Engineering

Physics
 About The Author
V Rajendran, FUSI, FASI, FInstP, is the Director, Research and Developm ent, KSR
Group of Institutions and Centre for Nano Science and Technology (CNST), K S
Rangasamy College of Technology, Tamil Nadu, India. He holds an MTech in Nano
Science and Technology from Anna University. He obtained a PhD in Ultrasonics from
Annamalai University, and has been pivotal in developing the state-of-the-art role
Centre for Nano Science and Technology Research, KSRCT at par with international
standards, in coordination with the science and technology faculty. He has made
enormous and innovative contributions to materials characterisation using online
ultrasonic techniques and other conventional techniques.
Dr Rajendran has visited many countries including USA, West Indies, Germany,
Italy, France, Sweden, Finland, Singapore, Hong Kong and Taiwan as visiting
professor, guest scientist to various research laboratories, universities and conferences;
and has received many laurels and awards such as National NDT Man of the Year
2004, TANSA Award, Outstanding Organiser Award, DAAD from Germany, INSA,
TNSCST Young Scientist, and DAE /BRNS Visiting Scientist. Under his able guidance,
five scholars have completed their doctoral degrees and 12 scholars are pursuing
their PhD degrees. An enthusiastic academician, he has organised three national-
level conferences on Ultrasonics, Acoustics and Instrumentation, one international
conference on Nanomaterials and several workshops towards fulfilling his vision
of imparting knowledge to budding research scholars. He has also attended several
national and international conferences both in India and abroad. He has to his credit
more than 100 research papers in reputed international journals, 65 papers in conference
proceedings, 16 refereed books, 11 edited proceedings, 2 research and development
books and 11 patents.
Dr Rajendran is also involved in several collaborative research projects with
many leading research laboratories, both in India and abroad. His passion towards
research led him to be the Principal Investigator of four completed, sponsored research
projects with a fund involvement to the tune of INR 17 million. Presently, sponsored
research projects to the tune of INR 15 million are under progress with sponsorship
from Nanomission DST, DRDO, IGCAR, etc. Presently, he is involved in research
including nano metal oxides for different industrial applications, nano silica from
rice husk for applications in textiles and biomedicine, nano bioactive glasses and
developing nanoparticles from herbs for biomedical applications.
He is the chairperson of the forthcoming international conference on nanomaterials
and nanotechnology (NANO 2010) which will be held during December 13–16,
2010. His memberships include fellowships and life memberships of many scientific
societies both in India and abroad. He is a member in the Board of Studies and Doctoral
Committee in several universities (including Anna University). Also, he is in the peer
review group for many international and national refereed journals apart form being
the President of Acoustical Society of India.
 Engineering
Physics

V Rajendran
Director—Research and Development
Centre for Nano Science and Technology
K S R College of Technology
and
K S R Group of Institutions
Tiruchengode, Tamil Nadu

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 Preface
Engineering Physics, as a discipline, has always been regarded as a fascinating subject
by aspiring engineering and technology students. Due to the shortage of good textbooks
on the subject, a need was felt for one that fulfills the requirements of students in a way
they can relate to, as well as remains within the scope of their prescribed syllabi. This
textbook covers the complete syllabus of Engineering Physics for different branches
of engineering and technology (BE/BTech), of almost all technical universities of
India. The content of the book is both simple and coherent.
All along the text, an attempt has been made to emphasise on engineering
applications in every chapter. Solved problems, short questions, descriptive questions,
objective questions, objectives and real-time applications are included to expedite the
learning process of students of all categories.

Key Features
• Complete coverage of all major topics ♣ Key Points to Remember
of Engineering Physics ♣ 190 Solved Problems
• lucid style of presentation ♣ 710 Short Questions
• Rich pedagogy: ♣ 187 Descriptive Questions
♣ Chapter Objectives ♣ 80 Exercises
♣ Chapter Summary ♣ 585 Objective Type Questions

Chapter Organisation
The book covers the 27 topics such as Elasticity, Viscosity, Vacuum Technique, Acoustics,
Ultrasonics, Non-Destructive Testing, Interference, Polarisation, Photoelasticity, Optical
and Other Instruments, laser, Fiber Optics, Crystal Structure, Waves and Particles,
Classification of Solids, Electron Theory of Solids, Statistics and Band Theory of
Solids, Transport properties of Semiconductors, Superconducting Materials, Magnetic
Materials, Dielectric Materials, Shape Memory Alloys, Nonlinear Materials, Metallic
Glasses, Biomaterials, Nanomaterials Synthesis and Nanodevices, all of which will be
useful to students and faculty for enhancing their knowledge and skills.
Elasticity, viscosity and vacuum techniques are thoroughly explained in chapters 1,
2 and 3 respectively. Chapters 4 and 5 deal with the principles, production, properties
and applications of acoustics and ultrasonics respectively. Material testing like non-
destructive testing has been discussed in Chapter 6. Chapters 7, 8 and 9 cover
respectively interference, polarisation and photoelasticity. Chapter 10 deals with optical
and other instruments.
Laser, fiber optics and crystal structure are presented in chapters 11 to 13 respectively.
Chapter 14 discusses waves and particles. Semiconductors, electron theory of solids,
statistics and band theory of solids are covered respectively in chapters 15 to 17, while
Chapter 18 deals with transport properties of semiconductors.
Superconducting materials, magnetic materials, dielectric materials have been
discussed in chapters 19 to 21. Chapter 22 discusses shape memory alloys and their
properties. The newer materials like nonlinear materials, metallic glasses, biomaterials,
nanomaterials synthesis and nanodevices are discussed in chapters 23 to 27.
 vi Preface

Acknowledgements
My heartfelt thanks are due to Dr W Selvamurthy, CC&RD(lS), DRDO for his foreword
message. I am thankful to Dr K S Rangasamy (Chairman) and Shri R Srinivasan (Secretary)
and all my colleagues, particularly Dr K Thyagarajah, Principal, K S Rangasamy College
of Technology for facilitating a wonderful environment and for the encouragement
showered on me in bringing out this book. I would also like to thank Mr K Sakthipandi
and Mr R Yuvakkumar for their contribution in typesetting and proof corrections.
A special note of appreciation goes to all those reviewers who devoted time in going
through the manuscript and giving constructive suggestions. Their names are given below:
T Mahalingam Maharaja Engineering College, Coimbatore
K Sakthivel Coimbatore Institute of Technology, Coimbatore
R G Sethuraman Kumaraguru College of Technology, Coimbatore
S Gopal Kumaraguru College of Technology, Coimbatore
K Thangaraj Kongu Engineering College, Coimbatore
R Thiruneelakandan Nandha Engineering College, Coimbatore
Suganthi Devadason Karunya University, Coimbatore
S Rajesh Karunya University, Coimbatore
T Chitravel Bannari Amman Institute of Technology, Coimbatore
D Caleb Sri Sairam Engineering College, Chennai
M Anbuchezhiyan Valliammai Engineering College, Chennai
Sundareswari Sathyabama University, Chennai
S N Zafarullah St Peter’s Engineering College, Chennai
I B Shameem Banu B S Abdur Rahman Crescent Engineering College,
Chennai
Rama Devi Anand Institute of Higher Education, Chennai
R Kannan Pondicherry Engineering College, Pondicherry

I am grateful to Vibha Mahajan, Ebi John, Shalini Jha, Suman Sen, Heragu
Nagaraja, Sohini Mukherjee and Satinder S Baveja of Tata McGraw-Hill for their
keen interest in bringing out this book. I am indebted to many of my friends, both in
India and abroad, for their continuous support and feedback during the development
of the manuscript. The patience and care shown by my family members also deserves
a special mention.
I hope that this book will be well received by the students and teachers alike.
I invite criticism and suggestions from the users of this book for making further
improvements.
V Rajendran

Feedback
Constructive suggestions and criticism always go a long way in enhancing any
endeavour. We request all readers to email us their valuable comments/views/feedback
for the betterment of the book at [email protected], mentioning the title
and author name in the subject line. Also, please feel free to report any piracy of the
book spotted by you.
 Foreword
The text book Engineering Physics written by Dr V Rajendran is a comprehensive book
to cater to the multi-disciplinary engineering and technology students and is a tailormade
to suit the entire syllabus of major technological universities in India. I am happy to
note that the overview of this book reflects the vast teaching and research experience of
the author. I appreciate the care and efforts taken by the author in explaining the basic
principles of physics and its engineering applications. This book is one of the best study
materials having clear description of the concepts with appropriate illustrations.
It is very essential that the students should understand the concept, principles and
working of the many phenomena of physics in a lucid manner. In order to explain the
contents of each chapter, the author has taken great care to provide proper subheadings
which describe the topics seriously. It is most important to note that the students must
get a clear picture about the engineering materials based on the fundamental concepts
of physics. The illustrations of various principles and exercises at the end of the topics
will be helpful to make learners improve their problem-solving skills. The advanced
topics like biomaterials, shape memory alloys, non-linear materials, metallic glasses,
nanomaterial synthesis and nano devices have also been included.
I am sure that this textbook will meet all the needs of aspiring students who want to
learn and update their knowledge in technological developments. This book will not
only be a ready information storehouse for students entering the field of engineering
and technology, but will also be useful as reference material for faculties working in
different colleges in India.
I congratulate Dr Rajendran for his interactive and cognitive ways in bringing out
this much-useful book.

W Selvamurthy
Distinguished Scientist and Chief Controller R&D (LS)
Government of India
Ministry of Defence
Defence Research and Develpoment Organisation (DRDO)
New Delhi
 Contents
Preface v
Foreword vii
1. Elasticity 1.1–1.40
1.1 Introduction 1.1
1.2 Classification of Elastic Materials 1.1
1.3 Stress 1.2
1.4 Strain 1.2
1.5 Hooke’s Law 1.2
1.6 Elastic Behaviour of a Material 1.3
1.7 Factors Affecting Elasticity 1.4
1.8 Classification of Elastic Modulus 1.4
1.9 Poisson’s Ratio 1.7
1.10 Relation Between Elastic Moduli 1.8
1.11 Twisting Couple on a Wire 1.15
1.12 Twisting Couple on a Solid Shaft 1.17
1.13 Torsional Pendulum 1.18
1.14 Bending of Beam 1.22
1.15 Cantilever 1.25
Keypoints to Remember 1.31
Solved Problems 1.32
Objectives Questions 1.41
Exercises 1.43
Short Questions 1.44
Descriptive Questions 1.45
2. Viscosity 2.1–2.16
2.1 Introduction 2.1
2.2 Coefficient of Viscosity 2.2
2.3 Streamline and Turbulent Flow 2.2
2.4 Reynold’s Number 2.3
2.5 Poiseuille’s Equation for the Flow of a liquid
Through a Tube 2.3
2.6 Motion of a Rigid Body in a Viscous Medium 2.5
2.7 Experimental Determination of Viscosity of a liquid 2.7
Keypoints to Remember 2.11
Solved Problems 2.11
x Contents

Objective Questions 2.13

Exercises 2.14
Short Questions 2.15
Descriptive Questions 2.15

3. Vacuum Technique 3.1–3.14

3.1 Introduction 3.1
3.2 Types of Pumps 3.1
3.3 Vacuum Systems 3.2
3.4 Production of Vacuum 3.3
3.5 Measurements of Vacuum 3.7
3.6 Importance of Vacuum in Industries 3.10
3.7 Vacuum Techniques Applications 3.10
Keypoints to Remember 3.11
Objective Questions 3.11
Short Answer Questions 3.12
Descriptive-Type Questions 3.13

4. Acoustics 4.1–4.44
4.1 Introduction 4.1
4.2 Classification of Sound 4.1
4.3 Characteristics of Musical Sounds 4.3
4.4 Transmission of Sound 4.8
4.5 Transmission Loss 4.10
4.6 Acoustics of Buildings 4.10
4.7 Sabine’s Formula for Reverberation 4.15
4.8 Measurement of Absorption
Coefficient 4.22
4.9 Sound Absorbing Materials 4.24
4.10 Factors Affecting Acoustics of Buildings and Their
Remedies 4.25
4.11 Principles to be Observed in the Acoustical
Design of an Auditorium 4.28
4.12 Acoustical Analysis and its Correction 4.30
4.13 Sound Insulation 4.30
4.14 Noise Pollution 4.31
4.15 Noise Control in Machines 4.32
Keypoints to Remember 4.33
Solved Problems 4.34
Exercises 4.42
Objectives Questions 4.42
Short Answer Questions 4.43
Descriptive Questions 4.44
 Contents xi

5. Ultrasonics 5.1–5.34
5.1 Introduction 5.1
5.2 Classification of Ultrasonic Waves 5.1
5.3 Properties of Ultrasonic Waves 5.5
5.4 Generation of Ultrasonic Waves 5.5
5.5 Ultrasonic Velocity Measurements 5.9
5.6 Absorption and Dispersion of Ultrasonic
Waves 5.12
5.7 Source of Sound Absorption and
Dispersion 5.13
5.8 Applications—Industry 5.13
5.9 Applications—Medicine 5.16
5.10 Acoustic Holography 5.20
5.11 General Applications 5.23
Keypoints to Remember 5.24
Solved Problems 5.25
Objectives Questions 5.29
Exercises 5.32
Short Answer Questions 5.32
Descriptive Questions 5.33
6. Non-Destructive Testing 6.1–6.45
6.1 Introduction 6.1
6.2 Classification of Testing Methods 6.2
6.3 Visual Inspection 6.2
6.4 Liquid Penetrant Testing 6.3
6.5 Radiography 6.8
6.6 Ultrasonic Testing 6.21
6.7 Thermography 6.31
Keypoints to Remember 6.36
Solved Problems 6.38
Objectives Questions 6.41
Short Answer Questions 6.43
Descriptive Questions 6.45
7. Interference 7.1–7.32
7.1 Introduction 7.1
7.2 Interference Produced in Thin Films due to
Reflected Light 7.1
7.3 Air Wedge 7.4
7.4 Anti-Reflection Coating 7.8
7.5 Multi Layer Periodic System 7.10
7.6 High-Pass and Low-Pass Filters 7.11
xii Contents

7.7 Nterference Filter (Fabry–Perot Interference Filter) 7.12

7.8 Michelson’s Interferometer 7.13
Keypoints to Remember 7.22
Solved Problems 7.23
Objectives Questions 7.28
Exercises 7.29
Short−Answer Questions 7.30
Descriptive Questions 7.31
8. Polarisation 8.1–22
8.1 Introduction 8.1
8.2 Fundamentals of Polarised Light 8.2
8.3 Nicol Prism 8.5
8.4 Quarter Wave Plate 8.8
8.5 Half Wave Plate 8.8
8.6 Theory of Polarised Light 8.9
8.7 Plane Polarised Light by Nicol Prism 8.12
8.8 Production of Plane, Circularly and Elliptically
Polarised light 8.13
8.9 Detection of Plane, Circularly and Elliptically
Polarised light 8.14
Keypoints to Remember 8.16
Solved Problems 8.17
Objectives Questions 8.19
Short Questions 8.20
Exercises 8.21
Descriptive Questions 8.21
9. Photoelasticity 9.1–9.14
9.1 Introduction 9.1
9.2 Definitions 9.2
9.3 Theory of Photoelasticity 9.4
9.4 Arrangement of Optical Elements in a
Polariscope 9.6
9.5 Interpretation of Isoclinic and Isochromatic
Fringes 9.7
9.6 Photoelastic Bench 9.9
Keypoints to Remember 9.10
Solved Problems 9.10
Objectives Questions 9.11
Exercises 9.12
Short Questions 9.13
Descriptive Questions 9.13
 Contents xiii

10. Optical and Other Instruments 10.1–10.16

10.1 Introduction 10.1
10.2 Sextant 10.1
10.3 Metallurgical Microscope 10.4
10.4 Focusing of Electron Beams 10.5
10.5 Electron Microscope 10.6
10.6 Scanning Electron Microscope 10.7
10.7 Transmission Electron Microscope 10.8
10.8 Scanning Transmission Electron Microscope 10.10
Keypoints to Remember 10.12
Objectives Questions 10.13
Short Questions 10.14
Descriptive Questions 10.14
11. Laser 11.1–11.52
11.1 Introduction 11.1
11.2 Principle of Laser 11.2
11.3 Einstein’s Theory of Stimulated Emission 11.3
11.4 Population Inversion 11.5
11.5 Methods of Achieving Population Inversion 11.6
11.6 Threshold Condition (Schawlow and Townes
Condition) 11.7
11.7 Types of Lasers 11.11
11.8 Determination of Wavelength of Laser Using
Grating 11.23
11.9 Particle Size Determination by Laser 11.25
11.10 Applications of Lasers 11.26
Keypoints to Remember 11.40
Solved Problems 11.41
Objectives Questions 11.47
Exercises 11.50
Short Questions 11.50
Descriptive Questions 11.51
12. Fiber Optics 12.1–12.48
12.1 Introduction 12.1
12.2 Optical Fibers–Principle 12.1
12.3 Structure of Optical Fibers 12.3
12.4 Acceptance Angle and Cone 12.4
12.5 Numerical Aperture and Acceptance Angle 12.4
12.6 Types of Optical Fibers 12.6
12.7 Fabrication of Optical Fibers 12.13
12.8 Loss in Optical Fibers 12.16
xiv Contents

12.9 Fiber Optical Communication 12.19

12.10 Splicing 12.20
12.11 Light Sources for Fiber Optics 12.22
12.12 Photodetectors 12.28
12.13 Fiber Optical Sensor 12.32
12.14 Classification of Optical Sensors 12.32
12.15 Fiber Endoscope 12.35
12.16 Engineering Applications of Optical Fibers 12.36
Keypoints to Remember 12.36
Solved Problems 12.38
Objectives Questions 12.45
Exercises 12.46
Short Questions 12.47
Descriptive Questions 12.48
13. Crystal Structure 13.1-13.36
13.1 Introduction 13.1
13.2 Fundamental Terms of Crystallography 13.2
13.3 Types of Crystals 13.5
13.4 Relation Between The Interplanar Distance and
The Interatomic Distance 13.9
13.5 Crystal Structures of Materials 13.11
13.6 Simple Cubic Crystal Structure 13.11
13.7 Body Centred Cubic Structure 13.12
13.8 Face Centred Cubic Structure or Cubic Close
Packed Structure 13.15
13.9 Hexagonal Closed Packed Structure 13.16
Keypoints to Remember 13.20
Solved Problems 13.20
Objectives Questions 13.34
Exercises 35
Short Questions 13.35
Descriptive Questions 13.36
14. Waves and Particles 14.1–14.28
14.1 Introduction 14.1
14.2 De Broglie Wave 14.2
14.3 De Broglie Wavelength 14.2
14.4 Properties of Matter Waves. 14.4
14.5 Matter Waves—Experimental Verification 14.4
14.6 Schrödinger Wave Equation 14.8
14.7 Application of Schrödinger’s Equation
to a Particle in a Box 14.12
 Contents xv

14.8 Heisenberg Uncertainty Principle 14.15

Keypoints to Remember 14.16
Solved Problems. 14.17
Objectives Questions14. 24
Exercises 14.25
Short Questions 14.26
Descriptive Questions 14.27

15. Semiconductors 15.1–15.36

15.1 Introduction 15.1
15.2 Classification of Solids on the Basis of
Band Theory 15.2
15.3 Classification of Semiconductors 15.3
15.4 Solar Cells 15.7
15.5 Display Devices 15.11
15.6 Active Display Devices 15.11
15.7 Passive Display Devices 15.18
15.9 Different Modes of LCD 15.22
15.10 Liquid Crystal Display System 15.23
15.11 Comparison Between LEDs and
lCDs 15.27
15.12 Applications 15.28
Keypoints to Remember 15.29
Solved Problems 15.31
Objectives Questions 15.32
Short Answer Questions 15.34
Descriptive Questions 15.35

16. Electron Theory of Solids 16.1–16.26

16.1 Introduction 16.1
16.2 Electrical Conduction 16.2
16.3 Classification of Conducting Materials 16.2
16.4 Classical Free Electron Or Drude–Lorentz
Theory of Metals 16.3
16.5 Expression For Electrical Conductivity
and Drift Velocity 16.4
16.6 Thermal Conductivity 16.8
16.7 Expression For Thermal Conductivity 16.9
16.8 Wiedemann–Franz Law 16.11
16.9 Verification of Ohm’s Law 16.12
16.10 Classical Free Electron Theory: Advantages and
Drawbacks 16.13
xvi Contents

Keypoints to Remember 16.14

Solved Problems 16.15
Objectives Questions 16.24
Short Questions 16.25
Descriptive Questions 16.26
17. Statistics and Band Theory of Solids 17.1–17.36
17.1 Introduction 17.1
17.2 Fermi-Dirac Statistics 17.1
17.3 Carrier Concentration (Free Electron Density)
in Metals 17.7
17.4 Effect of Temperature on Fermi Energy
Function 17.7
17.5 Significance of Fermi Energy 17.10
17.6 Effective Mass of an Electron 17.11
17.7 Concept of Hole 17.15
17.8 Band theory of Solids – Origin of Energy
Gap 17.16
17.9 Conductivity of Copper and Aluminum 17.22
17.10 Effect of Temperature and Impurity on Electrical
Resistivity of Metals (Matthiessen’s Rule) 17.23
Keypoints to Remember 17.25
Solved Problems 17.25
Objectives Type Questions 17.33
Exercises 17.34
Short Questions 17.35
Descriptive Questions 17.35
18. Transport Properties of Semiconductorss 18.1–18.46
18.1 Introduction 18.1
18.2 Carrier Concentration in an Intrinsic
Semiconductor 18.2
18.3 Conductivity of Semiconductors 18.7
18.4 Extrinsic Semiconductor 18.9
18.5 n-type Semiconductor 18.9
18.6 p-type Semiconductor 18.12
18.7 Hall Effect 18.14
18.8 Variation of Electrical Conductivity with
Temperature 18.18
18.9 Variation of Fermi Level with Temperature
in Extrinsic Semiconductor 18.23
Keypoints to Remember 18.25
Solved Problems 18.26
 Contents xvii

Objectives Questions 18.43

Exercises 18.45
Short Questions 18.45
Descriptive Questions 18.46
19. Superconducting Material 19.1–19.16
19.1 Introduction 19.1
19.2 General Propertiess of Superconducting Materials 19.2
19.3 Types of Superconductors 19.4
19.4 Bardeen, Cooper and Schrieffer (BCS) Theory 19.5
19.5 Electron–Phonon Interaction 19.6
19.6 High Temperature Superconductors 19.7
19.7 Applications 19.8
Keypoints to Remember 19.11
Solved Problems 19.12
Objectives Questions 19.14
Short Questions 19.15
Descriptive Questions 19.16
20. Magnetic Materials 20.1–20.82
20.1 Introduction 20.1
20.2 Magnetic Parameters 20.2
20.3 Bohr Magneton 20.3
20.4 Classification of Magnetic Materials 20.4
20.5 Origin of Permanent Magnetic Moment 20.9
20.7 Paramagnetism 20.14
20.8 Ferromagnetic Materials 20.26
20.9 Antiferromagnetic Materials 20.43
20.10 Ferrimagnetic Materials 20.44
20.11 Hard and Soft Magnetic Materials 20.47
20.12 Energy Product of Magnetic Matersials 20.49
20.13 Ferrite Core Memory 20.52
20.14 Magnetic Recording Materials 20.53
20.15 Magnetic Principle of Analog Recording and
Recording 20.54
20.16 Magnetic Bubble Memory 20.55
20.17 Magnetic Principle in Computer Data Storage 20.58
20.18 Magnetic Tape 20.58
20.19 Floppy Disk 20.60
20.20 Magnetic Hard Disk 20.61
20.21 Computer Aided Tomography 20.63
Keypoints to Remember 20.65
Solved Problems 20.66
xviii Contents

Objectives Questions 20.74

Exercises 20.77
Short−Answer Questions 20.78
Descriptive Questions 20.80

21. Dielectric Materials 21.1–21.46

21.1 Introduction 21.1
21.2 Definitions 21.1
21.3 Different Types of Polarisations 21.4
21.4 Local or Internal Field 21.10
21.5 Types of Dielectric Materials 21.12
21.6 Classification of Electrical Insulating
Materials 21.14
21.7 Claussius-Mosotti Equation 21.15
21.8 Experimental Determination of Dielectric
Constant 21.17
21.9 Dielectric Loss 21.19
21.10 Dielectric Breakdown 21.20
21.11 Ferroelectric Material 21.22
21.12 Dielectric Properties 21.25
21.13 Active and Passive Dielectrics 21.26
21.14 Frequency and Temperature Dependence
of Dielectric Properties 21.26
21.15 Uses of Dielectric MateRials 18.29
21.16 Application 21.32
Keypoints to Remember 21.32
Solved Problems 21.33
One Mark Question 21.41
Exercises 21.44
Short Questions 21.45
Descriptive Questions 21.45

22. Shape Memory Alloys 22.1–22.18

22.1 Introduction 22.1
22.2 Origin of Shape Memory Alloys 22.2
22.3 Principle of Phase Transformation in Shape
Memory Alloys 22.2
22.4 Shape Memory Alloys—Properties 22.5
22.5 Processing Techniques 22.8
22.6 Characterisation Techniques 22.81
22.7 Commercial Shape Memory
Alloys 22.10
22.8 Shape Memory Alloys-Applications 22.14
xix Contents

22.9 Shape Memory Alloys-Disadvantages 22.15

Keypoints to Remember 22.15
Objectives Questions 22.16
Short Questions 22.17
Descriptive Questions 22.17

23. Nonlinear Materials 23.1–23.16.

23.1 Introduction 23.1
23.2 Basic Principle 23.2
23.3 Classification of Nonlinear
Materials 23.3
23.4 Nonlinear Properties 23.4
23.5 Nonlinear Materials 23.10
23.6 Applications 23.12
Keypoints to Remember 23.12
Objectives Questions 23.13
Short Questions 23.14
Descriptive Questions 23.15

24. Metallic Glasses 24.1–24.14

24.1 Introduction 24.1
24.2 Origin of Metallic Glasses 24.2
24.3 Principle 24.2
24.4 Preparation 24.3
24.5 Properties 24.5
24.6 Applications 24.10
Keypoints to Remember 24.12
Objectives Questions 24.12
Short−Answer Questions 24.14
Descriptive Questions 24.14

25. Biomaterials 25.1–25.16

25.1 Introduction 25.1
25.2 Biomechanism 25.1
25.3 Development of Biomaterials 25.3
25.4 Classification of Biomaterials 25.8
25.5 Processing and Properties 25.11
25.6 Applications 25.11
Keypoints to Remember 25.13
Objectives Questions 25.13
Short Questions 25.14
Descriptive Questions 25.14
 xx Contents

26. Nanomaterial Synthesis 26.1–26.38

26.1 Introduction 26.1
26.2 Synthesis of Nanostructured Materials 26.2
26.3 Top-Down Approach-Nanomaterials Synthesis 26.4
26.4 Bottom Up Process—Synthesis of Nanoparticles 26.11
26.5 Vapour Phase Deposition 26.11
26.6 Epitaxial Techniques—Synthesis of Nanomaterials 26.15
26.7 Chemical Methods—Nanomaterial Synthesis 26.20
26.8 Hybrid Methods—Synthesis of Nanomaterials 26.23
26.9 Nanotechnology and Environment 26.28
26.10 Properties and Possible Applications 26.29
26.11 Storage 26.33
Keypoints to Remember 26.34
One Mark Question 26.35
Short Questions 26.37
Descriptive Questions 26.38
27. Nanodevices 27.1–27.34
27.1 Introduction 27.1
27.2 Nanomagnets 27.2
27.3 Classifications of Nanomagnetic Materials 27.3
27.4 Magneto Resistances 27.6
27.5 Probing Nanomagnetic Materials 27.9
27.6 Nanomagnetism in Technology 27.9
27.7 Applications of Semiconductor Nanostructures
and Devices 27.11
27.8 Applications of Semiconductor Nanostructure 27.12
27.9 Organic Semiconductor Materials Devices 27.18
27.10 Carbon Nanotubes 27.22
27.11 Types of Carbon Nanotubes 27.22
27.12 Synthesis of Carbon Nanotubes 27.24
27.13 Properties of CNT 27.26
27.14 Applications 27.28
Keypoints to Remember 27.30
Objectives Questions 27.31
Short Questions 27.33
Descriptive Questions 27.34
Appendix 1 A-1
Appendix 2 A-2
Appendix 3 A-3
Appendix 4 A-4
 Chapter

Elasticity
1

OBJECTIVES
• To understand the mechanical properties of engineering materials
• To explore the elastic properties of materials
• To study the different classes of modulus and their relationship
• To explore the possible methods to determine the modulus of materials with different
shapes
• To study the restoring couple acting on a wire and shaft
• To underst.and the principle behind a cantilever and its possible applications

1.1
I The knowledge of physical, chemical, mechanical and technological
N properties of materials are more essentially required for selection of right
materials for industrial applications. Properties such as dielectric constant,
T
electrical conduction, thermal condition, etc., are used to explore newer
R materials for electronic applications. Similarly, properties such as stress,
O strain, elastic moduli, etc., are used to explore materials for industrial
d applications such as construction of bridges and railway wagons.
u Elasticity is a branch of physics which deals with the elastic property
of materials. Elasticity is the property by virtue of which bodies regain
C original shape and size after removal of the deforming force. When a
T deforming force acts on a body, there is a change in its length or shape
I or volume. Then, the body is said to be strained. In this chapter, elastic
O properties of materials and their applications for different uses are
N discussed briefly.

1.2 CLASSIFICATION OF ELASTIC MATERIALS

Generally, materials are classified as
(i) Perfectly elastic, and
(ii) Plastic
 1.2 Engineering Physics

The material which completely regains its original shape or size after removal
of the deforming force is known as a perfectly elastic material. On the other hand,
materials which do not regain their original shape or size even after removal of the
deforming force are known as plastic materials. In general, there is no material which
is perfectly elastic or plastic. Even a quartz fiber which nearly approaches the criteria
for a perfectly elastic body does not regain its original state after the removal of a
large deforming force. On the other hand, putty is a perfectly plastic body, which
regains its original state upon removal of the applied deforming force. Thus, a relative
measurement is used to represent a material, i.e., plastic or elastic in comparison with
other materials.

1.3 STRESS
When a deforming force or load is acting on a body, a force of reaction comes into play
internally inside the body due to relative displacement of molecules. The displaced
molecules tend to regain their original position in the body due to their elastic nature.
Therefore, the restoring force, or recovering force per unit area, is known as stress i.e.,
F
i.e., Stress = (1.1)
A
where F is the applied force in newtons and A, the area of cross section in square
meters. The unit of stress is N m-2 or Pascal.
When stress is applied normal to the surface of a body and wire, the result is a
change in volume and length respectively. The restoring force per unit area is known
as tangential or shearing stress which is acting along the surface. On the other hand,
if there is any change in the shape of a body then the stress is tangential stress. When
the volume of a body increases then the stress is known as expansive stress, while it
is compressive stress for decrease in volume.

1.4 STRAIN
Under equilibrium, the ratio of change in dimension produced by an external force to
its original dimension is called strain. The observed change in dimension may be either
in length or volume or shape. Strain is a dimensionless quantity and has no unit.

1.5 HOOKE’S LAW

In 1679, Robert Hooke proposed a relation between stress and strain. When a material
is within the elastic limit, stress is directly proportional to strain. The ratio of stress to
strain is a constant and is known as coefficient of elasticity or modulus of elasticity.
Therefore,
Stress µ Strain
or
Stress = E ¥ Strain
Therefore, modulus of elasticity
Stress
E= (1.2)
Strain
Equation (1.2) gives the value of modulus of elasticity.
 Elasticity 1.3

Elastic and Plastic Limits

Generally, for a solids, there is a limit to recover its original state upon removal of the
deforming force. When the applied stress to a body is increased up to a maximum value,
the body recovers its original shape and size upon removal of the deforming force.
The maximum stress up to which a body exhibits the property of elasticity is known
as elastic limit. When the applied stress to the body exceeds the maximum stress limit,
the body does not regain its original shape or size completely upon withdrawal of the
applied stress. Therefore, any body beyond its elastic limit is in its plastic limit.

1.6 ELASTIC BEHAVIOuR OF A MATERIAL

Consider that a body is subjected to a uniform stress. When the stress increases, it
results in a change in its dimensions, i.e., there is strain on the body. The relationship
between the applied stress and strain is studied by drawing a curve between strain
and stress, as shown in Fig.1.1. The curve is called a stress–strain curve. Let a body
be clamped at one end and loaded at the other end gradually from zero value until the
wire breaks. Figure 1.1 shows the nature of stress–strain curve for a body.
Y
P

D
F G Plastic range

E
Elastic limit

Elastic range
Stress

Permanent set

A X
B Strain C

Fig. 1.1 Stress–strain curve–elastic behaviour of a solid

In the region AE of the curve, the applied stress is directly proposal to the strain.
When the body is within this applied stress, it regains its original shape or size.
Therefore, the region AE is perfectly in the elastic region and the point E is known as
elastic limit. Further, the material in the region AE obeys Hooke’s Law.
When stress is applied beyond the elastic limit F, an exponential growth in strain
takes place and is represented by the region EF in the curve. In the region EF, the
material is partly elastic and partly plastic. Under this condition, upon removal of
deforming force, the material takes a new path FB instead of FE to return to its
original state. On return to the original state, the body has a small strain AB which is
known as residual strain. The residual strain acquires a permanent set AB as shown
in Fig.1.1.
 1.4 Engineering Physics

Beyond the point F in the region EF, there is no increase in stress. However, a
random variation in the strain is seen up to the point G. A large increase in strain starts
at the point F and hence, it is called the yield point. The region GP is known as plastic
region. In this region a steady increase in strain with increase in stress is noticed with
a decrease in cross-sectional area of the solid. Beyond the point P, an increase in strain
without any increase in stress is noticed. The corresponding region is represented as
PD. The strain corresponding to the point P is known as breaking stress or ultimate
stress. Finally, the solid breaks at the point D, which is called the breaking point.
At this point, stress on the solid becomes zero. The solid is under fatigue when it is
subjected into continuous stress and strain. When a body is continuously subjected
to stress and strain, it gets fatigue.

1.7 FACTORS AFFECTING ELASTICITY

The elastic properties of solids depend on the following parameters:
(i) Effect of Stress Due to the application of large constant stress or repeated number
of cycles of stresses on a body a gradual decrease in elasticity of a body results.
(ii) Effect of Temperature Generally, the elasticity decreases with increase in
temperature. For example, at room temperature, carbon filament is in elastic state.
When it is heated by passing a current, it is converted into plastic state. Most of the
solids follow a similar behaviour with increase in temperature. However, elasticity
remains unaffected with change in a temperature in a material like invar steel.
(iii) Effect of Hammering and Rolling The elastic properties of solids are increased
while doing operations like hammering and rolling.
(iv) Effect of Annealing When solid materials are annealed (heating or cooling), it
results in the formation of uniform crystalline structure along with the formation of
larger crystal grains. Thus, the softening of the materials takes place. Therefore, the
elastic property of the materials decreases due to annealing.
(v) Effect of Impurities When small impurities like carbon and potassium are added
to molten iron and gold, it enhances their elastic property. The addition of impurity
increases the compactness of materials and hence, elastic property.

1.8 CLASSIFICATION OF ELASTIC MOduLuS

The linear volume and shear strains are the most important parameters used to explore
elastic properties of materials. The elastic moduli of solids are classified into three
different types based on different types of stress, namely,
(i) Young’s modulus
(ii) Bulk modulus, and
(iii) Rigidity modulus
Young’s, bulk, and rigidity modulus are obtained from the respective linear volume
and shear strain of materials. The different types of modulus and their relationships
are discussed in detail in the following heading.
 Elasticity 1.5

1.8.1 Young’s Modulus

Let us consider a wire of length L and area of
cross-section A. The top end of the wire is fixed
A
as shown in Fig. 1.2, while at the bottom end
of the wire, a known load is applied. Consider
that ∆L is the elongation in length of the wire L
due to the action of stress (E), which is acting
along the length of the wire. Therefore, the ratio
of the change in length to unit original length is
known as longitudinal or linear or elongation
strain. Longitudinal or linear stress is the
force applied per unit area of cross - section. DL
Therefore, Young’s modulus is defined as the
ratio of longitudinal stress to linear strain within Fig. 1.2 Young's modulus—wire
elastic limit.

Longitudinalstress
i.e., Young’s modulus = (1.3)
Linear strain

F/A
or Y= (1.4)
DL / L
where F is the force and A the area of cross-section.
Rearranging the above equation, we get,

FL
Y= (1.5)
A DL

We know that F = mg and A = p r 2 , where r is the radius of the wire and m, the mass
of the wire. Substituting the value of F and A in the above equation, we get,

mgL
Y= (1.6)
p r2 D L

Equation (1.6) gives the Young’s modulus of the wire. The unit for Young’s modulus
is N m-2 or Pascal.

1.8.2 Bulk Modulus

Let us consider a cube of volume V and area of cross-section A as shown in
Fig.1.3. Consider that hydrostatic stress or bulk stress ∆P (~F/A) is applied under
normal condition to the whole surface of the body. As a result, a change in volume
takes place without any change in the shape of the body. Let the change in volume
be dV. Therefore, the bulk strain developed in the body is -∆V/V. The increase
in hydrostatic stress with decrease in volume is indicated by the negative sign.
Therefore, the ratio of bulk stress to bulk strain within elastic limit is known as
bulk modulus.
 1.6 Engineering Physics

DP

DP

DP
DP

DP
DP

Fig. 1.3 Bulk modulus—Cube

Bulk stress
Bulk modulus = (1.7)
Bulk strain
or
-DPV
K= N m-2 or Pascal (1.8)
DV
where P is the pressure.
Equation (1.8) gives the bulk modulus of a cube. The reciprocal of bulk modulus
is called compressibility (1/K).

1.8.3. Rigidity Modulus

Let a solid cube be subjected to a force in the upper portion and hence, produce
a couple. The couple moves the upper portion of the solid cube as shown in Fig.

Fig. 1.4 Solid cube—Rigidity modulus

 Elasticity 1.7

1.4. The upper portions of the cube, A, B, C and D, are shifted respectively to point
A¢, B¢, C¢ and D¢. As a result, the face ABCD is sheared through an angle q. Thus, the
vertical face is shifted through an angle q. Therefore,

A A'
Shearing strain q = = DL / L (1.9)
EA
The shearing or tangential stress is equal to the ratio of the force (F) acting on the
face to the area A of the face ABCD. Therefore,
F
Shearing stress = (1.10)
A
When the material is within elastic limit, rigidity modulus is defined as the ratio
of shearing stress to shearing strain. Therefore,

Shearing stress
Rigidity modulus = (1.11)
Shearing strain
Substituting stress and strain values in the above equation, we get,
F/A
h=
DL/L
or
F L
h= (1.12)
A DL
Equation (1.12) gives the rigidity modulus of the cube. The equation for rigidity
modulus is similar to that of Young’s modulus. In rigidity modulus, FIA is the tangential
stress, while in Young’s modulus, the stress is a linear stress.

1.9 POISSON’S RATIO

Whenever a body is subjected to a stress in a particular direction, then there is a change
in dimension of a body in the other two perpendicular directions. For example, when
a wire is stretched along its length then there is an increase in length of the wire. As
a result, the wire becomes thinner and hence, the cross-section of the wire decreases.
The ratio of the change in the lateral strain to the linear strain within elastic limit
gives Poisson’s ratio,
changein diameter of the wire Dd
Linear stress = = (1.13)
original diameter of the wire d

changein length of the wire D

Lateral strain = = (1.14)
original length of the wire 

Lateralstrain
Therefore, Poisson’s ratio = (1.15)
Linear strain
 1.8 Engineering Physics

or Changein diameter / originaldiameter of the wire

s=
Changein length h / originalof the wire
Substituting the values of Eq. (1.13) and (1.14) in Eq. (1.15), we get,
Dd /d
s =
Dl /l
where b = Dd/d and a = Dl/l, we get,
b
Poission’s ratio s = (1.16)
a
where a and b are respectively the longitudinal and lateral strain per unit stress. Within
elastic limit, lateral strain is proportional to linear stress. The value of Poisson’s ratio
mainly depends upon the nature of the material. It has no units. In most materials, the
value of Poisson’s ratio lies between 0.2 and 0.4.

1.10 RELATION BETWEEN ELASTIC MOduLI

The relationship between elastic moduli, namely, Young’s, bulk and rigidity moduli, and
Poisson’s ratio are very useful to explore mechanical properties of materials. The relations
between the three moduli and Poisson’s ratio are discussed in the following section:

1.10.1 Relation between Young’s Modulus and Elongation

Consider a cube subjected to a unit tension along one edge. Then a is the elongation
along the direction of force per unit length per unit tension. Therefore,
Force
Linear Stress = =1 (1.17)
Area
Similarly,
Change in length a
Linear strain = = =a (1.18)
Length 1
Substituting the linear stress and strain from Eq. (1.17) and Eq. (1.18) in Young’s
modulus equation, we get,
1
Young’s modulus Y = (1.19)
a
Equation (1.19) shows the relationship between Young’s modulus and elongation of
a cube.

1.10.2 Relation between Young’s and Bulk Modulus

Consider a cube ABCDEFGH with unit volume. Px, Py and Pz are stresses acting along
x, y and z directions as shown in Fig. 1.5. The stress Px is perpendicular to faces ACEG
and BDFH, while Py is perpendicular to faces ABCD and EFGH. However, the stress Pz
is perpendicular to faces ACBD and EGFH. Each tension acting on the cube produces an
extension in its own direction and a lateral contraction in the other two directions. a is the
 Elasticity 1.9

elongation along the direction of force per unit length per unit tension. Then, Pxa, Pya
and Pza are the elongations produced respectively along the edges AB, BF and BD.
Py

C Pz

Px Px

Pz F

Py

Fig. 1.5 Cube—application of bulk stress

Consider that b is the contraction produced perpendicular to the direction of force

per unit length per unit stress. Therefore, the contraction produced along the edges
AB, BF and BD are respectively Pxb, Pyb and Pzb.
Therefore, length of the edges is
AB = 1 + Pxa - Pyb - Pzb (1.20)
BF = + Pya - Pxb - Pzb (1.21)
BD = + Pza - Pxb - Pyb (1.22)
Therefore, volume of the cube
V = AB ¥ BF ¥ BD (1.23)

Substituting AB, BF and BD values from Eqs (1.20), (1.21) and (1.22) in Eq.(1.23),
we get, volume of the cube,
V = {1 + Pxa - b(Py + Pz)} {1 + Pya - b(Px + Pz)}{(1 + Pza - b(Px + Py)} (1.24)

Simplifying the above equation by neglecting squares, and products of a and b, we

get,
V = 1 + (a − 2b)(Px + Py + Pz) (1.25)
When the stresses are equal Px = Py = Pz = P
Therefore, Eq. (1.25) can be simplified as,

V = 1 + 3P (a - 2β) (1.26)
1.10 Engineering Physics

It is clear from Eq. (1.26) that, volume of the cube is increased by 3P (α − 2β) from
its original value.
3P (a - 2b )
Therefore, volume strain =
1
= 3P (a - 2b) (1.27)
Stress
We know that, bulk modulus = (1.28)
Volumestrain
Substituting the values of volume strain from Eq. (1.27) and stress (P) in the above
equation (1.28), we get,
P
Bulk modulus K =
3P(a - 2b )
1
or K= (1.29)
3 (a - 2b )
Equation (1.29) can be written in terms of Young’s modulus and Poisson’s ratio,
1
K=
3 a ( 1 - 2b / a )
Substituting the value of Y = 11a in above equation, we get,
Y
K= (1.30)
3(1 - 2s )
Equation (1.30) gives the relationship between the bulk modulus, Young’s modulus
and Poission ratio. The compressibility is equal to 3 (a - 2b).

1.10.3 Relation Between Young’s Modulus and Poission’s Ratio

ABCDEFGH is a solid cube with cube edge L as shown in Fig. 1.6. The bottom face
of the cube EFGH is kept fixed while a tangential force F is applied to the upper face
C C¢ D D¢

l F

A B¢
A¢ B
I

q q

G H

E
F
Fig. 1.6 Cube-Shearing stress
 Elasticity 1.11

ABCD of the cube. Due to the application of shearing force, the upper face is sheared
through an angle q.
The edge of the upper face of the cube A, B, C and D takes the new position as A¢,
B¢, C¢ and D¢. Therefore,
F
Shearing stress =
area ABCD

F
= =T (1.31)
L2
Consider that  is the displacement on the edges A and B.

Therefore, AA¢ = BB¢ = l

l
(or) Shear strain = =q (1.32)
L
Substituting the values of stress and strain from Eq. (1.31) and (1.32) in Eq. (1.11),
we get,

T
Rigidity modulus h= (1.33)
q
The shearing stress acting along the upper face AB is equivalent to a linear tensile
stress along the diagonal EB and a compressive stress along the diagonal AF at right
angles to each other. Thus, the tensile stress T along EB is equal to the compressive
stress T along AF. We know that, a and b are longitudinal and lateral strain per unit
stress. Therefore, the extension along the diagonals EB and AF are respectively EBT
a and EBT b.
Therefore, total extension along the diagonal EB is
IB¢ = EB T (a + b )
IB¢ = 2 L T (a + b) (1.34)

where the diagonal EB of cube is equal to 2 L.

Draw a perpendicular line from B to the line EB' to meet at I. IB¢ is the extension
of diagonal EB.
IB¢ = BB¢ cos BB ¢l
= l cos 45°

where the angle BB' I is nearly equal to 45o. Therefore,


IB ¢ = (1.35)
2
Substituting the value of IB′ from Eq. (1.35) in Eq. (1.34), we get,

= 2 L T (a + b)
2
1.12 Engineering Physics

T 1
or = (1.36)
(l / L) 2(a + b )
We know that the strain q = l/L. Therefore, Eq. (1.36) becomes
T 1 (1.37)
=
q 2(a + b )
Equation (1.37) can be written in terms of Young’s modulus by Eq. (1.19) by taking
rigidity modulus as h = T / q ,
Y
Rigidity modulus h= (1.38)
2 (1 + b / a )
In terms of Poisson’s ratio, the above equation can be written as,
Y (1.39)
h=
2(1 + s )
The relationship between Young’s modulus, rigidity modulus and Poisson’s ratio are
given by Eqs. (1.38) and (1.39).

1.10.4 Relation Between Elastic Constants

Similar to the relationship between Young’s modulus, rigidity modulus and
Poisson’s ratio, the relationship between Y, K and n can be obtained from Eqs (1.29)
and (1.37).
We know that from Eq. (1.29),

K= 1
3 (a - 2b )
Rearranging the above equation, we get,

1 (1.40)
(a - 2b ) =
3K

Similarly, from Eq. (1.37),

1
h=
2(a + b )
Rearranging the above equation, we get,
1
(a + b) = (1.41)
2h
Multiplying Eq. (1.41) by 2 and adding with Eq. (1.40), we get,

1 1
3a= + (1.42)
3K h
 Elasticity 1.13

Substituting value of Y (= 1/a) in the above equation, we get,

3 1 1
= + (1.43)
Y 3K h
Multiplying both sides of the above equation by 3, we get,
9 1 3
= + (1.44)
Y K h
Young’s modulus, bulk modulus and rigidity modulus are related using Eq. (1.44).

1.10.5 Relation Between Elastic Moduli

and Poisson’s Ratio
We know that Young’s and bulk modulus are related (Eq. (1.30)) as,

Y
K=
3 (1 - 2 s )
Rearranging the above equation, we get, Y = 3 K (1 - 2s ) (1.45)
Similarly, rigidity and Young’s modulus are related Eq. (1.39) as,
Y
h=
2(1 + s )
Rearranging the above equation, we get,
Y = 2 h (1 + s ) (1.46)
The LHS of Eqs (1.45) and (1.46) are equal and hence,

2 h (1 + s ) = 3K (1 - 2s )

Therefore, Poisson’s ratio

3K - 2h
s= (1.47)
2h + 6 K
Equation (1.47) gives Poisson’s ratio in terms of h and K.
We know that s in terms of K and Y from Eq. (1.30),
3K - Y (1.48)
s=
6K
Similarly, we also know s in terms of Y and η from Eq. (1.39),
Y - 2h
s= (1.49)
2h
LHS of Eqs (1.48) and (1.49) are equal and hence,
Y - 2h 3K - Y
=
2h 6K
1.14 Engineering Physics

Rearranging the above equation, we get,

3 1 1
= +
2Y 6 K 2h
Multiplying both sides of the above equation by 6, we get,
9 1 3
= + (1.50)
Y K h

Equation (1.50) gives the relation between Young’s, bulk and rigidity modulus.
Eq. (1.50) is very similar as that of Eq. (1.44).

Limitation of Poisson’s Ratio

Comparing the Eqs (1.45) and (1.46), we get,

3K (1 - 2s) = 2 η (1 + s) (1.51)

where K and η are positive quantities.

Case I (s > 0)
When Poisson’s ratio is positive, the RHS and LHS of Eq. (1.51), is positive.
Therefore, (1 - 2s) > 0
or

2s < 1

Therefore, Poisson’s ratio s is less than 0.5.

Case II (s < 0)
When Poisson’s ratio is negative, the RHS and LHS of Eq. (1.51), is positive,
Therefore, (1 + s) > 0
or
s>-1
Therefore, Poisson’s ratio s is less than -1. It is clear from the above observation that
the value of Poisson’s ratio lies between -1 to 0.5.
However, in actual practice, the value of σ cannot be negative because the body does
not expand when it expands longitudinally. Substituting s = 0.5 in Eq. (1.45), we get the
bulk modulus K as infinite and hence, the body is perfectly incompressible. However,
there is no substance which is perfectly incompressible. Similarly, while taking
s = -1 in Eq. (1.51), we get rigidity modulus as infinite. Under these conditions, when
a wire is extended linearly due to applied load, then the same is expanded laterally.
This phenomenon is rare to exhibit. The value of Poisson’s ratio ranges between 0.2
and 0.4 for most of the isotropic solid materials.
 Elasticity 1.15

1.11 TWISTING COuPLE ON A WIRE

Let l be the length of a cylindrical wire as shown in Fig. 1.7a. The upper end is clamped
through a fixed support. The wire consists of a number of cylindrical tubes i.e.,
co-axial tubes. The radius of tubes ranges from zero to a. Consider one such cylindrical
shell with radius r and thickness dr as shown in Fig. 1.7c.

O
A A B

dr
l f l
f R Or
q
r c c1
O1

q c c1 C C1 D D1

(a) Elementary tube (b) Elementary tube—twisted state (c) Cylinder shell
Fig. 1.7 Couple–wire
In elementary tube, the line AC is parallel to axis of the tube. Consider that a couple
is applied at the bottom of wire. As a results, the wire is twisted through an angle q.
Therefore, in this twisted state, the position of AC takes a new position as AC1 which
is shown in Fig. 1.7a.
We know that from Fig. 1.7a, the angle COC1 = q

Therefore, CC1 = rq (1.52)

It is known that the displacement is maximum for the points lying on the rim
while it decreases as one move towards the centre of wire O. This results a maximum
shearing strain at the rim and a minimum shearing strain at the axis (centre).
Consider the line AC which is flattened out from the hollow cylinder (fig. 1.7b).
Therefore, rectangle ACDB and AC1D1B are obtained before and after twisting. Hence,
the shear and shearing strain are obtained,
i.e., CAC1 = f
or
CC1 = l f (1.53)
Comparing Eqs (1.52) and (1.53), we get,

l f = rq
1.16 Engineering Physics

rq
or Shearing strain f = (1.54)
l
Shear stress
We know that, Rigidity modulus h =
Shear strain

Therefore, Shearing stress = h ¥ Shearing strain

Substituting the value φ from Eq. (1.54), we get,
r
Shear stress = h q (1.55)
l
The cross-sectional area of elementary tube is equal to = 2 p r dr.
Therefore, total shearing force on the wire = Stress ¥ area

h rq
Substituting the values, we get, Shearing force = 2p r d r
l
Rearranging the above equation, we get,

2p hq 2
= r dr (1.56)
l

The moment of the force about the axis of the wire is

2phq 2
= r drr (1.57)
l
Equation (1.57) can be integrated with the limit r = 0 and r = a, to obtain a twisting
couple applied to the whole wire.
Therefore, the total twisting couple about the axis of the whole wire is
a
2phq 3
=Ú r dr (1.58)
0
l

Integrating the above equation, we get,

2phq r 4 a
= 0
l 4

Simplifying the above equation, we get,

2phq a 4
or =
l 4

1 pha 4
or = q (1.59)
2 l
 Elasticity 1.17

When angular twist q = 1 radian,

The twisting couple per unit angular twist is

1 pha 4
C= (1.60)
2 l
Equation (1.60) gives the couple per unit twist of wire.

1.12 TWISTING COuPLE ON A SOLId SHAFT

Consider a solid shaft with high rigidity modulus. It is used to transmit the power
from the machine to load. The couple applied at one end of the shaft is transmitted
to its other end without any appreciable twist in it. It is rotated on bearing about its
own axis. Even for a large couple, the twist in the shaft is very small. The following
assumptions are made to drive the relation between torque, angle of twist and shear
stress in a solid shaft of diameter d:
(i) It consists of a number of thin concentric tubes.
(ii) Each thin tube carries a shear force and is independent from its neigh-
bours.
(iii) The shaft shift is within the elastic limit.
(iv) The radial lines before and after twist remain same.

q
f dx
r

(a) Shaft (b) Elementary thin tube

Fig. 1.8 Twisting couple—solid shaft

Let dx be the thickness of an elementary thin tube and r be its radius. Consider that
the shaft is twisted through an angle q.
Therefore, shear force on elementary thin tube = 2 prdr ¥ shearing stress (1.61)
where 2prdr is the area of cross-section of the thin tube.
Therefore, torque carried by the tube = 2prdr ¥ shearing stress ¥ r (1.62)
We know that q is the angle of twist of the tube of length l, then substituting the
hr
value of Shearing stress = q from Eq. (1.55) in Eq. (1.62) we get,
l

The torque carried out by the tube = 2 pr 2dr ¥ shearing stress

2p r 3hq
i.e., = dr (1.63)
l
1.18 Engineering Physics

The total torque (moment of the couple) carried out by solid shaft is the sum of all
the elementary torques, i.e.,
d
2
2p r 3hq
Torque T=
Ú0 l dr (1.64)

We know that the radial lines before and after twist remains same and hence, angle
q of the twist is constant. Therefore, the rigidity modulus h and the length of the shaft
remain constant.
Therefore, Eq. (1.64), can be written as,
d
2
Torque T = hq 2p r 3 dr (1.65)
l Ú0

hq È Ê dˆ4 1˘
(or) T= Í2p Á ˜ ˙
l ÍÎ Ë 2 ¯ 4 ˙˚

Rearranging the above equation, we get,

q È hp d 4 ˘
Torque T= Í ˙ (1.66)
32 Î l ˚
where d is the diameter of the shaft.
The couple per angular twist (C = T / q ) is

1 È hp d 4 ˘ 1 È hp r 4 ˘
Couple C= Í ˙ = Í ˙ (1.67)
32 Î l ˚ 2Î l ˚

Equation (1.67) gives a couple per angular twist.

Further, it is clear that the angle of twist is directly H1
proportional to the length of the shaft.

1.13 TORSIONAL PENduLuM

Torsional pendulum is a pendulum which performs
torsional oscillations. It is used to determine the
moment of inertia and torsional rigidity of a given
body. The compound and torsional pendulum H2
differ from each other in terms of oscillations. The
oscillations are twisted (torsional) in a horizontal D
plane in torsional pendulum, while they are linear
in a compound pendulum.
A torsional pendulum consists of a circular disc
D as shown in Fig. 1.9. The metal rod or wire is Fig. 1.9 Torsional pendulum—
used to clamp the disc. The metal rod is suspended torsion oscillation
 Elasticity 1.19

symmetrically by clamping at the torsion head H1. The length of torsion wire is adjusted
employing the head H2. In order to measure the time period, a pointer is marked at
the disc. The length of pendulum, i.e., the distance between head H2 and head H1, is
adjusted by using the head H2. The head H1 is not disturbed.
The disc D is rotated through a small angle and left free. As a result, the elements in
the wire undergo shearing strain due to the twisting of wire when it is rotated. Therefore,
restoring couple which is acting on the wire brings back to the normal original position.
This results in torsional oscillation of the disc about the mean position.
Therefore, the restoring couple = Cq, (1.68)
where C is the couple per unit twist.
Therefore, angular acceleration in the wire is due to the restoring couple.

d 2q
a= (1.69)
dt 2
If I is the moment of the wire about the axis,
Ê d 2q ˆ
I ÁË dt 2 ˜¯ = - C q (1.70)

Equation (1.70) indicates that the angular acceleration (d 2q/dt 2) is directly proportional
to angular displacement q. The negative sign indicates that a decrease in twist on the
wire with couple and direct towards the mean position. Therefore, torsional oscillations
made by torsional pendulum are simple harmonic motion and the period of oscillation
is controlled by the momentum of inertia of the suspended mass about the axis of
suspension and a couple per unit twist produced in the wire. Therefore, time period
of oscillator is

Displacement
T=2p (1.71)
Acceleration

Substituting the values of acceleration and displacement in the above equation,

we get,

1
T=2p
(C / I )

I
or T=2p (1.72)
C

Equation (1.72) gives the time period of torsional oscillation of torsional pendulum.

1.13.1 Application of Torsional Pendulum

Torsional pendulum is mainly used to measure the moment of inertia of an irregular
body and torsional rigidity modulus.
1.20 Engineering Physics

(i) Determination of Moment of Inertia of a Body Torsional pendulum is used to

determine the moment of inertia of an irregular body as shown in Fig. 1.10. The same
is determined by taking a regular body with known moment of inertia. In the first
step, the time period T0 of the pendulum without any additional mass is determined.
Therefore,
I0
T0 = 2p (1.73)
C
where I0 is the moment of inertia of the disc without any additional mass.
In the second step, the regular bodies with known momentum of inertia are placed at
a distance d1 away from the centre of the disc. The time period T1 of the pendulum with
regular mass at a distance d1 from the centre of the disc is determined. Therefore,

I 0 + 2 I1 (1.74)
T1 = 2 p
C
where I1 is the moment of inertia of the disc
with a regular mass at a distance d1 from the
centre of the disc.
During the third step, the regular bodies are
replaced by the irregular bodies at the same
distance d1 from the centre of the disc. The time
period T2 for a pendulum with irregular body is
determined. Therefore,

I0 + 2I2
T2 = 2p (1.75)
C d1 d1
where I2 is the moment of the inertia of the disc
with an irregular mass at a distance d1 from the Fig. 1.10 Torsional pendulum—
centre of the disc. moment of inertia
Squaring and subtracting Eq. (1.73) from
Eq. (1.74), we get,

4 p 2 ( I 0 + 2 I1 ) 4 p 2 I 0
T12 - T02 = -
C C

Simplifying the above equation, we get,

8 p 2 I1
T 1 2 - T 02 = (1.76)
C

Similarly, squaring and subtracting Eq. (1.73) from Eq. (1.75), we get,

4 p 2 (I0 + 2I2 ) 4 p 2 Io
T2 2 - T02 = -
C C
 Elasticity 1.21

Simplifying the above equation, we get,

8p 2 I2
T 2 2 - T 02 = (1.77)
C
Dividing Eq. (1.76) by Eq. (1.77), we get,

T12 - T0 2 (8p 2 I1 / C ) I1
= = (1.78)
T22 - T0 2 (8p 2 I 2 / C ) I 2

Therefore, the moment of inertia of the irregular body is

(T22 - T0 2 )
I 2 = I1 (1.79)
(T22 - T0 2 )

Equation (1.79) is used to determine the

moment of inertia of an irregular body using
torsional pendulum.
(ii) Determination of Torsional Rigidity
Modulus One can determine the torsional
rigidity modulus of the given body by
measuring the time period of the disc under
three conditions, namely, without any
additional masses, two equal masses at a
distance d1 from the centre of the disc and two
equal masses at a distance d2 from the centre
of the disc. The schematic representation of
the pendulum is shown in Fig. 1.11.
The time period T0 of the disc without d1 d2
additional mass is,
Therefore, Fig. 1.11 Torsional Pendulum—
rigidity modulus
I0
T0 = 2p (1.80)
C

where I0 is the moment of inertia of the disc and C, the couple per unit twist.
Let T1 be the time period of the disc by placing the two equal masses on either side
of the disc at a distance d1 from the centre of the disc.
Therefore, time period of disc with two equal mass at the position d1

I 0 + 2md12 (1.81)
T1 = 2p
C

where m is the mass of the object placed at a distance d1.

Similarly let T2 be the time period of disc by placing the two equal mass on either
side at a distance d2 from the centre of the disc.
1.22 Engineering Physics

Therefore, time period of disc with two equal mass at distance d2,
I 0 + 2md 22
T2 = 2p (1.82)
C
Squaring Eqs (1.81) and (1.82), we get,

( I 0 + 2md12 )
T12 = 4p 2 (1.83)
C

( I 0 + 2md 22 )
and T22 = 4p 2 (1.84)
C
Subtracting the above equations, we get,
4p 2
T22 - T12 =
C
(
2m d 22 - d12 ) (1.85)

Substituting the value of couple from Eq. (1.60) in Eq. (1.85), we get,
4p 2 2m 2l 2
T22 - T12 = (d 2 - d12 )
p h a4

16p m l 2
= (d 2 - d12 )
h a4

16p m l (d 22 - d12 )
Therefore, torsional rigidity h = (1.86)
a4 (
T22 - T12 )
Equation (1.86) gives the rigidity modulus of the given body using torsional
pendulum.

1.14 BENdING OF BEAM

A beam is defined as a rod or a bar made of homogenous and isotropic elastic material
with uniform cross-section (circular or rectangular). The length of a beam is very large
compared to its other dimensions, namely, breadh and thickness. Thus, the shearing
stress at any point of the beam is very small and negiliable. Generally, beams are set
in a horizontal position with a fixed support at their two ends. The beams are used to
carry heavy loads in applications like roofs, bridges, etc.
In order to study flexural rigidity of the beam for heavy loading applications, a
simple theory is developed to study the bending of a beam. The following are the
important points to be considered:
(i) The weight of the beam should be low.
(ii) The beam should have small curvature.
(iii) The minimum deflection of the beam is small compared to its length.
(iv) There are no shearing forces.
(v) The cross-section of the beam remains unaltered during bending. Hence,
the geometrical moment of inertia of the beam remains constant.
 Elasticity 1.23

One end of the beam is fixed while a load is applied at the other end. As a result,
longitudinal filament is extended at the convex side, while a contraction is obtained
at the concave side. However, there is no change in the filament at the centre, i.e.,
in between the two sides. The central filament is in the neutral stage and hence, it is
known as neutral filament. The corresponding central axis is known as neutral axis.
1.14.1 Bending Moment of a Beam
The beam ABEF is fixed at one end AE, while a load is applied at the other end BF, as
shown in Fig.1.12. Consider a small portion of the beam PP’BF. Let CD be the neutral
axis of the beam. It is clear from Fig 1.12, that the filament PB which lies above the
neutral axis gets extended and experiences an inward pressure. On the other hand,
the filament P’F which lies below the neutral axis gets shortened and experiences an
outward pressure. Tensile and compressive stresses are developed in the respective
halves of the beam due to inward and outward pressure in the upper and lower halves
of the beam. The above stresses generate a couple and it opposes the bending of the
beam. When the beam is at equilibrium, the strength of the bending moment is equal
to the restoring couple or moment of resistance to the bending.

A
P
C
B
E
PÄ D
F
Fig. 1.12 Bending moment—beam
Consider a small portion of the beam ABCD as shown in Fig.1.13 to obtain the
expression for the moment of restoring couple, i.e., bending moment. Consider that
R is the radius of curvature of the beam and f, the angle subtended by it at the centre
of curvature. Let GH be the neutral filament at a distance r from the upper filament
AB. Rf is the length of the filament (beam) under zero applied strain. When the strain
is applied, the length of the filament is (R + r)f.

G H

Fig. 1.13 Bending moment of a beam

1.24 Engineering Physics

Therefore, the strain at the filament GH is

Changein length
Strain =
Original length
Substituting the values, we get,
Strain = (R + r) f - Rf
Rφ

Strain = r (1.87)
R
It is clear from (1.87) that the strain is directly proportional to the distance r from
the neutral axis.
Stress
Therefore, Young’s modulus is Y =
Strain

i.e., Stress = Y ¥ Strain

Stress = Y r
R
If a is the area of cross−section of the beam,

then, Force (1.88)

Stress =
Area

Therefore, Force = Stress ¥ Area (1.89)

Substituting the values of stress and area in the above equation, we get,
r
F =Y a (1.90)
R
r
Therefore, moment of this force about GH = Y ar (1.91)
R
We know that the moment of the force acting on the upper and lower halves of the
beam is same. Therefore, total moment of the force is

= ar 2 Y
ÂY R R
= Â ar 2

Y
= Ig (1.92)
R
where I g is known as the geometrical moment of inertia and is equal to
Sar2 = Ak2, where A is the total area of the cross−section and k the radius of gyration.
Y
Therefore, moment of the force = I g (1.93)
R
Under equilibrium conditions, when a load is applied at one, the bending moment
of the beam is equal and opposite to the moment of bending couple.
 Elasticity 1.25

Y
Therefore, bending moment of the beam = Ig (1.94)
R
In Eq. (1.94), the term YIg is called flexural rigidity of the beam. The flexural rigidity
is defined as bending moment of the beam for unit radius of curvature.

1.15 CANTILEVER
A cantilever is a beam which is fixed horizontalies at one end and a load is applied at
other end as shown in Fig.1.14. One can determine Young’s modulus of the material
of a cantilever by knowing the value of depression produced in the cantilever. Let W
be the weight applied at one end of the cantilever. Consider PQ is the neutral axis of
the cantilever.

x
u Q

x S
Q T
Q
dq
R

Fig. 1.14 Cantilever

When load W is applied at Q, the end Q is deflected to Q¢. Thus, the neutral axis
takes a new position PQ¢. Consider a point U in the cantilever which is at a distance x
from the fixed end P. The moment of the couple at this point U due to the load W is
W UQ = W (l - x) (1.95)

where l is the length of the cantilever and (l - x) the distance of U from Q.

We know that under equilibrium conditions, the moment of the couple, i.e., bending
moment is equal to the restoring couple. Therefore, from Eq. (1.95) and (1.94),
YI g
W (l - x) = (1.96)
R
where Y is the Young’s modulus of the rod of cantilever, Ig the geometrical moment
of inertia and R the radius of curvature of the neutral axis.
Substituting the value of Ig, we get,
Yak 2
W (l - x) = (1.97)
R
We know that the moment of a couple increases as one moves from U towards the
fixed end P. The radius of curvature is different at different points and it decreases as
one approaches the point P. Consider a point V at a distance dx from U. The radius of
curvature at V is same as that of at U, since the point V is very close to the point U.
Therefore,

UV = Rdq = dx
1.26 Engineering Physics

Rearranging the above equation, we get,

dx
R= (1.98)
dq
Substituting the value of R from Eq. (1.98) in Eq. (1.97), we get,

Yak 2
W (l - x) = dq
dx

W (l - x)dx
Therefore, dq = (1.99)
YaK 2
Draw tangents at U and V respectively at S and T which meets the vertical line QQ’.
Therefore, the observed dispersion dy of V below U is

dy = (l-x) dq (1.100)

Substituting Eq. (1.99) and Eq. (1.100), we get,

W (l - x) 2
dy = dx (1.101)
YaK 2
One can obtain the total depression of the beam Q’ by integrating Eq. (1.101)
employing the limit 0 to l.
l
W (l - x) 2
Therefore, total depressions y = Ú dx (1.102)
0
YaK 2
Simplify the above equation, we get,
l
W
2 Ú
or = [l 2 - 2lx + x 2 ]dx
YaK 0

l
W È2 lx
2
x3 ˘
or = Íl x - 2 + ˙
YaK 2 Î 2 3 ˚0

1 W l3 W l3
y= =
Y a K2 3 3Y I g

W l3
Therefore, total depressions Y = (1.103)
3Y I g

Equation (1.103) gives the depression value at the free end of cantilever.

1.15.1 Cantilever–Young’s Modulus

Experimental arrangements used to determine the Young’s modulus of a rod employing
the cantilever is shown in Fig1.15. The given rod or bar whose Young’s modulus is
 Elasticity 1.27

to be determined is clamped firmly and horizontally at one end. The other end of the
rod is left free. A weight hanger is suspended at the free end. Further, a vertical pin is
fixed firmly at the free end of the rod as shown in Fig1.15. A traveling microscope (T)
is used to focus the tip the pin. The image of the tip of the pin is made to coincide with
the horizontal position of intersection of the crosswire. The reading on the microscope
is taken and tabulated as shown in Table 1.1. The load is increased gradually in a step-
by-step manner. The corresponding readings for the pin are noted and tabulated. After
applying the maximum load, the experiment is repeated by decreasing the load in a
step-by-step manner in the same way as that of increasing the load. For decrease in each
load, the corresponding microscope readings are taken. From the observed results, the
depression for M kg, say 50 ¥ 10-3 kg, is determined. The distance from the fixed end
of the rod to the point at which the weight hanger is suspended is measured as l.
T

Fig. 1.15 Cantilever—Young’s modulus

Table 1.1 Depression for different applied loads

Microscope reading Depression, y for M

Load loading unloading Mean
kg wt in M
m m m

W
W + 50
W + 100
..................
..................
..................

Therefore, Young’s modulus of cantilever is

W l3
Y=
3Y I g

Mgl 3
Y= (1.104)
3 yI g
Equation (1.104) is used to determine the Young’s modulus of cantilever. The
Young’s modulus depends on the value Ig, i.e., the geometrical moment of inertia of
1.28 Engineering Physics

the material. For example, the values of Ig, for a circular and rectangular dimension
of the cantilever are different.
p r4
i.e., for circular dimension cantilever Ig = (1.105)
4
bd 3
Similarly, for rectangular dimension cantilever Ig = (1.106)
12
where r is radius of the cantilever, b the breadth and d the thickness of the
cantilever.
Therefore, one can determine the Young’s modulus of a cantilever based on it
dimension employing the value either form Eq. (1.105) and Eq (1.106).

1.15.2 uniform Bending—Young’s Modulus

Consider a cantilever is placed above the knife edge C and D as shown in Fig. 1.16.
Consider that an equal load W is applied at the two ends. The bending of the beam is
uniform and firms an arc of a circle. Therefore, bending is known as uniform bending.
Therefore, the beam is experiencing a symmetrical load at the ends and hence, the
reaction at each knife edge is equal to W.

C D

Fig. 1.16 Uniform bending—Young’s modulus

Therefore, bending moment = W x (1.107)

where x is the distance between the load and knife edge.

Y Ig
We know that, the restoring couple = (1.108)
R
where I, is the geometrical moment of inertia.
Under equilibrium condition, the bending moment is equal to restoring couple.
Therefore, from Eq. (1.107) and Eq. (1.108), we get,
Y Ig (1.109)
Wx =
R
Consider the circle with the radius R as shown in Fig. 1.16b. Consider y is the
elevation produced in the beam and l the length of the beam. Then, the centre of the
beam is elevated through a distance (Rule of Sagitha)
l l
i.e., = y (2 R - y )
2 2
 Elasticity 1.29

l2
or = 2 Ry - y 2 (1.110)
4
where y is the elevation produced in the beam. The value of y2 may be neglected
since y is very small compared to the radius of curvature of circle.
Therefore, Eq. (1.110) can be written as,

l2
= 2 Ry
4

l2 (1.111)
R=
8y
Substituting the value of 1/R in Eq. (1.109), we get,
Y Ig
Wx = 8y
l2

Wxl 2
Therefore, Young’s modulus Y = (1.112)
8 yI g
Equation (1.112) is used to determine the Young’s modulus of a beam bent
uniformly.

1.15.3  Non-Uniform Bending −Young’s Modulus 
Consider a beam is supported symmetrically on two knife edges C and D as shown
in Fig.1.17. At the centre of the beam, a load W is applied. The bending beam is a
non-uniform bending, since the bending of beam does not describe an arc of a circle.
A depression is produced at the centre depending on the applied load. Due to the
application of load at the centre, the beam appears as two separate inverted cantilevers.
It appears that the cantilevers are fixed at the centre E and loaded at the ends each
with a load W/2. The length of the cantilever is equal to l/2.
One can determine Young’s modulus of the bar under non-uniform bending by
substituting W = W/2 and l = l/2 in Eq. (1.112),
3
W Êlˆ
Á ˜
2 Ë 2¯
Y=
3YI g

W/2 W/2

l/2 l/2
E

C D
W

Fig. 1.17 Non-uniform bending—Young’s modulus

1.30 Engineering Physics

Wl 3
Therefore, Young’s modulus Y = (1.113)
48 yI g
Consider that the cantilever is a rod of uniform cross-section.
Therefore, geometrical moment of inertia is,

Ig = aK2
2
Ê rˆ
2
=p r Á ˜
Ë 2¯

pr4 (1.114)
Ig =
4
Similarly, if the cantilever is a rectangular bar, then the geometrical moment of
inertia is
Wl 3
Y= (1.115)
12 yp r 4
Therefore, Young’s modulus of the beam for the circular cross-section is,

bd 3
Ig = (1.116)
12
Therefore, Young’s modulus of the beam of rectangular bar is
W l3
Y= (1.117)
4ybd3
Equations (1.115) and (1.17) are used to determine Young’s modulus respectively of
the rod of uniform cross-section and a beam of rectangular bar.

1.154 Applications—I shaped Girder

Consider an I-shaped girder is supported at its bends. The weight of the girder is very
high and hence, it may bend at its centre. Thus, the I-shaped girder is an example of
non-uniform bending.
Mgl 3
The depression produced in a non-uniform bending is y = (1.118)
48Y I g
where M is the mass of the applied load, l the length of the grids, Y the Young’s
modulus and I, the geometrical moment of inertia of the girder.
The geometrical moment of inertia of a girder having a breath b and width d is
bd 3
Ig = (1.119)
12
Therefore, the depression produced in a girder is
Mgl 3
y= (1.120)
4Ybd 3
 Elasticity 1.31

Equation (1.121) gives the value of Young’s modulus of I-shaped girder. The
depression y is inversely proportional to d3. Therefore, a small increase in the width results
a small depression. In order to obtain the same quantity of depression, for a particular
value of d, the value of breadth b of the girder should be increased to three times as that
of d. On the other hand, to obtain the depression as that of the value of the breadth, the
value of the width should be increased three times. Therefore, the girder with minimum
depression looks like an I-shaped girder. The I-shaped girder is shown in Fig.1.18.

