En = 0:7521, so Econt = E En = 10:7521 = 0:2479. Using E = }!

,
r
}2 2 0:2479 jqe j 2me
0:2479 = k ! kz = = 2:551 109 (144)
jqe j 2me z }2
}2 2
k = }!
2me z
@! } }
(vg )z = = 2kz = 2 2:551 109 = 2:953 105 m/s.
@kz 2me 2me

4.22. A 3 eV electron is to be con…ned in a square quantum dot of side L. What should L be in order for
the electron’s energy levels to be well-quantized?
Solution: From (2.14),
h h h h
e = = = q = q = 0:708 nm; (145)
p me v 2E
me me 3jqe j
me 2 m e

and we need L e.

5 Problems Chapter 5: Electrons Subject to a Periodic Potential

–Band Theory of Solids
5.1. To gain an appreciation of the important role of surface e¤ects at the nanoscale, consider building up
a material out of bcc unit cells. (See Section 5.1). For one bcc cube, there would be 9 atoms, 8 on
the outside and one interior, as depicted on p. 134. If we constrain ourselves to only consider cubes
of material, the next largest cube would consist of 8 bcc unit cells, and so on. If one unit cell is 0:5
nm, how long should the material’s side be in order for there to be more interior atoms then surface
atoms?
Solution:
# unit cells in the cube Surface Atoms Interior Atoms Ratio (S/I)
1 8 1 8
23 = 8 26 9 2:9
33 = 27 56 35 1:6
43 = 64 98 91 1:1
53 = 125 152 189 0:8
so that we need 53 unit cells, leading to a material cube having side length 5 (0:5) = 2:5 nm.
5.2. Consider the Kronig-Penney model of a material with a1 = a2 = 5 Å and V0 = 0:5 eV. Determine
numerically the starting and ending energies of the …rst allowed band.
Solution: From
2 2
cos kT = cos ( a) cosh (b ) sin ( a) sinh (b ) ; (146)
2
if 0 < E < V0 , and
2 2
+
cos kT = cos ( a) cos (b ) sin ( a) sin (b ) ; (147)
2
if E > V0 . Then, for 0 < E < V0 the plot is Band edge energy occurs when cos kT is 1. It is found
numerically that cos kT = 1 when E = 0:459, cos kT = 0 when E = 0:300, and cos kT = 1 when
E = 0:217. Therefore, the band edges are at E = 0:217 eV and E = 0:459 eV.
5.3. Use the equation of motion (5.34) to show that the period of Bloch oscillation for a one-dimensional
crystal having lattice period a is
h
= : (148)
eEa

22
 Solution: Use
dk
= eE;
} (149)
dt
and assume that is the time required for the electron to accelerate across the full Brillouin zone.
Then,
Z =2 Z =2
dk
} dt = eEdt (150)
0 dt 0

} k k (0) = eE
2 2
} 0 = eE
a 2
h
= :
eEa

5.4. Determine the probability current density (A/m) from (3.187) for the Bloch wavefunction

(x) = u (x) eikx e i!t

; (151)

where u is a time-independent periodic function having the period of the lattice,

u (x) = u (x + a) : (152)

Solution:
i}
J (r; t) = ( (r; t) r (r; t) (r; t) r (r; t)) (153)
2m
i}
= u (x) e ikx ei!t r u (x) eikx e i!t u (x) eikx e i!t r u (x) e ikx ei!t
2m
i} d d
b
=x u (x) e ikx ei!t u (x) eikx e i!t u (x) eikx e i!t u (x) e ikx ei!t
2m dx dx
i}
b
=x u2 ik + u0 u u2 ik + u0 u
2m
i} }k p
b
=x 2u2 ik = x b u2 = x b u2 :
2m m m

5.5. If an energy-wavevector relationship for a particle of mass m has the form

}2 2
E= k ; (154)
3m
determine the e¤ective mass. (Use (5.29)).
Solution: 0 1 1
}2 2
@2E
1 @2 3m k 3
m = }2 = }2 @ A = m: (155)
@k 2 @k 2 2

5.6. If the energy-wavenumber relationship for an electron in some material is

}2
E= cos (k) ;
2m
determine the e¤ective mass and the group velocity. (Use (5.29).) Describe the motion (velocity,
direction, etc.) of an electron when a d.c. (constant) electric …eld is applied to the material, such that
the electric …eld vector points right to left (e.g., an electron in free space would then accelerate towards
the right). In particular, describe the motion as k varies from 0 to 2 . Assume that the electron does
not scatter from anything.

