MS381 Introduction to Solid-State Physics

Time: Tue, Thurs 2:30 – 3:45

Type: Offline, W1-1 1317
Lecturer: Jae-Byum Chang (Tel 3333, jbchang03@[Link])

Text book: Electrons in Solids - an Introductory Survey, 3rd edition, by Richard H. Bube
References:
1. Solid State Physics, 1st edition, Neil W. Ashcroft, Thomson Press
2. Introduction to solid state physics, 8th edition, Charles Kittel, Wiley

Grading: Attendance: 10%, Homework: 10%, Midterm: 40%, Final: 40%

Attendance: Attendance will be checked at 1:15pm. You should let me know if you have cannot
attend the class in advance (before the class) by email. Up to three absences will be
allowed. From the 4th absence, you will loose one point each.

1
Week Content Homework
1 Introduction
2 Concept of waves #1
3 Lattice waves, phonon
4 Heat capacity via lattice vibration #2
5 Matter wave 1
6 Matter wave 2 #3
7 Heat capacitary of electrons
8 Midterm
9 Origin of bandgaps
10 Bandgap of semiconductors 1 #4
11 Bandgap of semiconductors 2
12 Conductivity #5
13 Electromagnetic waves
14 Light, lattice interaction #6
15 PN junction
16 Final Exam
2
About the instructor
• Jae-Byum Chang, PhD
• Undergraduate study
• Korea Advanced Institute of Science and Technology (2001 – 2008)
• Mandatory military service (2005 – 2007)
• Majored in Physics
• Double majored in biological sciences
About the instructor
• Jae-Byum Chang, PhD
• Graduate study
• Massachusetts Institute of Technology (2008 - 2014)
• Majored in Materials science and engineering
• Advisor: Prof. Karl K. Berggren (EECS)
• Minored in Chemical engineering
• Before going to MIT, accidentally read a book titled
“The making of silicon valley”
About the instructor
• Jae-Byum Chang, PhD
• Graduate school
• Changed my mind, decided to study semiconductor technologies
• Studied nanofabrication for 5 years.
• Postdoc
• Wanted to study new things (even though it is not practical)
• Worked on Brain imaging @ MIT Media lab
Solid-state physics is the study of rigid matter,
or solids, through methods such as quantum
mechanics, crystallography, electromagnetism,
and metallurgy. It is the largest branch of
condensed matter physics. Solid-state physics
studies how the large-scale properties of solid
materials result from their atomic-scale
properties. Thus, solid-state physics forms a
theoretical basis of materials science. It also
has direct applications, for example in the
technology of transistors and semiconductors.
(1) Wave number (k,k′)

The displacement as a function of position (throughout the space) at a specific time.

y(t) = ym sin θ = ym sin(kx) y1 = y2 → ym sin(kx1) = ym sin{k(x1+λ)}

= ym sin{kx1+kλ)}
y
y1 λ y2 → kλ=2π

2
x k= angular wave number (radian/cm)
x1 π 2π 3π 4π 
1
k' = wave number (# /cm ) 파수


In wave mechanics, wave number is used instead of wavelength, Wave number is directly
connected to momentum (propulsive force; 推進力 ).

Particle : p = mv → p  v
h h 2
Wave : p = =  = k → p  k
 2 
p and k has a linear relation with a proportionality constant ħ.
(Planck constant: ħ = 1.05x10-34 J∙s = 6.56x10-16 eV∙s)
1-10. Principle of superposition
• Supposed that two waves travel simultaneously along the
same stretched string. When they are in the same region, they
interfere each other by the principle of superposition.
• - At any time, the combined waveform of two or more
interfering waves is given by the sum of the displacements of
each waves at each point in the medium.
• y'(x,t)=y1(x,t) + y2(x,t)
•
• - The overlapping waves do not in any way alter the travel of
each other.
• - It is the life of a married couple.
• Fourier theorem: With the superposition
principle, any wave form can be
presented as the sum of a large number
of sinusoidal waves, of carefully chosen
frequencies and amplitudes.

• Example: Music concert with many

instruments

• Inside solids, many waves are overlapped.

• Somehow understanding of the behavior

of simple harmonic wave is the most
important.
Dulong-Petit law

Proposed by
Pierre Louis Dulong and Alexis Therese Petit

Molar heat capacity of most elements is

about 3R
Wave equation in a 1-D monatomic infinite lattice
Let us consider a transverse lattice wave

 x→

Assume
① The tension (bonding force Fb) is effective only between nearest neighbor atoms.
② The force of interaction is attractive force: bonding force Fb.
③ The vertical displacement,  [zai], is much smaller than the atomic distance, a.
<<a → The Fb between two neighbor atoms is constant in the wave.

