UNIT # 1

Compiled by
IRFAN MALEK
QUE # 1. Obtain the relation for fermi energy .

• The wave function of an electron in a

semiconductor material of length L, width L
and height L is given by

1
 ( x, y , z )  ik x x ik y y
e e e ikz z
V
………………… (1)

Where, V is the volume of semiconductor

V  L3
• Since electron is confined in the material and can not come out of the material, we have
following boundary conditions :

 ( x, y, z )  ( x  L, y, z ) ………………… (2)
 ( x, y, z )  ( x, y  L, z ) ………………… (3)

 ( x, y, z )  ( x, y, z  L) ………………… (4)
• From eq. (1) and (2)

1 1
 e ik x ( x  L ) e
ik x x ik y y ik z z ik y y
e e e e ik z z
V V

 eik x L  1

 cos(k x L)  i sin(k x L)  1
 k x L  nx 2 Where, n x  0, 1, 2, 3,......... ...

2
 k x  nx ………………… (5)
L
• From eq. (1) and (3)
2
 k y  ny ………………… (6)
L
• From eq. (1) and (4)
2
 k z  nz ………………… (7)
L
• Now the wave vector in 3-dimension is given by
 ^ ^ ^
K  kx i  ky j  kz k
 2 ^ 2 ^ 2 ^
K  nx i  ny j  nz k
L L L
• The points corresponding to this K-
vector are in K-space

• All these points are separated by

2
L
• As shown in the diagram, volume
occupied by single K-point is

 2  8 3
3

   3
 L  L

• Therefore, no. of K-points per unit volume of K-space

L3 V

8 3 8 3
• Suppose there are N no. of electrons within volume V which occupy all energy states in K-
space which are inside the sphere of radius K F at 0 K and all the states outside the sphere
are un occupied.
• The surface of this sphere will have states of same energy which is the maximum possible
energy of electron at 0 K, known as fermi energy. Hence this surface is known as Fermi
surface.
4
• Volume of fermi sphere is  KF3
3

• The total no. of K-points within this sphere

= (volume of sphere) (no. of K-points per unit volume)

4 V
  KF3  3
3 8
• Since every point corresponds to two possible states (for spin up electron and spin down
electron) , The total no. of states within fermi sphere,
4 V
 2  K F  3
3

3 8
3
VK F

3 2
• And all these states are occupied, that means,
No. of states = No. of electrons
3
VK F
N
3 2
3
N KF
 
V 3 2
3
K N
 n  F2 Where, n  is the number density of electrons.
3 V
• Therefore Fermi radius,
1
K F  (3 2 n) 3 ………………… (8)

• Therefore Fermi energy,

2
2KF
EF 
2m
2
2
 EF  (3 2 n) 3 ………………… (9)
2m
QUE # 2. What is density of states? Derive the relation for density of states and
plot the graph of density of states as a function of energy.

• The relation for Fermi energy is given by,

2
2
EF  (3 2 n) 3 ………………… (1)
2m
Where n is the number density of electrons

• In general, eq. (1) can also be written as,

2
2
E (3 2 n) 3
2m
Where E is any energy level below which number of electron states per unit volume are n.
2
2mE
 (3 n)  2
2 3

 2mE 
3
 3 2 n   2  2
  
1  2mE  2
3
 n  2  2  ………………… (2)
3   
• If we increase the energy from E to E + dE, then the number of states per unit volume will
also change from n to n + dn
• That means dE range of energy contains dn states per unit volume.
dn
• Therefore, the ratio gives the number of states per unit volume per unit energy range.
dE
This is known as density of states and is denoted by g(E).

dn
 g (E)  ………………… (3)
dE
• From eq. (2) and (3),

dn 1  2m  32 3 12
g (E)   2  2 
E
dE 3    2

1  2m  2 2
3 1
 g (E)  2  2 
E
2    ………………… (4)

• Equation (4) gives the relation for density of states g(E) as a function of energy (E).
 g(E)

• This is the plot of density of states as a function of energy. The density of states increases
parabolically as the energy increases.

• Thus if we go to higher energy level, density of states will be more.

QUE # 3. EXPLAIN E-k DIAGRAM FOR FREE ELECTRON.
• For a free electron, the relation between energy E and wave vector k is

• Therefore the graph of E vs k will be parabolic but the problem is it will extend from
  to   because there are infinite no. of wave vectors possible in the space.
• Therefore we consider electron passing through the periodic arrangement of the atoms of
the material.
Direct lattice Reciprocal lattice
  
K  m1b1  m2 b2 m1 , m2 integers

 2
b1 
a1
  2
b1 b2 
a2

b2
• The wave function describing an electron in such periodic lattice is given by
 

 k (r )  e u k (r )
ik r
…………………………… (1)
  
Where, u k (r )  u k (r  R) , is a periodic function.