Fig. 1.18 I-shaped girder

Keypoints to Remember

• Elastic materials are classified as two types, namely, perfectly elastic and plastic.
• The material which regains its original state after removal of the deforming force
is known as a perfectly elastic material.
• The material which does not regain its original state even after removal of deforming
force is known as a plastic material.
• The restoring force, or recovering force, per unit area is known as stress.
• The ratio of the change in dimension to its original dimension is known as strain.
• When the stress is remove d, a small amount of strain is present in the material
known as residual strain.
• Modulus are classified into three types, namely, Young’s, bulk and rigidity
modulus.
• The ratio of longitudinal stress to linear strain within the elastic limit is known as
Young’s modulus.
• Young’s modulus of the linear wire is Y = mgL/pr2DL, where m is the mass, g the
acceleration due to gravity, r the radius of the wire, L the length of the wire and
DL the elongation in the length of the wire.
-DpV
• The ratio of the bulk stress to bulk strain is known as bulk modulus K =
DV
• Rigidity modulus is the ratio of the shearing stress to shearing strain i.e.,
h = FLIA DL
• To ratio of the longitudinal strain per unit stress and lateral strain per unit stress is
known as Poisson’s ratio s = b/a
Y
• The relationship between Young’s and bulk modulus is K =
3(1 - 2s )
1.32 Engineering Physics

Y
• The relationship between rigidity and Young’s modulus is h =
2(1 + s )
9 1 3
• The relationship between the three elastic modulus is = +
Y K h
• The twisting couple per unit angular twist is known as angular twist.
1 p h a4
• The couple per unit twist is equal to
2 l
I
• Time period of torsional oscillations is T = 2 p
C
(T2 2 - T0 2 )
• The moment of inertia of an irregular body is I2 = I1
(T12 - T0 2 )

• The bending momention of a beam is equal to y I

g
R
Mgl 3
• The depression produced by a cantilever at the free end is
3Y I g
Mgl 3
• Young’s modulus of cantilever is equal to
3Y lg
W x l2
• Young’s modulus of uniform bending beam is equal to
8Y I g
W l3
• Young’s modulus of non-uniform bending beam is
4Y b d 3
M g l3
• The depression produced by girder is equal to
4Y b d 3

Solved Problems

Example 1.1 A copper wire, 2 m long and 6.25 ¥ 10-5 m2 in cross-section, is

found to stretch 3 ¥ 10-3 m under a tension of 1 ¥ 103 N. What is the Young’s
modulus of the material of the wire?
Given Data
Length of the wire L =2m
Cross-sectional area A = 7.25 ¥ 10-5 m2
Increase in length DL = 3 ¥ 10-3 m
Tension T = 1 ¥ 103 N
Solution We know that, Young’s modulus
FL
Y =
ADL
 Elasticity 1.33

Substituting the values in the above equation, we get,

1 ¥ 103 ¥ 2
Y = -5 -3
= 9.195 ¥ 109
6.25 ¥ 10 ¥ 3 ¥ 10
The Young’s modulus of the wire Y is 1.92 ¥ 1010 N m-2.
Example 1.2 A steel wire with 2.75 m length and 1 ¥ 10-3 m diameter is
attached to a beam at its upper end. If a load of 1 kg is suspended from the
lower end, how much will the wire be extended? (Young’s modulus = 2 ¥ 1011
N m-2).
Given Data
Young’s modulus of the wire Y = 2 ¥ 1011 N m-2
Length of the wire L = 2.75 m
Diameter of the wire d = 1 ¥ 10-3 m
Applied load M = 1 kg
Solution We know that, tension T = Mg
Substituting g (acceleration due to gravity) and M values in the above equa-
tion, we get,
T = 1 ¥ 9.8 N
Therefore, tension T = 9.8 N
FL FL
We know that, change in length DL = =
A L p r 2Y
Substituting the values in the above equation, we get,
9.8 ¥ 2.75
DL =
p ¥ (0.5 ¥ 10-3 ) 2 ¥ 2 ¥ 1011
= 3.43138 x 10-4
The increase in length of wire is 3.43138 x 10-4.
Example 1.3 A rectangular solid has dimensions 6 ¥ 6 ¥ 2 cm. A force of
0.2 N, applied tangentially to the upper surface as shown in Fig. 1.19, causes
a displacement of 5 mm relative to the lower surface. Calculate the shearing
strain, stress and the rigidity modulus,

Fig. 1.19 Solid rectangle

1.34 Engineering Physics

Given Data
Force = 0.2 N
Displacement = 5 ¥ 10-3 m
Length of the solid = 6 ¥ 10-2 m
Breadth of the solid = 6 ¥ 10-2 m
Height of the solid = 2 ¥ 10-2 m
Force
Solution We know that, shear stress =
Area
Substituting the values in the above equation, we get,
0.2 N
Shear stress = = 55.55 N m -2
6 ¥ 6 ¥ 10-4
Displacement of the upper layer
Shear strain, q =
Height
Substituting the values in the above equation, we get,
5 ¥ 10-3
q= = 0.25
2 ¥ 10-2
Therefore, Shear stress = 0.25.

Tangentialstress
The rigidity modulus =
Shear strain
Substituting the values in the above equation, we get,
55.55
= = 222.22
0.25
Therefore, Shearing stress = 55.55 N m-2

Shear strain = 0.25

Rigidity modulus = 222.22 N m-2.

Example 1.4 Calculate the shearing force required to distort a block of
aluminium by 1.5 cm, if its thickness is 30 cm and its surface area is 12 cm–2.
The shear modulus for aluminium is 2.5 ¥ 1010 N m–2.

Given Data
Rigidity modulus = 2.4 ¥ 1010 N m-2
Thickness = 30 ¥ 10-2 m
Surface area = 10 ¥ 10-4 m2
Displacement = 1.5 ¥ 10-2 m
 Elasticity 1.35

F L
Solution We know that, rigidity modulus h =
ADL

h ADL
Therefore, the shearing forces F =
L
Substituting the values in the above equation, we get,

2.4 ¥ 1010 ¥ 10 ¥ 10-4 ¥ 1.5 ¥ 10-2

F=
30 ¥ 10-2

= 1.25 ¥ 106 N
The shearing force required, F is 1.25 ¥ 106 N.
Example 1.5 (a) show that the bulk modules K, Young’ modulus Y and
Poisson’s ratio s are connected together by the relation,
Y
K=
3(1- 2s )

(b) Show that the rigidity modulus n and Young’s modulus Y are connected by
the relation,
Y
h= , where s is the Poisson ' s ratio.
2(1+s )

Solution (a) The relation between K and a can be written as,

1
K=
3(a - 2b )

1
or K=
ÊÊ b ˆˆ
3a Á Á1 - 2 ˜ ˜
ËË a ¯¯

(b) The relation between h and a can be written as,

1
h=
2(a + b )

1 Y
or K= =
Ê b ˆ 3(1- s )
3a Á 1 - ˜
Ë 2a ¯
wherey = 1/a and s = b /a.
Example 1.6 A wire with 3 m length for which Young’s modulus is
10 ¥ 1010 N m–2, has a 1 mm diameter. If a load of 10 kg is attached to one
end, how much is the extension produced? If Poisson’s ratio is 0.26, what is the
lateral compression produced?
1.36 Engineering Physics

Given Data
Length of the Cu wire L=3m
Young’s modulus Y = 10 x 10 N m-2
Radius of the wire r = 5 x 10-4 m (Since d = 1 mm)
Poisson’s ratio a = 0.26
FL
Solution We know that, Young’s modulus Y =
ADL
FL MgL
Therefore DL = =
AY p r 2Y
Substituting F, A, Y and L values in the above equation, we get,
10 ¥ 9.8 ¥ 3
DL = 2
(
p ¥ 5 ¥ 10-4 ) ¥ 10 ¥ 1010

DL = 3.75 ¥ 10-3 m

Lateralstrain
Poisson’s ratio s =
Longitudinalstrain
Therefore, lateral strain = s ¥ longitudinal strain

= s ¥ DL
L
Substituting s, DL and L values in the above equation we get.
0.26 ¥ 3.75 ¥ 10-3
lateral strain =
3
= 3.25 ¥ 10-4
This gives the value of lateral strain, that is, ratio of decrease in diameter
to original diameter of the wire.

Decreasein diameter
= 3.25 ¥ 10-4
Original Diameter
Therefore, decrease in diameter = 3.25 ¥ 10-7 ¥ 1 ¥ 10-3

= 3.25 ¥ 10-7 m
Extension produced is 3.25 ¥ 10-3 m
Lateral compression produced is 3.25 ¥ 10-7 m
Example 1.7 What couple must be applied to a 1 m long wire with 1-mm
diameter, in order to twist one end of it through 90o, the other end remaining
fixed? The rigidity modulus is 2.8 ¥ 1010 N m-2.
 Elasticity 1.37

Given Data
Length of the wire L=1m
Diameter of the wire = 1 ¥ 10-3 m
Rigidity modulus of the wire h = 2.8 ¥ 1010 N m-2
Angle of twisting = 90º = p / 2 radian

Solution The couple required to twist the wire through 90º

p h r4
C= f
2l

2 4
p hr 4 p p hr
C= =
2l 2 4l

Substituting n, r and l values in the above equation, we get,

-4

C=
(
p 2 ¥ 2.8 ¥1010 ¥ 5 ¥10-4 ) = 4.3179 ¥ 10-3
4 ¥1

The couple to be applied is 4.3179 ¥ 10-3 N m.

Example 1.8 A 0.60 mm thick gold wire elongates by l mm when stretched

by a force of 160 g-wt and twist through 1 radian when equal and opposite
torques of 10 ¥ 10-5 N are applied at its end. Find the value of Poisson’s ratio.
Given h = 2.34 ¥ 109 N m-2.
Given Data
Diameter of the wire = 0.60 ¥ 10-3 m
Length of elongation produced = 1 ¥ 10-3 m
Mass = 0.16 ¥ 10-3 Rg
The angular twist = 1 radian
The torque = 10 ¥ 10-5 N
FL M gL
Solution We know that, Young’s modulus Y = =
AD L AD L
Substituting M, g, DL, L and A values in the above equation, we get,

0.16 ¥ 9.8 ¥ L
Y= 2
(
p ¥ 0.35 ¥ 10-3 ) ¥ 10-3

= 6.238 ¥ 109 L N m-2

1.38 Engineering Physics

Young’s modulus, bulk modulus and Poisson’s ratio are related by the
relation,
Y
h=
2 (1 +s )

Therefore, Poisson’s ratio can be written as

Y
s= -1
2h
Substituting Y and n values in the above equation, we get,
5.199 ¥ 109
s= - 1 = 1.3329 - 1
2 ¥ 2.26 ¥ 109

The Poisson’s ratio is 0.3329.

Example 1.9 Calculate the twisting couple on a solid cylindrical shaft

of length 1.5 m and radius 80 mm when it is twisted through an angle 0.6º.
The rigidity modulus of the material of the shaft is 93 ¥109 N m-2. If the
above solid shaft is converted into a hollow cylindrical shaft with an inner
radius of 60 mm and outer radius of 100 mm and the same length, find out the
twisting couple on the cylindrical shaft (hollow), when it is twisted through
the same angle.
Given Data
The length of the cylindrical shaft l = 1.5 m
The radius of the cylindrical shaft r = 80 ¥ 10-3 m
The rigidity module of the shaft h = 93 ¥ 109 N m-2
The inner radius of the hollow shaft r1 = 60 ¥ 10-3m
The outer radius of the hollow shaft r2 = 100 ¥ 10-3 m
The angle of twisting f = 0.6º or p/300

Solution We know that, the couple required to twist the cylindrical shaft
through 0.6 (p/300)
4
C = p hr f
2l

p h r4 p
C=
2 l 300
2 4
= p hr
600 l
 Elasticity 1.39

Substituting the values, we get,

3.142 ¥ 93 ¥ 109 ¥ (80 ¥ 10-3 ) 4
C=
600 ¥ 1.5
= 41.73 ¥ 103 N m.
Similarly, we know that, the couple required to twist the hollow cylindrical
shaft through 0.6 (p/300)

ph (r2 4 - r14 )
C= f
2l

ph (r2 4 - r14 )
= p / 300
2l

p 2h(r2 4 - r14 )
=
600l
Substituting the values, we get,
3.142 ¥ (93 ¥ 109 ) ¥ (100 ¥ 10-3 ) 4 - (60 ¥ 10-3 ) 4
C=
600 ¥ 1.5

= 88.678 ¥ 103
Thus, the twisting on a solid cylindrical shaft is 41.73 x 103 Nm.
The couple twisting on a hollow cylindrical shaft is 88.678 Nm.
Example 1.10 By what fraction will the volume of a steel bar increase as
the air is evacuated to 102 N m-2 from a chamber in which it rests? Standard
atmospheric pressure is 1.01 x 105 N m-2 and the bulk modulus of steel is
16 ¥ 1010 N m-2.
Given Data
Standard atmospheric pressure = 1.01 ¥ 105 N m-2
Bulk modulus K = 16 ¥ 1010 N m-2
The change in pressure = 1.01 ¥ 105 - 102 N m-2
= 1.009 ¥ 105 N m-2
-V
Solution We know that, Bulk modulus K = dp
dV
-V
Therefore, dV = dp
K
The negative sign indicates that volume decreases when pressure
increases. Therefore, the above equation can be written as,
dV dp
=
V K
1.40 Engineering Physics

Substituting dp and K values of above equation, we get,

dV 1.009 ¥105
=C = = 6.3 ¥ 10-7
V 16 ¥1010

The fractional change of volume is 6.3 ¥ 10-7

The change in volume of steel bar is 6.3 ¥ 10-7 ¥ V m3
Example 1.11 A rectangular bar with 2 cm breadth, 1 cm depth and 100
cm length is supported at its ends and a load of 2 kg is applied at its midpoint.
Calculate the depression, if the Young’s modulus of the material of the bar is
1.013 ¥ 1010 N m-2.
Given Data
Young’s modulus of the bar, Y = 1.025 ¥ 1010 N m-2
Breadth of the bar, b = 2 ¥ 10-2 m
Length of the bar, l =1m
Depth of the bar, d = 1 ¥ 10-2 m
Load applied, M = 2 kg
3
Solution We know that, the depression produced in the bar, Y = Wl 3
4Ybd
Substituting the values of Y, W, b, d and l, we get

2 ¥ 9.8 ¥ 13
Y= 3
(
4 ¥ 1.25 ¥ 1010 ¥ 2 ¥ 10-2 ¥ 1 ¥ 10-2 )
Y = 0.0239 x 10-2 m

The depression produced in the bar is 2.39 ¥ 10-2 m

Example 1.12 A circular cantilever with 1.2 cm radius and 1.5 m length is
fixed at one end. At the other end, a load of 2 kg is applied. The Young’s modulus
of the cantilever is 19.5 ¥ 1010 N m-2. Find the depression produced.
Given Data
Radius of the cantilever, r = 1.0 cm = 1.2 ¥ 10-2 m
Length of the cantilever, l = 1.5 m
Young’s modulus, Y = 19.5 ¥ 1010 N m-2

4 wl 3
Solution The depression produced in the cantilever, y =
3Y p r 4
Substituting the values of Y, w, r and l, we get
 Elasticity 1.41

4 ¥ 2 ¥ 9.8 ¥ 1.53
y= 4
(
3 ¥ 19.5 ¥ 1010 ¥ p 1.2 ¥ 10-2 )
y = 6.943 ¥ 10-3 m
The depression produced in the cantilever is 6.943 ¥ 10-3 m

Objectives Questions

1.1 The restoring force per unit area is known as ___________.

1.2 The modulus of elasticity is
a) Stress ¥ Strain b) Stress ¥ E
c) Stress / Strain d) Strain / Stress
1.3 The applied stress is within the ____________ limit, it returns to its original
state.
1.4 The linear strain is _____________.
1.5 Young’s modulus of the linear wire
M gL M g L2
a) Y = b) Y =
p r2 D L p r2 D L
mMg L M gL
c) Y = d) Y =
2
2p r D L p r 2 D L2
1.6 The ratio of the lateral strain to linear strain is known as ___________.
1.7 Young’s and bulk modulus of the material is related by the equation
Y Y
a) K = b) K =
3 (1 + 2 s ) 3 (1 - 2 s )
h h
c) K = d) k =
3 (1 + 2 s ) 3 (1 + 2 s )
1.8 The rigidity and Young’s modulus are related by the equation
Y Y
a) h = b) h =
2 (1 - s ) 2 (1 - s 2 )
1 Y
c) h = d) h =
2 (1 - s ) 2 (1 + s )

1.9 The three modul are connected by the relation 9 = 1 + __________.

Y K
1.10 The restoring couple per unit twist is equal to
1 p h a4 2 4
a) b) 1 p h a
2 l 2 l
2 4 4
c) 1 p h a d) 1 p h a
2
2 l 2 l
1.42 Engineering Physics

1.11 The moment of inertia of an irregular body is equal to

T22 - T02 T02 - T12
a) I 2 = I1 b) I 2 = I1
T2 - T0 T22 - T0
T2 - T0 2 2
c) I 2 = I1 d) I = I T2 - T0
T1 - T0 2 1
T12 - T02
1.12 The rigidity modulus of the given body employing the torsional pendulous is
16 p m l (d 22 - d12 ) 16 p a 4 l (d 22 - d12 )
a) h = b) h =
a4 (T22 - T12 ) m (T 2 - T12 )
16 p m l 2 (d 22 - d12 ) 16 p (d 22 - d12 )
c) h = d) h =
a4 (T22 - T12 ) a 4 ml (T22 - T )
1.13 The bending moment of the beam is equal to
Y
a) Y R Ig Igb)
R
Y 2
c) Y R / Ig d) Ig
R
1.14 At the free end of the cantilever, a depression y is produced and is equal to
_________.
1.15 Young’s modulus of the cantilever is equal to
Mg l 3 Mg l 2
a) b)
3y Ig 3y Ig
Mg l 3 Mg l 3
c) d)
3 y I g2 3y2 Ig
1.16 Young’s modulus of the uniform bending beam is
W x l2 W x2 l 2
a) b)
8 y Ig 8 y Ig

W x l3 W x2 l 2
c) d)
8 y Ig 8 y Ig
W l3
1.17 is the Young’s modulus of the _________ bending beam.
4 ybd3
1.18 ________ is the depression produced by a girder.

KEY
1.1. Stress. 1.2. a)
1.3. Elastic limit 1.4. (DL / L)
1.5. a) 1.6. Poisson’s ratio
1.7. b) 1.8. d)
1.9. 3/h 1.10 a)
 Elasticity 1.43

1.11. d) 1.12 a)
M g l3
1.13. b) 1.14 y =
3YI g
1.15. a) 1.16 a)
M g l3
1.17. non-Uniform 1.18
4Yba 3

Exercises

1.1 A steel wire with 3-m length and 1-mm2 cross-section is held between
rigid supports with a tension of 50 N. If the middle of the wire is pulled
5 mm sideways, calculate the change in tension. Also calculate change in
tension if temperature changes by 10 ºC. (For steel, Y = 2 ¥ 1011 N m-2 and
a = 10-5 C-1).
1.2 While at 0ºC, a square steel bar of 2 cm side is fixed at both ends so that it
cannot expand. If the temperature is raised to 20ºC, what force would be exerted
on the support at the ends? Given Y = 2 ¥ 1011 Nm-2 and coefficient of linear
expansion of steel is 10-5 per degree.
1.3 A circular bar, with one-metre length and 0.8 cm diameter, is rigidly clamped
at one end in a vertical position. A couple of magnitude 0.035 N m-1 is applied
at the other end. As a result, a mirror fixed at this end deflects a spot of light
by 40 cm on a scale 1 m away. Determine the rigidity modules of the wire.
1.4 A steel wire with 2.75 m length and 1 ¥ 10-3 m diameter is attached to a beam
at its upper end. If a load of 1 kg is suspended from the lower end, how much
will the wire be extended? (Young’s modulus = 2 ¥ 1011 N m-2).
1.5 A wire of a radius r, stretched without tension along a straight line is lightly
fixed at A and B as shown in Fig. 1.20. What is the tension in the wire when
it is pulled into the shape ACB? Assume Young’s modules of the material of
the wire to be Y.

3l
A B

Fig. 1.20

1.6 A material has a Poisson’s ratio of 0.25. If a uniform rod of the material suffers
longitudinal strain of 24 ¥ 10-3, calculate the percentage change in its volume,
if one end of a wire with 2-mm radius and 1.5 m length is twisted through 450.
Calculate the angle of shear on its surface.
1.44 Engineering Physics

1.7 A wire with 0.3 mm diameter elongates by 1mm when stretched by a force
of 0.33 Kg-wt and twists through 90˚ when equal and opposite torque of
2.15 ¥ 10-5 N m is applied at its ends. Find the Poisson’s ratio for the wire.
1.8 A sphere with 800-g mass and 3-cm radius is suspended from a wire with
100-cm length and 0.5-mm radius. If the period of torsional vibration is 1.23
s, calculate the rigidity of the material of the wire.
1.9 A solid ball with 3.3 m diameter is submerged in a lake at such a depth that
the pressure exerted by water is 1 N m-2. Find the change in volume of the
ball. Given K = 1.00 ¥ 107 N m-2.
1.10 A cantilever with 3 cm breadth, 10 mm width and 1.2 m length is fixed at one
end. A load of 1.7 kg is applied in the other end. If the Young’s modulus of
the cantilever is 11.02 ¥ 1010 Nm-2, find the depression produced.
1.11 A cantilever is supported at two ends. The cantilever is a bar with 3.5 cm breadth,
1.2 cm width and 1 m length. If the depression produced in the cantilever is
0.6 mm, find the Young’s modulus of the cantilever.

Short Questions

1.1 Define elasticity.

1.2 Distinguish between elastic materials and plastic materials.
1.3 Define the terms stress and strain.
1.4 State and explain Hooke’s law of elasticity.
1.5 What is the effect of temperature on elasticity of a material?
1.6 What is the elastic limit?
1.7 What are the three different types of elastic moduli?
1.8 What is linear strain?
1.9 Define the term Young’s modulus.
1.10 What is volume strain?
1.11 Define the term ‘bulk modulus’.
1.12 What is meant by shear strain?
1.13 Explain the term ‘rigidity modulus’.
1.14 Explain the term ‘lateral strain’.
1.15 Define the term Poisson’s ratio.
1.16 Write down the relation between Y and K and explain the various terms.
1.17 Write down the relation between Y and h and explain the various terms.
1.18 Write down the relation between Y, K and h and explain the various terms.
1.19 What are the limiting values of s?
1.20 What is meant by torsional pendulum?
1.21 What are the applications of the torsional pendulum?
1.22 What is a cantilever?
1.23 What do you mean by bending moment of a beam?
1.24 What is geometrical moment of inertia?
1.25 Distinguish the uniform and non-uniform bending in a cantilever.
1.26 What is meant by bending moment of a beam?
 Elasticity 1.45

1.27 Distinguish the uniform bending and non-uniform bending.

1.28 What is an I-shaped girder?
1.29 How will you reduce the depression in an I-shaped girder?

descriptive Questions

1.1 Describe about the elastic behaviour of materials.

1.2 Discuss the three types of elastic modulus.
1.3 What are the different types of elastic modulii? Derive the necessary
mathematical relation for them.
1.4 Define Young’s modulus, bulk modulus and rigidity modulus. If Y, K and h
represent these modulii, respectively, prove the relation

9h K
Y=
3 K +h
1.5 Prove that Young’s modulus Y, bulk modulus K and rigidity modulus h are
related by the relation:
9 1 3
= +
Y K h
1.6 Show that Young’s modulus, bulk modulus K and rigidity modulus h are related
with s by the following relations given below.

Y
(a) = 1+s
2h

(b) Y = 1 - 2s
3K
1.7 Derive the expression for a couple per angular twist of a twisted cylindrical
wire.
1.8 Derive the expression for the time period of a torsional pendulum.
1.9 Derive the expression for the moment of inertia of a disc and rigidity modulus
of a cylindrical wire using torsional pendulum.
1.10 How will you determine the rigidity modulus of the wire using torsional
pendulum?
1.11 What is a cantilever? Derive an expression to find the depression in a cantilever
fixed at one end and loaded at the other end and explain an experimental method
used to find the Young’s modulus of a cantilever.
1.12 What do you mean by non-uniform bending? Derive an expression for the Young’s
modulus of a bar length ‘l’ m width,‘d’ m and breadth, ‘b’ non-uniformly and
explain how the expression for the Young’s modulus of a rectangular beam is
determined using non-uniform bending.
 Chapter

Viscosity
2

OBJECTIVES
· To understand viscosity and the properties of liquids
· To derive the equation for the coefficient of viscosity
· To explain the role of Poiseuille’s equation in liquid flow
· To determine the velocity of a rigid body moving in a viscous medium
· To explore the experimental procedure to determine the viscosity of a liquid
· To explain the importance and application of Stoke’s law

2.1
i Consider that a beaker containing water is stirred for few seconds and
n left to itself. The motion of water subsidies after some time. It is due to
t an internal resisting force acting inside the liquid parallel to its flow and
is known as viscosity. It is an inherent property of a liquid.
r
F
o A P B
d
u
c
t C D
i Fig. 2.1 Flow of liquid between the layers AB and CD
o
n
Consider AB and CD represent two plates and are separated by a small distance.
Consider the liquid present between the two plates is imagined to be divided into
different layers as shown in Fig. 2.1. If a force F is acting on the upper layer then the
upper layer of the liquid is slightly displaced compared to the layer that lies just below
it. Hence, the upper layer moves with a constant velocity after exerting the initial
acceleration. The next layer moves with a constant velocity slightly less than that of
the upper layer. The bottom layer, which is in contact to the plate CD, experiences
zero velocity. The different layers of the liquid may be regarded as a pile of thin sheets
 2.2 Engineering Physics

placed one above the other just like a deck of playing cards. When a force is applied
on the upper liquid, each layer of the liquid looks like a card which drags with the next
lower layer. As it happens, if one card moves, then its motion is opposed by the other
cards. Similarly, in case of a liquid, when a liquid is flowing, the motion of one layer is
opposed by another layer. Therefore, the liquid experiences resistive force or internal
friction known as viscous force and this property of the liquid is called viscosity.

2.2 coefficient of viscosity

Newton derived an expression for the coefficient of viscosity. To derive the expression,
consider a liquid consisting of different layers as shown in Fig. 2.2. Consider a force
F is applied on the upper layer and hence, there is a relative motion between adjacent
layers. Let v and v + dv be the velocities of the layers EF and GH respectively. Let
dv
dx be the distance between them. The velocity gradient is . The viscous force
dx
is directed opposite to that of the velocity gradient and directly proportional to the
surface area of the layer.
F
v + dv B
G v dx H
E F

C D

Fig. 2.2 Flow of liquid—when there is a force F is applied

i.e., dv
Fµ-
dx
µA
The viscous force can be written by introducing a proportionality constant, as
dv
F = -hA (2.1)
dx
where h is known as the coefficient of viscosity. It is expressed in poise in the Cgs
system. In SI unit, it is expressed in N s m-2.
dv
If = 1s-1 and A = 1 m2, then F = h. The coefficient of viscosity h is defined as
dx
the tangential force per unit area required to maintain unit relative velocity between
its two layers separated by unit distance.

2.3 streamline and turbulent flow

In a steady (or laminar) flow of a fluid, the velocity of the fluid does not change with
time, either in magnitude or in direction. This type of flow is also said to be streamline
flow. The gentle flow of water is one example for streamline flow. If the velocity of
 Viscosity 2.3

the streamline flow increases, the flow becomes non-steady. The velocity at which
the steady, laminar or streamline flow changes into turbulent or eddy flow, is known
as critical velocity. If the velocity of the flow further increases and it is greater than
the critical velocity, then streamline flow gets changed into non-steady (or turbulent
or eddy) flow and it becomes highly irregular.

2.4 reynold’s number

Reynold, with a number of experiments, found that the critical velocity is directly
proportional to the coefficient of viscosity h and inversely proportional to the density
of the liquid r and radius of the tube, r. According to Reynold, the critical velocity
is given by
kh
vc = (2.2)
rr
where k is a constant, known as Reynold’s number. On the basis of the results of a
number of experiments, he found that if k is equal to 2000, the flow of the liquid is
said to be streamline flow. Generally, if k is less than 2000, the flow is streamline flow,
whereas if k is greater than 3000, the flow is said to be turbulent. The flow is unstable
if k lies between 2000 and 3000 and the flow may change from one type to another.

2.5 Poiseuille’s equation for the flow

of a liquid through a tube
Consider a capillary tube of length ‘l’ as shown in Fig. 2.3 and consider there is a steady
flow of liquid through it. Let x be the radius of the capillary tube. Let the velocity of
the liquid flowing through the capillary tube at all points of the cylindrical layer be
constant. The velocity of the flow increases from the surface (wall) of the capillary
tube to the axis. Due to the fast-moving liquid at the centre portion compared to the
wall of the capillary tube, it experiences a backward tangential force. Therefore, the
retarding force acting according to Newton’s law of viscous force is
dv
F = -h A
dx

a
x x + dx axis

Fig. 2.3 Poiseuille’s equation—Derivation

substituting A = 2p x.l, where A is the surface area, x the radius and l the length
of the tube, we get,
dv
F = -2p xlh
dx
 2.4 Engineering Physics

The flow of liquid in the capillary tube is maintained by a forward force and hence
there is a pressure difference between the two ends of the tube. Let P be the pressure
difference. The force exerted due to this pressure is P.p x2. These two forces are acting
opposite to each other, so equating these two forces, we get,
dv
-2p xlh = Pp x2
dx
-Pp x 2 dx
\ dv =
2p xlh

-P
i.e., dv = xdx
2lh
Integrating the above equation, we get,

- P x2
V= +C (2.3)
2lh 2
where C is an integration constant. This constant is evaluated by substituting the
boundary conditions, when x = a, v = 0, i.e., at the wall of the capillary tube, the
velocity of the layer is zero.
substituting v = 0 when x = a, we get,
P 2
C= a (2.4)
4lh

From Eq. (2.4) and Eq. (2.3), we get,

P 2
v=
4lh
(a - x2 ) (2.5)

Equation (2.5) gives the velocity of the flow at a distance of x from the axis of the tube.
From Eq. (2.5), it is found that the velocity at x = a is zero and at x = 0, the velocity
is maximum. Hence, this equation indicates that the profile of the advancing liquid is
a parabola and is shown in Fig. 2.4. To find the volume of the liquid flowing through
the capillary tube, consider another close co-axial cylinder at x + dx from the axis of
the tube. The area of this co-axial cylinder is 2p x.dx. The volume of the liquid flowing
through the capillary tube in one second is
dv = cross sectional area ¥ velocity = 2px◊dx v
substituting the value of v from Eq. (2.5), we get
P 2
dv = 2p x dx.
4lh
(
a - x2 ) (2.6)

dv = 0
dx

Fig. 2.4 Profile of a liquid flowing through a capillary tube

 Viscosity 2.5

The volume of the liquid flowing through the entire capillary tube is obtained by
integrating the above equation between x = 0 and x = a.
a
V=Ú
2p P 2
4lh
(
a - x 2 x dx )
0

a
V=
pP
2lh Ú0
(
a 2 x - x3 dx)
p P Ê a4 a4 ˆ
V= - ˜
2lh ÁË 2 4¯

p Pa 4
V= (2.7)
8lh

Equation (2.7) is known as Poiseuille’s formula for the rate of flow of liquid through
a capillary tube and is valid for streamline flow.

2.6 motion of a rigid body

in a viscous medium
Consider a perfectly rigid and smooth body falling through a viscous medium. Its
motion is opposed by a force, usually frictional force in nature. When a rigid body is
moving through a viscous liquid, it carries a layer of the fluid in contact, along with
it. This produces some relative motion between the layers of the fluid. This relative
motion is opposed by viscous force of the fluid. This opposing force increases with
the velocity of the body. In case of small bodies, this opposing force is just equal to
the motive or driving force and the body then attains a constant velocity known as
terminal velocity.
Stoke showed that this retarding force for a spherical body of radius r moving with
a velocity v in a viscous liquid of viscosity h is

F=6pvrh (2.8)

Equation (2.8) is known as Stoke’s law. This equation can be obtained by considering
the dimensions of various quantities on two sides.
For a slow moving body, F µ terminal velocity of the body
µ radius of the body
µ viscosity of the liquid
or F = K va rb hc (2.9)
where K is a constant and a, b and c are dimensional coefficients. Substituting the
dimensions of various quantities on two sides, we get,
 2.6 Engineering Physics

a c
È M 1L1T -2 ˘ = È LT -1 ˘
Î ˚ Î ˚ [ L ]b ÈÎ ML-1T -1 ˘˚

a +b - c ˘ È - a - c ˘ È
M 1L1T -2 = ÈÎ L
c˘
˚ ÎT ˚ ÎM ˚

Equating the coefficients of M, L and T, we have a = b = c = 1.

F=Kvrh

The value of K found by Stoke was 6 p. Let r be the density of the spherical body.
Then its weight = mass ¥ acceleration due to gravity is,

4
Weight = Density ¥ Volume ¥ g = p r 3 r g
3

If s is the density of the medium, then upthrust on the body due to the displaced
4
medium = p r 3s g
3
Therefore, the resultant downward force acting on the body

4 4 3 4
= p r 3 r g – p r s g = p r 3 g( r - s )
3 3 3

Equating this against the value of the retarding force from Stoke’s law, we get,

4
6p v rh = p r 3 ( r - s ) g
3

2
v = 2 r g (r - s ) (2.10)
9 h

The terminal velocity of body falling in a viscous liquid is (i) inversely proportional
to the viscosity of the liquid, h, (ii) directly proportional to the square of the radius
of the body, r2, and (iii) directly proportional to the difference between the density of
the body and the medium.
Consider an air bubble is produced at the bottom of a water tank. The density of
water is greater than the density of the air bubble. Therefore, s > r. The terminal
velocity is negative. Hence, the body will have an upward terminal velocity.
Therefore, an air bubble produced at the bottom of the tank moves in the upward
direction.
A raindrop formed in the clouds is an example of a body falling through a
viscous medium. The diameter of the smaller raindrops is around 0.001 cm and their
velocity, when they are falling through air, for which h =1.8 ¥ 10-5 N s m-2, is about
1.2 ¥ 10-2 m s-1. Thus, they appear as floating in air. The radius of a bigger raindrop is
about 0.01 cm and its terminal velocity when falling through air is 1.2 m s-1. Therefore,
bigger raindrops fall through the air.
 Viscosity 2.7

2.7 exPerimental determination of

viscosity of a liquid
2.7.1 Poiseuille’s method
This experimental set-up is shown in Fig. 2.5 and it consists of a constant-pressure
vessel V and a capillary tube AB with a 1 cm length. The constant pressure vessel is
filled with the given liquid up to the level O. The level of the liquid in the vessel V is
maintained as constant. If the level of the liquid exceeds the limit, then it flows through
the outlet O. A capillary tube AB with 1 cm length is mounted in the bottom portion
of constant pressure vessel and held horizontally. A beaker is placed just below the
end B of the capillary tube. The liquid flowing through the capillary tube is collected
in the beaker for a period of t seconds and then the mass of the liquid collected is
found out. The height h between the upper level of the liquid and the capillary tube is
measured. The pressure difference P is hrg, where r is the density of the liquid. Then,
from Poiseuille’s equation, the viscosity of the liquid flowing through the capillary
tube in one second is h = (Pa4p)/(8Vl).

p r a4 t p h r g a4 t
If the liquid is collected for t second, then, h = = (2.11)
8V l 8V l

V A h
B

Fig. 2.5 Poiseuille’s method—Determination of h using a pressure vessel

where V represents the volume of the liquid flowing in one second, a the radius of the
capillary tube and l the length of the capillary tube. The radius of the capillary tube
is accurately measured using a travelling microscope. The density r of the liquid is
taken from the table or it is measured using Hare’s apparatus.
If a constant-pressure vessel is not available, the above experiment can be done
with the help of a burette. At the bottom of the burette, a capillary tube is attached as
shown in Fig. 2.6. The given liquid is filled in the burette. The given liquid is allowed
to flow from the position h1 to h2 and the liquid is collected in a beaker. The time taken
for the flow of liquid from h1 to h2 is noted. By measuring V, l, h and a, the viscosity
p hr ga 4t
of the liquid is determined using the formula h = .
8Vl
 2.8 Engineering Physics

h1

h2

D A B

Fig. 2.6 Poiseuille’s method—Determination of h using burette

2.7.2 stoke’s law

The experimental set-up used to find viscosity of a highly viscous medium using
Stoke’s method is shown in Fig. 2.7. It consists of a long glass tube or jar of nearly
1-m length and it is filled with the given highly viscous liquid like castor oil, whose
viscosity is to be determined. The temperature of the liquid is measured using a
thermometer. A small spherical ball of nearly 2 to 5 mm diameter is dropped into the
liquid. After travelling a distance of nearly 10 to 15 cm inside the liquid, the spherical
ball attains the terminal velocity. When it attains the terminal velocity, the time taken
by the ball to travel from A to B or a distance of 10 cm is noted. From this observation,
the terminal velocity is determined using the formula given below.
AB
Terminal velocity, n =
t Thermometer

Highly viscous
liquid
Sphere
A

Fig. 2.7 Stoke’s method–Determination of h

 Viscosity 2.9

The experiment is repeated by dropping the spherical ball, three to five times. Then
the average value of the terminal velocity is noted. By measuring the radius of the
sphere using a travelling microscope accurately, the viscosity of the given liquid is
determined using the relation
2 r 2 (r - s ) g (2.12)
h=
9 v

where r and s are the densities of the sphere and the liquid respectively.
Ladenburg has shown that two different corrections known as wall effect and end
effect have to be applied, because of the finite size of the glass tube or jar. According
to Ladenburg, the velocity v• of the ball due to wall effect would be

Ê 2.4r ˆ
v• = v Á1 + ˜ (2.13)
Ë R ¯

and the velocity v• of the ball due to end effect would be

Ê 3.3r ˆ
v• = v Á1 + ˜ (2.14)
Ë l ¯

where v is the observed velocity of the sphere, R the radius of the glass tube or jar and
l the full depth of the liquid column in the glass tube or jar.
Incorporating these two corrections, the viscosity of the liquid is given by

2 r 2 g (r - s )
h= (2.15)
9 Ê 2.4r ˆ Ê rˆ
n Á1 + ˜¯ ÁË1 + 3.3 ˜¯
Ë R l

Using this method, the radius of a small drop falling through air is determined if
the viscosity of the air medium is known.

2.7.3 ostwald’s viscometer—comparison of viscosities

This experimental set-up is used to compare the viscosity of any two given liquids.
The schematic representation of this viscometer is shown in Fig. 2.8. It consists of
two glass bulbs A and B and suitable markings are made on the glass bulbs such as
C, D on the bulb A and E, F on the bulb B. These markings represent the volume of
the bulb A between C and D, and the volume of the bulb B between E and F, which
are same. The ends D and F of the glass bulbs, A and B, are connected to a capillary
tube DGF. The end E of the bulb B is connected to a rubber tube and a stopcock S
is used to close the rubber tube. The end C of the bulb is connected to a funnel. The
entire set up is immersed in a liquid bath at a temperature t1K. The given liquid, whose
viscosity is to be determined, is poured into the funnel up to the marking E in the bulb
B. Then the stopcock is opened and the rubber tube is connected to a vacuum pump
and the air present in the tube is evacuated. Therefore the level of the liquid rises up
above the mark E and then, the stopcock is closed. On opening the stopcock, the level
2.10 Engineering Physics

of the liquid decreases and the time taken to decrease the level from E to F is noted.
Then the viscometer is filled with another given liquid and the entire experiment is
repeated. Let t1 and t2 be the time taken by the liquid to decrease from the level E to
F. Then, from Poiseuille’s formula, for the first liquid, the volume of liquid flowing
from the level E to F is

T
Stop cock

B
C
F
A

Fig. 2.8 Ostwald’s viscometer

p P1a 4
V1 = (2.16)
8h1l
Similarly, the volume of the second liquid, flowing from E to F is

p P2 a 4
V2 = (2.17)
8h2l

The pressure P = hrg. Therefore, P1 a r1 and P2 a r2

From Eq. (2.16) and Eq. (2.17), we get,

V1 P1 h2
= (2.18)
V2 P2 h1
Let Q be the quantity of the first liquid flowing from E to F in t1 second and the
same quantity of the other liquid is also flowing in t2 second. Therefore,
Q Q
V1 = and V2 = t (2.19)
t 1 2

From Eq. (2.18) and Eq. (2.19), we get,

V1 r h t2 r1 h2
= 1 2 fi =
V2 r2 h1 t1 r2 h1
 Viscosity 2.11

h1 rt
i.e., = 11 (2.20)
h2 r2t2

By knowing the densities of the liquids, the ratio of their viscosities is determined. If
the density of the liquids is not known, Hare’s apparatus is used to find the density of
the liquids. If the viscosity of any one liquid is known, then the viscosity of the other
liquid is determined, using Eq. (2.20).

Keypoints to remember

• The internal resisting force acting inside the liquid makes it flow. This property is
known as viscosity.
• The viscous force is the resistive force or internal friction experienced by the
liquid.
• The coefficient of viscosity is defined as the tangential force per unit area required to
maintain unit relative velocity between its two layers separated by unit distance.
• During the laminar flow of a fluid, the velocity of the fluid does not change with
time either in magnitude or direction.
• According to Reynold, the critical velocity is equal to kh /rr, where k is known as
Reynold’s number r, the density of the liquid, and r, the radius of tube.
• Poiseuille’s formula for the rate of flow of a liquid through a capillary tube is equal
to pPa4 / 8lh where P is the pressure difference, a is the radius of the capillary tube,
l is the length of the tube and h is the viscosity
• Poiseuille’s formula for the viscosity of the given liquid is phrga4t/8Vl,
where h is the height of the liquid, v is the volume of the liquid flowing in one
second and t is the time of flow of water.

solved Problems

Example 2.1 Calculate the mass of water flowing in 5 minutes through a tube
with 0.054 cm radius and 56 cm length, if there is a constant pressure head of
34 cm of water. The coefficient of viscosity of water is 8.9 ¥ 10-4 N s m-2.
Given Data
Coefficient of viscosity of water h = 8.9 ¥ 10-4 N s m-2
Radius of the capillary tube a = 0.054 ¥ 10-2 m
Length of the capillary tube l = 56 ¥ 10-2 m
Height of the pressure head h = 34 ¥ 10-2 m
Time of flow t = 5 minutes = 300 s
2.12 Engineering Physics

Solution From Poiseuille’s formula, the volume of the water flowing in one
second,
p Pa 4
V=
8hl
where P is the pressure of water. It is given by P = hrg, where h is the height of
the pressure vessel and r the density of water (r for water = 103 kg/m3).
Substituting the values, we get the volume of water flowing in one second,
p hgPa 4
V=
8hl

p ¥ 3.4 ¥ 10-3 ¥ 103 ¥ 9.8 ¥ (0.054 ¥ 10-2 ) 4

V=
8 ¥ 8.9 ¥ 10-4 ¥ 56 ¥ 10-2

= 2.2323 ¥ 10-9 m3
Volume of water flowing in 5 minutes
V = 2.2323 ¥ 10-9 ¥ 300 m3
= 6.6969 ¥ 10-7 m3
Mass of water flowing in 5 minutes
Mass = density ¥ volume
= 6.6969 ¥ 10-7 ¥ 103
= 6.6969 ¥ 10-4 kg
The mass of water flowing in 5 minutes is 0.66969 g.
Example 2.2 In an experiment using Ostwald’s viscometer, the viscosity
of water and alcohol are compared. The data obtained in this experiment is (a)
the time taken by water to flow from one marking A to another marking B = 6
seconds and (b) the time taken by alcohol to flow from A to B = 3.6 seconds.
If r1 and r2 for water and alcohol are 103 kg m-3 and 800 kg m-3 respectively,
calculate the ratio of their viscosities? If the viscosity of water is 8.9 ¥ 10-4 N
s m-2, calculate the viscosity of alcohol?
Given Data
Time taken by water = 6s
Time taken by alcohol = 3.6 s
Density of water, r1 = 103 kg m-3
Density of alcohol, r2 = 800 kg m-3
Viscosity of water, h1 = 8.9 ¥ 10-4 N s m-2
h2 t r
Solution The ratio of viscosities of any two liquids, = 2 2
h1 t1 r1

h2 3.6 800
substituting the values of r1, r2, t1 and t2, we get = ¥ = 0.48
h1 6 1000
 Viscosity 2.13

Therefore, h2 = 0.48 ¥ h2
= 0.48 ¥ 8.9 ¥ 10-4
= 4.272 ¥ 10-4
The viscosity of the alcohol = 4.272 ¥ 10-4 N s m-2.
Example 2.3 A spherical body of radius 0.2 cm is falling through a medium
of density 1.26 ¥ 103 kg m-3 and viscosity 2 ¥ 10-5 N s m-2. Find the terminal
velocity of the body. The density of the spherical body = 8000 kg m-3.
Given Data
Density of the medium, s = 1.26 ¥ 103 kg m-3
Viscosity of the medium, h = 2 ¥ 10-5 N s m-2
Radius of the body, r = 0.2 cm = 0.2 ¥ 10-2 m
Density of the body, r = 8 ¥ 10-3 kg m-3
2r 2 ( r - s ) g
Solution The terminal velocity v =
9h

2 ¥ (0.2 ¥ 10-2 ) 2 ¥ (8 ¥ 10-3 - 1.26 ¥ 10-3 ) ¥ 9.8

v=
9 ¥ 2 ¥ 10-5
= 2.874 ¥ 10-3
The terminal velocity of the spherical body is 2.87 ¥ 10-3 ms-1.

objective questions

2.1 The viscosity of a liquid is due to the __________ force experienced by

the liquid.
2.2 The unit for viscosity is _________.
2.3 According to Reynold, the critical velocity is equal to.
k h2 kh
a) vc = b) vc =
rr r r2
k h2
c) v = k h d) vc =
c
rr r2 r
2.4 According to Poiseuille, the volume of a rate of flow of a liquid through
a capillary tube is equal to
p Pa 4 p Pa
a) V = b) V =
4l h 8l h
4 4
c) V = p Pa d) V = p Pa
6l h 8l h
2.14 Engineering Physics

2.5 Which is not correct? The terminal velocity of a body falling in a viscous
liquid is
a) inversely proportional to the viscosity of liquid
b) directly proportional to the square of the radius of the body
c) directly proportional to the difference between the density of the
body and the medium.
d) none of the above

2.6 Viscosity of liquid using the Poiseuille’s method is equal to

4 2
a) h = p h r g a t b) h = p h r g a t
8 vl 8 vl
p hr g a p h r g a4
c) h = d) h =
8 vl 8 vl
2.7 The velocity of liquid using Ostwald’s viscosity is equal to

a) h1 = r1 t2 b) h1 = r2 t2
h2 r2 t1 h2 r1 t1

c) h1 = r1 t1 d) h1 = r2 t1
h2 r2 t2 h2 r1 t2

Key
2.1 resistive force 2.2 N s m-2
2.3 c) 2.4 d)
2.5 d) 2.6 a)
2.7 c)

exercises

2.1 A drop of water of 0.12 mm radius is falling through a medium of density

1.2 kg m-3. If the terminal velocity of the water is 1.2 ¥ 10-2 m s-1, find
the viscosity of the medium.
2.2 A pressure head with 20 cm height is used to find the viscosity of a liq-
uid. If a capillary tube with 0.12 cm diameter and 26 cm length is used,
find the viscosity of liquid. Given that the volume of liquid collected in
60 seconds is 8.1 ¥ 10-7 m3. The density of the liquid = 900 kg m-3.
2.3 A gas bubble with 1 cm diameter rises steadily through a liquid of density
1.0 ¥ 103 kg m-3 at the rate of 0.35 cm s-1. Calculate the coefficient of
viscosity of the liquid. Density of the gas bubble =1.29 kg m-3.
 Viscosity 2.15

short questions

2.1 What do you mean by viscosity of liquids?

2.2 Distinguish between streamline and turbulent flow.
2.3 Define the term ‘coefficient of viscosity’.
2.4 What is Reynold’s number?
2.5 What is a viscometer?
2.6 What are the advantages of an Ostwald’s viscometer?
2.7 State Stoke’s law.
2.8 Obtain Stoke’s law using dimensional coefficients.
2.9 Derive an expression for coefficient of viscosity.
2.10 What is meant by terminal velocity?

descriptive questions

2.1 Derive Poiseuille’s expression for the volume of the liquid

collected, when it is flowing through a capillary tube of length ‘l’ m in
‘t’ seconds.
2.2 Explain any one experimental method used to find the viscosity of a
liquid.
2.3 Explain with a neat sketch, the construction and working of an Ostwald’s
viscometer.
2.4 Explain how the viscosity of a given liquid is determined using Stoke’s
method.
2.5 Explain how the viscosity of a given liquid is determined using Poiseuille’s
method.
 Chapter

Vacuum Technique
3

OBJECTIVES
• To explore the knowledge on vacuum techniques and the ways to attain the low
pressure in a vessel
• To understand the mechanism involved in different types of vacuum pumps
• To study instruments used for the measurement of vacuum at low pressure in a
system
• The explore importance of measuring the vacuum / low pressure in a system
• To discuss the role of vacuum in industries and their applications

3.1
i Vacuum technique is one of the important techniques for scientific
n investigations and industrial developments. The term vacuum technique
is used to represent the pressure below the normal atmospheric pressure
t
of 760 torr, where 1 torr = 1 mm of mercury column. The pressure is also
r represented by other units like pascal, bar, etc. The equivalent of 1 bar
o is 760 torr and 1 torr is equivalent to 133 pascal. The vacuum attained
d is represented by the total pressure of the residual gases in the vessel,
u which is pumped.
c
t
i
o
n

3.2 types of pumps

The exhaust or vacuum pumps are classified into different categories based on the
vacuum required in a system. The classification of the vacuum pumps and their method
of operation along with their pressure level to be obtained in a system are shown in
Table 3.1.
 3.2 Engineering Physics

table 3.1 Different vacuum pumps along with their vacuum levels
S. No. Category Type Pressure level
1. Oil pumps Piston type Up to 10−2 mm
Rotary type Up to 10−4 mm
2. Mercury pumps Piston type Up to 10−2 mm
Rotary type Down to 10−3 mm
3. Molecular pumps Rotary type Up to 10−5 mm
4. Diffusion pumps - Up to 10−6 mm

3.3 Vacuum systems

Generally, the vacuum tubes are classified in two broad categories, namely, static and
kinetic systems. In static systems, all the systems are tight, i.e., sealed hermetically
except the exit from the pump. The static systems are mainly used to attain very low
pressure. In kinetic systems, very fast pumps are used for the continuous evolution
of the gas or air from various parts of the apparatus.

V
T P2
PÄ2
p2 P3�

P�1
M

Fig. 3.1 Block diagram of vacuum systems

A schematic diagram of the vacuum system is shown in Fig. 3.1. The system is operating
based on the kinetic method. V is the volume of the system in which high vacuum is
to be obtained. The pump P1 is known as backing pump and it operates against the
atmoshperic pressure. Due to its continuous operation, it reduces the pressure sufficiently
to a low value. This helps in the operation of the pump P2. The pump P1 reduces the
pressure initially at the P1 area and thereby reduces at P2. Thus, due to combined action
of P1 and P2, the required high vacuum is attained in V. A mercury–vapour trap T can
be used between V and the pump P1, to avoid the entry of mercury vapour to reach V
during vacuum process. A resistance to the flow of gas can be achieved by connecting a
tube between V and the pump P1. This can be reduced by using a connecting tube with
larger width and shorter length. The actual pressure attained in V can be measured by
connecting a low–pressure gauge G, as shown in Fig. 3.1. The above system is used in
most of the case wherein a constant vacuum is required. Thus, by operating the pump
continuously, one can obtain the constant vacuum in any system.
 Vacuum Technique 3.3

3.4 production of Vacuum

Let us discuss briefly the working principle, construction, operation and the pressure
limitations of vacuum pumps, namely, rotary vacuum pump, diffusion pump and turbo
molecular pump in the following section:

3.4.1 rotary pump (or) Gaede potary oil pump

This pump is used to produce vacuum in the order of 10–3 torr. It is based on the
principle of displacement of a gas. This pump consists of a rotating disc R called
rotor. It is rotating eccentrically inside a hollow cylinder S, called stator. The stator
has an inlet I connected to vessel, which is to be exhausted and it also has an outlet
O, which is also an exit for the compressed gases. The portion inside the stator S is
splitted into two separate compartments with the help of a valve, V.
The vessel to be evacuated is connected to a stopcock. The entire set up is immersed
in oil as shown in Fig. 3.2. If the pump is stopped, the stopcock will turn to the left
and it will allow the atmospheric air to enter into the pump.
Since the rotor moves in immersed oil, the oil fills the dead space and thus allows
a high compression ratio to be achieved. It also seals a moving disc against back
leakage, besides lubricating and cooling the pump.
Stop cock

To air To vessel

Oil

I
V
O
Rotor
Stator
S

Fig. 3.2 Rotary pump

The rotor is operated externally by means of an electric motor. The rotor is

capable of rotating in the clockwise direction. When the rotor is rotating, the space
in the outlet portion decreases and the gases present in this portion get compressed.
The compressed gases go out through the outlet O. When the rotor rotates again and
again, the pressure inside the stator decreases and hence, the air inside the vessel is
drawn. This air is also compressed and exhausted through the outlet O. Thus, during
each revolution of the pump, the air is drawn from the vessel and is removed from
the vessel continuously.
 3.4 Engineering Physics

3.4.2 stationary Vane or cenco-Hyvac rotary oil pump

A massive cylindrical shaft called rotor R revolves eccentrically inside a hollow stout
steel cylinder called stator S compressing the gas or entering air, and finally ejects it
through a ‘non-return’ outlet valve. The whole pumping set-up is kept immersed in
oil for (i) providing automatic lubrication, (ii) preventing leakage of gas (or) air into
the high vacuum created, and (iii) making for efficient cooling of the pump.
The stationary vane or the Cenco-Hyvac rotary oil pump is the most commonly used
oil pump in vacuum industries. The schematic representation of the vacuum systems
is shown in Fig. 3.3. The rotor with the help of a spring S through the partition vane
V maintains the air or gas flow inside the cylinder. This helps to introduce the fresh
incoming air or gas to the cylinder. Hence, the system is known as stationary rotary
oil pump.

S S S S
V V V V
l l l
O O O O
R l
R
R R
C C C C
Oil

(a) (b) (c) (d)

Fig. 3.3 Cenco-Hyvac rotary oil pump

The cylinder consists of an inlet tube I and an outlet tube O. The inlet tube I is
connected to the vessel which is to be exhausted, while the outlet tube is provided with
a valve opening outwards. In order to prevent leakage, the whole system is immersed
in oil. A very high-speed motor is used to rotate the rotor R in the same direction as
shown by the arrow head. The external system to be exhausted is connected to the
inlet tube I as shown in Fig. 3.3a. The air or gas from the vessel is just admitted into
the cylinder C and the vacuum process is ready to start. The compression of the air
or gas takes place (Fig. 3.3b) immediately after starting the rotation of the rotor. The
vane V helps in keeping apart from the fresh air or gas coming from the vessel. The
process is continued and is shown in Fig. 3.3c. During the final stage of compression
(Fig. 3.3d), the value at the outlet O is forced to open and hence the air or gas is
expelled out. This process is continued until a high vacuum is obtained in the vessel.
One can use this vacuum pump to exhaust vessels of larger volumes upto a pressure
level of 10–3 mm.
The following are the advantages of a rotary oil pump:
∑ It is an automated and electrical motor-driven method and hence the
operation is quick and faster.
∑ One can achieve a high vacuum of 10– 3 mm at a faster rate.
∑ It facilitates to prevent leakage of gas or vapour with the exhaust vessel
to obtain an efficient cooling and automatic lubrication due to immersion
of the system in oil.
 Vacuum Technique 3.5

Pumping Speed It is defined as the rate of decrease of mass of the gas or air in
a given volume (i.e., dm/dt ) or as the rate of change of volume of the gas or air in
the vessel at any given instant, the volume being measured at the pressure obtaining
at that very instant as dv/dt. The speed of the pump may be defined as the refractive
rate of reduction of pressure in a given volume. The limiting value of the attainable
pressure (Po ) is never zero, i.e., the prefect vacuum is not attainable by means of any
exhaust pump .

3.4.3 diffusion pump

A diffusion pump works based on the principle of diffusion. A rotary pump continuously
backs this pump. The vessel to be evacuated is connected to the diffusion pump and
then, the rotary pump is switched on so as to produce a rough vacuum in the order of
10–3 torr. Then, the diffusion pump is switched on.
The schematic representation of a diffusion pump is shown in Fig. 3.4. The
diffusion pump consists of a conical shaped vessel C in which a low vapour pressure
oil like silicon oil or mercury is heated by a heater H. When mercury gets heated, it
evaporates and the mercury vapour goes up. The asbestos lining A is used to prevent
the cooling of mercury vapours on their way up. The mercury vapour flows out
through the nozzle B and moves towards D. According to Bernoulli’s principle, the
pressure of air in B is very less compared to the vessel to be exhausted. Hence, the
air near B is carried away by the mercury vapours to D. When mercury vapour is
moving towards D from the nozzle B, it is cooled down by the circulating water in
the outer jacket. Therefore, the mercury vapour condenses into mercury and is then
reused. The rotary pump removes the air carried away by the mercury vapour. Using
this diffusion pump, one can produce vacuum in the order of 10–8 torr in a clean
vessel.

To vessel

B
D
Water

To rotary pump

C H
Fig. 3.4 Diffusion pump
 3.6 Engineering Physics

3.4.4 molecular pump

When the space between the rapidly rotating surface, i.e., rotor and the adjacent
stationary stator is as small as 0.03 mm, it exerts a dragging force on the molecule of
the gas or air in that space due to viscosity, in the direction of its own motion.
When the pressure is low, the mean free path (l ) of the molecules of the gas or
air is greater than the linear dimension of the air gap between the rotor and stator.
Therefore, the collision between molecules and molecules are very less when compared
with the collision between molecules and walls of the gap. The molecules acquires the
drift velocity and are not altered by any subsequent collisions among themselves. The
molecular or diffusion pumps require a reduced pressure or fore vacuum of the order
10–1 to 10–2 mm in the exhaust system. Therefore, a backing pump will be connected
to the exhaust port which creates the required initial reduced pressure.

Fig. 3.5 Molecular pump

The schematic diagram of a molecular vacuum pump is shown in Fig. 3.5. It

consists of a rotor A which revolves about an axis through its centre. Generally, the
speed of the rotor is 5000 rpm. The rotor is sealed hermitically by a stator C and O
are the respective inlet and outlet in the stator. The inlet and outlet are fixed in such
a way that the annular gap between them is wider than all other points in the stator.
Employing the backing pump, the required reduced pressure is created in the
exhaust system. The rotor is rotated using an electricity driven motor with very high
speed. When the rotor revolves, it drags the air or vapour from the inlet I to the output
port O. The same is indicated by the manometer M. The obtained pressure difference
between the I and O is given by the relation
p1 - p2 = h6u/h2 (3.1)
where h is the viscosity of the gas, u the speed of the rotor,  and h are the length and
radial depth of the slot between I and O, respectively.
At ordinary pressure, the pressure difference remains constant since there is no
change in viscosity for a constant speed of the rotor. On the other hand at low pressure,
the pressure ratio p1/p2 remains constant for a corresponding speed of the rotor. Further,
the pressure is also independent of the reduced pressure or fore vacuum.
 Vacuum Technique 3.7

Therefore, the pressure ratio is

p1/p2 = ecu (3.2)

where c is a constant which depends on both the nature of the gas or vapour and
the dimension of the slot. Generally, a set of twelve slots will be provided at the
circumference of the rotor. These slots will provide the necessary pressure variation
between the centre and to the ends where the backing pump is connected.
Thus, it is clear that the pressure retained by this method depends on the speed of
the rotor and the fore vacuum. A vacuum of 10–6 mm was obtained within a minute
using a rotor speed of 10,000 rpm and fore vacuum of 2 mm. The vacuum is further
exhausted to 10–7 mm by evacuating nitrogen gas with a rough vacuum of 15 mm and
a rotor speed of 4500 rpm.
The limitations of the molecular pump are given below:
(i) There can be occurrence of mechanical trouble due to the small clearance
between the rotor and stator.
(ii) It is difficult to use slow vaporizing substances like mercury and grease.
(iii) A backing pump is required to obtain the fore vacuum.

3.5 measurements of Vacuum

We know that suitable measuring instruments are required to measure the vacuum
or low pressure in a system. The low pressure measuring devices are classified into
two categories, namely, manometers and gauges. The instruments which are in the
manometer category are mercury, mechanical and viscosity manometers. The vacuum
gauges are different types, namely, radiometer, conductivity, ionization and effusion
gauges. Let us discuss only about Pirani (thermal vacuum detector) gauge and Penning
(ionization vacuum detector) gauge.

3.5.1 pirani resistance Gauge

This gauge is based on the principle that the thermal conductivity K of a gas at a
pressure below 10–2 mm of Hg is directly proportional to the pressure P, i.e., K is a
linear function of P, or K = a P, where a is a constant.
The schematic representation of a Pirani gauge is shown in Fig. 3.6. The pirani
gauge (PG) consists of tungsten or platinum filament F, enclosed in a glass bulb B.
The bulb is open at the lower end that is connected to the vessel in which the pressure
is to be measured.
The Pirani gauge is connected to a Wheatstone bridge consisting of two fixed
resistances R1 and R2. The resistance R3 is a variable one. These three resistances being
made of an alloy like manganin and minalpha, having an almost zero coefficient of
temperature. The ends A and C of the bridge are connected to a battery and a rheostat.
The potential difference between the ends A and C is measured with a voltmeter.
To measure the pressure of the vessel, the glass bulb of the gauge is kept in the path
of the exhausted gas from the vessel. Since the vessel is at low pressure, the thermal
conductivity of the gas changes, i.e., it varies linearly with the pressure. Due to the
variation in the thermal conductivity of the gas, the temperature of the gas also changes.
 3.8 Engineering Physics

If the Pirani gauge is kept at the vessel having low pressure, due to the change in the
temperature of the gas, the temperature of the filament F (platinum wire) changes. Due
to the change of the temperature of the filament, there is a change of its resistance.
The change in resistance leads to an unabalance in the bridge circuit. The deflection
shown in the galvanometer is a measure of the pressure of the vessel. The bridge is
balanced by varying the potential across A and C with the help of the rheostat. The
galvanometer scale divisions are used to measure the pressure directly by calibrating
the galvanometer in terms of pressure using a McLeod gauge.

Ba

Rh

B
R1 R2
A G C
R3
D
V

Glass bead
Filament
Glass rod
PG
Glass bulb, B

Gas from exhausted

vessel
Fig. 3.6 Pirani guage

Uses and Drawbacks of the Gauge This gauge is used to measure the
pressure between 10–2 to 10–4 mm of Hg. This gauge is very useful to measure the
pressure fluctuations, since the change of resistance of the filament with pressure is
instantaneous.
The drawbacks of this gauge are listed as follows:
(i) It is not suitable for use with organic vapours, since they position the filament.
(ii) It is more sensitive to mechanical shocks, accidental vibration, care should
be taken while using this instrument.
(iii) It is calibrated using a McLeod gauge, this is not an absolute gauge.
(iv) Pressures below 10–4 mm of Hg cannot be measured using this gauge
and
(v) At pressures below 10–3 mm of Hg, the heat loss due to radiation is higher
than conduction. Therefore, the accuracy of this gauge gets affected below
10–3 mm of Hg.
 Vacuum Technique 3.9

3.5.2 cold cathode ionization Gauge

This gauge is also called Philips ionization gauge after their first manufacturer. F.M.
Penning first explained the operating principle of this gauge in 1937 and hence, this
gauge is also known as Penning gauge.
The schematic representation of a cold cathode ionization gauge is shown in
Fig. 3.7. In this cold cathode ionization gauge, the electrons are withdrawn from
the cathode by a high potential difference. In a hot cathode ionization gauge, the
electrons are emitted from the filament by thermionic emission. These two ionization
gauges differ from each other in the method by which the ions are produced. In a cold
cathode ionization gauge, since the electrons are withdrawn from the cathode, the
electron emission is very low and hence, the collision between the gas molecules and
the electrons is also low, if the electrons travel in straight line. Therefore, to increase
the path length of the electrons, a magnetic field is applied around the tube to deflect
the electrons. Due to the application of the magnetic field, the electrons travel in
spiral path as they move across a magnetic field to the anode. The spiraling action
of the electrons increases the path of travel of the electron and hence, the chance of
the collision between the gas molecules gets increased. Due to these collisions, the
gaseous ions are produced. A microammeter measures the ion current, which is directly
proportional to the pressure of the gas, whose pressure is being measured.

Cathode

Anode

Process + –
Micro
Vacuum
Ammeter ~ 4000 V
(Reads the vacuum)

Cathode

~ 1500 Gauss
magnetic field

Fig. 3.7 Penning guage

The detectable vacuum range is from 10–2 to 10–7 mm of Hg (1.3 to 1.3 ¥ 10–5 Pa)
and the minimum life span of this instrument is one decade. The inaccuracy of the
cold cathode unit is about ± 20% at an absolute pressure of 10–5 mm of Hg.
The advantages of the cold cathode gauges, compared to hot cathode ones, include
their lower cost and that they do not burn out or do not subject the process gas to thermal
stress. The disadvantages include their lower accuracy, nonlinear output signal, and gas
takes–up caused by high voltage operation. In order to remove polymerized organic
contaminants, periodic cleaning of the electrodes and vacuum chamber is required.
3.10 Engineering Physics

3.6 importance ofVacuum in industries

The following are importance applications of vacuum technology in industries:
• Vacuum cleaners are specially designed to cater to the major cleaning processes
in most of the industries, such as textile, food, electronics, pharmaceuticals, en-
vironment, etc.
• In metallurgy, the high-vacuum furnaces are mainly used for the fabrication of
ultra-pure materials and alloys.
• Vacuum drying helps to obtain the residue–free drying of metallic components.
• Vacuum generation is essentially required to obtain empty industrial gas cylin-
ders, decarburizing the drinking water bottles, etc.
• The high vacuum is a must for the production of fluorescent lamps, such as halo-
gen, xenon and incandescent lamps.
• High vacuum is essentially required for the production of x-rays, electrons, etc.
• In industry, the leak detection is very much required both for safety and as well
as for clean environment. The vacuum technologies are used to explore the leak
detection with very high accuracy.
• In materials characterisation, studies such as SEM, TEM and STEM, a high vacu-
um is essentially required in the sample region for the stability of the sample and
controlling the charge effect.

3.7 Vacuum tecHniques applications

The vacuum technology finds applications in many fields.
(i) Optics To prepare optical mirrors, antireflection coatings on glass, interference
filters, etc.
(ii) Solid state devices To prepare solar cells, electrical resistors, capacitors and in
microelectronics, to prepare integrated circuits and the production of semiconductor
active devices by the method of ion implantation.
(iii) Electron physics To prepare cathode ray tubes especially in domestic television,
receiver tubes in colour television, cathode ray oscilloscope, electron microscopes
and X-ray machines, etc.
(iv) In industry The electron beam welding used in automobile manufacturing
industry, vacuum drying, vacuum freeze-drying, distillation, molecular distillation,
vacuum metallurgy (including metal degassing), etc.
(v) Surface studies To study about the emission properties of the surfaces using
X-ray photoelectron spectroscopy (XPS), X-ray fluorescent spectroscopy (XFS), etc.,
Scanning electron microscope (SEM) and atomic force microscopy (AFM) of the
surface is used to study dimensional analysis of coatings.
(vi) Mass spectroscopy To study about the mass of the isotopes and to separate the
isotopes, etc.
The other uses of vacuum techniques include the areas of rough vacuum used in the
field of oil explorations under the seas, and so on.
 Vacuum Technique 3.11

Keypoints to remember

• The unit of pressure is torr. 1 torr is equivalent to 1 mm of mercury column

• The pressure level is also represented by other units like pascal, bar, etc.
• The equivalent of 1 bar is 760 torr and 1 torr is 130 pascal.
• Different categories of vacuum pumps are oil pumps, mercury pumps, molecular
pumps and diffusion pumps.
• Rotary pump is used to obtain vacuum in the order of 10-3 torr.
• Rotary oil pump is used to obtain very high vacuum in the order of 10-3 mm at a
faster rate.
• Diffusion pump is used to obtain vacuum in the order of 10-8 torr in a clean ves-
sel.
• Molecular pumps are used to obtain vacuum of 10-7 mm.
• Low pressures are measured using two categoryies of instruments, namely, ma-
nometers and gauges.
• Instruments under the manometer category are mercury, mechanical and viscosity
manometers.
• Instruments under gauges are radiometer, conductivity, ionization and diffusion
gauges.
• Pirani gauge is used to measure the pressure between 10-2 to 10-4 mm of Hg.
• Cold cathode ionization gauge is used to measure the pressure in the order of 10-2
to 10-7 mm of Hg.
• Vacuum techniques are used to explore the leak detection to a very high
accuracy.
• High vacuum is essentially required in the sample region to obtain the required
stability and conductivity of the charge effect in studies like TEM, STM and
STEM.

objective questions

3.1 One torr = pascal.

3.2 The pressure level produced by oil pumps is up to .
3.3 Molecular pumps are used to obtain a pressure level up to .
3.4 is the pressure level obtained for a diffusion pump.
3.5 operation of a vacuum pump is required to obtain constant
vacuum in a vessel.
3.6 The principle behind the rotary pump is .
3.7 An efficient high vacuum is obtained by immersing the rotary oil pump in a
3.12 Engineering Physics

3.8 Rotary vacuum pump is used to obtain high vacuum of mm

at a faster rate.
3.9 The molecular diffusion pump requires a of the order of 10-1
-2
to 10 mm in the exhaust system.
3.10 pump is used to obtain the fore vacuum.
3.11 Measurement on Pirani resistance gauge is based on principle.
3.12 and alloys are used to make resistance in Pirani
gauge for vacuum measurements.
3.13 Pirani gauge can not measure the pressure below mm of Hg.
3.14 Pirani gauge is used to measure the vacuum in the range of
to mm of Hg.

Key
3.1 133 3.2 10-2 mm
3.3 10-5 mm 3.4 10-6 mm
3.5 Continuous 3.6 displacement of gas
3.7 oil 3.8 10-3 mm
3.9 fore vacuum 3.10 Backing
3.11 Thermal conductivity 3.12 manganin, minalpha
3.13 10-4 mm 3.14 10-2 to 10-7

short answer questions

3.1 What is meant by vacuum?

3.2 Mention the two methods to produce the high vacuum.
3.3 Mention any two applications of vacuum technology?
3.4 What are the different types of vacuum pumps?
3.5 What is the principle behind rotary pumps?
3.6 Mention the applications of rotary pump.
3.7 What is the limitation of the rotary pump?
3.8 What is meant by pumping speed?
3.9 Explain the role of backing pump.
3.10 What is meant by roughing?
3.11 Define throughput.
3.12 Explain the working principle of diffusion pump.
3.13 What are the advantages of diffusion pump?
3.14 What is the turbo molecular pump?
3.15 Explain the principle of molecular pump?
3.16 What are the limitations of molecular pump?
3.17 Mention the instruments used to measure vacuum.
3.18 What is the basic principle of pirani gauges?
3.19 Explain the uses and drawbacks of pirani gauge.
3.20 What principle the penning gauge is based?
 Vacuum Technique 3.13

3.21 Mention the few applications of penning gauge.

3.22 What are the disadvantages of penning gauge?.
3.23 What is the limitations of the pirani gauge?
3.24 Explain the salient features of vacuum technology in industries.

descriptive-type questions

3.1 Explain with a neat sketch the construction and working of rotary pump
and diffusion pump.
3.2 Explain the construction and working of molecular pump with suitable
schematic diagram.
3.3 Explain with a neat sketch how the construction and working of Pirani
and Penning gauges are used to measure the pressure.
3.4 Explain the construction, working and advantages of mercury diffusion
pump and Pirani guage.
 Chapter

Acoustics
4

OBJECTIVES
• To understand the various categories of sound waves
• To study the different phenomena associated with sound waves
• To derive Sabine’s formula for reverberation time and to study the decay and growth
of energy in a hall
• To determine the absorption coefficient of sound absorbing materials
• To discuss the principles behind the design of a good auditorium hall
• To analysis the sound insulation and noise pollution

4.1
I Sound waves have the same properties as that of ordinary light waves.
N Hence, they exhibit most of the phenomena of light waves. Due to the
T available instrumentations facility, and wide range of frequency and
energy, sound waves find potential applications in industries. Acoustics is a
r branch of physics which deals with the generation, propagation, reception
O and analysis of sound waves. The important applications of acoustics are
D acoustical instrument design, electro-acoustics, architectural acoustics,
U bioacoustics, medical acoustics and musical acoustics.
In this chapter, classification, characteristics, properties and applications
C of acoustics, in particular architectural acoustics, are discussed briefly:
T
I
O
N
4.1 CLASSIFICATION OF SOUND
Sound is a form of energy and it is produced by a vibrating body. For example, when
a hammer strikes the gong of a bell, it produces sound. Sound waves are classified
into the three categories based on their frequencies:
(i) Low frequency inaudible sound—Infrasound (< 20 Hz)
(ii) Audible sound (20 Hz-20 kHz)
(iii) High frequency inaudible sound—Ultrasound (> 20 kHz)
 4.2 Engineering Physics

Sound waves whose frequencies are less than 20 Hz are known as infrasound.
They are used to monitor natural events such as volcanic eruption, earthquakes and
tsunamis. Sound waves whose frequencies lie between 20 Hz to 20 kHz are known
as audible sound waves. The sound waves whose frequencies are above 20 kHz are
known as ultrasound. In the following sections, audible sound waves are discussed
in detail along with applications while the ultrasound waves and their applications
are given in Chapter 5.
The audibles sound waves are further classified into two categories based on their
properties as,
(i) Musical sound
(ii) Noise

4.2.1 Musical Sound

Sound waves which produce a pleasing effect to our ears, while receiving then are
known as musical sound waves. The typical waveform of the musical sound waves
produced by musical instruments is shown in Fig. 4.1. Musical sound waves are
produced when a series of similar impulses follow each other at regular intervals
without any sudden change in their amplitude.
Examples of musical sounds are sounds produced by a tuning fork, sitar, violin and
piano.

Time
Fig. 4.1 Musical–sound Waveform

The important characteristic properties of a musical sound are as follows:

(i) It has a regular waveform.
(ii) It has a definite periodicity.
(iii) There is no sudden change in amplitude.

4.2.2 Noise
Sound waves which produce an unpleasant or displeasing effect or jazzing effect to
our ears are known as noise. A typical waveform for noise is shown in Fig. 4.2. Noise
sounds of high intensity may are produce permanent or temporary deafness.
 Acoustics 4.3

Examples of noise road traffic, moving furniture, explosion of bombs, etc.

A noise sound is characterised by the following properties:
(i) It has an irregularies shaped waveform.
(ii) It lacks periodicity.
(iii) There are sudden changes in amplitude and frequency.

Time
Fig. 4.2 Noise waveform

4.3 CHArACTErISTICS OF MUSICAL SOUNDS

Musical sounds consist of two or more than two notes or voices. Therefore, a way to
distinguish one from each other is essential. The following are the three characteristic
parameters used to analyse musical sound waves:
(i) Frequency or pitch
(ii) Intensity or loudness,
(iii) Quality or timbre
Let us discuss the above parameters briefly in the following sections:

4.3.1 Frequency Or Pitch

Frequency is defined as the number of cycles or oscillations produced per second.
The pitch is directly proportional to the frequency. Frequency is a physical quantity
and hence, it is measured accurately. The unit used to measure the frequency is Hertz
(Hz). Pitch is the characteristic of sound which distinguishes between a shrill sound
and a grave sound. The pitch is frequency dependent and hence, it is a psychological
quantity. The pitch of a note is a psychological quantity which is merely a mental
sensation to convey to our brain when sound waves reaches our ears. The high-pitch
sound corresponds to a high-frequency sound and vice versa. The voice produced by
women and children are high in pitch due to their high frequency. Similarly, the voice
of an aged male has low pitch.
Generally, musicians identify pitch of a musical note by a set of letters. For example,
the pitch of note produced by a 256-Hz sound is marked as a middle C. The pitches
of notes produced by different frequencies of sound is given Table 4.1.
 4.4 Engineering Physics

Table 4.1 Pitches of notes for different frequencies

Frequency Hz Pitch

256 Middle C

288 D

320 E

342 F

384 G

426 H

480 I

512 J

4.3.1 Intensity or Loudness

Intensity is a physical quantity and hence, it is measurable. It is defined as the ratio
of sound energy flowing per unit second to unit area at a point held normal to the
direction of the propagation of sound waves. The unit for the intensity is W m-2
or J s-1 m-2.
Let Q be the energy of sound and it is produced by the source of area A. Therefore,
the intensity of the sound wave
Q
I= (4.1)
tA
where t is the time.
Similarly, the intensity of sound in terms of power P of a source is
P
I= and (4.2)
A

Q
where the power P= (4.3)
t
Loudness is a psychological quantity. It is defined as the degree of sensation
produced on the ears and it depends on the listener. Therefore, it is difficult to measure
accurately since it depends on the individual listener.