Exemplified schematic view of lattice wave

F↑
r-1 Fb
 We want to derive the force on the
r Fb atom located at x=ra.

r+1
F↓
x
(r-1)a ra (r+1)a
Physical meaning(1)
③ at k=π/2a→λ=4a

a 
- Half of the lattice atoms vibrate opposite direction.  = max  sin  = 0.707max
- Every other half of the atoms are in the rest position. 2 2a

④ at k=π/a→λ=2a,
λ~2 Å = 2x10-10 m ~ 2x10-8 cm, k'at k=π/a~5x107 /cm

λ
1/ 2
F 
- Neighbor atoms move opposite direction.  = max = 2 b 
- The frequency reached a maximum at k=+π/a.  ma 
- Net force is largest → maximum frequency d 2ξ Fb
Fnet = m = ξ r
dt 2 a
(ii) Point B, kB=5π/2a=2π/λB→λB=4a/5

Five wavelength is equal to 4a.

The wave number of the traveling wave

does not match with that of real lattice
λB=4a/5 vibration.

(iii) Point C, kC=-3π/2a=2π/λC→λC=4a/3

Three wavelength is equal to 4a.

The wave number of the traveling wave

does not match with that of real lattice
λC=4a/3 vibration.

Many waves with different wave numbers exist inside solids: =A exp[i(kx-ωt)].
But all the lattice vibration can be described within -π/a<k<π/a.
At k=+π/a, k' =1/a and λ=2a .
The wavelength of x-ray is about 1 Å . Most waves are within k=+π/a.
Waves with the wave number larger than k=±/a can pass through solids. But the real
vibrations of lattice can be seen within k=±π/a.
Physical meaning
① For ω-0, (2 − 2M ) A + 2M cos ka  B = 0 (3.31) → A
B
2  cos ka
=− M
2 − 2M
A A
At k = 0,  = 0 → = +1  ⓐ = +sign ⓑ A = B
B B

k=0,λ=∞
→ A atom and B atom move the same
direction with the same amplitude. The B
center of mass moved. A

② For ω- with a small k ( λ>>a), As the k increases, the λ becomes smaller.

→ Both atoms move the same direction except at nodes.

This vibration is called ′acoustical branch′.
③ For ω+0, (2 − 2M ) A + 2M cos ka  B = 0 (3.31) → A
B
2  cos ka
=− M
2 − 2M
A 2 m
At k = 0,  = +o 2 = 2(M + m ) → =− M =−
B 2m M
ⓐ A / B = −sign ⓑ Amplitude  1/mass

→ A atom and B atom move the opposite k = 0,  = ,  = +o

direction. The amplitudes of the atoms are
inversely proportional to their mass. The
center of mass is fixed.
A
Ey
B
④ For ω+ with a small k ( λ>>a),
As the k increases, the λ becomes smaller.

B
A

Because of opposite charges of big ion and small ion, the vibration has an electric field
within the lattice. The electric field can strongly interact with infrared light when the
frequency of IR light is equal to that of lattice frequency (ω+o). The ω+ vibration is named as
′optical branch′.
Phonon statistics
① Phonons
In a 1-D finite crystal with N+2 atoms in a length L.
m max
λ1, π1 mode 1

λn+1, ωn+1 λ6, ω6 λ2, ω2 mode 2 -/a 0 k→ /a

mode 6 -(n+1) m→ (n+1)

Each normal mode (phonon) is an harmonic oscillator. For large N>>1, the total number of transverse
phonons (transverse normal modes) is N. In other words, the number of phonon is equal to the number
of atoms. It is equal to the total number of atoms. Considering two transverse normal modes and one
longitudinal normal modes, the total number of phonons is 3N. The linear atomic density is N/L and the
linear phonon density is 3 x N/L. In summary, the number of phonons are three times the number of
atoms.
In a 3-D solid with N atoms with volume V, the total number of phonons is 3 times the total number of
atoms. The volume density of phonons is 3N/V. The details are not considered further at this stage. Let
us keep in mind that the phonon volume density in a solid is 3N/V.
 ② Bose-Einstein distribution function
As seen in the previous slide, the total number of phonons (or harmonic oscillators) are constant
(=3N/V). Then how do they exist in the solid with various temperatures?
From the statistical mechanics, a mode of vibration with an angular frequency ω have, on the average,
the following number of phonons at temperature T.
1
f BE =
exp( / k oT) − 1