From eq. (1),

    
 
 k (r  R)  e e u k (r  R)
ik r i k R

  
But u k (r )  u k (r  R)

Therefore,
    

 k (r  R )  e e u k (r )
ik r ik R

Therefore,
  

 k (r  R)  e  k (r )
ik R
…………………………… (2)
• For every wave vector , we can find out reciprocal lattice vector and a small

vector such that

Brillouin
zone
• From eq. (2),
    

 k (r  R)  e i(k '  K ) R
 k (r )
     

  k (r  R)  e e  k (r )
ik ' R iK R

But,  
e iK R
1
   

  k (r  R)  e ik ' R
 k (r ) …………………………… (3)
 
From eq. (2) and (3), we can say that k and k ' are equivalent.
 
• Also from the diagram we can conclude that single k ' can represent number of k

• These k' vectors are within Brillouin zone
 
• Thus in E-k diagram, on X-axis, we can consider k ' instead of k and the entire diagram
can be reduced within the zone boundaries.
 
• Consider one dimensional reciprocal lattice points on the k- axis
2
• Separation between any two points is
a  
• The Brillouin zone of point kept at origin will be from  to 
a a
 
• Thus infinite no. of k vectors are transformed into finite no. of k ' vectors within the
Brillouin zone boundaries   to  
a a
  
Transformation of k into k '

    
k K k '  k K
 3 2  
to  to 
a a a a a
 3 2  
 to    to 
a a a a a

3 5 4  
to  to 
a a a a a
3 5 4  
 to    to 
a a a a a

• First row in the table means that the range of kcan be shifted from  3
to
  2 a a
TO  to  by subtracting
a a a   3
• Second row in the table means that the range of k can be shifted from  to 
  a a
TO  to  by adding 2
a a a
QUE # 4. EXPLAIN KRONIG-PENNEY MODEL FOR AN ELECTRON MOVING IN
PERIODIC POTENTIAL .

• KRONIG-PENNEY model describes the periodic potential of a one dimensional crystal.

Potential of single atom

Potential of series of atoms

• Potentials of adjacent atoms overlap.

• Thus the net potential can be considered as periodic with period (a + b)

• In region-I,  ( x)  u1 ( x) eikx ………………………. (1)

Where, u1 ( x) is the amplitude of wave in region-I

• In region-I, V = 0, hence Schrodinger eq. becomes,
 2 ( x) 2mE
Where,    2
2
  2
 ( x)  0 ………………………. (2)
x 2

Substituting  (x) from eq.(1) in eq.(2),

d 2u1 ( x) du1 ( x)
 2ik  ( k 2
  2
)u1 ( x)  0 ………………………. (3)
dx 2 dx
• In region-II,  ( x )  u 2 ( x ) e ikx
………………………. (4)

Where, u2 ( x) is the amplitude of wave in region-II

• In region-II, V = V0 , hence Schrodinger eq. becomes,

 2 ( x) 2m ( E  V0 )
  2
 ( x)  0 Where,  2  ………………………. (5)
x 2
2
Substituting  (x ) from eq.(4) in eq.(5),

d 2u 2 ( x ) du2 ( x)
2
 2ik  ( k 2
  2
) u2 ( x)  0 ………………………. (6)
dx dx
• Solution of eq.(3) is given by

u1 ( x)  Ae i (  k ) x  Be i (  k ) x ………………………. (7)

• Solution of eq.(6) is given by

u 2 ( x)  Ce i (   k ) x  De i (   k ) x ………………………. (8)

• Since wave function and its derivative is continuous at every point, amplitudes of the wave
function u1 ( x) and u 2 ( x) and their derivatives should also be continuous.
Condition # 1 u1 (0)  u2 (0)
Therefore, A B C  D  0 ………………………. (9)

Condition # 2  du1   du 
  2
 dx  x 0  dx  x 0
Therefore, (  k ) A  (  k ) B  (   k ) C  (   k ) D  0 .……………. (10)

Condition # 3 u1 (a)  u2 (b)

Therefore, Ae i (  k ) a  Be  i (  k ) a  Ce  i (   k ) b  De i (   k ) b  0 .……………. (11)

Condition # 4  du1   du 
    2
 dx  x  a  dx  x   b
Therefore,

A(  k )e i ( k ) a  B(  k )e i (  k ) a  C (   k ))e i (  k )b  D(   k )e i (   k )b  0

……..………. (12)
• Eq.(9), (10), (11), (12) will be satisfied simultaneously if determinant of coefficients of A, B, C,
D is zero.