Weber-Fecher Law
Loudness and intensity of sound waves are related to each other by the Weber - Fecher
law. According to this law, loudness L of the source of sound is directly proportional
to logarithm of intensity or

L α log I (4.4)
 Acoustics 4.5

Greater the intensity of a sound wave, greater the loudness. Loudness in intensity
depends on amplitude, surface area, distance between source and listener, density of
medium and air.

Measurement of Intensity of a Sound Wave

The intensity of sound is defined as the average rate of transfer of sound energy
per unit area. Even though intensity is a physical quantity to measure absolutely;
the relative intensity measurement is widely used for practical purposes than
absolute measurements. In order to measure relative intensity, a standard intensity
is required. The standard intensity is known as threshold of audibility (0 dB) for a
note of frequency of 1000 Hz. The value of standard intensity is I=10-16 W cm-2
or 10-12 W m-2.

I0 = 10-16 (4.5)

Therefore, the intensity level of a sound wave is defined as the ratio of intensity to
the standard intensity.
ÈI˘
Therefore, the relative intensity b = log10 Í ˙ (4.6)
Î I0 ˚
where Io is the standard intensity and I, the intensity of the source.
The unit for intensity level is bel. It is named as bel to honour the inventor of the
telephone, Alexander Graham Bell.
ÈI˘
Relative intensity b = log10 Í ˙ bel (4.7)
Î I0 ˚

The relative intensity between two sound notes is defined as 1 bel when the intensity
of one sound is 10 times intense than the other.

Therefore, the intensity of sound I = 10 I0 (4.8)

Substituting the I value in Eq. (4.7), we get the relative intensity in bels.
È10 I ˘
b = log Í 0 ˙ bel (4.9)
Î I0 ˚
Simplifying Eq. (4.9), we get,

b = 1 bel (4.10)

The relative intensity b takes the value 2 bels, 3 bels etc., when I = 100 I0, I = 1000 I0,
etc. For practical applications,one cannot use a large unit like bel and hence, a small
unit known as decibel (dB) is used for relative intensity measurements,

i.e., 1 bel = 10 decibel = 10 dB (4.11)

 4.6 Engineering Physics

In order to study the physical significance of one decibel, let us take b = 1 decibel.
ÈI˘
Relative intensity b (in decibel) = 10 log10 Í ˙ (4.12)
Î I0 ˚

where, b = 1 decibel.
ÈI˘
Equation 4.12 becomes 1 = 10 log10 Í ˙
Î I0 ˚
ÈI˘ 1
or log10 Í ˙ = = 0.1
Î I 0 ˚ 10
I
Therefore, = 1.26
I0

or I = 1.26 I o (4.13)

The increase in sound intensity level by 1 dB increases the intensity by 26% level.
Similarly, an increase of 2 dB sound intensity level leads to an increase in intensity
level of (1.26)2.
The intensity level of 0 dB to 120 dB is normally detected by our ears. When the
loudness reaches 120 dB, it produces a feeling of pain in our ears. Therefore, it is called
as threshold of feeling or pain threshold. The intensity levels of different sources of
sound and their loudness is given in Table 4.2.

Table 4.2 Intensity and loudness level of sound sources

S.No Source of Sound Intensity level Nature

1. Threshold of hearing 0 0

2. Rulstle of leaves 10 Feeble

3. Whisper 15 – 20 Feeble

4. Average house 40 Feeble

5. Quiet automobile 50 Moderate

6. Average conversation 60 – 65 Moderate

7. Heavy traffic road 70 – 80 Loud

Roaring of lion at 20 ft (or) factory

8. 90 Loud
noises

9. Orchestra 100 Very loud

10. Thunder 100 – 110 Very loud

11. Threshold of pain 120 Very loud

 Acoustics 4.7

Phon
Phon is the unit for loudness. A standard source of frequency of 1,000 Hz is used. The
loudness is measured by relative measurement only to measure the loudness of a sound
wave. The sound wave whose loudness is to be measured is placed near the standard
source. The intensity of the standard sound source is first measured. The loudness of
the standard source is increased until its loudness value is equal to that of the unknown
source. Let N decibels be the intensity level above the standard values ,then, the loudness
of the source is N phons. The interval of loudness corresponding to one decibel on
the intensity scale is called one phon. We know that decibel is the unit for intensity
or power of sound, whereas phon is a unit of intensity for loudness.

Sound Pressure Level

Let P1 be the given pressure of sound and Pref, the pressure of reference sound level.
The pressure of the reference sound level is taken as standard and is equal to 2 ¥
10-5 N m-2. 20 times the logarithmic ratio in base 10 of sound pressure of a sound
to a reference pressure is known as Sound Pressure Level (SPL). Therefore, sound
pressure level,
P
SPL = 20 log (4.14)
Pref .
The SPL is the most-often used term to measure the magnitude of sound. The sound
pressure level is a measure of acoustic force per unit area. The unit for SPL is dB. The
sound pressure level is represented along the distance of measurement from the source.

Sone
We know that loudness is a physical quantity. Phon is a unit for loudness and is not a
true scale of loudness. Therefore, another unit known as sone is used to define loudness
of 1000 Hz of sound produced at 40 dB sound-pressure level which is sensed by both
ears. When SPL crosses 40 dB, loudness in sone will double for an increment of about
10 dB. The relationship between SPL and the common sone are given in Table. 4.3.

Table 4. 3 Relationship between decibel and loudness scales

Sound Pressure Loudness in sone

S.No Examples
Level (dB) (dB)

1 Jet plate 30 m away 140 1024

2 Threshold of pain 130 512

3 Threshold of discomfort . 120 256

4 Chainsaw at 1 m distance 110 128

5 .Disco, 1 m from the speaker 100 64

6 Diesel Truck 10 m away 90 32

7 Kerbside of busy road, 5 m 80 16

 4.8 Engineering Physics

8 Vacuum cleaner, distance 1 m 70 8

9 Conservational speech, 1 m 60 4

10 Average home 50 2

11 Quiet home 40 1

12 Quiet bedroom at night 30 –

13 Background in TV studio 20 –

14 Rusteling leaf 10 –

15 Threshold of hearing 0 –

4.3.3 Timbre (Quality)

The characteristic of a sound wave by which we can distinguish between any two or
more than two musical notes or voices having the same pitch and intensity is known
as quality or timbre. Most sound waves, including musical notes, are not pure tones
M they are rather a mixture of different frequencies (tones). Thus, all sound waves,
including musical and vocal sounds, have complex waveforms. Consider a musical tone
produced by a piano, obtained by regular vibrations of the source. Thus, a musical tone
gives a waveform at a specific frequency. Consider another musical tone produced by
an instrument at a specific frequency which is different from the first one. When the
above two tones are sounded together, a complex waveform is obtained. The combined
musical tone has the same frequency as that of the first musical tone with an increase
in amplitude of waveform. An observer can easily distinguish the first and second
musical tone when listening to a complex waveform. This is possible by considering
the sound quality of musical tones like pitch and loudness.

4.4 TrANSMISSION OF SOUND

Sound waves are longitudinal in nature. When sound waves are propagated through
a medium, alternative compression and rarefaction take place. The compression of
waves produce heat while rarefaction produces cooling effects which finds no time to
dissipate to the surrounding medium. A sound wave exhibits properties like reflection,
refraction, diffraction, etc., as that of an electromagnetic radiation.
Consider that a sound wave propagating in medium I is made incident on Medium
II. During this process, a part of the incident sound wave is reflected back, a part of the
sound is absorbed and the remaining part is transmitted through the second medium.
The intensity of the transmitted sound wave depends on the incident sound wave,
characteristic impedance of the two mediums and the angle of the incident sound
wave. The characteristic impedance Z or specific acoustic impedance, is a frequency-
dependent parameter. It is defined as the ratio of acoustic pressure P in a medium to
the associated particle velocity u.
Let c be the velocity of sound in a medium and ρ0 the equilibrium density. Then the
P r cu
acoustic impedance = r0 c = Z = = 0 (4.15)
u u
 Acoustics 4.9

Consider a sound wave is made incident on a medium, under normal incidence. Let
V1 and V2 be the velocity of sound waves respectively for mediums I and II. Let r1
and r2 are the densities of mediums I and II respectively. Therefore, the amplitude
of the reflection coefficient is

r2V2 - r1 V1 Z - Z1
ar = = 2 (4.16)
r1 V1 + r2 V2 Z1 + Z 2

Similarly, the amplitude of the transmission coefficient is

2 r2V2 2Z 2
at = = (4.17)
r1 V1 + r2 V2 Z1 + Z 2

Case i When the characteristic acoustic impedance of Medium I is greater than

that of Medium II (Z2 > Z1), the reflection coefficient ar is positive. Therefore, the
reflected and transmitted waves are in the same phase. For example, when a sound
wave is made incident on a rigid surface, there is no phase change in the reflected
waves. A pulse of compression waves will be reflected from the wall as another pulse
of compression waves. Similarly, a pulse of rarefaction will be reflected from the wall
as another pulse of rarefaction. The above result confirms that there will not be any
phase change when the sound wave is incident on a rigid body.
Case ii When characteristic impedance of Medium I is less than Medium II (Z2 <
Z1), the reflection coefficient is negative. As a result, with reference to the incident
beam, the reflected wave is 1800 out of phase. Consider that a sound wave is made
incident on a yielding surface. The rarefaction wave is reflected as a compressed wave,
while the compressed wave is reflected as a rarefaction. Therefore, the sound wave
incident on a yielding surface makes a phase change. The phase of the reflected wave
is opposite to that of incident wave.
Case iii When the characteristic impedance of Medium I is equal to Medium II
(Z1 = Z2), the reflection coefficient is zero. Under this condition, all the incident sound
energies are transmitted into the second medium. This means that there is no boundary
between medium I and II. For example, an open window transmits the entire sound
energy through it.
Case iv When the ratio of characteristic impedance of Medium I to Medium II is
infinite (Z1 / Z2 = •), the reflected and transmitted waves are in the same phase. The
reflection is from a highly compressive or very dense medium. Therefore, the waves
are reflected only with a slight reduction in amplitude without any change in phase.
Thus, it establishes a pattern of standing wave in Medium I, with antinodes at the
boundary with double the amplitude of the incident wave.
Case v When the ratio of characteristic impedance of Medium I to Medium II
is zero (Z1/Z2 = 0), the reflected and transmitted waves are in the same phase. The
reflection is from an easily incompressible or rarefaction medium. Therefore, the
amplitude of reflected wave is almost equal to that of the incident wave. Further, the
reflected waves establish a pattern of standing wave in Medium I with a node of zero
amplitude of incident wave.
4.10 Engineering Physics

4.5 TrANSMISSION LOSS

During transmission of sound waves, a part of the amount of sound energy is lost in the
form of heat and non-geometrical effects. The losses are known as transmission loss.
The transmission loss for random incident sound waves is less than that of a normal
incident wave. Let Ii be the intensity of incident sound waves and It be the intensity
of transmitted sound waves.
I
Therefore, the transition loss for a normal incident is TL = 10log i (4.18)
It
Let αt be the transmission coefficient of sound energy, which is defined as the ratio
of the intensity of transmitted to incident sound.
It
Therefore, at = (4.19)
Ii

Substituting Eq. (4.19) in Eq. (4.18), we get,

Transmission loss TL = 10 log (1 / a t ) (4.20)

Consider that an enclosure consists of different kinds of surfaces with different

transmission coefficients. Therefore, the transmission loss is
È s ˘
TL = 10 log Í ˙ dB (4.21)
ÍÎ s1 a t 1 + s2 a t 2 + s3 a t 3 + .... ˙˚
where s is the total surface area of all surfaces in the enclosure s1, s2, s3, etc., and αt1,
αt2, etc., are the surface areas and transmission coefficients of the sources 1, 2, 3, etc.
Generally, transmission loss is less for a randomly incident sound wave than that of
a normal incident wave.

4.6 ACOUSTICS OF BUILDINGS

Today sound engineering has become an important requirement in areas like film-
making, broad-casting, traditional music shows, dance and drama. Acoustics of
buildings is branch of physics which deals with the control of sound in a room or hall or
an auditorium. The purpose of this control is to create the required conditions wherein
the audience gets to here the sound comfortably. The acoustical properties of rooms
or halls have considerable effect on the clarity and intelligibility of speech and music.
The branch of science which deals with the design and construction of rooms, halls
or auditoria with an optimum acoustical efficiency (i.e., best sound effect) is known
as architectural acoustics or acoustics of buildings. The phenomena like reflection,
interference, absorption of sound waves and reverberation are described in detail in
architectural acoustics. Wallace Clement Sabine did pioneering work in architectural
acoustics for more than two decades. According to his research, the following are the
conditions required for a hall or an auditorium to consider it acoustically fit.
(i) The uniformly distributed intensity of sound heard by the audience must
be sufficiently loud irrespective of location.
 Acoustics 4.11

(ii) The tonal quality of speech and music must be unchanged.

(iii) For the sake of clarity, successive sounds of the speech and music should
be uniformly distributed.
(iv) There should not be any overlapping of sound in a hall.
The general design of a hall to get uniform distribution of sound is shown in Fig.4.3.
The loudspeakers of the auditorium have a parabolic shape. When a person speaks,
sound waves are reflected from the parabolic wall in almost all directions. The reflected
waves are parallel beams and get distributed uniformly throughout the hall.

Audience

Audience

Fig. 4.3 Sound — uniform distribution in a hall

Rooms or halls with a high absorption rate of sound waves are called as dead or
anechoic rooms. Rooms with low absorption rate of sound waves are called live or
reverberant anechoic rooms. Therefore, in order to obtain good acoustic property, the
hall or room should be constructed by considering the following factors:
(i) Reverberation or prolonged reflection of sound
(ii) Loudness or intensity of sound
(iii) Echelon effect
(iv) Extraeous noises
(v) Resonance within the building
(vi) Noise
(vii) Focusing
The factors which are used to construct a hall or room with good acoustical properties
are discussed in detail under the following headings.

4.6.1 reverberation

Reverberation is an important factor to be considered in the design of a hall/theatre/

music hall with good acoustical properties. When a source of sound is operated
continuously in a room, it generates sound waves in all directions like the walls, floors,
etc. These sound waves undergo two to three hundred multiple reflections, before they
become inaudible. As a result, even though the source is cut off, sound waves persist
for a short period of time. Therefore, listeners sense the persistence of a sound wave
until it becomes very weak. The existence or prolongation of sound in a room even
when the sound source is cut off is known as reverberation.
4.12 Engineering Physics

Reverberation Time It is the time taken by a sound wave to fall from an average
value to inaudibility. In order to define reverberation time, Sabine used the sound wave
produced by an organ pipe, as reference. The intensity of sound waves produced by an
organ pipe, operated at a frequency of 512 Hz, becomes inaudible when its intensity is
reduced to one millionth of its intensity just before stopping the organ pipe. Therefore,
time taken by a sound to reduce its intensity to one-millionth of its intensity when the
source is cut off is known as standard reverberation time.

According to Sabine, reverberation time for a hall of volume V is

0.163V
T = S (4.22)
A

where A is the total absorption in Open Window Unit (OWU) or sabine.

∴the total absorption A = Sas (4.23)

where s is the total surface area of the sound-absorbing material present in a hall in
m2 and a, the coefficient of absorption or average sabine absorptivity.
The problem of specifying an optimum reverberation time for rooms or halls is
more complex for specific applications. For example, the optimum time required for
a music hall is different from that of a lecture hall. Therefore, the music rooms should
be more reverberant than lecture halls. The optimum value of reverberation time
required for a lecture hall is 0.5 second while for a music hall it ranges between 1 and
2 seconds. Similarly, for medium sized theatres, the optimum value of reverberation
time ranges between 1.1 to 1.5 seconds. However, for a larger one, its value goes up
to 2.3 seconds.

Factors Controlling Reverberation Time

The following are the factors which play a major role in controlling reverberation
time of a hall:
(i) Reflection of Sound The persistence of sound energy inside a hall depends on the
reflection coefficient of sound energy from the walls, ceiling and floors. For example,
when the reflection coefficient is very low, the sound energy persists for a short period
of time and this becomes inaudible. On the other hand, if the reflection coefficient is
very high, the sound energy exists in hall for a longer period of time.
(ii) Absorption Coefficient of Materials present in a Hall The coefficient of
absorption of material like curtains, cushions, chair, wood floor, etc., is high. Therefore,
inclusion of the above materials inside a hall results in absorption of more energy. As
a result, reverberation time is reduced.
(iii) Intensity of Sound When the intensity of sound is large, it exists for a longer period
of time, while for low intensity of sound it can stay only for a short period of time.
(iv) Frequency of Sound High-frequency sound waves are easily absorbed than low-
frequency sound. When the frequency of a sound wave is low, reflection is also low.
 Acoustics 4.13

(v) Volume of a Hall The reverberation time (T = 0.161 V/A) is directly proportional
to the volume of a hall. Hence, the influence of the volume of a hall is large on
reverberation time.

4.6.2 Coefficient of Absorption

sound absorbing materials play an important role in controlling the sound energy
in a hall. The absorption or reflection of sound energy depends on sound absorbing
materials used inside the building. Thus, knowledge on absorption of sound energy of
sound absorbing materials is more essential. It is measured by the relative measurement
method, i.e., the unit area of an open window is used as reference. since it transmits
the entire sound energy falling on it and no sound wave is reflected back. It helps to
study sound absorbing properties of materials.
Sound Absorption Coefficient It is defined as the inverse of the area of the sound-
absorbing material which absorbs an equivalent of sound energy as that of 1 m2 of an
open window. Generally, coefficient of absorption amount of materials lies between
0 and 1. For example, a sound absorbing material with an area of 3 m2 absorbs an
equivalent amount of sound energy as that of a 1 m2 open window. Therefore, the
coefficient of the absorption of the absorbing material is 1/3 = 0.33 sabine. The
coefficient of absorption of an average−built human is 0.45 sabine.

4.6.3 Noise reduction (Nr)

The intensity of sound level in a hall depends on the level of absorption which
takes place inside the hall. The intensity of sound level is reduced due to multiple
reflections.
Noise reduction in a hall is
A2
NR = 10 log dB (4.24)
A1

where A1 and A 2 are total absorption in sabines of a hall or room before and after the
existence of the sound wave. Thus, using Eq. (4.24), the total absorption in a hall or
a room can be controlled.

4.6.4 Echo
The sound wave reflected or returned with sufficient magnitude and delay from a
distant extended surface like a cliff, hill, well, building etc., is known as echo. The
transmitted and reflected sound waves differ in quality as well as characteristics.
Consider that a person produces a sound inside a hall. The distance between the person
and the wall is x. The sound is reflected from the wall and it takes t seconds to travel
the to and fro distance.
2x
Therefore, velocity of sound in air v =
t
vt
or x = (4.25)
2
4.14 Engineering Physics

We know that the value of velocity of sound in air is 340 m s-1. One can distinguish the
incident sound and reflected sound if there is a small time gap between them. The minimum
time gap required to distinguish the two sounds waves is (1/10)th of a second.
Therefore, substituting the values of v and t in Eq. (4.25), we get,
340 (1 / 10)
Velocity of sound in air x= (4.26)
2

= 17 m (56 ft)

Equation (4.26) clearly states that when the distance between sound source and the
reflecting wall is less than 17 m, we cannot hear an echo. On the other hand, if the
distance is more than 17 m, we will hear the echo. This will helps to construct an
auditorium or a hall which is free from echo.

4.6.5 Creep
Generally, creep occurs when the sound source is close to the surface like domes,
walls, etc. The creep occurs mainly due to the multiple reflections of sound waves on
a curved surface. The energy of the sound wave remains constant in a hall. It is heard
distinctly at any point on the surface. The formation of creep on a curved surface is
shown in Fig.4.4.

Fig. 4.4 Creep—curved surface

4.6.6 Focussing
When the surface of a building is concave ,the sound waves get reflected from surface.
The reflected sound waves are focused at one point instead of getting distributed. The
intensity of sound waves at the focused point is maximum while it is minimum in
other places. This effect is known as focusing effect.

4.6.7 Standing wave

In a small hall or a room, due to multiple reflections, nodes and antinode are built by
sound waves. A maximum and minimum in sound pressure levels are obtained in the
respective nodes and antinode regions. The formation of standing waves takes place
inside a hall. The standing waves does not affect the acoustics of a building at high
 Acoustics 4.15

frequencies, rather they will have little effect at low frequency. The standing wave
ratio is defined as the ratio of amplitude of antinodes and nodes. It is used to determine
the load impedance of a building.

4.7 SABINE’S FOrMULA FOr rEVErBErATION

Sabine derived reverberation formula for a hall or an auditorium to express the rise
and fall of sound intensity by considering the following assumptions:
• Sound energy is uniformly distributed throughout a hall.
• There is interference between sound waves.
• The absorption coefficient is independent of sound intensity.
• The rate of emission of sound energy from the source is constant.

4.7.1 Sabine formula

Consider one side of the plane wall EG in a hall. Let ds be the small element on the
plane EG as shown in Fig. 4.5.
Normal

r dq
A B dr
r sin q D
q dq C
r

E F G
ds

Fig 4.5 Element ds in a plane wall

Consider a hall of volume V. Sound energy is distributed uniformly throughout the

hall and hence, element ds also receives energy E. Draw two semicircles with radii r
and r + dr from the centre point F of the element ds. Consider a small shaded region
ABCD lying between two semicircles drawn with angles q and q + dq with the normal
to ds. Therefore,

The area of shaded region ABCD = r dq dr (4.27)

where dr and r dq are respectively the radial and arc length of the shaded portion.
Assume that the whole figure is rotated through an angle df about the normal. Thus,
the shaded portion will travel through a small distance. Hence, a region is traced out
with volume dv
i.e., dv = Area of the region × circumferential path
4.16 Engineering Physics

= r dq dr × r sinq df

Therefore, dv = r2 sinq dr dq df (4.28)

We known that E is the average sound energy per unit volume, and hence, the sound
energy present in volume dv, is

= E dv (4.29)

Substituting the dv value from Eq. (4.28), we get sound energy present in volume dv

= E r2 sinq dq dr df (4.30)

The solid angle subtended by ds at the volume element ABCD,

ds cos q
dw = (4.31)
r2

A fraction of this sound energy incident on ds from the volume element ABCD is
given by,
dw ds cos q
Edv = 2 ¥ E r 2 sin q dr dq d f (4.32)
4p r 4p

Simplifying the above equation, we get,

E ds
= sin θ cos θ dr dθ dφ (4.33)
4π

The total sound energy received by the small element ds per second is obtained from the
above equation by integrating with respect to r, q and f. The radius can take the value
from 0 to v (the entire volume lying within a distance r of ds). The angle q changes
the value from 0 to π/2 (0 to 180o) and angle f changes from 0 to 2π (0 to 360o).
Integrating Eq.(4.33), w.r.t f we get,
Therefore, energy received in unit time,
2p
E ds
=
4p
sin q cos q dr dq Ú dj
0

Integrating df over the limit 0 to 2π, we get,

E ds
sin q cos q dr dq 2p
4p

Simplifing the above equation, we get,

E ds
= sin q cos q dr dq (4.34)
2
Similarly, integrating Eq. (4.34) w. r. t q, we get,
 Acoustics 4.17

p /2
E ds
=
2
dr Ú sinq cos q dq
0

Eds
= dr (4.35)
4
Integrating Eq. (4.35) w.r.t v, we get,
v
Eds
4 Ú0
Energy received in unit time = dr

E v ds
= (4.36)
4
Consider a is the absorption coefficient of small element ds.
Therefore, sound energy absorbed by ds per unit time.
Ev
= ds a (4.37)
4
Therefore, total sound energy absorbed by the room per unit time.
1
= E v S adS
4
1
= Ev A (4.38)
4
where A is the total absorption of all the substances in the hall and is equal to

Σ a ds = a1s1 + a2s2 + a3s3 + … (4.39)

Where a1, a2, a3, etc., are the absorption coefficients of substances 1,2,3… and s1, s2,
s3, etc., are the surface area of substances 1,2,3…
Let P be the power of the sound source, then the maximum sound energy density
Em from the source is
1
P = EmV A
4
4P
Em = (4.40)
VA
If V is the volume of a hall, then total sound energy in a hall is EV.
d dE
Therefore, the rate of increase in sound energy = ( EV ) = V (4.41)
dt dt
1
Similarly, the rate of absorption of sound energy = E v A (4.42)
4

The rate of emission of sound energy = Rate of growth of sound energy + Rate of
absorption of sound energy (4.43)
4.18 Engineering Physics

Substituting the values of rate of growth and absorption of sound energies respectively
from Eq. (4.41) and (4.42), in Eq (4.43), we get,
Therefore, total sound energy supplied form the source per second,
dE 1
P =V + Ev A (4.44)
dt 4
Dividing the above equation by V, we get
P dE v A
= + E
V dt 4V

4P dE
a= + a .E (4.45)
vA dt

vA
Substituting a = and multiplying the above expression by ea t , on both sids, we
get, 4V

4P a t Ê dE ˆ
ae = Á + a E ˜ ea t
vA Ë dt ¯

4P a t d
vA
ae =
dt
(
Eea t ) (4.46)

Integrating the above expression, we get,

4P a t
a e + K = Eea t (4.47)
vA
where K is an integration constant which is obtained using the following boundary
conditions, namely, growth and decay of energies.

Growth of Sound Energy

Let t be the counted time when the source begins to emit sound. When the source is
on, the growth of sound starts at t = 0 and E = 0.

Fig. 4.6 Growth of energy

 Acoustics 4.19

Substituting the boundary condition in Eq. (4.37), we get,

4P
+K =0
vA
4P
or K =- (4.48)
vA
Substituting this value in Eq. (4.47), we get,
4 P at 4 P
e - = Eea t
vA vA
Rearranging, we get,
4P
( eat - 1 ) = Eeat (4.49)
CA
4P
We know that, Em =
vA
( )
Em ea t - 1 = Eea t

Therefore, E = Em (1-e-αt) (4.50)

Equation (4.50) shows the rate of growth of sound energy with time t in a room of
volume V. The exponential function of the growth of energy is shown in Fig.4. 6.

Decay of Sound Energy

When sound source is cut off, the rate of emission of sound energy at P = 0. At this
point, energy has reached the maximum value, i.e., E = Em.
When P = 0 and t = 0, Eq. (4.47) becomes,
0 + K = Em
∴ K = Em

Fig. 4.7 Decay of sound energy

4.20 Engineering Physics

Substituting this value in Eq. (4.47), we get,

0 + Em = E eαt
∴ E = Em e-αt (4.51)
Equation (4.51) gives the rate of decay of sound energy with time, when the sound
source is switched off. The exponential decay of sound energy in a hall of volume V
is shown Fig. 4.7.

Standard Reverberation Time

According to Sabine, the standard reverberation time is the time taken by a sound
wave to fall to one millionth of its original intensity even after the source is cut off.
Em is the sound energy of the source before cut off and during standard reverberation
time, it reduces to Em/106.
Em
Therefore, E=
106
=Em 10-6 (4.52)

we know that, at t = T E = Em e-αt (4.53)

Substituting the value of E = Em10-6 ) in the above equation, we get,

Em 10-6 = Em e-αt

or 10-6 = e-αt

106 = eαT
Taking logarithm on both sides,
α T = 6 loge 10
6 ¥ 2.3026 ¥ 1
or T= (4.54)
a
vA
Substituting the value of α = in the above equation, we get,
4V

4V
= 6 × 2.3026 ×
vA
we know that the velocity v = 340 m s-1
Therefore, standard reverberation time

= 6 ¥ 2.303 ¥ 4V
340 ¥ A
0.163V
= s
A
 Acoustics 4.21

Therefore, the standard reverberation time is

0.163 V
= (4.55)
A

Equation (4.55) gives the equation for standard reverberation time T for a hall or room
or an auditorium. The Sabine formula was accepted as a general formula in architectural
acoustics to carry out acoustical analysis. Sabine’s formula is not applicable for a dead
room. For a dead room, the absorption coefficient is 1. Similarly, when sound energy
is completely absorbed, a = 1, i.e., the reverberation time is zero but according to
Sabine,s formula, reverberation time is not zero.

Solid Angle
Let r be the radius of a sphere with the total solid angle w subtended by the sphere
at its centre.
surface area
Therefore, the solid angle w =
(radius) 2
4p r 2
= = 4p (4.56)
r2

Consider the surface RS on the sphere at a distance r from the centre C as shown in
Fig.4.8.

S T

Fig. 4.8 Solid angle

The total solid angle subtended by the surface RS at its centre C,

area
=
r2
area of RS
= (4.57)
r2
Since the surface RS is at a distance r from the centre C, the solid angle subtended
by RS at its centre C is
area of RT
=
r2
\solid angle w = area of RS cos a (4.58)
r2

Equation(4.58) gives the solid angle of the sphere.

4.22 Engineering Physics

4.8 MEASUrEMENT OF ABSOrPTION

COEFFICIENT
The measurement of absorption coefficient of absorbing materials is required
essentially to optimize standard reverberation time of a hall or room. There are two
different methods used to measure the sound absorption coefficient of materials.

4.8.1 Method I
In this method, the absorption coefficient of a sound−absorbing material is determined
by relative measurements. Let T1 be the reverberation time of a hall of volume V which
is free from any sound absorbing material. S is the surface area of the hall.
Therefore, reverberation time
0.163V
T1 = (4.59)
 as

A sound absorbing material with absorption coefficient a1 and surface area s1 is

introduced inside the hall of volume V.
0.163V
Therefore, the reverberation time T2 = (4.60)
 as + a1s1
Subtracting the inverse of Eq. (4.60) and Eq. (4.59), we get,

1 1
- =
 as + a s1 1
-
 as
T2 T1 0.163V 0.163V

or 1 1 Â a1s1
- =
T2 T1 0.163V

0.163V È 1 1 ˘
The absorption coefficient, a1 =
s1 Í - ˙ (4.61)
Î T2 T1 ˚
Equation (4.61) is used to determine the absorption coefficient of materials based on
a standard source of frequency of 512 Hz. However, the absorption coefficient of a
material is frequency dependent.

4.8.2 Method II
It is also a relative measurement method. Consider the power outputs of two sources
as P1 and P2. The relative measurement requires, only the ratio of two powers, i.e.,
P1/P2 and not the individual power output. The maximum sound energy densities of
two sound emitting sources are,
4 P1
vA (4.62)
 Acoustics 4.23

4 P2 (4.63)
vA
Let T1 and T2 be the time required for sound waves to become inaudible during
decay.
Therefore, 4 P1 -aT1
E0 = e (4.64)
vA

4 P2 -aT2
E0 = e (4.65)
vA

Dividing Eq. (4.64) by Eq. (4.65), we get,

P1 -a (T1 -T2 )
=e (4.66)
P2

Taking log on both sides of Eq. (4.66), we get

P
log e 1 = a (T1 - T2 )
P2

log e P1 - log e P2
or a= (4.67)
(T1 - T2 )

Substituting the value of a in Eq. (4.67), we get,

v A log e P1 - log e P2
=
4V (T1 - T2 )

4V È log e P1 - log e P2 ˘
A= Í ˙ (4.68)
v Î (T1 - T2 ) ˚

We know that A = as, Eq. (4.68) becomes,

4V È log e P1 - log e P2 ˘
as = Í ˙
v Î (T1 - T2 ) ˚

Rearrange the above equation, we get,

4V È log e P1 - log e P2 ˘
The coefficient of absorption a= Í ˙ (4.69)
vs Î (T1 - T2 ) ˚

Equation (4.69) is used to determine sound − absorption coefficient of any material by

knowing the surface area, volume of a hall, the reverberation time and ratio between
the two powers.
4.24 Engineering Physics

4.9 SOUNDABSOrBING MATErIALS

Sound absorbing materials are important in acoustic design of a hall or theatre.
Sound absorbing materials are used to reduce reflections of sound waves or increase
the sound absorption in a hall. Thus, they helps to obtain the optimum reverberation
time depending on requirements of halls or theatres for a particular application. The
materials have unique properties and behaviour, suitable for acoustical design. The
following are the properties of a sound−absorbing material:
(i) It should be highly porous, inelastic and highly compressive.
(ii) It should be cheap and easily available, easy to fix, good looking, durable,
light in weight, of sufficient structural strength, waterproof, of economical
maintenance etc.
(iii) It should have good resistance to fire.
(iv) It should be efficient over a wide range of frequencies.
Sound−absorbing materials with the above properties are used for acoustical design.
Based on the above properties, sound−absorbing materials are classified into four
broad categories, namely,
(i) Porous absorbents
(ii) Cavity resonators
(iii) Resonant absorbents, or panel absorbents
(iv) Composite types of absorbents

4.9.1 Porous Absorbents

When a sound wave strikes a porous material, a small part of the wave gets reflected,
while the major part of the sound waves enters into the porous material. This part
is converted into heat energy. The small part of the reflected wave from the porous
material has less energy and hence, it becomes inaudible and does not cause any
interference. The porous absorbents are available in the form of prefabricated,
assumable materials, scuh as fiber boards, soft plastics, rock wood, wood wool, glass
silk, asbestos fiber spray etc.

4.9.2 Cavity resonator

A chamber or container with a small opening is known as a cavity resonator. The sound
waves which enter the resonator undergo multiple reflections inside the chamber.
Thus, energy of sound waves decreases and becomes inaudible due to multiple
reflections. The resonators are designed with suitable design and volume to absorb
sound waves of any frequency. The drawback of a cavity resonator is that it is not
suitable for multiple frequencies. Moreover it is used only for an individual machine,
air−conditioning plant, etc.

4.9.3 resonant Absorbents or Panel Absorbents

A resonant absorbent, or panel absorbent, is fixed on a frame with an air space between
the frame and walk. It acts as a panel absorber. When sound waves strike this absorbent,
a certain amount of energy is converted into heat energy due to the flexural vibration
of the panel. Example are gypsum boards, wood and hardboard panels, suspended
plaster, ceilings, rigid plastic board panels, windows, doors, etc.
 Acoustics 4.25

4.9.4 Composite Types of Absorbents

When the functions of all the three types described above are combined in a single
unit, it is known as a composite absorbent. The composite absorbent consists of a
perforated panel fixed over an air space containing porous absorbents. The panel
may be metal, wood, plywood, hardboard, plastic board, etc. When the sound strikes
the panel, it passes through it and is damped by resonance of the air in the cavity.
Examples of such absorbents are empty jars and bottles, perforated cardboard backed
by perforated fiber boot, etc.

4.10 FACTOrS AFFECTING ACOUSTICS OF

BUILDINGS AND THEIr rEMEDIES
We know that the factors such as reverberation time, loudness, focusing due to walls and
ceilings, echelon effect, extraneous noises and resonance within a building affect the
acoustics of a building. In the following section, influences of the above factors on the
construction of an auditorium or a hall and their remedies are discussed in detail.

4.10.1 reverberation Time

In order to construct an acoustically fit auditorium or hall, the reverberation time of
a hall or an auditorium should be optimiesd. For example, when the reverberation
time is too high, the sound produced by the speaker will persist for a long period of
time. As a result, overlapping of sound waves takes place. The sound wave undergoes
multiple reflections before it becomes eradible. Therefore, presence of overlapping,
formation of standing waves etc., reduces the quality of sound waves distributed in
hall. Thus, listeners are not able to hear the sound clearly. In order to overcome this
effect sound-absorbing materials are placed inside the hall. Thus, they help to bring
the reverberation time to the required optimum value. Similarly, when reverberation
time is too low, sound produced by the speaker dies quickly and it becomes inaudible
in a short period of time. In order to improve the sound, reverberation time of a hall
should be increased to an optimum value. This can be achieved by decreasing total
the absorption coefficient of the volume of the hall i.e., sound reflection boards are
placed inside a hall. This helps to increase the reverberation time of the hall. Therefore,
by keeping an optimisied reverberation time, the sound level and quality are made
to meet the listener requirements. Therefore, in order to make the sound by the time
should kept at an value.

4.10.2 Loudness
Similar to reverberation time, loudness of a sound in a hall should be made as an
optimum value. This helps us to make the sound audible. We know that reverberation
time of hall is directly proportional to loudness. Consequently, low loudness results in
the existence of sound for a short period, while a high loudness leads to existence of
sound for a longer period of time. A loud sound is painful to the listener. Therefore,
sound produced by the speaker should be within audible range. Generally, sound-
absorbing boards are used to reduce the loudness of sound, while reflecting boards
are used to increase the loudness.
4.26 Engineering Physics

4.10.3 Focusing due to Walls and Ceilings

In an acoustically fit auditorium or hall, sound waves are distributed throughout
the hall uniformly. However, sound produced by the speaker undergoes multiple
reflections at the ceilings and walls. The reflected sound from the ceiling and walls
should not be focused at a particular point, rather it has to be disturbed throughout a
hall. Generally, a plane surface reflects the sound uniformly throughout a hall while
a curved surface does not distribute it evenly. Therefore, the reflection from a curved
surface produces a harmful effect. Hence, the distribution of sound from a curved
surface must be tackled carefully.

C - Center of curved surface

R - Reflected sound
S - Speaker

R C

Fig. 4.9 Focusing of sound—curved surface

The reflection of sound from a curved surface is shown in Fig. 4.9. The reflected sound
waves are focused at the front. The focusing point R of the reflected sound waves is much
closer to the speaker and is away from the centre of the curved surface. Thus, the sound
waves are not distributed uniformly due to the reflection from the curved surface.
In order to avoid these problems, the auditorium should be constructed by keeping
in mind that the radius of curvature of a concave ceiling should be nearly twice the
height of the building as shown in Fig.4.10. The distribution of sound from a concave
surface is uniform. Therefore, to avoid bad distribution of sound waves from a ceiling,
a careful ceiling design is required.

h
S R

Fig. 4.10 Focusing of sound—Concave surface

4.10.4 Echelon Effect

Whenever people walk on a staircase or floors or hard paved paths, unwanted
sounds are produced. These sound waves are produced due to poor finishing of
 Acoustics 4.27

the floor surface, structural effects, etc. The above unwanted sound is known as
echelon effect. Consider a person with, steel-tipped shoes climbing up a staircase,
as shown in Fig.4.11. Whenever the person makes a step, in staircase produces an
unwanted sound.

0.3 m

Fig. 4.11 Echelon effect—taircase

Consider that the width of the stairs is 0.3 m. Hence, the total distance traveled by the
sound is 2 x 0.3 m. Therefore, the frequency of sound produced is,

v
f= (4.70)
d
We know that v is the velocity of sound at room temperature and is equal to 340 m s-1.
Substituting the values of v and d in the above equation, we get,
340
f= (4.71)
2×0.3
= 567 Hz
Therefore, the person who is climbing up the staircase produces an unwanted sound at
a frequency of nearly 600 Hz. These waves are known as echelon effect. The echelon
effect is minimised by finishing the surface of the floor or stairs very finely and using
a carpet to cover the floor and stairs.

4.10.5 resonance Within the Building

We know that for the propagation of sound waves, a medium is essential. During
the propagation of sound waves in a hall, air particles in the medium vibrate at their
resonance frequencies. When the frequency of vibration of air particles matches with
the hall's natural frequency of vibration, resonance is obtained. At this resonance
condition, sound waves get amplified. Thus, it results in an unwanted sound effect
inside a hall. Therefore, the resonance within the building has to be minimised.
The same can be achieved by studying the resonance effect on a model auditorium
or hall. This model hall or an auditorium is kept inside a vessel which contains water.
The water-wave particle movements are studied and are used for the construction of
the actual hall or auditorium.
4.28 Engineering Physics

4.11 PrINCIPLES TO BE OBSErVED IN THE

ACOUSTICAL DESIGN OF AN AUDITOrIUM
The design of an auditorium requires a smooth growth of sound energy. In an
auditorium, sound produced by sources must be distinguished and distributed clearly
over the whole area of the auditorium. In order to ensure the above important features,
factors which influence the acoustical design such as volume, shape and sound
absorption are to be considered effectively while designing a hall.

4.11.1 Volume
The requirement of volume of a hall/auditorium is based on its purpose or use. For
example, a music hall enquires a large volume than a speech /theatre hall. Similarly,
an auditorium requires a large volume to accommodate more strength. The important
factors to be considered while designing the volume of a hall/auditorium is the uniform
distribution of sound without any compromise in the quality of sound waves. The
height of a hall plays a dominant role in deciding the volume of the hall than the width
or breadth of the hall. The thumb rule for the ratio of ceiling height and width of a
hall is 2:3. The general guideline used for designing the volume of a hall/auditorium
are given in Table 4.4.

Table 4.4 Surface area required per person for construction

S.No. Requirement Area required per person (m3)

1 Cinema theatre 3.74 to 4.2

2 Public cultural hall 2.8 to 3.7

3 Concert hall 4.2 to 5.6

An auditorium may be used as a music/concert hall or a speech hall. Hence, in an

auditorium, the volume available for a person should be chosen so as to have a value
intermediate between a speech hall and a music hall.

4.11.2 Shape
Similar to the volume of a hall, the shape of the walls and ceiling play an important
role in optimising the distribution of sound waves. A concave surface reflects more
amount of sound energy and focuses the reflected sound in a particular place. The
concave surface and plain surface also distribute sound to the entire hall. The shape
of walls and ceilings of a hall controls the echo and reflection of sound waves. When
sound energy from the source is incident on a concave surface, it reflects more amount
of sound energy and focuses the same on a particular place. Similarly, the plain
surface distributes sound to the entire hall. The multiple reflections from a concave
ceiling are reduced by keeping the radius of curvature of a concave surface as twice
the height of a hall.
 Acoustics 4.29

(a) Fan shapped

Balcony

Main floor

(b) Dome shaped

Fig. 4.12 Shape of wall ceiling

The reflections of sound waves from the side walls of fan-shaped and dome-shaped
floors are shown in Fig. 4.12.

4.11.3 Sound Absorption

The reverberation time of a hall/auditorium is optimised based on the applications. For
example, the optimum value of reverberation time for a lecture hall is 0.5 second while
for a music hall, the value lies between 1 and 2 seconds. The sound-absorbing materials
are introduced into a hall at proper places, and thus it helps to obtain the required
reverberation time. When sound-absorbing materials are placed at the right places in
a hall, they absorb sound energy. The important factors to be considered to optimise
reverberation time are the sound absorbing coefficient of the audience, arrangements
of seats in a hall, and various sound-absorbing materials used inside the hall.
The seats are arranged in such a way that the passage of direct sound is not affected
by the heights of heads of the audience in the other row. A typical arrangement of seats
is shown in Fig.4.13.
4.30 Engineering Physics

Fig. 4.13 Auditorium—Seating arrangement

4.12 ACOUSTICAL ANALYSIS AND ITS

COrrECTION
Sabine’s reverberation formula is used to verify the acoustic fitness of a given room or
hall. In order to verify it, the absorption coefficient and surface area of each and every
sound-absorbing materials present in a hall are measured. Let a1, a2, a3 etc., and s1, s2,
s3 etc., be respectively the absorption coefficient and surface area of sound-absorbing
materials present in a hall.
Therefore, the total absorption

A = a1s + a2s2 + a3s3 +….. (4.72)

Equation (4.72), gives the total absorption coefficient of a hall of volume V. Thus,
by knowing total absorption coefficient A and volume of hall V, reverberation time is
determined using standard relation given in Eq.(4.70).

4.13 SOUND INSULATION

Sound insulation is the prevention of transmission of sound energy into a hall.
Generally, there are two types of external noise which transits into a hall and disturb
sound quality inside a hall. They are airborne sound and structural bone sound. In
the following heading, origin, transmission and prevention of external sounds are
discussed in brief:

4.13.1 Air-borne Sound

The sound waves which are originated from outside sources are propagated into a
hall through air by open windows, doors and ventilators and are known as air-borne
sound. For example, sound produced by a vehicle moving outside a hall is air-borne
sound. The air borne sound is minimised employing the following ways:
 Acoustics 4.31

(i) One can use double doors and windows with separate frames by placing
a sound absorbing material in between them.
(ii) One can use the paper for doors and windows.
(iii) One can close the windows and ventilator doors. However, it creates
loss in transmitted light. The same can be overcome by using alternate
ventilation.
(iv) We can make the hall air-conditioned.

4.13.2 Structure-borne Sound (Impact Sound Insulation)

Sound waves which are generated inside a hall are known as structure borne sound.
These sound waves are propagated through the walls and floors. These sound waves
are produced due to apparent motion such as of benches and footsteps. The following
are reasons for the production of structure-borne sound inside a hall due to the movent
of benches:
(i) It transfers vibration into walls and hence, the vibration on the walls cre-
ates sound waves on the other side.
(ii) It happens during the elastic wave motion in which compression and
rarefaction of sound energy are transmitted into a hall from particle to
particle by alternate compression and rarefactions. The same process is
repeated to transfer the energy from the air on the other side.
The effect on structure-borne type of sound waves are minimised employing the
following ways:
(i) We can use rigid structures so as to rest the vibrations.
(ii) We can introduce discontinuities in the path of sound. The discontinui-
ties are provided in the form of construction joints in walls to reduce the
passage of sound.
(iii) We can convert the floor and ceiling with suitable sound absorbing ma-
terials or anti-vibration mounts.
For example, a sound produced by water flowing in a pipe is avoided by using rubber
or insulating gasket at the junctions.

4.14 NOISE POLLUTION

The unwanted sound waves which are dumped into the atmosphere are known as noise
pollution. These sound waves produce or unpleasant effect, i.e., they are a nuisance
and also an adverse effect to human health. Noise pollution leads to creation of either
physical or mental problems. The persons working in the surroundings are liable to
make errors. The series of problems expected are reduction in working efficiency,
personal comfort, industrial accidents etc. Noise pollution is of various types, namely,
domestic noise, trafic noise, aircraft noise, etc. These noises are produced by different
sources. However, the types of sources are classified into two types, namely, industrial
noises and non-industrial noises.
The industrial noises are produced due to the movements of cars, motor tracks, motor
cycles, aircraft, machines, explosions, etc. The non-industrial noises are produced by
loudspeakers, radios, construction work, etc. The sound pressure level, in dB, of industrial
4.32 Engineering Physics

and non-industrial noise is measured by relative measurements. The source for the domestic
and industrial noises along with the sound pressure levels is given in Table 4.5.

Table 4.5 Sound pressure level for domestic and industrial noise
Sound pressure Sound pressure
Source of noise Source of noise
Level dB Level dB

Threshold of audibility 0 Electric generator 76

Garden 20 Garbage collector 85
Bedrooms 25 Air compressor 85
Libraries 30 Concrete mixer 85
Living rooms 40 Jack hammer 88
Conversational speech 60 Scrapper 88
Vacuum cleaner 70 Dumb truck 88
Business office 67-70 Power saw 90
Ringing alarm clock 80 Rock drill 98
Average street traffic 80-85 Noisy factory 100
Heavy traffic 90 Pile driver 101
Pop music 110 Riveter 115
Threshold of pain 140 – –

4.15 NOISE CONTrOL IN MACHINES

In most industries, noise pollution is controlled to an optimium level. The uncontrolled
noise in industry leads to a variety of problems. When noise level exceeds threshold
of pain (120 dB), it leads to problems such as permanent or temporary deafness
or industrial guidant’s, discomfort, reduces the workers efficiency, etc. Therefore,
necessary steps are taken to design the machines and workplace for quieter operations.
The following are guidelines and procedures to be adopted in controlling noise pollution
in machines and workplaces for quieter operations.
(i) By redesigning the source of sound for quieter operation
(ii) By insulating the source with sound-reducing houses
(iii) By enclosing high impacting parts of machines
(iv) By using high sound-absorbing materials as enclosures.
(v) By selecting sound absorbing materials should based on environmental
conditions
(vi) By providing a dynamic balance to the vibrating machines
(vii) By using fixed bed to fix the rotating or impacting machines
(viii) By providing connections such as electricity, gas, air, etc., employing
vibration decouplers.
(ix) By using pressure release chambers for providing water connections
(x) By silecing processes like internal combustion in engines
(xi) By using large work area, which consists of good sound-absorbing materi-
als, as an enclosure to keep the machine.
(xii) By reducing structure-borne noise using double doors or walls with air
spaces between them
 Acoustics 4.33

(xiii) By providing sound reducing ear muffs and plugs to all workers
(xiv) By isolating the machine area from the office, show rooms etc.
(xv) By providing discontinuities in the construction of the building, the noise
pollution due to vibrations of the machines is avoided
The other source of noise pollution in machines is the vibration of machines. The
impact noise produced by a machine under operating conditions will be transferred to
the building in the form of vibrations. These vibrations run throughout the building and
hence, this problem will be extended to the remote parts of the building through the
walls. The same can be reduced simply by providing discontinuities in the construction
of the building.

Keypoints to remember

• Sound waves are classified into three categories, namely infrasound (<20 kHz),
audible sound (20 Hz-20 kHz) and ultrasound (>20 kHz)
• Musical sound waves produce a pleasant effect to our ears.
• Noise produces displeasure to our ears.
• Frequency, intensity and quality are the characteristics of musical sounds.
• The standard intensity level is known as threshold of audibility and is equal to
Io = 10-16 W m-2.
• The reverberation time is the time taken by a sound wave to fall from an average
value to an inaudibility limit.
• The absorption coefficient of a material is defined as the inverse of the area of
sound absorbing material which absorbs the same amount of energy as that of 1
m2 of open window unit.
• Echo is the reflection and returning of sound waves from a distant extended sur-
face like a cliff, hill, building, etc., with sufficient magnitude and delay.

0.163V
• The sabine formula for reverberation time is where V is the volume of
A
the hall and A the total absorption coefficient.

• Growth of energy in a hall is equal to E = Em (1 - e-a t )

• Decay of sound in a hall is equal to E = Em e-a t

0.163V È 1 1 ˘
• Coefficient absorption of material is a1 = Í - ˙
s1 Î T2 T1 ˚
• Important factors to be considered for acoustical design are volume, shape, and
sound absorption.
• The total absorption coefficient is equal to A = a1s1 + a2s2 + a1s2 + …. where a1, a2,
a3 and, s1, s2, s3 etc., are respectively the absorption coefficient and surface area
of the sound-absorbing materials, 1, 2, 3, etc.
4.34 Engineering Physics

• The sound waves which are produced inside the hall are known as structure-
borne sound waves.
• The sound waves which are produced outside and propagate into the hall are
known as air-borne sound waves.
• There are two different types of noise pollution, namely, industrial noise and
non-industrial noise.

Solved Problems

Example 4.1 The intensity of sound produced by thunder is 0.1 W m-2.

Calculate the intensity level in decibels.
Given Data
The intensity of sound produced by thunder I1 = 0.1 W m-2
Solution
ÈI ˘
The intensity level or relative intensity b = 10 log10 Í 1 ˙
Î I0 ˚

È 0.1 ˘
= 10 log10 Í -12 ˙
Î10 ˚
= 10 log10 (1011) = 10 x 11 = 110 dB
The sound intensity produced by thunder is 110 dB.
Example 4.2 Calculate the intensity level of a turbine whose sound intensity
is 100 W m-2 when it is under operation. Given that the standard intensity level
is 10-12 W m-2.
Given data
The Intensity of sound of the turbine I1 = 100 W m-2
The standard intensity I1 = 10-12 W m-2
Solution
ÈI ˘
We know that the intensity level or relative intensity β = 10 log10 Í I ˙
Î I0 ˚
Substituting the values of I0 and I1, we get,
È 100 ˘
b = 10 log10 Í -12 ˙
Î10 ˚
(or) b = 10 log10 1014
Therefore, b = 10 × 14 = 140 dB
The intensity level or relative intensity of a turbine is 140 dB.
 Acoustics 4.35

Example 4.3 Calculate the increase in the acoustic intensity level when the
sound intensity is doubled.
Given Data
ÈI ˘
The intensity ratio Í 1 ˙ = 2
Î I0 ˚
Solution
È ˘
The relative intensity β = 10 log10 Í I1 ˙
Î I0 ˚
= 10 log10 (2) = 3.0102999 dB
The increase in sound intensity level is 3.01 dB.
Example: 4.4 A loudspeaker emits energy in all directions at the rate of 1.5
J s-1. What is the intensity level at a distance of 20 m? Standard intensity level
of sound = 10-12 W m-2.
Given Data
The power radiated by the loudspeaker Q = 1.5 J s-1
Radius r = 20 m
Standard intensity level I0 = 10-12 W m-2.
Solution
The intensity of the sound produced by the loudspeaker
Power radiated
I2 =
area
1.5
= = 0.0003
4 ¥ 3.14 ¥ 202

ÈI ˘
The intensity level β = 10 log10 Í 1 ˙
Î I0 ˚

= 10 log10 ÈÍ -12 ˘˙
0.0003
Î 10 ˚
= 84.7 dB
The intensity level of the sound produced by the loudspeaker is 84.7 db.
Example 4.5 An electric generator operates at a sound intensity level of 80
dB. If it is operated in a room with an existing sound intensity level of 70 dB,
what will be the resultant intensity level?
Given Data
Intensity level of the sound produced by the electric generator β = 80 dB
Intensity level of the room = 70 dB
4.36 Engineering Physics

Solution
(i) Intensity level of the sound produced by electric generator = 80 dB
ÈI ˘
i.e., The relative intensity β = 10 log10 Í 1 ˙ = 80 dB
ÍÎ I 0 ˙˚
È I ˘
80 = 10 log Í -112 ˙
Î10 ˚
where I1 is the standard sound intensity level = 10-12 W m-2
Therefore, I1 = 10-4 W m-2
The intensity of the sound produced by the electric generator
= 10-4 W m-2
(ii) Intensity level of the room β2 = 70 dB
ÈI ˘
i.e., β2 = 10 log10 Í 2 ˙ = 70 dB
Î I0 ˚
The intensity of the sound existing in the room

Èb ˘
I2 = I0 log-1 Í ˙
Î10 ˚
Here, I0 is the standard sound intensity
Therefore, = 10-12 W m-2
ÈI ˘
I2 = I0 log-1 Í 1 ˙
Î I0 ˚
= 10 W m-2
-5

The intensity of sound existing in the room

I2 = 10-5 W m-2
The total sound intensity when the generator is operating
= I1 + I2
= 10-4 + 10-5 W m-2
= 1.1 ¥ 10-4 W m-2
È I1 ˘
The relative intensity β = 10 log10 Í ˙
Î I0 ˚

È1.1¥10-4 ˘
= 10 log10 Í -12 ˙
Î 10 ˚
= 80.4139268
The resultant intensity level of the sound is 80.414 dB.
 Acoustics 4.37

Example 4.6 Calculate the reverberation time of hall with volume of

1500 m3 and total absorption is equivalent to 100 m2 sabine.
Given Data
Volume of the hall V = 1500 m3
The absorption of sound by the hall A1 = 80 m2 O W U or sabine
Solution
The reverberation time of the hall
0.163V 0.163 ¥ 1500
= = = 3s
 as 80

The reverberation time of the hall is 3.0 s.

Example 4.7 A hall has a volume of 1, 20,000 m3. It has a reverberation time
of 1.5 seconds. What is the average absorbing power of the surface if the total
absorbing surface area is 25,000 m2?
Given data
Volume of hall V = 1, 20,000 m3
The Reverberation time T = 1.5 s
Total absorbing surface area ∑s = 25,000 m2
Solution
We know that,
0.163 V
the reverberation time T=
Rearrange the above equation, we get, Âas

0.163 V
total absorption ∑as =
T
Substituting the values of the V and T, we get,
0.163 ¥ 1, 20, 000
∑as =
1.5
∑as = 13,360 O W U
The total absorption of the hall is 13,360 open window units (O W U)
 as
Therefore, the average absorbing power of the surface a- =
Âs
13 , 360
a- =
25, 000

a- = 0.5344 sabine
The average absorbing power of the surface is 0.5344 sabine.
4.38 Engineering Physics

Example 4.8 Calculate the intensity level of a jet plane just leaving the runway
having a sound intensity of about 100 W m-2 .
Given Data
The sound intensity I2 = 100 W m-2
Solution
ÈI ˘
The relative intensity β = 10 log10 Í 2 ˙
Î I0 ˚

β = 10 log10 È 100 ˘ = 140dB

ÍÎ10-12 ˙˚

The sound intensity level of a jet plate is 140 dB.

Example 4.9 A hall has a volume of 12500 m3 and a reverberation time of
1.5 s. If 200 cushioned chairs are additionally placed in the hall, what will be the
new reverberation time of the hall? The absorption of each chair is 1 O W U.
Given data
Volume of the hall V = 12550 m3
The reverberation time T = 1.5 s
The absorption of cushioned chair Âa s
1 1
= 200 O W U
Solution
The absorption of the hall before introducing the cushioned chair is
0.163V
 as = T
Substituting the value of V and T in above equation, we get,

∑as = 0.163 ¥ 12500

1.5
= 1391.66 O W U
The absorption coefficient of the hall is 1391.66 O W U.
We know that, the reverberation time of the hall after introducing the cushioned
chair is
0.163V
T2 =
 as +  a1s1
Substituting the value V,  as , and  a s 1 1 , we get,

0.163 ¥ 12500
T2 =
(1391.66 + 200)
T2 = 1.311 s
 Acoustics 4.39

The new reverberation time of the hall after adding the cushioned chairs is
1.311 s.
Example 4.10 The volume of an auditorium is 12000 m3. Its reverberation
time is 1.5 second. If the average absorption coefficient of interior surfaces is
0.4 sabine m-2, find the area of interior surfaces.
Given data
Volume of the auditorium V = 12000 m3
The reverberation time T = 1.5 S
-
The average absorption coefficient of interior surface a = 0.4 sabine m-2

Solution
We know that, the average surface area of the hall is
0.163V
s= -
aT
Substitute the value of V, a and T, we get,
0.163 ¥ 12000
s=
0.4 ¥ 1.5
s = 3340 m2
Therefore, the total surface area s is 3340 m2 .
Example 4.11 The volume of a room is 1500 m3. The wall area of the
room is 260 m2, the floor area is 140 m2 and the ceiling area is 140 m2. The
sound−absorption coefficient for the wall is 0.03, for the ceiling is 0.8 and for
the floor is 0.06. Calculate the average absorption coefficient and the reverbera-
tion time.

Given d ata
Volume of the hall V = 1500 m3

Area or number Coefficient of

Surface
(m2) absorption

ceiling 140 0.8

walls 260 0.03
floor 140 0.06

Solution
0.163 V
We know that the reverberation time T =
a1s1 + a2 s2 + a3 s3
4.40 Engineering Physics

Substituting the V, a and s values, we get,

0.163 ¥ 1500
=
(0.03 ¥ 260) + (0.8 ¥ 140) + (0.06 ¥ 140)
250.5
=
7.8 + 112 + 8.4
250.5
=
128.2
T = 1.9539 s
Therefore, the reveberation time T is 1.9539 s.
The average absorption coefficient is determined by two methods.

Method I
0.163V
-
We know that the average absorption coefficient a =
sT
where S is the total surface of the room and is given by sum of the surface area
of the wall area, floor area and ceiling area.
Sudstiuting the values, we get,
0.163 ¥ 1500
=
(260 + 140 + 140) ¥ 1.9539

250.5
=
540 ¥ 1.9539
250.5
=
1055.106

ā = 0.2374 sabine

Method II
a1s1 + a2 s2 + a3 s3
We know that, the average absorption coefficient a =
s1 + s2 + s3
By substituting the values, we get,
(0.03 ¥ 260) + (0.8 ¥ 140) + (0.06 ¥ 140)
a=
(260 + 140 + 140)

128.2
a =
540
sabine
a = 0.2374

Therefore, the average absorption coefficient ā is 0.2374 sabines

 Acoustics 4.41

Example 4.12 A window whose area is 1.4 m2 opens on a street where the
street noise results in an intensity level at the window of 60 decibels. How much
acoustic power enters via the window?

Given data
The area of the window s = 1.4 m2
The intensity level at the window β = 60 decibels.
The standard intensity of sound Io= 1 ¥ 10-12 W m-2
Solution
ÈI ˘
We know that the intensity level or relative intensity β = 10 log10 Í I ˙ dB
Î I0 ˚
Substituting the value of the I0 and β, we get,

È I ˘
60 = 10 log10 Í -I 12 ˙
Î10 ˚
Simplifying the above equation, we get,
The intensity of the sound I1 = 1 ¥ 10-6 W m-2
We know that Power = Intensity x Area
= 1 ¥ 10-6 x 1.4
= 1.4 ¥ 10-6
The acoustic power that entering via the window is 1.4 x 10-6 watts.
Example 4.13 A hall with a volume of 1000 m3 has a sound−absorbing surface
of area of 400 m2. If the average absorption coefficient of the hall is 0.2 sabines,
what is the reverberation time of the hall?

Given data

The volume of the hall V = 1000 m3

The surface area of the hall s = 400 m2
-
Average absorption coefficient of the hall a = 0.2 Sabine
Solution
0.163
We know that the reverberation time T=
 as
Substituting the values of the V, a- and s, we get,

0.167 ¥ 1000
T= = 2.0875 S
80
Reverberation time of the hall = 2.0875 s.
4.42 Engineering Physics

Exercises

4.1 Two sound waves of same frequency have intensities 10−16 and
10−12 W cm−2. What is the difference between the intensity levels of
these sounds?
4.2 Calculate the acoustic intensity of a plane acoustic wave of intensity
10−15 and 10−2 with reference to a standard acoustic intensity of
10−12 W m−2.
4.3 The intensity level of a sound is increased by 10 dB. If the original intensity
was 10−2 W m−2, what is the new intensity?
4.4 Two sounds have intensities of 2 ×10−10 and 2 x 10−7 W m-2 respectively.
How many decibels is one sound above the other?
4.5 The volume of a hall is 2,000 m3 and its total absorption equals 100 m2
of open window. Entry of people in the hall raises the absorption by
2,000 m2. Determine the change in the reverberation time.
4.6 The volume of a room is 800 m3. The wall area of the room is 300 m2,
the floor area is 150 m2 and the ceiling area is 150 m2. The average sound
absorption coefficient (i) for the wall is 0.03, (ii) for the ceiling is, 0.8 and
(iii) for the floor is 0.06. Calculate the average sound absorption−coefficient
and the reverberation time.
4.7 A lecture hall with a volume of 1,215 m3 has a reverberation time of
1.5 seconds. What is the total absorption power of all the surfaces in the
hall? If the area of the sound absorbing surface is 720 m2, calculate the
average absorption coefficient.
4.8 A hall with a volume of 85,000 cu.ft. is found to have a reverberation
time of 2.2 seconds. If the area of the sound−absorbing surface is
7,500 sq.ft., calculate the average sound absorption coefficient.
4.9 The power of a sound from a speaker of a radio receiver is of 25 mW.
By tuning the volume control, the power of the sound is increased to
250 mW. Calculate the power increase in decibles.
4.10 A loudspeaker emits energy in all directions at the rate of 1.5 J s-1. What
is the intensity level at a distance of 20 m? Standard intensity level of
sound = 10−12 Wm-2.

Objectives Questions

4.1 ___________ is the frequency of the audible sound waves.

4.2 Musical sound waves produce _________ effect to our ears.
4.3 _______ sound waves produce an unpleasant effect to our ears.
4.4 The standard intensity of sound waves is ________ W m-2.
4.5 The value of 1 bel is equal to ________ decibel.
4.6 The audible intensity level is _______ to ________ dB.
 Acoustics 4.43

4.7 If loudness exceeds _________ dB, it produces a pain in the ear.

4.8 According to Sabine, the reverberation time T is equal to _______ second.
4.9 The coefficient of absorption of an average−built human is ________ sabine.
4.10 The sound waves __________ from a distant extended surface are known as
______.
4.11 Equation for the growth of energy is ______________
a) E = Em (1-e-αt) b) Em = Em (1+ e-αt)
α
c) E = Em (1-e t) d) E = Em (1 + e-αt)
4.12 The decay of energy in a hall is E = ________
4.13 The volume required for concert hall is _______ per person.
4.14 The total absorption coefficient equal to _________
4.15 ________ sound waves are propagated into the hall through air.
4.16 _________ sound waves are produced inside the hall.
4.17 The classifications of noise pollution are _____ and _______
4.18 _________ dB is the sound level for the threshold of pain.

KEY
4.1 20 Hz −20 kHz 4.2 Pleasing 4.3 Noise
4.4 10 – 16 4.5 10 4.6 0 to 120
4.7 120 4.8 (0.163 V)/A 4.9 0.45
4.10 Reflected, echo 4.11 a 4.12 Eme-αt
3
4.13 4.2 t 4.14 a1s1 + a2s2 + a3s3 +… 4.15 air−borne
4.16 Structure−borne 4.17 industrial noise and non - industrial noise
4.18 140

Short Answer Questions

4.1 How are sound waves classified?

4.2 Differentiate the music and noise sound waves?
4.3 What is meant by pitch?
4.4 Distinguish between the intensity and loudness of the s und?
4.5 How the intensity of sound is measured? Explain.
4.6 What is meant by loudness?
4.7 State Weber−Fechner law.
4.8 What is meant by threshold of audibility?
4.9 Define the term bel.
4.10 What is the difference between bel and decibel?
4.11 What is meant by threshold of feeling?
4.12 Define the term phon.
4.13 What is meant by timbre?
4.14 What is meant by transmission loss?
4.15 What is meant by acoustics of building?
4.16 Define the term ‘reverberation time’.
4.44 Engineering Physics

4.17 What are the factors affecting the acoustics quality of the building?
4.18 Define absorption coefficient. State its unit.
4.19 What is meant by noise reduction?
4.20 What is meant by echo?
4.21 Explain the term creep?
4.22 What is meant by standing waves?
4.23 Write Sabine’s mathematical relation for reverberation time and explain the
various terms.
4.24 Explain the experimental determination of the absorption coefficient of a
material.
4.25 What are sound-absorbing materials?
4.26 Give a few examples for sound−absorbing materials.
4.27 What is meant by sound insulation?
4.28 What is meant by air-borne sound?
4.29 Define structure-borne sound.
4.30 Distinguish between air-borne sound and structure-borne sound.
4.31 What is meant by noise pollution?
4.32 What are different types of noise pollutions?
4.33 Explain noise control in machine.
4.34 Mention some of the points to be followed in controlling noise pollution in
machines.

Descriptive Questions

4.1 Derive the expression for growth and decay of the energy density inside a hall and
hence deduce Sabine’s mathematical relation for reverberation time of the hall.
4.2 Explain the various factors affecting the architectural acoustics of a building
and their remedy.
4.3 Define the term absorption coefficient. Explain in detail the experimental
methods used to measure the absorption coefficient.
4.4 Explain in detail the phenomena of transmission sound. What is meant by
transmission loss? How is the transmission loss experimentally measured?
4.5 Describe the sound insulation and sound−absorbing materials.
4.6 Describe noise pollution and noise control in machines.
 Chapter

Ultrasonics
5

oBJectives
• To explore the knowledge on high frequency sound waves and their applications.
• To study the different methods of production and detection of ultrasonic waves.
• To study the characteristic properties of ultrasonic waves.
• To study the applications of ultrasonic in industry, medicine and other areas.
5.1
i In Chapter 1, we have studied the effects of reflection of sound in
n architectural acoustics. In this chapter, we will study the generation,
t detection and application of the ultrasonic waves.
r Sound waves whose frequencies lie above the audible frequency of
o 20,000 Hz are called ultrasonic waves. Their wavelengths are small and
d hence, exhibit some unique phenomena in addition to the properties of
audible sound waves. The sound waves whose frequencies lie below
u the audible limit are called infrasonic waves, whereas supersonic waves
c refer to the sound waves whose frequencies are higher than the audible
t waves.
i Let us first discuss the classification of ultrasonic waves.
o
n

5.2 classification of ultrasonic Waves

Ultrasonic waves are classified into three categories based on the mode of vibration of
the particle in the medium, with respect to the direction of propagation of the initial
waves. They are as given below:
(i) Longitudinal waves
(ii) Transverse or Shear waves
(iii) Surface or Rayleigh waves, and
(iv) Plate or Lamb waves
Let us discuss the different types of ultrasonic waves in detail.
 5.2 Engineering Physics

5.2.1 longitudinal or compressional Waves

The nature of transmission of longitudinal ultrasonic waves is similar to longitudinal
sound waves. In this mode, the particle motion is parallel to the direction of propagation
of the incident wave. Due to the vibrations of the particles, alternate compression and
rarefaction zones are produced, as shown in Fig. 5.1.

l Compression
Amplitude

Direction

Rarefaction

Rarefaction

Compression

Fig. 5.1 Longitudinal ultrasonic waves

The resulting wave is called longitudinal ultrasonic wave or compressional wave.

During the particle motion in the material, compressive and dilative forces are acting
and, therefore, these waves are known as dilational or pressure waves. Longitudinal
waves can be propagated in solids, liquids and gases. They are easy to generate, detect
and also to convert into other modes of vibrations.

5.2.2 transverse or shear Waves

This is another form of propagation of ultrasonic waves and the same get transmitted
as shear sound waves. In this type of wave, the vibration of the particle is at right
 Ultrasonics 5.3

angles to the direction of propagation of the wave motion. Such waves are called
transverse waves or shear waves. The schematic representation of a shear wave is
shown in Fig. 5.2.

Amplitude

Direction

Fig. 5.2 Shear ultrasonic waves

The velocity of the shear waves is half that of the longitudinal waves in the same
material. When a wave travels through a material, it makes the particles of the material
vibrate due to the transfer of energy. The vibrating particles make the neighbouring
particles vibrate. This results in reduction of energy of the ultrasonic waves and hence,
velocity of the shear wave is half the longitudinal waves. Shear waves can be passed
only through solids. They cannot be generated in liquids or gases.

5.2.3 surface or rayleigh Waves

Lord Rayleigh, in 1885, demonstrated that waves can be propagated over the plane
boundary between an elastic half space and a vacuum or sufficiently rarefied medium
(for example, air). The amplitude of the waves decays rapidly with the depth of
propagation of the waves in the medium. These waves are called surface waves or
Rayleigh waves. Surface waves are analogous to water waves. In water waves, the
motion of the particle is both transverse and longitudinal in a plane containing the
direction of propagation and is also normal to the surface. On the other hand, in
Rayleigh waves, the particle motion is elliptical as shown in Fig. 5.3.

Fig. 5.3 Surface waves

Rayleigh waves can travel only on the surface layer of solids because during
the existence of Rayleigh waves, there is no particle motion at greater depth. The
particle in the medium can vibrate up to one wavelength from the surface of the
 5.4 Engineering Physics

medium. The velocity of these waves in the same medium is about 90% of the velocity
of longitudinal waves.
When a solid material is immersed in a liquid, surface waves can exist only when
the interfacial thickness is very small, i.e., the liquid covers the solid surface in a very
thin layer. Under this condition, some of the energy is transferred back into the liquid
medium. These waves are called stonely waves.

5.2.4 Plate Waves or lamb Waves

When a surface wave is introduced into a material having thickness equal to three times
the wavelength or less, a different kind of wave known as plate wave is produced.
During the existence of a plate wave, the material begins to vibrate as a plate, i.e., the
wave encompasses the entire thickness of the material. This theory was described by
Horace Lamb in 1916 and hence, such waves also called Lamb waves.
The different modes of plate waves are (i) symmetrical or dilational and
(ii) asymmetrical or bending. The existence of Lamb waves in different modes depends
on the particle movement.
Symmetrical or Dilational Lamb Waves Here, the displacement of the particles
is longitudinal along the neutral axis of the plate and also elliptical on each surface,
as shown in Fig. 5.4.
Asymmetrical or Bending Lamb Waves In this mode, the displacement of the
particles is shear along the neutral axis of the plate and elliptical on each surface, as
show in Fig. 5.5.

Fig. 5.4 Symmetrical Lamb wave

Fig. 5.5 Asymmetrical Lamb waves

 Ultrasonics 5.5

In addition to the above, plate waves are sometimes called rod waves if the material
is circular in nature. Similarly, if the particles vibrate in a direction parallel to the
surface, it is known as Love wave. Rayleigh, Lamb and Love waves find special
applications in industry. The most important types of waves for scientific and indus­
trial applications are longitudinal and shear waves.
Most of the industrial and scientific works are based on longitudinal and shear
ultrasonic waves. Therefore, more emphasis is given to these two types of ultrasonic
waves in this chapter. In the following sections, the generation and detection of
ultrasonic waves are explained.

5.3 ProPerties of ultrasonic Waves

The various applications of ultrasonic waves are due to their following characteristic
properties:
(i) The frequency of an ultrasonic wave is greater than 20 kHz.
(ii) It travels a longer distance in the medium without any loss.
(iii) It travels as a well­defined sonic beam.
(iv) It's velocity is constant for a homogeneous medium.
(v) It has many modes of vibrations such as longitudinal, shear and different
modes of surfaces vibrations.
(vi) Direct interaction of the wave with the materials takes place. This plays a vital
role in the study of molecular interactions, and materials characterisation.
(vii) At high frequencies, the wavelength is shorter and hence, it produces
higher resolution in flaw detection.
(viii) It undergoes reflection and refraction at the interface, due to the change
in elastic and physical properties of the medium.

5.4 Generation of ultrasonic Waves

In general, ultrasonic waves are produced by the methods given below:
(i) Mechanical generator
(ii) Magnetostriction, and
(iii) Piezoelectric effect
Let us discuss the generation of ultrasonic waves using the above three methods in
detail.

5.4.1 Mechanical Generator

The mechanical generator, or Galton Whistle, is a miniature of the organ pipe. The
experimental arrangement used in this generator is shown in Fig. 5.6.
It consists of two circular glass cylinders, which are arranged in such a way that the
distance between the two ends B and C can be adjusted by using the two micrometre
screws H1 and H2. The air blown at the nozzle A comes out at the circular end B.
The outcoming air strikes the sharp tip C, which is in the form of a knife edge. By
adjusting the distance between B and C, using the screws H1 and H2, the air column
in the circular tube is set into vibrations. The frequency can be varied by varying the
length of the vibrating column with the help of a piston arrangement.
 5.6 Engineering Physics

Fig. 5.6 Mechanical generator

Let l and x be the length of the vibrating air column and the end correction of the
knife edge.
The wavelength of the sound waves is given by,

l=4(l+x) (5.1)

The frequency of the ultrasonic waves produced using a Galton Whistle is given by,
u
f= (5.2)
l
where u is the velocity of sound in air.
Hence, the frequency of the ultrasonc waves is
u
f= Hz (5.3)
4(l + x)

Thus, by varying l and x, ultrasonic waves can be generated at any desired

frequency.

5.4.2 Magnetostriction Generator

Magnetostriction Effect When a ferromagnetic material in the form of a bar is
subjected to an alternating magnetic field as shown in Fig. 5.7, the bar undergoes
alternate contractions and expansions at a frequency equal to the frequency of the
applied magnetic field. This phenomena is known as magnetostriction effect. As a
result, the bar is thrown into longitudinal vibrations, thereby producing ultrasonic
waves in the surrounding medium. Such ferromagnetic materials which are used for
the production of ultrasonic waves are called magnetostriction materials.
 Ultrasonics 5.7

Fig. 5.7 Magnetostriction effect in ferromagnetic material

Magnetostriction Oscillator In this method, the ultrasonic waves are produced

by using the magnetostriction effect. The experimental arrangement is shown in
Fig. 5.8.