Where, fBE is called the phonon occupancy as a function of phonon frequency and is a probability.
Note that the probability can be larger than 1. Many phonons can exist with the same vibration mode.
This can be derived from the statistical physics in thermal equilibrium. We do not go details. Phonon
and photon follow this distribution function.
Phonon observation:
∞ - At extremely low T, most phonons will have small k and low ω.
← ħω<<koT - As temperature increases, the population of phonons with larger
k and ω in by thermal activation.
fBE - At extremely high T, most phonons will have the maximum ω.
ħω>koT - In solids, the total phonon density is fixed as 3N/V.
↓
- The number of phonons with low ω decreases and the phonons
 with high ω increases as temperature increases.
0 →
k oT
  U   124 Nk o  T 3  T 
3
CV =   =  
  = 1944  J/M  K
 T  V  5V  D  
 D CV CV=3R

(iii) Intermediate temperature

∝T3
 U   9 Nk o T 4  D
x e4 x
CV =   =   dx
(e )
T
 T  V  VD3 

0 x
−1
2

T/D→
The Cv increases rapidly. 1.0

Typical specific heat values of (J/mole/degree) for

some solids at room temperature (from Reif). Solid Cp θD (K)
In solids, Cp ≈ Cv.
Cp: specific heat at constant pressure
Cu 24.5 343
Cv: specific heat at constant volume. Ag 25.5 215
Dulong-Petit law: Cv=3R=24.9 J/mole/K Pb 26.4 105
Zn 25.4
The Debye temperature indicates that, at room Al 24.4 428
temperature (T=300K), most phonons in metal Sn (white) 26.4
have high frequencies near ωD (and short
S (rhombic) 22.4
wavelengths) and most phonons in diamond have
low frequencies (and long wavelengths). C (diamond) 6.1 1320
Wave-particle duality (1924)
Louis de Broglie "The fundamental idea of [my 1924 thesis] was the following:
French Scientist (1892-1987) The fact that, following Einstein’s introduction of photons in
Nobel Physics Prize 1929 light waves, one knew that light contains particles which are
concentrations of energy incorporated into the wave, suggests
that all particles, like the electron, must be transported by a
wave into which it is incorporated...
My essential idea was to extend to all particles the coexistence
of waves and particles discovered by Einstein in 1905 in the
case of light and photons.”
With every particle of matter with mass m and velocity v, a real
wave must be associated with the momentum by the equation:

h h v2
λ= = 1− 2
p mv c

where λ is the wavelength, h is the Plank constant, p is the momentum, m is the rest mass, v is the
velocity, and c is the speed of light in a vacuum.
This theory set the basis of wave mechanics. It was supported by Einstein, confirmed by the electron
diffraction experiments of G.P. Thomson and Davisson and Germer, and generalized by the work of
Schrödinger.
Particle in 1-D Confinement Text p 60

A particle in a infinite potential barrier well In region II, V(x)=0 (free electron).

V (x )  2 ( x )
+
2m
(E − V( x ) )  ( x ) = 0 (5.5 )
x 2 2
V=
 2 (x ) 2mE
Region Region Region = − 2   (x )
x 2 
I II III
Wave function in region II,
E

x=L 2mE
x=0 (x ) = A exp (ikx ) + B exp (-ikx ), k =


In region I and region III, Boundary conditions:

V is infinite → (x)=0  must be continuous.

(0 ) = A + B = 0 → B = -A
ψ( x ) = 0
2
(L ) = A eikL + B e-ikL
No electron exists in region I and III. = A(eikL − e-ikL ) = 2A sin( kL) = 0

kL = n → k n = n , n = 1,2,3, 
L
  2 2 The schematics of energies, wave functions, and
n = 1, E1 = probabilities of an electron in a infinite potential
2mL2
well.
4  2 2
n = 2, E 2 = = 4E1
2mL 2
E Ψn (x, t ) Ψn
2

9  2 2 n=4
n = 3, E3 = = 9E1
2mL2
n = n, E n = n 2E1
n =3
It satisfies the Heisenberg uncertainty
principle.
ΔP Δx   n=2

n =1
The complete normalized wave functions are
L L L
 E 
n ( t ) = e −n t = exp  − n t 
  
 n ( x, t ) =  n ( x )  n ( t ) De we have the same results in electromagnetic
2  n  −n t wave? → The answer is yes with mirror walls.
= sin  x   e The device is called cavity.
L L 
Electron occupation in solids
From the previous chapter, the probability of finding a free electron in small dimension was
quantized. In solids, if we have many free electrons, electrons are occupied from lower quantum
states one by one due to Pauli exclusion principle.

