T ) √ 2 ln = dξ − .
and chemical potential is Ω = −kB T ln Z. the thermodynamic potential Ω depending on the variables T. 12. with the partition function Z= s.3. expanding over ∆ and integrating over ξ we get 2n ∞ ∞ Tc (2n − 1)!! ∆ 1 ln =2 (−1)n+1 .06 Figure 12. 2 2 k=0 (2k + 1) + x ∞ 227 Substituting this formula into the previous one. ∆ ≈ 3.3: Temperature dependence of the energy gap.N exp − EsN − N kB T = Tr exp − H− N kB T . 12.5.12. 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 . Tc − T The graph of the dependence ∆(T ) is given in Fig. 2n+1 T (2n)!! πkB T n=1 k=0 (2k + 1) The ﬁrst item leads to Tc . THERMODYNAMICS OF A SUPERCONDUCTOR Then we use the formula tanh πx 4x = 2 π 1 . ∂λ λ Tr exp − H− N λ kB T .5 Thermodynamics of a Superconductor According to statistical physics. V.
1 d∆1 0 We can obtain the integrand from the selfconsistency equation √ ∞ 1 − tanh( ξ 2 + ∆2 /2k T ) ∆(0) ∆ B √ 2 dξ = 2f ln = . we get the exact formula Ωs − Ωn = g( ) 2 ∆ 0 d 2¯ ωD h ∆1 ln − 2f d∆1 ∆1 2kB T ∆2 d∆1 . MICROSCOPIC THEORY 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↓ . At T = 0 Ωs (0) = − g( )∆2 (0) .2) ∆2 ∂Ω =− 2. As a result. ∂λ λ Then we can integrate over λ to get λ (12. † ak↓ = uk αk↓ − vk α−k↑ we get (Problem 11. h Finally. . The temperaturedependent part at low temperatures is Ωs (T ) − Ωs (0) ∼ g( ) 2π(kB T )3 ∆(0)e−∆(0)/kB T . λ2 1 It is more convenient to change variables to introduce inverse function λ1 (∆1 ) to get dλ1 = (dλ1 /d∆1 )d∆1 . λ−1 (∆) = g( ) 2¯ ωD h ∆ ln − 2f 2 ∆ 2kB T .228 CHAPTER 12. We get ∆ dλ−1 (∆ ) 1 1 Ωs − Ωn = ∆2 d∆1 . 4 This formula is clear enough: the bonding energy ∼ ∆ while the number of electron in the actual region ∼ g( )∆. ∆ kB T ξ + ∆2 0 ∆(0) = 2¯ ωD exp (−2/λg( F )) .18) Ωs − Ωn = − 0 dλ1 2 ∆ (λ1 ). 2 For brevity we assume V = ∞. 1 It is easy to calculate asymptotic behavior because we know all the functions.
7ζ(3) h3 ¯ Cn (Tc ) = kB pF m(kB Tc ) . In particular. termine the critical magnetic ﬁeld. 3¯ 3 h Making use of all the relations we get near Tc Cs (T ) T − Tc = 2.4.76 . we can obtain the speciﬁc heat Cs (Tc ) = Cn (Tc ) + 4 pF m(kB Tc ) kB .T. we get Ss = − Cs = T Near Tc we get Ωs − Ωn = −g( ) where ζ(3) is the Riemann zeta function ∞ 229 ∂Ωs 2π∆3 (0) −∆(0)/kB T ≈ g( ) e .5.V = (δΩ) . nx In the same way. Indeed. ∂T (kB T )3 7ζ(3) ∆4 32 (πkB T )2 ζ(x) = 1 1 . We can also de Figure 12. the additional terms to all the thermodynamic potentials are equal if they are expressed in the corresponding variables.12. ∂T kB T ∂Ss 2π∆5 (0) −∆(0)/kB T = kB g( ) e . (δF )N.V . 12. THERMODYNAMICS OF A SUPERCONDUCTOR As a result. Cn (Tc ) Tc The temperature dependence of the speciﬁc heat is shown in Fig.T.42 + 4.4: Temperature dependence of the speciﬁc heat.
we should mention that one very important assumption has been extensively used. the relation currentvectorial potential becomes nonlocal ji = − k Qik (r − r )Ak (r ) dV . 12. That means that one can discuss the correlation length rather than the size of pairs.6 Electromagnetic Response of a Superconductor In this section we analyze the applicability of the London equation and its generalization. Now we know that Cooper pairs are responsible for the superconductivity. Hc (T ) = Hc (0) 1 − while near Tc Hc = k B π 2 (kB T )2 3 ∆2 (0) 16π mpF Tc − T .735Hc (0) 7ζ(3) h Tc ¯ In conclusion to this section. There are some materials where this condition is invalid. The main diﬀerence is that Cooper pairs have quite large size ζ ∼ hvF /∆ ¯ a (at ∆ ≈10 K ζ ∼ 10−4 cm). 3 (Tc − T ) ≈ 1. 8π 2πg( )∆(0). The theory should be generalized to treat those materials. Because of the correlation. namely the interaction assumed to be weak: λg( ) 1.230 and CHAPTER 12. MICROSCOPIC THEORY Ωn − Ωs = Thus. 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. Hc (0) = At low temperatures we have 2 Hc . Qualitative Discussion When we’ve derived the London equation j = −QA. Q= ne e2 mc2 we thought that the current is transferred by the electrons.
12.6. or pairs (one can check it replacing e → 2e. The London equation is the case at very slow variation of A(r). We know that the characteristic scale for the variation of A is δ. for a bare electron the Hamiltonian is 1 −¯ 2 h 2m 3 2 e e − i¯ (A + A) + h c c 2 A2 . one can decrease the ratio ζ/δ introducing defects. 231 where Qik (r) decays at r >ζ. impurities. Remember: the charge is denoted as −e. we’ll see later that near Tc all the SC are type II ones. The aim is just to show the way of microscopic calculations. In the opposite limiting case. Nevertheless. etc.. 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 where j is the quantum mechanical average of the current (in the following we omit the angular brackets · · · ). δ ζ. The prescription to take the ﬁeld into account is to replace 3 p = −i¯ h → −i¯ h e + A c As a result. According to quantum mechanics. The number of those electrons is proportional to the angle θ ∼ δ/ζ and nef f ≈ ne δ/ζ. Moreover. In this situation one can replace A(r ) → A(r) and Qik (r − r ) dV = δik Q. . consequently we return to the London limit at δ ζ. It is clear that in a weak ﬁeld we need 2nd order of the perturbation theory because the current is proportional to A.. ELECTROMAGNETIC RESPONSE . ne → ne /2). Here we consider only the simplest case: response of a SC to a weak steady magnetic ﬁeld at T = 0. δ∼ mc2 ζ mc2 ζ → δP ∼ 4πne e2 δ 4πne e2 1/3 . we can assume that only the electron which live for a long time in the surface region ∼ δ are eﬀective. As a result. most of pure materials are type I (or Pippard) ones. We will do like this: we calculate the contribution to the energy and than ﬁnd the variation with respect to δA. Theory of the Meissner Eﬀect at T = 0. It is interesting that all the formulas do not feel if the carriers are single electrons. As was mentioned.