Fig. 5.8 Magnetostriction oscillator

The ferromagnetic bar XY is clamped at the middle B. The coils L1 and L2 are wound
at the ends of the bar. The coil L1 and the condenser C1 are connected in parallel and
the combination is connected between the anode and cathode circuit, through a milli­
ammeter, while L2 is connected between the grid and the cathode.
The bar gets magnetised by the plate current passing through the coil L1. Any
change in the plate current brings about a change in magnetisation and consequently
the length of the rod. This gives rise to change in the flux in coil L2 in the grid circuit,
thereby inducing an emf in the coil L2. This varying emf is applied to the triode valve
and is fed back to the coil L1, thereby maintaining the oscillations. By adjusting the
condenser C1, the frequency of oscillation of the tank circuit is varied. If the frequency
of the tank circuit matches the natural frequency of the material due to the resonance,
the rod vibrates vigorously and hence, produces ultrasonic waves. The milli­ammeter
reading gives maximum value of the resonance conditions.
The frequency of ultrasonic waves produced by this method depends upon the
length l, density r and Young's Modulus Y of the bar,
1 Y
i.e. f= (5.4)
2l r
Thus, by varying l and Y of the bar, ultrasonic waves can be generated at any desired
frequency.
 5.8 Engineering Physics

5.4.3 Piezoelectric Method

Piezoelectric Effect In this effect, when the opposite faces of a crystal C , like
quartz, tourmaline, rochelle salts, etc., are subjected to squeezing (crush), twisting or
bending, a potential difference is developed across the perpendicular opposite faces.
The magnitude of potential difference developed across the crystal is proportional to the
extent of deformation produced. This effect is known as direct piezoelectric effect. The
converse of piezoelectric effect is also true. According to this effect, if an ac voltage is
applied to one pair of faces of the crystals, alternatively mechanical contractions and
expansions are produced and hence, the crystal starts vibrating. If the frequency of the
applied ac voltage is equal to the vibrating frequency of the crystal, then the crystal
will be thrown into resonant vibrations and hence produce ultrasonic waves.
Piezoelectric Crystal When the two opposite faces of a quartz crystal are cut
perpendicular to the electric axis (x­axis), it is known as X­cut plate or X­cut crystal.
Similarly, when the two opposite faces of a quartz crystal (Fig. 5.9a) a are cut
perpendicular to the mechanical axis (y­axis), it is known as Y­cut plate or Y­cut crystal.
Examples for X­cut and Y­cut crystals are shown respectivelyin Figs 5.9b and c.

Fig. 5.9 Piezoelectric crystal

Piezoelectric Oscillator The experimental arrangement of the piezoelectric oscillator

is shown in Fig. 5.10.

Fig. 5.10 Piezoelectric oscillator

 Ultrasonics 5.9

A thin slice of quartz crystal Q is placed in between two metal plates A and B. The
plates A and B are connected to the coil L3. The coils L1, L2 and L3 are inductively
coupled. The coil L2 is connected in the plate circuit, while L1 is connected between
the grid and cathode by a tank capacitor C1.
When the switch S is closed, the oscillator produces oscillations with a frequency

1
f= (5.5)
2p L1 C1

The frequency of oscillation can be controlled by the variable capacitor C1. Due to
the transformer action, an emf is induced in the secondary coil L3. This emf excites
the quartz crystal into vibrations. By adjusting the capacitor C1, the crystal is set
into one of the modes of resonant condition. Thus, the vibrating crystal produces
longitudinal ultrasonic waves in the surrounding air. The frequency of vibration is
given as,

P Y
f= (5.6)
2l r

where Y is the Young’s modulus, r the density of the material and P = 1, 2, 3, etc.
The velocity of longitudinal waves in the crystal is given by the relation,

Y
vl = (5.7)
r
Thus, using Eq. (5.6), the ultrasonic waves at any frequency can be produced.

5.5 ultrasonic velocity MeasureMents

Let us study some of the experimental methods used for the measurement of the
velocity of propagation of ultrasonic waves through a medium.

5.5.1 Kundt’s tube

The Kundt’s tube apparatus consists of a long circular glass tube of 1−m length and
a diameter of 0.03 to 0.04 m. One end of the tube is fitted with an adjustable piston
rod with a cork. The quartz crystal placed in between the two metal plates is placed
at the mouth of the other end of the tube. Lycopodium powder is spread uniformly
inside the tube. The arrangement of the apparatus is shown in Fig. 5.11.
As in the case of sound waves, the stationary supersonic waves are produced in
the air contained in a long glass tube which is placed horizontally. The lycopodium
powder gets collected in the form of heaps at the nodes and is blown off at the
antinodes. By measuring the average distance between the adjacent heaps, the
wavelength and hence, the ultrasonic velocity can be calculated using the following
relations:
5.10 Engineering Physics

Fig. 5.11 Kundt’s tube

The wavelength of the ultrasonic waves is given by l = 2d

where d is the distance between the successive nodes.
The ultrasonic velocity in the medium is

u = f l = 2fd m s– 1 (5.8)

This method cannot be employed when the wavelength of the ultrasonic waves in the
medium is very small.

5.5.2 a coustical diffraction

Principle The ultrasonic waves are produced by the quartz crystal Q which is placed
in between the metal plates A and B. The audio−frequency signal is applied between
the two plates. At the resonant conditions, the crystal generates ultrasonic waves
due to the longitudinal compressions and expansions. These waves are passed through
the liquid medium contained in a glass tube and are reflected back by the reflector R.
These reflected waves are called echos. Thus, longitudinal stationary waves are produced
in the liquid medium due to the superposition of the direct and reflected waves. These
waves give rise to a fixed pattern of nodal and antinodal planes. At the nodal planes,
the density and hence, the refractive index is maximum, while at the antinodal planes,
the density and the refractive index are minimum. This arrangement behaves like a
diffraction grating and hence the experiment is called acoustic grating experiment.

Working The experimental arrangement used for this study is shown in Fig. 5.12.
A parallel beam of monochromatic light from the collimator is made incident normally
on the acoustic grating. A diffraction pattern consisting of a central maxima of the
direct beam and first−order maxima on either side is produced. This pattern can be
viewed through the telescope.
Let d be the distance between the two adjacent nodal or antinodal planes.
The wavelength of the light is given by,

2d sin θ = nλ (5.9)

where θ and n are the angles of diffraction for the nth order and the order of the
maxima. In addition, the wavelength (λ0) of the ultrasonic waves can be calculated
by using Eq. (5.10) as,
 Ultrasonics 5.11

1st

1st

Fig. 5.12 Arrangement of acoustic diffaction grating

l0
d=
2
or l0 = 2d (5.10)

Let f be the resonant frequency of the piezoelectric oscillation. Then, the velocity
of ultrasonic waves,
u = f l0

= 2f d (5.11)

This method is useful for the measurement of wavelength and velocity of ultrasonic
waves through liquids and gases at various temperatures.

5.5.3 thermal detection

During the passage of ultrasonic waves through a medium, the waves undergo
compression and rarefaction alternatively. Heat is developed as a result of compression,
thereby increasing the temperature at those places and at the places where rarefaction
takes place, the temperature decreases. If a platinum wire is placed in the region of
ultrasonic waves, due to compression and rarefaction, the platinum wire is alternatively
heated and cooled throughout its length. This change in temperature changes the
resistance of the platinum wire. Thus, by measuring the resistance of the platinum
wire, the ultrasonic waves can be detected.
5.12 Engineering Physics

5.5.4 sensitive flame

When ultrasonic waves are passed through a sensitive flame, the intensity of the flame
gets changed due to the high frequency of the ultrasonic waves. By measuring the
change in intensity of the flame, the ultrasonic waves can be detected.

5.5.5 Piezoelectric detection

The ultrasonic waves are detected by employing the principle of piezoelectric,
electrostatic and magnetostriction effects. In piezoelectric method, the ultrasonic waves
(longitudinal or shear), after passing through the material, are received by the quartz
crystal. The quartz crystal may be X­ or Y­cut depending on the type of ultrasonic
waves, namely, longitudinal or shear. When the quartz crystal receives the ultrasonic
waves at one face, it produces a potential difference at the opposite faces of the
crystal. Thus, the quartz crystal produces an ultrasonic rf signal. The received signal
is amplified by an amplifier circuit and compared with the built­in internal rf signals
from the oscillator. By comparing the frequency of the ultrasonic rf signal with the
internal oscillator, the frequency of the ultrasonic waves is determined. By knowing
the frequency, one can also determine the transit time required for the propagation of
the ultrasonic waves in the material.

5.6 aBsorPtion and disPersion of

ultrasonic Waves
When ultrasonic waves pass through the medium, the intensity of sound gets reduced
due to the conversion of sound energy into heat. This energy loss in the medium is due to
the alternative compression and rarefaction of sound waves. The compression produces
heat, thereby increasing the temperature, while the rarefaction reduces the temperature.
This leads to absorption of sound in the medium leading to sound attenuation.
If the ultrasonic waves pass through a medium, the measured intensity per unit time
per unit area perpendicular to the direction of propagation decreases with distance
from the source. This phenomenon is known as attenuation. Let I0 be the intensity of
the sound at unit distance from the source.
Then, the intensity at a distance x from the source is given by Eq. (5.12) as,
I = I0 e– ax (5.12)
where a is called the coefficient of absorption and it is given by

1 Ê Iˆ
a= ¥ ln Á ˜ (5.13)
x Ë I0 ¯
The absorption coefficient can be expressed in decibels per unit length or dB/
decibels.
The change in velocity of the ultrasonic waves with frequency is known as
dispersion of ultrasonic waves. In viscous liquids like glycerine and castor oils, the
change in velocity with frequency cannot be observed in the frequency region of
ultrasonic waves. But, dispersion was observed indirectly by measuring the change
in wavelength.
 Ultrasonics 5.13

5.7 source of sound aBsorPtion

and disPersion
In a medium, the dissipation of energy depends on viscosity, heat conduction and
heat radiation.
Viscosity When ultrasonic waves propagate through a fluid, there is relative motion
between different parts of the medium, which is opposed by the viscous forces in the
fluid. These viscous forces are opposed by the force due to incident ultrasonic waves.
Therefore, a part of the energy of ultrasonic waves are converted into mechanical
energy. This results in increase in temperature of the fluid and decrease in intensity
of the ultrasonic waves. The viscosity of a liquid decreases as the temperature rises,
whereas that of gases increases with temperature.
On account of the change in viscosity, the absorption coefficint is given by,

16p 2 f 2
av = (5.14)
3r0hc 3

where h is the viscosity, f the frequency of the sound wave, c the velocity and r0 the
equilibrium density of the fluid. Equation (5.14) is valid only for low frequencies.
Heat conduction This is the second cause for the dissipation of sound energy.
The compression associated with the propagation of sound wave in a fluid produces
a local increase in temperature, while the temperature of the neighbouring layers
which are in a state of rarefaction is decreased. Consequently, heat flows from the
compressed layers to the rarefied layers, and thus a portion of energy is converted
into heat.
The sound absorption due to heat conduction ah is given by,

Ê g - 1ˆ Ê 4p 2 f 2 MK ˆ
ah = Á (5.15)
Ë h ˜¯ ÁË r0 c 3Cv ˜¯

where g = Cp/Cv is the ratio of the molar specific heat at constant pressure Cp to that at
constant volume Cv, M the mass per mole or the molecular weight, r0 the equilibrium
density and K the thermal conductivity. The sum of equations (5.14) and (5.15) gives
the total absorption due to viscosity and heat conduction process.
Heat Radiation Whenever one portion of the fluid acquires a temperature different
from that of an adjacent portion, thermal radiation occurs, thereby resulting in sound
absorption. The attenuation due to viscosity and heat conduction is a function of
frequency, whereas attenuation due to heat radiation is independent of frequency.

5.8 aPPlications—industry
The ultrasonic waves find extensive application in scientific research, industry, medical
field, etc.
5.14 Engineering Physics

5.8.1 sound navigation and ranging (sonar)

In this method, high­frequency ultrasonic waves are used for finding the distance and
direction of submarine, depth of sea, depth of rocks in the sea and the shoal of fish
in the sea, etc.
The ultrasonic waves are generated by the piezoelectric method using a quartz
crystal placed in between two metal plates. The same quartz crystal is used for
generating and detecting the ultrasonic waves as shown in Fig. 5.13. These waves
are transmitted towards the bed of the sea and get reflected back from the bed
in the form of echos. These reflected echos are received by the quartz crystals
and they are amplified and given to a cathode ray oscilloscope. By using the
oscilloscope, the time taken by the ultrasonic waves for the to­and­fro distance
is measured.
By knowing the velocity of sound in sea water and the measured time, the depth
of the sea can be calculated using the relation,
h
t/2

ut
or (5.16)
2
where t is the time taken by the waves for the to­and­fro motion and v the velocity of sound
in sea water. The echometer is calibrated to measure the depth of the sea directly.

Fig. 5.13 Determination of depth of sea

5.8.2 non-destructive testing (ndt)

Detection of Flaws in Metals Non­destructive testing is an experimental method used
to study the quality of materials under operating conditions or in the manufacturing
process using ultrasonic waves.
 Ultrasonics 5.15

The block diagram of the pulse echo method used to determine the various defects,
(flaws) like cracks, holes, air bubbles, laminations, etc., in the specmen is shown in
Fig. 5.14.

Fig. 5.14 Block diagram of pulse echo method

It consists of an ultrasonic frequency generator and receiver, and a cathode ray

oscilloscope. A high potential difference from the continuous wave oscillator is
applied to the piezoelectric transducer and hence, the transducer generates ultrasonic
waves.
The piezoelectric transducer resonating at a desired frequency is used for both the
generation and detection of ultrasonic waves. The vertical transducer is coupled to the
upper surface of the specimen (metal) as shown in Fig. 5.15a, with a good acoustic
couplant to avoid any air gap between the transducer and the specimen.
The ultrasonic waves (signal A) are transmitted through the specimen by the vertical
transducer. These waves travel to the other end of the material and get reflected at
the boundary. The reflected signal (B) is received by the same transducer. The total
distance travelled by the wave is 2d, i.e., twice the thickness of the specimen. The
reflected signals are amplified and are found to be almost as that of the transmitted
signals, as shown in Fig. 5.15b. Figure 5.15b shows that the specimen is free from
defect.
On the other hand, if there are some defects on the specimen, like a small hole
as shown in Fig. 5.15c, the ultrasonic waves are reflected back depending upon
the depth of the defect, i.e. some of the waves get reflected at the surface of the
hole, while the others from the boundary of the specimen. This results in a time
delay between the waves (signal B), those reflected at the surface of the hole and
at the boundary of the specimen (signal C). The resultant signals B and C are as
shown in Fig. 5.15c. Thus, the time delay between the transmitted (A) and the
reflected signals (B) at the surface of the holes gives the depth of the defect from
the upper surface of the specimen.
5.16 Engineering Physics

ABC

BNC cable BNC cable BNC cable

PZ transducer
PZ transducer

Metal
specimen Hole

(a) (b) (c)

Fig. 5.15  Determination of flaw in metals

This technique is generally used in the testing of boiler drum plate, castings, forging,
bar stock, etc. This type of test can be done safely under manufacturing or operating
conditions.

5.9 ApplicAtions—medicine
Ultrasounds find widespread applications in the field of medicine for both diagnostic
and therapeutic applications. In the following sub­sections, some of the applications,
both in diagnostic and therapeutic fields, are discussed briefly:

5.9.1 Blood Flow

The principle involved in this measurement is the Doppler technique. The ultrasonic
flowmeter measures the instantaneous flow of blood. The important flow meters which
are available in the practical uses are listed below:
(i) Transit time
(ii) Continuous wave Doppler
(iii) Pulsed Doppler, and
(iv) Duplex scanner flowmeters
Let us discuss in detail the principle and working of Doppler shift flowmeter. The
Doppler shift technique is used to determine the velocity of blood flow in veins and
arteries. In order to obtain better resolution, the frequency of the ultrasound used in
this technique ranges from 5 to10 MHz.
The principle of blood­flow measurement is shown in Fig. 5.16. The ultrasound
transducer is positioned on the skin as shown in Fig. 5.16. The ultrasound produced
by the transducer strikes the blood vessels at an angle q as shown in Fig. 5.16. The
incident beam gets reflected back by the blood particles, which are moving with a
velocity v relative to the vessel. The horizontal component of the velocity v cos q is
passed to the direction of the beam.
 Ultrasonics 5.17

Fig. 5.16  Blood-flow measurement 

Thus, the blood moving with velocity v cos q towards the receivers (reflectors)
produces a Doppler shift and is given by Eq. (5.17),
2 f v cosq
Df3 (5.17)
u
From Eq. (5.17), by knowing the values of v, u, f and q, one can determine the velocity
of the blood motion.
The block diagram of the experimental set­up used to measure blood low is shown
in Fig. 5.17.

Fig. 5.17  Block diagram of the experimental set-up to measure the blood flow

It is the simplest instrument used for blood­flow measurement. The ultrasound beam is
generated by the transducer and is passed into the blood­vessel walls. The ultrasonic wave
gets scattered back by the blood cells. The same transducer receives back the scattered
signals. The receiver and transmitting transducers are identical. The electrical signal
received by the RF amplifier consists of two components. The first component is of larger
amplitude excitation frequency, which is directly coupled from transmitter to the receiver,
while the second component is a very small amplitude Doppler shift, which is scattered
5.18 Engineering Physics

from blood cells. A simple frequency to voltage converter provides a quantitative output to
a recorder. The zero crossing detector emits a fixed area pulse each time the audio signal
cross the zero axis. The low pass filter selects the difference in frequencies and produces
an output proportional to the velocity of the blood cells.
The main advantages of this system are that the surgical penetration of the vessel
is unnecessary. Continuous flow measurements can be made without any risk or
discomfort to the patient. The main disadvantage of this method is that it is not possible
to differentiate the movement of the blood, whether it is towards or away from the
transducer. The recently developed Doppler system incorporates colour display, in
which a range of colours are used to represent the different blood­flow velocities.
Thus, the new colour Doppler imaging system is successful identifying any abnormal
holes, blockages or valve defects, etc., from the blood­flow pattern.

5.9.2 foetal Heart Movements and Blood flow Measurements

The principle used in this method is a continuous­wave Doppler system. The essential
components used in this system are shown in Fig. 5.18. The transducer used in this
method has both a transmitting and receiving crystal in a single transducer. The
transducer is mounted on the body surface, i.e., on the skin using a couplant in the
mother’s abdomen as shown in Fig. 5.18. The ultrasound beam generated by the
transducer is transmitted into the reference medium (reflector) and gets reflected
from the reflector. The same transducer receives the reflected signal. The output
signal of the receiver consists of two frequencies, namely, the same frequency as that
of the transmitter due to the stationary reflectors and the Doppler shifted frequency
due to the moving reflectors. Thus, the mixer produces beat frequencies. The beat
frequency is equal to the difference in the frequency between the two input frequencies,
which is equal to Doppler shift. The beat frequency is amplified and connected with
loudspeakers. The frequency of ultrasound beam used in this method is around 2 to
3 MHz. Certain Doppler shifts produced characteristic sounds.

Fig. 5.18 Block diagram of the experimental set-up for foetal

heart movements and blood circulation
 Ultrasonics 5.19

This method is useful in determining the presence of pulsating heart and blood
flow in the foetus. The difference in the pulse rate is used to differentiate the blood
flow in the mother’s blood vessels from the foetus. Thus, the variation in blood stream
velocity is used to identify and examine different parts of the foetus.

5.9.3 therapeutic application

In general, most of the physical therapy methods produce symptomatic, palliative
supporting or prophylactic effects. Different methods are available to develop heat in
tissues. Ultrasonic therapy is one such method and is similar as short­wave diatherm
medicine. The ultrasonic therapy is more effective in cases where short wave treatment
has failed and where a localisation of heat effect to the tissue is required.
In ultrasonic therapy, a low­frequency and high­power ultrasound beam is penetrated
to the tissues. Thus, the propagation of ultrasound into the tissues produces heating effect
and a high­speed vibration of tissues. The heating effect in this case is due to the absorption
of ultrasonic energy by the tissues. As a result, ultrasonic energy produces a massage in
tissues, which is a normal treatment of soft tissue in physical medicine. The ultrasonic
medicine can be applied to a greater depth which is not possible manually and in some
cases where the pressure cannot be exerted by hand due to intolerable pain to the patient.
The most common therapeutic applications of ultrasonic are the treatment of diseases of
peripheral nervous system (neuritis), skeletal muscle system (arthritis) and skin (ulcers,
etc.). The power required in most of the ultrasonic therapies is less than 3 W cm–3.
In ultrasonic therapy, the transducer is excited by giving the energy from
conventional oscillators. The ultrasonic waves are emitted from the front surface of
the transducer. The transducer is fixed to the place where the ultrasonic therapy is
required using a couplant to provide contact between the transducer and body. The
ultrasonic dosage can be controlled by any one of the three variables namely, frequency,
intensity and duration of exposures.
Another method of application of ultrasonic therapy is also in use. If the treatment
parts are not uniform or are wounds, the treatment will be carried out in a water bath.
In this method, one can avoid the mechanical contact of tissue, which is already under
damaged condition. In this case, one can also slightly increase the temperature of the
water bath. This method is not generally preferred since the dosage of the ultrasonic
frequency is not controllable.

5.9.4 Biological effect

The biological effect of ultrasounds is either due to thermal or non­thermal effect. In
thermal effect, when a beam of ultrasound is passed into the medium, a heating effect
is produced within the medium. In non­thermal effect, it is due to the formation of
cavitations. When an ultrasonic beam passes through the liquid medium, the ultrasonic
energy creates small microbubbles.
In high­intensity ultrasonic therapy, a careful control of the beam is more essential
due to higher absorption coefficient of bones. Similarly, one also has to consider the
gas bubbles produced by the ultrasonic beam when it passes through the body. The
bubbles produced in ultrasonic therapy will distrupt the cells and tissues.

5.9.5 Phonocardiography
It is an instrument used for recording the sounds connected with the pumping actions of
the heart. These sounds are used to explore information about the heart rate, rhythmicity,
5.20 Engineering Physics

and effectiveness of blood pumping and valve action. The sounds produced by healthy
hearts are remarkably identical while the abnormal sounds are due to specific physical
abnormalities. An instrument known as phonocardiograph is very important and it
diagnostically records the waveform of the heart sounds. The recorded graphs of the
heart sounds are called phonocardiogram.
The sounds are produced by the mechanical events that occur during the heat
cycle. There sounds are due to the movement to heart walls, closure of walls and
turbulanece and leakage of blood. The frequency of the sounds are generally in the
range of 30 to 100 Hz and the duration is about 50 to 100 ms. The second sound is
higher in pitch than the first with frequencies above 100 Hz with a deviation 25 to 50
ms. The third and fourth sounds produced by the heart are much lower in intensity
and hence inaudible. The sounds are produced principally by closure of the valves
between the upper and lower chambers of the heart.
These sounds are normally recorded by using any one of the two types
of microphones, namely, contact or air­coupled microphones for recording
phonocardiogram. There are two types of microphones, namely, contact or dynamic
type based on the operation principle. These microphones generate potentials when
mechanical heart sound is applied to them. The amplifier amplifies these signals with a
frequency range from 20 to 2000 Hz. The low pass filters are used to control the noise.
The readout of a phonocardiograph is either a high­frequency chart recorder or an
oscilloscope. A typical operation of heart sound is shown in Fig. 5.19. A possible heart
disorder is indicated by the presence of high frequecy in the phonocardiogram.

Fig. 5.19 Frequency spectrum of heart sound

5.10 acoustic HoloGraPHy

The principle, production and the application of optical holography are discussed in
this section. It is a well­known method for storing three­dimensional images on a
two­dimensional recording surface. The essential requirements for holography are
monochromatic and coherent sources.
An ultrasonic wave is a coherent radiation and the same can be used similar to an
optical source for the production of acoustical holography.

5.10.1 Basic Principle

The principle of acoustic holography is similar to that of optical holography. Optical
holography is based on interference phenomena obtained on a photographic plate due
 Ultrasonics 5.21

to the superposition of two waves, namely, the reflected wave from the object which
contains details about the object, and the reference wave. The recorded image on the
photographic plate is called hologram.
In acoustic holography, different techniques are employed, such as transmission
technique, pulse reflection technique, etc. The coherence conditions can be easily achieved,
since an ultrasonic transducer produces waves in the narrow frequency band.

5.10.2 transmission acoustic Holography

The experimental arrangement used in transmission acoustic holography is shown
in Fig. 5.20. The common generator G is used to excite both transducers T which
generate a continuous wave oscillation with certain modulations (This results in
reduction of standing waves). The reference wave and the wave passed through the
specimen form an interference pattern on the liquid surface. This pattern on the liquid
surface is stationary for continuous oscillation. The observed interference pattern
gives rise to a hologram.
The hologram can be reconstructed by projecting a laser beam L through a
semitransparent mirror M on the holographic plate. The laser beam is reflected through
an optical system and a three­dimensional image is formed on the screen. The aperture
C serves as a spatial filter to eliminate multiple images.
Laser beam, L

C
Screen
M

Optical
system
Holographic plate

Specimen

T T
G

Fig. 5.20 Acoustic holography

5.22 Engineering Physics

The above principle is satisfactory at the laboratory level only and is based on
the transmission method. The transmission method is not suitable for ultrasonic
NDT applications. Therefore, ultrasonic pulse method is used for NDT, since the
major application is to detect the defect in the specimens, such as flaw, hole, crack,
discontinuity, etc. Therefore, a new principle called linear acoustic holography is used
for ultrasonic NDT applications.

5.10.3 Pulse reflection acoustic Holography

The experimental arrangement used for pulse reflection acoustic holography is shown
in Fig. 5.21. The specimen S under study is immersed in a water bath. The ultrasonic
transducer probe T is just above the specimen and can move from one end of the
specimen to the other end. The transducer is excited by a generator G and this results
in high frequency ultrasonic pulses.
The ultrasonic pulses are passed through the specimen. During the propagation of the
ultrasonic waves into the specimen, they get reflected at the bottom surface due to change
in acoustic impedance if there is no defect in the specimen. On the other hand, if there is a
defect in the path of the waves, they get reflected due to the change in acoustic impedance.
The reflected pulses are received by the same transducer and are passed into the scanner
C. The received pulses are amplified using the amplifier A and then passed to the mixer
M along with reference signals from the source R. The output of the mixer is modulated
suitably and is connected to the CRT tube as shown in Fig. 5.21. Thus, the hologram is
viewed on the CRT tube and is recorded using a suitable arrangement.

Fig. 5.21  Schematic diagram for pulse reflection holography

The experimental arrangement used for the reconstruction of the holoram is shown
in Fig. 5.22.

Fig. 5.22 Experimental arrangement for the reconstruction of hologram

 Ultrasonics 5.23

The reconstruction of the hologram is made using a laser beam. The laser beam is
generated by the source S, and its wavelength is in the order of 0.5 mm. The laser beam
is made incident on the lens L1. The scattered laser beam from the lens L1 is made to
fall on the optical system O. The optical system consists of two lenses into which the
holographic plate is inserted. When the scattered laser beam is incident on the optical
system, some of it will be captured in the hologram. The rays of the laser beam for
which no diffraction was captured by the hologram are rejected by the aperature A.
The actual hologram is viewed on the screen S after passing through the lens L2.
A recent development in acoustic holography is linear acoustic holography.

5.10.4 linear acoustic Holography

Principle Linear acoustic holography is based on pulse technique. The ultrasonic

transducer is scanned along a line and produces a wide sound field in the plane of
scane line. The echoes received from the specimen are multiplied with the reference
signals at two different angles, namely, 0° and 90°. As a result, real and imaginary parts
of the different parts of the points which are scanned on the specimen are obtained.
These data are stored in a computer using quadratic phase function. Thus, the computer
defines the reconstruction of plane, observation angle and also collects the ultrasonic
field intensity at the defect point. Thus, the intensity of the ultrasonic field is used to
find the defect size on the specimen. In acoustic holography, the resolution is very poor
along the direction of ultrasound field. The resolution can be increased by means of
using a focusing probe or multifrequency holography. The same can also be achieved
by using a new technique known as Synthetic Aperture Focusing Techniques (SAFT).
In this technique, the resolution is increased using a computer programme.

5.10.5 applications
Some of the applications of ultrasonic holograms are given below:
1. It is used in ultrasonic NDT to detect defects such as holes, cracks, flaws, etc.
2. One can detect the size of the defect even of the order of a mm using
SAFT technique.
3. They are used in medicine for imaging.

5.11 General aPPlications

Soldering Aluminium cannot be soldered by ordinary soldering method. To solder
aluminium, ultrasonic waves are used in addition to the electrical soldering iron. The
ultrasonic waves remove the oxide film and facilitate soldering.
Biology Ultrasonic waves are used to kill small animals like rats, fish, frogs, etc.
Microorganisms like bacteria are torn into pieces or burnt and yeast loses its power
of reproduction.
Medicine Ultrasonic waves are used
(i) to detect tumours in human body
(ii) for bloodless brain surgery as well as painless extraction of broken teeth
5.24 Engineering Physics

(iii) to look at the development of a child in a mother’s womb without risk to

the mother or the child; this field is known as Sonography
Chemistry When ultrasonic waves come in contact with substances, they set up
high frequency vibrations in them. These vibrations bring about an intimate mixing of
particles of matter and cause or accelerate molecular reactions. Their applications are
listed below:
(i) They accelerate the process of crystallisation and enable smaller and uni­
form crystals to be obtained.
(ii) They form stable emulsions of even immiscible liquids like water and oil,
water and mercury, etc.
(iii) They coagulate, i.e., disperse fine particles of solid or liquid into a gas,
e.g., dust, smoke, mist, etc.

Industry
(i) They are used to form alloys of uniform compositions.
(ii) They are used for cleaning clothes and tiny objects like needles and parts
of watches.
(iii) They are used for drilling holes in glass or steel plates by using a glass
rod oscillating at ultrasonic frequency.

Keypoints to remember

• The sound waves whose frequencies lie above the audible frequency of 20,000 Hz
are called ultrasonic waves.
• Different modes of ultrasonic waves are longitudinal, transverse or shear, surface
or Rayleigh and plate or Lamb waves.
• In longitudinal waves particles vibrate parallel to the direction of wave
propagation.
• In shear waves, particles vibrate perpendicular to the direction of wave
propagation.
• The velocity of shear waves is half of longitudinal waves.
• Surface waves are the waves whose amplitude decays rapidly with the depth of
propagation of waves in the medium.
• Plate waves are produced when a surface wave is introduced into a material having
thickness equal to three times the wavelength or less.
• Dilational and bonding Lamb waves are the two modes of plate waves.
• When the particle vibrates in a direction parallel to the surface, it produces a new
kind of wave known as Love wave.
• Different methods of generation of ultrasonic waves are mechanical generators,
magnetostriction and piezoelectric effect.
 Ultrasonics 5.25

• When a ferromagnetic material in the form of a bar is subjected to an alternate

magnetic field, it undergoes alternate contraction and expansion at a frequency
equal to the frequency of the applied magnetic field. This phenomenon is known
as magnetostriction method.
• When the opposite faces of a crystal are subjected to squeezing, twisting or bending,
a potential difference is developed across the perpendicular opposite faces. This
effect is known as piezoelectric effect.
• The change in velocity of ultrasonic waves with frequency is known as dispersion
of ultrasonic waves.
• The intensity of the ultrasonic waves measured per unit time per unit area
perpendicular to the direction of propagation decreases with distance from the
source. This phenomenon is known as attenuation.
• SONAR is the acronym for sound navigation and ranging.
• Echo meter is used to measure the depth of a sea directly.
• NDT is the acronym for non­destructive testing.
• The velocity of blood flow in veins and arteries is determined using the Doppler
shift technique.
• The frequency of ultrasound beam used for foetal heart movements is 2 to 3 MHz.
• The power required for ultrasonic therapy is 3 W cm­3.
• In linear acoustic holography, the ultrasonic waves are passed into the specimen
whose image is to be obtained and the image patterns are constructed employing
the received ultrasonic waves.
• In pulse reflection holography, the ultrasonic waves are incident on the specimen
whose image is to be obtained, and then form the reflected waves, the images are
constructed.
• The image resolution is increased by means of using a focusing probe or multi frequency
holography, known as Synthetic Aperture Focusing Technique (SAFT)
• Sonography is the technique used to obtain the image of a child in a mother's womb
without risk to the mother's child.

solved Problems

Example 5. 1 Calculate the frequency to which a piezoelectric oscillator circuit

should be tuned so that a piezoelectric crystal of 0.1 cm thickness vibrates in its
fundamental mode to generate ultrasonic waves. (Young’s modulus and density
of the materials of the crystal are 80 GPa and 2654 kg m-3).

Given Data
Thickness t = 1 mm = 1 ¥ 10-3 m
Density r = 2654 kg m-3
Young’s modulus Y = 8.0 ¥ 1010 N m-2
5.26 Engineering Physics

Solution
The fundamental frequency for electronic oscillator circuit is,
p Y
f =
2t r

1 8.0 ¥ 1010
where p = 1 for fundaental vibration f =
2 ¥ 0.001 2654
= 2.7451 ¥ 106 Hz.
The fundamental frequency of the piezoelectric oscillator is 2.74 MHz.
Example 5.2 Calculate the fundamental frequency of vibration when a
quartz crystal of 0.15 cm thickness is vibrating at resonance. Given that Young’s
modulus of quartz is 7.9 ¥ 1010 N m­2 .

Given Data
Thickness of the crystal t = 0.15 ¥ 10-2
Density of quartz r = 2650 kg m-3
Young’s modulus of quartz Y = 7.9 ¥ 1010

Solution
The fundamental frequency of a qurtz crystal is given by
p Y
f =
2t r
For fundamental vibraion, p = 1. Therefore,

f= 1 y
2t f

1 7.9 ¥1010
f =
2 ¥ 0.5 ¥10-2 2650
= 0.546 ¥ 106

The fundamental frequency of a quartz 0.546 ¥ 106 Hz.

Example 5.3 A ultrasonic generator consists of a quartz plate of 0.7 mm

thickness and 2800 kg m­3 density. Find the fundamental frequency of ultrasonic
waves if the Young’s modulus of quartz is 8.8 ¥ 1010 N m-2 .
Given Data
Thickness of the quartz t = 0.7 mm = 0.7 ¥ 10-3 m
Density of quartz r = 2800 kg m-3
 Ultrasonics 5.27

Young’s modulus Y = 8.8 ¥ 1010 N m-2

Solution
The fundamental frequency of quartz piece,
p Y
f =
2t r
where p = 1 for fundamental frequency
1 8.8 ¥1010
f =
2 ¥ 0.7 ¥10-3 2800

= 4.04 ¥ 106 Hz.

The fundamental frequency is 4 MHz.

Example 5.4 A nickel of 10 cm length with a density of 8.1 ¥ 103 kg m-3 and
a Young’s modulus of 8.2 ¥ 1011 N m-2 is used in a magnetostriction oscillator.
Determine the fundamental frequency of the ultrasonic wave generated .
Given Data
Length of the nickel t = 10 ¥ 10-2
The density of nickel r = 8.1 ¥ 103 kg m-3
Young’s modulus of nickel Y = 8.2 ¥ 1011
Solution
The frequency of ultrasonic waves produced by the magnetostrition oscillator is
1 Y
f =
2l r

1 8.2 ¥1011
f = -2
2 ¥10 ¥10 8.1 ¥ 103

= 0.05 ¥ 106

The frequency of produced ultrasonic waves by nickel is 0.05x106 Hz.

Example 5.5 An ultrasonic beam is used to determine the thickness of

a steel plate. It is noticed that the difference between two adjacent harmonic
frequencies is 50 kHz. The velocity of sound in steel is 5000 m s-1. Determine
the thickness of the steel plate.
Given Data
Velocity of sound in steel u = 5000 m s-1
The difference between two adjacent frequencies f = 50 kHz
= 50 ¥ 103 Hz
5.28 Engineering Physics

Solution
The frequency of the ultrasonic wave f= u
2d
Let fn and fn-1 be the two adjacent harmonic frequencies.
The difference between the two harmonic frequencies is equal to the frequency
of the fundamental note.
f = f n - f n - 1 = 50 kHz
= 50 ¥ 103 Hz
u
ie., f = fn - fn - 1 =
2d
u
d =
2( f n - f n -1 )
Substituting the values of u, fn and fn-1 in the above equation, we get,
5000
d =
2 ¥ 50 ¥103
= 0.05
Therefore, the thickness of the plate is 0.05 m.

Example 5.6 Longitudinal standing waves are set up in a quartz plate with
antinodes at opposite faces. The fundamental frequency of vibration is given
by the relation, f = 2.87 ¥ 103/t, where f is the thickness of the plate in metre.
Compute (i) Young’s modulus of the quartz plate, (ii) the thickness of the plate
required for a frequency of 1200 kHz. The density of quartz is 2660 kg m­3.
Given Data
The fundamental frequency f = 2.87 ¥ 103/t Hz m-1
Density of quartz r = 2660 kg m-3
Solution (i) The frequeny of vibration is given by
p Y
f =
2t r
where p = 1, 2, 3, etc.
For fundamental vibrations p = 1
Thereore,
1 Y
f =
2t r

2.87 ¥ 103 1 Y
=
t 2t 2660
or Y = 4 ¥ (2.87 ¥ 103)2 ¥ 2660
= 8.764 ¥ 1010 N m-2
 Ultrasonics 5.29

The Young’s modulus of the quartz crystal is 8.76 ¥ 1010 N m-2.

(ii) The frequency of vibration = 1200 kHz
We know that,
1 Y
f =
2t r
1 Y
or the thickness t =
2f r

1 8.764 ¥1010
=
2 ¥1200 ¥103 2660
= 2.39165 ¥ 10-3

The thickness of the crystal is 2.39 ¥ 10-3m.

Example 5.7 Determine the maximum audio frequency of a Doppler
ultrasonic blood flowmeter that has a carrier frequency of 7 MHz, a transducer
angle of 450, a blood velocity of 150 cm s-1 and an acoustic velocity of 1500
m s-1.
Given Data
The ultrasonic frequency f = 7 MHz
The transducer angle q = 450
The blood velocity v = 1.5 ms-1
The ultrasonic velocity U = 1500 ms-1
2 f v cosq
Solution We now that the Doppler shift D f = U
Substituting the values of f, U, q and v in the above equation, we get
2 ¥ 7 ¥ 106 ¥ 1.5 ¥ cos 450
Df =
1500
= 10 kHz
The audio frequency of the Doppler flowmeter is 10 kHz.

objectives Questions

5.1 The frequency of ultrasonic wave is ____________.

5.2 Ultrasonic waves are classified based on the mode of vibration of
___________.
5.3 During the transmission of longitudinal waves, the particles in the medium
vibrate ___to the wave propagation.
5.30 Engineering Physics

5.4 Longitudinal waves propagate in _________, ________ and ____________

medium.
5.5 The particles vibrate at right angles to the direction of propagation during the
propagation of _______ waves.
5.6 _________ waves can pass only through solids.
5.7 _________ waves amplitude decays rapidly with depth of propagation of the
waves in the medium.
5.8 In Rayleigh waves, the particle vibration is __________
5.9 _______ and _________ are the modes of plate waves.
5.10 In Love waves, the particle vibrates in a direction _________ to the surface.
5.11 The frequency of ultrasonic waves generated in a mechanical generator
method is
u 2
a) b) u
4(l + x) 4(l - x)
u u
c) d)
4(l + x) 4(l + x 2 )
5.12 Magnetostriction effect is obtained from _________ materials.
5.13 The frequency of ultrasonic waves produced by magnetostriction method is
1 Y2 1 Y
a) b)
2l P 2l P
1
c) 1 d)
Y 2Y
4l 2l
P P
5.14 ____________ crystals is used to produce longitudinal ultrasonic waves.
5.15 Shear ultrasonic waves are produced employing __________crystal.
5.16 _________ a powder is used to obtain the nodes and antinodes in Kundt’s
tube.
5.17 The wavelength of light λ = ________ for the first order.
5.18 During the propagation of ultrasonic waves, the compression effect will produce
____________.
5.19 When the ultrasonic waves propagate through the medium, a locking effect is
produced due to _____________
5.20 The velocity of longitudinal waves in crystal is equal to
Y
a) b) Y2
P
P2

c) Y d) Y l
2P P
5.21 The frequency of piezoelectric oscillator is equal to
1
a) L2 C 2 b) 2p LC
2p
c) 1 LC d) 1
2p 2p LC
5.22 The intensity of ultrasonic waves at a distance x from the source is
a) Ioe-αx b) Ioe-αxt
c) Ioe-2αx d) Ioe-2αx
 Ultrasonics 5.31

5.23 The coefficient of ultrasonic of ultrasonic waves is __________

Ê ˆ 1 Ê Iˆ
a) 1 ln I (b) ln Á ˜
Á ˜
x Ë Io ¯ 2x Ë Io ¯

1 Ê I + I1 ˆ 1 Ê I2 ˆ
ln
2 x ÁË I o 2 ˜¯
c) ln Á d)
x Ë I 0 ˜¯
5.24 Dispersion of ultrasonic waves means the change in velocity of the waves with
__________.
5.25 The attenuation of ultrasonic waves due to heat radiation is _______ of
frequency.
5.26 The depth of sea is obtained using the relation ________.
5.27 _________ is used to measure the depth of sea directly.
5.28 The frequency of ultrasound is used in blood flow measurement is from ________
to ___________ MHz.
5.29 The Doppler shift is _________
2 2 2 fV cosq
a) 2 f V cosq = D f b) =D f
u u

c) 2 fV cosq = D f d) V cosq = D f
u 2
u2
5.30 Doppler imaging systems are used to identify if the abnormalities from the
blood flow pattern are __________, _____________ and _________.
5.31 __________ MHz frequency of ultrasound beam is used to study the foetal
heart movements.
5.32 The power required in ultrasonic therapy is ________ W m cm­3.
5.33 _______ and ___________ sources are essential requirements of holography.
5.34 The image pattern is obtained in pulse reflection holography using the principle
of
a) rarefaction and compression b) absorption
c) reflection d) transmission
5.35 Linear acoustic holography is based on ___________ technique.
5.36 The technique used to look at the development of a child in a mother’s womb
is _________.
5.37 The ultrasonic waves are generated by the ___________.
5.38 ____________ receives the ultrasonic waves.
5.39 Heart disorder is indicated by the presence of _____________ in
phonocardiogram.

Key
5.1 Greater than 20 kHz 5.2 Particles
5.3 Parallel 5.4 Solid, liquid, gas
5.5 Shear 5.6 Shear
5.7 Surface or Rayleigh 5.8 Elliptical
5.9 Symmetrical and asymmetrical 5.10 Parallel
5.11 a) 5.12 ferromagnetic material
5.13 a) 5.14 X­cut
5.15 Y­cut 5.16 Lycopodium
5.17 2d sin θ 5.18 Heat
5.32 Engineering Physics

5.19 rarefaction 5.20 a)

5.21 d) 5.22 Ioe-2x
5.23 a) 5.24 frequency
5.25 Independent 5.26 h = (ut/2)
5.27 Echo meter 5.28 5, 10
5.29 a) 5.30 holes, blockages, valve defects
5.31 2 to 3 5.32 3
5.33 Monochromatic and coherent 5.34 Reflection
5.35 Pulse 5.36 Reflection
5.37 Transmitter 5.38 Receiver
5.39 High frequency

exercises

5.1 An ultrasonic wave is being propagated through a liquid which is

illuminated by radiation of wave length 5893 Å. If the frequency of the
ultrasonic waves is 25 ¥ 103 Hz and the velocity is 800 m s-1, calculate
the angle of first order of diffraction
5.2 In an ultrasonic interferometer, an ultrasonic wave having a frequency of
30 ¥ 103 Hz is propagating. If the interferometer is filled with a gas hav­
ing the velocity of sound as 450 m s-1, calculate the distance at which
the recording meter will show maximum deflection
5.3 Calculate the attenuation coefficient of a sound wave of frequency 50
kHz, when propagating through a liquid dioxane having a coefficient of
viscosity of 1.068 ¥ 103 N s m-2. (Velocity of sound in the liquid is 1,320
m s-1. The equilibrium density = 1018 m-3.)
5.4 A 2.5 MHz ultrasound beam travels at 1.5 km s-1 through soft tissue before
being reflected normally from a moving interface of a Doppler shift of
500 Hz is detected in the reflected beam. Determine the velocity of the
moving surface.

short answer Questions

5.1 What are ultrasonic waves?

5.2 What is the main difference in the quality of ultrasonic waves produced by
piezoelectric and magnetostriction oscillator?
5.3 What are longitudinal ultrasonic waves?
5.4 What is transverse ultrasonic wave?
5.5 What are Rayleigh wave?
 Ultrasonics 5.33

5.6 What is a stonely wave?

5.7 What is a plate wave?
5.8 What is an asymmetrical Lamb wave?
5.9 What is a Love wave?
5.10 What is the basic principle of ultrasonic holography?
5.11 Mention different types of ultrasonic holography.
5.12 What is acousstical grating?
5.13 State any two methods of the piezoelectric oscillator.
5.14 What is a hologram?
5.15 What is the reason for using ultrasonic waves to produce holograms?
5.16 What is meant by piezoelectric effect?
5.17 What is magnetostriction effect?
5.18 What is ment by inverse piezoelectric effect?
5.19 What are the different methods used for the production of ultrasonic waves.
5.20 Mention the properties of the ultrasonic waves?
5.21 Explain the production of ultrasonic waves using Galton’s Whistle.
5.22 What is meant by attenuation of ultrasonic waves?
5.23 What is meant by dispersion of ultrasonic waves?
5.24 Mention any two methods of detecting ultrasonic waves?
5.25 Mension some of the uses of ultrasonic waves.
5.26 What is SONAR? Explain how ultrasonic waves are used in SONAR.
5.27 Write a few applications of ultrasonics?
5.28 Explain how ultrasonic waves are used in non­destructive testing.
5.29 Mention the different applications of ultrasonic in medicine.
5.30 What is ment by phonocardiography?

descriptive Questions

5.1 Explain different types of ultrasonic waves with a neat sketch.

5.2 Explain with a neat sketch the construction and production of ultrasonic waves
using piezoelectric oscillator.
5.3 What is meant by magnetostriction effect? Explain how are the ultrasonic waves
are produced using a magnetostriction oscillator.
5.4 Write an essay about the absorption and dispersion of ultrasonic waves.
5.5 Write the applications of ultrasonic waves in science, medicine and industry.
5.6 Explain the process of non­destructive testing of materials using ultrasonic
waves by pulse echo overlap method.
5.7 Write an essay about the applications of ultrasonic in medicine.
5.8 What is Doppler effect? Explain how the Doppler effect is used in ultrosonics to
study foetal heart movement and blood flow measurements.
5.9 Explain the method of production and reconstruction of an ultrasonic hologram.
5.10 Explain how ultrasonic waves are produced. Explain in detail how the ultrasonic
pulse techniques used in SONAR.
 Chapter

Non-Destructive
Testing 6

OBJECTIVES
• To study the importance of non-destructive testing methods in industry and
medicine
• To study the various non-destructive testing techniques
• To gain the practical knowledge and explore the limitations of differet NDT
methods
• To discuss the possible applications of NDT in industries

6.1
i With the invent of modern technologies, we are using a variety of machines
n and systems in different fields, such as power plants, industrial plants,
t transport machines, chemical industries, etc. The machines and systems
consist of a number of individual components. The smooth performance
r of the machines and systems depend on the reliability of the operation
o and performance. One can increase the reliability of the components by
d giving better quality components, which in turn depend on the factors
u such as design, raw materials, properties and fabrication techniques.
Different types of defects are generated during the operations. Therefore,
c
the nature of the defect depends on various factors such as design, material
t properties, process technology and service condition. One has to increase
i the product quality during the processing stage and also increase the
o life of the components by examining the defects without affecting the
n performance.

A technique that is used to characterise the individual components, systems, machines

and materials by examining the defects and inhomogeneity during the process by
operating both off-line and on-line is known as Non-Destructive Testing (NDT). Now
a days, a newer term known as Non-Destructive Evaluation (NDE) is coming up in
this field, which includes the acceptance and rejection criteria of the non-destructive
testing process.
 6.2 Engineering Physics

The role of NDT in everyday life is crucial and is necessary to assure the safety
and reliability. The following are some of the examples where NDT plays a key role,
namely, aircraft, motor vehicles, pipelines, trains, power stations, refineries, etc. In
order to avoid expensive repairs or early replacements, and to ensure that the material
products and equipment should possess the required design or reach the estimated
life, the NDT techniques can be applied at each and every stage. One can successfully
apply the NDT techniques to monitor the integrity of the components or structure
throughout their life. In this chapter, an attempt has been made to discuss some of the
available non-destructive testing methods in brief, along with suitable illustrations.

6.2 classification of testing Methods

There are different methods of non-destructive testing, which start from the simple to
the complicated ones. The methods which are used for the NDT depend on the physical
properties of the materials. Even though there are different NDT techniques available,
some of the universally accepted common methods are given below:
(i) Visual inspection
(ii) Liquid penetration inspection
(iii) Acoustic emission
(iv) Magnetic particle inspection
(v) Radiography
(vi) Ultrasonic inspection
(vii) Eddy current methods, and
(viii) Thermography
Let us discuss the above methods in brief in the following sections:

6.3 Visual inspection

Visual inspection (VI) is a surface examination method, and it is the most widely
employed NDT method among all other testings. It is very simple, easy, low in
cost and is commonly applied before using any other testing, such as ultrasonic,
magnetic particle, etc. This method provides more precise surface defects. This
test can be carried out with or without optical instruments. In view of the rapid
developments in the field of computer technology, the automated method provides
high speed surface inspection, which is helpful for the subsequent inspection by
other techniques.

6.3.1 Basic principle

The principle of VI is the illumination of the specimen by high intensity light beam, and
then the examination of the specimen surface through optical aids or through eye. In
most of the testings, human eye is amused as a tool for VI. However, the same cannot
be applied to distinguish the difference in the intensities. Therefore, visual inspection
requires highly sensitive optical aids. The most commonly used optical aids for visual
inspection are microscope, borescope or introscope, endoscopic, flexible fibre optic
borescope or flexiscope, photography, electronic speckle pattern interferometry, etc.
 Non-Destructive Testing 6.3

6.3.2 identification of the defects

Some of the general information about the components that can be obtained by VI
are given below.
(i) The overall general condition of the component
(ii) The presence or absence of surface breaking from the strength point of
view
(iii) The presence or absence of the weld defects
(iv) The shape and roughness of the surface
The above information about the components, obtained by VI, is used to proceed
towards the other NDT testing methods and to suppliment the findings.

6.3.3 optical aids

Generally, the use of optical instruments in visual inspection is recommended rather
than the human eye. In most of the VI methods, the area to be examined has to be well
cleaned before testing. The optical instruments, for example, horoscopes or introscopes,
which are normally known as industrial telescopes, are used to examine the internal
surface of the tubes and piping, and also the holes in machines. The borescope, along
with the fibre optical cables, is used to illuminate and retrieve images up to several
metres. The ordinary microscope with higher resolving power is used to identify the
minute defects and the details of the structure on the surface of the components. The
endoscope is superior than the borescopes. The main advantage of an endoscope over a
borescope is that the contact focus of object ranges from a millimetre to infinite distance.
Holography is yet another technique used in VI. The advantage of this method is the
three dimensional recording of the image of the entire surface of the components.

6.3.4 applications
Some of important applications of visual inspection are given as follows:
(i) It is used to test the leakage/abnormal operations, etc., of the plant systems
and components.
(ii) It is used to identify the defects such as cracks, etc.
(iii) It is used to identify the misalignments of the equipment and discontinuities,
etc.

6.4 liquid penetrant testing

Liquid Penetrant Testing (LPT) is a method used to explore the surface breaking flaws
by the natural accumulation of the fluid around the discontinuity. This is due the action
of the surface tension effect and negligibly due to the viscosity effect of the liquid.
The material whose surface is to be tested has to be cleaned completely by means
of suitable procedure. This will facilitate the penetrant to get into the defects/cracks.
This method is applicable to all types of material.

6.4.1 Basic principle

The surface crack/defect in the workpiece/component is determined with very high
precision by the liquid penetrant testing method. The basic principle behind this
 6.4 Engineering Physics

testing is the capillary action. The capillary action is due to the existence of surface
tension of the liquid. The existence of cohesive forces in molecules is responsible for
the surface tension. As a result of the capillary action, the liquid may rise in a tube or
can be drawn into the crack. In most of the cases, the low viscosity liquids are used as
penetrants, since the rate of flow of liquid within the crack is very high, rather than the
highly viscous liquids. The penetrant liquid should also have good dissolving power
so that a suitable dye or fluorescent compound can be added. The addition of a dye
or a suitable fluorescent compound to the liquid penetrant will help in identifying the
defects/cracks more precisely in the work piece when it is illuminated by visible or
ultraviolet light. In addition, it is very effective in identifying the defects under dull
light during the inspection.
Some important points to be considered to increase the resolution of the LP testing
are given below:
(i) The surface of the workpiece/component should be cleaned using a suit-
able liquid before LP testing.
(ii) A proper selection of the penetrant liquid based on the viscosity and
capillary action of the liquid is required.
(iii) A suitable dye or compound has to be selected to dissolve in with the
liquid penetrant.

6.4.2 experimental procedure

The different stages of LP testing which will be carried out during the inspection are
given below:
(i) Surface Preparation The cleaning of the surface of the workpiece/component
is one of the first and most important steps to be carried out in LP testing. The
presence of flakes, dirt, grease, chemicals, etc., on the surface of the test piece will
prevent the penetrant to be drawn into the cracks/defects. Sometimes, the impurities
get accumulated on the penetrant and give wrong information about the presence
of defects, where there is no such actual defect/crack. Therefore, the preparation
of a good surface, which is free from oil, dirt, grease, etc., is more essential. Thus,
by employing a suitable solvent, brush, etc., a clean surface is obtained. In order to
avoid the interaction of the cleaning solvent with the penetrant, the same is to be
dried suitably after the cleaning. The existence of the crack after the surface cleaning
is shown in Fig.6.1.

Fig. 6.1 Workpiece-surface cleaning

(ii) Penetrant Application The second stage of the LP testing is the penetrant
application. The suitable fluorescent component is added with a low viscosity
penetrant fluid and then applied on the surface of the test piece very evenly. The
time required by the penetrant to be drawn into the crack depends on the crack size,
shape and environmental conditions, such as temperature and surface inclination.
 Non-Destructive Testing 6.5

Generally, the minimum time required for filling of the penetrant is in the order
of 20–30 minutes. The workpiece after the application of the penetrant is shown
in Fig.6.2.

Penetrant

Fig. 6.2 Workpiece-penetrant application

(iii) Removal of Excess Penetrant The removal of the excess penetrant from
the surface of the workpiece is the next step in LP testing. Care must be taken to
remove the penetrant which is deposited at the surface of the workpiece without
affecting the upper region of the defect. A rough cleaning of the surface results in
the failure of the distribution from the defect and normal surface. Therefore, some
expertise is required to clean the surface for better resolution. The existence of the
penetrant at the crack after the removal of the excess penetrant from the surface is
shown in Fig.6.3.

Fig. 6.3 Workpiece-removal of Excess Penetrant

(iv) Application of Developer It is one of the important steps to identify very clearly
the defect on the workpiece. A thin layer of developer is applied over the surface after
the removal of excess penetrant. The developer covers the surface with a colour which
provides a good visual contrast to the penetrant. The developer without penetrant at
the surface and the penetrant with developer at the defect site can be easily visualized
based on the colour contrast. Therefore, the developer explores the opening of the
crack edges very clearly, and hence, provides a good visibility of the crack for visual
inspection of the defect. The enlarged width of the penetrant at the defect site due to
the application of the developer is shown in Fig.6.4.

Developer with Penetrant absorbed

no penetrant in developer

Fig. 6.4 Workpiece-application of developer

(v) Inspection and Evaluation The last step in LP testing is the inspection and
evaluation. After allowing a minimum time to the developer for developing, the
 6.6 Engineering Physics

surface of the workpiece is scanned by means of white light or ultraviolet or laser

light depending on the type of developer used. A white light is sufficient to examine
the defect in case of visible dye-penetrant, while an ultraviolet light is required for a
fluorescent penetrant. In order to increase the accuracy and reliability, the inspection
process is automated by employing laser light and high quality optical sensors. The
indication of the defect part in the workpiece after the absorption of the absorber into
the penetrant is shown in Fig.6.5.

UV or visible light
for inspection

Fig. 6.5 Workpiece-exploring the defect using light

Care must be taken in examining the defect in the workpiece, since the unremoved
drop of penetrant at the surface gives false information. Based on the inspection results,
the acceptance and rejection of the workpiece/component can be made in comparison
with the specifications and standards applicable for the LP testing.

6.4.3 characteristics of the lp testing Materials

In LP testing, the selection of various materials used for the testing is more essential.
The materials such as penetrant, solvent, developer, etc. can be selected based on the
characteristic features of the materials. The characteristic features of the different
materials used in LP testing are listed below:
(i) Penetrant Some of the characteristic features required for the selection of
penetrant for the LP testing are as follows:
(a) It should be chemically stable and inert.
(b) It should have low viscosity and high sensitivity to light.
(c) It should have higher wettability.
(d) It should be easily removable.
(e) It should be of low cost.
(ii) Developer For the proper identification of the defects, the selection of developer
to the penetrant is more essential. Some of the important factors to be considered for
the selection of developer are listed below.
(a) The developer must clearly differentiate the penetrant which is drawn into
the defect when it is exposed to illumination.
(b) It should have high absorbing capacity.
(c) It may be a dry powder, aqueous (wet) powder suspension or water soluble,
etc., with a low grain size.
(d) By employing several techniques such as spray, immersion, etc., it
should be possible to form a thin uniform coating over the surface of
the components.
(e) It should be easily wettable when added with penetrant.
 Non-Destructive Testing 6.7

(f) It should give a high sensitivity when techniques like solvent spray, plastic
film spray, etc., are used.
(g) It should give a low sensitivity when techniques such as dry immersion
are used.

6.4.4 different testing Methods

One can select the appropriate method for the penetrant inspection based on the number
of factors, such as testing condition, type of materials, etc. Generally, water-washable,
post-emulsifiable and solvent-removable methods are the common methods employed. In
case of water-washable method, the materials used, such as penetrant, developer, cleaner,
etc., all are water soluble. The second method, namely, post-emulsifiable method is a
combination of solvent- and water-based inspection. In this method, the solvent-based
penetrant used during the process stage requires a water-washable path, which is different
when compared with the first method. The solvent-removable method is an oil-based
method. This technique is usually applied to small parts, pipelines, pressure vessel, etc.
The dwell time for the penetrant as well as the developer depends on the type of materials
and discontinuity. In general, the selection of the methods for a particular inspection is
based on the sensitivity of that method. The sensitivity is the ability of the penetrant to be
drawn into the defects and the removal of the penetrant from the surface based on the above
discussion. In general, the order of inspection methods followed are post-emulsifiable
fluorescent, solvent-removable fluorescent and water-washable fluorescent method.
6.4.5 applications and limitations
The applications of LP testing is wide in range. Some of the applications are given
below:
(i) It is used to explore the defects, such as cracks, in products like pressure
vessels, pipes, weld joints, turbine rotor discs, blades, etc.
(ii) It is used to explore the defects in automotive parts such as aluminium
castings and forgings, piston heads, etc.
(iii) It is used for the detection of fatigue cracks which occur during service
life of the materials.
(iv) It is used to test the bogey frames of railway locomotives, rolling stock,
etc.
(v) It is used to test the electrical ceramic parts such as spark plug insulators,
glass to metal seal, etc.
(vi) It is used to bend the plastic moulds.

The above applications are possible in view of the salient advantages of the LPT
technique over the other available techniques, as listed below.
(i) It requires only a short time, irrespective of the shape, size and orientation
of the defects, to inspect and evaluate the defects.
(ii) It requires only a penetrant, a developer and a light source, and does not
require any electronic equipment.
(iii) It is applicable to test the components of any size, shape and materials.
(iv) It is a suitable technique for in-situ inspections.
The limitation of the LP testing is the applicability of this technique to nonporous
material surfaces and metals.
 6.8 Engineering Physics

6.5 radiography
X-ray was discovered by W C Roentgen in the year 1895. Immediately after its discovery,
the X-rays were used for industrial applications to examine objects/materials. The X-ray
has emerged as one of the most widely used NDT techniques in industry as radiography.
The radiography testing (RT) technique is used to detect the internal defects such as porosity
and voids in materials. This technique is applicable over a wide range of components to test,
ranging from micro size to a macro size such as plant components. The major advantage
of this technique is that it does not require any surface preparation work as that required
for other techniques. In the following section, the principle, operation, testing procedure,
applications and limitations of the RT are discussed in brief.

6.5.1 Basic principle

When X-rays or ionizing radiations are passed into the object or material, the penetrated
rays form the image of the object on the other side. The image of the object is photographed
by employing the conventional method. The process of obtaining the photography of the
object is known as radiograph, and the study of the defect using radiograph is called as
radiography. The principle of radiography is shown in Fg. 6.6.
X-ray source

Flaw Test piece

Film
Image of the flaw
Image of test piece

Fig. 6.6 Radiography—Principle

The intensity of the radiation after penetrating through the material varies due to
the nature of the material. The presence of defects, such as voids or porosity within the
material, absorbs more energy and hence, the intensity of the output radiation is reduced.
The absence of any defects inside the material results in less absorption of energy and
hence, the radiation emerges out with high intensity. Thus, the varying intensity of the
output radiation is recorded on the photographic plate or film. The varying radiation
intensity is recorded in the plate as dark and bright spots. The dark spot region corresponds
to the highest intensity, while the bright spot region refers to the low or attenuated radiation.
 Non-Destructive Testing 6.9

The spatial variations in the intensity of the recorded film or plates indicates the presence
of defect. The observed image on the film is the shadow of the object and is known as
radiograph. The basic experimental set up required for the radiography is shown in Fig.
6.6. It consists of an X-ray source, object/material and the photographic plate/film.
Characterisation of Defect The characterisation of flaw such as location, shape,
size, etc. cannot be determined in a single exposure of X-rays on a film. One can
determine the location, shape, etc. of the flaw by employing the tube shift (TS) method
as shown in ig. 6.7.
A B
Sd

B¢ S A¢
Fig. 6.7 Tube shift method

The X-ray source is first placed at the position A as shown in Fig. 6.7. The X-rays
are passed into the object and the penetrated rays form the image at A¢ on the X-ray
film. The exposure time is half the value of the normal exposure time. Then, the X-ray
source is moved to the next position B which is at a distance Sd from the previous
position A. As earlier, the object is exposed to half the exposure time. The image is
recorded on the film at B¢. Let the S be the distance between the images A¢ and B¢. If
fd is the Film Focus Distance (FFD) which is the distance between the fixed spot of
the X-ray film and the source, then the location of the flaw from the bottom surface
of the object or material is givenas,

f d Sd
d= (6.1)
( S + Sd )
The location of the flaw from the top surface can be determined by reversing the object/
material and repeating the above procedure one more time. Thus, one can characterise
the flaw by employing the tube shift method.

6.5.2 types of radiography

Radiography is classified into different types based on the type of ionisation radiation
used for the identification of defects in the materials. The following are the some of
the frequently used methods:
6.10 Engineering Physics

(i) X-ray Radiography X-rays are electromagnetic waves which have the same
physical properties as that of the visible light, radio waves, etc. The X-rays are produced
by the bombardment of fast-moving cathode rays like electrons on a heavy target such
as tungsten or molybdenum. The accelerated electrons strike the target material, about
99.8% of the electrons are wasted in heating the material. The remaining 0.2% of the
electrons penetrate through the target material. The penetrating electrons produce
two types of X-rays, namely, soft and hard X-rays. The soft X-rays will have only
low penetrating power in materials, about 10-4 mm. The hard X-rays will have high
penetrating power in materials, up to 500 mm in steel.
The X-rays are produced by a number of ways. A simple way of producing the
X-rays is the Coolidge tube method. The important features of X-rays are intensity
and quality. The intensity refers to the radiation power, while the quality refers to the
penetrating power. In general, the energy of the X-rays used in radiography is 1 MeV or
above. The various high energy X-ray sources are used in industries are, namely, resonance
transformer, Van de Graff generators, betatrons, and linear electron accelerators.
(ii) Gamma Ray Source The physical properties of the gamma rays are similar
to that of X-rays. The gamma rays are also electromagnetic waves and hence, the
X-rays and gamma rays are indistinguishable from one another. However, the gamma
rays differ only by the way of generation. The gamma rays are emitted by radioactive
sources. These rays are known to exist in the similar wavelength range as that of the
X-rays. Therefore, gamma rays are also used in industry for defect identification and
are known as gamma rays radiography. The gamma rays are emitted as a part of the
decay processes of the radioactive substances. The most popular nuclear radioactive
substances which emit gamma rays are Cobalt 60 (Co-60), Iridium 192 (Ir-192),
Cesium 137 (Cs-137) and Thulium 170 (Th-170).
(iii) Neutron Ray Source Generally, the energy of the neutrons ranges from a fraction
of an eV to several MeV. The properties of the thermal neutrons and cold neutrons suit
the requirements of radiography. The energy of the thermal neutrons lies between 0.01
and 0.3 eV, while that for the cold neutrons lies between 0 and 0.01 eV. In neutron
radiography, the absorption is due to the interaction with the atomic nucleus and not
with the electronic structure of the atoms.

6.5.3 exposure factor

In X-ray radiography, a standard rule known as the exposure rule, based on the
reciprocity law, is adopted to determine the exposing time. According to this law, the
exposure time is inversely proportional to the X-ray tube current for a given source
to film distance. Let I be the X-ray tube current and t be the exposure time, then for
a given source to film distance (L),

It = constant (6.2)

One can obtain a satisfactory image on the X-ray film by adjusting the exposure
time, the source to film distance and the tube current as a constant value known as
the exposure factor for a given object/material, i.e.

lt
Exposure factor = = constant (6.3)
L2
 Non-Destructive Testing 6.11

Exposure Time in Gamma Ray Radiography The experimental procedure for the
Gamma ray radiography is same as that of the X-ray radiography. However, a different
procedure is adopted for the determination of exposure time in gamma ray radiography.
The exposure time depends on the factors, such as age of the source, thickness of the
material and the distance between the sample and the film.
Exposure factor
Exposure time = (6.4)
sourcestrength at present

The gamma rays are obtained from the radioactive product and their radioactivity
or strength of the source decreases exponentially. Therefore, the age of the source has
its role in determining the exposure time. Similarly, the thickness of the material and
distance between the film and the source is also important.

6.5.4 attenuation of radiation in the specimen

When X-rays or gamma rays or ionisation radiations are passed into the materials, it
gets attenuated and hence, the intensity of the radiation decreases. The attenuation of
the radiation in the material at a distance x from the surface is

I = I0 e-mx (6.5)

where I0 is the intensity of the incident radiation at x = 0, I the intensity of the emerging
radiation out of the specimen and m the linear absorption coefficient. The half valve
thickness (HVT) is the thickness of the material which reduces the intensity of the
X-ray into half of its initial value.
The observed linear absorption in the material can be explained based on the
interactions of the photons with the atoms in the material. The interactions of the
photons are due to the X-ray or gamma radiation. The important modes of the
above interactions are, namely, photoelectric effect, Rayleigh scattering, Compton
scattering and pair production. In photoelectric absorption, the electrons in the
outermost shell of the atom absorb the energies from the incident X-ray photon.
During Rayleigh scattering, the incident photon is scattered without any change in
the internal energy of the scattering atom. During the above process, there is no
release of the electrons. In Compton scattering, the recoil electron is produced by
the absorption of atom due to the non-elastic scattering of X-ray photon. In pair
production, the incident photon is disappeared due to the formation of electron–
positron pair production. Therefore, the observed total absorption in the material
is the sum of the above four processes.

6.5.5 effect of radiation on film

The ionisation of the film depends on the energy of the radiation incident on the film.
Thus, a film with different sensitive powers to observe both low and high energy is
required. The silver halide coated on the film will absorb some energy from the radiation
incident on the film. Therefore, a part of the energy is released. These electrons will
interact with the nearby silver halides and hence, give rise to an unsharpness at the
boundaries. The unsharpness of the image is known as inherent unsharpness.
6.12 Engineering Physics

In view of the above reasons, the radiographic films are different from the
conventional photographic films. They are different in film thickness, coating of
emulsion on both sides, and sensitive to both low and high intensity radiations.

6.5.6 image quality indicator and sensitivity

In radiography, due to the large number of parameters such as film type, source to
film distance, film density, etc., the wide range of sensitivity is determined by a
device known as penetrameter. Now a days, it is called Image Quality Indicator
(IQI), a measure of the sensitivity of radiography. The IQI is designed to explore the
radiography quality in terms of sensitivity.
According to the British standard, the IQI are of two types, namely, wire IQI and step
hole IQI, as shown in Fig. 6.8. In wire IQI, wires of the same materials with diameters
ranging from 0.032 to 3.20 mm, respectively, as wire no. 1 to 21, with 30 mm length
have been selected. A typical wire IQI which contains seven numbers of the above
wire is shown in Fig. 6.8 a. The wire with 3.20 mm diameter is taken as the first wire
and these wires are placed at an interval of 5 mm. Similar to the above set, there are
four sets which suit materials such as steel, aluminium, copper, zinc and their alloys.
Similarly, the step hole IQI and plug type are shown in Figs 6.8 b and c.

8FE 14

60

(a) Wire type (b) Step hole type

7 FE11

(c) Plaque type

Fig. 6.8 Image standard indicator

In the step hole IQI, the hole diameter is equal to the step thickness. The diameter
increases from no. 1 (0.032 mm) to no. 18 (1.6 mm) as shown in Fig. 6.8 b.

Diameter of thesmallest discernible wire

Wire IQI sensitivity = ¥ 100% (6.6)
Thicknessof thespecimen under wire
 Non-Destructive Testing 6.13

Generally, the sensitivity is quantified by employing IQI. The percentage of

sensitivity for different thickness are given in Table 6.1.

table 6.1 Sensitivity for different metal thickness

Test metal thickness Percentage of Sensitivity
(mm) Wire IQI (%) Step hole IQI (%)
12 1.4 3
50 1.0 1.8
150 0.7 1.3

6.5.7 radiographic imaging

The analysis of the radiography image is more important to evaluate the defects in
the materials. The observed image difference in intensities reflects the nature of these
materials. The following are some of the points to be considered while doing the RT
imaging:
(i) The radiation should pass through the object.
(ii) The ideal source is a point source.
(iii) The distance between the source and the object should be very large.
(iv) The film should be in close contact with the object.
(v) The film which contains extra fine grains, high contrast with slow or
medium or high speed depending on the requirements.
(vi) Heavier metal screens are ideal to produce high intensification.
(vii) The fluorescent screens are not suitable as it produces unsharpness.
(viii) The film density should be in the range of 1.5–3.3.
(ix) The sensitivity of the film should reveal the smallest discontinuity.
(x) The IQI or penetrameter is used to establish the quality level of the RT
inspection, by employing standard materials.

6.5.8 techniques
RT has different testing techniques; one has to select the appropriate technique based
on the requirements such as geometry, size, sensitivity requirements, in-situ space
availability, etc. The following are some of the general techniques available for the
RT inspection in industries:
(i) Single wall single image
(ii) Double wall penetration
(iii) Double film, and
(iv) Special technique
Let us discuss the above techniques in brief.
(i) Single Wall-Single Image Technique This technique is applicable in case when
the material to be inspected is in the form of pipes. There are two ways to do the
inspection in this case. One way is to keep the source(S) outside the pipe and the film
(F) inside, as shown in Fig. 6.9. The other way is that to keep the source inside the
pipe and the film around the weld, as shown in Fig. 6.10. Let t be the thinkness of the
pipe to be inspected.
6.14 Engineering Physics

The density of the film at the centre is bright since the thickness of the weld
penetrated at the centre is less. The film density decreases while measuring from the
centre to edges due to the increase in the thicknes of the weld penetrated.
S

Q
tmax

Fig. 6.9 Single wall-single image technique—Source outside

Q
Q
S S
Q

O Q
F

(a) Centre (b) Off centre

Fig. 6.10 Single wall—Single-image technique—Source inside

In the second method, the source can be fixed in two ways, namely, at the centre
and off centre, as shown in Fig. 6.10. When the source is at the centre and if it emits
radiation in all directions, the total circumferential weld is exposed at one exposure
(Fig. 6.10 a). On the other hand, if the source is off centre (Fig. 6.10 b), it requires more
energy to penetrate the weld thickness and hence, it requires two or three exposures.
(ii) Double-Wall Penetration Technique In this method, both the sources and the
film are kept outside the pipe. There are three ways of doing inspection based on the
prevailing pipe diameter and site restrictions double wall-single image, double wall-
double image and double wall superimposing image.
(a) Double-Wall single Image In this method, the source (S) is kept very close to the
outside surface of the pipe, as shown in Fig. 6.11. The film (F) is kept on the other outer
 Non-Destructive Testing 6.15

side of the pipe. The radiation penetrates into the walls, and then the image of the weld
is formed on the film if width NN1. In this technique, only the film side weld is exposed.
The technique requires a number of exposures to cover the whole length of the weld.
Further, the source is at the point M which is far away from the film and hence, the
image is extremely poor in sharpness. In this technique, due to the extra absorption of
the radiation in comparison with the single-wall method, the ensitivity is very poor.
S
M

Q
N N

F
Fig. 6.11 Double-wall single image technique

(b) Double-Wall Double Image This technique is applicable for only small outer
diameter pipes, up to 90 mm. The diameter of the source is very small. The source
is kept at a distance larger than the Source to Film Distance (SFD). The above
arrangement removes the superimposing of the source side weld over the film side
weld and forms the elliptical image on the film. The portion of the source and the film
in the double wall-double image is shown in Fig. 6.12. One can image both the film
and the source side weld. It requires minimum of two exposures each perpendicular
to obtain the image of the weld on the entire circumstances.
S

Fig. 6.12 Double wall-double image technique

6.16 Engineering Physics

(c) Superimposing In this method, the source (S) is kept at the SFD distance without
doing the offset. The film (F) is placed on the other outerside of the pipe as shown
in Fig. 6.13. Therefore, the source side weld is superimposed on the film side weld.
This technique is applicable only in case when the double image is not applicable.
To cover the entire weld, it requires a minimum of three exposures each at an angle
of 120º. The arrangement of the source and the film in the superimposing technique
is shown in Fig. 6.13.

F
Fig. 6.13 Superimposing technique

(iii) Double-film Technique Due to the high and low contrast of the film, there
is a restriction in the material thickness. At the same time, it is better to have less
number of exposure time. One way of studying both increase in specimen thickness
and reducing the number of exposure is to use two films with different speeds. The
application of two different films and one exposure time results in the summing of
the latitudes of the image. This technique is known as double-film technique. The
arrangement of the films in the double film-technique is shown in Fig. 6.14. One
can also obtain images using this technique without employing the lead screen.

Specimen

Lead
Film screens

Fig. 6.14 Double film technique

(iv) Special Technique The special technique used to image the complex point
is known as penetration technique. This technique is further classified into multi-
wall single and double-image techniques. The multi wall single image technique
is used to image the defects when the outer diameter of the double wall envelope
pipe is more than 90 mm. This technique requires a number of exposures to cover
 Non-Destructive Testing 6.17

the overall weld length. The experimental arrangement used in this technque is
shown in Fig. 6.15.

Source

Film

Fig. 6.15 Multiwall-single-image technique

When the outer diameter of the double wall envelope pipe is less than 90 mm, the
multiwall-double image technique is used to image the defects. It requires a minimum
of three exposures, each at an angle of 120º. The experimental arrangement used in
this mehod is shown in Fig. 6.16.