23
 Solution:
0 1 1
}2
@2E
1 @2 2m cos (k) 2m
m = }2 = }2 @ A = ; (156)
@k 2 @k 2 cos k

}2
1 @E 1@ 2m cos (k) 1 }
vg = = = sin k; (157)
} @k } @k 2m
For small positive k values the electron moves in the direction of the …eld (to the left), and as k increases
through positive value from k = 0 to k = =2, the electron increases its velocity and mass. At k = =2,
velocity is maximum and the e¤ective mass is in…nite. As k changes from =2 to , the velocity
decreases, as does the e¤ective mass. At k = , the velocity is zero. Then, as k increases further, the
electron reverses direction, and it’s velocity increases again, reaching a maximum at k = 3 =2, then
decreasing till k = 2 .
5.7. If the energy-wavenumber relationship for an electron in some material is
E = E0 + 2A cos (ka) ; (158)
determine the electron’s position as a function of time. Ignore scattering.
Solution: The solution of the equation of motion (ignoring scattering) is (5.36),
qe E
k (t) = k (0) + t: (159)
}
Velocity is given as
1 @E (k (t)) 2Aa
vg (k (t)) = = sin (k (t) a) (160)
} @k }
2Aa qe Ea
= sin t (161)
} }
and position can be determined from the relationship v = dx (t) =dt as
Z t Z t
2Aa qe Ea
x (t) = vg (t) dt = sin t dt (162)
0 0 } }
2A qe Ea
= cos t 1 ; (163)
Eqe }
and therefore the electron Bloch oscillates in time.
5.8. Consider an electron in a perfectly periodic lattice, wherein the energy-wavenumber relationship in the
…rst Brillouin zone is
}2 k 2
E= ;
5me
where me is the mass of an electron in free space. Write down the time-independent e¤ective mass
Schrödinger’s equation for one electron in the …rst Brillouin zone, ignoring all interactions except
between the electron and the lattice. De…ne all terms in Schrödinger’s equation.
Solution: 0 1 1
}2 k2
@2E
1 @2 5me 5
m = }2 = }2 @ A = me ; (164)
@k 2 @k 2 2

and so Schrödinger’s equation is

}2 d 2
(x) = E (x) (165)
2m dx2
where m is the e¤ective mass, } is the reduced Planck’s constant, and E is the energy (V = 0 since
there is no potential energy term; potential energy is accounted for by the e¤ective mass).

24
 5.9. Assume that a constant electric …eld of strength E = 1 kV/m is applied to a material at t = 0, and
that no scattering occurs.

(a) Solve the equation of motion (5.34) to determine the wavevector value at t = 1; 3; 7; and 10 ns.
(b) Assuming that the period of the lattice is a = 0:5 nm, determine in which Brillouin zone the
wavevector is in at each time. If the wavevector lies outside the …rst Brillouin zone, map it into
an equivalent place in the …rst zone.
Solution: (a) The solution of the equation of motion is

qe E
k (t) = t; (166)
}
assuming k (0) = 0. Then k (1 ns) = 1:52 109 m 1 , k (3 ns) = 4:56 109 m 1 , k (7 ns) =
1:06 1010 m 1 , and k (10 ns) = 1:52 1010 m 1 .
(b) Brillouin zone boundaries occur at kn = n =a, where a is the period and n = 1; 2; 3; :::.
Thus, k1 = 6:28 109 m 1 , k2 = 1:26 1010 m 1 , k3 = 1:89 1010 m 1 , etc.. Thus, k is in
the …rst zone for t = 1 and 3 ns, the second zone for t = 7 ns, and the third zone for t = 10 nm.
For higher zones, subtracting 2 =a leads to the equivalent point in the …rst zone.
t (ns) k (t) (m 1 ) zone equiv. point
in 1st zone
9
1 1:52 10 1 st –
3 4:56 109 1 st –
7 1:06 1010 2 nd 1:966 4 109
10
10 1:52 10 3 rd 2:63 109