q. h h h h mc ((2p−¯ q) · Aq ) ((2p−¯ q) · A−q ) h h . We see that only the item proportional to vp vp gives a ﬁnite contribution. p. εp + εp−¯ q h (up vp−¯ q − vp up−¯ q )2 h h We have taken into account that Aq = [A−q ]∗ and that quasiparticle operators for diﬀerent momenta anticommute. in the second order  0H1 m 2 .0 = 0. We change p → p+¯ q/2 and denote h ξp+¯ q/2 ≡ ξ+ .σ Aq . As a result 0H1 m = Finally E1 = − e 2mc 2 p. ξp−¯ q/2 = ξ− .σ e2 2mc2 a† ap−¯ q−¯ q . h h .σ through quasiparticle operators † † † † a† ap . Thus.σ H2 = Then we transform σ † σ apσ ap . h pσ H1 = h h pσ mc p.232 CHAPTER 12. MICROSCOPIC THEORY We see that only the ﬁrst item conserves the particle momentum. Now we use the gauge div A =0. and only transitions involving 2 quasiparticles are important. Using the second quantization. h h pσ p. The part H2 is of he 2nd order and it is enough to average it over the ground state.q. At low temperatures np↑ = np↓ = 0.σ Aq Aq . E(0) − E(m) = −(εp + εp−¯ q ).σ = up up (αp↑ αp ↑ + αp↓ αp ↓ ) + vp vp (α−p↓ α−p ↓ + α−p↑ α−p ↑ )+ pσ † † † † +up vp (αp↑ α−p ↓ − αp↑ α−p ↓ ) + vp up (α−p↓ αp ↑ − α−p↑ αp ↓ ).q 2 (up vp−¯ q − vp up−¯ q )(2p−¯ q).q . or (qAq ) = 0. E1 = m=0 E(0) − E(m) Then. in the ground state there is no quasiparticles. q = −q . To take the lack of conservation into account we expand the vector potential in the Fourier series A(r) = q Aq eiqr .σ + pa† ap−¯ q. and E2 = e2 mc2 2 vp Aq A−q . we write the interaction Hamiltonian ¯ as a sum of 2 parts e (p−¯ q)a† ap−¯ q.q 2 The ﬁrst order contribution from H1 vanishes because p pvp δq. and k = k . the component Aq can be understood as the absorption of electromagnetic quantum with the momentum hq.
e. ¯ .. The result depends on the scattering conditions for the electron at the surface. 4z 4 mc hvF q ¯ This formula is not enough to calculate the penetration depth because it is determined for inhomogeneous space. This integral could be analyzed in limiting cases. ε+ ε− (ε+ + ε− ) pF and 2 vp = ne . Thus we can neglect t2 in comparison with 1 and get F(z) = 3π 2 ne e2 ∆(0) 1 π2 → Q(q) = . At small q (z → 0) F(z) → 1 (London limiting case). the penetration depth diverges at T → Tc . At large q only small values of t are important. Indeed. 2∆(0) ∞ −∞ dξ cos2 θ sin2 θ 3 2z 1 0 (ε+ ε− − ξ+ ξ− − ∆2 ) dΩ = ε+ ε− (ε+ + ε− ) F(z) = (1 − t2 ) dt arsh (zt) √ t 1 + z 2 t2 (we have introduced t = cos θ). First. At the same time. In the second integral we put hq ¯ ξ± = (p ± hq/2)2 − p2 ¯ F ≈ ξ ± hqvF cos θ ¯ 2m (zaxis is directed along q).6. As a result E1 = − Remembering that δE = − we get jq = − In the ﬁrst integral 2 2e2 mc p 2 vp A q + p 233 1 e 2 mc 2 p. Finally. i. coming to the integral over momenta and calculating the perpendicular current we get Q(q) = ne e2 e2 p 4 1 − 2 F mc m cvF (2π¯ )3 h = ne e2 F mc hqvF ¯ . we emphasize that near Tc all the SC meet the London limit.12. Electrodynamics at T = 0 (London limit). ε+ ε− (ε+ + ε− ) 1 c jq δA−q q e2 m2 c p p(pAq )(ε+ ε− − ξ+ ξ− − ∆2 ) .q (pAq )(pA−q )(ε+ ε− − ξ+ ξ− − ∆2 ) . ELECTROMAGNETIC RESPONSE . The result for mirror reﬂection has the form δP = 28/3 hvF ¯ 2/3 δL 311/6 π 2/3 ∆(0) 1/3 . Now we brieﬂy discuss the inﬂuence of ﬁnite temperature. it corresponds to the qualitative estimates. at all the temperatures the correlation length is of the order of ζ0 ∼ hvF /Tc ..
G(z) = 2z ∞ 0 cosh ϕ dϕ (ez cosh ϕ + 1)(e−z cosh ϕ + 1) . . It means that displacement of quasiparticles is not the same as displacement of all the liquid.e. We see that nn ∆ =G ne kB T 1 d∆ = T dT d∆ dt T −1 . at T < Tc this ratio is less than 1. In the Pippard region ∆ ∆ tanh δP (T ) = δP (0) ∆(0) 2kB T −1/3 ∝ Tc Tc − T 1/3 near Tc . i.234 CHAPTER 12. We check the last formula remembering that ln ∆(0) =2 ∆(T ) ∞ 0 dϕ (e(∆/kB T ) cosh ϕ + 1) . 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. 4π 3 F Introducing new variable ϕ as ξ = ∆ sinh ϕ we get 1 ∆ P = p2 ug( F )G F 3 kB T We denote P =nn mu where nn is the number of ”normal electrons”. Then. 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 . the rest being superconducting electrons. √ One can show that at T → Tc nn /ne → 1 (∆ ∝ Tc − T ). MICROSCOPIC THEORY The inﬂuence of the ﬁnite temperature leads to creation of quasiparticles. We get P= pnF (ε − pu) (dp) ≈ p(pu) − ∂nF ∂ε (dp) = g( F ) dξ dΩ ∂nF p(pu) − 4π ∂ε . we have dΩ 1 p(pu) ≈ p2 u. At T → Tc ns Tc − T Tc =2 → δL (T ) = δL (0) . It is just the number which enters the London penetration depth at ﬁnite temperatures. to decrease of the number of superconducting electrons. We have ns nn d ln(∆/T ) =1− =− ne ne d ln T −1 . At the same time.