• This gives following condition,

( 2   2 )
 sin(a) sin(b)  cos(a) cos(b)  cos k (a  b) ……..………. (13)
2
2mV0 E
• Now we define,  0  and  ……..………. (14)
2 V0

2mE 2m ( E  V0 )
• We know that   2
and   ……..………. (15)
 2

Therefore, 2mV0 E
   0  From eq. (14)
 2 V0
   0  …………..………. (16)

• Now for  , there are two possibilities.

• Case-I : If E  V0
2m ( E  V0 ) 2mV0 ( E  V0 ) 2mV0
    (  1)   0   1
2 2 V0  2

   0   1 …………..………. (17)
• From eq.(13) ,
( 2   2 )
 sin(a) sin(b)  cos(a) cos(b)  cos k (a  b)
2

  0    0   1
2 2
        
sin  0 a  sin  0b   1  cos  0 a  cos  0b   1  cos k a  b 
2 0    1
2


  0 (2  1)
2
       
sin  0 a  sin  0b   1  cos  0 a  cos  0b   1  cos k a  b  
2 0    1
2

1  2
sin( 0 a  ) sin( 0b   1)  cos( 0 a  ) cos( 0b   1)  cos k (a  b)
2  (  1)
…………..………. (18)
• Case-II : If E  V0
E
Then,  will be imaginary because   1
V0
  i 0 1   …………..………. (19)

• From eq.(13) ,
( 2   2 )
 sin(a) sin(b)  cos(a) cos(b)  cos k (a  b)
2

  0    0 1   
2 2
sin a   sini b     
1    cos  0 a  cos i 0 b 1    cos k a  b 
2i 0  1   
2 0 0


  0    0 1   
2 2
sin a   i sinh b     
1    cos  0 a  cosh  0 b 1    cos k a  b 
2i 0  1   
2 0 0


  0 (2  1)
2
sin a   sinh b     
1    cos  0 a  cosh  0 b 1    cos k a  b 
2 0  1   
2 0 0

1  2
sin( 0 a  ) sinh( 0b 1   )  cos( 0 a  ) cosh( 0b 1   )  cos k (a  b)
2  (  1)
…………..………. (20)
 2mV0   E
• Eq.(18) and (20) give the relation between  0  , V0 and k
2
• We can also conclude that only those values of energy  will be allowed for which the
value of L.H.S comes between -1 and +1 because R.H.S is cos k (a  b)
 2 2
a  b  a  b 
0

3 3
  a  b  a  b 
a  b  a  b 

Eq.(20) Eq.(18)

 2 3
There is bandgap at: k k k
a  b  a  b  a  b 
 E

BAND GAP

BAND GAP

BAND GAP

3 2 1 -1 -2 -3
 3 2   2 3

a  b 

a  b 

a  b  0 a  b  a  b  a  b 
 2
AFTER SHIFTING BY a  b

3 2   2 3  
   
a  b  a  b  a  b  a  b  a  b  a  b  a  b  a  b 
QUE # 5. Explain the formation of Energy bands in solids.

• As shown in figure, electrons in an atom are distributed on various

energy levels depending on their energy.
• When atom is single, electrons in discrete orbits will occupy
discrete energy levels
• Now consider an atom with single electron

• This electron will remain on energy level n=1

• If there is another atom at a distance from this atom, then its electron will also be on level
n=1
• Now if these two atoms are brought closer to each other, their electrons will start interacting
with each other due to which one electron gets slightly more energy and the other electron
gets slightly less energy due to which energy level n=1 splits into two.
• If there are N no. of atoms very close to each other, then energy level n=1
will split into N levels.

• Splitting is required because

more than two electrons with
same energy cannot remain
on the same level.
(from Pauli’s Exclusion principal)

• Similarly, if electrons are filled up to 3rd orbit in an atom and when such atoms are brought
close to each other, then first n=3 level will split because of interaction of outermost
electrons, then if the interatomic distance further decreases, electrons of level n=2 will start
interaction and thus n=2 level will split.

