The effective mass

Conductivity effective mass determines

mobility.
Density of states effective mass
determines N
C
Cyclotron effective mass can be
measured directly
Electron in a periodic potential
Why does the semiconductor industry use
single crystal material (when possible) ?


Electrons are not scattered
by a periodic potential
move with a constant
velocity as in vacuum !


Electron in vacuum
0 ) ( = x V
)] ( exp[ ) ( t kx i A x e = +
m
p
E
m
k
2 2
) (
2 2
= =

e
Dispersion
) (k e e =
)] ( exp[ ) ( t kx i A x e = +
Electron in vacuum
0 ) ( = x V
)] ( exp[ ) ( t kx i A x e = +
m
p
E
m
k
2 2
) (
2 2
= =

e
Electron in a periodic potential
) ( )
2
(
) ( ) (
)] ( exp[ ) ( ) (
) ( ) (
k E
a
k E
x u a x u
t kx i x u x
x V a x V
= +
= +
= +
= +
t
e

Electron in a 3D periodic potential
vector lattice Reciprocal
) ( ) (
) ( ) (
)] ( exp[ ) ( ) (
vector lattice Bravais
) ( ) (

= +
= +
= +

= +
K
k E K k E
r u R r u
t r k i r u r
R
r V R r V

e

L I
X I
primative reciprocal lattice basis vector respectively.

and
.


Expansion of E(k
x
,k
y
,k
z
) near a
minimum value E
0
= E(k
x0
,k
y0
,k
z0
)
z y x j i
k k k k
k k
E
E k E
j j i i
j i
j i
, , ,
) )( (
2
1
) (
0 0
,
2
0
=

c c
c
+ =

Expansion of E(k
x
,k
y
,k
z
) near a
minimum value E
0
= E(k
x0
,k
y0
,k
z0
)
( )
tensor mass effective inverse
1
where
, ,
2
) (
or
, , ,
) )( (
2
1
) (
0
2
2
1
0
0
0
1
0 0 0
2
0
0 0
,
2
0

c c
c
=
|
|
|
.
|

\
|

=
=

c c
c
+ =

k
k k
E
M
k k
k k
k k
M k k k k k k E k E
z y x j i
k k k k
k k
E
E k E
j i
ij
z z
y y
x x
z z y y x x
j j i i
j i
j i

ed diagonaliz be can
- matrix l symmetrica a is
tensor mass effective inverse the
1
0
2
2
1

c c
c
=

k
k k
E
M
j i
ij

In the coordinate system in which

the effective mass tensor is
diagonal
|
|
|
.
|

\
|

|
|
|
|
.
|

\
|
=
|
|
.
|

\
|
c
c
+
c
c
+
c
c
=
|
|
|
.
|

\
|
=

0
0
0
1
3
1
2
1
1
3
2
1

1
z z
y y
x x
z y x
k k
k k
k k
m
m
m
z
k
E
y
k
E
x
k
E
v
m
m
m
M

Acceleration due to an electric filed (F)

F -q a M
) model cal semiclassi (the -

1
0
0
0
1
3
1
2
1
1

=
=
= =
|
|
|
.
|

\
|

|
|
|
|
.
|

\
|
=

F q
dt
k d
dt
k d
M
dt
v d
a
k k
k k
k k
m
m
m
v
z z
y y
x x
Effective mass tensor valid near
E(k) minima and maxima only
F -q a M

=
Constant energy surfaces in crystal
momentum space cookies
Constant energy surfaces near a
minimum are ellipsoids
( )
|
|
|
|
.
|

\
|
=
|
|
|
.
|

\
|

1
3
1
2
1
1
1
0
0
0
1
0 0 0
2
0
, ,
2
) (
m
m
m
M
k k
k k
k k
M k k k k k k E k E
z z
y y
x x
z z y y x x

Constant energy surfaces in Si and

Ge near a minimum are ellipsoids
of revolution
( )
|
|
|
|
.
|

\
|
=
|
|
|
.
|

\
|

1
1
1
1
0
0
0
1
0 0 0
2
0
, ,
2
) (
t
t
l
z z
y y
x x
z z y y x x
m
m
m
M
k k
k k
k k
M k k k k k k E k E

Acceleration of an electron near an

energy minimum in silicon
6
i
1
6
-1
i
1
x
*
- electric field (main coordinate system)
-qF Ma -in each valley
1
-qF Ma -average
6
1
a M F
6
1 2
a ( )
3 3
1 1 2
3 3
x y Z
i
i
x
l t
l t
F F x F y F z
q
qF
m m
m m m
=
=
= + +
=
=
=
= +
= +

Electron transport effective mass in

silicon and germanium
t l
m m m 3
2
3
1 1

*
+ =
Homework competition find a shorter way
to prove this equation for germanium than
given in last years home exam
t l
m m m 3
2
3
1 1