5.10. Using the hydrogen model for ionization energy, determine the donor ionization energy for GaAs
(me = 0:067me , "r = 13:1).
Solution:
0:067me qe4
Ed = 2 = 5:32 meV. (167)
jqe j 8 (13:1) "20 h2
This compares well with measured values.
5.11. Determine the maximum kinetic energy that can be observed for emitted electrons when photons
having = 232 nm are incident on a metal surface with work function 5 eV.
Solution:
2 c 2 c 19
E = }! = } =} 9
= 8:568 10 J (168)
232 10
= 5:347 eV

So, the maximum kinetic energy is

E e = 0:347 eV. (169)

5.12. Photons are incident on silver, which has a work function e = 4:8 eV. The emitted electrons have a
maximum velocity of 9 105 m/s. What is the wavelength of the incident light?
Solution:
1 1 2
EKE = me v 2 = me 9 105 = 2:303 eV (170)
2 2 jqe j
E = }! = e + EK = 4:8 + 2:303 = 7:103 eV, (171)
hc hc
= = = 174:67 nm. (172)
E 7:103 jqe j

25
5.13. In the band theory of solids, there are an in…nite number of bands. If, at T = 0 K, the uppermost
band to contain electrons is partially …lled, and the gap between that band and the next lowest band
is 0:8 eV, is the material a metal, an insulator, or a semiconductor?
Solution: Metal
5.14. In the band theory of solids, if, at T = 0 K, the uppermost band to have electrons is completely …lled,
and the gap between that band and the next lowest band is 8 eV, is the material a metal, an insulator,
or a semiconductor? What if the gap is 0:8 eV.
Solution: Insulator. What if the gap is 0:8 eV. Solution: Semiconductor
5.15. Describe in what sense an insulator with a …nite band gap cannot be a perfect insulator.
Solution: As long as the band gap is …nite, an electron can be elevated to the conduction band,
resulting in conduction.
5.16. Draw relatively complete energy band diagrams (in both real-space and momentum space) for a p-type
indirect bandgap semiconductor.
5.17. For an intrinsic direct bandgap semiconductor having Eg = 1:72 eV, determine the required wavelength
of a photon that could elevate an electron from the top of the valance band to the bottom of the
conduction band. Draw the resulting transition on both types of energy band diagrams (i.e., energy-
position and energy-wavenumber diagrams).
Solution:
}! = Eg = 1:72 eV, (173)
2 ! 2 c 2 c
k= = ! = = = 721:3 nm.
c ! Eg =}

5.18. Determine the required phonon energy and wavenumber to elevate an electron from the top of the
valance band to the bottom of the conduction band in an indirect bandgap semiconductor. Assume
that Eg = 1:12 eV, the photon’s energy is Ept = 0:92 eV, and that the top of the valance band occurs
at k = 0, whereas the bottom of the conduction band occurs at k = ka .
Eg Ept = Epn = 0:20 eV (174)
kpn = ka :

5.19. Calculate the wavelength and energy of the following transitions of an electron in a hydrogen atom.
Assuming that energy is released as a photon, using Table 3, on p. 4 classify the emitted light (e.g.,
X-ray, IR, etc.).
(a) n = 2 ! n = 1
Solution: From
1
En = 13:6 ; (175)
n2
and so
1 1
E= 13:6 = 10:2 eV, (176)
22 12
hc hc
= = = 121:6 nm, between visible and UV
E 10:2 jqe j
(b) n = 5 ! n = 4

1 1
E= 13:6 = 0:306 eV, (177)
52 42
hc hc
= = = 4054:5 nm, far-infrared
E 0:306 jqe j

