1. The Bandstructure Problem A One-dimensional model (“easily generalized” to 3D!)

2. Bandstructure Problem: A One Dimensional Model One e - Hamiltonian: H = (p) 2 /(2m o ) + V(x) p  -iħ(∂/∂x), V(x)  V(x + a), V(x)  Effective Potential. V has translational symmetry with repeat distance = a. GOAL: Solve the Schrödinger Equation: Hψ k (x) = E k ψ k (x), k  Eigenvalue Label E k = Electronic Energy of the e - in state k ψ k (x) = Wavefunction of the e - in state k Define a Translation operator  T. T is defined, for any function f(x), as T f(x)  f(x + a)

3. Now consider the Translation Operator T for this one dimensional solid: T f(x)  f(x + a) Take the special case for which f(x) = ψ k (x) (That is for f(x) = an eigenfunction solution of the Schrödinger Equation) The definition of T is : T ψ k (x) = ψ k (x + a) (1) Now, look for the eigenvalues of T: T ψ k (x)  λ k ψ k (x) (2) λ k  Eigenvalue of T. It can be shown using (1) & (2) that: λ k  e ika and ψ k (x)  e ikx u k (x) with u k (x)  u k (x + a) (see Kittel’s book for proof)

4. :This Shows: The translation operator applied to an eigenfunction of the Schrödinger Equation (or of the Hamiltonian H, with a periodic potential) gives: Tψ k (x) = e ika ψ k (x)  ψ k (x) is also an eigenfunction of the translation operator T! This also shows that the general form of ψ k (x) is ψ k (x) = e ikx u k (x) where u k (x) = u k (x+a) u k (x) = a periodic function with the same period as the potential!

5. In other words: For a periodic potential V(x), with period a, ψ k (x) is a simultaneous eigenfunction of the translation operator T and the Hamiltonian H. –The Commutator Theorem of QM tells us that is equivalent to [T,H] = 0. The commutator of T & H vanishes; they commute!  They share a set of eigenfunctions. In other words: The eigenfunction (electron wavefunction!) has the form: ψ k (x) = e ikx u k (x) with u k (x) = u k (x+a)  “Bloch’s Theorem”

6. Bloch’s Theorem From translational symmetry For a periodic potential V(x), the eigenfunctions of H (wavefunctions of the e - ) have the form: ψ k (x) = e ikx u k (x) with u k (x) = u k (x+a)  “Bloch Functions” Recall, for a free e -, the wavefunctions have the form: ψ f k (x) = e ikx (a plane wave)  A Bloch Function is the generalization of a plane wave for an e - in periodic potential. It is a plane wave modulated by a periodic function u k (x) (with the same period as V(x)).

7. Bandstructure: A one dimensional model So, the wavefunctions of the e - in a perfect, periodic crystal MUST have the Bloch Function form: ψ k (x) = e ikx u k (x), u k (x) = u k (x + a) (1) This is easily generalized to & proven in 3 D!! Label the eigenfunctions & eigenvalues (E k ) by the wavenumber k: p = ħk  the e - “Quasi-Momentum” or “Crystal Momentum”. Note! p = ħk is the electron momentum for FREE e - s ONLY! –Free e - wavefunctions are plane waves: ψ f k (x) = e ikx, which are also eigenfunctions of the momentum operator p  -iħ(∂/∂x) with eigenvalue ħk. –However, the wavefunctions for e - ‘s in bands are Bloch Functions ψ k (x) = e ikx u k (x). Bloch Functions are NOT eigenfunctions of the momentum operator. –The e - momentum for a Bloch Electron state ψ k (x) is found by calculating the QM expectation value of the momentum operator in that state: = = integral of (ψ k (x)) * p ψ k (x) over all x

8. The Schrödinger Equation for an electron in a periodic potential is: Hψ k (x) = E k ψ k (x) where ψ k (x) must have the Bloch Function form: ψ k (x) = e ikx u k (x), u k (x) = u k (x + a) E k  The Electronic “Bandstructure”. One way to plot E k is in The “Extended Zone Scheme”  A plot of E k with no restriction on k

9. E k  The Electronic “Bandstructure” The wavefunctions ψ k (x) must be Bloch Functions: ψ k (x) = e ikx u k (x), u k (x) = u k (x + a) (1) Another way to plot E k is to first consider the Bloch Function in (1) & look at the identity: exp[i{k + (2πn/a)}a]  exp[ika] (integer n)  The label k & the label [k + (2πn/a)] give the same ψ k (x) (& the same energy)! In other words, Translational symmetry in the lattice  Translational symmetry in the reciprocal Lattice “k space”! So, we can plot E k vs. k & restrict k to the range -(π/a) < k < (π/a)  “First Brillouin Zone” (BZ) (k outside this range gives redundant information!)  The “Reduced Zone Scheme”

10. Bandstructure: E versus k Example Illustration The Extended & Reduced Zone schemes in 1d with the free electron energy: E k = (ħ 2 k 2 )/(2m o ) Note: Obviously, for free e - ’s there are no bands! In what follows, the 1d lattice symmetry (with period a) is imposed onto the free e - parabola.

11. Free e - “bandstructure” in the 1d extended zone scheme: E k = (ħ 2 k 2 )/(2m o )

12. Free e - “bandstructure” in the 1d reduced zone scheme: E k = (ħ 2 k 2 )/(2m o ) For k outside of the 1 st BZ, take E k & translate it into the 1 st BZ by adding  (πn/a) to k Use the translational symmetry in k-space just discussed.  (πn/a)  “Reciprocal Lattice Vector”

13. Bandstructure Now, illustrate these concepts with an EXACT 1d model calculation (Kittel Ch. 7) The Krönig-Penney Model Developed in the 1930’s. In MANY Solid State Physics & Quantum Mechanics books. Why do this simple model? –It’s solution contains MANY features of real, 3d bandstructures! –The results are “easily” understood. –The math can be done exactly. –We won’t do this in class. It is in many books, including Kittel! A 21 st Century Reason to do this simple model! It can be used as a prototype for the understanding of artificial semiconductor structures called SUPERLATTICES!