19) to the quasiparticle operators α. Denoting the interaction matrix element as Λuk−k we get Hint = k. or by electromagnetic wave. As a result e (A · (k + k )) a† ak σ . σ1 (12.σ Λuk−k a† ak σ . .7.7 Kinetics of Superconductors Formulas for Transition Probabilities Consider the case where a weak a. The perturbation can also modulates the system’s parameters.σ k−k Thus in general case Hint = k. In a compact form in can be written as (Problem 11. (The number of quasiparticles is not conserved!). 1. Usually it is not so important.3) 0 −1 † ρσσ α−mσ . kσ Microwave Field In the linear approximation the perturbation is (e/2mc)(pA + Ap). Acoustic Wave As we know.19) There are two kinds of processes induced by Hint .k .k . (12.σ ˆ k σ B kσ a† ak σ . 2.k . described by quasiparticle operators. Such a ﬁeld can be created by acoustic wave. acoustic ﬁeld create a perturbation Λik uik (r.12.t). To analyze them we transform the Hamiltonian (12. Hint = kσ mc k.20) mσ 1 0 σ As a result † a† ak σ = uk uk αkσ αk σ + vk vk kσ σ1 σ2 † ρσσ1 ρσ σ2 α−kσ1 α−k σ2 + + uk vk σ1 † † ρσ σ1 αkσ α−k σ1 + vk uk ρσσ1 α−kσ1 αk σ . Transitions between diﬀerent states. We have done this transformation earlier. where ρ = a† = um αmσ + . ﬁeld acts upon a SC.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.c. Now we analyze diﬀerent processes. kσ (12. KINETICS OF SUPERCONDUCTORS 235 12.
236 Scattering processes.
CHAPTER 12. MICROSCOPIC THEORY
Making use of anti commutation of quasiparticle operators we get the following expression for transition matrix element ˆ M (kσk σ ) = uk uk k σ B kσ − vk vk
σ1 σ2
ˆ ρσ2 σ ρσ1 σ −k σ B − kσ .
ˆ In fact, σ1 σ2 ρσ2 σ ρσ1 σ −k σ B − kσ is the matrix element where all the momenta and spins are reversed which means time reversion. 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 σ2
where η= Thus ˆ M (kσk σ ) = (uk uk − ηvk vk ) k σ B kσ where the coeﬃcient (uk uk − ηvk vk ) is called the coherence factor. This factor is very important. The resulting contribution to the transition rate is νkk =
2π h ¯
+1, −1,
for the case 1 . for the case 2
M (kσk σ )2 {nF (εk ) [1 − nF (εk )] − nF (εk ) [1 − nF (εk )]} × ×δ(εk − εk − hω). ¯
(12.22)
Consequently, the absorbed power is W1 =
kk
hω νkk . ¯
Denoting B 2 ≡ we get
ˆ k σ B kσ
2
where the bar means angle average over the Fermi surface
∞ ∆
W1 = 2πωB 2
dε dε gs (ε)gs (ε )(uk uk − ηvk vk )2 ×
× [nF (ε ) − nF (ε)] δ(ε − ε − hω). ¯ Here we have introduces the density of states with respect to the energy ε gs (ε) = g( F ) According to the deﬁnition, (uk uk − ηvk vk )2 = 1 ξξ ∆2 1+ −η . 2 εε εε dξ ε = g( F ) √ 2 . dε ε − ∆2
12.7. KINETICS OF SUPERCONDUCTORS Finally W1 = 2πωB 2 g 2 ( F )
∞ ∆
237
dε
∞ ∆
dε
εε − η∆2 (ε2 − ∆2 ) (ε 2 − ∆2 )
× (12.23)
× [nF (ε ) − nF (ε)] δ(ε − ε − hω). ¯
We can make the same calculation for the second part, corresponding to creation and annihilation of quasiparticles which is nonzero at hω > 2∆. The result can be formulated ¯ as ∞ Ws 1 ∞ εε − η∆2 dε dε Θ(ε − ∆) Θ(ε  − ∆)× = Wn hω −∞ ¯ −∞ (ε2 − ∆2 ) (ε 2 − ∆2 ) × [nF (ε ) − nF (ε)] δ(ε − ε − hω). ¯ Now we discuss the applications of the formula. Ultrasonic Absorption We have η = 1. At hω ¯ ∆ dε
ε>∆
(12.24)
Ws = Wn
ε 2 − ∆2 ∂nF − 2 − ∆2 ε ∂ε
=
2 . 1 + e∆/kB T
At T = 0 the absorption takes place only at hω > 2∆. The graph of this function is shown ¯ in Fig. 12.5.
Figure 12.5: Temperature dependence of sound absorption.
238 Response to Microwave Field
CHAPTER 12. MICROSCOPIC THEORY
The quantitative analysis is more diﬃcult. The key results are the follows. At T = 0 the absorption takes place only at hω > 2∆ (see Fig. 12.6). At low frequencies and ¯
Figure 12.6: Frequency dependence of microwave absorption at T = 0. temperatures, kB T, hω ¯ ∆(0) we have hω ¯ 2kB T K0 hω ¯ 2kB T exp − ∆(0) kB T
Im Q ≈ −4π sinh
Note that the condition hω = 2∆ corresponds to the frequencies ∼ 1011 − 1012 Hz. Con¯ sequently, in the optical frequency range the electromagnetic properties of SC and normal conductors are practically the same. Finally, we discuss also the very important limiting case of the vicinity of Tc and small frequencies hω ¯ ∆ kB Tc . In this region c iωσ + A. 2 4πδ c ˙ Remembering that E = −(1/c)A we see that the second item is just σE and j= − j = js +jn . Note that such a twoﬂuid hydrodynamics is not the case beyond the vicinity of Tc .
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
4
This equation is oversimpliﬁed, but appropriate for the problem.
12.7. KINETICS OF SUPERCONDUCTORS
239
where ε(p, r) is the quasiparticle energy. To estimate the scattering rate we assume impurity scattering, Hint = Vkk a† ak σ kσ
k,k ,σ
where the matrix element Vkk depends only on the angle θ = (k, k ). After Bogolyubov transform neglecting creationannihilation terms we get Hint =
k,k ,σ † Vkk αkσ αk σ (uk uk − vk vk ).
For elastic scattering ξk = ±ξk . For the sign + we get ξk /εk for the coherence factor while for the sign  this factor vanishes. As a result, 2π 1 = τs h ¯ Vkk 2 (1 − cos θ)(uk uk − vk vk )2 δ(εk − εk )(dk ) =
2
ξk π = g( F ) h ¯ εk Now we can do everything: ∂nF ε ∂nF =− ∂r T ∂ε Finally, T,
dξk dεk
dΩ 1 ξk  V (θ)2 (1 − cos θ) = 4π τtr εk n − nF ξk  . τtr εk
∂ε ∂nF ∂ξ ξk = =v , ∂p ∂ξ ∂p εk n(1) =
I(n) =
ε ∂nF τtr sign ξk v T. T ∂ε It is easy to calculate the thermal current Q= Thus κ= εp ∂ε (1) ne τtr n (dp) = − ∂p 2mkB T 2 ne τtr kB T 2m
∞ ∆/kB T ∞ ∆
(12.25)
ε2 dε cosh2 (ε/2kB T )
T.
x dx . cosh2 (x/2)
The graph of this function is shown in Fig. 12.7.