26
 (c) n = 10 ! n = 9
1 1
E= 13:6 = 0:0319 eV, (178)
102 92
hc hc
= = = 3:89 10 5 m, microwave
E 0:0319 jqe j

(d) n = 8 ! n = 2
1 1
E= 13:6 = 3:188 eV, (179)
82 22
hc hc
= = = 389:2 nm, visible, violet
E 3:188 jqe j

(e) n = 12 ! n = 1
1 1
E= 13:6 2
= 13:51 eV, (180)
12 12
hc hc
= = = 91:83 nm, between visible and UV
E 13:51 jqe j

(f) n = 1 ! n = 1
1 1
E= 13:6 2
= 13:6 eV, (181)
1 12
hc hc
= = = 91:23 nm, between visible and UV
E 13:6 jqe j

5.20. Excitons were introduced in Section 5.4.5 to account for the fact that sometimes when an electron is
elevated from the valance band to the conduction band, the resulting electron and hole can be bound
together by their mutual Coulomb attraction. Excitonic energy levels are located just below the band
gap, since the usual energy to create a free electron and hole, Eg , is lessened by the binding energy of
the exciton. Thus, transitions can occur at
mr
E = Eg 13:6 eV (182)
me "2r
where Eg is in electron volts1 .

(a) For GaAs, determine the required photon energy to create an exciton. For mr use the average of
the heavy and light hole masses.
Solution: Using mr = 0:0502me , "r = 13:3, and Eg = 1:43 eV, we …nd that
mr
E = Eg 13:6 eV (183)
me "2r
0:0502
= 1:43 2 13:6 eV (184)
(13:3)
= 1:426 eV. (185)

(b) The application of a d.c. electric …eld tends to separate the electron and the hole. Using Coulomb’s
law, show that the magnitude of the electric …eld between the electron and the hole is
2
mr 2 RY
jEj = : (186)
me "3r jqe j a0
1 Really, the quantity 13:6 should be replaced by 13:6=n2 , where n is the energy level of the exciton. Here we consider the
lowest level exciton (n = 1), which is dominant.

27
 Solution: The electric …eld due to a charge q in a medium characterized by "r is
q
E=b r =b
r jEj ; (187)
4 "r " 0 r 2
where b
r is a unit vector that points radially outward from the charge, and r is the radial distance
away from the charge. Making the substitutions q = qe and r = aex leads to
2
jqe j mr jqe j
jEj = = (188)
4 "r "0 a2x me 4 "3r "0 a20
2 2
mr me jqe j 1 mr 2RY 1
= = (189)
me 4"20 h2 "3r a0 me jqe j "3r a0
2
mr 2 RY
= : (190)
me "3r jqe j a0
(c) For GaAs, determine jEj from (5.79). Determine the magnitude of an electric …eld that would
break apart the exciton.
Solution:
2
mr 2 RY
jEj = (191)
me "3r jqe j a0
2 2 13:6 jqe j
= (0:0502) 3 9
= 5:5 105 V/m. (192)
(13:3) jqe j 0:053 10
An applied electric …eld with a magnitude greater than jEj can break apart the exciton.
5.21. The E k relationship for graphene is given by (5.62). The Fermi energy for graphene is EF = 0, and
the …rst Brillouin zone forms a hexagon (as shown in Fig. 5.35), the six corners of which correspond
to E = EF = 0. The six corners of the …rst Brillouin zone at located at
2 2
kx = p ; ky = ; (193)
3a 3a
and
4
kx = 0; ky = : (194)
3a
(a) Verify that at these points, E = EF = 0.
Solution:
v !
u p
u 3kx a ky a ky a
E (kx ; ky ) = t1 + 4 cos cos + 4 cos2 ;
0
2 2 2
s
4 4 a 4 a
E 0; = 0 1 + 4 cos + 4 cos2
3a 3a 2 3a 2
s
2 2
= 0 1 + 4 cos + 4 cos2 =0
3 3

v !
u p
u 3kx a ky a ky a
E (kx ; ky ) = t1 + 4 cos cos + 4 cos2 ;
0
2 2 2
v
u p !
2 2 u 2 3a 2 a 2 a
E p ; = t1 + 4 cos p cos + 4 cos2
0
3a 3a 3a 2 3a 2 3a 2
r
= 0 1 + 4 cos ( ) cos + 4 cos2 =0
3 3