• If the interatomic distance further decreases,

then electrons of level n=1 will also start
interacting and the level n=1 will also split
at very small interatomic distance.
• Consider the single atom of Si in which there are 14-electrons

1s 2 2s 2 2 p 6 3s 2 3 p 2

• If N no. of Silicon atoms are brought

very close to each other such that
all the levels are split to form bands,
then
1s band will contain 2N electrons
2s band will contain 2N electrons
2p band will contain 6N electrons
3s band will contain 2N electrons
3p band will contain 2N electrons
• Also at higher energy levels, there are more electron states and the width of the band is
more. Therefore, there are chances of overlapping.
• As shown in the diagram,
3s band contains 2N states in which
2N electrons are filled up.
3p band contains 6N states in which
2N electrons are filled up. Hence 4N
states are empty.
• When 3s band and 3p band overlap
with each other,
2N states of 3p band combine with
2N states of 3s band.
• Therefore, now lower band containing
4N states and upper band containing
4N states are separated by some bandgap.
• Further all 4N valence electrons are in lower band and upper band is empty.
• Therefore lower band becomes valence band and upper band becomes conduction band.
• In Si, at 0 K temperature, valence band is completely filled and conduction band is
completely empty.
QUE # 6. Explain the classification of solid materials based on energy band gap.

• Solid materials can be classified in to conductors, semiconductors and insulators based on

the Energy band gap.

• As shown in figure, electrons of the outermost orbit(valence electrons) remain in the lower
energy Band. This band is containing the energy levels of valence electrons. Therefore, it is
called valence band.

• The upper energy band contains the energy levels of free electrons(conduction electrons).
Therefore, it is called conduction band.

• The gap between the top of the valence band and the bottom of the conduction band does
not contain any energy levels. Therefore, electrons can not remain in this region. This gap is
known as : energy gap/ band gap/ forbidden gap.
• insulator

• Semi conductor

• conductor OR
 Classification based on energy bands
Conductor: electrons can easily go from valence band
to conduction band since valence band and conduction
band overlap (band gap=0 ev). Therefore, current can
easily flow through conductor even if we apply small
voltage. Thus, conductors have very high conductivity
(means very low resistivity).

Insulator : electrons cannot go easily from valence

band to conduction band since valence band and
conduction band are separated by a large band gap
(band gap > 3 ev). Therefore, current cannot flow
through insulators . Thus, insulators have very less
conductivity (means very high resistivity).

Semiconductor : electrons can go from valence band to

conduction band if a small energy is given since
valence band and conduction band are separated by a
small gap (band gap < 3 ev). Therefore, current can
flow through semiconductor if we apply sufficient
voltage. Thus, conductivity of semiconductor lies
between that of conductors and insulators.
CONDUCTORS, SEMICONDUCTORS AND INSULATORS

CONDUCTORS SEMI CONDUCTORS INSULATORS

Very low resistivity resistivity more than conductor, Very high resistivity
Very high conductivity less than insulator Very low conductivity
conductivity less than conductor,
more than insulator
QUE # 7. Explain the concept of effective mass of electron in valence band and
conduction band.
• Consider a ball (m = 10 kg.) falling down under gravity. Here the external force due to gravity
is Fext  mg  98 N
• If the same ball is moving through oil, then there will be external force due to gravity (98N)
plus internal force due to viscosity (suppose 49 N), both are in opposite directions.
• Therefore, the total force will be
Ftotal  Fext  Fint  98  49  49 N
• Thus, a ball of 10 kg. moving in oil is equivalent to a ball of 5 kg. moving in air.
• Here actual mass of the ball is 10 kg. but due to internal forces of the medium its mass seems
to be 5 kg. Therefore, effective mass of the ball is 5 kg.
• Similarly, when electron is moving through a crystal, it experiences internal forces due to
positive ions and other electrons present. Hence, the original mass of electron seems to
change and it is called effective mass of electron.
• For free electron, 2k 2
E
2m
dE  2 2k  2 k
  
dk 2m m

d 2E 2 1 d 2E 1
   2  …………………. (1)
dk 2
m  dk 2 m
• E-k diagram of Conduction band

The energy of electron near the bottom of the

conduction band can be approximated by
parabola

• Therefore we can write,

E  EC  c1 k 2 ……………………..…. (2)

Where E C is the energy at the bottom of the conduction band

• For k  0 , E  EC
• Therefore c1 must be positive
• For k  0 , E  E
C
• Differentiating eq.(2)
dE d 2E 1 d 2E 1
 2c1 k  2
 2c1  2 2
 2 2c1 ……………………..…. (3)
dk dk  dk 
• From eq.(1) and (3)
1 1 2
 2 2c1  m ……………………..…. (4)
m  2c1

• Since c1 is positive, mass of electron is positive in conduction band.

• E-k diagram of Valence band

The energy of electron near the top of the

valence band can be approximated by parabola

• Therefore we can write,

E  EV   c2 k 2 ……………………..…. (5)

Where EV is the energy at the top of the valence band

• For k  0 , E  EV
• Therefore c2 must be positive
• For k  0 , E  E
V
• Differentiating eq.(5)
dE d 2E 1 d 2 E 1
  2c2 k  2
  2c2  2 2
 2 2c2 ……………………..…. (6)
dk dk  dk 
• From eq.(1) and (6)
1 1 2
 2 2c2  m ……………………..…. (7)
m  2c2

• Since c2 is positive, mass of electron is negative in valence band.