Source

Film

Fig. 6.16 Multi-wall-double image technique

6.5.9 fluoroscopy or real-time radiography

In X-ray radiography, the radiation after passing through the material is recorded in
the photographic film. The X-ray radiation is converted into light by using a screen
in the place of the film, known as fluorescent screen. The process of obtaining the
image of the object by converting the X-rays into light on the fluorescent screen is
known as fluoroscopy. Now-a-days, the above technique is renamed as Real Time
Radiography (RTR).
6.18 Engineering Physics

The image obtained using the fluoroscopy method is usually faint and hence, the
sensitivity of the flaw characterisation is very poor. In order to improve the brightness
of the image so as to enable to view the image under normal light and increase the
sensitivity of the flaw characterisation, a Closed Circuit Television (CCTV) camera i
used as shown in Fig. 6.17.
Source

Display
monitor

Masking Circuitry/
Weld specimen computer
X-ray conversion screen

Mirror
Lens assembly CCTV

Fig. 6.17 Group-I—Television fluoroscopic system

The arrangement of the X-ray source, materials under test, fluorescent screen,
CCTV and other computer supports used in the group-I television fluoroscopic system
is shown in Fig. 6.17. The image is received by the CCTV and is then amplified using
the amplification circuit associated with camera. The amplified signal is then processed
by the computer. The processed image is then displayed on the monitor. The display
monitor is operated using a remote from the X-ray source and hence, the radiation
hazards could be eliminated. However, the sensitivity of the light of the image is very
small. Therefore, it requires an image intenifier as shown in Fig. 6.18.

X-rays Light

Electrons
Output (viewing)
screen

Photocathode
Detector screen
(X-rays to light)

Fig. 6.18 X-ray image intensifier

 Non-Destructive Testing 6.19

One can obtain the high intensity image, by employing the image intensifier. The
image intensifier consists of a double-layered screen with one side to receive the
X-rays, and then convert them into electrons. The image intensifier is arranged in
such a way that the detector is facing the materials. The electrons emerging from
the double layer screen is accelerated and then focused to fall on the output screen,
namely, the viewing screen. The acceleration of the electrons leads to an image
intensification of about 100 to 1000 times. The image of the object is viewed through
the viewing screen. In order to avoid the radiation hazards, i.e., for radiation-free
remote operation, the image is viewed by employing a CCTV camera as shown in
Fig. 6.19.

X-ray image
intensifier tube
Television
camera

Source

Computer Analog to digital

Recorder image processing convertor

Display
monitor

Fig. 6.19 Group-II—Television fluoroscopic system

The sensitivity of the image obtained on the monitor after the image processing,
shown in Fig. 6.19, is very high. The increased density is adequate for any type of
defect identification. The output is available either as display or recorder. Generally,
the group-II fluoroscopic method is used for weld inspections (light alloy castings),
composite studies, and for some medium speed-line radiographic applications. The
limitations in the industrial applications are due to the unsharpness in the image
observed, which is due to the polycrystalline nature of the sources. In recent years,
due to the technological development such as digital imaging, increased pixels (a very
small picture elements) and projection magnifications, this technique has been widely
employed in industries.
The slightly modified version of the group I and group II X-ray fluoroscopy is the
group III television fluoroscopic system. The schematic representation of the system
is shown in Fig. 6.20.
In this system, a small group of array of detectors are used as the primary X-ray
absorber/converter. A total of 600 X-ray sensitive elements are present in the 3
mm ¥ 1 mm array. Each array is made up of photodiode which is covered by a
fluorescent material. There are two ways of operating this equipment. In the first
method, the material is fixed, the detector array is moved along the material. While
in the other method, the detector array is fixed, the material to be tested is moved
6.20 Engineering Physics

on a travelling belt. The second type of testing is employed in aiports for luggage
searching.
Multi-element detector array
Weld scan
Masks
Analog to
X-rays digital convertor

Data store

Computer

Image processing
Specimen
movement

Display
monitor Recorder

Fig. 6.20 Group-III—Television fluoroscopic system

6.5.10 comparison of X-ray and fluoroscopy radiography

A comparison between the X-ray and fluoroscopy radiography is given in Table 6.2.

table 6.2 Comparison between X-ray and fluoroscopy radiography

X-ray Fluoroscopy
1. X-rays are recorded with X-ray film. X-ray energy is converted into visible
light and hence, displayed on the screen.
2. The intensity and sensitivity are high. The intensity and sensitivity are
moderate.
3. Objects/materials of any size with Objects/materials of small size cannot
regular shape can be tested. be tested.
4. Radiation hazards will exist. It is free from radiation hazards
5. Remote operation is not possible. Remote operation is possible.
6. It is a slow processing technique, It is a faster processing technique,
and hence, immediate inspection is not and hence, immediate inspection is
possible. possible.

6.5.11 applications
The applications of the X-rays in industries are enormous. Some of the important
applications are given below:
(i) It is applicable for a wide range of materials such as ferrous, non-ferrous
alloys, non-metallic materials and composites.
 Non-Destructive Testing 6.21

(ii) It is used for the inspection of pipe welding.

(iii) It is used for the inspection of casting and forgings.
(iv) It is used to detect the cracks, broken wires, unsoldered connections,
foreign materials, etc. in semiconductor devices.

6.5.12 limitations
The following are the some of the limitations of radiographic techniques:
(i) It fails to detect the flaw, when it is not parallel to the direction of the
radiation beam.
(ii) It fails to detect the minute cracks such as inclusion in wrought material,
flakes, microporosity, etc.
(iii) It is not possible to inspect the irregular geometry materials.
(iv) It requires safety from hazards both for the testing persons and the vicinity
area of the inspection site.
(v) The cost of the equipment is very high.

6.6 ultrasonic testing

Ultrasonic Testing (UT) is one of the versatile NDT methods. UT is used to inspect and
characterise the defects/flaws in metallic and non-metallic materials. UT inspection
uses the short wavelengths and high frequency ultrasonic sound waves. One can
test the surface defects and sub-surface defects, such as discontinuity, using this
method. This method utilises the one side accessibility for the accurate evaluation
and characterisation of flaws. The possible solution for a wide range of frequencies
and different modes of ultrasound waves extended the wide spread applications in the
range of materials, plant components and systems. Generally, in industries, the UT is
used to detect the flaws and the thickness measurements.
In the following section, the basic principle, different modes of ultrasonic sound
waves, different types of testing techniques, simple flaw detectors and different modes
of displays are given in brief:

6.6.1 Basic principle

The principle behind the UT inspection is the transmission of ultrasonic sound waves
with the medium and the reflection or scattering at any surface or internal discontinuity
in the medium. An ultrasonic wave is a sound wave whose frequency is above 20
kHz. The ultrasound waves or mechanical vibrations are propagated into the materials
(solids or liquids or gases). During the propagation of the ultrasound, the particle in
the medium vibrates and hence, the energy is transferred from one atom to another
atom in the specimen. When these sound waves are propagated into the specimen, they
are reflected back or scattered at any surface or internal discontinuity in the materials
due to the change in the acoustic impedance.
The discontinuity means the existence of flaw or defect or crack or hole, etc. in
the material. The reflected or scattered sound waves are received and amplified and
hence, the defects in the specimen are suitably characterised.
The ultrasonic waves have all the properties as that of the sound waves such as
highly directional, undergoes reflection, scattering, etc. The ultrasound waves are
6.22 Engineering Physics

transmitted to any medium such as solid, liquid and gas. The following are the different
modes of the propagation of the ultrasonic waves:
(i) Longitudinal or transverse waves
(ii) Shear waves or compressional waves
(iii) Surface or Rayleigh waves

In longitudinal ultrasonic waves, the particle in the medium vibrates parallel to the
direction of the propagation. In shear ultrasonic waves, the particle in the medium vibrates
perpendicular to the direction of the propagation. The velocity of the shear ultrasonic
wave is nearly 50% as that of the longitudinal wave. The waves which can travel only
at the surface of the solid medium are known as surface waves or Rayleigh waves. The
surface waves can travel only at the surface in the order of a millimeter depth.

6.6.2 transducer, couplant and inspection standards

The ultrasonic waves are normally generated and received for inspection applications
by the transducer which is working based on the piezoelectric effect. The transducer
consists of a quartz crystal, which generates mechanical vibrations and hence produces
the ultrasonic waves, when a potential difference is applied across the crystal. The
crystal is mounted on a metal case, where the front surface is open for the generation of
ultrasonic waves with protection layer, while the back surface has absorbing materials
which absorb the ultrasonic waves generated at the back side. The cross sectional view
of the transducer is shown in Fig. 6.21.

Metal housing
Electrical connections

Backing materials
Pz crystal
Face plate
(a) Cross sectional view (b) Symbol

Fig. 6.21 Transducer

In order to provide a good acoustic coupling between the transducer and the test
specimen, UT requires good couplant. The couplant also eliminates the air gap between
the transducer and the test specimen. The couplants which are generally used for UT
are of two types, namely, high viscosity and low viscosity. Some of the examples are
oil, water, silicone grease, etc.
The ultrasonic equipment, and the probes are normally calibrated before any test using
reference and calibration blocks. As per the recommendation of the International Institute
of Welding (IIW), three different types of reference blocks are used for the calibration.
They are area amplitude blocks, distance amplitude blocks and test blocks.

6.6.3 inspection Methods

The UT methods are broadly classified based on the nature of propagation of the
ultrasonic waves into the medium. When an ultrasonic wave propagates between
 Non-Destructive Testing 6.23

two media, one part gets reflected and another part gets transmitted into the medium.
Similarly, when the ultrasonic waves propagate in a medium, whenever there is a
change in the acoustic impedance, a part of the wave gets reflected completely or
transmitted into the medium, depending on the nature of the defects.
In UT, three methods, namely, through transmission, pulse echo and resonance
methods are used. In pulse echo method, the reflected ultrasonic waves are used to
identify and characterise the flaw. On the other hand, in the through transmission
method, the transmitted beam will be used to identify and charactrise the flaw. The
above three methods are normally employed in industries for UT studies. Let us discuss
the above methods in brief.
(i) Through Transmission Method The through transmission method consists of
two probes. The first probe generates the ultrasonic signals and is known as transmit-
ter. The second probe receives the signal and is known as receiver. The position of
the transmitter and the receiver probes in through transmission method is shown in
Fig. 6.22. Let d be the thickness of the material. Consider a defect in the material,at
a depth of h from the top surface.

Transmitter m Receiver
probe Sound bea probe

Fig. 6.22 Through transmission method

T
Amplitude

R
Time

Fig. 6.23 Through transmission—CRT screen appearance for defect free specimen

When there is no defect in the specimen, the time domain trace obtained in the
CRT is shown in Fig. 6.23. On the other hand, if there is a defect at a depth h, the
time domain trace obtained in the CRT screen is shown in Fig. 6.24. The amplitude
of the second echo reflects the nature of the defect. When the ultrasonic waves are
completely reflected by the defect (large defect), the transmitted signal is completely
6.24 Engineering Physics

lost. Therefore, the receiver does not receive any signal and the corresponding tie
domain trace is shown in Fig. 6.25.

Amplitude
d
Small
defect

R
Time

Fig. 6.24 Through transmission—CRT scren appearance for small defect sample

h
Amplitude

d
Large
defect

R
Time

Fig. 6.25 Through transmission—CRT screen appearance for large defect sample

The main advantage of this method is its ability to inspect the defects such as large
ingots and castings in high attenuating materials. This method provides only qualitative
assessment of the defects, and not the actual size and location. This method requires a
good couplant to provide good coupling between transducer and specimen, and hence
good time domain traces.
(ii) Pulse Echo Method In UT, the Pulse Echo (PE) method is the most popular
and commonly employed method. A single probe is used for the transmission and
reception of the ultrasonic signal. A schematic representation of the PE method is
shown in Fig. 6.26. In order to identify the defects, the CRT screen is first calibrated
between the initial signal and the time of arrival of the first back wall signal. When
there is no defect in the specimen, the transmitted and back wall echo will appear as
shown in Fig. 6.26 a. On the other hand, if there is defect at a depth h from the top
surface of the specimen, a part of the ultrasonic wave gets reflected from the defect
 Non-Destructive Testing 6.25

and a part at the back of the specimen. The time domain traces obtained in this case
is shown in Fig. 6.26 b. The reflected signals from the defect appear in between the
transmitted pulse and back wall echo. By measuring the distance of the defect echo
from the initial pulse, the depth of the defect is determined. When the defect is larger,
the entire signal is reflected by the defect, and hence the back wall echo disappears.
The observed time domain traces is shown in Fig. 6.26 c.
The PE method provides better results than other testing methods. This method is
used to identify and characterise the flaw. In this method, a single transducer is used
for the transmission and reception of the signal. A single side accessibility is sufficint
for the identification of the flaw.

Transmission pulse
T
Back wall echo
Amplitude

d (a)

Time

T Defect echo
Amplitude

h
Back wall echo
d (b)

Time

Defect echo
Amplitude

d (c)
No Back
wall echo

Time
Fig. 6.26 Principle of pulse echo: (a) Defect-free specimen, (b) Specimen with
small defect, and (c) Specimen with large defect

(iii) Resonance Method Generally, in any materials one can obtain the resonance
condition when the thickness of a material is equal to half of the wavelength of sound
or any multiple thereof. We know that the wavelength of the ultrasonic wave depends
on the frequency. Therefore, one can create the condition of resonance for the thickness
of the plate under test by varying the frequency of the ultrasonic waves. This condition
6.26 Engineering Physics

of resonance is easily recognised by the increase of received pulse amplitude. The

thicknes can be obtained from the relation
n
t= (6.7)
2f

where v is the ultrasonic velocity in the specimen and f the fundamental frequency
of the resonance.

6.6.4 pulse echo testing technique

Generally, the UT are classified into two types, namely, contact and immersion type.
In contact type testing, the probe is placed in direct contact with the test specimen.
In this method, a couplant is used between the probe and the test specimen for better
transmission of ultrasonic waves into the test specimen. On the other hand, in case of
immersion type testing, a waterproof probe is used. The probe is immersed in water
at a distance from the test specimen. Thus, the ultrasonic beam is transmitted into the
test material through a water path or water column.
(i) Contact Type Technique The contact type technique is further divided into three
types: (a) normal beam, (b) angle beam and (c) surface wave technique. Let us discuss
the principle and operation of the above techniques as follows.
(a) Normal Beam Technique In normal beam technique, the ultrasonic beam is
passed into the test specimen in a perpendicular direction. One can use either a normal
beam single or double TR probe for testing. In single probe method, the transmission
of the ultrasonic signals and reflection of the signals from the defect in the test
specimen is as shown in Fig. 6.27. This technique is not effective for the detection of
near-surface flaws and for thin wall thickness measurements due to the occurrence of
a large transmission pulse.

Transducer

Fig. 6.27 Pulse echo technique—Single transducer

In dual or double normal beam technique, one probe is used for the transmission
of the signal into the test specimen, while the other receives the echoes from the flaws
and back wall as shown in Fig. 6.28. This technique is more useful for specimens
with irregular shapes and a non-parallelism between the front and back surface of the
specimen.
 Non-Destructive Testing 6.27

In order to measure the thin wall thickness and near-surface flaw detection, one has
to eliminate the transmission pulse. It is achieved by casing the two transducers in a
same case known as transmission-reception (TR) probes. This technque is known as
TR normal beam technique.
Transmitting probe Receiving prove

Sound reflected
from defect to
receiving unit

Fig. 6.28 Pulse echo technique—Double transducer

(b) Angle Beam Technique In angle beam testing, the ultrasonic waves are transmitted
to the test specimen at a predetermined angle from the test surface. Generally, the
transverse wave probes are used in angle beam testing. However, the modes of waves
transmitted to the test specimen are either mixed longitudinal and transverse or transverse
waves only. The defects which are not detected using normal beam technique are detected
employing transverse waves with angle of refraction between 35 and 80º.
(ii) Immersion Testing Technique Immersion testing technique is further divided into
three types, namely, immersion, bubbler or squirter and wheel transducer technique.
These techniques are normally used in the laboratory level of testing. In this technique,
a uniform couplant condition can be achieved easily, which is an added advantage.
One can generate longitudinal or transverse waves at different angles by changing the
angle of the incident beam. Let us discss the working of the immersion technique.

Manipulator

Probe

Water

Plate

Fig. 6.29 Immersion technique—Longitudinal wave generation by a

normal beam technique

In the immersion technique, both the probe and the test specimen are immersed
in water. The ultrasonic beam, generated by the probe, is directed through the
6.28 Engineering Physics

water into the test specimen. The probe can be fixed at a normal beam technique
(Fig. 6.29), for generating longitudinal waves. Similarly, for generating transverse
waves, the probe will be fixed at an angle as shown in Fig. 6.30.

Probe

Water

Plate 45°

Fig. 6.30 Immersion technique—Transverse wave generation by

an angle beam technique

6.6.5 flaw detector

Flaw detector is an electronically controlled unit. The operation of the flaw detectors
are controlled by the testing person. In ultrasonic testing, the ultrasonic signals are
generated by the means of burst of energy with time intervals. The generated ultrasonic
pulse is passed into the specimen and gets reflected either at the flaw or at the bottom/
other end of the specimen. The reflected signal is received and amplified, and then
connected into the CRT screen. The CRT screen displays the time domain traces of the
signal or other modes of presentation, namely, B-scans or C-scans. The block diagram
of a simple pulse echo flaw detector is shown in Fig. 6.31.
Receiver unit

Single/double Time base

switch generator
Clock or
Transmitter timer

Transducer
a
Speciment
b
c

Fig. 6.31 Block diagram of flaw detector

It consists of an ultrasonic receiver, time base generator, transmitter, testing probe

and CRT screen. A short electrical voltage is applied to the transducer from the
transmitter. The transducer generates the ultrasonic signals and then, it is passed into
 Non-Destructive Testing 6.29

the specimen. A part of the signal is reflected at the surface of the specimen a, a part
of the signal gets reflected at the flaw, if there is a flaw b, and a part at the other end
of the specimen b as shown in Fig. 6.31.
The received signal by the transducer is sent to the receiver unit which consists of
an amplifier, a rectifier and an attenuator. The amplifier is used to amplify the signal
with controlled pulse width. The a.c. voltage signal is rectified by the rectifier. The
amplitude of the signal is varied using the attenuator and is controlled in dB. The
clock or timer triggers the time base generator and the transmitter simultaneously.
This facilitates the ultrasonic pulse from the transducer and an electronic spot on the
CRT screen. The amplified signal by the receiver unit is fed to the CRT screen and it
displays the front surface also as echo a, the reflected waves from the flaw as echo b
and the back surface reflection as echo c. The time domain trace obtained in the abve
process is represented in the Fig. 6.32.

a
Amplitude

c
b

Time
Fig. 6.32 Time domain trace

By measuring the amplitude of the echo b and the distance of the echo b from the
end a, one can determine the depth of the flaw from the surface a of the specimen. The
flaw detector also has the facilities to vary the frequency of generation of ultrasonic
waves, pulse repetition rate, etc., depending on the type of specimen to be tested. One
can also use the through transmission technique for the flaw characterisation using
the flaw detector by selecting the appropriate mode in the flaw detector.

6.6.6 different types of scans

In UT, the ultrasonic signals are transferred into the CRT screen to obtain the image of
the defects. The presentation of the image of defects in the CRT screen are of different
types, namely, A-, B- and C-scan.
(i) A-scan The most commonly used presentation in UT is the A-scan. The time
of flight of the pulse is represented in the x-axis and the amplitude of the echoes are
represented in the y-axis. The schematic representation of the A-scan presentation
of the test specimen is shown in Fig. 6.33. When the defect is absent, there is no
flaw in the specimen. Therefore, the distance between the first echo and back wall
echo gives the thickness of the specimen. The distance between the first echo and
echo due to the defect, locates the depth of the flaw. The information obtained from
A-scan on flaw is only one-dimensional, and hence it requires some mathematical
calculation for the characterisation of the flaw. The A-scan display is used in a
number of applications such as flaw characterisation, thicknes gauging, sound
velocity measurements, etc.
6.30 Engineering Physics

Amplitude
c
b

Time
(a) Probe and sample (b) A-scan display

Fig. 6.33 Typical A-scan display

(ii) B-scan In B-scan presentation, the dimension of the specimen is displayed in

the x-axis, while the travel of the ultrasonic pulse in the specimen is displayed in the
y-axis. The amplitude of the ultrasonic pulse is obtained using the modulation. Thus,
the B-scan presentation gives the cross-sectional view of the specimen. Therefore,
one can determine the length and depth of the flaw in the specimen. A typical B-scan
display of the specimen with defect is shown in Fig. 6.34. The probe is placed on the
test specimen and the reflected ultrasonic pulse is received, and then it is moved over
the surface of the specimen. The portion of the probe on the test specimen is shown
in Fig. 6.34 a. The received pulse on the CRT screen display shows the cros-sectional
view of the specimen Fig. 6.34 b.

Transducer

Specimen
Flow

(a) Probe and sample (b) B-scan display

Fig. 6.34 Typical B-scan display

(iii) C-scan C-scan display is the best method to display the flaw depth. In order to
determine the accurate depth of the flaw, the probe is moved on the test specimen. The
echo of the scan output produces a shaded line with varying intensity which indicates
the absence of flaw. The echo of the scan output without any shading indicates the
flaw shape. Typical C-scan display is shown in Fig. 6.35.

Flaw
Specimen

(a) Probe and sample (b) C-scan display

Fig. 6.35 Typical C-scan display

 Non-Destructive Testing 6.31

6.6.7 applications
Ultrasonic testing is a versatile technology for the NDT and NDE of defect
identifications. The ultrasonic testing has been applied in most stages for quality control
and material inspection. The most important application of UT is the weld inspection.
The UT can be carried out over wide range of components/systems starting from
simple shape little bars/rods to very large objects such as forgings. The general on-line
inspection of UT in industries are production of steel, non-ferrous metal, structure of
the airframes, pressure vessels, ships, bridges, motor vehicles, jet engines, etc. UT is
used for on-line inspection in industries such as rail rods, fatigue cracks and effects of
corrosion equipment, etc. The UT is also used to monitor the fatigue cracks in welds
and corrosions of the power plants, boiler components, etc.
Some of the advantages of UT compared to the other techniques are as follows:
(i) Extremely small size flaws are detected due to the high sensitivity and
reliability.
(ii) Extended to all types of materials due to its wide range of frequency and
mode selections.
(iii) One side accessibility is sufficient for accurate evaluation of the de-
fects.
(iv) Test can be done on large thickness samples/materials.
(v) Automatic and semi-automatic techniques provide accurate evaluation of
the defects.
(vi) The observed results are instantaneous and hence the acceptance/rejection
can be made on the spot.
(vii) It is harmless and hence, operated under any circumstances.
(viii) It is highly portable which leads to on-line inspection.
(ix) It uses low cost components as compared to other techniques.
(x) It can also be used to measure thickness.

6.6.8 limitations
Some of the limitations of the UT are as follows:
(i) It requires a trained person for operating the manual equipments.
(ii) It requires extensive technical skill for the development of inspection
procedure.
(iii) It requires couplant for the effective transfer of ultrasonic signal to the
materials to be tested.
(iv) Calibrating blocks reference and standards are required for standardizing
the equipment and characterizing the defects.

6.7 therMography
All materials emit electromagnetic radiations when they are at a temperature greater
than 0 K. These radiations are predominantly infrared (IR) radiations, whose frequency
occupies between visible light and radio waves in the electromagnetic spectrum.
The IR rays can be converted into a suitable visual image by detecting them with
the help of a detector. Thermography is the process of producing the thermal image
of the object surface by detecting and analysing the infrared radiations emitted from
6.32 Engineering Physics

the object. Most of the commercial thermogram lies in between 0.75 and 15 mm. It
is an important tool in all the fields, such as industry and medical, in view of their
non-destructive, non-invasive, comfortable, easy operations and the interpretation of
the observed results. In most of the thermography instruments, the photovoltaic and
photoconductive infrared radiation detectors are universally employed.
In view of the immense applications of thermography in all the fields, the general
principle, the different types of recording thermogram and their applications in industry
and medicine are given in detail below.

6.7.1 Basic principle

The principle behind thermography is the emission properties of the object. The
radiation emitted by the object is given by the formulae, namely, Kirchhoff’s law
(the coefficient of absorption will be equal to the coefficient of emission under
thermal equilibrium), Stephan–Boltzmann’s law (any high temperature body will emit
more IR radiation), Wien’s displacement law (the wavelength corresponding to the
maximum energy is inversely proportional to the temperature) and Planck’s equation
(the relationship between the spectral emissivity, temperature and radiation energy).
Therefore, the main factors which affect the thermal measurements are emissivity,
surroundings and atmosphere.
The emissivity of a material depends on the nature of the material and condition
which is a critical parameter for the quantitative measurements of temperature. It is
important that the object should be free from radiation sources, otherwise there will be
an enormous increase in the temperature of the radiation from the objects. The effect of
atmosphere is an important effect to be considered. Due to the change in atmosphere,
there is a possibility of loss of radiation from the object and hence, changes in the
spectral characteristics. Thus, it requires a suitable correction such as high temperature
filters and also, a correction factor to take into the ambient temperature and attenuation
due to these filters.
Thermogram is the thermal image of the scanned object surface that can be displayed
as light, dark, grey and hot spots in the CRT screen. The warm areas of the object
appear as light, the cool area as dark and the intermediate temperature areas as grey
on the thermogram. On the other hand, the local disorders (for example, in the medical
field) infection, burns, superficial turmours and general inflammation produce a hot
spot on the thermogram due to the increased object surface temperature as the result
of the increase in blood supply.
The infrared detector used in a photoconductor is made up of a single crystal of
indium–antimony alloy (InSb). The resistance of the crystal changes when a light
radiation is incident on the crystal, depending on the intensity of the incident light.
This change in resistance is translated into voltage variations for further amplifications
and display. The observed infrared radiations from the surface of the object are of
low intensity and hence, the noise or background radiations will disturb the amplified
voltage. The amplified variations in voltage explore the original voltage monitored
on the surface. One can easily reduce the thermal noises by cooling the detector by
liquid nitrogen. The sensitivity of InSb, PbxSn1-x and SnHg1-x Cdx detectors at liquid
nitrogen temperature (77 K) ranges, respectively, from 3 to 6 mm, 8 to 13 mm and 7
to 13, mm. In recent years, detectors like pyroelectric (BaTiO3), with high sensitivity
and stability, can be operated at room temperature without liquid nitrogen.
 Non-Destructive Testing 6.33

6.7.2 detectors and equipment

The thermographic equipment are of two different types, namely, contact and non-
contact telesystem such as thermographic camera. The surface systems are simple
and less costly, but have high resolution. The non-contact system, i.e., tele camera
system has wider engineering and medical applications. The block diagram of the
non-contact system is shown in Fig. 6.36. It consists of an infrared detector, optical
systems, scanning mechanism and associate accessories for recording, storing and
processing the observed images. There are two different types of thermographic
techniques, namely, active and passive. In the active technique, a part/complete object
is subjected to heating/cooling externally and hence, the movement and redistribution
of the temperature profile across the surface is measured. In case of passive technique,
the natural distribution of heat is measured.

Infrared Control B&W/Colour

scanner console monitor

Personal Video thermal

computer recorder

Colour
printer

Fig. 6.36 Block diagram of the thermographic system

The thermographic camera and its working in the field of medicine is described in
the section given below.

6.7.3 thermographic camera

The block diagram of the scanning thermographic camera is shown in Fig. 6.37. The
thermographic camera is fixed just above the table where the object lies. The plane
image scanning mirror reflects the infrared radiation received from the object skin to
the concave focusing mirror to a small infrared detector, through the beam chopper
as shown in Fig. 6.37. The detector converts the incoming infrared signal into an
electrical signal. In order to provide a good reference temperature as that of the skin,
and also to compensate the electronic drift, the incident radiation is chopped by a
polished rotating blade. Thus, the detector will present the image of the skin and the
detector alternatively.
The converted electrical signal is then passed into the CRT after amplification
by the amplifier. A spot of light appears on the CRT whose intensity is a measure of
the temperature of the monitored point on the skin. For obtaining the image of the
infrared scanning of the object, as a first step, the object is scanned by oscillating
the image scanning mirror. Thus, by changing the angle of the scanning mirror,
different strips of the object are scanned. By transforming the movement of the
6.34 Engineering Physics

mirror through the synchronizer and the image of each strip to the CRT, the display
of spot on the CRT is exactly synchronised as that of the corresponding spot on the
skin. Thus, the image displayed on the CRT screen gives the thermal image, i.e.,
temperature distribution of the object. To get the complete thermal image of the
object, the body is scanned both horizontally and vertically. In recent years, the
scanning time ranges from 1 to 2 seconds for approximately 500 – 600 strips. The
resolution of the temperature is better than ± 0.07 ºC. In order to avoid the short
wavelength radiations emitted from the human body, the germanium and silicon
lens focusing elements are employed. The whole set-up is kept under controlled
temperature to increase the speed, accuracy and reliability.

Vacuum flask

Liquid nitrogen
Infrared detector

Amplifier

Beam chopper
Object

Synchroniser Display

Plane image scanning

Concave focusing mirror

Fig. 6.37 Thermographic camera

6.7.4 non-camera detectors

Non-camera detectors are also used to detect the defects in materials. In this
method, the change in temperature on the surface is determined by monitoring the
change in the colour of the cholesteric liquid that is coated on the surface of the
material. The cholesteric liquid is a chemical compound which changes its colour
with change in temperature. It covers the whole range of colour starting from red
to violet, respectively, in the range of temperature 4 – 37 ºC. The material surface
is first coated with a thin layer of black paint, and then the cholesteric liquid is
coated above it. In order to avoid the degradation of the cholesteric liquid, the
measurement has to be carried out immediately after spraying the liquid. The
observed images can be taken as colour photographs, at regular intervals to identify
the defect in the materials.
 Non-Destructive Testing 6.35

6.7.5 advantages of thermographic studies

Some of the advantages of the thermographic studies compared to other studies are
given below:
1. It is possible to assess the problem online.
2. Identification of premature failure leads to extension of components and plan
components life.
3. It is a non-invasive, comfortable and easy operation technique.
4. Easy interpretation of the observed results is possible.
5. It shows high resolution and reproducibility.

6.7.6 applications
Some of the applications of thermography in the field of industry and medicine are
listed as follows:
in industry
Petroleum Industry Thermography is used to monitor the stack temperature,
maintenance of plant equipment such as reaction towers, refining furnaces, ducts, etc.
It is also used to detect the corrosion in oil tank shell and measurements of oil level.
Condition Monitoring It is an ideal technique for condition monitoring of furnace
tubes, gas and fluid transfer lines, etc.
Electrical Power Systems Thermographic inspection can be made on electrical
systems such as core insulation, slip ring temperature, etc., of the turbo generator.
Transmission lines The inspection of transmission lines, sub-stations and distribution
systems are some of the salient features of the thermography in most of the country.
Insulation Checking It is used to explore the insufficient insulation area that exists
in wall by inspection, concrete integrity inspection, etc.
Mechanical System It is used to explore the defects in steam pipes, leakage in pipe
line, heat exchanger quality, efficiency evaluation, flame propagation, explosion
analysis, furnace refractory inspections, heat ventilation, air-conditioning equipment
evaluation, mechanical bearing inspection, power plant, etc. during the working
condition.
in Medicine
The applications of thermography in medicine for diagnosing have been used for many
years and are vital for different studies.
Detection of Tumours One can easily identify the breast and thyroid tumours by
comparing the thermographs of the image of the breast/thyroid. The growth of any
tumour tends to draw more blood than surrounding normal tissues. As a result, the flow
of extra blood leads to a local hot spot that appears as a light area in the thermogram.
This light spot on the image will help to identify the tumours.
Mapping of Blood Vessels The blood vessels are normally used to locate the
constrictions or abnormal dilations, and also to monitor the conditions of blood vessel as
6.36 Engineering Physics

the effects of drugs or diet. For example, in order to explore the constrictions or abnormal
dilation, the skin of the body to be tested is first cooled below normal low temperature.The
cooling is removed and at the same time the thermogram is taken. The thermal images
show light areas on the screen, which is due to the rise in temperature of blood vessels,
since the blood vessels heat up faster than the surrounding tissues. In a similar way, the
effects of drugs or diet on the blood vessels are monitored by the thermograph.
Investigation of Bone Fracture Thermograms are used to detect hairline fractures on
bones which are not detectable using X-rays. This is due to the effect of irritations on
the surrounding tissues and muscles as an effect of fracture. The obtained thermogram
explores the hairline fracture, by observing a hot spot on the screen due to the irritation
caused.
Placental Localisation The thermography is a more ideal method to determine the
locations of the placenta during the pregnancy without any danger to the mother and
child. The increase in placenta leads to an increase in blood flow which results in an
increase in temperature that can be easily trapped from the thermogram. The knowl-
edge of the same is more essential for the safe delivery of the child.
Burns and Frostbite In case of burns, the first degree of burns show a high
temperature due to the reactive hyperaemia, while the second degree burns shows a
lower temperature than the normal temperature of the blood flow. Thus, the changes
in temperature are mapped more precisely using the thermogram, which results in the
identifications of the depth of tissue destructions, for taking necessary further action.

Keypoints to remember

• NDT is an acronym of Non-destructive testing.

• Non-destructive Evaluation (NDE) includes the acceptance and rejection criteria
of the non-destructive process.
• The different testing methods are visual inspection, liquid penetration inspection,
acoustic emission, magnetic particle inspection, radiography, ultrasonic inspection,
eddy current and thermography.
• In visual inspection, the human eye is used as a tool and it requires high sensitive
optical aids.
• Liquid penetrate testing is used to explore the surface-breaking flaws.
• The principle behind LPT is capillary action.
• The experimental procedure used for LPT is surface preparation, penetrant appli-
cation, and removal of excess penetrant, applications of developer, and inspection
and evaluation.
• Radiography testing is used to detect the internal defects, such as porosity and
voids, in materials.
• The process of obtaining a photograph of the object is known as radiography.
• The study of defects using a radiograph is known as radiography.
 Non-Destructive Testing 6.37

• In RT, the locations, shapes, etc., of flaws are determined employing the methods
of Tube Shift (TS) method.
• The different types of radiography are X-ray radiography, gamma ray source and
neutron ray source.
• The exposure factor for a given object in X-ray radiography is

lt
= constant
L2

• Exposure time in gamma ray radiography is defined as the ratio between the
exposure factor and source strength at present.
• The attenuation of radiation in a materials is I = Io e-mx , where Io is the intensity of
incident radiation at x = 0, I the intensity of emerging radiation out of the specimen
and m, the linear absorption coefficient.
• The total absorption of radiation in a material is the sum of the process due to the
photoelectric effect, Rayleigh scattering, Compton scattering and pair production.
• In radiography, a large number of sensitive parameters like film-type, source to
film distance, film density, etc., are determined using penetrameter.
• Different types of testing in RT are single-wall single-image, double-wall penetra-
tion, double-film and special technique.
• Fluoroscopy is the process of obtaining the image of an object by converting
X-rays into light on the fluorescent screen. It is also called real time-radiography.
• The principle behind ultrasonic testing is the transmission and reflection or
scattering at any surface (or) internal discontinuity in the medium.
• Differents model of propagation of ultrasonic waves are longitudinal, shear and
surface waves.
• The ultrasonic waves are generated based on the principle of piezoelectric effect.
The transducers are used for the generation of waves.
• UT inspection methods are three types, namely, through transmission, pulse echo
and resonance method.
• The different methods in pulse echo techniques are contact types, angle beam, and
immersion testing techniques.
• Flaw detector is an electronically controlled unit used to characterise the flaw
employing the UT.
• Different types of UT scans are A-scan, B-scan and C-scan.
• In thermography, the image of the object is obtained by observing the image of
the object surface by detecting and analysing the infrared radiations emitted from
the object.
• The principle behind thermography is the emission property of the object.
• Non-camera detectors are used to detect the defects in materials, i.e, the change in
the surface temperature is monitored by changing the colour of cholesteric liquid
which is coated on the surface of material.
• Thermography imaging is a non-invasive method.
6.38 Engineering Physics

solved problems

Example 6.1 Determine the sensitivity of a 50 mm thick steel wire for

a 1mm hole diameter discernible on the radiograph.
Given Data
Thickness of the metal = 50 mm
The hole diameter discernible on the radiograh = 1mm
Solution The sensitivity percentage
Smallest hole discernible on the radiograph
= ¥100
Thicknessof metalundeer test
1
= ¥ 100
50
= 2%
The percentage sensitivity of the wire is 2%.
Example 6.2 Determine the exposure factor for a radiograph at a distance of
1 m from the source to the film for an exposure time of 60s. Given that the tube
current is 20 mA.
Given Data
The tube current, I = 20 ¥ 10-3 A
The source to film distance, L =1m
The expoure time, t = 60 s
lt
Solution Exposure factor = ¥ 100
L2
Substituting the values of I, t and L2 in the above equation, we get,
20 ¥10-3 ¥ 60
Exposure factor =
l2
= 1.2
The exposure factor is 1.2.
Example 6.3 Determine the thickness of the aluminium absorbed to cut
down the intensity of the X-ray beam to 1/20 of its initial value. Given that the
linear absorption coefficient of aluminium for X-rays having wavelength about
0.32 Å is 1.62 cm-1.
Given Data
The reduction in the intensity, I/I0 = 1/20
 Non-Destructive Testing 6.39

The liner absorption coefficient, m = 162 cm-1

Solution We know that, I = I0 e-mx
I
-mx
or I0 = e

Substituting, the values of I, I0 and m in the above equation, we get,

1
= e-1.62x
20
or 20 = e1.62x
loge 20 = 1.62x
log e 20
or x=
1.62
= 1.85 ¥ 10-2 m
The thickness of the aluminium is 1.85 ¥ 10-2 m.
Example 6.4 For 200 kV X-rays and steel, the absorption coefficient m has
a value of 2 cm-1. In case of a 2.5 cm thick steel, what is the percentage of
transmitted X-rays? Also, determine the half value thickness of the specimen.
Given Data
The thickness of the material, x = 2.5 ¥ 10-2 m
The linear absorption coefficient, m = 2 cm-1
Solution We know that I = I0 e-mt
I
-mt
or I0 = e

Substituting the value of m and x in the above equation, we get,

= e-2 ¥ 2.5 = e-5
= 0.7%
The percentage of transmitted X-rays from 2.5 cm thick steel is 0.7 %.Similarly,
for half value thickness (dh),
I 1
= = e-mdh
I0 2
= e-2dh
e2dh = 2
or loge2 = 2dh
The half value thickness,
log e 2
dh =
2
6.40 Engineering Physics

0.693
= = 0.34657 cm
2
The half value thickness of the specimen is 3.5 ¥ 10-3 m.
Example 6.5 For 20 mm steel at 300 mm source film distance, the exposure
factor is 0.35 curie hour. Initially the iridium 192 source has a strength of
10 curie. Now its age is 50 days. From the decay chart, it is found that after
50 days, its strength is 5 curie only. Determine the necessary exposure time.
Given Data
The exposure factor = 0.35 curie hour
The present sorce srength = 5 curie
Exposure factor
Solution Exposure time =
Sourcesrength at present
0.35curie hour
= = 0.07 h
5curie
= 4.2 min
The exposure time is 4.2 min.
Example 6.6 In the tube shift method, film focus distance is 20 cm. The distance
between the images of the flaw on the film is 0.5 cm. The displacement of the X-ray
tube is 5 cm. Calculate the location of the flaw from the top surface of the steel
specimen of 5 cm thickness. Assume the thickness of the flaw is negligible.
Given Data
The film focus distance, fd = 20 ¥ 10-2 m
The displacement of the X-ray tube, S + Sd = 5 ¥ 10-2 m
The thickness of the specimen = 5 ¥ 10-2 m
Solution The distance of the flaw from the bottom surface of the steel
specimen is
f d Sd
d=
( S + Sd )
Substituting the value of f, Sd and S in the above equation, we get,

20 ¥10-2 ¥ 0.5 ¥10-2

d=
5.5 ¥10-2

= 1.8 ¥ 10-2 m
The location of the flaw from the top surface of the steel specimen
= 5 ¥ 10-2 – 1.8 ¥ 10-2
= 3.2 ¥ 10-2 m
The location of the flaw from the top surface is 3.2 ¥ 10-2 m.
 Non-Destructive Testing 6.41

objectives questions

6.1 Defects and inhomogenity in materials are studied by ________ technique.

6.2 The human eye is used as tool for ________ inspection.
6.3 Internal surface of tubes and pipes, and the holes in machines are examined
using ________.
6.4 The surface crack and defect in the components are determined with very high
precision using _________ method.
6.5 The liquid is drawn into the crack in liquid penetrant testing due to
a) capillary action b) surface tension
c) high viscosity d) low viscosity
6.6 _________ forces are responsible for the surface tension.
6.7 In LPT, the following arrangement is not required.
a) Preparation of good surface b) Propagation of penetrant liquid
c) Selection of suitable edge d) Chemically unstable penetrant
6.8 LPT fails in testing _________ materials.
6.9 Radiography testing is used to detect the internal defects such as ________ and
______ in materials.
6.10 In radiography, location of flaw from the bottom surface of an object is obtained
using the relation
f d Sd f d Sd
a) d = b) d =
( S + Sd ) 2
( S - S d )2
f d Sd f d Sd
c) d = d) d =
( S - Sd ) ( S + Sd )
6.11 Types of X-rays are ______ and ________.
6.12 The penetrating power of soft X-rays in material is _______ mm.
6.13 _________ mm is the penetrating power of hard X-rays in steel.
6.14 The properties of gamma rays are similar to
a) electron b) X-rays
c) Electromagnetic rays d) b-rays
6.15 The energy of thermal neutron lies between _____ and _________.
6.16 __________ and __________ is the energy of the cold neutrons.
6.17 The expsure factor or a given object in X-rays is

a) I = constant b) I = constant
L L2

c) I = 0 d) None of the above

L
6.18 The attenuation of radiation in material at adistance x from the surface is
a) I = Ioemx b) I = Ioemx2
c) I = I2oemx d) I = Ioe-mx
6.42 Engineering Physics

6.19 In pair production, the incident _______ disappeares due to electron-position

pair production.
6.20 The sensitivity of radiography is measured using _______.
6.21 ______ camera is used in real time radiography to obtain the image.
6.22 The frequency of ultrasonic waves is above ________ kHz.
6.23 __________ is used to generate and receive the atomic waves.
6.24 In ultrasonic technique method, the thickness of materials is obtained using the
relation,
n n
a) t = b) t =
2f2 2f

n2 2n
c) t = d) t =
2f f
6.25 In group–III television fluoroscopic system, number of sensitive X-ray elements
present in a 3 mm x 1 mm array is _______.
6.26 The probe which generate the ultrasonic signals is known as __________.
6.27 ______ probe is used to receive the ultrasonic signals.
6.28 ________ is the most commonly used presentation in UT method.
6.29 UT testing does not require the following for flaw characterisation.
a) a trained person b) a couplent
c) a flaw d) a calibrating block
6.30 The frequency of the radiation which lies between visible light and radio waves
in electromagnetic spectrum is ________.
6.31 __________ radiation emitted from object surface is used to obtain thermography
images.
6.32 The frequency of commercial thermographs lies in between ____ and ____
mm.
6.33 The principle behind thermography is the ___________.
6.34 According to Stephan-Boltzmann, high temperature body emits more ______
radiations.
6.35 The following are the main factors which affects thermography
measurements
i) emissivity, surroundings and atmosphere
ii) emissivity, surface nature of object and temperature
iii) emmisivity, surface area of object and frequency of radiation
iv) emissivity, operating frequency and atmosphere
6.36 The detectors which is used to operate at room temperature in thermography
is known as ___________.
6.37 In non-camera thermography, change in the surface of object is monitored by
coating ________ liquid.

Key
6.1 NDT 6.2 Visual
6.3 industrial teleshapes 6.4 Liquid penetrant
6.5 a 6.6 cohesive
6.7 d 6.8 highly porous surfaces
 Non-Destructive Testing 6.43

6.9 porosity, voids 6.10 d

6.11 soft and hard 6.12 10-4
6.13 500 6.14 b
6.15 0.01, 0.3ev 6.16 0, 0.01 eV
6.17 b 6.18 d
6.19 Photon 6.20 image quality indicator
6.21 CCTV 6.22 20
6.23 Transducer 6.24 b
6.25 600 6.26 transmitter
6.27 receiver 6.28 A-scan
6.29 d 6.30 infrared radius
6.31 infrared 6.32 0.75, 15
6.33 emission properties 6.34 infrared
6.35 i) 6.36 pyroelectric
6.37 cholestric

short answer questions

6.1 What is meant by NDT?

6.2 What are the classifications of testing methods?
6.6 Define visual inspection.
6.7 Explain the principle behind visual inspection.
6.8 Mention few general information obtained from VI.
6.9 Why is the optical aid required in visual inspection?
6.10 Explain liquid penetrant testing.
6.11 What is the basic principle behind liquid penetrant testing?
6.12 Why is the cleaning of surface essential in LPT?
6.13 What are the different stages of LP testing?
6.14 What is the role of developer in LP testing?
6.15 How is the defect identified in LP testing?
6.16 Mention some of the characteristics of testing materials in LPT.
6.17 What is meant by penetrant?
6.18 Mention few applications of LPT.
6.19 What are the advantages of LPT over other techniques?
6.20 What is meant by limitations? List out a few limitations in case of LPT.
6.21 What is meant by radiography?
6.22 Explain the principle behind radiography.
6.23 What are the different types of radiography?
6.24 Explain how the radiography is classified into different types.
6.25 What is meant by gamma ray radiography?
6.26 Explain neutron radiography.
6.27 Define the attenuation of radiography in material.
6.28 What are the different types of interactions?
6.29 What takes place with atom in the materials during the propagation of X-ray?
6.44 Engineering Physics

6.30 What is meant by Rayleigh scattering?

6.31 Explain how the X-rays interact with film.
6.32 Explain how the radiographic imagining is obtained.
6.33 Explain why the radiographic film is different from conventional film.
6.34 What is meant by inherent unsharpness?
6.35 What are the different techniques used for radiography and explain how one
can select a suitable technique?
6.36 What is meant by superimposing?
6.37 Explain double film technique.
6.38 Explain multi wall penetration technique.
6.39 What is meant by real time radiography?
6.40 What is meant by image intensifier?
6.41 Why is the image intensifier used in X-ray radiography?
6.42 Why is the television fluorescence system used in X-ray radiography?
6.43 Mention some of the applications of radiography in industries.
6.44 What are the limitations of X-ray radiography?
6.47 What is meant by ultrasound?
6.48 Explain the principle behind the ultrasonic testing.
6.49 What are the different modes of ultrasonic waves?
6.50 Explain how transverse and shear waves are different from each other.
6.51 What is meant by transducer?
6.52 What are the different methods used in ultrasonic testing in industries?
6.53 Explain the through transmission method.
6.54 What is meant by pulse echo method?
6.55 Explain how the through transmission and pulse echo methods are different
from each other.
6.56 What is meant by resonance?
6.57 What are the different types of testing in contact type of testing?
6.58 Differentiate between normal and angle beam ultrasonic testing.
6.59 What is meant by immersion testing?
6.60 Define flaw detector.
6.64 Mention some of the applications of ultrasonic testing in industries.
6.65 What are the limitations of ultrasonic testing in industries?
6.66 What is thermography?
6.67 Explain the principle of thermography.
6.68 Explain why atmospheric change affects the IR radiation from the object.
6.69 Explain the materials used as infrared detectors.
6.70 What is meant by constant telesystem?
6.71 What is meant by active thermography?
6.72 What is meant by passive thermography?
6.73 How is the light radiation converted into electrical signal?
6.74 What is meant by chopping?
6.75 Mention any two applications of thermography in industry.
6.76 Mention any two applications of thermography in medical field.
 Non-Destructive Testing 6.45

descriptive questions

6.1 Explain briefly how the surface flaws are evaluated using liquid penetrant
testing.
6.2 What is meant by liquid penetrant testing? Explain the different techniques
along with their limitations and applications.
6.3 What is meant by magnetic particle testing? Explain the basic principle and
the different techniques with suitable illustrations.
6.4 Explain the principle behind radiography. What are the different types of
radiography? Explain with suitable sketch.
6.5 Explain with neat sketch, the various techniques used for radiography to
characterize the flaw.
6.7 What is meant by fluoroscopy or real time radiography? Explain with neat
sketch the working of television fluoroscopic system.
6.8 What is meant by image intensifier? Compare with neat sketch, the
performance of the different stages of television fluoroscopic systems.
6.9 What is the basic principle in ultrasonic testing? Explain with neat sketch
the different testing methods used in ultrasonic testing.
6.10 Explain with neat sketch how the flaw is characterised using the pulse echo
technique.
6.11 What is meant by ultrasonic flaw detector? Explain the different methods of
defect display methods with suitable examples.
6.12 Compare the relative merits of various NDT methods which are used for
flaw characterization.
6.13 Explain with block diagram the non-contact telesystem thermography along
with industrial applications.
6.14 Explain with neat sketch the working of thermography camera and explain
how the mapping of the defects in the surface of the object is made.
6.15 Write an essay on the thermography principle, working and applications,
both in industry and medicine.
 Chapter

Interference
7

OBJECTIVES
• To study the principle of interference, interference pattern and its applications
• The study the mechanism of obtaining interference pattern in a thin film and a
wedge-shaped film
• To study the principle, working and applications of a Michelson interferometer
• To study the principle, coating structure and applications of antireflections coating
in optical instruments
• To study the principle, working and application of etalon

7.1
I Interference is an important phenomenon used for many applications such
n as determination of wavelength of light source and thickness of transport
t material film. The principle behind the interference is the superimposition
of one light wave over another. As a result of superimposition of two light
r energies, the intensity of the resultant light is distributed as maximum
o and minimum intensity. The formation of maximum intensity is known
d as constructive interference which is formed due to the overlapping of
u the crest of one wave on the crest of another light wave. On the other
hand, when the crest of one wave falls on the trough of another wave, it
c
gives the minimum intensity and is known as destructive interference.
t Rainbows observed during rainfall is due to interference pattern produced
I by sunlight.
o In this chapter, the principle, operation and applications of
n interferometers are discussed along with suitable illustrations in detail.

7.2 Interference produced In thIn fIlms

due to reflected lIght
Consider a transport film XYWZ of thickness t and refractive index m as shown in
Fig.7.1. XY and WZ are respectively the upper and lower surfaces of the film. Consider
that a ray of light AB is incident on the upper surface of film at an angle i. At the point
 7.2 Engineering Physics

B, a part of the ray is reflected as BC, while a part of the ray is transmitted through the
film as BD. The angle of the refracted beam is r. The transmitted ray is partly reflected
as DF at the lower surface WZ of the film and partly transmitted as DE. Similarly, the
ray DF undergoes reflections and refractions respectively as FH and FG at the upper
surface of the film XY.
The path difference between the two rays is determined by considering two rays,
namely, ABC and ABDFG. The distance traveled by ray ABDFG is more than that
traveled by ABC. In order to determine the path difference, draw a perpendicular line
from the point F to the line BC. Hence, the line JF is normal to the line BC.
Therefore, the path difference between the two rays is
x = m(BD + DF) – BJ (7.1)
C G
A
J
i

N i
X Y
B F

m t r r r

W Z
D H
E

Fig. 7.1  Interference—thin films

Consider the triangle BDN

cos r = DN
BD
DN t
BD = =
cos r cos r
Similarly, from Dle DNF
t
DF =
cos r

t t
Therefore, BD + DF = + (7.2)
cos r cos r
Further, from Dle BDN
BN
sin r =
BD
BN = BD sin r
Therefore, BF = 2 BN = 2 BD sin r (7.3)
 Interference 7.3

Substituting the value of BD in eq (7.2), we get,

t
BF = 2 sin r (7.4)
cos r
Consider the Dle BFJ,
BJ
sin i =
BF

Therefore, BJ = BF sin i (7.5)

From Eqs. (7.4) and (7.5),
2t sin i sin r
BJ = (7.6)
cos r
According Snell’s law,
sin i
m=
sin r
\ sin i = m sin r (7.7)
Substitute the value of sin i, in Eq. (7.6), we get,
2t sin r. m sin r
BJ = (7.8)
cos r
Substituting the value of BD + DF and BJ from Eqs. (7.2) and (7.8) in Eq. (7.1),
we get,
m 2t 2 m t
x= - sin 2 r
cos r cos r
2m t
= (1 - sin 2 r )
cos r
= 2 m t cos r

We know that BC is the reflected ray while FG is the transmitted ray. Therefore,
there is a phase change p degree or an additional path difference l/2 between these
two rays. Therefore, the total path difference is
l
x = 2 m t cos r - (7.9)
2
We know that the condition for bright fringe, i.e., path difference is an integral
multiple of l, (i.e., n = 1,2,3,…).
l
Therefore, 2 m t cos r - = nl
2

or 2 m t cos r = Ê 2n + 1ˆ l (7.10)
ÁË ˜
2 ¯
Similarly, the condition for a dark fringe, the path difference is equal to half integral
multiple of l,
 7.4 Engineering Physics

l l
Therefore, 2 m t cos r - = (2n - 1)
2 2
or 2 m t cos r = nl (7.11)
The conditions for bright and dark fringes are given by Eq. (7.10) and (7.11)
respectively.

7.3 AIr Wedge

An air wedge is a wedge-shaped air film which is obtained in between two glass plates.
The experimental arrangement used to produce the air film is shown in Fig. 7.2. The
air wedge is used to measure the thickness of a thin sheet of paper and also to test the
planeness of a glass plate.

C
A B

Fig. 7.2  Air film—wedge shaped

Consider two glass plates AB and CD, which are placed one above the other as
shown in Fig. 7.2. One end of the glass plates are tied using a rubber band while on
the other end, a thin sheet of paper whose thickness is to be measured is introduced.
A wedge-shaped air film is formed between the two glass plates. The thickness of the
film at the paper is maximum while it is minimum at the point of contact of the two
glass plates. When a light ray is incident perpendicular to the top surface of the glass
plate, an interference pattern is formed. The interference pattern consists of alternate
bright and dark parallel fringes.
The interference pattern consists of alternate fringes. Consider that the nth bright fringe
is formed at a distance xn from the tied end. Then, the condition for bright fringe is,
(2n + 1)
2 m tn cos r = l (7.12)
2
where t is the thickness of the film and m the refractive index of the air film. We
know that for normal incidence of light, i = 0. Similarly, the angle of refraction is very
small for normal incidence and hence cos r = 1.We know that for air, m = 1. Applying
the above conditions, the condition for bright fringe is

2tn = (2n + 1) l (7.13)

2
Consider that the next bright fringe (n + 1)th fringe occurs at xn+1. Let tn+1 be the
thickness of the air film at xn+1.
Therefore, condition for (n + 1)th bright fringe is
2tn+1 = (2(n + 1) +1) l
2
 Interference 7.5

or 2tn+1 = (2n + 3) l (7.14)

2
Subtracting Eq. (7.13) from Eq. (7.14), we get,

3l l
2(tn+1 – tn) = - =l
2 2
or tn+1 – tn = l (7.15)
2
Equation (7.15) indicates that the next bright fringe (n + 2) takes place at l/2, which
is equal to the distance between the (n + 1)th and (n + 2)th bright fringe.
Consider that there are n bright fringes between the distance xo and xn. These fringes
are formed at x1,x2,… xn respectively at the corresponding film thickness t1, t2,… tn.
Therefore, the distance between x0 and xn is
l
tn – to = n (7.16)
2
Let the distance, xn x0 = x.
t n - t o nl
Therefore, q= =
x0 xn 2x
Rearranging the above equation, we get
nl
x= (7.17)
2q
Substituting, the values of n = 1, 2,3,….. The position of the 1st, 2nd, 3rd ..... nth
bright fringes are obtained from the above equation by taking n = 1, 2, 3…..
l
n = 1, x1 =
2q
2l
n = 2, x2 =
2q
3l
n = 3, x3 =
2q
4l
n = 4, x4 =
2q
................

Therefore, when x = n,
xn = nl (7.18)
2q
Let b be the fringe or bandwidth, i.e, the distance between any two successive
fringes.
Therefore, b = x2 – x1 = x3 – x2, etc,
l
or b= (7.19)
2q
 7.6 Engineering Physics

p
t3 t4 tn
t0 t2
t1
x0 x x x3 x4 x A

Fig. 7.3  Air wedge

Let l be the length of the glass plate and t, the thickness of the paper which is
introduced between the glass plates.
Therefore, from Fig. 7.3,
t
q= (7.20)
l
Substituting the value of q in Eq.(7.19), we get
ll
b=
2t
Therefore, the thickness of the paper

ll
or t= (7.21)
2b
where l is the length of the glass plate and l the wavelength of monochromatic
light.
Equation (7.21) gives the value of the thickness of the paper introduced in between
the two glass plates.

7.3.1 Applications of Air Wedge

The principle of forming a wedge shaped air film between glass plates is used to test
the plainness of a glass plate and to measure the thickness of a thin sheet of paper.
(i) Testing of Flat Surfaces The testing of flat surface of a glass plate is carried out
by forming the airwegde and measuring the fringe pattern. The glass plate for which the
planeness is tested is placed above the optically flat glass plate. Thus, the interference
pattern forms an air film in between the glass plate. The observed interference pattern
is used to test if the given glass plate is flat or not. When the observed fringes are of
equal thickness and straight lines, then it shows that the given glass plate is flat. On
the other hand, when the observed fringes are straight and coloured, it shows that
the glass plate is not flat. The same can be explained by considering the necessary
condition for a bright fringe.
We know that the condition for bright fringes are
2 mt cos r = (2n + 1) l (7.22)
2
 Interference 7.7

When the incident beam is normal (cos r = 1) and the medium is air (m = 1), the above
equation can be written as,
l
t = (2n + 1) (7.23)
2
It is clear that the value of n determines the interference pattern. When straight-
line fringes are obtained, it means that the thickness of the air film and flatness of the
given glass plate are constant. On the other hand, if the glass plate is not flat, it gives
non-uniform air-film thickness and hence, coloured fringes. The observed coloured
pattern indicates that the glass plate is not flat. The accuracy of the measurement of
flatness depends on the wavelength of light used.
(ii) Determination of Thickness of a Thin Sheet of Paper The thin sheet of paper
whose thickness is to be measured is kept at one end of the two glass plates AB and
CD. The air wedge is formed in between the glass plates. The monochromatic light
from the source S is made incident on the glass plate which is kept at an angle of 45o
to the direction of light after passing through the lens L. The incident rays are reflected
at the glass plate G towards the air wedge as shown in Fig. 7.4.

S
G
L
D
C
A B

Fig. 7.4  Air wedge—experimental arrangement

A part of the incident rays get reflected from the upper surface of the glass plate AB
while the remaining part gets reflected from the bottom surface of the glass plate CD,
passing through the first glass plate. There is a path difference between the rays reflected
from the top surface of the glass plate AB and glass plate CD and hence, the superposition
of rays takes place. As a result, an interference pattern is formed. The interference pattern
which consists of alternate bright and dark fringes is seen through the microscope M.
Consider any one of the bright or dark fringes as the nth fringe. The microscope
readings for n, n + 5, n + 10, n + 15 up to n + 15 fringes are taken. The fringe width
b for the pattern is obtained from the microscope reading. Let l be the length of the
glass plate and t the thickness of the paper
Therefore, the thickness of the paper
ll
t= (7.24)
2b
where l is the wavelength of monochromatic light.
Equation (7.24) is used to determine the thickness of the given paper.
 7.8 Engineering Physics

7.4 AntI-reflectIon coAtIng

When a material is coated on the surface of a glass plate, it minimises the reflection of
light from its surface. The coating is known as anti-reflection coating or non-reflecting 
film. The material whose refractive index lies between the refractive index of air
(m = 1) and glass plate ((m = 1.5) is used for coating. A typical anti-reflection coating
on a glass plate and the performance of light reflection is shown in Fig.7.5. Consider
na, n2 and n2 are respectively the refractive index of air, coating and glass material.
When a light ray AB is incident on the upper coating surface S1, it gets reflected along
BC. The transmitted ray BD, gets reflected from the surface S2 as DE and then refracted
at the surface S1, as EF. There is a path difference between the rays ABC and ABDEF,
and hence, a phase change p is obtained between the two rays.
A C F

B E
S1
Coating
S2
D

Glass

Fig. 7.5  Anti-reflection coating

We know that for destructive interference, the path difference should be equal
to l / 2 .
l
Therefore, 2nt cos r = (7.25)
2
where r is the angle of incidence, n the refractive index of coating and l the
wavelength of light. We know that for normal incidence, cos r = 1.
Therefore, Eq. (7.25), can be written as,
l
2nt =
2
or
l
t= (7.26)
4n
The optical thickness of the film is

nt = p/2 (7.27)

Consider that a single film of thickness t refractive index n1, is coated on a glass
plate whose refractive index is n2. The reflection coefficient of the combination of
three medium (film, glass and air) is
n1 (1 - n2 ) cos kt - i (n2 - n 12 )sin kt
r= (7.28)
n1 (1 + n2 ) cos kt - i (n2 + n12 )sin kt
 Interference 7.9

When the value of kt = p/2 is equal to the optical thickness of film, nt = l/4.
Therefore, the reflectance

r =
(
-i n2 - n12 ) (7.29)
-i ( n 2 +n )2
1

Hence, the reflectance of quarter-wave film is,

2

R = r =
(n2 )
- n12
(7.30)
2 2
(n2 +n )
1

R = 0, when the reflectance is minimum. The above equation can be written as

n1 = n2 (7.31)

The thickness of an optical coating is an effective tool to reduce the reflectance.

For a particular wavelength of visible spectrum, the thickness of the coating film
is equal to its optical thickness l/4. For example, magnesium fluoride (n = 1.38)
coated glass reduces its reflectance to less than 1% from 4% in an ordinary glass.
In optical instruments, an anti-reflection coating helps to control light reflectance.
For example, a multilayer anti-reflection coating used in a high-quality camera lens
reduces the haziness and hence improve the brightness of the image. The multilayer
coating consists of different materials with different refractive indices. For example,
two and three layer coatings are made by an approximate selection of materials. A
two-layer coating which is made of up one high and one low refractive index of the
materials are used to obtain zero reflectance for a particular wavelength. Similarly,
a three-layer coating is used to obtain the zero reflectance for two wavelengths. The
reflectance as a function of wavelength for different anti-reflecting film coatings is
shown in Fig. 7.6.

table 7.1 Different materials used for coating along with layer types and refractive indices

S.No Materials Types of layer Refractive index n

1. ZrO2 H 2.1

2. TiO2 H 2.4

3. ZnSO4 H 2.32

4. MgFO2 L 1.38

5. CeF L 1.63

Generally, a two-layer film is denoted as gHLa represents glass high index layer,
low index layer and air medium. The materials used as low and high layers and their
refractive indexes are given in Table 7.1.
7.10 Engineering Physics

5
Uncoated glass
4
Layer 1
Reflectance (%) 3

2 Layer 2

1 Layer 3

0
4000 5000 6000 7000
Wavelength (A)
Fig. 7.6  Reflectance versus wavelength of anti-reflection coating—plot

7.5 multIlAYer perIodIc sYstem

Instead of two or three layers of coating, a multilayer coating with number of
alternate high and low index materials is used for many applications, such as
filters. A schematic diagram of multilayer coating is shown in Fig. 7.7. A simple
multilayer periodic system consists of a stack of alternate layer of high-index
(nH) and low-index (nL) materials, and the layers are represented by S1, S2, S3, S4,
S5 and S6. The thickness of each layer is equal to one-fourth of its incident light
wavelength. The schematic representation of double high and low refractive index
layers, namely double quarter (gHLa) and quarter-wave stack (g(HL)3a) are shown
respectively in Fig. 7.7.

Air
Air

nO
S1
S2 nL
S3 nH
S1
S4 nL
Coating
S5 nH
S2
S6 nL
nH
Glass
Glass substrate nS
(a) Double quarter (gHLa) (b) Quarter wave-stack (g(HL)3a)
Fig. 7.7  Multilayer films

Consider that the refractive indices of air and substrate are equal to unity. Therefore,
the reflectance of 2 n layers is,
 Interference 7.11

2
È Ê -n ˆ N Ê -n ˆ N ˘
ÍÁ H ˜ - Á L˜ ˙
2 Í Ë nL ¯ Ë nH ¯ ˙
R = r = Í N N ˙ (7.32)
Í Ê - nH ˆ + Ê - n L ˆ ˙
Á ˜ ÁË n ˜¯ ˙
ÎÍ Ë nL ¯ H ˚
Simplifying the above equation, we get,
2
È Ê n ˆ 2N ˘
ÍÁ H ˜ -1˙
ÍËn ¯ ˙
R = Í L 2N ˙ (7.33)
Í nHÊ ˆ ˙
+ 1
ÍÎ ÁË nL ˜¯ ˙˚

Equation (7.33) indicates that the reflectance becomes unity for large value of N. A
maximum reflectance is obtained only for a particular wavelength. On the other hand,
the reflectance region is broadening either using layers with different thickness or
increasing the ratio of index (nH/nL). The maximum reflectance is achieved employing
a multilayer film with high-index materials, namely, g(HL)mHa. The multilayer film
finds wide applications such as heat reflectivity and transmitting mirrors, filters, etc.
15-layer
1.0
7-la er
0.8 5-layer
Reflectance

0.6

0.4

0.2

400 500 600 700

Wavelength (nm)

Fig. 7.8  Reflectance versus wave length of multilayer high reflectance film—plot

7.6 hIgh-pAss And loW-pAss fIlters

The observed small peak on the short wavelength side of the central zone is decreased
exploring a low index with a thickness of l/8. The corresponding structure is
represented as,
g (0.5L) (HL)m (0.5L)a
The transmittance of the above structure is high at high frequency and hence, it is
known as high-pass filter. Similarly, a high transmittance at low frequency is obtained
using the following structural arrangements. The above structure is used to obtain high
transmittance at low frequency and hence it is known as low-pass filter.
g (0.5H) L(HL)m (0.5H)a
7.12 Engineering Physics

7.7 Interference fIlter (fABrY–perot

Interference fIlter)
A Fabry–Perot interference filter arrangement is similar to a Fabry–Perot etalon
with small spacing, which consists of a layer of dielectric material with a thickness
of l/2. The dielectric material is bound to partially reflecting surfaces on both sides.
The transmission curve for this filter arrangement is shown in Fig 7.9. It has peak
at the wavelength l. It is possible to block almost all the higher-order peaks which
occur at different wavelengths l/2, l/3, l/4… and so on, by using absorbing filters
of colored glass.
L H L H L H H L H L H L

� � � � � � � � � � �
4 4 4 4 4 2 4 4 4 4 4

(a) Fabry-Perot interference filter

1.0

0.8
Transmittance

0.6
0.4

0.2

�
Wavelength (Å)

(b) F-P Transmission curve

Fig. 7.9  Interference filter 

The above structure is made possible in any one of the following non-absorbing
Fabry–Perot filter structure employing materials of low index L and high index
materials with thickness l/4.
Structure 1 : g HLH LLHLHa
Structure 2 : g HLHL HH LHLHa
 Interference 7.13

In both the structures, the central double layer, namely, LL and HH form the Fabry–
Perot cavity with a thickness of l/2. The influence of this cavity on the reflectance for
a particular wavelength is nil. The schematic representation of a Fabry–Perot filter
and the response of transmission curve are shown in Fig. 7.9.

7.8 mIchelson’s Interferometer

Michelson’s interferometer is working based on the principle of interference of light.
It consists of mirrors, glass plates and a telescope. The schematic representation of
Michelson’s interferometer which is used to observe the formation of interference
fringes is shown in Fig 7.10. The two plane mirrors M1 and M2 are placed at right angles
to each other. The mirror M1 is fixed while M2 is adjustable. The mirror M2 consists
of three leveling screws at the back portions which are used to adjust the two mirrors
M1 and M2 to make them perpendicular to each other. G1 and G2 are optically parallel
glass plates-made up of the same material and having the same thickness. These two
glass plates are placed parallel to each other at an angle of 45o to the incident beam.
The back side of the glass plate G1 is semi-coated with silver which helps to split the
incident light beam in two beams. The monochromatic light from the source S is made
to fall on the lens L to get a parallel beam of light. The observed interference pattern
is viewed through the telescope T.

M1
M' 2

L G1 G2

S M2

T
Fig. 7.10  Michelson’s interferometer 

7.8.1 Working
The monochromatic light from the source S is made to fall on the lens L. The lens L
converts the monochromatic light into a parallel beam of light. The parallel beam of
light is made to fall on a half-silvered glass plate G1, which is at an angle of 45o to
7.14 Engineering Physics

the direction of the beam. The incident light is split up into two parts (Fig.7.10) at
G1. The reflected part of the beam travels in a direction at right angles to the incident
beam and fall on the plane mirror M1. The reflected light from M1 is incident on G1
and gets refracted through G1. The refracted light enters the telescope T. On the other
hand, the transmitted part of the incident beam travels along the direction of initial
beam, and falls normally on mirror M2.
The light gets reflected from the mirror M2 and returns to the silicon-coated surface
of glass plate G1 on the same plate. The light gets reflected at G1 and then is incident
on the telescope. The two reflected beams interfere and hence, interference fringes
are formed. The observed interference pattern is viewed through the telescope T. The
reflected beam at G1 travels a to-and-fro path from G1 to M1 and then, gets refracted
through G1 to reach the telescope. However, the refracted beam from G1 travels the
path G1 to M2 and then M2 to G1 to reach the telescope. Thus, there is a path difference
between the reflected and refracted beam. In order to compensate, a glass plate G2 of
the same material and thickness is introduced between G1 and M2 as shown in Fig.7.10.
The virtual image of M'2 of the mirror M2 is obtained in addition to M1 while viewing
through the telescope. Generally, it appears that the two glass plates are one above the
other with a formation of air film between the glass plates. This shows an interference
pattern while viewing through telescope. Depending upon the path difference between
the mirrors M1 and M2, the obtained interference patterns are categorised into different
types such as straight, circular and parabolic. Let us discuss the formation of different
types of fringes under the following headings.

7.8.2 types of fringes

(i) Circular Fringes When the interference pattern is viewed through the telescope,
it appears that the virtual image M2¢ is close to M1. The image M2¢ and M1 are separated
by a distance d. Further, it shows that the light is originated from two virtual sources
S1 and S2 which are separated by a distance 2d as shown in Fig. 7.11. The reflected
light from the mirror M2 has an additional phase difference p or a path difference l/2
due to reflection at the semi-silvered surface of the glass plate G1. This leads to a total
path difference of 2d + l/2.
S1

2d r
2d cos r
S2

M1
d
M2

Fig. 7.11  Michelson’s interferometer—Virtual sources

 Interference 7.15

Therefore, the total path difference = 2d cos r + l/2 (7.34)

where r is the angle of view and l, the wavelength of incident light. The mirror
M2 is adjusted to get the path difference equal to nl.
Therefore, the condition for bright fringe is
2d cos r + l/2 =nl (7.35)
where n = 1, 2, 3…. and so on.

Case I A destructive interference pattern (darkness) is obtained as shown in

Fig. 7.12 in the field of view of the telescope only when path difference between the
two rays is l/2. This is due to the exact coincidence of the virtual image M2¢ on the
mirror M'1. In addition, the glass plate G1 is to be fixed at an angle of 45˚ to both
M'2 and M1. When M2¢ and M1 coincides, the value of 2d cos q = 0 and hence, the
path difference is l/2.

(a )

Fig. 7.12  Michelson Interferometer—Destructive interference pattern 

Case II A circular fringe as shown in Fig.7.13 is formed when the mirror M1 and
its virtual image M2¢ are exactly parallel to each other. This is achieved by moving
the mirror M1 either in the forward or backward direction to form a small air gap
between M1 and M2¢.

(b)

Fig. 7.13  Michelson’s interferometer—circular pattern

(ii) Localised Fringes Depending on the position of mirrors M1 and M2¢, the different
types of fringes, namely, straight lines, slightly curved and curved fringes are formed as
shown in Fig. 7.14. When mirrors M1 and M2¢ intersect as shown in Fig.7.14 (a), straight-
line fringes are formed. Similarly, when the mirror M1 is not intersecting M2¢ as shown
in Fig 7.14 b, slight curved fringes are formed. On the other hand, when the two mirrors
are inclined i.e., the mirror M1 lies just below the observed image M2' (not perfectly
intersecting) as shown in Fig. 7.14 c, curved fringes are observed. It is interesting to
note that the above fringes are made possible only for short wavelengths.
7.16 Engineering Physics

M2' M1'

M1 M1 M2
M 2'

(a) (b ) (c)

(a) Straight line fringes (b) Slightly curved fringes (c) Curved fringes

Fig. 7.14  Michelson’s interferometer—localised fringes 

(iii) White Light Fringes The monochromatic light source is replaced by white
light. The fringes are formed in colour and obtained only when the path difference is
very small. The centre of the fringe is dark while the other fringes are coloured due
to overlapping with various colours. The observed localised white-light fringes are
used to find the zero path difference.

7.8.3 Applications of michelson’s Interferometer

Michelson’s interferometer is used for the following applications:
(i) To determine the wavelength of the given source of light
(ii) To determine the refractive index or thickness of a given transparent
material
(iii) To determine the resolution of wavelengths
(iv) To standardize one meter
Let us discuss the above applications in brief:
(i) Determination of Wavelength of Monochromatic Light The leveling screw at
M2 is adjusted to make the mirror M1 and its virtual image M2' parallel to each other.
Thus, it forms an air film of thickness t in between the mirrors and hence, it produces
circular fringes. The circular shaped fringes are viewed through the telescope. When
the angle of incidence is normal (cos r = 1), the condition for bright fringes is

2t + l/2 = nl (7.36)

When the two mirrors M1 and M2 are at equal distances from the glass plate G1,
the observed pattern will be perfectly dark. The vertical cross wire of the telescope
coincides with any one of the fringes. The number of fringes which cross the field
of view of the telescope is counted by moving the mirror M2. Hence, the distance d
moved by the mirror is determined from the telescope reading difference. We know
that the condition to obtain the interference pattern is 2d = nl.
 Interference 7.17

The wavelength of monochromatic light is

2d
l= (7. 37)
n

Equation (7.37) gives the wavelength of the given monochromatic light. The
mean value of the wavelength is determined by repeating the experiment a few more
times.
(ii) Determination of Refractive Index or Thickness of a Thin Transparent
Medium In Michelson’s interferometer, white light is used to obtain localised fringes.
The field of view is made to coincide with the dark and straight fringes, which produce
a zero thickness. A thin film whose refractive index or thickness is to be measured is
introduced in between G2 and M2. Thus, a path difference of 2(m – 1)t is introduced
due to the thin film. In order to get dark and straight fringes, the mirror M1 is adjusted
either in the forward or backward directions. Let x be the distance moved by the mirror
M1 to obtain n localised fringes.
Therefore, path difference 2t (m – 1) = nl = 2x
x
t=
m -1
or
t+x
m=
t

Therefore, refractive index m = nl + 1 (7.38)

2t
Equation (7.38) is used to determine the refractive index of the given film by
knowing the thickness of the thin transport film, n and l . By knowing the values
of n, l and m, one can also determine the thickness of the film using the above
equation.
(iii) Resolution of Spectral Lines Michelson,s interferometer is used to
distinguish the two spectral lines of nearly equal wavelength with more
resolution. We know that sodium light consists of two spectral lines,
namely D 1 and D2 lines, respectively with wavelengths of l1 = 5890 A˚ and
l2 = 5896 A˚. When sodium light is used as a source in the interferometer, it produces
alternate bright and dark fringes. The interference pattern produced by l1 and l2 are
different. However, the interference pattern produced by wavelengths l1 and l2 are
not distinct if one views through the telescope, i.e., the bright fringe of the spectral line
of l1 coincides with the other spectral line l2. When the bright fringe of two spectral
lines of wavelength l1 and l2 is viewed through the telescope, it appears as a single
line. The fringes produced by the wavelengths l1 and l2 are separated by adjusting
the micrometer screw of the mirror M1 due to their difference in wavelengths. If one
adjusts the mirror M1, the dark fringe of one spectral line coincides with the bright
fringe of another one. When the mirror M1 is adjusted further, the bright fringe of
one spectral line will coincide with the bright fringe of another one. This is possible
only when there is a difference in wavelength between the fringes, i.e., the nth fringe
of longer wavelength coincides with the (n + 1)th fringe of shorter wavelength. Let
7.18 Engineering Physics

n1 and n2 be the order of fringes corresponding to spectral lines l1 and l2. Therefore,
the conditions for the first bright fringes is

2d = n1l1 = n2l2 (7.39)

Under this condition, the two spectral lines coincide with each other.
Similarly, the conditions for the next bright fringes of spectrum lines l1 and l2 will
coincide when
n2 = n1 + 1 (7.40)

or

n1l1 = (n1 + 1)l2

or
l2
n1 = (7.41)
l1 - l2
Substituting the value of n1 from Eq. (7.39), we get

l1l2
2d = (7.42)
l1 - l2

We can write l1l2 = l2 since l1 ª l2 ª l

l2 l2
\ 2d = = (7.43)
l1 - l2 Dl

Substituting Dl = l1 – l2, in the above equation, we get,

2
i.e, Dl = l (7.44)
2d
Knowing the mean value of d for more than 15 successive positions of maximum
distance, the value of the difference in wavelength is determined using the relation
Eq.(7.44).
(iv) Standardisation of a Metre In order to standardise the length of 1 metre, an
optical device known as etalon is used. In 1895, Michelson and Benoit used the
cadmium red line to standardise the length of 1 metre. An optical device called an
etalon has been designed with different sizes, covering ranges from 0.390625 mm
to 10 cm.