28
(b) At the six corners of the …rst Brillouin zone, jkj = 4 =3a. Make a two-dimensional plot of the
E k relationship for kx ; ky extending a bit past jkj. Verify that the bonding and antibonding
bands touch at the six points of the …rst Brillouin zone hexagon, showing that graphene is a
semi-metal (sometimes called a zero bandgap semiconductor). Also make a one-dimensional plot
of E (0; ky ) for jkj ky jkj, showing that the bands touch at E = 0 at ky = 4 =3a.

Solution:
p 1
Using (5.62), since a = 3 (0:142 nm) = 0:246 nm, jkj = 4 =3a = 17 nm . Thus,

E, mE

in two dimensions (the bands actually touch at the corners, although in the plot a small gap is shown
due to using a coarse wavenumber grid). In one-dimension, for
s
ky a ky a
E (0; ky ) = 0 1 + 4 cos + 4 cos2
2 2
s
ky 0:246 ky 0:246
= 2:5 1 + 4 cos + 4 cos2
2 2

we have

3
3

E( 0 , k y)
0
− E( 0 , k y)

−3 3
15 10 5 0 5 10 15
− 17 ky 17

1
where the vertical scale is in eV and the horizontal scale is in nm .

29
5.22. What is the radius of a (19; 0) carbon nanotube? Repeat for a (10; 10) nanotube. Consider a (n; 0)
zigzag carbon nanotube that has radius 0:3523 nm. What is the value of the index n?
Solution: The CN’s radius is p
3 p 2
r= b n + nm + m2 ; (195)
2
where b = 0:142 nm. Therefore,
p
3 p
9
r(19;0) = 0:142 10 192 = 0:7437 nm
2
p
3 9
p
r(10;10) = 0:142 10 102 + (10) (10) + 102 = 0:678 nm.
2
For (n; 0),
9
2 a 2 0:3523 10
n= p = p = 9:
3b 3 (0:142 10 9)

5.23. Since carbon nanotubes are only periodic along their axis, the transverse wavenumber becomes quan-
tized by the …nite circumference of the tube. Derive (5.66) and (5.67) by enforcing the condition that
an integer number q of transverse wavelengths must …t around the tube (k? = 2 = ? ).
Solution: For the armchair tube (m = n), tube radius is r = 3nb=2 . Thus,

3nb
q ? =2 r=2 = 3nb
2
2 2 q
k? = kx;q = = ; q = 1; 2; :::; 2n:
? n3b
p
For zigzag tubes, (n = 0), r = 3nb=2 , and
p
3nb p
q ? =2 r=2 = 3nb
2
2 2 q
k? = ky;q = = p ; q = 1; 2; :::; 2n:
? n 3b
p
The limit 2n on q comes from the fact that kx;2n = 4 =3b, and ky;2n = 4 = 3b, and beyond these
values one is outside of the …rst Brillouin zone of graphene.
5.24. Using (5.68) and (5.69), plot the dispersion curves for the …rst eight bonding and antibonding bands in
a (5; 5), (9; 0), and (10; 0) carbon nanotube. Let the axial wavenumber vary from k = 0 to k = =aac
for the armchair tube, and from k = 0 to k = =azz for the zigzag tube. Comment on whether each
tube is metallic of semiconducting, and identify the band (i.e., the q value) that is most important. If
the tube is semiconducting, determine the approximate band gap.
Solution: For the armchair tube (5; 5),
s
q ky a ky a
Eac (ky ) = 0 1 + 4 cos cos + 4 cos2
n 2 2
s
q ky a ky a
= 0 1 + 4 cos cos + 4 cos2
5 2 2