14. QM Review: The 1d (finite) Rectangular Potential Well In most Quantum Mechanics texts!! We want to solve the Schrödinger Equation for: [-{ħ 2 /(2m o )}(d 2 /dx 2 ) + V]ψ = εψ (ε  E) V = 0, -(b/2) < x < (b/2); V = V o otherwise We want bound states: ε < V o

15. Solve the Schrödinger Equation: [-{ħ 2 /(2m o )}(d 2 /dx 2 ) + V]ψ = εψ (ε  E) V = 0, -(b/2) < x < (b/2) V = V o otherwise Bound States are in Region II Region II: ψ(x) is oscillatory Regions I & III: ψ(x) is decaying -(½)b (½)b VoVo V = 0

16. The 1d (finite) Rectangular Potential Well A brief math summary! Define: α 2  (2m o ε)/(ħ 2 ); β 2  [2m o (ε - V o )]/(ħ 2 ) The Schrödinger Equation becomes: (d 2 /dx 2 ) ψ + α 2 ψ = 0, -(½)b < x < (½)b (d 2 /dx 2 ) ψ - β 2 ψ = 0, otherwise. Solutions: ψ = C exp(iαx) + D exp(-iαx), -(½)b < x < (½)b ψ = A exp(βx), x < -(½)b ψ = A exp(-βx), x > (½)b Boundary Conditions:  ψ & dψ/dx are continuous. So:

17. Algebra (2 pages!) leads to: (ε/V o ) = (ħ 2 α 2 )/(2m o V o ) ε, α, β are related to each other by transcendental equations. For example: tan(αb) = (2αβ)/(α 2 - β 2 ) Solve graphically or numerically. Get: Discrete energy levels in the well (a finite number of finite well levels!)

18. Even eigenfunction solutions (a finite number): Circle, ξ 2 + η 2 = ρ 2, crosses η = ξ tan(ξ) VoVo o o b

19. Odd eigenfunction solutions: Circle, ξ 2 + η 2 = ρ 2, crosses η = -ξ cot(ξ) |E 2 | < |E 1 | b b o o VoVo

20. The Krönig-Penney Model Repeat distance a = b + c. Periodic potential V(x) = V(x + na), n = integer Periodically repeated wells & barriers. Schrödinger Equation: [-{ħ 2 /(2m o )}(d 2 /dx 2 ) + V(x)]ψ = εψ V(x) = Periodic potential  The Wavefunctions must have the Bloch Form: ψ k (x) = e ikx u k (x); u k (x) = u k (x+a) Boundary conditions at x = 0, b: ψ, (dψ/dx) are continuous  Periodic Potential Wells (Krönig-Penney Model)

21. Algebra &Calculus give: A MESS! But doable EXACTLY! Instead of an explicit form for the bandstructure ε k or ε(k), we get: k = k( ε ) = (1/a) cos -1 [L( ε /V o )] OR L = L( ε /V o ) = cos(ka) WHERE L = L( ε /V o ) =

22. L = L(ε/V o ) = cos(ka)  -1< L< 1 The ε in this range are the allowed energies (The Allowed BANDS! ) But also, L( ε /V o ) = a messy function with no limit on L The k’s in the range where |L| >1 are imaginary.  These are regions of forbidden energy. (The Forbidden GAPS!) (no solutions exist there for real k; math solutions exist, but k is imaginary) The wavefunctions have the Bloch form for all k (& all L): ψ k (x) = e ikx u k (x)  For imaginary k, ψ k (x) decays instead of propagating!

23. Krönig-Penney Results For particular a, b, c, V o Each band has a finite well level “parent”. L(ε/V o ) = cos(ka)  -1< L< 1 But also L(ε/V o ) = a messy function with no limits. For ε in the range -1 < L < 1  Allowed Energies (Bands!) For ε in the range |L| > 1  Forbidden Energies (Gaps!) (no solutions exist for real k)  Finite Well Levels   

24. Every band in the Krönig-Penney model has a finite well discrete level as its “parent”!  In its implementation, the Krönig-Penney model is similar to the “almost free” e - approach, but the results are similar to the tightbinding approach! (As we’ll see). Each band is associated with an “atomic” level from the well. Evolution from the finite well to the periodic potential

25. L(ε/V o ) = cos(ka)  BANDS & GAPS! The Gap Size depends on the c/b ratio Within a band (see previous Figure) a good approximation is that L ~ a linear function of ε. Use this to simplify the results: For (say) the lowest band, let ε  ε 1 (L = -1) & ε  ε 2 (L = 1) use the linear approximation for L(ε/V o ). Invert this & get: ε - (k) = (½) (ε 2 + ε 1 ) - (½)(ε 2 - ε 1 )cos(ka) For the next lowest band, ε + (k) = (½) (ε 4 + ε 3 ) + (½)(ε 4 – ε 3 )cos(ka) In this approximation, all bands are cosine functions!!! This is identical, as we’ll see, to some simple tightbinding results. More on Krönig-Penney Solutions

26. All bands are cos(ka) functions! Plotted in the extended zone scheme. Discontinuities at the BZ edges, at k =  (nπ/a) Because of the periodicity of ε(k), the reduced zone scheme (red) gives the same information as the extended zone scheme (as is true in general). The Lowest Krönig-Penney Bands In the linear approximation for L(ε/V o ) ε = (ħ 2 k 2 )/(2m 0 )