7.8.4 etalon
A schematic representation of an etalon is shown in Fig.7.15. It consists of two
optically plane glass plates G1 and G2 . The front surface of the glass plates is coated
 Interference 7.19

with optically semi-silvered or semi-alimunised coating. These two glass plates are
separated by a distance of l m. The screw attachment with the back of the plates helps
to adjust for parallelism. The experimental procedure to standardise l m consists of
two parts, namely,

m2

m1

Fig. 7.15  Etalon

(i) determination of the number of fringes, and

(ii) calibration of l m by comparing the length of the shorter etalon with
the longer etalon. After comparison, the length of the etalon is cali-
brated in terms of cadmium wavelength. Therefore, the length of 1
metre is calibrated in terms of red, green and blue lines of cadmium
wavelengths.
Experiment A schematic representation of Michelson’s interferometer used to
standardise the length of 1 metre is shown in Fig. 7.16. It consists of a source S,
a lens L, a semi-silvered mirror M1, 100 % reflecting mirrors M2, M3 and M4, and
a telescope T. A monochromatic beam of light from the source S is made to fall
on a semi-silvered mirror M1 after passing through a lens L. When a light been
incident on M1, a part of the beam gets reflected towards the mirror M1 while the
other part of the light is transmitted towards the mirror M2. The reflected light from
M2 is made to fall on the mirror M4 and the two mirrors m1 and m2 of the first and
second etalon respectively. The mirror M4 is fixed, whose plane of axis is given
as x. The first etalon mirror m1 is placed in the same axis as that of M4, while the
second etalon mirror m2 is placed just above the mirrors m1 and M4. In order to
obtain the interference pattern, initially the plane of the mirrors M4, M1 and M2
are made parallel.
Consider that a small air gap is formed between plane x and mirrors M1 and M2. As
a result, circular fringes are formed. On the other hand, straight-line fringes are formed
when the plane x of the mirror m1 is slighting inclined to the plane of the mirror M2.
The observed straight-line fringes are shown in Fig. 7.17 a.
7.20 Engineering Physics

F m2
l m1 M4
E
M1 P
C

L
A
M2
S

Fig. 7.16  Michelson’s interferometer—standardisation of 1 metre 

The white-light source is replaced by a cadmium light source. The position of the
mirror M4 is adjusted to make its plane parallel to the plane of x of the mirror M1 and
slightly crossed to mirrors M1 and M2. The interference pattern formed under this
condition is made of circular fringes, as shown in Fig. 7.17 d.
The crosswire in the telescope is focused to any one of the fringes. The number of
fringes crossing the crosswire is counted by moving the mirror from position P1 and
P2 until the plane of x intersects the plane of the mirror M2. Straight-line fringes are
formed as obtained while using white light. The observed straight-line fringes are as
shown in Fig. 7.17 c. The number of circular fringes n which is crossing the field of
view and the distanced moved by the mirror M1 from P1 to P2 is noted.
Therefore,
nl (7.45)
d=
2

Equation (7.45) is used to measure separation between the mirrors m1 and m2 of

the etalon. Michelson and Benoit have determined the number of half-wavelengths
of cadmium red line as 1212.

m2 P
m1
M2
P
m1 m2

(a) (b )

(a) Straight line fringes in M2 (b) Etalon m1 and m2 and the mirror M2
 Interference 7.21

m2 m2

M2 m2

m1 m1

(c) (d )

(c) Straight line fringes in m1 (d) Circular fringes at m2

Fig. 7.17  Different types of fringe pattern—etalons m1 and m2 and the mirror M2

In order to calibrate 1-metre wavelength, first the length of the shortest etalon to
the longest etalon is compared. Consider two etalons, namely, m1m2 is the shortest
length while etalons m3m4 are the next longest. These two etalons are arranged side
by side as shown in Fig. 7.18 (a). White light is used to compare the length of any
two successive etalons. Hence, monochromatic light is replaced by white light. The
plane of the mirrors M1 and M3 are slightly crossed to the plane of mirror M1 as shown
in Fig. 7.18 a. This results in straight-line fringes as observed in Fig. 7.18 (a). The
telescope crosswire is adjusted to coincide with the central dark fringe of the mirror
M1. Straight the line fringes are observed as shown in Fig 7.18 (b), when the plane
of the mirror M2 intersects the plane of the mirror M1 by moving the mirror from P1
to P2. The dark fringes are adjusted to coincide with the crosswire by moving the
screw on the mirror M1. The etalon m1m2 is moved backward by keeping the mirror
M1 in a fixed position, until it intersects the mirror M1. To plane of the mirror M1,
straight-line fringes are observed as shown in Fig. 7.18 c. The mirror M2 is adjusted
until the plane of mirrors M2 and M4 intersect the plane of the mirror M1. Hence, the
central dark fringe coincides with the crosswire of the telescope. When the length
of etalon m3m4 is twice as that of etalon m1m2, it gives a straight-line fringe in the
field of view of mirrors M2 and m4 as shown in Fig. 7.18 (d). On the other hand, the
etalon m3m4 is ending twice as that of m1m2 and hence the straight-line fringes are
not seen.

m2 m4 m4

m1 m2

m3 m1 m3

m2 m4 m2 m4

m1 m3 m1 m3

(a) Straight-line fringes at M1 and M2 (b) Straight-line fringes at M2

7.22 Engineering Physics

m4 � 2 � 4

m2 � 1

m1 m3 � 3

m2 m4 � 2 � 4

m1 m3 � 1 � 3

(c) Straight-line fringes at M1 (d) Straight-line fringes at M2 and M4

Fig. 7.18  different types of interference pattern—comparison of etalons 
m1m2 and m3m4

Similarly, the experiment is repeated by comparing with the next higher wavelength
of etalons like m3m4 with m5m6 and m5m6 with m7m8 up to the longest etalon of 10
cm. The longest etalon (10 cm) is compared with the standard metre. The results of
wavelengths of red, green and blue lines of cadmium are given in Table 7.2. It is
interesting to note that isotope of Hg198 of wavelength 5460.7532 Å is sharp in nature
and is used to standardise the standard metre.

table 7.2 Wavelength of the cadmium lines and its equivalent of 1 metre

S.No Cadmium line colour Wavelength Å Equivalent value

of 1 metre
1. Red 6438.4722 1553, 163.5 lR
2. Green 5085.8240 1966, 249.7 lG
3. Blue 4799.9107 2083, 372.1 lB

Keypoints to remember

• The formation of maximum intensity due to the superposition of two light ener-
gies is known as a constructive interference pattern. It is formed due to the over-
lapping of the crest of one wave on the crest of other waves.
• The formation of minimum intensity due to the overlap of the crest of one wave
on the trough of other waves is known as destructive interference pattern.
• The wedge-shaped air film obtained in between two glass plates is known as air
wedge.
Ê 2n +1ˆ
• The condition for bright fringe is 2mt cos r = ÁË ˜l.
2 ¯
 Interference 7.23

• The condition for dark fringe is 2mt cos r = n l.

• An air-wedge experiment is used to test the flat surfaces of glass plates and thick-
ness of a thin sheet of paper.
• In the air-wedge experiment, the thickness of the paper is determined using the
ll
equation t = .
2b
• The material which is on the surface of glass plate minimises the reflection of light
from its surface and is known as anti-reflection coating or non-reflecting film.
• In optical instruments, the anti-reflection coating is used to control light reflectance.
• The structure of refractive indices of a coating material to obtain high-pass filter
is g (0.5L) (HL)m (0.5L)a.
• The structure of refractive indices of a coating material to obtain low-pass filter is
g(0.5H) L (HL)m (0.5 H) a
• A Michelson’s interferometer’s working based on the principle of interference of
light.

• In Michelson’s experiment, the wavelength of monochromatic light is determined

2d
using the equation l = .
n
• In Michelson’s experiment, the refractive index is determined using the relation
nl
m= +1 .
2t
• In Michelson’s interferometer, the two spectral lines of nearly equal wavelength
l2
are distinguished with more resolution using the relation D l = .
2d
• Etalon is an optical device used to standardise the length of 1 metre.

solved problems

Example 7.1 A wedge-shaped air film is formed between two glass plates
by placing a paper at one of the sides. On illuminating this film by a light
of 6000 Å wavelength, 10 fringes are seen in one cm. If the light is incident
normally, find the angle of the wedge.
Given Data
Wavelength of the light used, l = 6000 ¥ 10-10 m
7.24 Engineering Physics

1
Fringe width, b= cm = 0.1 cm
10
= 1 ¥ 10-3 m
Solution We know that, the angle of the air wedge,
l
q=
2b
Substituting the values of l and b, we get

6000 ¥ 10-10
=
2 ¥ 1 ¥ 10-3
= 0.12
The angle of the air wedge is 0.12 radian.
Example 7.2 Interference fringes are produced with monochromatic
light falling normally on a wedge-shaped air film. The angle of the wedge is
40 seconds of an arc and the distance between the successive fringes is 0.125
cm. Calculate the wavelength of the light.
Given Data
Angle of the wedge, q = 40 s
Fringe width, b = 0.125 ¥ 10-2 m
Solution We know that the fringe width is given by,
l
b =
2q
Therefore,
l = 2bq
Substituting the values of b and q, we get,
= 2 ¥ 0.125 ¥ 10-2 ¥ 40 ¥ (p/180) ¥ (1/60) ¥ (1/60)
= 4.848 ¥ 10-7 m
The wavelength of the light used is 4848 Å.
Example 7.3 A shift of 125 circular fringes is observed when the movable
mirror of a Michelson’s interferometer is moved by 0.04 mm. Calculate the
wavelength of the light.
Given Data
Number of fringes observed, n = 125
Distance moved, d = 0.04 ¥ 10-3 m
Solution We know that the condition for interference is 2d = nl
2d
l =
n
 Interference 7.25

Substituting the values, we get,

2 ¥ 0.04 ¥ 10-3
=
125
= 6.4 ¥ 10-7 m
The wavelength of the light used is 6400 Å.
Example 7.4 A shift of 200 circular fringes is observed when the movable
mirror of a Michelson’s interferometer is moved by 0.589 mm. Calculate the
wavelength of the light
Given Data
Number of fringes observed, n = 200
Distance moved, d = 0.589 ¥ 10-3 m
Solution We know that, the condition for interference is 2d = nl
2d
l =
n
Substituting the values, we get,
2 ¥ 0.589 ¥ 10-3
=
200
-7
= 5.89 ¥ 10 m
The wavelength of the light used is 5890 Å.
Example 7.5 A shift of 200 circular fringes is observed when the movable
mirror of the Michelson’s interferometer is moved by 0.06 mm. Calculate the
wavelength of the light.
Given Data
Number of fringes observed, n = 200
Distance moved, d = 0.06 ¥ 10-3 m
Solution We know that the wavelength of light is
2d
l =
n
Substituting the values, we get,

= 2 ¥ 0.06 ¥ 10-3
200
= 6.0 ¥ 10-7 m
The wavelength of the light used is 6000 Å.
Example 7.6 A glass plate with a refractive index of 1.5 is introduced in
between the glass plate G2 and the mirror M2 in a Michelson’s interferometer. If
the distance between any two dark fringes of zero path difference is 1.24 mm,
find the thickness of the glass plate.
Given Data
7.26 Engineering Physics

Refractive index of the plate m = 1.5

Distance between dark fringes of
zero path difference d = 1.24 ¥ 10-3 m
Solution We know that the distance between dark fringes of zero path dif-
ference is
d = (m – 1)t
Therefore, the thickness of the glass plate is
d
t =
m -1
1.24 ¥ 10-3
t =
1.5 - 1
= 2.48 mm
The thickness of the glass plate is 2.48 mm.
Example 7.7 1000 circular fringes collapsed at the centre when a movable
mirror of Michelson’s interferometer is moved by 0.3165 mm. Calculate the
wavelength of the monochromatic source of light.
Given Data
Number of fringes observed n = 1000
Distance moved, d = 0.3165 ¥ 10-3 m
Solution We know that, the wavelength of light is 2d = nl
2d
l =
n
Substituting the values, we get,
-3
= 2 ¥ 0.3165 ¥ 10
1000

= 6.33 ¥ 10-7 m
The wavelength of the monochromatic source light is 6330 Å.
Example 7.8 Calculate the distance through which the mirror of Michelson’s
interference has to be moved between two consecutive positions of maximum
distinctness of D1 and D2 of sodium lines. Given l for D2 line is 5890 Å and l
for D1 line is 5896 Å.
Given Data
Wavelength of D2 line, l1 = 5890 Å
Wavelength of D1 line, l2 = 5896 Å
Solution We know that the resolution of two spectral lines is

l1 l2
l1 - l2 =
2d
 Interference 7.27

l1 l2
Therefore, 2d =
Dl
Substituting the values of l1 and l2, we get,
5890 ¥ 5896 ¥ 10-20
d =
2 ¥ 6 ¥ 10-10

= 2.894 ¥ 10-4 m
The two spectral lines of the sodium lines are resolved, when d is 0.2894 mm.
Example 7.9 A thin wire used in an air-wedge experiment produces straight-
line parallel fringes having a mean fringe width of 1.5 mm with sodium light of
589.3-nm wavelength. If the length of the air wedge is 4.5 cm, find the thickness
of the wire used.
Given Data
Mean fringe b = 1.5 ¥ 10-3 m
Wavelength of the light l = 589.3 ¥ 10-9 m
Length of the air wedge l = 4.5 ¥ 10-2 m
ll
Solution We know that, the thickness of the wire t =
2b
Substituting the values, we get,
589.3 ¥10-9 ¥ 4.5 ¥10-2
=
2 ¥1.5 ¥10-3

= 8.8395 ¥ 10-6 m
The thickness of the wire is 8.84 mm.
Example 7.10 The movable mirror of a Michelson’s interferometer in
moved a distance of 0.02603 mm. Find the number of fringes shifted across the
crosswire if the wavelength used is 5206Å wavelength.
Given Data
Distance moved d = 0.02603 ¥ 10-3 m
Wavelength of the light l = 5206 ¥ 10-10 m.
Solution We know that the condition for interference is i.e., the number of
fringes shifted
2d
n=
l
Substituting the values, we get,
2 ¥ 0.02603 ¥10-3 m
=
5206 ¥10-10
= 100
The number of fringes shifted across the cross wire is 100.
7.28 Engineering Physics

objectives Questions

7.1 When the crest of one wave overlaps with the crest of another wave, it gives
________ pattern.
7.2 ___________ interference patterns is formed due to the overlap of the crest of
one wave on the trough of another wave.
7.3 The condition for bright fringe is ________
(2n + 1)
a) 2 mt cos r = nl b) 2 mt sin r = l
2
(2n - 1)
c) 2 mt sin r = nl d) 2 mt cos r = l
7.4 The condition for dark fringe is ________ 2
a) 2mt sin r = nl b) 2 mt cos r = nl
(2n + 1) (2n - 1)
c) 2 mt sin r = l d) 2 mt cos r = l
2 2
7.5 _______ is a wedge-shaped air film formed in between the two glass plates.
7.6 In the air-wedge experiment, the thickness of the paper is determined using the
equation
a) t = ll/2b b) t = 2ll/b
c) t = ll/b d) t = 2bl/T
7.7 The plainness of glass-plate is tested using air-wedge experiment.
(True/False)
7.8 Anti-reflection coating is used to _________ the reflection of light from its
surface.
7.9 For destructive interference, the path difference is equal to _______
a) 2 l b) 2l/4
c) l/4 d) l/2
7.10 For normal incidence, the value of cos r = _________
7.11 High-quality camera lenses are obtained using _________ anti reflection
coating
7.12 In anti-reflection coating, the multilayer coating consists of different materials
with same refractive indices. (True/False)
7.13 The device used to obtain high transmittance at high frequency is known as
_________ filter.
7.14 The device used to obtain high transmittance at low frequency is known
as_______ filter.
7.15 The structure of refractive index of coating for a high-pass filter is ________.
a) g (0.5L)m (HL) (0.5L)a b) g (0.5L) (HL)m (0.5L)a
m
c) g (HL) (0.5L) a d) g (0.5L)m (HL)ma
7.16 The structure of refractive index of coating for a low-pass filter is
_________.
a) g (0.5H)m (HL)Lm (0.5H)a b) g (0.5H) (HL) Lm (0.5H)a
m
c) g (0.5L) H (HL) (o.5H)a d) g (0.5H) L(HL)m (0.5H)a
7.17 _________ principle is used in Michelson’s interferometer.
 Interference 7.29

7.18 The wavelength of monochromatic light is fixed. (True/False)

7.19 In Michelson’s interferometer, the wavelength of monochromatic light is
determined using the relation
a) l = 2d/n b) l = n/d
c) l = 2n/d d) none of these
7.20 In Michelson’s interferometer, the refractive index of a given thin medium is
determined using the relation
nl nl
a) m = +1 b) m = +1
a 3t

nl 2l
c) m = +1 d) m = +1
2t nt
7.21 The two spectral lines of nearly equal wavelength are distinguished with more
resolution using the relation in Michelson’s interferometer,
a) D = l2/d b) Dl = l2/d
2
c) l = 2l /d d) Dl = l2/d
7.22 The colours of cadmium lines are ________, ________ and _________.
7.23 The wavelength of cadmium lines red, green and blue are respectively _______,
__________ and _________.

KeY
7.1 constructive interference 7.2 destructive
7.3 d 7.4 b)
7.5 Air wedge 7.6 a)
7.7 True 7.8 Minimise
7.9 d) 7.10 1
7.11 Multi layer 7.12 False
7.13 high pass 7.14 low pass
7.15 b) 7.16 d)
7.17 Interference of light 7.18 True
7.19 a) 7.20 c)
7.21 d) 7.22 Red, Green and Blue
7.23 6438.4722, 5085.8240 and 4799.9107

exercises

7.1 An air-wedge experiment is used to find the thickness of a thin sheet of paper
using a monochromatic light of 5893 Å wavelength falling normally on it. If
the length of the glass plate is 4.6 cm and 10 fringes are observed in 0.8 cm,
find the thickness of the paper.
7.2 Two glass plates are separated with a thin wire and illuminated by light of
5893 Å wavelength falling normally on it. If the angle of the wedge is 0.024
7.30 Engineering Physics

radian, at what distance from the edge of the wedge will the 15th fringe be
observed by reflected light?
7.3 In an experiment using a Michelson’s interferometer, a mica sheet of 1 mm
thickness is inserted between the glass plate G2 and the mirror M2. If the
wavelength of the light used is 6000 Å, find the refractive index of the mica
sheet. The distance moved by the micrometer screw between two adjacent
dark fringes of zero path difference using white light is 0.8 mm.
7.4 Calculate the distance between the successive positions of a movable mirror
of a Michelson’s interferometer giving best fringes in the case of the spectral
lines of wavelengths of 5500 Å and 5520 Å.

Short−Answer Questions

7.1. What is interference?

7.2. What is constructive interference?
7.3. Define destructive interference.
7.4. What is meant by an air wedge?
7.5. What is an air film?
7.6. Differentiate reflections from refractions.
7.7. Write the condition to obtain bright fringes.
7.8. Write the condition to obtain dark fringes.
7.9. What are the advantages of the air-wedge experiment?
7.10. Explain how the flat surfaces tested using air-wedge experiment.
7.11. If the wavelength of the light used is double, what may be the nature of the
thickness of the specimen in the air wedge?
7.12. Mention the conditions to produce destructive and constructive interference in
thin films.
7.13. What do you mean by anti-reflection coating?
7.14. Mention the application of anti-reflection coating.
7.15. What is the role of refractive index of materials in anti-reflection layers?
7.16. Differentiate the high and low-pass filter.
7.17. Explain how a Michelson’s interferometer is used to find the refractive index
of a transparent medium.
7.18. Differentiate monochromatic from polychromatic light.
7.19. What are the applications of Michelson’s interferometer?
7.20. Explain how a Michelson’s interferometer is used to resolve spectral lines.
7.21. How will you calculate the wavelength of the given source of light using a
Michelson’s interferometer?
7.22. Explain the localized fringes produced by a Michelson’s interferometer
7.23. Under what conditions are circular fringes formed in a Michelson’s
interferometer?
7.24. What type of fringes will be formed if white light is used in a Michelson’s
interferometer?
7.25. Explain why a monochromatic light is used in Michelson’s interferometer.
7.26. What is etalon?
7.27. Mention few applications of etalons.
 Interference 7.31

descriptive Questions

7.1 Derive an expression for the path difference produced in a thin film of thickness
t and of refractive index m and hence obtain the condition for constructive
interference.
7.2 Deduce an expression for an air wedge to find the thickness of a thin sheet of
paper and hence explain an experimental method to find the thickness of a thin
sheet of paper using air-wedge experiment.
7.3 Explain the construction and working of a Michelson’s interferometer and hence
explain how it is used to find the refractive index of a transparent layer.
7.4 Describe the construction and working of a Michelson’s interferometer and also
explain with necessary theory, a laboratory experiment of finding the wavelength
of a monochromatic source of light using Michelson’s interferometer?
7.5 Illustrate the different types of fringes formed in a Michelson’s interferometer
and the corresponding positions of their mirrors.
7.6 Explain the standardization of 1 metre using Michelson’s interferometer.
 Chapter

Polarisation
8

OBJECTIVES
• To understand the nature of polarisation.
• To study the different types of polarisation of light
• To study the role of calcite crystal and Nicol prism in polarisation and its
limitations
• To derive the mathematical expression for polarisation mechanism
• To understand quarter wave plate and half wave plate for double refraction
process.
• To understand the production and detection of plane, circularly and elliptically
polarised light

8.1
i Light exhibits dual nature. Certain properties of light, like the photoelectric
n effect, Compton effect, etc., are explained based on the particle nature of
light. Some other properties such as interference, polarisation, etc., are
t explained based on the wave nature of light. Therefore, light is said to
r possess dual nature, namely, the particle nature and the wave nature.
o There are two types of wave motion, namely, longitudinal and transverse
d wave motions. In longitudinal motion, the particles in the medium vibrate
u about their mean position along the direction of propagation of the wave.
On the other hand, in transverse wave motion, the particles in the medium
c vibrate perpendicular to the direction of propagation of the wave. Sound
t waves exhibit longitudinal wave motion, whereas light waves exhibit
i transverse wave motion. An ordinary light has vibrations in all directions.
o The vibration of an ordinary light is symmetrically distributed over the
plane of vibration and it is represented by a double arrow head and a dot
n
( ). The polarisation property of light is used to identify the transverse
wave motion of light.

Let us discuss the principles of wave motion, polarisation of light, its production
and detection in details in the following section.
 8.2 Engineering Physics

8.2 Fundamentals oF Polarised light

8.2.1. transverse Wave motion
A simple mechanical experiment which demonstrates the transverse wave motion
is shown in Fig. 8.1. Consider a string AB is passing through two thin slits S1 and
S2. The two slits are parallel to each other. Let one end of the string B be fixed.
If one end of the string is vibrated, then the vibration produced at one end passes
up to the other end B of the string. Thus, the string vibrates between the ends
A and B.

B
A

S1 S2

Fig. 8.1 Vibration of a string between two parallel slits

Let us consider that the second slit is rotated through an angle of 90º and it is
kept perpendicular to the first slit S1, as shown in Fig. 8.2. If the string is fixed at
B and it is vibrated at A, the string vibrates up to the slit S2. Between the slit S2
and the fixed end B, there is no vibration of the string. This shows that the string
is vibrating transversely. The wave in which the vibration is perpendicular to
the direction of propagation of the wave is said to be a transverse wave. Similar
observation can be made when a ray of light is passed through a tourmaline
crystal.

A B

S2
S1

Fig. 8.2 Vibration of strings between two perpendicular slits

8.2.2 Polarisation of light

Consider an ordinary light is passed through a tourmaline crystal as shown in
Fig. 8.3. The light emerging from the tourmaline crystal is found to be slightly
 Polarisation 8.3

coloured. If the tourmaline crystal is rotated by taking the incident beam as an axis,
there is no variation in the intensity of the emergent beam. The tourmaline crystal
has the property of allowing the components of light that are vibrating parallel to
its axis to pass through it, and it absorbs all the other components of the light that
are not parallel to the axis of the crystal. The emergent beam from the tourmaline
crystal vibrates in only one direction, i.e., it vibrates parallel to the axis of the crystal.
The light rays that are vibrating in only one direction are known as polarised light.
The device that produces the polarised light is called as polariser. Consider that the
emergent beam from the first tourmaline crystal is passed through another tourmaline
crystal kept perpendicular to the first crystal. No light is emerging from the second
tourmaline crystal.

Ordinary Ordinary
light light

(a) Parallel motion (b) Perpendicular motion

Fig. 8.3 Polarisation—tourmaline crystal

Consider the second tourmaline crystal is rotated by taking the incident beam as an
axis. The intensity of the emergent beam from the second tourmaline crystal varies.
The intensity of the emergent beam from the second tourmaline crystal has two times
the maximum intensity and two times the minimum intensity within one complete
rotation. When the second tourmaline crystal is parallel to the first one, the emergent
beam from the second crystal is maximum. The intensity of the emergent beam from
the second crystal is minimum when these two crystals are perpendicular to each
other. The second tourmaline crystal is used to analyse the polarised light. Therefore,
the second crystal is said to be an analyser. This property of light ray confirms the
transverse nature of light waves.
There are three different types of polarised lights, as given below.
(i) Plane polarised light
(ii) Circularly polarised light, and
(iii) Elliptically polarised light

8.2.3 Pictorial representation of light

The plane polarised light, vibrating parallel to the plane of this paper, is represented
as shown in Fig. 8.4 a. When the plane polarized light is vibrating perpendicular to
the plane of this paper, it is represented as shown in Fig. 8.4 b. The unpolarised or
ordinary light has vibrations that are both parallel and perpendicular to the plane of
the paper and it is represented as shown in Fig. 8.4 c
 8.4 Engineering Physics

(a) Plane polarised light—parallel to plane of this paper

(b) Plane polarised light—perpendicular to the plane of

(c) Unpolarised light

Fig. 8.4 Representation of plane polarised light

8.2.4 Plane of Vibration and Plane of Polarisation

The plane in which the light is vibrating is known as the plane of vibration, and the
plane perpendicular to the plane of vibration is known as the plane of polarisation
and is shown in Fig. 8.5

Plane of
A vibration
D
E F
Plane
polarised
Ordinary Plane of
polarisation
Light
Light
H G
B C

Fig. 8.5 Plane of vibration and polarisation

In Fig. 8.5, the emergent beam vibrates parallel to the axis of the polariser. The
plane ABCD is parallel to the axis of the polariser and hence, it is known as plane
of vibration. The plane perpendicular to the plane of vibration is known as plane of
polarisation. The plane EFGH is perpendicular to the axis of the polariser. It should
be noted that no vibration takes place in this plane EFGH.

8.2.5 geometry of calcite crystal

Calcite is a transparent colourless crystal. It is chemically known as hydrated calcium
carbonate (CaCO3). It can be reduced into a rhombohedron by cleavage or breakage.
The rhombohedron-shaped calcite crystal is shown in Fig. 8.6. It consists of six faces.
These six faces are parallelograms having angles of 102º and 78º. Strictly speaking,
the angles of the parallelograms are 101º55¢ and 78º5¢. The corners C and F consist
 Polarisation 8.5

of three obtuse angles and hence, these corners are said to be blunt corners. The other
corners of the crystal consist of two acute and one obtuse angle.
X

102°
C B
102°
102°
D A
78°
78° H E
102°

G F
Optic axis
Y
Fig. 8.6 Calcite crystal—Rhombohedron

8.2.6 optic axis

A line joining any two blunt corners is known as the optic axis of the crystal. An
optic axis is not an axis, but it is a direction in the crystal. Whenever the light rays are
passing through the optic axis, there is no splitting of light into two. Since optic axis is
a direction, any parallel direction (line) to the optic axis is also known as optic axis.

8.2.7 uniaxial and Biaxial crystals

Certain crystals like calcite, quartz, tourmaline, etc., have only one optic axis. Hence,
they are called uniaxial crystals. The crystals like borax, mica and selenite possess
two optic axes and hence, they are called biaxial crystals.

8.2.8 Principal section and Principal Planes

A plane containing the optic axis and perpendicular to two opposite faces of the crystal
is known as the principal section of the crystal. The principal section of the calcite
crystal is a parallelogram having angles of 71º and 109º. The principal plane of the
ordinary ray is the plane containing the optic axis and the ordinary ray. The plane
consisting of the extraordinary ray and the optic axis of the crystal is known as the
principal plane of the extraordinary ray.

8.3 nicol Prism

It is an optical device made from calcite and is used to produce and analyse plane
polarised light. It was invented by William Nicol, a Scotch physicist, in 1828, and is
known as Nicol prism. It is based on the principle of double refraction exhibited by
 8.6 Engineering Physics

calcite. The Nicol prism is designed in such a way that it can transmit the extraordinary
rays and cut off the ordinary rays. The emergent beam from a Nicol prism is a plane
polarised light.

8.3.1. construction
The Nicol prism is constructed using a calcite crystal having a length three times
as that of its breadth. Consider a calcite crystal AB ¢CDEFGH ¢ in which B ¢ and H ¢
are blunt corners. It is rhombohedron shaped and is shown in Fig. 8.7. The plane
B¢DH¢F is known as the principal section of the crystal since it is perpendicular to the
planes ABCD and EFGH ¢, and it consists of the optic axis. The plane B¢DH ¢F is a
parallelogram and its angles are 71º and 108º. The angles B ¢DH¢ and B¢FH ¢ are 71º,
The upper and lower faces of the crystal, AB¢CD and EFGH ¢, are grounded in such
a way that the angles B¢DH ¢ an B¢FH ¢ are reduced from 71º to 68º. Let ABCD and
EFGH be the new upper and lower faces of the crystal. The new principal section
is BDHF. The crystal is cut into two along the plane JHKB.The plane JH¢ KB¢ is
perpendicular to the principal section B¢ DH ¢ F of the crystal. The two cut surfaces
are highly polished into optical flatness and then cemented together by means of
Canada balsam.

D
68°
A 71° C
B¢
B

J
K

E H¢ G

F
Fig. 8.7 Calcite rhombohedron

The refractive indices of Nicol prism for sodium light of wavelength l = 5893 Å
are 1.55 (mCB ), 1.65837 (mo) and 1.48641 (me), respectively, for Canada balsam
layer, ordinary rays and extraordinary rays. The two end faces of the crystals are
kept open, while the sides are blackened so as to absorb the light by total internal
reflections.

8.3.2 action of a nicol Prism

Consider a ray of light SM is made incident on the front face DB ¢ of the Nicol prism.
The incident beam is split into two beams, namely, ordinary and extraordinary
rays.
 Polarisation 8.7

Optic axis
B
B¢ F

90° Canada balsam

S 48°
14°
M
S¢
71° 90°
14° 68° Extra
S¢¢ ordinary
D H H¢¢

Ordinary

Fig. 8.8 Nicol prism

The Canada balsam layer is a rarer medium for the ordinary ray. Therefore, the
ordinary ray is travelling from a denser (calcite) to a rarer (Canada balsam) medium.
Hence, it undergoes total internal reflection, if the angle of incidence made by the
ordinary ray at the Canada balsam layer is greater than the critical angle. The critical
angle for the ordinary ray for calcite to Canada balsam layer is
È 1.55 ˘
qc = sin Í (8.1)
Î1.658 ˙˚
= 69.2º
In order to make the angle of incidence made by the ordinary ray at the calcite
and Canada balsam interface more than the critical angle, the angle of the upper and
bottom faces of the crystal is grounded from 71º to 68º and the length of the crystal
is taken as three times as that of its breadth. For the extraordinary rays, the Canada
balsam layer is a denser medium. Therefore, it travels from a rarer (calcite) to a denser
(Canada balsam) medium, and hence it travels in a straight line and emerges out from
the Nicol prism. The emergent beam is a plane polarised light.

8.3.3 limitations of nicol Prism

The Nicol prism acts as a polariser only for the light rays having slightly convergent and
slightly divergent beams. If the incident beam is more divergent or more convergent,
the Nicol prism does not act as a polariser.
Let the incident beam be divergent and making a larger angle with the front face
DB¢. In this case, the extraordinary ray will become parallel to the optic axis of the
crystal, and hence it travels alongwith the ordinary ray. It is also total internal reflected
back by the Canada balsam layer. Therefore, no light emerges from the Nicol prism.
Let the incident beam be convergent and making a smaller angle with the face DB ¢.
The ordinary ray makes an angle less than the critical angle at the Canada balsam layer.
Therefore, the ordinary ray is also transmitted with the extraordinary rays. This limits the
angle of incidence for the crystal to 14º. The angle between the extreme incident rays is
limited to 28º, so as to avoid the transmission of the ordinary ray with the extraordinary
rays and to avoid the total internal reflection of the extraordinary rays. Hence, a Nicol
prism cannot be used for highly convergent and divergent light beams.
 8.8 Engineering Physics

8.4 Quarter WaVe Plate

A Quarter Wave Plate (QWP) is a device from a doubly refracting uniaxial negative or
positive crystal whose refracting faces are cut parallel to the direction of the optic axis.
The thickness of this device is cut in such a way that it can produce a path difference
of l/4 or a phase difference of p/2 between ordinary and extraordinary rays.
Let me and mo be the refractive indices of the extraordinary and ordinary rays,
respectively. Let t be the thickness of the crystal. Then, for a negative crystal, the path
difference between these two rays is (mo – me) t. The QWP is cut in such a way that it
can produce a path difference of l/4.
\              (mo – me)t = l/4

l
i.e. t = 4( m - m ) (8.2)
o e

For a positive crystal, the path difference between the ordinary and extraordinary
rays is (me – mo)t. The thickness of a QWP made up of a positive crystal can be obtained
by equating this path difference to l/4.
i.e (me – mo) t = l/4
l
or t= (8.3)
4( m e - m o )
Equations (8.2) and (8.3) give the thickness of a QWP made up of a negative and
a positive crystal, respectively.
Applications The following are some of the important applications of QWP:
(i) A QWP is used to produce circularly polarised light, if the optic axis of
the crystal makes an angle of 45º with the incident beam of light.
(ii) A QWP is used to produce elliptically polarised light, if the incident beam
makes an angle other than 45º with the optic axis of the crystal.
Limitation The QWP is designed for a particular wavelength. Hence, it is not
useful for the other wavelengths.

8.5 halF WaVe Plate

A Half Wave Plate (HWP) is a doubly refracting uniaxial negative or positive crystal
cut in such a way that it can produce a phase difference of p or a path difference of
l/2 between the ordinary and extraordinary rays.
Let me and mo be the refractive indices of the crystal for the extraordinary and
ordinary rays. For a negative crystal like calcite, the path difference between the
ordinary and extraordinary rays is given by (mo − me) t. Therefore, the thickness of
the HWP required to produce a path difference of l/2 is given by,
(mo - me)t = l/2
l
i.e., t= (8.4)
2 ( mo - me )
 Polarisation 8.9

For a positive crystal like quartz, the path difference is given by (me - mo) t. The
thickness of the crystal required to produce a path difference of l/2 is
(me -  mo)t = l/2
l
i.e t= (8.5)
2 ( me - mo )

Applications Some of the applications of the HWP are given below:

(i) The HWP produces a phase difference of p between the ordinary and
extraordinary rays.
(ii) The emergent beam from a HWP is a plane polarised light.
(iii) It rotates the azimuth of a beam of plane polarised light by 90º, provided
the incident light makes an angle of 45º with the optic axis of the half
wave plate.
Limitation The thickness of a HWP is cut in such a way that it can produce a path
difference of l/2 between the ordinary and extraordinary rays. Therefore, it is useful
only for a particular wavelength.

8.6 theory oF Polarised light

Consider that a plane polarised light produced by a tourmaline crystal is passed
through a quarter wave plate whose faces have been cut parallel to the optic axis.
The production of the plane polarised light and the particle vibrations are shown in
Fig. 8.9. The incident plane polarised light is split into ordinary and extraordinary
rays. These two rays travel in the same direction, but with different velocities, and
hence there is a phase difference introduced between them.
Plane polarised
light

QWP
Polariser

(a) Production (b) Vibrations of light

Fig. 8.9 Polarised light

Let the plane polarised light incident on the quarter wave plate be represented as
y = A sin w t. A phase difference of p/2 is introduced between the ordinary and
extraordinary rays due to the introduction of a quarter wave plate. Therefore, the
emergent beams can be represented as,
x = A sin w t cos q
and
y = A sin w t sin q (8.6)
8.10 Engineering Physics

where q is the angle made by the incident beam with the optic axis of the quarter
wave plate.

y = A sin w t sin q
wt
in
As
Y=

q
x = A sin w t cos q
Fig. 8.10 Incident and emergent beams

The ordinary and extraordinary rays travel with different velocities in the same
direction, and hence a phase difference is introduced between these two rays. Let d
be the phase difference between the ordinary and extraordinary rays. The emergent
beams from the quarter wave plate can be represented as,
x = A cos q sin (w t + d )
y = A sin q sin w t (8.7)
Taking A cos q = a and A sin q = b, the above equations can be written as,
x = a sin (w t + d )
y = b sin w t (8.8)
Equation (8.8) can be writte as,
x
= sin (w t + d ) (8.9)
a
y
= sin w t (8.10)
b
Equation (8.9) can be writte as,

x = sin w t cos d + cos w t sin d (8.11)

a
Substituting the value of sin w t and cos w t from Eq. (8.10) in Eq. (8.11), weget

x y y2
= cos d + 1- sin d (8.12)
a b b2
Squaring Eq. (8.12), we get,
xy cos d = Ê1 - y ˆ sin 2 d
2
x2 y 2
+ 2
cos d - 2 Á
Ë b ˜¯2
a 2 b2 ab
Simplifying the above equation we, get,
 Polarisation 8.11

x2 y 2 xy
+ -2 cosd = sin2 d (8.13)
a 2 b2 ab

Equation (8.13) is a general equation for an ellipse.

Case I When d = 0, sin d = 0 and cos d = 1
Equation (8.13) beomes

x2 y 2 xy
2
+ 2 -2 = 0
a b ab
2
Ê x yˆ
i.e. ÁË - ˜¯ = 0
a b
x y
or =
a b

b
y= x (8.14)
a

Equation (8.14) is an equation of a straight line. This shows that when the phase
difference between the two rays is zero, the emergent light will be plane polarised. It
is shown in Fig. 8.11a.

d = p/2, a = b d = 3p/4
d=0 d = p/4 d = p/2, a π b

(a) (b) (c) (d) (e)

d = 3p/2
d=p d = 5p/4 a=b d = 7p/4 d = 2p

(f) (g) (h) (i) (j)

Fig. 8.11 Production of polarised light–Different types

Case II When d = p/2, cos p/2 = 0, sin p/2 = 1 and a π b.

Equation (8.13) beomes
x2 y 2
+ =1 (8.15)
a 2 b2
Equation (8.15) represents the equation of a symmetrical ellipse. Therefore, the
emergent beam is an ellipse provided a π b, and it is shown in Fig. 8.11c.
8.12 Engineering Physics

Case III When d = p, cos p = - 1, sin p = 0

Equation (8.13) beomes
x2 y 2 xy
+ +2 = 0
a 2 b2 ab
2
Ê x yˆ
i.e. ÁË + ˜¯ = 0
a b

or y= -b (8.16)
a
The emergent beam is a plane polarised light.
Case IV When d = p/2 and a = b
Equation (8.13) becomes
(x2 + y2) = a2 (8.17)
Equation (8.17) is represents the equation of a circle. Therefore, the emergent beam
is a circle and is shown in fig 8.11(e).

8.7 Plane Polarised light By nicol Prism

A Nicol prism is used to produce and analyse plane polarised light. Consider an unpolarised
light is passed through a Nicol prism, P. It is splitted into ordinary and extraordinary rays.
The ordinary ray is cut off when it is passing from calcite to Canada balsam layer. The
extraordinary ray is passed through it. If it is passed through another Nicol prism, A, that
is kept parallel to the first one, the extraordinary ray is passed throgh it.
Polariser P Analyer A
E
E

O
(a) Production of plane polarised light

P A

O O
(b) Analysis of plane polarised light

Fig. 8.12 Nicol prism

 Polarisation 8.13

If the second Nicol prism is rotated by taking the incident beam as an axis, the
emergent beam from the second Nicol prism is extinguished two times and it has two
times the maximum intensity within one complete rotation. The first Nicol prism is
known as polariser and the second Nicol prism is known as analyser.

8.8 Production oF Plane, circularly

and elliPtically Polarised light
The different types of polarised lights are produced by employing polarisers and
analysers, described below.

8.8.1 Plane Polarised light

Consider an unpolarised light passed through a tourmaline crystal. The schematic
representation of the experimental arrangements is shown in Fig. 8.13. The tourmaline
crystal passes the light that is vibrating parallel to the axis, and it absorbs all the remaining
lights. The emergent beam from the polariser is found to be slightly coloured and it
vibrates only in one direction, and hence, it is said to be a plane polarised light.
Axis of the polariser

Polariser
Fig. 8.13 Plane polarised light–production

8.8.2 circularly Polarised light

The circularly polarised light is produced using a quarter wave plate and a polariser. The
plane polarised light produced by a polariser is passed through a quarter wave plate.
The quarter wave plate produces two refracted beams. The experimental arrangement
used for the production of the circularly polarised light is shown in Fig. 8.14.

Analyser
QWP
Polariser
Fig. 8.14 Circularly polarised light–production

The QWP introduces a path difference of l/4 between these two refracted beams.
These refracted beams are passed through an analyser kept perpendicular to the
polariser. The emergent beam from the polariser produces a bright field of view.
8.14 Engineering Physics

By continuously viewing the emergent beam from the analyser, the QWP is rotated
by taking the incident beam as an axis. The intensity of the emergent beam from
the analyser decreases and it is completely extinguished. When the intensity of the
emergent beam from the analyser is zero, the optic axis of the QWP is parallel to the
incident beam. From this position, the QWP is rotated through an angle of 45º and it
is fixed. When the optic axis of the QWP is making an angle of 45º with the incident
beam, the emergent beam from the QWP is found to be circularly polarised.
8.8.3 elliptically Polarised light
Elliptically polarised light is produced by passing a plane polarised light through a quarter
wave plate. The quarter wave plate splits the incident beam into two and it produces a phase
difference of p/2 between the two refracted beams. The arrangements of the polariser and
analyser used for the production of the elliptically polarised light is shown in Fi. 8.15.

Analyser
QWP
Polariser
Fig. 8.15 Elliptically polarised light–production

If the angle made by the optic axis of the QWP is equal to 45º, the magnitude of
these two emergent beams will be same. If the optic axis of the QWP makes an angle
other than 45º with the incident beam, the magnitude of these two emergent beams will
be unequal. Hence, in order to produce elliptically polarised light, the angle made by
the optic axis of the QWP with the incident beam should be made as other than 45º.
The emerging elliptically polarised light is analysed using an analyser. If the analyser
is rotated by taking the incident beam as an axis, the emergent beam varies from a
maximum value to a minimum value. If the major axis of the elliptical light is parallel
to the axis of the analyser, the emergent beam has maximum intensity. If the minor axis
of the ellipse is parallel to the axis of the analyser, the emergent beam has minimum
intensity. The variation of the intensity of the emergent beam ranging from maximum
to minimum show that the light emerging from the QWP is elliptically polarised.

8.9 detection oF Plane, circularly and

elliPtically Polarised light
The existence of the plane, circularly and elliptically polarised light can be analysed
employing polariser and analyser. The details of the experimental set up and the method
of analysis are given in brief below.

8.9.1 Plane Polarised light

A plane polarised light emerging from a polariser is analysed by passing it through
another tourmaline crystal as shown in Fig. 8.16. By taking the incident beam as
 Polarisation 8.15

an axis, if the second tourmaline crystal is rotated, in one complete rotation, the
emergent beam from it is completely extinguished two times and consequently the
emergent beam has

Polariser Analyser
Fig. 8.16 Plane polarised light–analysis

a twice the maximum intensity. The second tourmaline crystal is used to analyse the
plane polarised light and hence, it is known as an analyser. If the axes of the polari-
ser and the analyser are same, the intensity of the emergent beam is maximum. The
intensity of the emergent beam is minimum when the axis of the polariser and the
analyser are perpendicular.

8.9.2 circularly Polarised light

The given circularly polarised light is passed through the analyser and then, the
analyser is rotated by taking the incident beam as an axis, as shown in Fig. 8.17. The
emergent beam from the analyser is found to have no variation in intensity because
the magnitude of the light vectors in a circularly polarised light is same. In case of an
unpolarised light also, if it is passed through an analyser, there is no variation in the
intensity of the emergent beam.
To distinguish between the unpolarised light and the circularly polarised light, the
beam is first passed through a quarter wave plate. The quarter wave plate splits the
light into two and hence, it produces a path difference of l/4 between these two rays.
If a circularly polarised light is incident on the QWP, the emergent beam will be a
plane polarised light. This plane polarised light will be analysed using a polariser. If
an unpolarised light is passed through the QWP, the emergent beam will have a phase
difference of p/2. If these emergent beams are passed through an analyser, the beam
emerging from the analyser has no variation in the intensity.

QWP1 QWP2
Polariser Analyser

Fig. 8.17 Circularly polarised light–analysis

8.16 Engineering Physics

8.9.3 elliptically Polarised light

The given elliptically polarised light is first passed through an analyser as shown in Fig.
8.18. The beam emerging from the analyser varies from a maximum to a minimum.
In a mixture of polarised and unpolarised light also, the emergent beam varies from
a minimum to a maximum.
In order to distinguish between an elliptically polarised light and the mixture of
polarized and unpolarised light, the given beam is first passed through a QWP. If the
incident beam is an elliptically polarised one, the emergent beam from the QWP is
a plane polarised light. Then it is passed through an analyser and it is studied. The
emergent beam from the analyser has maximum intensity and minimum intensity two
times. If the incident beam is a mixture of unpolarised and polarised light, the emergent
beam will have a phase difference of p/2. If these emergent beams are passed through
an analyser, there is no variation in intensity of the beam.

Polariser QWP1 QWP2 Analyser

Fig. 8.18 Elliptically polarised light

Keypoints to remember

• Light rays which vibrat in only one direction are known as polarised light.
• There are three different types of polarised lights, namely, plane polarised, circu-
larly polarised and elliptically polarised.
• The plane in which a bean of light is vibrating is known as plane of vibration.
• The plane perpendicular to the plane of vibrations is known as the plane of
polarisation.
• A line joining any two blunt corners is known as the optic axis.
• The crystals which have only one optic axis are known as uniaxial crystals.
• The crystals which have two optic axies are known as biaxial crystals.
• Nicol prism is an optical device used to produce and analyse polarised light.
• In a Nicol prism, the sides are blackened to absorb the total internal reflected rays.
• A quarter wave plate is a device from a doubly reflecting uniaxial negative or
positive crystal whose faces are cut parallel to the direction of optic axis.
• A quarter wave plate introduces a path difference of l/4 between the two refracted
beams.
 Polarisation 8.17

• A half wave plate is a device from a doubly refracting uniaxial negative or posi-
tive crystal cut in such a way that it can produce a phase difference of p or path
difference of l/2 between the ordinary and extraordinary rays.
• Plane polarised light is produced by polarisor, namely, tourmaline crystal.
• Quarter wave plate is used to produce circularly polarised light.
• Elliptically polarised light is produced by passing a plane polarised light through
a quarter wave plate.

solved Problems

Example 8.1 Calculate the thickness of a quarter wave plate. Given that me
= 1.553, mo = 1.544 and l = 6 ¥ 10-5 cm.

Given Data

The refractive index of the extraordinary ray, me = 1.553

The refractive index of the ordinary ray, mo = 1.544
Wavelength, l = 6 ¥ 10-7 m
l
Solution The thickness of a quarter wave plate, t =
4 ( me - mo )
6 ¥ 10-7
= 
2 (1.553 - 1.544)
                       = 1.667 ¥ 10-5 m.
The thickness of the quarter wave plate is 1.667 ¥ 10-5 m.
Example 8.2 Calculate the thickness of a half wave plate of quartz for
wavelength 6000 Å. For quartz, me = 1.553 and mo = 1.544.
Given Data
Wavelength, l = 6 ¥ 10-7 m
The refractive index of the ordinary ray, mo = 1.544
The refractive index of the extraordinary ray, me = 1.553
l
Solution The thickness of a quarter wave plate, t =
4 ( me - mo )
6 ¥ 10-7
2 (1.553 - 1.544)
= 3.33 ¥ 10-5 m.

The thickness of the half wave plate is 3.33 ¥ 10-5 m.

8.18 Engineering Physics

Example 8.3 Calculate the thickness of a quarter wave plate manufactured

from calcite using the following data: me = 1.486, mo = 1.658 and l = 6000 Å.
[AU June 2006]

Given Data

Wavelength, l = 6 ¥ 10-7 m
The refractive index of the ordinary ray, mo = 1.658
The refractive index of the extraordinary ray, me = 1.486
l
Solution The thickness of a quarter wave plate, t =
4 ( me - mo )

6 ¥ 10-7
=
4 (1.658 - 1.486)
= 8.7 ¥ 10-7 m.

The thickness of the half wave plate is 8.7 ¥ 10-7 m.

Example 8.4 Calculate the wavelength of light used in a half wave plate
of thickness 16.4 ¥ 10-7 m. The HWP is made up of calcite (Given: me = 1.486
and mo = 1.658).

Given Data

Thickness, t = 1.64 ¥ 10-6 m

The refractive index of the ordinary ray, mo = 1.658
The refractive index of the extraordinary ray, me = 1.486
Solution The wavelength of light, l = 2t (mo – me)

= 2 ¥ 1.64 ¥ 10-6 ¥ (1.658 – 1.486)

= 0.564 mm.
The wavelength of light is 0.564 ¥ 10-6 m.
Example 8.5 A quarter wave plate is 12.5 ¥ 10-6 m thick. Calculate the
wavelength for which it acts as a quarter wave plate. The difference in the
principle refractive indices is 0.01

Given data

Thickness t = 12.5 ¥ 10-6m

The difference in the principal Refractive indius m0 - me = 0.01
 Polarisation 8.19

Solution:
The wavelength of the light l = 2t (mo–me)
Substituting the value, we get,
= 2 ¥ 12.5 ¥ 10-6 ¥ 0.01
= 0.25 ¥ 10-6
The wavelength of light is 0.25 ¥ 10-6 m.

objectives Questions

8.1 _________ is used to produce polarised light.

8.2 When the crystals are perpendicular to each other, the intensity of the
emergent beam from the second crystal is _______.
8.3 The ordinary light has vibration of both _____ and ____ to the plane of the
paper.
8.4 The chemical name of calcite crystal is ________.
8.5 Examples for uniaxial crystals are _____, ______, and _______.
8.6 Crystals like borax, mica and selenite possess two optic axes and hence, are
known as ________ crystals.
8.7 The emergent beam from a Nicol prism is ________.
8.8 The structure of calcite is ______.
8.9 In a Nicol prism, the total internal reflection is obtained due to the presence
of
a) optic axis b) Canada balsam layer
c) ordinary rays d) extra ordinary rays
8.10 The thickness of the HWP (calcite) required to produce a path difference of
l/2 is
l l
a) t = b) t =
2( m0 - m e ) 2( me - m o )

l2 l
c) t = d) t =
2( m0 - m e ) 2( m0 + m e )
8.11 The thickness of negative HWP, required to produce a path difference of
l/2 is
l l2
a) t = b) t =
2( me + m o ) 2( m0 - m e )
l l
c) t = d) t =
2( m0 - m e ) 2( me - m o )
8.20 Engineering Physics

8.12 Equation for a symmetrical ellipse is

x2 y 2 2 2
a) + =0 b) x + y = 1
a 2 b2 2
a b 2

2 2
x2 y 2
c) x - y = 1 d) 2 - 2 = 0
a 2 b2 a b
8.13 The equation for the emergent beam of a circle is
2 2
a) ( x 2 - y 2 ) = a 2 b) ( x + y ) = 2a
2 2 2 2 2
c) ( x + y ) = a d) ( x + y ) = a
8.14 _____ is used for the production and analysis of plane polarised light.
8.15 ________ crystal is used to convert the unpolarised light into plane
polarised light.
8.16 The circularly polarised light is produced by _____ plate.
8.17 _______ wavelength is designed for a particular wavelength and hence, it is
not useful for other wavelengths.

Key:
8.1 Polariser 8.2 minimum
8.3 parallel, perpendicular 8.4 hydrated calcium carbonate
8.5 calcite, tourmaline, quarty 8.6 bioaxial
8.7 plane polarised 8.8 rhombohedrun
8.9 b) 8.10 a)
8.11 d) 8.12 b)
8.13 c) 8.14 nicol pism
8.15 Tourmaline 8.16 QWP
8.17 QWP

exercises

8.1 Calculate the thickness of (i) a quarter wave plate, and (ii) a half wave
plate, given that me = 1.553, mo = 1.544 and l = 5000 Å.
8.2 Find the thickness of a quarter wave plate for a wavelength of 5893 Å.
Given that me =1.553 and mo = 1.544.
8.3 A half wave plate of 5 mm thickness is used to produce circularly polar-
ised light. If me = 1.553 and mo = 1.544, What is the wavelength of the
light used?
8.4 Find the thickness of a half wave plate made up of quartz for l = 500
nm. For quartz, me = 1.553 and mo= 1.544.
 Polarisation 8.21

short Questions

8.1 What is meant by polarisation of light?

8.2 What is plane polarised light?
8.3 What is circularly polarised light?
8.4 What is elliptically polarised light?
8.5 Define the term plane of polarisation.
8.6 Define the term plane of vibration.
8.7 What is an optic axis?
8.8 What are uniaxial and biaxial crystals?
8.9 What is meant by principal plane?
8.10 What is a principal section?
8.11 What are the limitations of a Nicol prism?
8.12 Explain the production of plane polarised light by Nicol prism.
8.13 What is a quarter wave plate?
8.14 Mention the uses and drawbacks of a quarter wave plate.
8.15 What is a half wave plate?
8.16 Mention the uses and drawbacks of a half wave plate.
8.17 Explain how circularly polarised light is produced.
8.18 Explain how eliptically polarised light is produced.
8.19 What do you understand by quarter and half wave plates

descriptive Questions

8.1 (a) Explain the construction and working of a Nicol prism.

(b) Enumerate the actions of a Nicol prism.
(c) What are the limitations of a Nicol prism?
8.2 Explain with suitable mathematical derivation, the formation of plane,
circularly and elliptically polarised lights.
8.3 Explain in detail the production and analysis of plane, circularly and
elliptically polarised lights.
8.4 Distinguish between the (1) Circularly Polarised light and (2) elliptically
polarised and partially polarised light
 Chapter

Photoelasticity
9

oBJEctiVES
• To acquire knowledge on the distribution of stress / strain in a material under
loading conditions
• To understand the theory of photoelasticity
• To study the use of polariser and analyser in photoelastic analysis
• To characterise the distribution of stress / strain on a material under applied load
• To study the possible applications of photoelasticity in industry

9.1
i In order to determine the suitability of the materials used in bridges, roller
n bearings, wheels of a railway wagon, etc., it is essential to study their mechanical
properties under different conditions. The experimental stress analysis aims
t
to find the state of stress at various points of the material for the known
r loading conditions. The experimental methods used for the stress analysis may
o be classified as whole field methods and point-by-point methods.
d Whole field methods give information about the distribution of stress or
U strain in the whole area of the material, e.g., photoelasticity, grid method,
c holography, etc. However, point-by-point methods give information only at
some selected points, e.g., electrical strain gauges, optical extensometers,
t etc. Further, these methods may be classified as static or dynamic, and
i destructive or non-destructive methods. A non-destructive method used
o for the quality testing has been discussed earlier. In this chapter, we will
n discuss the photoelastic method.

Photoelastic Method The photoelastic method was first introduced by David

Brewster in 1814, and later it was developed by Maxwell, Neuman and many others.
Photoelasticity is one such technique specially useful at the designing stage.
In this method, a model of the material is prepared using a suitable transparent
component (plastic or glass) and is placed in the path of a beam of polarised light.
On application of stress on the model, an interference pattern is formed on the screen.
This pattern yields immediate qualitative results, i.e., it indicates the area of high
stress, low stress and the resultant peak stress at the boundary and the interior parts
 9.2 Engineering Physics

of the model. The polarised light used for this purpose can be either plane polarised
or circularly polarised.
Let us first discuss the optical terms used in this section.

9.2 dEFinitionS
9.2.1 Polarised Light
According to the wave theory, light waves have transverse wave nature. If the light
waves vibrate in only one direction, it is known as polarised light.
There are three different forms of polarised light.
(i) Plane polarised light
(ii) Circularly polarised light, and
(iii) Elliptically polarised light
(i) Plane Polarised Light In a plane polarised light, the light vector S vibrates
perpendicular to the direction of propagation in a single plane as shown in Fig. 9.1.
Y
S

Fig. 9.1 Plane polarised light

(ii) Circularly Polarised Light The light vector S rotates round the line of
propagation and describe a circular helical path, which is either right-or-left handed
as shown in Fig. 9.2.
Y
S

Fig. 9.2 Circularly polarised light

(iii) Elliptically Polarised Light The tip of the light vector S travels forward in
an elliptical helical path and at the same time rotates around the axis of propagation
as shown in Fig. 9.3.
Y

Fig. 9.3 Elliptically polarised light

 Photoelasticity 9.3

9.2.2 double refraction

When a beam of unpolarised light is incident on a crystalline material such as mica,
calcite, etc., the beam upon entering the crystalline material gets split into two
components of plane polarised light. This phenomenon is known as double refraction
and the material exhibiting this behaviour is known as doubly refracting material. The
two resultant light vectors travel with different velocities and emerge at the other end
with a phase difference as shown in Fig. 9.4.
Canada balsam layer

Unpolarised light Extraordinary ray

Ordinary ray

Fig. 9.4 Double refraction in Nicol prism

Certain crystalline materials undergo double refraction only when they are subjected
to strain. The double refraction vanishes when the load is removed. This phenomenon
is known as temporary or artificial double refraction.

9.2.3 Wave Plate (or retardation Plate)

Certain crystalline materials have the ability to resolve the light vectors into two
orthogonal components and transmit each one of them at different speed and
phase. This phase difference is proportional to the thickness of the plate. Such
plates are known as wave plates or retardation plates. A typical wave plate is
shown in Fig. 9.5.
Axis-1 Plane polarised light
fast axis s1
A
A1 Axis-2
a s2 slow axis

90°

Fig. 9.5 Wave plate

The wave plate is of two types, namely, Quarter Wave Plate (QWP) and Half Wave
Plate (HWP), depending on the path difference (l/4 and l/2 respectively) produced
between the two orthogonal components.
The quarter wave plate will convert a plane polarised light into a circularly polarised
light, when the plane of vibration of the incident beam makes an angle of 45° with the
 9.4 Engineering Physics

direction of the optic axis of the QWP. When one of the components is suppressed,
the resultant light is plane polarised.

9.3 tHEorY oF PHotoELASticitY

According to Brewster (1814), certain transparent materials like bakelite, synthetic
glass, ebonite, etc., exhibit temporary double refraction when subjected to stress on its
own plane. The amount of double refraction at a point is proportional to the maximum
shear at that point. The photoelasticity is an optical method used to determine the
degree of double refraction existing in a strained body. It provides a clear picture
of the stress distribution throughout the model irrespective of its shape and elastic
constant of the material.
Stress–optic Law The stress–optic law gives the relationship between the changes in
the refractive indices and the principal stresses of a strained photoelastic materials.
Let s1 and s2 be the principal stresses at a point in a two-dimensional photoelastic
material. Let n1 and n2 be the refractive indices along the two principal axes associated
with s1 and s2. Then according to Maxwell, the relationship between the principal
stresses and refractive indices can be written as,
n1 – n0 = c1s1 + c2s2 (9.1)
n2 – n0 = c1s2 + c2s1 (9.2)
where n0 is the refractive index of the material in the unstressed state, c1 and c2
are the direct and transverse stress optic coefficients. Subtracting Eq. (9.1) from
Eq. (9.2) to eliminate n0, we get,
n2 – n1 = (c2 – c1)(s1 – s2)
or n2 – n1 = c(s1 – s2) (9.3)
where c = (c2 – c1) is a constant known as stress optic coefficient.
This equation is known as stress–optic law. Therefore, the values of (s1 – s2) give
the relative phase difference (retardation) of the two components of light through the
model.
Effect of Stressed Model in a Plane Polariscope Consider a doubly refracting plate
(QWP) of thickness h placed in a field of plane polarised light S(a sin wt). The light
vectors make an angle a with the fast axis and get resolved along the direction of
the principal planes, namely, s1 and s2 as shown in Fig. 9.6.
s1
S = a sin w t

s2

Fig. 9.6 Relation between the principal stresses s1 and s2

 Photoelasticity 9.5

If we resolve the light vector into two components along fast and slow axes, it can
be written as (see Fig. 9.7)
S1= a cos a sin w t parallel to s1
S2= a sin a sin w t parallel to s2
Let t1 and t2 be the time required for the transmission on two principal planes s1 and
s2. Then, the two components leaving the model can be represented as,
S¢1 = a cos a sin w (t – t1) and S¢2 = a sin a sin w(t – t2)
and their angular phase difference is w (t2 – t1).
When the two vibrations emerging out from the model are allowed to pass
through another polariser, whose plane of polarisation is at right angles to the plane
of vibration of the incident light on the model (the second polariser is known as
analyser, see Fig. 9.7), then the resultant light is represented by
S = S1¢¢ – S2¢¢ (9.4)
where S1¢¢= a cos a sin a sin w (t – t1) and
S2¢¢= a sin a cos a sin w (t – t2)

Substituting the S1¢¢ and S2¢¢ values in Eq. (9.4), we get,

S = a cos a sin a sin w (t – t1) – a sin a cos a sin w (t – t2) (9.5)

C - Dˆ Ê C + Dˆ
Using the standard formulas sin C – sin D = 2 sin ÊÁ cos Á , and
Ë 2 ¯ ˜ Ë 2 ˜¯
sin 2a = 2 sin a cos a the above equation can be written as,
È t -t ˘ È t1 + t2 ˘
S = a sin 2a sin Íw 2 1 ˙ cos w ÍÎt - 2 ˙˚ (9.6)
Î 2 ˚
The intensity of the emergent beam from the analyser is proportional to the square
of the amplitude of light
È t2 - t1 ˘ È t1 + t2 ˘
I a a2 sin2 2a sin2 Íw ˙ cos2 w Ít -
2 ˙˚
i.e., (9.7)
Î 2 ˚ Î
The amplitude of the resultant vibration is a function of a and phase difference w
(t2 – t1). The intensity of the transmitted light at any point depends on the direction
of the principal stress relative to the polarising plane and also on the difference of
principal stress at that point.
The intensity of the transmitted light is zero at every point.
i.e. sin2 2a = 0 or sin2 w (t2 – t1)/2 = 0 (9.8)

Case I For a = 0 or p/2, we get the loci or focus of the point for which extinction
of the light takes place. Under this condition, the fringes formed are known as
isoclinic.
Case II For w(t2 – t1)/2 = np
where n = 0, 1, 2, 3, etc., we get a series of coloured bands is known as isochromatic
fringes.
 9.6 Engineering Physics

The determination of the isoclinic fringes gives the direction of the principal stress
and isochromatic fringes give maximum shear stress values.
The stress optic law can be written from Eq. (9.3.)
c (s 1 - s 2 )
Rt = nl =
d
ln
or s1 – s2 = d (9.9)
c
= Fm n

where Fm is a constant for a model called ‘fringe constant’ and n the ‘fringe order’.
Let us discuss the experimental methods used to determine the strength of
materials.

9.4 ArrAnGEMEnt oF oPticAL ELEMEntS in

A PoLAriScoPE
The commonly used polariscopes for photoelastic analysis are
(i) Plane polariscope
(ii) Circular polariscope

9.4.1 Plane Polariscope

This is the simplest optical system consisting of a light source, polariser and an analyser
arranged as shown in Fig. 9.7.

S2
S1 a
S2
S1 Axis of
s2
Axis of s1 a S1 S2 polarisation
polarisation

Analyser
S
S Model

Polariser
Light source

Fig. 9.7 Plane polariscope

The polariser N1 and the analyser N2 are both made of Nicol prism. In the plane
polariscope set-up, the axes of the polariser and analyser are at right angles to each
other. Therefore, no light is transmitted through the analyser. This results in a dark field
on the screen. The photoelastic model is inserted between the two crossed elements and
the resultant pattern is viewed through the analyser for different loading conditions.
 Photoelasticity 9.7

9.4.2 circular Polariscope

In this optical system, two additional QWPs are inserted, one between the polariser
and the model and the other between the model and the analyser. The arrangement of
optical elements in a circular polariscope is shown in Fig. 9.8.

Fast
Slow p p axis
axis 4 3
Slow
Polariser Fast p p axis
axis
4 4
S Analyser
l
4
Model
l
plate
Light 4
source

Fig. 9.8 Circular polariscope

In this arrangement, the axis of the quarter wave plates (QWP1 and QWP2) are
arranged at an angle of p/4 to the plane of polarisation. The first quarter wave plate
(QWP1) converts the plane polarised light into circularly polarised light. Similarly,
the second quarter wave plate (QWP2) converts circularly polarised light into plane
polarised light, whose fast axis is parallel to the slow axis of the first quarter wave
plate. Thus, the resultant light again vibrates in the vertical plane. This arrangement
of optical elements constitute a circular polariscope and it produces a dark field. The
resultant field in the polariscope depending on the position of QWPs are described in
the following Table 9.1.

table 9.1 Arrangements of optical elements in a circular polariscope

Arrangements Quarter wave Polariser and Field
plate analyser
1 Crossed Crossed dark
2 Crossed Parallel light
3 Parallel Crossed light
4 Parallel Parallel dark

9.5 intErPrEtAtion oF iSocLinic And

iSocHroMAtic FrinGES
9.5.1 isoclinic Fringes
The model is inserted between the polariser and analyser in a plane polariscope.
When the model is viewed through the analyser for a known loading condition, the
resultant pattern appears as dark areas superimposed on a bright coloured pattern, as
shown in Fig. 9.9a.
 9.8 Engineering Physics

In these fringes, the intensity of the transmitted light will be zero.

i.e. sin2 2a = 0 (9.10)

0° 15° 30°

45° 60° 75°

Fig. 9.9(a) Isoclinic fringes

The dark areas are called isoclinic fringes. This represents the locus of all points where
the principal stress is parallel to the plane of polarisation. If one measures the angle from
the vertical reference axis, it is known as 0°-isoclinic. If the polariser and analyser are
turned through 30° by keeping the optical axis always crossed, the dark area is shifted
to another position, i.e., 0°- isoclinic vanishes and a new dark band is observed on the
screen. This is known as 30°-isoclinic. Thus, the position of the new locus represents
the orientation of principal stress. By rotating the polariser and analyser for every
10° or 15°, the isoclinic for the entire model can be represented by tracing the loci.

9.5.2 isochromatic Fringes

In a plane polariscope, the loaded model forms a coloured pattern as shown in
Fig. 9.9 b, which gives information about the magnitude of the difference between
the principal stresses, i.e., the maximum shearing stress.

Fig. 9.9(b) Isochromatic fringes

 Photoelasticity 9.9

We know that s1 and s2 are the principal stresses in an element at any particular
point, then the maximum stress at any point can be written as,

tmax = ±(s 1 - s 2 ) (9.11)

2
Each coloured point, is the locus of the points having a constant difference between
the principal stresses.
From Eq. (9.8), at the points of extinction
È w (t + t ) ˘
sin 2 Í 1 2 ˙ = 0 (9.12)
Î 2 ˚
Equation (9.12) is satisfied only when the phase difference is an integral multiple of p.
w (t2 - t1 ) c (s 1 - s 2 )
i.e., =n=
2p dy
ln ¥ d
\ s1 - s 2 = (9.13)
c
where n = 0, 1, 2, 3, etc. This type of fringes are known as isochromatic fringes.

9.6 PHotoELAStic BEncH

Basically, photoelastic bench is a circular polariscope which consists of a light source,
polariser, two QWPs, model, analyser, compensator and a camera. The schematic
diagram of the arrangement of the optical elements is shown in Fig. 9.10.
Loading frame
Test model
Quarter wave plate
Lens Water cooler
Camera Quarter waveplate
Light
source

Analyser Lens Lens Polariser

Fig. 9.10 Photoelastic bench

Working A white beam of light from the lamp is focused on to the polariser. The
polariser converts unpolarised light into a plane polarised light. The plane polarised
light emerges as a circularly polarised light from the QWP1. The lenses are used to
obtain an image of desired size of the model. The loading frame can impart tension,
compression and bending to the model. The QWP2 converts the circularly polarised
light into plane polarised light. The interference pattern is viewed through the analyser
and using ordinary camera, the pattern is photographed simultaneously. In order to
9.10 Engineering Physics

get a good focusing on every part of the image, there are provisions for adjusting the
focal planes of various lenses.

Keypoints to remember

• Whole field and point-by-point are the experimental methods used to determine
the stress analysis in a material.
• The whole field method gives information about the distribution of stress or strain
in the whole area of the material.
• The point-by-point method gives information only at the selected points.
• In polarised light, the waves vibrates only in one direction.
• When a beam of unpolarised light is incident on a crystalline material such as mica
and calcite, the resultant beam is split into two components of plane polarised light.
This phenomena is known as double refraction.
• When the load is removed from materials, double refraction vanishes and this
phenomena is known as temporary or artificial double refraction.
• Certain crystalline materials have the ability to resolve the light vectors into two
components and transit each one of them at different speeds and phases. These
materials which are in the form of a plate are known as retardation or wave
plates.
• Stress optic law gives the relationship between the changes in the refractive indices
and the principle stress of strained photoelastic materials.
• The stress optic law is n2 – n1 = c (s1–s2) where c is the stress optic coefficient, n1
and n2 are refractive indices along the two principle axis associated with the stress
s1 and s2.
• When a = 0 or p/2, it froms the focus or loci of the point for which extinction
of light takes place. The fringes formed under this condition is known as
isoclinic fringes.
• Coloured bands at n = 0,1,2 etc., are known as isochromatic fringes.
• Isoclinic fringes are represented by dark areas. It is the locus of all points where
the principle stress is parallel to the plane of polarisation.

Solved Problems

Example 9.1 In an experiment using a photoelastic bench, the difference

between the principal stresses is equal to 10 ¥ 108 N m–2. The photoelastic
material has its relative stress optic coefficient as 1 brewsters (1 brewsters =
10–12 m2 N–1 ). Calculate the difference between the refractive indices along
that principal stresses.
 Photoelasticity 9.11

Given Data
The difference between the principal stress, s1 – s2= 10 ¥ 108 N m–2
The stress–optic coefficient, c = 1 ¥ 10–12 m2 N–1
Solution The difference between the refractive indices
N = n2 – n1
Substituting the c, s1 and s2 values in the above equation, we get,
= c ¥ (s1 – s2) = 1 ¥ 10–12 ¥ 10 ¥ 108
= 1 ¥ 10–3
= 0.001

The difference between the refractive indices along the principal stresses
= 0.001.
Example 9.2 The magnitude of stress acting at a point in a stressed material
is given by s1 = 405 ¥ 106 N m–2 and s2 = – 105 ¥ 106 N m–2. Determine the
values of the maximum shearing stress.
Given Data
The principal stress, s1 = 405 ¥ 106 N m–2
The principal stress, s2 = – 105 ¥ 106 N m–2
Solution The maximum value of the shearing stress

tmax =
s1 - s 2
= (
405 ¥106 - -105 ¥106 )
2 2
= 255 ¥ 106 N m–2
The maximum shearing stress = 255 ¥ 106 N m–2.

objectives Questions

9.1 _________ method gives information about the distribution of stress or

strain in the whole area of the material.
9.2 The point-by-point method gives information only at selected ________.
9.3 ________ is used at the initial designing stage.
9.4 In photoelasticity, the model of the material is prepared using _________
transparent component.
9.5 The following is not a form of polarised light.
a) Plane polarised light b) Circularly polarised light
c) Incident light d) Elliptically polarised light
9.6 The phenomena of removal of double refraction upon removal of applied
load is known as ____________.
9.12 Engineering Physics

9.7 Acronym for QWP and HWP is _________.

9.8 The path difference produced by QWP is ___________.
9.9 ___________ is the path difference produced by HWP.
9.10 The stress optic law is equal to
a) n2 – n1 = c (s1 – s2) b) n2 – n1 = 2c (s1 – s2)
c) n2–n1 = c2 (s1 – s2) d) n1 – n2 = c (s1 – s2)
9.11 The maximum stress at any point in an element during the loading is

a) ± (s 1 - s 2 ) b) ±(s 1 - s 2 )
4 2
±(s 1 + s 2 )
c) ±(s 1 + s 2 ) d)
2 4
9.12 Photoelastic bench is a _________ polariscope.

KEY
9.1 Whole field 9.2 points
9.3 Photo elasticity 9.4 glass or plastic
9.5 c
9.6 temporary double refraction or artificial double refraction
9.7 Quarter Wave Plate, Half Wave Plate
9.8 l/4 9.9 l/2
9.10 a) 9.11 b)
9.12 circular

Exercises

9.1 The principal stress acting at a point is given by s1 = 380 ¥ 106 N m–2 and
s2 = –240 ¥ 106 N m–2. Determine the maximum shearing stress acting
at that point.
9.2 The difference between the two principal stresses acting at a point is
5 ¥ 108 N m–2. If the stress–optic coefficient is 10 brewster, calculate the
difference between the refractive indices.