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. Then it was shown that there are ways to observe the supercurrent and in such a way to study the thermoelectric eﬀect. It is not so easy to calculate the thermoelectric current because of some important features of superﬂow. Here we use a simpliﬁed approach. Assume that the condensate moves as a whole with the velocity vs , the Cooper pair momentum being ps =2mvs . The motion as a whole means that the supercondicting coupling
240
CHAPTER 12. MICROSCOPIC THEORY
Figure 12.7: Temperature dependence of thermal conductivity. should be the case for the momenta p and −p + ps . As a result, 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 ↑ . (we have chosen the subscripts in the second line to fulﬁll the anti commutation condition ap↑ , a−p+ps ↓ = −up vp + up vp = 0. Then we make the same procedure as earlier and get H− N =
p
ξ np↑ + vp 2 (1 − np↑ − n−p+ps ↓ ) + − ∆2 . λ (12.26)
+ξ n−p+ps ↓ + vp 2 (1 − np↑ − n−p+ps ↓ ) Here ∆=λ Minimizing the energy, we get u2 = u2 p −p+ps =
2 2 vp = v−p+ps = p
up vp (1 − np↑ − n−p+ps ↓ ), ξ = ξ(−p + ps ). 1 ξ+ξ 1+ 2 2ε 1 ξ+ξ 1− 2 2ε
,
,
ε= Consequently, after variation over npσ εp↑ = ε +
(ξ + ξ )2 + ∆2 . 4 we obtain the quasiparticle energies ε−p+ps ↓ = ε − ξ−ξ 2
ξ−ξ , 2
12.8. PROBLEMS
241
In a more symmetric way, it is reasonable to shift the momentum by ps /2. In this case we can denote ξ± ≡ ξ(p ± ps /2), ξ + ξ = 2ξ(p) + ps /4m, ξ − ξ = pps /m = 2pvs . At small ps one can obtain εp+ps /2↑ = ε0 + pvs , ε−p+ps /2↓ = ε0 − pvs
that means just the Doppler shift of the energy. One should be careful to calculate the current. 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 ↑ ) . p p p
Then we shift the variables as p → p + ps /2 and assume ps j=− 2e m
∆/pF to get
pσ
2 (p + ps /2) u2 s /2 np+ps /2,σ + vp+ps /2 (1 − n−p+ps /2,σ ) . p+p
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) .
p
The two ﬁrst item can be grouped as −ens vs while the last one is the thermoelectric current of normal excitations. Substituting the expression for n(1) from (12.25) we get j = − ηs T, ηs = − e
F
κ.
We will come back to this problem later to explain how one can observe this current.
12.8
Problems
11.1. Prove the Eqs. (12.9) and (12.10). 11.2. Prove Eq. (12.18). 11.3. Check Eq. (12.20)
242 CHAPTER 12. MICROSCOPIC THEORY .
Tc According the deﬁnition of Tc . above Tc the stable state corresponds to Ψ = 0. First. According to the principles of SC. α > 0. it is natural to assume that the ground state corresponds to the total momentum equal to 0.1 GinzburgLandau Equations Derivation Let us formulate the theory of SC transition as the one for a general type II transition. Ψ. we describe the equilibrium values of the order parameter as Ψ = 0.Chapter 13 GinzburgLandau Theory In this chapter we consider a very powerful macroscopic theory which is very useful for many problems in SC. 2 Because we are interested in the vicinity of Tc we can expand the coeﬃcients in power of τ= T − Tc . 13. and one can expand the thermodynamic potential as b Ωs = Ωn + aΨ2 + Ψ4 + · · · . at T < Tc . at T > Tc . Ψ = − α τ = Ψ0 2 . b 2 243 . As the order parameter it is natural to chose the wave function of the Bose condensate. the modulus of the order parameter is small. the wave function being the same for all the Bose particles. Near the critical temperature. As a result. Thus the coeﬃcient a should change the sign at the transition point: a = ατ. while below Tc Ψ = 0. one should deﬁne the order parameter.
because of gauge invariance. h 4m c ∗ Then we put δΨ = 0 at the surface and arbitrary inside. Here Ω(0) is the thermodynamic potential of the normal state without magnetic ﬁeld. GINZBURGLANDAU THEORY Inserting the equilibrium value if Ψ0 2 into the expansion and comparing the result with the known relation for the critical ﬁeld. Thus we should add both the energy of magnetic ﬁeld H 2 /8π and the energy connected with the inhomogeneity. we get b Ωs − Ω(0) dV = dV ατ Ψ2 + 2 Ψ4 + n 1 + 4m −i¯ h + 2 2e A Ψ . Near the critical point it is enough to add  Ψ2 . In this case Ψ is coordinate dependent. To make a proper dimension we write the corresponding term as 1 4m Finally. 2b 8π Consequently. we get the following equation for the order parameter 1 −i¯ h 4m + 2e A c 2 Ψ + ατ Ψ + bΨ2 Ψ = 0.244 CHAPTER 13. To n get the minimum we calculate variation with respect to Ψ∗ : dV ατ ΨδΨ∗ + bΨ2 ΨδΨ∗ + 1 −i¯ h 4m + 2e A Ψ i¯ h c + 2e A δΨ∗ c The item with the δΨ∗ can be integrated by parts. c −i¯ h + 2e A c Ψ + 2 H2 8π . Using the Gauss theorem we get i¯ h 4m + δΨ∗ −i¯ h + 2e A Ψ dS+ c surf ace 2 1 2e dV δΨ∗ −i¯ + A Ψ. . As a result. we get 2 (ατ )2 Hc Ωs − Ωn = = . using the microscopic theory we have α2 4 (kB Tc )2 mpF 4π 2 = = g( F ) (kB Tc )2 . 2b 7ζ(3) 7ζ(3) h3 ¯ The most interesting case is the case of external magnetic ﬁeld. only combination −i¯ h + 2e A c is possible. Here we come to the most important point: Cooper pairs are charged particles. Consequently.