QUE # 8. Explain direct and Indirect band gap materials using E-k diagram.

• If we consider one dimensional material, E-k

diagram is symmetric.

• The bottom of conduction band and the top of

valence band occur at k = 0

• In real three dimensional materials, the

spacing between atoms may not be same in
all directions.
• In three dimensional materials, various
directions are specified by indices like, [100],
[110], [111], etc.
• Therefore, along different directions, the curvature of E-k diagram will be different.

Figure: 1 Figure: 2
• As shown in the figure: 1, in GaAs material, the top of the valence band and the bottom of
the conduction band occur at k = 0
• This type of materials in which the maximum of the valence band and the minimum of the
conduction band lie at the same value of k, are known as direct band gap materials.
• In direct band gap materials, when electron makes transition from conduction band to
valence band, the value of k does not change. Hence. The momentum of electron is
conserved.
• Direct band gap materials are quite useful in optoelectronic devices like LASER, LED, etc.
• As shown in the figure: 2, in Si material, the top of the valence band occurs at k = 0 but the
bottom of the conduction band does not occur at k= 0 but the bottom of the conduction
band is along [100] direction where the value of k is different.
• This type of materials in which the maximum of the valence band and the minimum of the
conduction band lie at the different values of k, are known as Indirect band gap materials.
• In Indirect band gap materials, when electron makes transition from conduction band to
valence band, the value of k changes. Hence, The momentum of electron also changes.
Therefore, momentum is not conserved.
• Therefore, electron must interact with lattice in order to adjust its momentum while going
from one band to another band.
• Si and Ge are indirect band gap materials. Therefore, they are not used in optoelectronic
devices like LED, LASER, etc.
QUE # 9. Obtain the relation for the density of states in conduction band and
valence band and draw the graph of density of states.

• Density of states for a free electron is given by

1  2m  32 12
g (E)  2  2 
E ……………………. (1)
2   

• In eq. (1), E is the energy of a free electron given by

2 2
E  k ……………………. (2)
2m
• When electron is in conduction band, the equation of its energy is given by,

2 2
E  EC  k ……………………. (3)
2m

• Therefore in eq. (1) we can replace E by E  EC

1  2m  2
3
E  E C  2
1
 g C (E)  2  2  ……………………. (4)
2   
• Eq. (4) gives density of states in conduction band.
• When electron is in valence band, the equation of its energy is given by,
2 2
EV  E  k ……………………. (5)
2m
• Therefore in eq. (1) we can replace E by EV  E

1  2m  2
3
EV  E 2
1
 gV ( E )  2  2  ……………………. (6)
2   

• Eq. (6) gives density of states in valence band.

 1  2m  32
E  EC 2
1
gC ( E )  2  2 
2   

1  2m  32
 EV  E 2
1
gV ( E )  
2 2   2 
QUE # 10. What do you mean by occupation probability?
How occupation probability depends on energy and temperature?

• Occupation probability means the probability that a given state will be occupied or not.
It is given by,
N (E)
f F (E) 
g (E)
Where,
N(E) is the number of states occupied per unit volume per unit energy.
g(E) is the number of states available per unit volume per unit energy.

• For example, as shown in the diagram,

N(E) = 12 and g(E) = 21
N (E)
 f F (E)   0.57
g (E)

• Thus, there are 57% chances that a

given state will be occupied by the
electron.
• All the electrons in a semiconductor are indistinguishable particles and they occupy different
quantum states.
• Therefore the distribution of electrons in various energy states can be determined from
Fermi-Dirac distribution law which gives occupation probability for electrons states.
• Fermi-Dirac occupation probability is given by

1
f F (E) 
 E  EF 
1  exp 
 KT 
• At 0 K temperature:

• For E < E F
1
f F (E)   1
1  exp  

• Thus, at 0 K temperature, all the

states are 100% occupied below fermi
level.
• For E > E F

1 1
f F (E)    0
1  exp   
• Thus, at 0 K temperature, all the states are 100% empty above fermi level.

• At T > 0 K :
• Due to thermal excitation, some electrons will go to
higher levels
• Thus, occupation probability will decrease below
fermi level and increase above fermi level.

When E = E F
1 1 1
f F (E)   
1  exp0 1  1 2

• Therefore, above 0 K temperature, there is 50% probability for the fermi level to be occupied.