Short Questions

9.1 What is photoelasticity?

9.3 What is meant by photoelastic effect?
9.4 Define plane polarised light.
 Photoelasticity 9.13

9.5 Define circularly polarised light.

9.6 What is meant by elliptically polarised light?
9.7 Define the term, “temporary double refraction”.
9.8 What are the common materials employed in the preparation of photoelastic
test models ?
9.9 What are isoclinic and ischromatic fringes?
9.10 What are isochromatic fringes?
9.11 Give the applications of photoelasticity.

descriptive Questions

9.1 What are isochromatic and isoclinic fringes ? How are they analysed by the
use of photoelastic bench?
9.2 Explain how stresses in a material are distributed by using stress–optic law.
9.3 Write a note on the arrangements of optical elements in plane and circular
polariscope.
9.4 Discuss the stressed model in a plane polariscope and obtain the
necessary conditions for isochinic fringe pattern.
9.5 Explain photo elasticity. Explain its use and discuss stress optic law
 Chapter

Optical and Other

Instruments 10

OBJECTIVES
• To study the principle, mechanism and applications of optical instruments
• To explore the method of finding the altitude of the sun and the height of a tower/
building
• To understand the operating principle and applications of optical microscope, TEM,
SEM and STEM
• To understand the role of optical instruments in material characterisation

10.1
i Some instruments like photographic camera, telescope, microscope,
n eyepiece, lenses, and sextants, are based on the principle of the properties
t of light like reflection, refraction, etc. They are known as optical
instruments. Some other instruments, like an electron microscope, use an
r electron beam, which obeys the optical principles, like refraction, etc. The
o branch of science, which deals about the optical properties of the electrons,
d is known as electron optics. In this chapter, the instruments based on the
U principle of optics and electron optics are discussed.
c X M1 index mirror
t Y
i
o
M2
n Y T

10.2 Sextant A B

The diagrammatic representation of a sextant C

is shown in Fig. 10.1. It consists of a circular 100 0 0
arc SS¢ of about 60°. The circular arc (circular
S 80 60 40 2 S ¢
scale) SS¢ is attached with two fixed radial arms
A and B. At the centre, there is a movable arc C, Fig. 10.1 Sextant
10.2 Engineering Physics

known as index arm. A mirror M1 is placed at one end of the index arm. This mirror
is called as index mirror. In another end, a vernier scale V is attached with the index
arm. A semi-transparent silvered glass M2, known as horizon glass, is fixed in the arm
A. A telescope is attached with the arm B.
The sextant is based on the principle that if the index mirror M1 is rotated through an
angle of q, then the reflected ray rotates through an angle of 2q. Since the reflected ray
rotates through an angle of 2q, the scale SS¢ is graduated into 120° by taking 0.5° = 1°.
To measure the angle between the points Y and X, the sextant is initially fixed so
the telescope receives the image of the point Y directly through the mirror M2. Then
the index mirror is rotated in such a way so as to get the image of the point Y in the
field of view of the telescope. The light ray coming from Y reaches the telescope after
getting reflected by the index glass M1 followed by another reflection by the mirror
M2. The two images obtained are made to lie side by side and then the vernier scale
is coincided to zero of the main scale (SS¢). If it is not possible to coincide the vernier
scale to zero of the main scale, note the vernier scale reading and it should be added
or subtracted depending on the errors. Then the index mirror M1 is adjusted so as to
get the reflected image of the point X in the field of view of the telescope. The image
of X reflected by the index glass M1 and the image of Y through the horizon glass
should made to lie side by side and the position of scale is noted. From the difference
between the two readings, the angle between the points X and Y is determined. A
sextant is also used to measure the height of an inaccessible tower and the altitude
of the sun.

10.2.1 Measurement of the Height of an inaccessible tower

Let A and B be the bottom and top portions of a tower. Consider our aim is to find
the distance between the points A and B using a sextant. To measure the distance
between the points A and B of the tower, a base line is drawn from the tower. The
direct image of A is seen through the telescope. The mirror M1 is adjusted so as
to get the image of A in the telescope side by side [Fig. 10.2a] and the reading
in the scale SS¢ is noted. Then the mirror M1 is rotated so as to receive the image

M1
A
T
A
M2
(a)

B
M1
A

T
A
M2
(b)

Fig. 10.2 Sextant—height of a tower

 Optical and Other Instruments 10.3

of the top of the building or tower. The image of the top of the tower or building
B and the image of the bottom level A are seen side by side [Fig.10.2b] in the
telescope. The reading in the scale is noted and the angle q1 through which the
index arm rotated is found out.
Now move the sextant through a distance of d meter (say 10 m) and repeat the entire
experiment again. The angle q2 through which the index arm is rotated is determined.
Let the sextant be first positioned at C and then at D.

q1 q2 D
A C d
Fig. 10.3 Measurement of the height of an inaccessible tower

AC AD
From Fig. 10.3, cot q1 = and cot q2 =
h h
By measuring the distance between C and D, we get,

AD - AC d
cot q2 – cot q1 = =
h h
d
\ h = cot q - cot q
2 1

The height of the building or the tower is calculated using the above equation.

10.2.2 Measurement of the altitude of the Sun

To measure the altitude of the sun, since it is not possible to find the horizon of the sun,
an artificial horizon is used. A dish containing mercury is used as an artificial horizon.
The telescope of the sextant is turned towards the mercury surface. One image A¢ of
the sun from the mercury is seen through a transparent mirror M2 and another image
due to the reflection from the index glass M1 and the horizon glass M2 are obtained in
the field of view of the telescope (Fig. 10.4). These two images should be made to lie
side by side and the reading in the scale is noted. From these readings q1 is determined.
The index glass is now rotated to receive the image of the sun directly and mirror M2
reflects it. This image should lie side by side with the image of the sun in mercury as
seen through the transparent mirror M2. The position of the scale is also noted. The
value of q2 is determined from these readings. The angular elevation of the sun, a is
determined using the relation, a = (q2 – q1)/2.
10.4 Engineering Physics

Sun
A

q1
q2
Mercury

Sun
A'

Fig. 10.4 Measurement of the altitude of the sun

10.3 MetallUrgical MicroScope

In a biological microscope, the transmitted light is used to view the specimen. Since
the metals are opaque to light, the metallurgical microscope uses reflected light to
view the specimen.
The diagrammatic representation of a metallurgical microscope is shown in
Fig. 10.5. In a metallurgical microscope, a beam of light produced by an incandescent
lamp (halogen or xenon lamp) is made to fall on a glass plate inclined at an angle of
45°. The light reflected by the inclined glass plate is used to illuminate the object. An
objective lens receives the light reflected from the object and it focuses the image at
its focal point. An eye-piece receives the image and enlarges it. The enlarged image
is seen through the eye-piece lens.

Eye piece lens system

Plane glass reflector

Objective lens
Specimen

Fig. 10.5 Metallurgical microscope

 Optical and Other Instruments 10.5

Usually, the objective lens with different magnifications like 5x, 10x, 20x, 50x and
100x are provided in a turret mount. The eye-piece lenses with different magnifications
like 5x, 10x, 20x, etc., are also provided. The total magnification of the microscope
depends upon the product of the magnifications of the eyepiece lens and that of the
objective lens. Thus, a magnification from 20x to 2000x is easily achieved using a
metallurgical microscope.
The overall magnification is approximately given by DN/F, where D is the length
measured from back of objective to lower end of eye-piece, N the power of eye-piece
and F the focal length of the objective lens.
The resolution of image is given by c = 0.5l/(m sin a) where l is the wavelength
of light used, m the refractive index between lens and specimen and a is half the angle
subtended by maximum cone of rays entering the objective.
For l = 5000 Å, the theoretical value of the resolution cannot exceed 2000 Å.
Resolution may be increased either by decreasing refractive index of the medium in
between the sample and the objective lens or by increasing l. A drop of oil of high
refractive index (e.g. cedar oil of m = 1.5) is placed between the objective and specimen
to increase the resolution and then viewed.

10.4 FocUSing oF electron beaMS

An ordinary beam of light is focused with the help of lenses. Since electrons are
charged particles, they cannot be focused using ordinary lenses. Focusing of parallel
or diverged electron beams are achieved with the help of an electrostatic lens or an
electromagnetic lens.

10.4.1 electrostatic lens

The first electrostatic lens was built by Bruch and Johnson in 1932. An electrostatic
lens consists of two coaxial cylinders A and B maintained at different potentials as
shown in Fig. 10.6. The potential difference of B is greater than that of A. If a beam
of electrons is passing through the axis of these coaxial cylinders, it moves normal
to the equipotential surface and finally comes to focus at F. By varying the potential
difference of the coaxial cylinders A and B, the electron beams are focused either
near to the lens or far away from the lens. This set-up acts as lens for an electron
beam similar to an optical lens for visible light. In some cases, more than two coaxial
cylinders are used to get good focusing of the electron beams.
B

B
Fig. 10.6 Electrostatic lens
10.6 Engineering Physics

10.4.2 electromagnetic lens

Electromagnetic lens is based on the principle that a magnetic field produces deflection
when an electron beam is obliquely passing through it. The diagrammatic representation
of an electromagnetic lens is shown in Fig. 10.7. There is a small hole (separation)
between the pole pieces of the magnetic lens of an electromagnet for the electrons to
pass through. The pole pieces of the electromagnet consists of iron shells wounded
with the coil of wire and air gaps for air circulation. If the electromagnet is switched
on, the magnetic field is established in the fine perforated section. When an electron
beam is passing through the magnetic field, it takes a spiral path and brings to focus
just like glass lenses focuses a beam of ordinary light.

P P¢

F
(a) F
(b)

Fig. 10.7 Electromagnetic lens

10.5 electron MicroScope

The principle of an electron microscope (EM) is similar to that of an optical microscope.
An optical microscope uses optical lenses at various stages of the microscope
for magnification. In an electron microscope, either an electrostatic lens or an
electromagnetic lens is used at different stages of the microscope. Using an optical
microscope, a magnification of about 1500 times is achieved, whereas an electron
microscope magnifies the image up to 100000 times. Since the wavelength of the
electron beam is 104 to 105 times smaller than that of an ordinary light ray, greater
resolution can be achieved using electron microscope.
The first electron microscope was designed in the year 1932. But today, with
considerable improvement in technique, the electron microscopes with a number of
facilities are available in the market. Most of the instrument uses the electromagnetic
lens for magnification, even though both electrostatic and electromagnetic lenses can
be used for magnification.
A schematic diagram of an electron microscope is shown in Fig. 10.8 with an optical
microscope. In an electron microscope, E is an electron gun and it produces electron
beams, whereas in an optical microscope, an incandescent lamp S is used as a source.
An electron microscope is operated at very high vacuum. Hence, the apparatus is
evacuated to very high vacuum using a vacuum pump P. The electromagnetic lens in
the electron microscope acts as a condensing lens, similar to the lens L1 in the optical
microscope. The condensed electron beam in the electron microscope is made to fall
 Optical and Other Instruments 10.7

on the sample kept at O. The sample is mounted on a thin film of cellulose supported
on a wire-gauze. High-speed electrons pass through the sample and the remaining
are stopped by it. The electron beam passing through the specimen is magnified 100
times by the electromagnetic objective lens L2. Then, the image is made to fall on
an intermediate screen S1. The electromagnetic lens L3 again magnifies the image
100 times and then the image is made to fall on a fluorescent screen S2. The lens L3
is known as the projector lens, since it project a small portion of the first image on
the screen S2. The window W can view the image on the screen S2. The image seen
through the window has a magnification of about 10000 time. This image is further
magnified 10 times with the help of an optical lens, so as to get a total magnification
of 105 times. When photomicrographs are required, the viewing screen is replaced by
a photographic plate.
An electron microscope is very useful for research on smoke, dust particles, on
pigments for paints and on disease-bearing bacteria and viruses. The surface of the
crystalline materials is studied by it.
S
E

L1
L1
O
L2 L2

S1 S1
L3 L3
W

P
S2 S2

(a ) (b)

Fig. 10.8 (a) Optical microscope (b) Electron microscope

Though the principle of the electron microscope is same as that of an optical

microscope, it differs from the optical microscope with regard to its size, weight,
appearance and cost.

10.6 Scanning electron MicroScope

Knoll invented scanning electron microscope (SEM) in 1935. The schematic
representation of a scanning electron microscope is shown in Fig. 10.9. It is used
to produce a three dimensional image of a specimen of any size and thickness. The
electrons produced by the hot filament are accelerated by electric and magnetic fields.
The emerging electrons with a spot size of nearly 10 nm is made to be incident on a
10.8 Engineering Physics

conducting sample under study. If the sample is non-conducting, a thin layer of 5–50
nm thick gold or any other metal coating is made and then the sample is used for study.
A scanning coil deflects the electron beam, so that the sample is scanned point by
point. The electrons striking on the sample produce secondary electrons. The number
of secondary electrons produced depends upon the geometry and other properties of
the samples. The secondary electrons are collected by a positively charged electron
detector, which accelerates the electrons to very high energy in the order of 10 keV.
Then, the electrons are made to strike a scintillator. The scintillator produces a large
number of photons. These photons are made to fall on a photomultiplier tube. The
photomultiplier tube converts the electrons into a highly amplified electric signal. This
amplified electric signal is passed into a cathode ray tube, through which the image
of the scanned surface is seen.

Electron source

Aperture
Magnetic lens

IS Scanning coils
Secondary
electrons

Sample Ic
(10 nm spot)
Electron
detector CRT

Video Scan
amplifier generator

Fig. 10.9 Scanning electron microscope

The resolution of the image is about 10–20 nm. The magnification of the microscope
can be continuously varied from 15 to 105 times. The magnification depends upon the
ratio of the variable current Is in the scanning coil to the current Ic in the deflection
coil of the cathode ray tube.
Nowadays, due to considerable development in electron optics, the electron probes
with a diameter of nearly 2.5 nm are used in scanning electron microscope. This
instrument is known as electron probe microanalysis (EPMA). It is used to find the
chemical compositions of alloys, metals, semiconductors, etc.

10.7 tranSMiSSion electron MicroScope

The Transmission Electron Microscopy (TEM) is one of the modern characterisation
tools used to obtain structural images of the materials. One can explore the surface
nature, structural and the properties of the materials. It finds wide applications in
almost all areas like chemistry, materials science, geology and biology. The basic
 Optical and Other Instruments 10.9

composition of the materials can be explored with the help of detectors through the
energy loss spectrum of the transmitted electrons. On the other hand, the modern TEMs
are used to produce the images in the scanning range of 0.1nm with a magnification
of 50 million times.
The schematic representation of the TEM is shown in Fig. 10.10. A stream of
monochromatic electron beams is produced by the electron gun, namely, virtual
source located at the top. Two condenser lenses are used to obtain coherent electron
beam as shown in Fig. 10.10. The first lens is used to determine the spot size while
the second lens is used to change the size of the spot on the sample. The electron
beam is made to incident on the selected points on the sample. A part of the beam
is transmitted into the sample while the remaining part is being scattered. The
transmitted portion is focused by the objective lens. The objective aperture enhances
the contrast of the image by preventing larger diffracted electrons. Thus, the image is
formed after passing through the projector lenses. The transmitted beam of electron
strikes the phosphor image screen and thereby it generates light. The obtained image
consist of dark and bright patterns. The dark pattern refers to the less transmission of
electron from the sample which may be due to denser or thicker nature of the sample.
Similarly, the bright pattern reveals the high transmission of electron beam through
the sample.

Electron beam source

First condenser lens

Second condenser Second condenser lens

aperture

Objective lens
Thin sample

Diffracted electrons Transmitted electrons

Objective aperture

Viewing screen
photographic media

Fig. 10.10 Transmission electron microscope

10.10 Engineering Physics

A high intensity electron beam is made incident on the sample. The interaction of
electron beam in crystalline material is based on the diffraction principle. The intensity
of the diffraction pattern depends on the orientation of atomic planes in the crystal.
The intensity of the transmitted beam may be altered by the volume and density of
the materials through which it passes.
A high contrast image is obtained by TEM only by allowing the transmitted electrons
through the sample along the optic axis. The scattered electrons are deflected from
the optical axis and hence, prevented from reaching the phosphor screen using the
objective apertures. The scattered electrons are not taken into account during the
formation of an image.
In High Resolution Transmission Electron Microscopy (HRTEM), the image can
be formed due to the differences in the phases of the scattered electron waves through
the sample during transmission. The images obtained using HRTEM will facilitate to
explore the crystal structure of the material.
Applications The applications of the TEM are given below:
(i) One can obtain the imaging of individual molecules (or) macromolecular
assemblies.
(ii) It is used heavily in materials, metallurgy and biological sciences.
(iii) Computer modeling of the images is an added advantage in TEM
characterisation.
Limitations The limitations of the TEM are given below:
(i) The sample must be thin enough to characterise using TEM and hence,
it requires extensive sample preparation (electron transparent)
(ii) The structure may be changed during the process of sample preparation.
(iii) In biological materials, the electron beam may damage the samples.

10.8 Scanning tranSMiSSion electron

MicroScope
Scanning Transmission Electron Microscope (STEM) is an advanced version of
Transmission Electron Microscope (TEM) used for research and development in all
fields. Like other electron microscopes, the high energy electron beam is made to be
incident on the sample not only at a particular point, but line by line with the help of
scanning coils. The incident high energy electron beam is transmitted into the sample.
The transmitted electrons are collected by number of detectors and hence, the images
are formed. The scanning of electron beam across the sample provides details of the
material such as mass determination and mapping. These data are used extensively
for the direct correlation of image and the structures quantitatively. In STEM, the
image and the structural informations of the sample can be obtained simultaneously.
It is one of the most versatile tools used for the determination and mass mapping of
bimolecular structures.
The schematic diagram for the STEM is shown in Fig. 10.11. The field emission
gun is placed at the top of the instrument, which emits the high energetic electron
beam. A fine narrow beam of electrons of size 2.5 Å diameter is obtained using an
objective lens.
 Optical and Other Instruments 10.11

Electron source

Objective lens

CRT Display

Scanning coils
Sample Elastically scattered
electrons
Annular detector

Central detector

Unscattered + inelastically
scattered electrons
Fig. 10.11 Schematic diagram of scanning transmission electron microscope

The direction of the beam of electrons can be controlled employing the scanning
coils. The transmitted electrons are of three categories, namely, elastically scattered,
in-elastically scattered and the unscattered electrons. The various detectors which
are placed in different angles below the sample, collect the above three categories of
electrons.
A high energetic electron beam is made to be incident on the sample and then
scan in a 2-dimensional raster across the sample with the help of the scanning coils.
During the transmission, the electron scattering has occurred both in elastically and
in-elastically. The scattering angle of the elastically scattered electrons is relatively
low with the same scattering region of unscattered electrons. The above electrons are
collected by the same central detector. However the elastically scattered electrons are
scattered over a large solid angle and these can be collected by annular detector below
the sample. All the scattered electrons are collected by a variety of detectors which
are placed behind the sample. The image is generated by step-by-step movement of
the focused beam over the sample. Variety of signals collected simultaneously can
be discriminated depending on the different scattering angle and/or energy loss. The
different structural and chemical informations of the sample are obtained from the
images due to the various scattered angles. The simultaneous and controlled acquisition
of information can give good quantitative analysis which cannot be obtained by other
microscopes. The inelastic and unscattered electrons can be differentiated using their
difference in energies with the help of magnetic prism near the central detector. During
the scanning process, the analog signal from the detector is fed into the Cathode Ray
10.12 Engineering Physics

Tube (CRT) for display. The magnification factor is the ratio of the raster of CRT and
electron probe as in written as,

CRT raster
Magnification = (10.1)
Electron probe raster

The following are the advantages of STEM:

(i) High elemental mapping resolution of any analytical technique
(ii) Provide crystallographic information of even small area of the sample
(iii) It is used to characterize the nanoparticle, agglomeration due to annealing,
etc
The following are the limitations of the STEM:
(i) The sample preparation is tedious as that of STEM
(ii) Some materials not stable to high energetic electron beam

Keypoints to remember

• A sextant is used as an optical instrument working on the principle of light

reflection and is used to measure inaccessible towers or buildings and the altitude
of sun.
• The metallurgical microscope is based on the principle of reflection of light,
while a biological microscope is based on the principle of transmission of
light.
• Electrostatic and electromagnetic lenses are used to focus electron beams in a
microscope.
• An electron microscope is different from optical microscope in terms of size,
weight, appearance and cost.
• Electron Probe Microscope Analysis (EPMA) is used to find the chemical compo-
sition of alloys, metals and semiconductors.
• Transmission Electron Microscope (TEM) is one of the modern characterisation
tools used to obtain the information such as surface nature, structure and proper-
ties of materials.
• In TEM, the contrast image is obtained by allowing the transmitted electrons
through the sample along the optic axis.
• In High Resolution Transmission Electrons Microscope (HRTEM), the image
is obtained due to the difference in the phases of the scattered electrons waves
through the sample.
• STEM is used for the determination and mass mapping of biomolecular struc-
tures.
• In STEM, there are three types of transmitted electron namely electrically scat-
tered, in-elastically scattered and unscattered electrons.
 Optical and Other Instruments 10.13

objectives Questions

10.1 The altitude of the sun is measured using __________.

10.2 A sextant is works on the principle of_________.
10.3 The height of an inaccessible tower is measured using________.
10.4 Using a sextant, the height of a building is measured using the reflection
d d
a) h = b) h =
cos q1 + cos q 2 cos q1 - cos q 2

d d
c) h = d) h =
cot q1 + cot q 2 cot q 2 - cot q1

10.5 The transmitted light is used to view the specimen in __________ micro-
scope.
10.6 The reflected light is used to view the specimen in __________ micro-
scope.
10.7 The magnification of metallurgical microscope is equal to
DN DN
a) b)
F F2
c) DN d) DNF
10.8 The resolution of the image in a metallurgical microscope is

0.5 l 2 0.5 l
a) b)
m sin a m sin a

0.5 0.5 l
c) d)
m sin a sin a

10.9 Electron beams are focused using ______ or _______ lenses.

10.10 The wavelength of an electron beam is smaller than ordinary light. True
/ False?
10.11 The electron microscope is not different from an optical microscope in
terms of
a) size b) weight
c) principle d) cost
10.12 Acronym for SEM is _____.
10.13 In SEM, the energy of the accelerated electrons is in the order of
________.
10.14 The chemical composition of alloys and metals are analysed using
________.
10.14 Engineering Physics

10.15 Acronym for EPMA is_______.

10.16 Acronym for TEM is________.
10.17 HRTEM is used to explore______ of material.
10.18 Expand DRTEM_____.
10.19 Acronym for STEM is________.

KEY:
10.1 sextant 10.2 reflection
10.3 sextant 10.4 d)
10.5 biological 10.6 metallurgical
10.7 a) 10.8 b)
10.9 electrostatic or electromagnetic 10.10 True
10.11 c) 10.12 Scanning Electron Microscope
10.13 10 ke V 10.14 Electron Probe Microscope
10.15 Electron Probe Microanalysis 10.16 Transmission Electron Microscope
10.17 crystal structure 10.18 High Resolution Transmission
Electron Microscope
10.19 Scanning Transmission
Electron Microscope

Short Questions

10.1 What is a sextant?

10.2 What are the uses of a sextant?
10.3 Explain how the altitude of the sun is measured using a sextant.
10.4 Explain how the height of a tower is measured using a sextant.
10.5 What is an optical microscope?
10.6 What is a metallurgical microscope?
10.7 What is the difference between an optical microscope and a metallurgical
microscope?
10.8 What is an electron microscope?
10.9 What are the uses of an electron microscope?
10.10 What is a scanning electron microscope?
10.11 What is the principle behind transmission electron microscope.
10.12 Explain the principle of scanning transmission electron microscope.
10.13 Compare the merits and demerits of SEM and STEM.

descriptive Questions

10.1 Explain with neat sketch, the construction and working of a sextant. Explain
how is a sextant used to find the height of a tower and the altitude of the
sun.
 Optical and Other Instruments 10.15

10.2 Explain the construction and working of a metallurgical microscope.

10.3 Explain with neat sketch, the construction and working of an electron
microscope.
10.4 Explain with neat sketch the construction and working of a scanning
electron microscope.
10.5 Explain with a neat sketch, the working of TEM with STEM. Mention
their applications and limitations.
 Chapter

Laser
11

OBJECTIVES
• To understand the principle, theory, operations and applications of laser
• To discuss the fundamental terms such as absorption, spontaneous and stimulated
emission
• To derive Einstein expressions for stimulated emission and to study its
importance
• To explore the different methods of population inversion
• To derive Schawlow and Townes condition for achieving laser action
• To study the different types of lasers and their applications
• To discuss the laser applications such as holography, and the use of lasers in the
fields of computers, industry, medicine, etc

11.1
i Laser is an acronym for Light Amplification by Stimulated Emission of
n Radiation. The theoretical explanation for laser oscillation was given by
t A L Schawlow and C H Townes in the year 1958. The first laser, namely,
ruby laser was demonstrated by T H Maiman, in the year 1960. The
r discovery of laser made an enormous impact in the scientific world and
o showed that the function of optics was very much alive.
d The laser beam has the properties given below which distinguish it
u from an ordinary beam of light.
c (i) Directionality The light beam can travel as a parallel beam up to a
t distance of d2/l, where d is the diameter of the aperture through which
i the light is passing and l the wavelength of the light used. After travelling the
o distance d2/l, the light beam spreads radially. In an ordinary light beam, the
n l
angular spread is given by Dq = . For a typical laser beam, the angular
d
spread is 1 mm per 1 m, but for an ordinary source of light, the angular spread is 1 m
per 1 m. This shows the directionality of the laser beam. For example, the laser beam
can be focused to moon from the earth with an angular spread of a few kilometres.
11.2 Engineering Physics

(ii) Intensity The intensity of the laser beam is very high. If a person is allowed to
observe an ordinary light, emitted by a 100 W bulb at a distance. One foot from the
source, he can perceive only one thousand watt of light. While, if the person is allowed
to observe the laser beam from the same distance, the entire laser beam penetrates
through his eye. It will damage the eye of the observer. This shows the high intensity
of the laser beam.
(iii) Monochromaticity The laser beam is strictly monochromatic (single frequency)
than any other conventional monochromatic source. The bandwidth (Dn = 0) of the
laser beam is narrow, while ordinary light spreads over wide range of frequencies.
Obtaining absolute monochromaticity is difficult; however, one can get high degree
of monochromaticity in laser beam with very small bandwidth, of about one kilocycle
per second. For example, the line width Dl emitted by ruby laser is 5 ¥ 10-4 Å.
(iv) Coherence The degree of coherence of laser beam is very high than
the other sources. The coherence of laser emission results in extremely high power
(5 ¥ 1012 W cm-2 ). The light from a laser source consists of wave trains that are
identical in phase and directions of propagation. Further, it can be focused to a very
small area of 0.7 mm thickness.
It is, indeed, these properties, that differentiate the laser beam from other
conventional light beams. Let us discuss the principle, generation and application of
the laser in this chapter in detail.

11.2 PrinciPle of laser

From the theory of interaction of radiation with matter, we can get an idea regarding
the working of laser. Consider an atom that has only two energy levels, E1 and E2.
When it is exposed to radiation having a stream of photons, each with energy hn, three
distinct processes can take place.
(i) Absorption
(ii) Spontaneous emission, and
(iii) Stimulated emission
(i) Absorption An atom or molecule in the ground state E1 can absorbs a photon of
energy hv and go to the higher energy state E2. This process is known as absorption
and is illustrated in Fig. 11.1
E2 E2

hn

Photon

E1 E1
Before absorption After absorption

Fig. 11.1 Absorption

The rate of upward transition R12 from ground state E1 to excited state E2 is
proportional to the population of the lower energy level N1 (number of atoms per unit
volume) and to the energy density of radiation rn,
 Laser 11.3

i.e. R12 a rn
a N1
Thus R12 = B12 rn N1 (11.1)
where B12 is the probability of absorption per unit time.
Normally, the higher energy state is an unstable state and hence, the atoms will
make a transition back to the lower energy state with the emission of a photon. Such
an emission can take place by one of the two methods given below.
(ii) Spontaneous Emission In spontaneous emission, the atoms or molecules in the
higher energy state E2 eventually return to the ground state by emitting their excess
energy spontaneously. This process is independent of external radiation. The rate
of the spontaneous emission is directly proportional to the population of the energy
level E2,
i.e. R21 (SP) a N2
R21 (SP) = A21 N2 (11.2)
where A21 is the probability per unit time that the atoms will spontaneously fall to the
ground state and N2 the number of atoms per unit volume in the state E2. This process
is illustrated in Fig. 11.2
E2

hn

E1

Fig. 11.2 Spontaneous emission

(iii) Stimulated Emission In stimulated emission, a photon having energy E, equal
to the difference in energy between the two levels E2 and E1, stimulate an atom in
the higher state to make a transition to the lower state with the creation of a second
photon as shown in Fig. 11.3.
E2

hn hn

hn

E1

Fig. 11.3 Stimulated emission

11.4 Engineering Physics

The rate of stimulated emission R21 (ST) is given as,

R21 (ST) = B21rnN2 (11.3)
where B21 is the probability per unit time that the atoms undergo transition from higher
energy state to lower state by stimulated emission.
Under conditions of thermal equilibrium, the population of energy levels obey
Boltzmann’s distribution function.

11.3 einstein’s theory of stimulated

emission
In 1917, Einstein proposed a mathematical expression for the existence of
stimulated emission of light. This expression is known as Einstein’s expression.
Consider a two-level energy system (E1 and E2). Let N1 and N2 be the number of
atoms in the ground state and excited state, respectively. Let us assume that only the
spontaneous emission is present and there is no stimulated emission of light.
At thermal equilibrium condition, the rate of absorption = the rate of emission of light
From Eqs (11.1) and (11.2), we can write,
rn ¥ B12N1 = A21N2

A21 N 2
rn = (11.4)
B12 N1

According to Boltzmann’s distribution function, the population of atoms in the

upper and lower energy levels are related by,
N 2 e - E2 / kT
= (11.5)
N1 e - E1 / kT
Substituting N2/N1 in Eq. (11.4), we get,
A - ( E - E )/ kT
rn = 21 e 2 1 (11.6)
B21
A21 1
rn =
B21 e hn / kT
According to black-body radiation, the energy density
8p hn 3 1
rn = (11.7)
c 3 e hn / kT - 1
where h is the Planck’s constant and c the velocity of light. Comparing the above two
equations [Eqs (11.6) and (11.7)], one can observe that they are not in agreement.
To rectify this discrepancy, Einstein proposed another kind of emission known
as stimulated emission of radiation. Therefore, the total emission is the sum of the
spontaneous and stimulated emissions of radiation.
At thermal equilibrium condition, the rate of absorption = the rate of emission
From Eqs (11.1), (11.2) and (11.3),
B12 N1 rn = A21N2 + B21N2rn
 Laser 11.5

A21 N 2
rn = (11.8)
B12 N1 - B21 N 2
Dividing each and every term on R.H.S. of Eq. (11.8.) by N2 , we get,
A21
rn =
B12 ( N1 / N 2 ) - B21
Substituting for N1/N2 from Eq. (11.5), we get,
A21
rn =
B12 [e( E2 - E1 )/ kT ] - B21
We know that E2 – E1 = hv
A 21
rn = hn / kT (11.9)
B12 e - B21

The coefficients A21, B12 and B21 are known as Einstein’s coefficients.
Comparing the above equation with Eq. (11.7), we get,
B12 = B21
A21 8p hn 3
and = (11.10)
B21 c3
From Eqs (11.7) and (11.9), the ratio of the stimulated emission to spontaneous
emission is given by,
R21 (ST ) B21 N 2 rn 1
= = hn / kT (11.11)
R21 (SP) A21 N 2 e -1
From Eq. (11.11), Einstein proved the existence of the stimulated emission of
radiation.
The spontaneous emission produces incoherent light, while the stimulated emission
produces coherent light. In an ordinary conventional light source, the spontaneous
emission is dominant. For laser action, stimulated emission should be predominant
over spontaneous emission and absorption. To achieve this, an artificial condition,
known as population inversion, is required.

11.4 PoPulation inversion

Consider a two-level energy system (E1 and E2). Suppose a photon of energy equal
to the energy difference between the two levels is incident on the system, then which
event is more likely to take place: absorption or stimulated emission? Einstein showed
that under normal circumstances, both the processes are equally probable.
In a system containing a very large number of atoms, the dominant process will
depend on the virtual number of atoms in the upper and lower states. A large population
in the upper level (N1 < N2) will result in stimulated emission dominating over the
absorption. If there are more number of atoms in the lower level, i.e., ground state
(N1 > N2), there will be more absorption than stimulated emission.
Under conditions of thermal equilibrium, Boltzmann’s distribution function relating
N1 and N2 given by Eq. (11.5) is obeyed.
11.6 Engineering Physics

N2
= e - ( E2 - E1 )/ kT (11.12)
N1

where k and T are the Boltzmann’s constant and the absolute temperature, respectively.
For stimulated emission to dominate, it is necessary to increase the population of the
upper energy level, so that it is greater than that of the lower energy level. This is
known as population inversion.
In the above equation, if T is negative, then stimulated emission would dominate
over absorption. Such a condition is practically not possible. The population inversion
can be obtained even at room temperature by several methods discussed in the
following section.

11.5 methods of achieving PoPulation

inversion
There are several methods for achieving the condition of population inversion necessary
for the laser action to takes place. Some of the most commonly used methods are as
follows:
(i) Optical pumping In case of optical pumping, an external optical source like
xenon flash lamp is employed to produce a high population in the higher energy level
of the laser medium.
This method of excitation, shown in Fig. 11.4a, is used in solid state lasers of which
the ruby laser is a prototype.
(ii) Direct electron excitation The direct electron excitation in a gaseous discharge
may be used to produce the desired inversion. This method is used in some of the
gaseous ion lasers, such as an argon laser. In this type of excitation, as shown in Fig.
11.4b, the laser medium itself carries the discharge current under suitable conditions
of pressure and temperture.

E2 E2 E2
Laser transition
E1 E1 E1
Photon
e�

E0 E0 E0
Atom A Atom B
(a) Optical pumping (b) Direct electron (c) Inelastic atom-atom
excitation collisions

Fig. 11.4 Population inversion—different-methods of production

In this method, the electrons directly excite the active atoms to achieve higher
population in certain higher energy levels compared to a lower energy level.
(iii) Inelastic Atom–Atom Collisions Here, electric discharge method is employed
to cause collision and excitation of the atom. In this method, a combination of two
 Laser 11.7

types of gases is used, say A and B, both having the same excited state A* and B* that
coincide or nearly coincide.
In the first step, during electric discharge, A gets excited to A* (metastable) due to
collision with electrons.
A + e æÆ A* + e1
A* + B æÆ A + B* (11.13)

The excited A* atoms now collide with B atoms so that the latter atom gets excited
to higher energy B*. This type of transition is used in the He–Ne laser.
(iv) Chemical reactions In this method, the molecules undergo chemical changes in
which one of the products of the reaction is a molecule or an atom that is left in an excited
state under appropriate conditions. Under such conditions, population inversion can
occur. An example for this type of lasers is hydrogen fluoride chemical laser, in which
hydrogen fluoride molecules in the excited state result from the following chemical
reaction:
H2 + F2 æÆ 2HF (11.14)

11.6 threshold condition (schawlow

and townes condition)
The amplitude of the light beam must be amplified in order to get the laser action.
Schawlow and Townes discussed the necessary conditions for achieving the laser
action. The material in which population inversion can takes place is called active
medium. This medium may be a gas, liquid or solid, in which light amplification takes
place and is placed in between the two mirrors of which one is partial reflecting, while
the other one is 100% reflecting, as shown in Fig. 11.15. The light beam bounds back
and forth between the two mirrors and hence, the intensity of the beam gets increased.
However, there will be losses in each reflection but one can obtain a threshold condition
for the laser action to takesplace.

R1 Pumping process
R2

Active medium

100 % mirror Partial mirror

Fig. 11.5 Optical resonator
The threshold condition is that the losses in the medium should be overcome by
induced transition in the amplifying medium. The total losses are due to the following
reasons.
11.8 Engineering Physics

(i) Transition, absorption and scattering by the mirrors

(ii) Absorption within the medium
(iii) Scattering due to optical inhomogeneity, and
(iv) Diffraction losses by the mirrors

All the losses depend on the lifetime of the photons existing in the cavity and it is
represented as tPhoton .
The total rate of losses of photons from the laser medium per second is
1
(11.15)
t photon
By taking two level energy system, the stimulated transition rate w¢ is given by
w¢ = r (n) BN2 (11.16)
where B12 = B21 = B. Substituting the B value in Einstein’s coefficient Eq. (11.10).
8p hn 3 A A
3
= 21 =
c B21 B

Ac 3
w ¢ = r(n) N2
8p hn 3

w¢ c3
= r (n) N2 (11.17)
A 8p hn 3
In practice, the laser line width is very narrow than the line width of atomic
transition. Let g(n) represent the probability of frequency of the curve during absorption
or emission. It is also called shape of absorption or emission curve, as shown in
Fig.11.6.

I (n)

I (n )
2 Dn

n0 n

Fig. 11.6 Absorption curve

The factor g(n) dn represents the probability of absorption or emission by photons
whose energy is hn and hn + h dn . The curve is usually normalised to unity,
+•
i.e. Ú g(n ) dn = 1 (11.18)
-•
 Laser 11.9

On account of uncertainty, it is necessary to replace w¢ as,

w¢ = w¢g (n) dn (11.19)
Similarly, for the spontaneous emission, whose frequency ranges from n to n + dn as,
A = AgL(n) dn (11.20)
where gL(n) dn is the Longevin function for line widths and is equl to
+•
2
Ú gL(n) dn = (11.21)
-• p
Equation (11.17) can be writte as,
w ¢ g (n ) dn r (n )c3
= N2 (11.22)
Ag L (n ) dn 8p hn 3

The radiation density r (n) is simply related to radiation flux or intensity I(n) as,
I (n) = r (n) c (11.23)
where c is the velocity of light in the laser medium.
We know, for spontaneous emission,
1
A= (11.24)
t SP
From Eqs (11.23) and (11.24), Eq. (11.22) can be written as,
I (n )c 2 1
w¢ g (n) dn = N g (n) dn (11.25)
8p hn 3 t SP 2 L
The total transition rate is obtained by integrating on both sides of Eq. (11.25) as,

c2 2 1
w¢(n) = 3
I (n)N2 (11.26)
8p hn p t SP
Consider a two-level energy system. Let N1 and N2 be the populations of ground state
and the first excited state. Consider E1 and E2 as the energies of the ground state and
the first excited state, respectively. Assume a light beam of energy density r(n) is
made to incident on this system. The rate of absorption = B12 r (n) N1. Absorption of
a photon removes an energy hn from the incident beam. Therefore, the total energy
removed from the incident beam = B12r (n)N1hn.
Due to the radiation incident on the two-level energy system, stimulated emission
takes place. The rate of stimulated emission = B21r (r)v2. As in the absorption process,
the emission of photon produces an energy hn and therefore, the total energy added
to the incident beam is = B21r (n)N2hn. The rate of change of energy density in a
frequency interval dn or n is
d ( rn dn )
= B21r (n)N2hn – B12r (n)N1h
dt
d rn B r (n )
i.e. = (N2 – N1)hn (11.27)
dt dn
11.10 Engineering Physics

where B21 = B12 = B.

In
Substituting the vale rn = in Eq. (11.27),
c
we get,
dIn Br (n )
= (N2 – N1)hn
c dt dn

dIn Br (n )
i.e., = (N2 – N1)hnc (11.28)
dt dn
The net rate of change in the energy level will be numerically equal to the product
of net photons emitted and its energy.
Usually, there will be always a degeneracy in the energy levels. Let g1 and g2
represent the degeneracy in the energy levels E1 an E2.

Ê dI ˆ hn È g ˘ Ê w ¢ (n ) ˆ
ÁË ˜¯ = N - N1 2 ˙ Á c
dt gain dn ÍÎ 2 g1 ˚ Ë N 2 ˜¯ (11.29)

This results in increased intensity on account of population inversion only if

Ê g2 ˆ
ÁË N 2 ≥ N1 g ˜¯ (11.30)
1

If this condition is not satisfied, the laser medium will simply lose energy or that there
will be transition losses.
The rate of loss of intensty is

Ê dI ˆ I (n )
ÁË ˜¯ = (11.31)
dt loss t
photon

For laser action,

Ê dI ˆ Ê dI ˆ
ÁË ˜¯ - ≥0
dt gain ÁË dt ˜¯ loss

hn Ê g ˆ Ê w ¢ (n ) ˆ I (n )
or Á N 2 - N1 2 ˜ Á c ≥ (11.32)
dn Ë g1 ¯ Ë N 2 ˜¯ t photon
Substituting w¢ (n) from Eq. (11.26)

hn hv Ê N - N g 2 ˆ Ê c ˆ Ê 2 I (n ) ˆ ≥ I (n )
3
(11.33)
Á g1 ˜¯ ÁË 8p hn 3 ˜¯ ÁË p t SP ˜¯ t photon
2 1
Dn Dv Ë

Simplifying and rearranging the above equation, we get

Ê g 2 ˆ Ê 4p 2 n 2 ˆ Ê t SP ˆ
ÁË N 2 - N1 g ˜¯ ≥ ÁË c 3 ˜¯ Á t ˜ Dn (11.34)
1 Ë photon ¯
 Laser 11.11

The threshold condition represents that the loss of photon is just balanced by the
gain of photon, i.e., at threshold condition,

Ê g 2 ˆ Ê 4p 2 n 2 ˆ Ê t SP ˆ
ÁË N 2 - N1 g ˜¯ = Á Át ˜ Dn (11.35)
1 Ë c 3 ˜¯ Ë photon ¯
For non-degenerate energy levels, Eq. (11.35) can be written as,

Ê 4p 2 n 2 ˆ Ê t SP ˆ
N2 - N1 = Á Át ˜ Dn (11.36)
Ë c 3 ˜¯ Ë photon ¯
In terms of the angular frequency, Eq. (11.36) can be written as,

Ê w2 ˆ Ê t SP ˆ
N2 - N1 = Á Át ˜ ”w (11.37)
Ë 2p c 3 ˜¯ Ë photon ¯
The laser oscillation takes place at a particular single frequency. To represent this,
let us replace w by w0
Ê w2 ˆ Ê t ˆ
N2 - N1 = Á 0 3 ˜ Á SP ˜ ” w 0 (11.38)
Ë 2p c ¯ Ë t photon ¯
c
If n0 is the refractive index of the amplifying medium (where n0 =
), then by taking into
v
account the refractive index of the medium, the above equation can be written as,
Ê n3 w 2 ˆ Ê t ˆ
N2 - N1 = Á 0 03 ˜ Á SP ˜ ” w 0 (11.39)
Ë 2p c ¯ Ë t photon ¯

This is known as Schawlow and Townes condition (threshold condition) for

population inversion near the line g(n) at n = n0 for laser oscillation.

11.7 tyPes of lasers

Lasers are classified into five major categories based on the type of active medium.
They are
(a) Solid state lasers
(b) Gas lasers
(c) Liquid lasers
(d) Dye and chemical lasers, and
(e) Semiconductor lasers
All the above lasers are discussed in the following sections in detail.

11.7.1 solid state lasers

(i) Ruby Laser In a solid state laser, the active medium is a crystalline substance.
It is the first successful laser achieved by Maiman in 1960. The experimental set-up
shown in Fig. 11.7 has three important parts.
11.12 Engineering Physics

Ruby rod
Partial reflector
Coolant

A B Laser beam

100 % reflector

Coolant
Power supply

Fig. 11.7 Ruby laser

Ruby Rod Ruby is a crystalline substance of aluminium oxide doped with
approximately 0.05% by weight of chromium oxide. The resultant pink colour is due
to the presence of Cr3+ ions in the appropriate concentration which replace aluminium
atoms in the crystal lattice.
Resonating Cavity In a ruby laser, a pink rod of 4-cm length and 0.5cm diameter
is used. The end faces of the rod are strictly grounded so that they are parallel and
polished to a high degree. Further, the end faces are silvered in such a way that one
end face becomes fully reflecting while the other end is partially reflecting. In some
cases, separate glass pieces are attached at the end faces.
Xenon Flash Tube The laser action is achieved by using optical pumping. A helical
xenon flash tube that surrounds the ruby rod, provides the pumping light to raise the
chromium ions to the upper energy levels. The flash of the xenon tube lasts for several
milliseconds and the tube consumes several thousand joules of energy. Only a part
of the energy is used to excite the Cr3+ ions, while the rest heats up the apparatus. A
separate cooling arrangement is used to reduce the temperature.
Working Principle The energy-level diagram illustrating the operation of a ruby
laser is shown in Fig 11.8.

30 ¥ 103 E2 Blue
Non-radiative decay

20
E1 Green
E
29 cm�1
0.55 mm
0.42 mm

10
43

27
69

69
=

=
1
R

2
R

E0

Fig. 11.8 Energy level diagram—Ruby laser

 Laser 11.13

The pumping light from the flash tube is absorbed by Cr3+ ions, raising them from
the ground state E0 to the excited states E1 or E2. From these levels, a rapid radiationless
transition to the level E, which is a metastable state, takes place. Decay from E is
relatively slow so that with sufficient excitation, population inversion between E
and the ground state E0 can occur. The photons are allowed to pass back and forth
millions of times in the active medium with the help of mirrors at the ends. When the
condition for laser action is satisfied, an intense pulse of light of the wavelength 6934
Å, corresponding to the transition E to E0 is obtained.
(ii) Nd–YAG Laser The Nd-YAG laser is an optically pumped solid state laser and
is used to produce very high power emission. Nd–YAG Rod YAG is an acronym for
yttrium aluminum garnet (Y3 A15O12) and Nd means neodymium (rare earth element)
yttrium ions (Y3+). The aluminum garnet (Y3A15O12) is doped with a rare earth
neodymium (Nd3+) resulting in a crystalline structure. It is a four-level laser with high
power, more gain and low threshold pump power.
Resonating Cavity In the Nd-YAG laser, a rod of 5 to 10 cm length and 6 to 9 mm
diameter is used. A cylindrical rod is cut from the crystal and is used as an active
medium. The ends of the rod are polished and made optically flat and parallel. One
end of the rod is coated with silver to get 100% reflecting mirror while the other end
as a partial reflecting mirror. The set-up acts as a resonator and is used to amplify the
radiation energy after the stimulated emission of radiation. The length of the rod is
used to vary the power out.

100% Reflecting Mirror Partial Reflecting Mirror

Nd-YAG
Laser rod
LASER
Flash Tube

Elliptical cavity
Capacitor

Power Supply Resistor

Fig.11.9 Nd–YAG laser

Flash Tube The principle behind Nd–YAG laser is optical pumping. In this laser,
the active medium is Nd-YAG. The population inversion is achieved by a flash light
either employing a xenon or krypton flash tube. As a result, Nd3+ ions are transported
into the excited energy levels. The laser transition from metastable state to ground state
takes place with the emission of a laser beam in the infrared region. The schematic
representation of Nd–YAG laser is shown in Fig.11.9. The rod and flash tube are kept
inside a highly reflecting elliptical cavity. A close coupling between the flash tube and
rod is made by placing the flash tube nearer to the centre of the rod. The necessary
potential is applied to flash tube and the same is controlled through the power supply.
When the flash tube is energised, the rod absorbs energy due to the elliptical cavity
arrangements. The energy of the flash tube is produced through the capacitor which is
included in the circuit. When the flash tube is on, a large amount of heat is produced
11.14 Engineering Physics

in the elliptical cavity. A very less quantity of energy is required to achieve optical
pumping for laser action. Thus, excess heat increases the temperature of the cavity. The
temperature inside the cavity is controlled using water or air-cooling arrangements.

E4

Energy E3
E2 (metastable)
l = 0.80 mm
l = 0.73 mm

Laser
l = 1.06 m m
E1
Non-radiative
Ground
E0 transition
state
Neodymium E0

Fig.11.10 Energy-level diagram

working Principle
The energy-level diagram for a Nd-YAG laser is shown in Fig.11.10. When-flash lamp
is switched on, neodymium ions acquire energy from the flash light. The neodymium
ions are excited to energy levels E3 and E4. The transition from the ground state to
E3 and E4 are due to absorption of energy with wavelengths of respectively 0.73 mm
and 0.80 mm. The Nd3+ is not stable in the excited state, it makes a non-radiactive
transition from E3 and E4 states to a metastable state E2 as shown in Fig.11.10. The
metastable state is not a stable state. Therefore, Nd3+ ions are in this state until the
population inversion is achieved. When the population inversion is achieved between
E2 and E1, a stimulated emission takes place from the energy levels E2 to E1. The
emitted energy is amplified between the resonators and then radiates a pulsed laser
beam at a wavelength of 1.064 mm in the infrared region. Further, Nd3+ ions take
a very rapid non-radiactive transition from E1 to E0. One can produce a maximum
output power of 70 W either in continuous or pulsed mode of operation using the
Nd-YAG laser.

applications
The following are applications of Nd-YAG laser:
• Communication applications such as transmitting signals
• Remote sensing applications
• Medicines for endoscopic applications
• Applications like drilling, welding, micromachining, resistor trimming, scribing,
etc.
• Medical surgery, dental surgery, etc.
 Laser 11.15

11.7.2 gas laser

The main advantage of gas lasers is that they can be operated continuously. The gas
lasers show exceptionally high monochromaticity and high stability of frequency.
The output of the laser can be tuned to a certain available wavelength. Hence, the gas
lasers are widely used in industries.
Helium–Neon Laser The first gas laser constructed by Javan in the laboratory is
the helium–neon laser as shown in Fig. 11.11. The two important parts of the laser
are as follows:
Adjustment Adjustment
for reflector for reflector

Quartz tube
Laser
beam
He : Ne
10 : 1 Gas

100 % reflector A.F. generator Partial reflector

Fig. 11.11 Helium-Neon laser

Active Medium The active medium used in this type of laser is a mixture of helium
and neon gases. These two gases are mixed under a pressure of 1 mm Hg of helium
and 0.1 mm Hg of neon in the ratio of 10:1. The mixture of these gases is filled within
the discharge tube for laser action.
Gas Discharge Tube It is made up of a fused quartz tube with a diameter of 11.5 cm
and a length of 80.6 cm. The end faces of the discharge tube are tilted at the Brewster
angle, known as Brewster windows, since the windows are highly transparent for the
preferred direction of polarisation. A fully reflecting concave mirror is placed at one
end of the discharge tube and a partially reflecting concave mirror is placed at the
other end.
Working Principle The population inversion for laser action is achieved by inelastic
atom–atom collisions. The collisions of the atoms are made using any one of the
following methods given below.
(i) Direct current discharge
(ii) Alternate current discharge
(iii) Electrodeless high frequency discharge, and
(iv) High voltage pulses
Due to the electric discharge in the gas, an energetic electron interact with the
ground state helium atom. The impact of the electron results in exchange of some of
its energy to the helium atom. As a result, helium atoms are excited to higher levels
1S0 and 3S1, known as metastable state. The lifetime of these levels are relatively low.
The collision of the first kind is represented as,

He + e1 æÆ He* + e2 (11.40)
11.16 Engineering Physics

These two energy levels are very close to 2s and 3s levels of the neon atom and
the collision of the second kind takes place between the He and Ne atoms, and hence,
the neon atom goes to the excited state.

He* + Ne æÆ He + Ne* (11.41)

The energy level diagram of He–Ne laser is as shown in Fig. 11.12.
1S 3s(2p55s)
0(1s2s)
3.39 mm

3S
1(1s2s) 2s(2p54s) 3p(2p54p)
6328 Å
1.15 mm
2p(2p53p)

Spontaneous
1s(2p53s) emission
1S 2)
1(1s Collision with wall
2p6
Helium Neon

Fig. 11.12 Helium-Neon laser—energy–diagram

There are three types of transitions, one from 2s to 2p, the other from 3s to 3p and
another from 3s to 2p levels for laser action. These transitions constitute laser beam
in the infrared region (11,523 Å , 33,912 Å) and 6328 Å in the visible region. The
transition from 3s to 3p at 3.39 mm will have advance effect on the laser emission.
This line is suppressed in order to get a maximum power output at 6328 Å.
In Fig. 11.12, the energy levels are represented in terms of Paschen’s notation and
their corresponding electronic configuration are given in parentheses.
The Neon atom in the terminal level 2p decays very rapidly to the 1s metastable
state in 10-8 s, much faster than spontaneous rate of decay from 2s to 2p level. Thus,
the lower lasing level is relatively kept empty and the population inversion is achieved
between 3s and 2p.
11.7.3 molecular gas lasers
The construction of molecular gas lasers is simple and the output of these lasers are
continuous. In molecular gas lasers, the laser oscillations are achieved by the transition
between the vibrational and rotational levels of the molecules.
Carbon dioxide lasers (CO2)
It is the first molecular laser and it was developed by C K N Patel.
Principle
In order to understand the working of this laser, one has to recall the rotational and
vibrational spectrum of CO2 molecules. The three atoms can be considered as a ring
over a straight line, the outer atom being O with a carbon atom C at the centre. There
are three modes of vibrations and in each mode the centre of gravity remains fixed.
(1) As shown in Fig. 11.13a, the carbon atom is fixed in its position and
each oxygen atom can vibrate in the opposite direction symmetrical to
 Laser 11.17

the carbon atom with each other along a straight line and is known as
the symmetric mode of vibration. The corresponding frequency is called
symmetric stretching frequency.
(2) As shown in Fig. 11.13b, the oxygen atom and the carbon atom may
vibrate at right angles to the line passing through the centre of gravity.
This is known as the bending mode and the corresponding frequency is
bending frequency.
(3) As shown in Fig. 11.13c, in the asymmetric mode of operation, the two
oxygen atoms may vibrate about the central C atom asymmetrically, and
at the same time, the carbon atom also vibrates from its mean position.The
corresponding frequency is called as asymmetric stretching fequency.

O O O C O
O C O
(a) symmetric mode (b) bending mode (c) asymmetric mode

Fig. 11.13 CO2 molecules—different modes of vibrations

In addition to these three vibrational modes, the molecule can also rotate and
therefore, quantised rotational energy levels are also possible. A series of rotational
levels is associated with each vibrational level and are denoted by J values.
Construction The special feature of the CO2 laser is the dependence of radiation power,
i.e., output power on the diameter of the tube. The output power can be raised by increasing
the tube diameter. In a powerful CO2 laser, the length of the discharge tube is in several
metres and its diameter will be several centimetres as shown in Fig. 11.14.

He N2 CO2

Vacuum

Laser
beam

Mirror NaCl window

Fig. 11.14 CO2 laser

The laser is powered with an ac supply of frequency 50 cycles or dc supply. In order

to get a high power output, a metallic mirror of gold is employed for proper reflection.
The lasers are either water-cooled or air-cooled. The efficiency of the CO2 laser is
about 30%. The gas mixture can be pumped either longitudinally or transversely into
the gas discharge tube.
11.18 Engineering Physics

Working Principle The CO2 laser generally uses two additional gases, N2 and He.
The nitrogen plays a similar role as that of the He in case of He–Ne laser. The N2
molecules go into an excited state by collision of the first kind with the electrons.
N2 + e1 æÆ N2* + e2 (11.42)
The excited N2 atom undergoes a collision of the second type and makes the CO2
molecules to be excited.
N2* + CO2 æÆ CO2* + N2 (11.43)
The frequency of the CO2 laser can be pictured in an energy level diagram as shown
in Fig. 11.15.
Asymmetric
002
3000 Symmetric Bending 2349 cm–1
001
mm n ¢¢ = 1
10.6
2000 100 mm
6
020 9.
1337 cm–1
1000 1255 cm–1 010

667 cm–1
000 n ¢¢ = 0
CO2 Nitrogen

Fig. 11.15
Since the 0 0 1 energy level of CO2 is very close to the excited level of N2 atom,
the population of 0 0 1 level of CO2 increases rapidly than the other lower energy
levels 1 0 0 or 0 1 0. Thus, the population inversion between 0 01 level and the
lower levels 0 2 0 and 1 0 0 is achieved resulting in output radiations of 9.6 and
10.6 mm.
Due to various factors, the most powerful transition in CO2 laser at normal operating
temperature occurs at 10.6 mm. The operating temperature plays an important role in
determining the output power of the laser. The contamination of carbon monoxide
and oxygen will also have some effect on the laser action. The unused gases can be
pumped out and fresh CO2 must be pumped in. The temperature can be reduced by
restricting the tube diameter and also the addition of helium to the mixture of N2 and
He. The helium serves not only to improve the conductivity of heat to the walls of
the tube, but also in decreasing the population in the lower levels. The power output
coming from this laser is 10 kW.

11.7.4 semiconductor laser (semiconductor diode laser)

The most compact of all laser is the semiconductor diode laser, also called the Injection
laser. In its simplest form, the diode laser consists of a p–n junction doped in a single
crystal of a suitable semiconductor such as gallium- arsenide.
Principle When a forward bias is applied to the diode, the holes are injected into the
p-side of the junction and electrons are injected into the n-side. The recombination of
 Laser 11.19

holes and electrons within the junction region results in recombination radiation. If
the junction current density is large enough, a population inversion can be obtained
between the electron levels and hole levels. Stimulated emission can be obtained for
laser action when the optical gain exceeds the loss in the junction layer. In a diode
laser, this layer is very thin, typically of the order of few microns and the end faces
of the crystal are made partially reflecting to form an optical resonator.
To produce laser action, the following conditions should be satisfied.
(i) Population inversion
(ii) Stimulated emission, and
(iii) Cavity resonator
The laser transition is possible only in direct band gap semiconductors. Therefore,
the direct band gap semiconducting materials like Ga–As are used for laser action.
Since Si and Ge are said to be indirect band gap semiconductors, they are not used
for laser action.
At absolute zero, the conduction band of an intrinsic semiconductor has no electron.
However, heavily doped semiconducting materials consist of filled electron states in
the conduction band (Fig. 11.16).
If the heavily doped material is irradiated with a radiation having energy greater
than Eg but less than the separation of the quasi fermi level (EFC – EFV), the incident
photon can induce a downward transition of an electron. This electron combines with
a hole in the valence band and hence the recombination energy is produced in the form
of light. This photon, in turn, may induce another electron in the conduction band and
thereby stimulate the emission of the another photon.

Conduction band Conduction band

EFC Quasi
E fermi

Eg Eq Eg

Valence band EFV Valence band

(a) In equilibrium (b) With high carrier injection

Fig. 11.16 Filled electron states of an intrinsic semiconductor at 0 K:
(a) in equilibrium and (b) with high carrier injection
The population inversion in a p–n junction is achieved by heavily doping the
p-type and n-type materials, so that the fermi level lies within the conduction band
in the n-type material and it lies within the valence band in the p-type material.
Figure 11.17 represents the energy band diagram of a heavily doped p–n junction
device at thermal quilibrium.
If the junction is forward biased with an applied voltage nearly equal to the band
gap voltage, direct conduction takes place. This results in high injection current density
leading to the generation of an active region near the depletion layer where the condition
11.20 Engineering Physics

of population inversion is achieved. At this juncture, if a radiation having frequency

n, where Eg/h < (n) < (EFC – EFV)/h is made to incident on the p–n junction device,
the stimulated emission is produced and hence the radiation of this frequency, which
is confined to the active region will be amplified.
p-type CB
Eg n-type
conduction band
EF

Valence band

(a) Valence band

p-type Active region

EFC
EFC
hn
EFV
EFV

(b)

Fig. 11.17 Energy band diagram of (a) a heavily doped p–n junction,
(b) heavily doped p–n junction under heavy forward biasing

Another requirement of the laser action is the cavity resonator. In a p–n junction
device, the end faces of the junction diode are polished so that they act as an optical
cavity. Other sides of the p–n junction device is made as rough surfaces so as to prevent
the leakage of light from them.
Ga–As Laser
It is a p–n junction diode with the p-type and n-type regions heavily doped. Under
large applied forward bias, electrons and holes are injected into and across the
transition region in considerable concentration. As a result, the region around the
junction contains a large number of electrons within the conduction band and a
large number of holes within the valence band. When the population density is
high enough, a condition of population inversion is achieved and recombination
may be stimulated resulting in laser action. If the emission is not stimulated, the
device is called a light emitting diode. To convert an LED into a laser diode, a
high current is required to achieve the population inversion and mirrors are used
to cause a feedback. In case of semiconductor laser, there is no need of external
mirrors. In a germanium or silicon semiconductor, due to such a recombination,
only heat is generated.
The Ga–As laser was constructed by Hall. A typical Ga–As semiconductor laser
is as shown in Fig. 11.18.
In case of gallium–arsenide, we get a light radiation in the infrared region. Thus,
a Ga–As laser convert electricity into light. The efficiency can go up to 100% when
the temperature is reduced to 100 K. The operating current is supplied from a pulse
 Laser 11.21

generator up to 5–20 ms. The energy separation between the conduction band and the
valence band is 1.4 eV and hence, the wavelength of light emitted is 8874 Å at room
temperature.
Laser beam
Upper electrode

on
gi n
re io
p- ct
n
ju
p- ion
n
g
re
Laser beam n-
m
m
1
1 mm

Lower electrode
Fig. 11.18 Ga–As laser

Advantages
1. The efficiency is more than 10% and it can be increased by decreasing
the temperature alone.
2. It can have a continuous wave output or pulsed output.
3. The modulation of the output is possible.
4. Tuning the output is easily possible by applying a magnetic field or me-
chanical pressure.
5. It is highly economical, and further, the arrangement is compact.
Disadvantage The spatial and temporal coherence are very poor.

11.7.5 homojunction and heterojunction injection laser

The semiconductor diode or injection laser is of two types, namely, homojunction and
heterojunction. Let us discuss the above two types in brief.
(i) Homojunction A p–n junction made up of the same material with two regions of
different conductivities, n-type and p-type, is known as a homojunction. Consider a p–n
junction formed by p-type and n-type Si crystals, then it is said to be a homojunction.
The junction is formed at the region where the conductivity changes from one type
to another type. A homojunction p–n junction may have abrupt or graded junction
depending upon the method of preparation. If a p–n junction is formed by diffusing
a suitable pentavalent impurity from the upper portion of a Si crystal and diffusing
another suitable trivalent impurity from the bottom portion of the Si crystal, a p–n
junction of the Si crystal is formed. This will produce a graded junction. An abrupt
Si is coated on a substrate followed by the coating of n-type material using a suitable
thin film deposition technique.
The homojunction device lacks in carrier containmnet and hence, it is an inefficient
light source. The devices like LED, GaAs homojunction laser, etc., are fabricated
11.22 Engineering Physics

with homojunction. The basic structure of a homojunction injection laser is shown

in Fig. 11.19.

Cleaved Crystal
mirrors

Fabry�Perot Cavity

p-GaAs
hn
hn

n-GaAs

ohmic
contact
p� n junction Active region

Fig. 11.19 GaAs laser—Schematic representation

The cleaved ends of the crystal acts as reflecting mirrors so as to amplify the light
sources. This homojunction GaAs laser device had a high threshold current density
(greater than 10-4 A cm-2) due to lack of carrier containment and hence, it is an
inefficient light source. Therefore, the homojunction lasers are operated in a pulsed
mode in order to minimise junction temperature and hence, to avoid damage.
(ii) Heterojunction A heterojunction is an interface between two adjoining single
crystal semiconductors with different band gap energies. There are two types of
heterojunctions, namely, isotype and anisotype heterojunctions. If the junction is made
up of two different materials having same type of conductivity (n–n or p–p), then it
is said to be isotype heterojunction. If two different materials having different types
of conductivity are joined together, then it is known as anisotype heterojunction. An
isotype heterojunction is used to confine the minority carriers to a small active region.
It reduces the carrier diffusion length, and hence the volume in which the radiative
recombination takes place. The isotype heterojunction is mostly used for the prepara-
tion of injection lasers and highly radiative LEDs.
The anisotype heterojunctions with sufficiently large band gap differences improve
the injection efficiency of the charge carriers (holes and electrons). Both types of
heterojunctions provide dielectric steps due to different refractive indices at either side of
the junction. This property is used to confine the radiation in the active region. A typical
double heterojunction laser is shown in Figs 11.20. a and b represents, respectively, the
layer structure shown with applied forward bias and the energy band diagram of two
heterostructures: (i) p–p at the left, and (ii) p–n at the right. The variation of refractive
index and electric field distribution with distance is shown in Fig. 11.20.
The requirement of a good quality heterojunction are (i) the lattice constant of the
p-type and n-type material should be nearly equal (i.e. lattice matching), (ii) the electron
affinities of these two materials should be compatible, and (iii) the thermal expansion
coefficient should be close. If there is lattice mismatching and the thermal expansion
coefficient is not very close, it leads to interfacial dislocation at the heterojunction
 Laser 11.23

interface. The dislocation produces energy discontinuity in the form of a spike in one
or both sides of the energy bands.
Optical output

Electrode

Cleaved mirror
p p n
(a)

Injection electron

f2g1
hn f2g2

(b)

Electric field
distribution
Refractive
index

(c) distance

Fig. 11.20 A double heterostructure laser

11.8 determination of wavelength of

laser using grating
Aim To determine the wavelength of the laser beam using grating.
Apparatus Required A He–Ne laser source; grating; spectrometer; sodium vapour
lamp; spirit level; etc.
Formulae
(i) The number of lines per metre drawn on the grating is given by
sinq
N= lines m-1 (11.44)
ml
where m is the order of spectrum observed and l the wavelength of
sodium vapour lamp (l = 589.3 nm).
(ii) The wavelength of the given laser source,
sinq
l= (11.45)
Nm
11.24 Engineering Physics

where q is the angle of diffraction, N the number of lines drawn on the grating per
metre, m the order of spectrum and l the wavelength.
Experimental Procedure
(i) To determine the number of lines drawn per metre of the given grating The
experimental arrangement is shown in Fig. 11.21. One can use the standard procedure
to determine the number of lines drawn on the grating per metre. The observed
experimental results are tabulated in Table 11.1.
table 11.1 Determination number of lines per metre of the grating
Diffractig Ray Readins Difference
Right Let 2q Mean N=
Order
VA VB VA VB VA VB q

Collimator, C

45°
45°
Telescop e, T
Grating

Direct ray

Fig. 11.21 Adjustment for normal incidence

(ii) To determine the wavelength of the laser source The experimental

arrangement used for the determination of the wavelength of laser is shown in
Fig. 11.22. The given He–Ne laser source is switched on and the laser beam is passed
through the grating. The diffracted rays are collected on a screen. In the diffraction
pattern, the circular spot at the centre is produced due to the direct beam. The other
diffracted beams are produced on either side of the direct beams. The diffracted pattern
produced by the laser beam is shown in Fig. 11.23.
Grating
Screen
Laser source
Fig. 11.22 Determination of wavelength of the laser
The distance between the first-order diffracted rays (left and right side diffracted
beams) is measured and the readings are tabulated. Similarly, the distance between
the second order diffracted rays is also measured and the readings are tabulated in
 Laser 11.25

Table 11.2. The distance between the screen and the grating, l, is also measured. The
angle of diffraction is determined using the relation,

d
q= (11.46)
2l
where l is the distance between the screen and the grating and d the distance between
the dffracted rays.

Central
spot

II order I order I order II order

Fig. 11.23 Diffraction patterns of laser beam produced by grating

The wavelength of laser beam is determined using therelation,

sin q
l= (11.47)
Nm
where q is the angle of diffraction, m the order of diffraction and N the number of
lines drawn on the grating.

table 11.2 The distance between screen and grating, l = … m

Order of Distance between d

Trial Angle of diffraction, q =
diffracted diffraction beams, d 2l
1 I
II
2 I
II

Results
(i) The number of lines drawn on the grating = lines m-1
(ii) Wavelength of the given laser beam = m

11.9 Particle size determination by laser

Aim To determine the particle size of lycopodium powder using He–Ne laser.
Apparatus Required A He–Ne laser, lycopodium powder, a glass plate; a long focal
length lens, a screen, and a scale.
D
Formulae The particle size is given by 2d = n l (11.48)
xm
where 2d is the grain size, n the order of diffraction, l the wavelength of the laser
beam used (for He–Ne laser, l = 0.6328 nm), D the distance between the source and
the screen and xm the distance between the central bright spot and the mth fringe.
11.26 Engineering Physics

Experimental Procedure The experimental set-up used for particle size determination
using laser is shown in Fig. 11.24. Sprinkle lycopodium powder having an average
grain size is in the order of few micrometers on a glass plate. Insert this glass plate in
between a laser beam and a screen is placed nearly tens of centimetres (nearly 20–50
cm) away from the source. A diffraction pattern as shown in Fig. 11.25 is obtained.

He–Ne source

Screen
Glass plate

Fig. 11.24 Experimental set up for Fraunhofer diffraction

The distance between the central spot and the mth minima positions is measured in
the screen directly using a scale. The distance between the source and the screen (D) is
also measured. Different sets of readings are taken by varying the mth minima positions
(say 1, 2, 3, 4, 5, …). The experiment is also repeated by varying the distance between
the source and the screen. The observed readings are tabulate in Table 11.3.

Laser

Fig. 11.25 Diffraction pattern

table 11.3 Particle size determinaion usig laser
S.No. Distnce between Order of Distnce between the Particle size
the source and diffraction central spot 2d
the screen (D)m n and mth fringe (m)
1 1
2 2
3 3
4 4
. .
. .
10 10
Mean value

Results
The grain size of the lycopodium powder is ________ m.

11.10 aPPlications of lasers

Laser beams have found wide application due to their high intensity, high
monochromaticity, high coherence and high directionality.
 Laser 11.27

11.10.1 three dimensional Profiling

The process of storing and retrieving the three-dimensional image of an object by
using laser scanner and computer software is known as three dimensional (3D)
profiling. The principle involved in storing the three dimensional images is same as
that of holography.
When a highly coherent, monochromatic and directional light such as a laser beam
is incident on an object, it produces secondary wavelets. Each point on the object acts
as a source for secondary wavelets. These waves spread over in all the directions and
form an interference pattern. The interference pattern characterises the object. The
observed interference pattern is recorded using a suitable technique. The recorded
image is again illuminated by using another identical coherent laser source. Thus, the
three dimensional image of the object is reproduced due to the interference of the two
lights which incorporate the variation in amplitude and intensity.
The block diagram of a simple 3D profiling using laser beam is shown in
Fig. 11.26.

D
C
O

R
S

Digital
Detector information Machine (or)
scanner Designing tool
Computer

Fig. 11.26 Laser—3D profiling

The following are the important parts of the 3D profiling system:

(i) Laser source
(ii) Detector array and scanner
(iii) Computer
A high-intensity and monochromatic laser beam is generated using a laser source
(S). The laser source is movable on circular scale (C) and it can be positioned at any
desired angle over 360°. The laser beam from the source is made to fall on the object (O)
which is kept fixed at the centre of the orbit of the laser source as shown in Fig. 11.26.
Thus, the reflected light (R) from the surface of the object spreads in all directions.
The reflected light from the source is collected by using light-sensing diodes. These
diodes are known as detectors. These diodes produce an equivalent amount of current
depending on the intensity of the light incident on it. These diodes are arranged in the
form of an array known as detector (D) to receive the reflected light from the source.
In order to record the reflected light from the source in all directions, a detector
scanner is fitted in such a way that it moves along the three planes. The received signals
11.28 Engineering Physics

by the scanner are converted into digital form using an analog to digital convertor
unit which is attached with the scanner. The received signal carries both amplitude
and phase variation which reflects the nature of the object. Thus, the optical signal is
converted into electrical signal and is stored in the microcomputer.
The information stored in the computer is in the form of matrix. Using the signal
processor software available with the computer, one can reconstruct the 3D image of
the object from the stored data. The resolution of the 3D images can be increased by
using the software controlled by the computer.

11.10.2 computer Peripherals

The application of a laser beam in computer peripherals has found greater revolution
in recent years. The optical disks have very high storage capacity than conventional
magnetic disks. Similarly, the data transferring from one computer to another computer
through optical wave guides play an immense role. The application of laser beam in
storing data in optical disks is discussed below, while that in the memory transfer
using optical fibres is discussed in the previous chapter.
Block

Land
Pit

CD ROM disk
(a) Spiral track (b) Pit and land

Fig. 11.27 CD ROM

An optical disk has very high storage capacity. For example, the storage capacity of a
5.25 inch disk is 550 MB. An optical disk is made up of a resin such as polycarbonate. One
side of the disk is coated with highly reflective materials like aluminium. When a high
intensity light beam such as laser beam is incident on it, it will produce some changes
on the coating: a 0.1-mm wide tiny pit is formed along the trace (to represent 1). The
non-pitted areas between the pits in the circular disk is represented as lands as shown
in Fig. 11.27. The information in CD ROM disk is stored in a long spiral track. The
track is divided into blocks of the same size as shown in Fig. 11.27. The information
is read/write on the optical disk using laser beam, which replaces the read/write arm
in the conventional magnetic disk memories. A high-intensity laser beam is used to
store the data, while a low intensity laser beam is used to read the data.
The experimental set-up used for the read-out mechanism for CD ROM is shown
in Fig. 11.28. A low-intensity laser beam from the source S is made to incident on
the CD ROM disk through an adjustable mirror M and lens L2 after passing through
the beam splitter B. The intensity of the laser beam used for reading the data is about
4 mW. The laser beam scans the tracks and receives the reflected lights from the pits
and lands. The mirror M and lens L2 act as read arm and can move front and back to
 Laser 11.29

read the data on different tracks. The incident laser beam on pits spreads, while on
lands gets reflected. A photodiode sensor D receives the reflected light after passing
through the lens L3. The photodiode receives a little light from the pits and a larger
light from the lands. Thus, the change in the reflected light is sensed and converted
into electrical signals for data reading. In this system, the speed of the optical disk is
adjusted such that the track passes under the read/write head at a costant velocity.
B

M S

L1
L2 L3
Land
Pit

CD ROM disk Computer

Fig. 11.28 Optical read-out mechanism for CD ROM

There are three types of optical disks, namely, compact disk which read only memory
(CD ROM), write once read many (WORM) and erasable optical disk (EOD). The main
advantage of CD ROM is its high storing capacity, mass copy of information stored
removable from the computer, etc. CD ROM disks are used for archival storages. The
main disadvantages are longer access times when compared with magnetic disks and
it cannot be updated, as it is a read only memory. However, in recent years, read/write
CDs are also available in the market. The RW CDs overcome all the drawbacks of the
CD ROM and hence the optical disk storage plays a vital role in computer memory
storages.

11.10.3 material Processing

A high-intensity laser beam is used to study the surface defects in materials such as
ICs, aircrafts, automobile tyres, etc. The laser beam is reflected from the surface of
the material under investigation and also directly from the source as a reference. The
information about the material is obtained simply by forming the interference between
the two laser beams. There are two methods to study the surface defects, namely,
diffraction and opto-acoustic image processing. In both the techniques, a laser beam
is used to study th surface defect.
The block diagram of the experimental set-up used in diffraction method is shown
in Fig. 11.29. A high intensity laser beam from the source S is made to fall on the
converging lens L1. The lens L1focuses the laser beam on the object O. The optical
diffraction pattern of the image is focused on the photographic plate (P) or photodiode
(D). The photodiode senses the light and converts the light energy into electrical signals.
Using the signal analyser along with the necessary software, the image of the defect
can be obtained. Thus, using the high intensity laser beam, the surface defects on the
materials can be studied effectively.
11.30 Engineering Physics

Signal
D
S analyser
Computer
L1 L2
O P
Fig. 11.29 Surface defect detection

11.10.4 drilling
Drilling is the first production application of laser light. The first commercial application
developed in drilling is the drilling of gemstones for wire dies, watches and jewels. A
high-energy laser beam is used to obtain small holes in materials at high speed with
good quality. When a high-intensity laser beam is used to drill the material, a large
number of physical processes, ablation mechanisms, etc., take places depending on
materials and irradiation condition.
The schematic representation of a typical laser drilling process is shown in Fig. 11.30.
The high-energy laser beam radiation is made incident on the surface of the material.
When the laser radiation hits the material surface, the material is removed by means of
two processes. In the first process, when the radiation is incident on the material surface,
the temperature of the material is raised and it reaches the vaporisation temperature.
When the material is vaporised, it creates a cavity in the material. When the process
continues, the vaporisation increases and hence, the pressure of vapour also increases.
When the vapour pressure reaches the required pressure level, say 100 Kpa, the second
process namely melt expulsion, takes place. The high-pressure vapour escapes from the
area after producing a high recoil pressure on the molten materials, which are present
at the bottom of the hole. After acquiring the required pressure, the molten materials
overcome the surface tension, and hence, they are forced out to the surface of the hole.
These molten materials, i.e., the liquid metal, is ejected vertically out of the hole through
its sides as shown in Fig. 11.30. The energy required to remove material by melt expulsion
is very less when compared with vaporisation. Thus, it is clear that the recoil pressure
and vaporisation temperature are more essential parameters in laser drilling.
Incoming Laser
Radiation

Ejected Liquid
Metal Droplets

Escaping
Vapour

Liquid Metal
Forced up the Recoil Pressure
Sides of the from Vapour
Hole Acting on Liquid

Fig. 11.30 Laser drilling

 Laser 11.31

Based on the applications, the laser drilling parameters are selected using the relationship
between the drilling parameters and hole parameters. For any industrial applications,
the relationships between the above parameters are given in Table 11.4.

table- 11.4 Drilling parameter, hole parameter and application requirements

S. No. Drilling parameter Hole parameter Application requirements
1 Pulse energy Exit hole diameter Aero dynamics
2 Beam diameter Entrance hole diameter Flow characteristics
3 Pulse duration Hole profile Cooling effect
4 Wavelength Surface roughness Optical effect
5 Focusing Hole depth Materials property
6 Gas instability Pitch Tolerances
Tolerances

There are different drilling methods for any particular drilling applications. The
available drilling methods are single pulse, percussion, parallel percussion, trepanning,
helical trepanning, imaged and angled. Lasers such as Nd–YAG and CO2 are used
for industrial drilling purposes due to their high energy output as well as continuous
operations.