Now it is important to get the equation for electric current. 4π(2e)2 Ψ2 0 √ ατ Hc = 2 π √ . The variation of H 2 leads to δ(curl A)2 = 2 curl A curl δA. Ψ0 H = H √ . The set 2 2e A Ψ + ατ Ψ + bΨ2 Ψ = 0. Dimensionless Parameters and Their Meaning To make the equations simples new dimensionless parameters are usually introduced: Ψ = Ψ . b with δ = 2mc2 . from the Maxwell equations curl curl A =curl H = 4π j c → δ(curlA)2 = 2jδA. and equating the total variation to zero we obtain j= ie¯ ∗ h 2e2 2 (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. 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] . thus it is not important. To obtain it one should calculate the variation with respect to the vector potential A. The rest of the free energy can be calculated in a straightforward way. On the other hand. GINZBURGLANDAU EQUATIONS If now we put δΨ∗ at the surface to be arbitrary.13.1. b Ψ2 = 0 . The second integral can be transformed into the surface one. Hc 2 r = r . c ∗ j = (ie¯ /2m) (Ψ Ψ − Ψ Ψ∗ ) − (2e2 /mc)Ψ2 A h (1/4m) −i¯ h + forms the GinzburgLandau equations. c 245 The variation with respect to δΨ leads to the complex conjugate expressions. we obtain the boundary condition n −i¯ h + 2e A Ψsurf ace = 0.
Let H z. dx At k 1 one can assume Ψ =const. κ2 dx2 dΨ surf = 0. To understand the meaning of the parameters let us consider the simplest problem. 7ζ(3) π . H(x) = dAy . GINZBURGLANDAU THEORY In the following we will omit primes and use these variables. α2 4π 2 8π 2 ne α = g( F ) (kB Tc )2 → α = g( F ) (kB Tc )2 . in the bulk of material it is natural to assumeΨ2 = 1.246 CHAPTER 13. we chose Ψ real. namely penetration of a weak ﬁeld into the superconductor x > 0.e. 2 b 2 Comparing this expression with the microscopic formula for ns obtained in the previous chapter we get α = ne . (13. Indeed. As a result. We get − 1 d2 Ψ − Ψ + A2 Ψ = 0. i. b Then it is possible to express the constants α and b through the microscopic parameters.1) 2κ This set contains only one dimensionless parameter √ eHc δ 2 κ=2 2 hc ¯ (13. ζ0 a1 = 24 γ ≈ 0. 2b 7ζ(3) 7ζ(3) ne One can show using these expressions that κ = a1 δL (0) . the set of equations can be expressed as 2 i − A Ψ − Ψ + Ψ2 Ψ = 0. dx It is natural to consider Ψ as a function only of x. 2 dx Thus δ is just the London penetration depth near Tc . κ i n − A Ψsurf ace = 0. b = . Immediately we get from the second GL equation d2 A − A = 0 → H = H0 e−x .96. in usual units H = H0 e−x/δ .2) which is called the GinzburgLandau (GL) parameter. boundary condition κ i curl curl A = (Ψ∗ Ψ − Ψ Ψ∗ ) − Ψ2 A. Immediately we get Ψ0 2 = ns α ns →− τ = . A y.
∆τtr tanh(∆/2kB T ) At the same time. let us take into account that the coherence length ζ can be expressed as the electron path during the time h/∆ : ζ ∼ hvF /∆. at ζ0 δ(T ) = δL (0) h ¯ ζ . GINZBURGLANDAU EQUATIONS 247 Thus we determined the meaning of all the parameters.1. Thus κ∼ ∼ δL (0) (the exact theory leads to the coeﬃcient 0.13. we will derive an auxiliary expression for the free energy which will be used below. As we have discussed. Computing the coeﬃcients at τ → 0 we obtain 1 ∆(r) 1 Ψ(r) = a2 √ . (13. 2 2 4mκ2 4mδL (0) 4pF δL (0) Thus one can express the GL equation for alloys in the form πD¯ h 8kB Tc + 2ie A hc ¯ 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 . Note that in this case the coeﬃcient 2 1 3D ∼ ∼ . 4kB Tc 2 hc ¯ Finally. According to exact theory. the coherence length can be expressed as the characteristic electron path during the time h/∆ : ¯ ζef f ∼ D h ¯ ∼ ∆ δ ζef f 2 vF τtr h ¯ ∼ ∆ ζ where D is the electron diﬀusion coeﬃcient. impurities change strongly the penetration depth δ. ∼ δL (0) .2). a2 = n e kB T c π 7ζ(3) .72 in this formula). To take this change into account we substitute the expression for the penetration depth for dirty SC into Eq. If the electron moves diﬀusively due ¯ ¯ to impurity scattering. κ . Using dimensionless notations we get Ωs − Ω(0) n H2 dV = c 4π dV Ψ4 −Ψ + + 2 2 2 i − A Ψ + H2 . 8 Modiﬁcation for SC Alloys. It is clear that Ψ ∝ ∆ (both are proportional to τ ). The last thing is to discuss the physics of the order parameter.
n As a result. the last one . one of the conditions is the vicinity of the transition. In the rest integral we take into account that Ψ obeys the GL equation. 1). Another condition is the local relation between the current and vector potential. GINZBURGLANDAU THEORY Then we integrate the item with Ψ∗ by parts. 2 d A/dx2 − Ψ2 A = 0. There is another limitation of the range of GL theory: at very smallτ  where ﬂuctuations become important and the self consistent approach becomes invalid.3) 4π 2 Range of Applicability for the GL Theory. τ  1.248 CHAPTER 13. correspondingly ΩnH = Ω(0) −H0 /8π. say x. This limitation is not important for bulk materials but may be very important for layered and low dimensional SC. (dΨ/dx)surface = 0. 13.2 Applications of the GL Theory Surface Energy at NS Interface Consider the problem where all the quantities depend only upon one coordinate. H2 Ψ4 (ΩsH − ΩnH ) dV = c dV (H − H0 )2 − . (13. Ωs − Ω(0) dV = n 2 Hc 4π dV H 2 − Ψ4 . The set of equations has the form (we’ll see that Ψ is real) κ−2 (d2 Ψ/dx2 ) + Ψ(1 − A2 ) − Ψ3 = 0. the surface integral being zero. As we have mentioned. δ ζ0 .by dA/dx and them add the equation and integrate over x : x dx 0 1 d2 Ψ dΨ dΨ dΨ 3 d2 A dA dA + Ψ (1 − A2 ) − Ψ + 2 − Ψ2 A = 0. while A ⊥ x. In fact. It is easy to ﬁnd the integral of this set. As a result. the theory works not so bad even beyond the vicinity of Tc . 2 dx2 dx κ dx dx dx dx dx 1 κ2 dΨ dx 2 We obtain Ψ4 dA + Ψ (1 − A ) − + 2 dx 2 2 2 = const = 1 2 . it is possible to combine these equations taking into account that δ(T ) ∼ δL (0)τ −1/2 . In a normal phase. In fact. The criterion reads as τ  min(κ2 . Let us multiply the ﬁrst equation by dΨ/dx. 2 If one keeps the external ﬁeld H0 ﬁxed the corresponding thermodynamic potential can be 2 obtained by subtracting H0 B/4π.