Low energy states are occupied by the free

At T=0 K electrons with the probability of 1.

E f=probability of
Ψ123, Ψ231, Ψ123
E electron occupancy
Ψ113, Ψ131, Ψ311

E122 Ψ221, Ψ122, Ψ212

E112 Ψ112, Ψ121, Ψ211
E111 Ψ111

f→ 1.0

22 L
Available quantum states as a function of energy
Comparison: football stadium

The number of available quantum states with the quantum number nx, ny, and nz is equal to
the volume of the picture shown below.

nz nx2+ny2+ nz2=const=r2
1 4 1 4
(
V(n ) =  r 3 =   n x 2 + n y 2 + n z 2
8 3 8 3
)3 / 2

The number of available quantum states with

energy E can be expressed as.
 ny 3/ 2
  2mL2 
3/ 2
L3  2m 
nx V(E ) = E =   E3 / 2

6  2 2  62   2 


V(E )
3/ 2
1  2m 
The number of available quantum states per unit volume is =   E3 / 2
L3 62   2 
The number of available quantum states per unit volume between E and E+dE is
dV(E ) 1
3/ 2
1  2m 
N V (E ) =  =   E1/ 2
dE L3 42   2 
An electron transports (or propagates) inside solid. The electron can encounter a potential
barrier that exists on a free surface or at the interface with other material.

air
① Case 1: E>Vo
Region I Region II
or solid 1 or Solid 2 Consider a wave traveling +x direction with E>Vo.
T T
 2 ( x ) 2m
R K.E + (E − Vo )  ( x ) = 0
T.E Vo x 2 2
P.E
Conduction band In region I, V(x)=0,
0 x→
 2I 2mE
=− I ,
x 2 2
Valence band I = A exp[i(k1x − 1t )] + B exp[ −i(k1x + 1t )]
 2I 2mE
= -k12 I → k1 =
x 2 
T.E=total energy, K.E=kinetic energy,
P.E=potential energy, K.E=E-Vo
 ⑥ Case 6: small d, E<Vo Region II, V=Vo>E.

 2 2m(Vo − E )
Region I Region II Region III = 
x 2
 2
V=Vo
2m(Vo-E)
A →  II = C e −k3x + D e k3x , k 3 =


E F
B Region III, V=0. III = F eik1x

V=0 V=0
0 d →x Continuity relations:
 I 
Schrödinger wave equation  I (0 ) =  II (0 ) , = II
x 0 x 0
 2 ( x ) 2 m
2
+
2
(E − V )  (x ) = 0  II (d ) =  III (d )
 II 
= III
x  x d x d

Region I, V=0. A + B = C + D ①
 2 2mE ik1A − ik1B = −k 3C + k 3D②
=− 
x 2
 2
C e− k 3d + D ek 3d = F eik1d ③
− k 3Ce − k 3d + k 3De k 3d = ik1Feik1d ④
2mE
→  I = A eik1x + B e −ik1x , k1 =

James Clerk
Maxwell
(1831-1879, Scotland)

James Clerk Maxwell scientist in the field of mathematical physics.

His most achievement was to formulate the classical theory of
electromagnetic radiation, bringing together for the first time
electricity, magnetism, and light as a manifestations of the same
phenomenon.
Maxwell’s equations for electromagnetism have been called the
“second great unification in physics’ after the first one realized by Isaac
Newton.
The unification of light and electrical phenomena led to the prediction
of the existence of radio waves.
Maxwell helped to develop the Maxwell-Boltzmann distribution, a
statistical means of describing aspects of the kinetic theory of gases.
His contributions to the science are considered by many to be of the
Source from Wikipedia same magnitude of those of Isaac Newton and Albert Einstein.
1. Electromagnetic wave
A plane electromagnetic wave consists of two transverse waves: electric field wave and magnetic field
wave. Traveling waves can be expressed.
Ey=Eo exp[i(kx-ωt), Hz=Ho exp[i(kx-ωt)],
where Eo and Ho are amplitudes of the electric field and the magnetic field.
The E field oscillates along the y direction. The H field oscillates along the z direction. The EM wave
travels (propagates) along the x direction. The E field and H field are vertical each other. Their
directions are also vertical to traveling direction.

y
Ey
Hz
Vph →
x

z Hz
Ey
The electric field is produced by stationary charges, and the magnetic field by moving charges (flux of
charge=current). The electric field is also generated by the change of magnetic flux (magnetic current).
The interaction of electric field and magnetic field in the electromagnetic field is described by
Maxwell’s equations.