< ky aac < , q = 1; 2; :::; 2n, and so

30
 3
2.87

E( 1 , k) 2

− E( 1 , k)

E( 2 , k) 1
− E( 2 , k)

E( 3 , k)
0
− E( 3 , k)

E( 4 , k)

− E( 4 , k) 1

E( 5 , k)

− E( 5 , k)
2

− 2.87 3
0 2 4 6 8 10 12
0 k π
.246

(vertical scale is E= 0 ). The q = 5 band (note that n = 5!) is the most important, since these bands
cross in the …rst Brillouin zone (and hence, there is no band gap). The crossing point is 2=3 of the way
to the zone boundary, and so kF = 2 =3a, such that the Fermi wavelength is F = 3a = 0:74 nm.
For zigzag tubes,
v !
u p
u 3kx a q q
Ezz (kx ) = t1 + 4 cos cos + 4 cos2 ;
0
2 n n

< ky azz < , q = 1; 2; :::; 2n. For the (9; 0) tube,

3
2.879

E( 1 , k)

− E( 1 , k) 2

E( 2 , k)

− E( 2 , k)

E( 3 , k)
1
− E( 3 , k)

E( 4 , k)

− E( 4 , k)
0
E( 5 , k)

− E( 5 , k)

E( 6 , k)

− E( 6 , k) 1

E( 7 , k)

− E( 7 , k)

E( 8 , k)
2
− E( 8 , k)

− 2.879 3
0 2 4 6
0 k π
3 ⋅.246

where the q = 6 bands cross at k = 0, and, hence, this tube is metallic. For the (10; 0) tube,

31
 3
2.902

E( 1 , k)

− E( 1 , k) 2

E( 2 , k)

− E( 2 , k)

E( 3 , k)
1
− E( 3 , k)

E( 4 , k)

− E( 4 , k)
0
E( 5 , k)

− E( 5 , k)

E( 6 , k)

− E( 6 , k) 1

E( 7 , k)

− E( 7 , k)

E( 8 , k)
2
− E( 8 , k)

− 2.902 3
0 2 4 6
0 k π
3 ⋅.246

no bands cross, hence, the (10; 0) tube is a semiconductor. The q = 7 bands come the closest to each
other (at k = 0), and so the band gaps is 2E (k = 0) for q = 7, which is approximately 0:88 eV using
0 = 2:5 eV. It can be shown (See the book by Saito, Dresselhaus, and Dresselhaus, Reference [9] in
Chapter 5) that
2 a
Eg = p 0 ;
32r
which for the (10; 0) tube (r = 0:391 nm) leads to 0:90 eV.

6 Problems Chapter 6: Tunnel Junctions and Applications of

Tunneling
6.1. Plot the tunneling probability versus electron energy for an electron impinging on a rectangular poten-
tial barrier (Fig. 6.2, p. 185) of height 3 eV and width 2 nm. Assume that the energy of the incident
electron ranges from 1 eV to 10 eV.
Solution:
4E (E V0 ) 2me (E V0 )
T = 2 ; k22 = (196)
V02 sin (k2 a) + 4E (E V0 ) }2
4E jqe j (E jqe j 3 jqe j)
T = q
2 2 2me (Ejqe j 3jqe j)
32 jqe j sin }2 (2 10 9) + 4E jqe j (E jqe j 3 jqe j)

6.2. Plot the tunneling probability verses barrier width for a 1 eV electron impinging on a rectangular
potential barrier (Fig. 6.2, p. 185) of height 3 eV. Assume that the barrier width varies from 0 nm to
3 nm.
Solution:
4E (E V0 ) 2me (E V0 )
T = 2 ; k22 = (197)
V02 sin (k2 a) + 4E (E V0 ) }2
4 (1) jqe j ((1) jqe j 3 jqe j)
T = q
2 2me ((1)jqe j 3jqe j)
32 jqe j sin2 }2 (a 10 9) + 4 (1) jqe j ((1) jqe j 3 jqe j)

32