Quantization of Magnetic Flux. To ﬁnd the surface energy we formulate the boundary conditions x → ∞ (superconductor) : Ψ = 1. 3 8π κ The opposite limiting case can be treated only numerically. We obtain √ 2 2 Hc 4 2 Hc 2 κx σns = 1 − tanh √ dx = . e¯ χ dl + ¯ c A dl . Consider a hollow cylinder placed into a longitudinal magnetic ﬁeld. Thus.3) and put H0 = 1/ 2. √ dΨ/dx = 0. H = A = 0. we get 1 κ2 dΨ dx 2 + Ψ2 − Ψ4 1 dΨ κ = → = √ (1 − Ψ2 ).2.13. If the order parameter has the form Ψ = Ψeiχ the current is e¯ 2 h 2e Ψ χ+ A . m h Ψ2 j = −. At κ 1 (ζ 249 δ) the most important region where A and H are small. The result is that σns at √ √ κ = 1/ 2 and at κ > 1/ 2 it is negative. (13. Now we can ﬁeld employ Eq. x → −∞ (normal conductor) : Ψ = 0. 8π 8π 3κ 2 In dimensional units that means σns √ 2 4 2 Hc δ = . H = 0. APPLICATIONS OF THE GL THEORY (the constant being determined from the boundary conditions. dΨ/dx = 0. m hc ¯ We can divide the current density by Ψ and integrate over a closed circuit in the bulk of superconductor: j h 2e dl = −. but this region is small. The orderof magnitude estimate has been made earlier. H = H0 = 1/ 2. 2 2 dx 2 The solution is κx Ψ = tanh √ . 0 − 2πk ﬂux . 2 it is wrong in the region where the √ penetrates. Assume that the cylinder is in the Meissner state.
250 Thus Φ = kΦ0 ,
CHAPTER 13. GINZBURGLANDAU THEORY
Φ0 = π¯ c/e = 2.07 · 10−7 G · cm2 . h
It is interesting that the eﬀect has been predicted by F. London (1950) before the concept of Cooper pairs. He assumed the quantum to be π¯ c/e = 2Φ0 . h 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. As a result, the ﬂux quantization through the hole is not exact. Experimentally, the SC is cooled in a ﬁxed magnetic ﬁeld and the ﬂux is frozen inside the hole. To determine the trapped ﬂux one should minimize the free energy diﬀerence (ΩsH − ΩnH ) dV =
2 Hc 4π
2 (H − H0 )2 πR1 + int
R2 R1
(H − H0 )2 −
Ψ 2
4
hole
SC walls
2πρ dρ .
Here R1,2 are internal (external) radius of the SC pipe. 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. It is clear to understand that the internal magnetic ﬂux is equal to Φ = nΦ0 (see Fig. 13.1). at n− 1 1 Φ0 < Φext < n + Φ0 2 2
Figure 13.1: Quantization of magnetic ﬂux through a SC cylinder. This kind of behavior has been demonstrated in a very interesting experiments by Little and Parks (1962). Let us make the hollow cylinder from a very thin ﬁlm with the
13.2. APPLICATIONS OF THE GL THEORY
251
thickness δ. Such s ﬁlm does not screen the magnetic ﬁeld. If the ﬁlm radius is δ one can consider the vector potential to be constant in the ﬁlm. We can come to cylindric coordinates and assume that the only component of A as Aϕ . Expressing the order parameter as Ψeiχ we have b Ωs − Ω(0) dV = dV ατ Ψ2 + 2 Ψ4 + n
1 + 4m
−i¯ h
+
2e A c
Ψ +
2
H2 8π
→
2 b h2 ¯ 2e H2 Ωs − Ω(0) = ατ Ψ2 + Ψ4 + χ+ A + . (13.4) n 2 4m hc ¯ 8π In our case Ψ =const, as well as the quantities χ and A are constant along the ﬁlm. So 2e we can replace the gaugeinvariant diﬀerence χ + ¯ c A by its average value h
χ+
1 2e A= hc ¯ 2πR
χ+
2e 1 Φ A dl = n− . hc ¯ R Φ0
Now we can substitute this expression into (13.4) to get h2 ¯ Φ b Ωs − Ω(0) = ατ Ψ2 + Ψ4 + n− n 2 2 4mR Φ0 the number n is within the interval n− 1 1 Φ0 < Φext < n + Φ. 2 2
2
Ψ2 +
H2 , 8π
We see that the magnetic ﬁeld leads to the renormalization of the critical temperature h2 ¯ Φ τ →τ =τ+ n− 2α 4mR Φ0 or δTc h2 ¯ Φ =− n− 2α Tc 4mR Φ0
2 2
.
The graph of the experimental dependence is shown in Fig. 13.2. 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. The key feature of the experiment discussed is the thin walls of the cylinder.
Thermoelectric Phenomena
Now we can discuss how to observe the thermoelectric eﬀects we’ve considered earlier. For this reason we write the supercurrent as j = jT + js , jT = −ηs T, js = − hens ¯ 2m χ+ 2e A hc ¯
252
CHAPTER 13. GINZBURGLANDAU THEORY
Figure 13.2: On the experiments by Little and Parks.
Figure 13.3: On the thermoelectric eﬀect. (we have substituted Ψ2 = ns /2. Now consider a cylindric system shown in Fig. 13.3, the branches a and b being fabricated from diﬀerent materials. In the bulk of materials j =0, and 2mηs 2e χ= T − A. hens ¯ hc ¯ Integrating over the closed loop we get 2πn = 2m he ¯ 2m he ¯
T2 T1
ηs 2e T dl− ns hc ¯ ηs ns −
a T2 T1
ηs A dl = ns dT − 2π Φ . Φ0 dT.
b
= As a result,
ηs ns ηs ns
b
Φ m = −n + Φ0 π¯ e h
−
a
ηs ns
We see that there is nonquantized contribution to the magnetic ﬂux. This contribution is small but observable.
13.2. APPLICATIONS OF THE GL THEORY
253
Surface Superconductivity
Now we discuss the surface superconductivity. To start let us discuss stability of the SC region in the normal phase. We have diﬀerent possibilities (see Fig. 13.4 where the order parameter is shown). For all the cases one should use the boundary condition
Figure 13.4: On the surface supercondutivity. dΨ dx
= 0.
surf ace
Assume that the ﬁeld is parallel to the surface. We chose A = H(x − x0 ) where x0 is the parameter. The GL equation has the form − d2 Ψ 2 + κ2 H0 (x − x0 )2 Ψ = κ2 Ψ dx2
√ It is convenient to transform the equation to dimensionless variable x = x κH0 , and we have κ −Ψ + (x − x0 )2 Ψ = Ψ. H0 √ This equation has 2 parameters: β = κ/H0 , and x0 = x0 κH0 . There is an exact solution of this equation that can be expressed in terms of hyper geometric function. It has the form Ψ = e−x
2 /2
C1 F
1−β 1 3−β 3 , , (x − x0 )2 + C2 x F , , (x − x0 )2 4 2 4 2
where F (α, γ, z) obeys the equation zF + (γ − z)F − αF = 0.