*
+ =
The spherical case -




Electrons in GaAs
Holes in Si, Ge, GaAs

|
|
|
.
|

\
|
=
m
m
m
M
Cyclotron resonance effective mass
qH
m
e =
Cyclotron resonance effective mass to
be shown in the tutorial
1 2 3
2 2 2
1 1 2 2 3 3
2
2 2 2 2 2 2
1 1 2 2 3 3 3 1 2
1 2 3 2 3 1 3 1 2


1
m m m
m
H m H m H m
H m H m H m H H H
m m m m m m m m m m
-
-
=
+ +
+ +
| |
= = + +
|
\ .
Cyclotron resonance effective mass to
be shown in the tutorial
Density of states effective mass
( )
3 2
*
2
2
2
c f
E E kT
c
c
c
n N e
m kT
N
h
t

=
(
=
(

Density of states
number of allowed energy states
( )
dEdV
V- Volume
E- Energy
g E =
Example: density of states of
hydrogen gas
( ) ( )
- allowed energy level
- number of allowed states in energy level i (degeneracy)
n - density of hydrogen atoms
i i
i
i
i
g E n g E E
E
g
o =

g(E)
E
Density of states of solids
g(E)
E
Density of electrons in an energy
band
g(E)
E
E
f
( ) ( )
Band
n g E f E dE =
}

0
0.2
0.4
0.6
0.8
1
1.2
0 0.5 1 1.5 2
E/Ef
f
(
E
)
Density of holes in an energy band
g(E)
E
E
f
( ) ( )
Band
[1 ] p g E f E dE =
}

0
0.2
0.4
0.6
0.8
1
1.2
0 0.5 1 1.5 2
E/Ef
1
-
f
(
E
)
Approximation for the Fermi Dirac
distribution for E-Ef>3KT
( )
( )
( )
( )
1
1
F
F
E E kT
FD MB
E E kT
f E e f E
e

= ~ =
+
Density of electrons in an energy
band
( ) ( )
( )
( )
Band
Band
Band
exp[ ( ) / )]
exp[ ( ) / ]
exp[ ( ) / )]
f
C C f
C C
n g E f E dE
n g E E E KT dE
n N E E KT
N g E E E KT dE
=
~
~
=
}
}
}
g(E)
E
E
f
Density of states of solids in K
space
3
x y z
number of allowed energy states 1
2
dk dk dk dV (2 )
V- Volume
t
=
The density of states in an energy interval is
proportional to the volume in K space between two
constant energy surfaces
2
1
x y z
3
1
2 dk dk dk
(2 )
E
E
t
}
Constant energy surfaces in crystal
momentum space cookies
Volume of an ellipsoid
2 2 2
2 2 2
1
x y z
a b c
+ + =
4
Volume=
3
abc
t
O =
Volume of a constant energy (E)
ellipsoid
( )
2 2 2 2
3 1 2
,
1 2 3
2 2 2
3 1 2
1 , 2 , 3 ,
2 2 2
'
2
1
2 ' 2 ' 2 '
c v
c v c v c v
k k k
E k E
m m m
k k k
m E E m E E m E E
| |
= + +
|
\ .
+ + =

( )
3
1 2 3 ,
3
4
' 8
3
c v
E mm m E E
t
O =
Density of states near a conduction band minimum
or valence band maximum, and the definition of
the density of states effective mass
( )
( )
( )
, 1 2 3 ,
2 3
3 2
*
, , ,
2 3
2
1
2
elipso
c v c v
c v c v c v
N
g E m m m E E
g E E E m
t
t
=

( )
( )
2 3
1 3
*
, 1 2 3 c v elipso
m N mm m =
Conduction band density of states
effective mass
( ) ( )
( )
Band
Band
3 2
*
2
exp[( ) / ]
exp[ ( ) / )]
2
2
C C f
C C
c
c
n g E f E dE
n N E E KT
N g E E E KT dE
m kT
N
h
t
=
~
=
(
=
(

}
}
Valence band density of states
effective mass
( ) ( )
( )
Band
Band
3 2
*
2
[1 ]
exp[( ) / ]
exp[ ( ) / )]
2
2
V f V
V V
V
V
p g E f E dE
p N E E KT
N g E E E KT dE
m kT
N
h
t
=
~
=
(
=
(

}
}
Summary
Conductivity effective
mass determines
mobility.
Density of states
effective mass
determines N
C
Cyclotron effective
mass can be
measured directly
( )
( )
2 3
1 3
*
1 2 3 c elipso
m N mm m =
t l
m m m 3
2
3
1 1

*
+ =
1 2 3
2 2 2
1 1 2 2 3 3

m m m
m
H m H m H m
-
=
+ +
Elective home exercise
Derive conductivity and density of states
effective mass for holes.
k
E
hh
lh