254
CHAPTER 13. GINZBURGLANDAU THEORY
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 . Then one can minimize β with respect to x0 , the quantity βmin corresponds to H0 max . The result is Hc3 = 1.69κ = 1.695Hc2 .
13.3
NS Boundary
Proximity Eﬀect
In this section we brieﬂy discuss important physics for the NS boundary. To make the discussion as simple as possible we discuss the case of the temperature close to Tc , so we can use the GL theory. The most important feature that one should modify the boundary condition for the order parameter. It has the form n + 2ie A Ψ c¯ h
surf ace
=
1 Ψ . µ surf ace
(13.5)
To calculate µ one needs the microscopic theory but it is clear that µ ∼ ζ. The exact result is 0.6ζ0 , pureSC √ µ= 0.3 ζ0 , dirty SC. Let us consider the plain surface x = 0. The integral of the GL equation at A = 0 is ζ2 dΨ dx
2
+ Ψ2 −
Ψ4 1 = . 2 2
The length ζ is just the coherence length . We know the solution Ψ = tanh x − x0 √ , ζ 2
the parameter x0 is to be determined from the boundary condition (13.5) √ x0 2 µ = −2 . sinh ζ ζ √ √ Near Tc ζ ∝ 1/ Tc − T and x0 ≈ −µ 2. Thus Ψ = tanh x √ +1 . ζ 2
That means that the order parameter is nonzero also in the thin layer of former normal phase. At the same time, normal conductor ”spoils the superconductivity near the surface.
13.3. NS BOUNDARY
255
Andreev Reﬂection
Let us discuss the NS boundary in more detail. At the interface the chemical potentials in both phases should be equal. At the same time, in the SC the electrons exist as Cooper pairs. As a result, the chemical potential of the pair of electrons should be the same as the chemical potential of a Cooper pair. Now let one electron come to the SC. It has no partner, and consequently its energy is greater by ∆. Consequently, if the excitation energy of the electron above the Fermi level is less than ∆ it should be reﬂected from the boundary. To discuss the physical picture in more detail let us assume that metal s are the same (say, we discuss the NS boundary in the intermediate state). In this case the order parameter penetrates into the normal phase up to the thickness ∼ ζ ≈ hvF /∆. The energy ¯ √ 2 2 is shown in Fig. 13.5. spectrum ε = ξ + ∆ As we have discussed, the quasiparticle
Figure 13.5: Quasiparticle spectrum near the surface. from the normal metal (left panel) is reﬂected, its energy being conserved. At the same time, the momentum change can be estimated as follows: δp ∼ (dp/dt)δt where δt is the time to be inside SC: δt ∼ ζ/vF . The derivative dp/dt ∼ −dU/dx ∼ ∆/ζ. Thus δp ∼ (∆/ζ)(ζ/vF ) ∼ pF (∆/ F ) pF . The only way to meet these conditions is to make interbranch transition (from particlelike to antiparticlelike branch and vice versa). We see that both energy and momentum are almost the same. At the same time, the group velocity will have an opposite direction. Actually the process is particle → anti − particle,ε1 = ε2 , p1 ≈ p2 , v1 = −v2 . Such a process is called the Andreev reﬂection (Andreev, 1964). What happens with the charge? In fact, such a reﬂection is assisted with the creation of a Cooper pair in the SC region which carries the charge.
256 CHAPTER 13. Andreev reﬂection is very important for many eﬀects in superconductors. GINZBURGLANDAU THEORY This is the mechanism for charge transfer from normal conductor to SC. .
14. so the diﬀerence of the electrochemical potentials is −eV (Fig. is given by the formula W ∼ exp (see Fig.1) Figure 14. up to the main approximation.1).2). 14. √ 2 2m Impx dx = exp − h ¯ x2 x1 U (x) − E dx (14.Chapter 14 Tunnel Junction. 14. We see that the number of the electron which can penetrate the barrier is proportional to eV . 14.3. We start with the case of two normal metals. The tunnel transparency. 257 .1: Quantum tunneling. It is important that a quantum particle can penetrate the barrier with the energy less than the barrier height. Josephson Eﬀect. At a ﬁxed bias. In the equilibrium their chemical potentials are equal.1 OneParticle Tunnel Current Tunneling is the famous problem of quantum mechanics. and we get the Ohm’s law (Fig. all the voltage is dropped across the barrier (the resistance being maximal). curve 1).
Thus.We see that the probability decreases drastically. In a normal conductor. JOSEPHSON EFFECT.258 CHAPTER 14. and twoelectron (3) tunneling. Energy cost for the reverse transition is just the same because one should destroy the Cooper pair. Consequently. In a SC the electrons form Cooper pairs. and we see that the cost is ∆.4. there is a threshold at eV = ∆. we have two free quasiparticles at the Fermi level. TUNNEL JUNCTION. their chemical potentials are just the same as the energy level of the Bose condensate. To understand the situation let us look at Fig. Figure 14. Let us suppose that 1 electron made the N→S transition through the junction. ε − ∆2 .1). the energy per electron being ∆. oneelectron (2). In a SC its energy is greater by ∆ than the energy of an electron inside the Cooper pair. This is the socalled quasiparticle scheme. while the mass is 2m that leads to the extra 2. 14. Now let us discuss the NS case at T = 0. an extra energy should be given to the electron. Why the electron pairs cannot tunnel as a whole? The total charge transferred is −2e √ that doubles U (x) in Eq. To calculate the current one needs the densities of states: gn = g( F ) for the normal metal and ε gs (ε) = gn √ 2 . ε > ∆.3: I − V curves for normal conductors (1).2: Tunnel junction at a given bias. (14. Figure 14.
1. ONEPARTICLE TUNNEL CURRENT 259 Figure 14. We have 2 j ∝ W g1n dε √ . So we deﬁne √ gn ε/ ε2 − ∆2 . n(ε) = Θ(ε) and we get j ∝ W g1n g2n eV −∆ 0 dε = W g1n g2n (eV )2 − ∆2 . ε > ∆ gs (ε) = . To use the scheme depicted in Fig. ε < ∆ Here positive ε corresponds to N→S tunnel transitions while ε < 0 corresponds to destruction of Cooper pairs assisted by S→N transitions.4: Energy diagram for NS tunneling (S – left side. Thus j = jn eV −∆ ∆ (eV )2 − ∆2 . This is real density of states. ε2 − ∆2 Now let us discuss the SS junction. N – right side of each panel). ∆ the result should One can easily obtain the coeﬃcient taking into account that at eV be the same as for NN system. 14. At zero temperature. 0. eV eV − ε (ε − eV )2 − ∆2 ε .14. 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 )2 − ∆2 ε − eV  (ε − eV ) − ∆2 2 ≈ W g1n g2n [n1 (ε − eV ) − n2 (ε)] .4 we should assume both signs of ε.
K are the elliptic integrals K(k) = E(k) = π/2 0 2 (eV )2 − (2∆)2 K eV √ π/2 0 1 − k sin ϕ dϕ.5 (left panel) where the density of states are plotted. At ﬁnal temperatures. 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. Then. TUNNEL JUNCTION. Tunneling experiments appear extremely informative to study properties of SC. 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.5: SS tunnelling. At low temperatures the singularity takes place at eV = ∆1 + ∆2 . It is interesting to consider the case of 2 diﬀerent superconductors with Tc2 > Tc1 ≥ T. 14. nevertheless even a ﬁnite temperatures it is convenient to measure the dependence ∆(T ) from the derivative ∂j/∂V. We see that threshold value is eV = 2∆. the number of free states decreases with the voltage increase. the result being (eV )2 − (2∆)2 j ∆ −2 =E jn eV eV where E. JOSEPHSON EFFECT. To see what happens at ﬁnite temperatures let us look at Fig. when eV ≥ (∆2 − ∆1 ). At eV = 2∆ j/jn = π/4 (see Fig. 14. curve 3). right – I − V curve. 14.3. the current decreases. Consequently. Left – Energy diagram. 1 1−k2 sin2 ϕ 2 2 dϕ. At the increase of voltage the left side of the picture moves Figure 14. The I − V curve is shown in Fig.5 (right panel).260 CHAPTER 14. the threshold singularity is smeared. .
1962). let us ﬁnd the contribution of the coupling to the energy up to the lowest order.14. The simplest expression E=C dy dz (∆1 ∆∗ + ∆∗ ∆2 ) = 2C 2 1 dy dz ∆1 ∆2  cos(χ2 − χ1 ). we have considered incoherent processes. Let us calculate the Josephson current in a very simple way. Comparing this equation with the general formula of electrodynamics δE = − we obtain j= 4e 2e C∆1 ∆2  sin χ2 − χ1 + h ¯ hc ¯ 2 1 1 c jδA dV Ax dx = jc sin χ2 − χ1 + 2e hc ¯ 2 1 Ax dx .2. Thus the phase diﬀerence is connected with the supercurrent.2 Josephson Eﬀect Up to now. (y. Namely. Ax dx . Here C is a constant. . the complete theory should take into account coherent transfer of the electron wave function. E = 2C dy dz ∆1 ∆2  cos χ2 − χ1 + 2e hc ¯ 2 1 2 1 2e hc ¯ 2 1 Ax dx. We get χ2 − χ1 + Thus. In particular. in the absence of magnetic ﬁeld. Actually. the order parameters overlap. z) is the plane of the contact. Why the phase diﬀerence is dependent on (χ2 − χ1 )? Let us consider the magnetic ﬁeld H (yz). a ﬁnite supercurrent can ﬂow through SIS system almost like through a bulk SC (Josephson. JOSEPHSON EFFECT 261 14. all the physical quantities depend on χ+ 2e A. After variation with respect to Ax is δE = − 4e C hc ¯ ∆1 ∆2  sin χ2 − χ1 + 2e hc ¯ Ax dx δAx dV. hc ¯ Now we can chose A x and integrate the relation along x between the points 1 and 2 which are placed inside the left (and right) SC parts. and there is a possibility to form a united condensate. j = jc sin (χ2 − χ1 ) . As a result. As a result. According to the gauge invariance.
tunneljunction) S − N − S (SC − normalconductor − SC. Consequently. In this case. const = eiχ2 . The microscopic formula for two identical SC at T = 0 (Ambegaokar. In the bulk of the ”banks” Ψ →const. In fact. the current is tuned by the ballast resistor and the transition from zero voltage to the ﬁnite one is observed. proximitybridge) S − C − S(SC − constriction − SC. jc ∼ 103 − 104 A/cm2 that is 56 orders less than the critical current in a bulk sample. At the same time. and we have in the lowest approximation 2 Ψ = 0. It is clear that the critical current is proportional to the tunneling probability. the normal conductance R−1 is also proportional to the tunneling probability. JOSEPHSON EFFECT.2) . 1963) is jc = while at ﬁnite temperature jc = π∆(T ) ∆(T ) tanh . TUNNEL JUNCTION. Josephson eﬀect and related topics are called the weak superconductivity. 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 ). Among such systems are S − I − S(SC − insulator − SC. intheleftside .g. intherightside Thus we can search the solution of the GL equation as Ψ = f (r)eiχ1 + [1 − f (r)] eiχ2 (14. Baratoﬀ. bridgeorpointcontact) To explain the reason we discuss here a very simple derivation based on the GL theory. Let us assume that const = eiχ1 .1). Actually. inside the bridge the ﬁrst item is the most important. Problem 13. 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. 2eR kB T π∆(0) 2eR Experimentally. this transition is assisted by many interesting nonlinear phenomena (see e.262 CHAPTER 14.
14. As a result. Rather we substitute Eq. JOSEPHSON EFFECT IN A MAGNETIC FIELD where f (r)obeys the equation 2 263 f (r) = 0 and tends to 1 in the bank 1 and to 0 in the bank 2. c¯ h ﬂuxthroughthecontact Denoting θ0 = χ1 − χ2 we get ¯ = jc Φ sin π Φ sin θ0 + π Φ j Φ0 π Φ0 Φ0 jc max −maximalcriticalcurrent As a result. We will not discuss the exact form of the solution which depends on the concrete system. criticalcurrent 14. where d = 2δ(T ) + d ≈ 2δ(T ). In this case 2 1 Ax dx = Hy0 zd. ¯= j 1 L L 0 c¯ h j(z) dz = jc 2e HLd cos χ1 − χ2 − 2 eH − cos (χ1 − χ2 ) . The result is j= 2¯ 2 h Ψ f (r) sin(χ2 − χ1 ) m 0 .3. πΦ/Φ0 The graph of this function is shown in Fig. the maximal critical current is jc max = jc sin (πΦ/Φ0 ) .14. . we have j = jc sin χ1 − χ2 − 2 eH . c¯ h The experimentally measurable quantity is the average current. (14. 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.3 Josephson Eﬀect in a Magnetic Field y (the junction plane is yz one).6. d is the thickness of the insulating region (we have taken into account that the ﬁeld decays as exp(−x/δ) in