Advantages
The following are the advantages of laser drilling:
• It is a non-contact processing method.
• It is used to drill micro holes and small holes with large aspect ratios.
• It generates very low heat in the material during drilling.
• It is possible to drill at different angles.
• It is highly flexible to drill over a wide range of materials.
• Its accuracy and consistency are very high.

Applications
The following are the application of laser drilling in industries:
• It is used in the electronic industry to make the printed circuit boards.
• In aerospace, it is used to make cooling holes in aircraft engine blades and
combustors.
• It is used to drill the inject nozzles, fuel injector nozzles, aerosol nozzles, etc.
• It is used to drill diamonds to remove imperfections.
• It is used to drill rocks.

11.10.5 welding
Laser beam welding is a thermal technique, which is used to join two or more metal
parts. The joining of metals is established by solidification of metal at a common
11.32 Engineering Physics

melting point. The applications of laser welding are ever increasing due to its deep
weld penetration and minimizing heat inputs. This method also facilitates to automate
the process techniques.
Consider that the given two metal plates are to be welded using laser beam
welding. The two metal plates are held in contact at their edges as shown in
Fig. 11.31. The focal spot for the welding on the surface of metal plate edges
are identified. The high intensity laser beam (Nd–YAG or CO2 or diode laser)
is focused on the spot employing the optical arrangements. At the surface of the
metal plate, the highly concentrated laser beam, i.e., high energy is converted
into thermal energy and thus it heats the spot in the metal plates. Therefore, the
surface of the metal plate starts melting and then progresses through it by surface
conductance. Thus, the metal plates fuse together at the points of contacts. The
energy of the beam required to melt the metal plates are kept well below the
vaporisation temperature of the workpiece metal. When the intensity of the laser
beam is increased, the workpiece metal undergoes several phase changes, namely,
solid to liquid and then again to vaporisation. The laser welding station requires
few basic components, namely, good laser source, beam guiding, workpiece and
manipulating and workstations.
A simple experimental set-up used for laser beam welding is shown in Fig. 11.31.
The laser light output from the laser source is passed through the optical instruments
which helps to control the energy, focus the laser beam as well as for automation.
The optical assembly helps to get a fine laser beam. In addition, at the laser focusing
point, a shield gas is passed through the shielding gas jet. The shielding gas is used to
remove the molten material to favour vaporisation. Further, it provides the necessary
cooling effect at the spot which protects the optical arrangements against environmental
effects such as fumes. It also helps to increase the adsorption of energy by the sample.
The manipulating and work-station on the laser welding systems helps to provide a
relative motion between the laser beams and the workpiece, either in two or three
dimensions at the required speed and accuracy.

Laser Mirror
source

Shutter

Focussing lens assembly

Window
Shielding gasjet
Focusing point

Metal plate Metal plate

Fig. 11.31 Laser beam welding

 Laser 11.33

Types of Laser Beam Welding

Even though quite a variety of laser beam weldings are available, the most common
types used for industrial applications are Nd–YAG, carbon dioxide lasers and
diode lasers. The wavelength of laser light produced by Nd–YAG and CO2 laser is
respectively 1.06 m m and 10.6 m m.
The CO2 laser source requires beam guiding systems to propagate the laser beam
from mirror to mirror. On the other hand, flexible glass fillers can be used for the
Nd–YAG laser source. The laser beam welding is used for materials whose thickness
is less than 0.80 inches.

Advantages
The following are the advantages of using laser drilling in industries:
• It is a non-contact processing method.
• It has the ability to weld smaller and thinner components.
• It gives a very low heat input into the materials.
• It provides an excellent metallurgical quality on the established weld.
• It has the flexibility to drill over a wide range of materials.
• It is used for doing deep and narrow welds.
• It has high accuracy and consistency.
• It is used to drill submicron and small holes with huge aspect ratios.
• It is used to drill at different angles.
• It can be carried to difficult terrains.
• It creates minimal heat affected zones during welding.
The main disadvantage of laser beam welding is its high cost.

Applications
The following are the applications of laser welding in industries:
• It is used to weld complex-shaped contours in a controlled manner.
• In automobile industries, it is mainly used for car body constructions, space
frames, etc.
• Further, it finds application in areas like aerospace, defence, electronics,
petro-chemicals, medicine, etc.

11.10.6 laser heat treatment

Laser Heat Treatment
Laser heat treatment is initially validated for surface hardening. However in recent
years, it is also used to change the metallurgical and mechanical properties of materials.
Laser heat treatment is used for many practical applications like hardness, increase in
strength, increases in fatigue life and surface hardening etc.
A simple schematic representations used for surface hardening using laser source is
Fig. 2.18. It consists of laser source, beam, analysis & guidance, gas shield cnc table
and work piece.
11.34 Engineering Physics

Laser

Stimulation

CCD CAMERA
PC

PID WORK PIECE

CNC TABLE

Fig. 11.32 Experimental arrangement for laser heat treatment

The principle behind the hardening of materials like iron and steel is the temperature
dependence of structural changes. For example, there are three different structures
of iron namely body centered cubic (bcc) structure (a-iron) below 1085 K, a face
centre cubic (fee) structure between 1085 K to 1667 K and body centered cubic (bcc)
structure (g-iron) beyond 1667 K as a function of temperature. When the high intense
of electromagnetic radiation of laser beam incident on a surface of a metal, it transfers
heat to atoms in the surface of metal. When the laser beam incident on the metal,
the photons from the laser beam interact with the free electrons and the materials
and thereby raise their energy states to the conduction band. This effect is known as
inverse Breamsstrahliing effect. Thus, the incident laser beam hardens the surface of
the metal. The important parameters to be considered for the laser treatment are laser
power, beam diameter, absorptivity of the surface and the transverse speed of laser.
The laser beam generated bv the source is focused to fall on the work piece which is
kept on CNC table. The whole process is controlled by the computer and the process
is monitored by CCD camera. The PUD controller is used to fix the temperature of
the laser operation to be performed on the work piece.

Advantages
The following are the advantages of the laser heat treatment in surface hardening.
It is a computer controlled process method.
It is very simple to control the reaction depth.
It does not require any post process. « It is free from contamination.
It is also used to clad the nanomaterials.

11.10.7 laser cutting

Laser cutting is carried out using the laser machining process. The principle behind laser
machining is a thermal mechanical process. During the thermal mechanical process,
the material is removed either by phase changes like melting and vapourization or
hydrothermal motions.
Working The schematic diagram for laser cutting assisted by a gas jet is shown in
Fig, 2.19. It consist of nozzle with laser beam focusing system and gas inlet to assist
the laser cutting. The high intense laser beam is focused through the lens L via the
nozzle. In order to provide the necessary mechanical force to eject the melt from the
 Laser 11.35

cut nozzle, gas is circulated through the nozzle. The passed gas is also used to cool the
cut zone by forced convection process. The nozzle of the laser cutting kit is brought to
the top surface of the workpiece. The assisting gas used for laser welding develops an
additional exothrmic energy through chemical reactions. The chemical reaction takes
place between assist gas and the molten material. The additional energy is more useful
to cut thick piece. On the other hand, one can also use inert gas in order to reduce
the oxidation during laser machining. The important points to be considered for laser
cutting are nozzle design, jet alignment, and effect of pressure and gas purity.

LASER
BEAM

G L
GAS

Nozzle
GAS JET
Work-piece

Fig. 11.33 Laser cutting

Advantages
The following are the advantages of gas cutting
• It is used to cut materials of any thickness with high precision
• It is very fast and accurate.
• It is very simple and cost effective.
Disadvantages
• The efficiency and the overall cutting quality of laser welding strongly depend on
the interaction of gas with the workpiece.

11.10.8 medicine
The following are the some of the applications of laser in medicine.
(i) It is used to perform microsurgery and bloodless operations, to cure cancer
and skin tumours in human beings and animals.
(ii) It is used for the treatment of a detached retina.
(iii) With the help of optical fibers, the argon ion laser is used to control gastric
haemorrage. The block diagram of the experimental set-up namely, laser
endoscopy used for this purpose is shown in Fig. 11.32.
11.36 Engineering Physics

S Power
supply
Partial beam splitter

Power meter
and heatsing

Lens

Micro-
positioner
Firing control G
and
timing unit

E
Fig. 11.34 Laser endoscopy

The high-energy (13 W ) argon ion laser (S) is used as an optical source and an
endoscope (E) is used as the delivery unit. The argon ion laser output is delivered
into the required spot of the gastric bleeding using fiber optic endoscopes which are
connected through the lens system using encapsulated quartz fibre guide (G), as shown
in Fig. 11.32. The laser beam can be moved into any direction and position with the
help of the optical flexible fibre guide (G).

11.10.9 holography
Holography was invented by Dennis Gabour in 1948 with an idea to improve the
resolution of the images obtained from an electron microscope. The method of
producing three dimensional image of an object due to the interference phenomena
of coherent light waves on a photographic plate is known as holography. The term
holo means whole or complete, i.e., the recorded interference pattern gives all the
information about an object. A hologram has no resemblance to the original object;
however, it gives all information about the object through optical codes. The salient
feature of holography is the three dimensional nature of the images produced, whereas
in photography, two dimensional images are produced.
(i) Basic principle When an object is illuminated by light from a coherent source,
each point on the object acts as a source of secondary waves. These secondary waves
spread out in all directions and it characterises the object through an interference
pattern. This interference pattern is recorded using a suitable method. The recorded
interference pattern is again illuminated with coherent light from another source. This
results in reproduction of the original object in three dimensions.
Let us consider an object AB illuminated by light waves from a coherent source as
shown in Fig. 11.33. As a result, each point on the object results in a spherical waves
 Laser 11.37

with coherent nature. These spherical waves interfere with the reference beam and
hence produces interference or diffraction pattern at the plane of the photographic plate
P. The pattern is developed and it contains light and dark partially absorbing fringes
and this pattern is the characteristic of the object. This pattern is called as Gabour
Zone plate.

P
A

Fig 11.35 Principle of holography

(ii) Production of a Hologram Photographic plates are considered the best

medium to record holograms. Recording depends only on intensity variation and not
on amplitude variation. Therefore, in order to convert the amplitude variation into
intensity variation, Gabour superimposed the reflected waves with a reference beam
having the same wavelength. As a result, constructive and destructive interference
fringes were obtained between the reflected waves and the reference beam. Thus,
an increase in intensity at the constructive point and a decrease in intensity at
the destructive point were noted. This change of intensity was recorded on the
photographic plate.
In order to produce a high-quality hologram, the light source used must be highly
monochromatic and coherent. Monochromatic laser beams are used to produce an
intense beam of coherent light. Thus, the spatially coherent laser beam is divided into
wavefronts or amplitudes. One part of the beam falls directly on the photographic
plate and the other falls on the object whose image is to be recorded.
The experimental arrangement for the production of a hologram using the laser
beam is shown in Fig. 11.34.
A laser beam from the source is made to fall on an optical device called the beam
splitter. A part of the beam from the beam splitter is made to fall on the silver coated
mirror M1. After reflecting from the mirror M1, the reference beam is passed through
the lens L1 and finally falls on the photographic plate. The focal length of lens L1 is
smaller than that of the lens L2.
The other part of the beam from the beam splitter is made to fall on the mirror M2
through the lens L2 of larger focal length. The beam is reflected from the mirror M2
and is made to fall on the object AB. The reflected waves from the surface of the object
AB are also made to fall on the photographic plate. Thus, the interference pattern of
11.38 Engineering Physics

the reflected beam and reference beam is formed. The resultant pattern (hologram)
is recorded on the photographic plate. The hologram of the object can be made by
developing the plate using standard techniques.

Reference beam
Photographic plate
M1 L1

Object Object beam

Laser

Beam splitter L2 M2

Fig. 11.36 Experimental arrangement for production

of a hologram of a three dimensional image

In order to obtain a high resolution hologram, care should be taken to provide

spatial filtering, the pattern lengths of the sample and the reference beam.
The experimental arrangement of such a special laser holography is shown in Fig.
11.35.

Hologram

Reference beam

Spatial filter Signal beam

t
jec
Ob

Laser
Beam splitter

Fig. 11.37 Experimental arrangement for a laser hologram

 Laser 11.39

(iii) Reconstruction of Images The experimental arrangement used for the

reproduction of three dimensional images of an object is shown in Fig. 11.36.

Hologram
Laser
B

Real
image
A A
Virtual
image
B
Fig. 11.38 Reconstruction of a hologram of three-dimensional image

For the reconstruction of the image, the recorded photographic plate is illuminated
by a monochromatic laser beam. The illumination results in two images. The first
image is formed behind the light source and forms a virtual image of the object. The
second image is formed due to the diffraction of the beam at a distant place. The
diffracted image is a real image and it can be photographed. The image obtained on
the photographic plate is simply a two dimensional image of the original object.
(iv) Applications of Holography Some of the applications of holography in various
fields are given below:
1. Three-dimensional images produced by holograms are used in educational
and technical fields and also in advertising, artistic displays, etc.
2. For imaging the objects
3. Interferrometric imaging in astronomy
4. Ultrasonic imaging is used in the field of medicine, industries, etc.

11.10.10 other applications

In Communication
(i) In communication systems, the laser beams are used to transmit
thousands of television programmes and simultaneous telephone con-
versations at a time.
(ii) The communication between the planets has been made possible using
laser beams.
(iii) The laser light waves are not absorbed by water and hence it can be
successfully employed to establish underwater communication between
submarines.
In Computers
(i) By using optical fibres as light guides, the entire content of memory
can be transmitted from one computer to another computer by a laser
beam.
(ii) Laser is used in printers for computer printouts.
11.40 Engineering Physics

In Meteorology A laser interferometer is used to measure length to a very high

accuracy.
In Chemistry It is used to accelerate some chemical reactions to create new chemical
compounds by destroying atomic bonds between the molecules.
In Photography Laser beams are used to obtain a three dimensional lensless
holography (hologram).
In Weapons
(i) A powerful laser beam can be used to destroy big size objects like
aeroplanes, missiles, etc., by pointing the laser beam on them, and
hence it is called death ray.
(ii) The laser beam can be used to determine precisely the distance, veloc-
ity, direction, size and the nature of reflected light in radar. It is known
as LIDAR (light detection and ranging).
In Industry
(i) The high power laser is used to weld or melt materials. It can also be
used to make very small holes in hard materials like diamond, hard
steel, etc., which cannot be made by mechanical drilling.
(ii) It can be used to test the quality of the material.

Keypoints to remember

• The laser beam is strictly monochromatic, i.e, of single frequency and the band-
width of laser beam is narrow Dg = 0.
• Absorption is the process of absorbing energy from the incident light and their
by excitation into higher energy state.
• Spontaneous emission is the process of returning the atoms eventually from the
higher state to the ground state by emitting their excess energy.
• Stimulated emission is the process of stimulating an atom in the higher energy
state to make a transition to the lower state with the creation of a second photon
due to the interaction of photons of energy E.
• According to Einstein, the total emission is a sum of spontaneous and stimulated
emission of radiation.
• Population inversion is the process of increasing population in the upper energy
level so that it is greater than the lower energy level, to achieve the laser action.
• Different methods used to achieve population inversion are pumping, direct
electron excitation, inelastic atom–atom collision and chemical reaction.
• Different types of lasers are solid state laser, gas laser, liquid laser, dye and
chemical laser, and semiconductor laser.
 Laser 11.41

• The wavelength of laser radiation from a ruby laser is 6934Å.

• Nd–YAG laser radiates the laser light at a wavelength of 1.064 mm with a power
output of 70 W.
• The active medium in helium–neon laser is helium and neon with a ratio of 10:1.
The laser output is 6328Å.
• When the carbon atom is fixed in its position and each oxygen atom vibrates
in the opposite direction symmetrical to the carbon atom in a straight line, it is
known as symmetrical mode of vibration.
• In the bending mode, the oxygen atom and carbon atom-vibrate at right angles to
the line passing through the centre of gravity.
• In a symmetric mode of operation, two oxygen atoms vibrate about the central C
atom asymmetrically.
• Homojunction is a p-n junction made up of the same material with two regions
of different conductivities.
• Heterojunction is an interface between two adjoining single crystal semiconduc-
tors with different band-gap energies.
• Two different types of heterojunctions are isotype and anisotype heterojunctions.
• The method of producing a three-dimensional image of an object due to the in-
terference phenomena of coherent light waves on a photographic plate is known
as holography.

solved Problems

Example 11.1 The first line of the principal series of sodium is the D line at
590 nm. This corresponds to a transition from the first excited state (3p) to the
ground state (3s). What is the energy in electron volts of the first excited state?

Given Data
The wavelength of the sodium D line: l = 590 nm
l = 5900 ¥ 10-10 m
hc
Solution The eergy emitted E = hn =
l
6.626 ¥ 10- 34 ¥ 3 ¥ 108
= = 0.369 ¥ 10-19 J
5.9 ¥ 10- 7
3.369 ¥ 10- 19
= = eV = 2.10299 eV
1.602 ¥ 10- 19

The energy of the first excited state = 2.1 eV.

11.42 Engineering Physics

Example 11.2 What fraction of sodium atom is in the first excited state in
a sodium vapour lamp at a temperature of 250˚C?

Given Data
The temperature, T = 250˚ C = 250 + 273 = 523 K
Solution Let N2 be the population of the first excited state and N1 be the
population of the goun stte.
Then, N 2 e - E2 / kT -(E -E )/ RT - ( hn )/ kT
= =e 2 2 e
N1 e - E1 / kT

È 6.626 ¥ 10- 34 ¥ 3 ¥ 108 ˘

= exp Í- - 23 -7 ˙
Î 1.38 ¥ 10 ¥ 523 ¥ 5.9 ¥ 10 ˚
= exp [- 46.68] = 5.335 ¥ 10-21
The ratio between the atoms in the first excited state and the ground state
= 5.335 ¥ 10-21.
Example 11.3 What is the ratio of the stimulated emission to spontaneous
emission at a temperature of 250˚C for the sodium D line?

Given Data
The temperature, T = 25˚C = 523 K

Stimulated emission 1 1
Solution = =
Spontaneous emission e hn / kT - 1 e hc / kT l - 1
1
= - 34
È 6.626 ¥ 10 ¥ 3 ¥ 108 ˘
exp Í - 23 -7 ˙
-1
Î1.38 ¥ 10 ¥ 523 ¥ 5.9 ¥ 10 ˚

= 5.329 ¥ 10-21
The ratio between the stimulated emission and spontaneous emission
= 5.329 ¥ 10-21.
Example 11.4 Calculate the threshold condition for the ruby laser in which the
appropriate parameters are as follows: n0 = 4.3 ¥ 1014 Hz; Dn0 = 1.5 ¥ 1011 Hz;
n0 = 1.76 ; tsp = 4.3 ¥ 10-3 s ; t photon = 6 ¥ 10-9 s.

Given Data
The refractive index of the ruby rod, n0 = 1.76
The frequency, n0 = 4.3 ¥ 1014 Hz
The doppler broadening, Dn0 = 1.5 ¥ 1011 Hz
The lifetime of spontaneous emission, tsp = 4.3 ¥ 10-3 s
The lifetime of photon, t photon = 6 ¥ 10-9 s
 Laser 11.43

Solution The difference between the population of the excited state and the
grond stte,
4p 2n 02 n03 Ê t SP ˆ
N2 – N1 = ¥Á ˜ D v0
c3 Ë t photon ¯

4p 2 (4.3 ¥ 1014 ) 2 ¥ 1.763 4.3 ¥ 10- 3

= 8 3
¥ �9
¥ 1.5 ¥ 1011
(3 ¥ 10 ) 6 ¥ 10

= 1.584 ¥ 1023 m-3

The difference between the excited state and the ground state populations
= 1.584 ¥ 1023 m-3
Example 11.5 Using Einstein’s theory, show that in the optical region, say,
at l = 5000 Å and T = 300 K, the amplification is not possible.

Given Data
The wavelength of the incident light, l = 5000 Å. The temperature, T = 300 K.
Solution The frequency of theincident light,
c 3 ¥ 108
v= = = 6 ¥ 1014 Hz
l 5000 ¥ 10- 10

Stimulated emission = 1
hn / kT
Spontaneous emission e -1

1 1
= = 96
È 6.626 ¥ 10- 34 ¥ 6 ¥ 1014 ˘ e -1
exp Í - 23 ˙ -1
Î 300 ¥ 1.38 ¥ 10 ˚
= 2.03 ¥ 10-42
This shows that the spontaneous emission is more predominant than that
of the stimulated emission. For stimulating emission, N2 >> N1 should exist.
Therefore, there is no amplification possibility. But, subsequent development
in maintaining population inversion by pumping the atoms from lower level to
higher level optically or electrically led to the discovery of lasers.
Example 11.6 A He–Ne laser emits light at a wavelength of 632.8 nm and
has an output power of 2.3 mW. How many photons are emitted in each minute
by this laser when operating?

Given Data
The wavelength of the laser beam, l = 632.8 nm
= 6328 ¥ 10-10 m
The output power, P = 2.3 mW
11.44 Engineering Physics

Solution The frequency of the photon emittedby the laser beam

c 3 ¥ 108
= = = 4.74 ¥ 1014 Hz
l 6328 ¥ 10- 10
The energy of a photon, hn = 6.626 ¥ 10-34 ¥ 4.74 ¥ 1014
= 3.14 ¥ 10-19 J
Energy emitted by the laser = 2.3 mW = 2.3 ¥ 10-3 J s-1
= 2.3 ¥ 10-3 ¥ 60 J min-1
2.3 ¥ 10- 3 ¥ 60
The number of photons emitted =
. ¥ 10- 19
314
= 4.3949 ¥ 1017 photons min-1
The number of photons emitted = 4.3949 ¥1017 photons min-1.
Example 11.7 A cadmium sulphide photodetector crystals irradiated over a
receiving area of 4 ¥ 10-6 m2 by a wavelength of 0.4 ¥ 10-6 m and a intensity
of 200 W m-2. Assuming that each quantum generates an electron hole pair,
calculate the number of pairs generated per second.?

Given Data
Area of the photodetector = 4 ¥ 10-6 m2
Wavelength of the cadmium sulphate crystal = 0.4 ¥ 10-6 m
Intensity of the light = 200 W m-2

Solution
Intensity × area
We know that number of photons =
Ê hc ˆ
Energy of photon Á ˜
Ël¯
hc
Energy of each photon is given by =
l
-34 8
Substituting the values, we get, = 6.626 ¥ 10 ¥ 3 ¥ 10
-6
0.4 ¥ 10 m
= 4.9695 × 10-19 J
The number of pairs generated per second is
-6
= 200 ¥ 4 ¥ 10
4.9695 ¥ 10-19
= 1.609 × 1015
Therefore, each photon quantum generates an electron hole pair, the number of
photons is equal to the number of electron hole pairs, and the number of pairs
generate per second is 1.609 ¥ 1015.
 Laser 11.45

Example 11.8 Calculate the wavelength of radiation emitted by an LED made

up of semiconductivity materials with band-gap energy of 2.8 eV

Given Data
Band gap of given semiconductor is Eg = 2.8 eV
= 2.8 ¥ 1.609 ¥ 10-19
= 4.4856 x 10-19 J
Solution
We know that wavelength of the emitted radiation is
hc
l=
Eg
Substituting the values, we get,
6.626 ¥10-34 ¥ 3 ¥108
=
4.4856 ¥10-19
= 0.443 x 10-6 m
The wavelength of radiation emitted by an LED is 0.443 mm.
Example 11.9 Calculate the long wavelength of a extrinsic semiconductor if
the ionisation energy is 0.02 eV.

Given Data
The ionization energy = 0.02 eV
= 0.02 ¥ 1.609 ¥ 10-19
= 3.218 ¥ 10-21 J
Solution
We know that long wavelength of extrinsic semiconductor is
hc
l=
Eg
Substituting the values, we get,
6.626 ¥10-34 ¥ 3 ¥108
=
3.218 ¥10-21
= 6.177 ¥ 10-5 m
The long wavelength of the extrinsic semiconductor is 61.77 mm.
Example 11.10 Calculate the number of photons from a green light of mercury
(l = 4961) required to do one joule of work.

Given Data
The wavelength of green light from mercury lamp = 4961 ¥ 10-10 m
11.46 Engineering Physics

Solution
We know that the energy E = hc
Substituting the values, we get, l

6.626 ¥10-34 ¥ 3 ¥108

=
4961¥10-10
= 4.007 × 10-19 J
Number of photons required to do one joule of work
1 Joules
=
4.007 ¥10-19

= 2.495 ¥ 1018
The number of photons from green light of mercury is 2.495 ¥ 1018 m-3.
Example 11.11 For a semiconductor laser the band gap is 0.80 eV. What is
the wavelength of light emitted from it?

Given Data
Band gap of given semiconductor is Eg = 0.8 eV
= 0.8 ¥ 1.609 ¥ 10-19
= 1.28 ¥ 10-19 J
Solution
We know that wavelength emitted from the given semiconductor laser is
hc
λ=
E
Substituting the values, we get,
6.626 ¥10-34 ¥ 3 ¥108
=
1.28 ¥10-19

= 1.55 ¥ 10-6 m
The wavelength of light emitted from the given semiconductor is 1.55 mm.
Example 11.12 Calculate the wavelength of emission from a GaAs
semiconductor laser whose bandgap energy is 1.44 eV.

Given Data
Band gap of given GaAs semiconductor Eg =1.44 eV
= 1.44 ¥ 1.609 ¥ 10-19
= 2.3 ¥ 10-19 J
Solution
We know that wavelength of emitted from given GaAs semiconductor laser is
 Laser 11.47

hc
λ=
Eg
Substituting the values, we get,
6.626 ¥10-34 ¥ 3 ¥108
=
2.3 ¥10-19
= 8.6 ¥ 10-7 m
The wavelength of light emitted from a GaAs semiconductor is 0.86 mm.
Example 11.13 Calculate the wavelength of the emission from GaAs
semiconductor laser whose band energy is 3 eV.

Given Data
Band gap of given GaAs semiconductor is Eg = 3.0 eV
= 3.0 ¥ 1.609 ¥ 10-19
= 4.8 ¥ 10-19 J
Solution
we know that, the wavelength of emitted from given GaAs semiconductor is
hc
λ=
E
Substituting the values, we get,
6.626 ¥10-34 ¥ 3 ¥108
=
4.8 ¥10-19
= 4.141 ¥ 10-7 m
The wavelength of light emitted from the GaAs semiconductor is 0.4141 mm.

objectives Questions

11.1 The equation for angular spread is _________.

11.2 The angular spread for an ordinary light beam is_________.
11.3 The angular spread for a typical laser beam is ______________.
11.4 The line width of laser emitted by ruby laser is___________ Å .
11.5 The energy of photon is equal to _________.
11.6 The rate of upward transmition after the absorption is equal to
a) R12 = B12 rg N1 b) R12 = rg N1

c) R12 = B12 rg N 2 d) R12 = B12 rg N1 N 2

11.48 Engineering Physics

11.7 The rate of spontaneous emission is equal to

a) R21(sp) = A21N2 r b) R21(sp) = A21N1N2
c) R21(sp) = A21¬N1 rγ d) R21(sp) = A21N1N2
11.8 The rate of stimulated emission is equal to
a) R21(ST) = B21N1N2 b) R21(ST) = B21 ργ N1
c) R21(ST) = B21 ργ N2 d) R21(ST) = B21 ργN
11.9 The mathematical expression for existence of stimulated emission was
proposed by _____________.
11.10 Which event is likely to take place when a photon of energy equal to the
difference in energy between two levels is incident in a system?
a) Absorption b) Emission
c) Absorption and emission d) None of the above
11.11 The condition for population inversion is

N2 N 2 - ( E1 - E2 )/ KT
a) = e( E2 - E1 ) / kT b) =e
N1 N1

N1 - N2 -
c) = e ( E1 - E2 ) / kT d) = e ( E2 - E1 ) / kT
N2 N1
11.12 Complete the chemical reaction, which is used to obtain population inver-
sion is chemical laser, H 2+ Æ 2HF.
11.13 The population inversion takes place at _____ medium.
11.14 During the laser amplification process, total loss is not due to the follow-
ing reason:
a) Transition, absorption and scattering by the mission
b) Absorption with in the medium
c) Scattering due to optical inhomogenity
d) Energy loss
11.15 Schawlow and Tones condition for population inversion to active laser
action is equal to

Ê n 3 w 2 ˆ Ê t sp ˆ Ê n 3 w 2 ˆ Ê 1sp ˆ
a) Á o o3 ˜ Á ˜ Dwo b) Á o o ˜ Á ˜ Dwo
Ë 2p c ¯ Ë Yphotons ¯ Ë 2p c ¯ Ë Yphotons ¯

Ê no 3 wo 2 ˆ Ê 1sp ˆ Ê n 3 w 2 ˆ Ê 1sp ˆ
c) Á Á ˜ Dwo d) Á o o3 ˜ Á ˜ Dwo
Ë 2p c 3 ˜¯ Ë Yphotons ¯ Ë 2p c ¯ Ë Yphotons ¯

11.16 Examples for solid laser are _________ and ________.

11.17 In a ruby laser, the active medium consist of aluminum oxide doped with
0.05 wt. of ___________.
11.18 In a ruby laser, the laser action is achieved by __________ method.
11.19 Ruby laser radiates an intense pulse laser of wavelength ________ Å.
 Laser 11.49

11.20 In the Nd–YAG laser, the active medium is made up of _________ and
________.
11.21 _____ method is used to achieve population inversion in an Nd–YAG
laser.
11.22 The light source used for optical pumping is _______ or ______.
11.23 The wavelength of laser light radiated by Nd–YAG laser is _______.
11.24 The active medium of a helium–neon laser is made up of _________ ratio
of helium and neon.
11.25 Atoms can stay in metstable states.
11.26 Complete the following reaction for helium-neon laser action:
He* + Ne Æ He + Æ + _______.
11.27 The wavelength of laser light emitted from He–Ne laser is ________.
11.28 _______ is molecular gas laser.
11.29 The most powerful transition in CO2 laser at normal operating temperature
is at ____.
11.30 In a helium–neon laser, helium is used to decrease the ______ in the
lower levels.
11.31 The power output from CO2 laser is _______
11.32 Diode laser consists of a ________ doped in a single crystal.
11.33 LED is converted into a laser diode employing a ________.
11.34 The wavelength of light emitted from Ga As laser at room temperature
is ________Å.
11.35 An example for injection laser is _______.
11.36 Injection lasers are prepared using ________ heterojunctions.
11.37 Achronium for LIDAR is________.

Key
11.1 λ/d 11.2 1m per 1m
11.3 1mm per 1m 11.4 5 ¥ 10-4
11.5 h 11.6 a)
11.7 a) 11.8 c)
11.9 Einstein 11.10 c)
11.11 d) 11.12 F2
11.13 active 11.14 d)
11.15 a) 11.16 Ruby, Nd-YAG
11.17 Chromium oxide 11.18 Optical pumping
11.19 6934 11.20 Ytrium aluminum garnet, Neodymium
11.21 Optical pumping 11.22 Xerox, Krpton
11.23 1.064mm 11.24 10:1
11.25 False 11.26 Ne
11.27 6328 Å 11.28 Co2
11.29 10.6 mm 11.30 Population
11.31 10 kw 11.32 p-n junction
11.33 high current 11.34 8874
11.35 Homojunction-Ga-As 11.36 Isotype
11.37 Light detection and ranging
11.50 Engineering Physics

exercises

11.1 Calculate the value of stimulated emission coefficient during a transition

from an excited state (2p) to the ground state (2s). The lifetime of the
excited state (2p) for spontaneous emission is 1.6 ¥ 10-9 s. The energy
difference between the excited state (2p) and the ground state (2s) is
10.2 eV.
11.2 Calculate the condition for population inversion in a He–Ne laser using the
following data: n0 = 4.74 ¥ 1014 Hz; Dn0 = 1300 MHz; trad = 7 ¥ 10-7 s;
tphoton = 10-7 s; n0 = 1.
11.3 Examine the possibility of light amplifying device in the microwave region,
say, at l = 10 cm and at room temperature (T = 300 K).
11.4 A laser beam can be focused on an area equal to the square of its wave-
length (l2). For a He–Ne laser, l = 6328 Å. If the laser radiates energy
at the rate of 1 mW, find the intensity of the focused beam.
11.5 Calculate the number of photons emitted per second by a 5 mW laser,
assuming that it emits light of the wavelength 6328 Å.
11.6 If laser action occurs by the transition from an excited state to the ground
state E1 = 0, and if it produces light of 693 nm wavelength, what is the
energy level of the excited state.
11.7 Transition occurs between a metastable state E3 and an energy state E2
just above the ground state. If emission is at 1.1 mm and E2 = 0.4 ¥ 10-19
J, find the energy of the E3 state.
11.8 Imagine that we chop a continuous laser beam (assumed to be perfectly
monochromatic, l0 = 623.8 nm) into 0.1 ns pulses using some sort of shut-
ter. Compute the resultant line width Dl0, bandwidth an coherence length.

short Questions

11.1 What does the term 'laser' stand for?

11.2 What is absorption of light?
11.5 What is meant by spontaneous emission?
11.6 What is stimulated emission?
11.8 Explain the principle of laser.
11.9 What are the conditions needed for laser action?
11.10 What is meant by population inversion?
11.11 What is meant by pumping of atoms?
11.16 What are the different types of pumping?
11.17 Write the Schawlow–Townes condition for laser action and explain the
terms.
 Laser 11.51

11.18 What are the different types of laser?

11.19 Mention any two applications of laser beams.
11.20 What is three dimensional profiling?
11.21 Explain how laser beam is used to detect surface defect.
11.25 Explain how laser beam is used in laser endoscopy.
11.27 Why is optical pumping mechanism not suitable for in pumping CO2,
lasens?
11.28 Explain the application of laser beam in computer peripherals.
11.29 What is meant by hologram?
11.30 Explain the construction of hologram.
11.31 Explain the reconstruction of hologram.
11.32 What are the advantages of a hologram?
11.34 What is the reason for using a laser beam for the construction and recon-
struction of a hologram?

descriptive Questions

11.1 Derive Einstein’s relation for stimulated emission, and hence explain the
existence of stimulated emission.
11.2 Obtain Schawlow–Townes condition for laser oscillation.
11.3 Explain the different methods used for pumping of atoms.
11.4 Explain with a neat sketch the construction and working of ruby laser.
11.6 What is a gas laser? Explain the working of He–Ne laser with relevant
diagrams.
11.8 What is a semiconductor diode laser? Explain the construction and
working of a Ga–As laser.
11.10 Write short notes on the following.
(i) Three dimensional profiling
(ii) Computer peripherals
(iii) Material processing
11.11 Explain with a neat sketch the construction and reconstruction of a
hologram using laser beam.
11.12 Discuss the applications of laser in welding, heat treatment and cutting.
 Chapter

Fiber Optics
12

OBJECTIVES
• To understand the principle behind fiber optic communication
• To gain knowledge about the structure of optical fibers and the ways of propagation
of optical pulses through fibers
• To study the classification of optical fibers based on materials, refractive index and
number of modes propagated through it
• To study the different process methods of optical fibers
• To study the applications of optical fibers in all fields of science and technology

12.1
I Fiber optics is an overlap of science and technology which deals with
N transmission of light waves into optical fibers, their emission and detection.
Optical cables are small in size and weight and are more efficient for
T
communication than metal cables. The principle behind the transmission of
R light waves in an optical fiber is total internal reflection. In this chapter, the
O principle, preparation, characteristic properties and applications of optical
d fibers, particularly in the field of electronics and medicine, are discussed
u briefly:
C
T
I
O
N

12.2 OPTICAL FIBERS–PRINCIPLE

The fundamental optical parameter of an optical fiber is refractive index or index of
refraction (n). The refractive index of the material is
c
n= (12.1)
v
12.2 Engineering Physics

where c is the speed of light in free space (3×108 m s-1) and v, the speed of light in
the medium. The refractive index of air, water and glass are respectively 1.00, 1.33
and 1.50. Consider that a high-refractive-index glass medium—I and low-refractive-
index air medium—II are in contact as shown in Fig. 12.1. Consider an incident ray
of light is passing through the medium of refractive index n1. When the light ray is
incident at the boundary of the two mediums, a part of the ray gets reflected back
into the medium I, while a part is refracted into the medium II. The phenomena of
reflection or refraction at the interface between the two mediums depend on the speed
of light in the respective medium. According to Snell’s law, angle of incidence is
(f1) and angle of reflection is (f2). When the angle of incidence f1 is increased, the
angle of refraction f2 increases (Fig. 12.1a). When the angle of incidence reaches the
critical angle fc, the angle of the refracted ray approaches 90o and almost emerges
out parallel to the interface between the two media (Fig. 12.1b). When the angle of
incidence exceeds the critical angle (Fig. 12.1c), the incident light ray gets reflected
in the same medium. The reflection of light in the same medium at a particular angle
of incidence is known as total internal reflection (Fig. 12.1d). Therefore, fc is known
as the maximum angle for total internal reflection. The same can be obtained by
considering Snell’s law,

n1 sin f1 = n2 sin f2

n2
or sin f1 = sin f2 (12.2)
n1

Medium II (air)

Refracted

Critical ray

Medium I (glass)

(a) f1 < f2 (b) f1 = fc

Cladding

�
� Core

Cladding

(c) f 1 > fc (d) Total internal reflection

Fig. 12.1 Fiber optics—principle

When total internal reflection takes place, f1= fc and f2 = 90o.

 Fiber Optics 12.3

Therefore,
n2
sin fc = (12.3)
n1
We know that sin 90o = 1. Therefore, Eq. (12.3) determines the critical angle for an
optical fiber.

12.3 STRuCTuRE OF OPTICAL FIBERS

An optical fiber, which is in the form of a cylinder, consists of an inner and outer
shell. The inner shell is known as core and has high refractive index (n1), while
the outer shell is known as cladding and has low refractive index (n2). In order to
achieve total internal reflection within the core, the refractive index of the core is
made slightly higher than the cladding material. Generally, the thickness of the core
is nearly 50 mm while for the cladding, it is 125–150 mm. Therefore, the overall fiber
diameter of an optical fiber is 125–150 mm. A typical optical fiber with refractive
index n1 > n2 is shown in Fig.12.2(a). These fiber cables are bundled together and
used for transmission applications. A typical three dimensional view of the optical
fibre is shown in Fig. 12.2(b)

Protective skin (Polyurethane jacket)

Cladding

Core

(a) Three dimensional view

Cladding n2
max
c Core n1

Incident ray

(b) Cross-sectional view

Fig. 12.2 Optical fiber—structure

Light Rays of Propagation In optical fibers, the light rays are transmitted in two
ways, namely, meridional and skew. The schematic representation of the meridional
and skew ray’s propagation is shown in Fig. 12.3. The ray which passes through the
axis of the core is known as meridional ray. On the other hand, the ray which never
passes through the core of the axis is known as a skew ray.
12.4 Engineering Physics

(a) Meridional (b) Skew rays

Fig. 12.3 Optical fiber—propagation of light rays

12.4 ACCEPTANCE ANGLE ANd CONE

The angle of acceptance or maximum/total acceptance angle determines the propagation
of light rays through optical fibers by total internal reflection. The angle of acceptance
and acceptance cone for launching of light rays is shown in Fig. 12.4. Consider that
an incident ray OA is incident on the fiber core at an angle fa.

Eventually lost by radiation

A

Acceptance a

cone
c Core

B Cladding

Fig. 12.4 Optical fiber—acceptance angle and cone

The incident rays enter into the core and are incident at the core–cladding interface,
and hence, are transmitted into the cladding. Thus, they do not undergo total internal
reflection at the interface. On the other hand get refracted at the core–cladding interface
into the cladding. The refracted ray propagates further and is lost due to radiation. When
the ray is incident at an angle greater than fa, it gets transmitted at an angle less than
fc into the core–cladding interface without undergoing total internal reflection. The
ray BC enters at an angle greater than qa is and lost in propagation due to radiation.
On the other hand, the ray OA which enters at an angle less than qa ia incident on the
fiber core at an angle greater than fc, and hence, propagates into the core through total
internal reflection. Therefore, the angle fa, i.e., maximum angle at or below which the
light rays undergo total internal reflection, is known as acceptance angle. The core
OO! is known as the acceptance cone.

12.5 NuMERICAL APERTuRE ANd

ACCEPTANCE ANGLE
The amount of light rays accepted by the fiber is known as Numerical Aperture (NA).
The angle of acceptance of the incident rays and the refractive index of media involved
in optical fibers, namely, air, core and cladding are used to obtain the numerical
aperture. The parameters like refractive index of core, cladding and air are used to
 Fiber Optics 12.5

define the numerical aperture of the optical fiber. Let n1, n2 and n0 be respectively the
refractive index of the core, cladding and air. Consider that an incident light is incident
at an angle f1 which is smaller than the acceptance angle fa. The incident ray from the
air medium of refractive index no enters into the core of the optical fiber of refractive
index n1. The refractive index of air is lower than the cladding.
Let OA be the fiber axis, which is normal to the fiber core. Hence, the incident ray
AB undergoes refraction at the air–core interface as shown in Fig. 12.5. According to
Snell’s law, the angle of refraction is
no sin f1 = n1 sin f2 (12.4)

Air (n0) n2

1 A C n1
2

B
n2

Fig. 12.5 Optical fibers—numerical aperture

The refracted ray BC emerges out at an angle of f2 as shown in Fig.12.5.

According to Snell’s law, when the rays are incident and emerge at angles of
respectively f1 and f2,
no sin f1 = n1 sin f2 (12. 5)
We know from triangle BCE,
p
f= - f2
2
\ sin f2 = cos f
Substituting the value of sin f2, in Eq. (12.5), we get,
n0 sin f1 = n1 cos f (12. 6)
We know that, sin2 f + cos2 f = 1
Therefore, Eq (12.6), can be written as
n0 sin f1 = n1 (1−sin2 f) ½
The light rays are transmitted into optical fibers through total internal reflection and
hence,
n1 sin f = n2 sin 90
n1 sin f = n2
Substituting the above condition in Eq. (12. 6), we get,
n0 sin fa = n1 (1-sin2 f) ½
or = (n12-n22 ) ½
12.6 Engineering Physics

Therefore,
Numerical aperture (NA) = no sin fa (12.7)
We know that refractive index of air is 1 and hence, no = 1.
1
Therefore, NA = sin fa = n1 - n22 ( ) 2

1/ 2
or 2
(
NA = ncore 2
- ncladding ) (12.8)

12.5.1 Refractive Index (or) Core–Cladding Index

difference
1/ 2
The numerical aperture
2
(2
NA = n1 - n2 ) (12.9)

NA = n1 (2D)1/2 (12.10)
2 2
n -n 1 2
where D=
2n12
When the core–cladding index difference is less than 1 (i.e., D<<1)
n -n
we get, D= 1 2
n

12.5.2 Number of Modes through Optical Fibers

Let N be the number of optical modes propagated through an optical fiber.
Therefore, the number of modes (N)
2
Ê d NA ˆ
N = 4.9 ÁË ˜ (12.11)
l ¯
where d is the diameter of the fiber core; l the wavelength of light propagated; and
NA, the numerical aperture.
The diameter of the core, when the optical fibers transmit a single mode is
0.76
d≤ l (12.12)
NA
Similarly, the diameter of the core, when the optical fibers transmit in multimode is
0.76
d> ll (12.13)
NA
Equations. (12.12) and (12.13) are respectively used to determine the diameter of the
core for single mode and multimode fibres.

12.6 TYPES OF OPTICAL FIBERS

Optical fibers are classified into three major categories based on the materials used for
making optical fibers, number of modes transmitted into the fibers and the refractive
index profile of the fibers. these are further classified into different categories as given
in Fig. 12.6.
 Fiber Optics 12.7

Optical fibers

Materials used Number of modes transmitted Refractive index profile

Glass Plastic Single Multi Step Graded

fiber fiber mode mode index index

Fig. 12.6 Classification of optical fibers

Let us discuss the classification of optical fibers in brief in the following

heading:

12.6.1 Classification Based on Materials used

Generally, optical fibers are made up of materials like silica and plastic. Therefore, there
are two different types of fibers, namely, glass and plastic fibers. The most important
properties required for the selection of optical fibers are that the material should be
an efficient guide for light waves; it should have low scattering cross-section and
low loss of optical energy due to the absorption, attenuation and dispersion during
the propagation of waves.
(a) Glass Fiber In glass fibers, the core and cladding are made of glass. Glass fibers
are obtained by fusing metal oxides and silica glasses. In glass fibers, the material
is made of a random network as that of non-crystalline materials. The examples of
different materials used for glass-fiber core and cladding are given in Table 12.1.

Table 12.1  Core and cladding materials used in glass and plastic fibers

Fiber Glass fiber Plastic fiber
nature Materials Refractive Materials Refractive
index index
Core GeO2–SiO2 n1 > 1.458 Polystyrene n1 = 1.60
P2O5–SiO2
Cladding SiO2 n2 = 1.458 Methyl- n2 = 1.49
methacrylate

Generally, silica is the most common material used in a glass fiber. The refractive
index of silica is 1.458 at 850 nm. In order to produce a slight difference in core and
cladding media, metal oxides like B2O3, GeO2 or P2O5 are added to SiO2. Glass fibers
are made using low-melting silicates like soda-lime silicates, germanesilicates and
various borosilicate glasses.
(b) Plastic Fiber Plastic fibers are made up of plastics. they are easy to handle
without any care due to their toughness and durability. Plastic fibers provide high
numerical aperture (~0.58) and larger angle of acceptance (~70o) than glass fibers.
This is mainly due to high refractive index differences between the core and cladding.
12.8 Engineering Physics

A typical composition of core and cladding material used in plastic fiber is shown in
Table 12.1.

12.6.2 Classification of Optical Fibers Based on Number

of Modes
Based on the number of modes transmitted into fibers, optical fibers are classified
into two types, namely,
(a) Single mode and
(b) Multimode.
(a) Single-Mode Fibers Single-mode or monomode fibers are fibers which transmit
a single mode during transmission. The diameter of a single mode fiber is very
small and it is in the order of 5–10 mm. The diameter of the cladding is very high
(~125 mm) than the core. The typical structure of single mode fibers is shown in
Fig. 12.7. Generally, single-mode fibers are step-index fibers. At a particular
wavelength, say 0.8 mm, the core radius is 3 mm while the numerical aperture is 0.1.
The signal is transmitted into the fiber without any dispersion.

Buffer jacket
Primary coating Refractive
Cladding index
Core n1
n2

Fig. 12.7 Single-mode fiber-structure

Advantages
The following are the advantages of single-mode fibers:
• They facilitate to transmit information to longer distances due to negligible
dispersion.
• They are free from intermodal dispersion. The intermodal dispersion is the time
difference between the entry of pulse at one end of optical fiber and arrival of the
pulse at the other end of the fiber.
• They are used in long-distance communication due to higher bandwidth.

Disadvantages
The following are the disadvantages of single-mode fibers:
• It is difficult to launch the light through the fiber.
• It is difficult to achieve end-to-end connection of similar fibers.
(b) Multimode fiber The optical fiber which is used to transmit more than one mode
is known as a multimode fiber. The multimode fibres are preferable mainly due to its
larger core radii than single-mode fibers. The structure of a multimode fiber is shown
in Fig. 12.8.
 Fiber Optics 12.9

Buffer jacket
Primary coating Refractive
Cladding index
Core n1
n2

Fig. 12.8 Multimode fiber-structure

Disadvantages
The following are the disadvantages of multimode fibers:
• Multimode fibers suffer due to intermodal dispersion and hence, dispersion takes
place during long transmission.
• They can be used to transmit signals only for short distances.
The differences between single and multimode fiber are shown in Table 12.2 for
comparison.
Table 12.1 Difference between single and multimode fibers
Single mode fiber Multimode fiber
It is used to transmit one single mode and It is used to transmit more than one or multi
hence, known as single-mode fiber. modes and hence, known as multimode fiber.
The core diameter is very small. The core diameter is very large.
The difference in the refractive index of The difference in the refractive index of core
core and cladding is very small. and cladding is very large due to larger core
diameter.
Optical light power using LEDS cannot be Optical light power using LEDS can be easily
connected. connected into fibers.
It is very difficult to connect two fibers End-to-end connections are very easy.
(i.e., end-to-end connection)
There is no intermodal dispersion, i.e., no It suffers due to intermodal dispersion. Thus,
time difference between the entry and the it gives a time delay between the entry and
arrival of an optical signal in a fiber. arrival of an optical signal in a fibre.
It is used for long distance transmission It is used for short distance transmission
applications. applications.

12.6.3 Classification of Optical Fibers based on the

Refractive Index Profile
Optical fibers are further classified into two types based on the refractive index profile
of core and cladding as
(i) step index, and
(ii) graded index.
(i) Step Index Fibers The refractive indices of air, core and cladding varies step by
step and hence, it is known as step-index fiber. The structure of a step-index fiber is
shown in Fig. 12.9.
12.10 Engineering Physics

r r

Refractive index a
(nr)
Core
n1 Cladding
n2
(a) Multimode
r

Refractive index
(nr) a Core
n1
Cladding
n2
(b) Single mode

Fig. 12.9 Structure of step-index fiber

One can conclude the refractive index (n) profile based on radial distance (r) from
the fiber axis as
For core,
n(r) = n1; r < a (12.14)
For cladding,
n(r) = n2; r ≥ a (12.15)
Step index fibers are used both for single and multimode signals as shown in Fig.
12.9(a). The core diameter facilitates to divide the core of the fiber either as single or
multimode. When the core diameter is 50 mm or greater then it is used for multimode
transmission (Fig. 12.9a). On the other hand, if the core diameter is in the order of
2–10 mm, then it is used for a single-mode fiber (Fig. 12.9b).
The structure of a single mode step index fiber is shown in Fig. 12.10. In order to
avoid the loss due to absorption, the core and cladding materials are made using high
purity glasses. The diameter of the cladding is 10 times higher than the core. The
increase in diameter of the core helps to improve the easy handling. The core is then
covered by primary coating by a less purity glass material. A buffer jacket covers the
primary coating and prevents the fiber from damages.
Buffer jacket Core

Primary Refractive
coating index
n1
Cladding n2

Fig. 12.10 Wave guide structure—single mode fiber

 Fiber Optics 12.11

Let n1 and n2 respectively be the refractive index of the core and cladding.
Then,
n2 = n1 (1−D) (12.16)
where D is the core–cladding index difference. It is also known as core index
difference.
One can select the value of n2 so as to keep D in the order of 0.01. Thus, the
core refractive index is larger than the cladding index and helps to propagate
electromagnetic energy into the fiber through total internal reflection at the core–
cladding interface.
(ii) Graded Index Fiber In case of a graded index fiber, the refractive index
of the core varies gradually with increase in radial distance from the axis of the
fiber. The refractive index is maximum at the fiber axis and decreases gradually
with increase in radial distance and reaches a minimum at the core–cladding
interface. Thus, it is called graded index fiber. The refractive index is equal at
the core–cladding interface. The structure of the graded index fiber is shown in
Fig.12.11. Therefore, the refractive index (n) profile of the core and cladding from
the axis of the fiber is
For core,
n(r) = n1(1−2D(r/a)a )1/2: r<a (12.17)
For cladding,
n(r) = n1 (1−2D)1/2 = n2; r≥a (12.18)
where α is the characteristic refractive index profile of the fiber core. It is also known
as profile parameter of optical fiber.
The core–cladding index difference for the graded index fiber is
n12 - n22 n1 - n2
D=  (12.19)
2n12 n1
From Eqs. (12.15) and (12.16), the nature of the fiber can be explained based on
the refractive index profile as shown in Fig. 12.11. When α = ∞, the fiber will be step
index.

Refractive index
a2
n1
a1

n2 n2
Radial
–a Core axis a distance

Fig. 12.11 Graded index fiber wave guide-structure

When α = 2, the fiber will be parabolic. When α = 1, the fiber will be triangular.
A graded fiber with a parabolic refractive index profile (α = 2) is used to propagate
multimode signals as shown in Fig. 12.11. In a graded index fiber, the refractive
12.12 Engineering Physics

index is maximum at the fiber axis and it decreases from the fiber core. When the ray
enters into the core, it undergoes much refraction as shown in Fig. 12.12. As a result,
the intermodal dispersion is less in case of multimode graded index fiber than in a
multimode step index fiber.

r r
n2

Refractive n1 a
index
Core
Cladding

Fig. 12.12 Multimode graded fiber– ray transmission

The structure of a multimode graded index fiber is shown in Fig. 12.13. High
pure materials are used for the processing for an optical fiber to avoid losses due
to absorption. The thickness of the cladding will be very small, of the order of 10
wavelengths. The cladding is mainly used as a barrier to prevent the impurity ions
from entering into the core material. Generally, for the NA of 0.2–0.3, the diameter
of the core is of the order of 50–60 mm. A graded index fiber with high numerical
aperture is used for high bandwidth and medium half bandwidth applications.

Buffer jacket
Core

Primary
Refractive
coating
index
n1

Cladding n2

Fig. 12.13 Wave guide structure—multimode graded index

The difference between step index and graded index fibers is shown in Table 12.3
for comparison.

Table 12.3 Difference between step index and graded index fibers
Step index fiber Graded index fiber
The refractive index of core, cladding and The refractive index of core, cladding and
air varies in a step-by-step manner. air varies with radial distance.
The refractive index difference at the The refractive index difference at the
core–cladding interface is larger. core–cladding interface is smaller.
 Fiber Optics 12.13

It is used to transmit single and multimode It is mainly used for multimode signals.
signals.
Intermodal dispersion is larger. Intermodal dispersion is less due to
variation in the refractive indices with
radial distance.
For multimode transmission, the For multimode transmission, the bandwidth
bandwidth is lower due to low numerical is higher due to high numerical aperture.
aperture.
Light rays are propagated as meridional Light rays are propagated as skew rays
rays since during propagation; the light since during propagation; the light ray
ray crosses the axis of the core. never passes through the axis of the core.
Light rays are propagated into the core Light ray are propagated into the core
in a zigzag manner. either spherical or helical
It is used for long-distance transmission It is used for short distance transmission
applications. applications.

12.7 FABRICATION OF OPTICAL FIBERS

Optical fibers are prepared employing glass and plastic materials. Glass fibers are
prepared from SiO2 by doping it with other metal oxides like GeO2, PbO, B2O3, etc.
On the other hand, plastic fibers are prepared using polystyrene and methylmethacrylate
respectively as core and cladding materials. The following are the different methods
used for the fabrication of optical fibers:
(i) Modified chemical vapour deposition (MCVD)
(ii) Fiber pulling from preform, and
(iii) Double crucible
The processing of optical fibers employing the above methods is discussed briefly
under the following headings:

12.7.1 Modified Chemical Vapour deposition (MCVd)

Modified chemical vapour deposition is a method used to produce the glass preform,
which is known as final fiber. The refractive index profile of the preform is same as
that of the fiber. The experimental MCVD consists of two different stages, namely,
the formation of silica cladding and then the deposition of the core glasses. The
experimental set-up used for the two stages is shown in Fig.12.14. In the first step,
SiO2 is used as a material to produce the SiO2 tube or substrate which is known
as the final fiber. In order to get a difference in refractive index between the core
and cladding, a dropout material, known as soot, is added. The tube or substrate is
obtained by vapour deposition of SiO2 and soot on a rotating mandrel or ceramic
former. When the temperature reaches 1673 K, the soot vitrifies and thus forms
clear glass.
12.14 Engineering Physics

SiO2 glass

Vitrifying
f lame
Si, O2 soot
Deposition
flame

SiCl4 O2 Mandrel

(a) Formation of silica cladding tube

Silica tube
Core material Reaction area Exhaust
gases gases

Rotating Rotating
joint joint
Reaction f lame

(b) Deposition of core glasses

Fig. 12.14 MCVD—Schematic diagram

After forming the clear tube, the SiO2 tube is flirted with this tube. The core material
which is in the form of glass is passed into the tube as shown in Fig. 12.14. The core
particles are sintered to obtain a clear glass. The required heating is given to the tube so
as to obtain the glass preform. which is then used to obtain the optical fiber. The process
of drawing optical fibers from the glass preform is discussed in the following method.

12.7.2 Fiber Pulling from a Preform

In this method, optical fibers are obtained by pulling the glass preform and coating
with a suitable material. The experimental set-up used for fiber pulling is shown in
Fig.12.15. The fiber drawing furnace, a gauge controller, casting funnel, curing furnace
and take-up drum are arranged in a single line as shown in Fig.12.15. The glass preform
is fixed at the top of the pulling tower using a clamp. The top of the glass preform is
softened using the circular drawing furnace. The filament drawn from the top of the
glass preform is fixed at the take-up drum. When the take-up drum rotates, it draws the
fiber from the top of the glass preform. Thus, the rotation of the take-up drum helps to
control the diameter of the fiber. Further, the diameter of the fiber is controlled using
a non-contact thickness or diameter gauge. The gauge controller in-turn controls the
rotation of the take-up drum through a feedback loop.
 Fiber Optics 12.15

Clamp (C)
Preform
Heating furnace

Diameter guage
Coating funnel
Curing furnace

Take-up drum

Fig. 12.15 Schematic diagram of a fiber pulling tower

The diameter controlled fiber is then passed through the coating funnel which consists
of plastic coating material. The plastic material which is coated on the surface of the
fiber is converted into solid by passing through the curing furnace. The plastic coating
on the fiber prevents damages due to impurities and structural changes.

Advantages
The following are the advantages of this method:
• It is possible to produce several kilometres of 125 mm diameter fibers.
• It is easy to control the diameter of the fiber through non-contact method.

Disadvantages
The following are the diadvantages of this method:
• It is not possible to produce a continuous fiber.

12.7.3 double Crucible

In the double-crucible or direct melt technique, the fiber is drawn directly from
the melt of the core and cladding materials. This method is used to produce fiber
continuously at low cost. Thus, it overcomes the drawback of the fiber pulling from
a glass preform.
The experimental arrangement used in the double-crucible method is shown in
Fig.12.18. It consists of two crucibles, namely, inner and outer crucibles. The core
material is taken in the inner crucible, while the cladding material is taken in the outer
crucible. The materials in the respective crucibles are melted by keeping the crucibles
in the furnace. The fiber is drawn from the melts using the same procedure as that
performed in the preform method. One can obtain the fiber continuously by feeding the
high purity core and cladding materials to the respective crucibles. Platinum crucibles
are used to avoid contamination double crucible method is more suitable in producing
plastic step index fibers.
12.16 Engineering Physics

200 mm
100 mm
Cladding rod
Core rod
Inert gas supply
Electric furnace

100 mm
Platinum Platinum
outer inner
crucible crucible

Silicon liner fiber

Diameter
control
To polymer coating
and take updrawn

Fig. 12.16 Double-crucible technique

Advantages
The following are the advantages of the double-crucible technique:
• It is used to produce fiber at low cost.
• It is possible to produce continuous fiber.
• Contaminations are avoided by using platinum crucible.

12.8 LOSS IN OPTICAL FIBERS

The selection of the right fiber for the transmission of optical signals requires the
transmission characteristics of optical fibers. The transmission characteristics are
the factors which affect the performance of optical fibers during the transmission of
signals. The following are the factors which affect the transmission of light waves
through optical fibers:
i) Attenuation
ii) Dispersion, and
iii) Bending

12.8.1 Attenuation
The loss of energy during transmission of signals through an optical fiber is known as
attenuation. When the optical signal is transmitted into the fiber, energy is lost mainly
due to electron absorption, Rayleigh scattering, material absorption and impurity
 Fiber Optics 12.17

absorption. The losses of energy due to the first three absorptions are known as intrinsic
absorption mechanism. On the other hand, the loss of energy due to impurity is known
as extrinsic absorption mechanism. Intrinsic absorption depends on the glass fiber,
while extrinsic absorption depends on impurity.

Attenuation
(dB km–1)
Impurity
absorption
100

10

Rayleigh
scattering
1
Material
Electron absorption
absorption

0.1
0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8
Wavelength ( m m)

Fig. 12.17 Attenuation as a function of wavelength of a silica-based glass fiber

The attenuation of optical signals in a fiber due to the above mechanism is shown in
Fig. 12.17. It is clear that the attenuation due to impurity is higher than core/cladding
materials. In intrinsic absorption, the scattering of light due to small irregularities
in the core structure leads to Rayleigh scattering. The irregularities in the core are
due to fluctuation in density which arises during the manufacturing of the fiber. The
Rayleigh scattering is more prominent only when the wavelength of the incident light
and dimension of the scattering mechanisms are of the same order. One can reduce
the loss due to Rayleigh scattering, by operating the fiber at a longer wavelength.
When longer-wavelength operation is used, the atomistic bonds associated with core
material absorb energy. The loss of energy due to core materials is known as material
absorption. Therefore, it is good to operate at wavelengths lower than 1.55 mm to
avoid significant loss in attenuation. The atom in the core material absorbs energy from
the incident light, and hence, it is excited to a higher energy state. This absorption is
known as electron absorption. The electron absorption takes place only in the lower
wavelength region and is shown in Fig. 12.17.

12.8.2 dispersion
When the light is transmitted through the optical film, broadening of the light pulse
takes as it travels a longer distance. The broadening of the light pulse during the long
12.18 Engineering Physics

transmission results loss of energy. This is known as dispersion, shown in Fig. 12.18a.
Let 1011 be the digital input pulse which is shown in Fig.12.18b. When the light
pulse is transmitted through the fiber, pulse broadening and overlapping take place
and hence, the output pulse is indistinguishable, as shown in Fig. 12.18c. It is known
as Inter Symbol Interface (ISI) and is more effective in digital communications than
analog communications.

1 0 1 1
Amplitude

Amplitude
1 0 1 1

Time Time
(a) Fibre input (b) Fibre output at a distance L1
Amplitude

No zero level
Composite pattern

ISI
Time
(c) Fibre output at a distance L1 > L2

Fig. 12.18 Brodening of light pulses

12.8.3 Bending
When an optical fiber is bent, radiative losses occur which are known as bending
losses. Bending losses are classified into two types, namely, microbending and
macrobending losses.
(i) Microbending Losses The radiative losses which arise when the fiber axis is
bent during the cabling of the fiber are known as microbending losses. During the
bending of the optic axis, the light rays are propagated into the cladding and hence,
lost due to radiation. The losses are mainly due to winding of the fiber cable over
spools or the pressure entered on the fiber by the adjacent fiber cables. The existence
of thermal contraction between the cladding and core materials also leads to a small
amount of loss. One can overcome the above losses by careful installation and
manufacturing.
(ii) Macrobending Losses A small distribution or imperfection in the fiber cable
leads to losses known as macrobending losses. The improper cabling of the fiber
may lead to high radius bends which are larger than the fiber diameter. Similarly,
an external force also causes a small bending in the fiber due to deformation of the
cable jacket. The above bends lead to loss of light radiation and hence, are known
as macro bending losses.
 Fiber Optics 12.19

B1
qA qB B2
qC
A
C
C

Fig. 12.19 Propagation of light in bending fiber

The schematic representation of bending losses is shown in Fig. 12.19. Consider
that a ray AB reaches the point B at an angle fA as guided waves. If there is no bend
in the fiber, it reaches the point D, and undergoes total internal reflection within the
core. On the other hand, the ray reaches the core cladding interface at the point C at an
angle fB which is smaller than the critical angle fC. Hence, the ray does not undergo
total internal reflection. Hence, the ray is lost at the point C.
One can determine the optical power loss by knowing the bend radius R and critical
radius Rc. fB Optical power loss
a exp (−R/Rc) (12.20)
2
where Rc ≈ a/(NA) , and the radius of the core.
Equation.(12.20) shows that the optical power loss depends on the radius of the
bends. Thus, one should take care to avoid even small microbends while bending
and cabling the fibers.

12.9. FIBER OPTICAL COMMuNICATION

Fiber optical communication systems consist of similar components like any
other communication systems. They consist of an information source, transmitter,
transmission medium i.e., optical fibers and receiver as shown in Fig.12.20.
Transmitter

Transmitter Analog
Drive Light Sourcer Optical
Signal Circuit LED/LASER Signal
Encoder

Receiver
Amplifier
Receiver
Analog Electrical Signal Photo detector Optical
Signal Signal Recorder PIN/PAD Signal
Decoder

Fig. 12.20 Block diagram of general communication system

12.20 Engineering Physics

Information Signal Source The signals available at the information source are either
voice or music or video signals. The original available signal at the signal source is
analog and it is communicated to the optical systems. In order to communicate through
optical fiber, the analog signals are converted into electrical signals. The converted
electrical signals are passed through the transmitter.
Transmitter The transmitter is a modulator device used to receive the energy from
the information source, and then modulate the electrical signal into a digital pulse for
propagation into an optical fiber. The modulator consists of a driver and a light source as
shown in Fig. 12.20. The driver receives the analog electrical signals and then converts
then into digital pulses. These digital pulses are converted into optical pulses after
passing through a light source. The light source, either light emitting diodes (LEDs) or
a semiconductor laser, is used for the conversion of electrical pulses into optical pulses.
The optical pulses are then focused into the optical fiber as shown in Fig.12.20.
Optical Fibers (or) Transmission Medium The optical fiber is used as a transmission
medium to propagate the received optical signals to the other end. The optical signal
is transmitted using the principle of total internal reflection.
Receiver The receiver is a demodulator device used to receive the optical pulses
from the optical fiber and then convert into electrical pulses. The demodulator consists
of photodetector, an amplifier and a signal resorder. The optical pulses which are
emerging from the optical fiber are received by the photodetector. The photodetector
converts the digital optical pulses into electrical pulses. The electrical signals are then
amplified by the amplifier and the amplified analog electrical signals are converted
into digital form. The optical analog signal contains the same information available at
the information source. A single optical fiber is used to transmit several optical signals
using a device known as multiplexer. The optical fibers are used to communicate
information from one place to another place without any loss of information on the
signals. The following are the advantages of optical fibers in communication.
Advantages of Optical Fibers in Communication
(i) A large number of telephone signals, nearly 15,000, can be passed through
optical fibers at a particular time without any interference; whereas in an
ordinary copper cable, only 48 signals are passed at a particular time.
(ii) The signal leakage is nil due to the total internal reflection, and hence,
there is no cross-talk.
(iii) It is one of the most ideal means for communication in explosive environ-
ments.
(iv) It gives foolproof communication during wartime.
(v) The cost of these cables is very low when compared to metal cables.
(vi) Optical fibers have immunity to adverse temperature, moisture and chemi-
cal reactions

12.10 SPLICING
In optical communication, the fiber link is one of the most important factors to be
considered. The splicing links between the two fibers are made in two ways, permanent
 Fiber Optics 12.21

bond or an easily demountable connection. The process of making permanent links

between the two fibers is known as splice. On the other hand, the processes of making
demountable links between fibers are known as connectors. Thus, the permanent links
between the fibers are made using splice for making long optical cables. The three
different methods used for optical fiber splicing are fusion, V-groove mechanical and
elastic-tube splicing.
(i) Fusion Splice In fusion splicing, the connections are made by thermal bonding.
The schematic representation of this method is shown in Fig. 12.21. The ends of the
fibers are first prealigned and later butted together. The above process is done either
through grooved fiber holder or under viewing through a microscope positions.

Electrode

Fusion Electrode
area
Fig. 12.21 Fusion splicer

The two ends of the fiber are positioned correctly and then heated with an electron
arc or a laser pulse. Thereafter, the fiber ends are melted and hence fused together. The
joint is then verified through a microscope. The loss due to fusion of fibers by splice
method is less than 0.06 dB.
(ii) V-groove Mechanical Splice In this method, a V shaped channel is grooved
using materials like silicon, plastic, ceramic or metal substrate. The fiber ends are first
butted together employing the V-shaped groove as shown in Fig. 12.22.

Fibers to be spliced

Fiber ends
clamped here V-grooved substrate

Fig. 12.22 Splicing – V – groove mechanical method

The two ends are bonded either using an adhesive material or cover plate. The loss in
this method purely depends on the fiber size and eccentricity of the fibers.

(iii) Elastic-tube Splice It is a unique method compressed to the other two methods.
In this method, the lateral, longitudinal and angular alignment ends are made
12.22 Engineering Physics

automatically. The experimental arrangement used for elastictube splice is shown in

Fig. 12.23.

Elastic Material
Capillary Tube

Fiber being inserted Inserted Fiber

Tapered Opening

Axial Alignment

Fig. 12.23 Splicing—elastic tube

It consists of a tube made of an elastic material. The central part of the elastic tube
splice is in the form of a capillary tube while the two ends of the tubes are tapered so
as to insert the fiber in an easy way. When the fiber ends are inserted into the tube from
either ends, the capillary-tube diameter expands. Thus, in turn, the elastic material
exerts a symmetrical force on the fiber. An automatic alignment of the axes of the two
fibers is achieved due to the symmetry features of the elastic materials. The loss which
arises in this method is same as that of the fusion splice method. However, the elastic
tube splicing method is used to splicing of varying diameters of optical fibers.

12.11 LIGHT SOuRCES FOR FIBER OPTICS

The light source is one of the most important devices used in optical communication. It
is used as a signal emitter, i.e., as a transmitter in communication systems. Generally,
the light source for fiber-optic communication requires certain characteristic features
and hence, an ordinary light source cannot be used for optical communication.
The following are the salient features required for a light source used in optical
communications:
• The emitted light should be highly monochromatic and coherent. Thus, a narrow
bandwidth will reduce the dispersion, and hence improve the transmission band
width.
• The intensity of the light should be high which will help it to travel longer dis-
tances.
• The light source should be small, compact and easily modulated with the fiber.
• The light source should be highly dispenable and of low cost.
• A good compactability of the emission characteristics of the light source and opti-
cal fibers should exist
The light sources which satisfies the above conditions are the Light Emitting
Diode (LED) and Injection Laser Diode (ILD). The above light sources work based
on the principle of electroluminescence, i.e., conversion of electrical energy into
light energy. The details of the light emitting and injection laser diodes are given
below in brief.
 Fiber Optics 12.23

12.11.1 Light Emitting diode

A Light Emitting Diode (LED) is a junction diode which emits light when it is forward
biased. The principle behind LED is electroluminescence. The process of injecting
electrons and holes respectively into the n-type and p-type materials is known as
injection electroluminescence.
Principle Electrons are charge carriers in a semiconductor, which absorbs energy
when an electric current is applied. The total energy of the charge carrier namely
electrons increases and hence, they are excited to the higher energy state (E2). The
excited electrons in the higher states stay only for few seconds. The electrons in their
higher energy states after the mean lifetime eventually return back to the ground state
energy level (E1). During this process, a spontaneous emission of the radiation of light
takes place. The energy of the emitted photon (hν) is equal to the energy of band gap
(Eg) of materials, i.e.,

Eg = h n (12.21)

where h is the Planck's constant and n, the frequency of emitted radiation.

c
Substituting the value of n = in Eq. (12.21), we get,
l
hc
Eg = (12.22)
l
where c is the velocity of light and l, the wavelength of light.
Equation. (12.22) can be written as,
hc
l= (12.23)
Eg

Equation. (12.23) gives the wavelength of the emitted photon.

Substituting the values of h = 6.62 ¥ 10-34 j s and c = 2.998 ¥ 108 m s-1 in Eqn. (12.23),
we get,
6.62 ¥10-34 ¥ 2.998 ¥ 108
The wavelength of the emitted photon l =
Eg

12400
l= A° (12.24)
Eg (eV )

Equation. (12.24) indicates that the wavelength of emitted photons depends on the
energy gap in the semiconductor. Thus, the energy gap of the semiconductor plays
a major role in selecting a suitable material for the LED applications. The type of
material is also an important factor to be considered for the material selection.
Operation LED is a forward biased p-n junction (Fig. 12.24). When it is forward
biased, suitably, it emits visible light. During the forward biasing, the charge carriers,
namely, electron and holes, are injected respectively into the anode and cathode regions.
The recombination of the charge carriers, namely, the electron from the n-side and the
holes from the p-side will take place at the junction.
12.24 Engineering Physics

p-type
�
� � � �
� � � � � �

Eg p-type
hv
� � � � �
� � � � � �
� � � � � � EC
� � � � �
hv

� � � � � � EV
� � � � �

Fig. 12.24 p–n junction spontaneous emission

During the recombination, the difference in the energy is given up in the form of heat
and light radiation, i.e., photons. The energy of light radiation depends on the strength
of recombination. Thus, the diode current controls electroluminous efficiency of the
LED. The emitted light is very small in intensity and is of the order of microampere
range. The emitted light colour depends on the types of materials used. For example,
materials like GaAs, GaP and GaAsP are used to produce infrared, red or green and
red or yellow colours. The general characteristic properties of common LED materials
are given in Table 12.4.

Table 12.4 Properties of LED materials

Materials Band gap Band gap Peak wave length Colour
Type (eV) (nm)
GaP:ZnO Indirect 1.78 700 Red
GaAsP Direct 1.99 650 Red
GaAsP: N Indirect 1.95 630 Red
AlGaAs Direct 1.91 650 Red
AlGaP Direct 2.00 620 Red
AlInGaP Direct 2.08 595 Amber
GaAsP:N Indirect 2.10 585 Yellow
AlInGaP Direct 2.18 570 Yellow – Green
GaP:N Indirect 2.20 565 Yellow – Green
GaP Indirect 2.26 555 Green
SiC Indirect 2.9 – 3.05 480 Blue
GaN Direct 3.5 450 Blue
 Fiber Optics 12.25

12.11.2 Surface Emitting LEd

The surface emitting LEDs (S-LED) are widely used in optical communication more
than normal LEDs. The schematic diagram for a high radiative surface emitting
LED is shown in Fig. 12.25.The major difference between the surface emitting
LED and junction diode is the relatively large plane surface on the two sides and
a narrow edge on the other side of the S-LED. Therefore, the emission of light
takes place from the upper surface and hence, it is known as surface emission
LED (S-LED).

Fiber Bonding material

Double
heterojunction
Circular Metalisation layer
etched well

Substrate

Confinement
layer
SiO2 isolation SiO2 isolation
Metalisation
Heat sink
Active region Circular metal contact

Fig. 12.25 S-LED for optical communication

The top surface of the S-LED is etched to form a well. Thus, it facilitates to improve
the light launching capability of the diode. The diameter of the light emitting area of
the S-LED is of the order of 20–50 mm.

810-nm peak
Relative output power

1.0

0.707 36nm
0.5

0
750 770 790 810 830 850 870
Emission wavelength (nm)

Fig. 12.26 Emission spectra of a GaAlAs LED

12.26 Engineering Physics

The smaller light emitting area of the S-LED facilitates to couple with an optical
fiber with a diameter higher than 100 mm. The emission spectra of a GaAlAs LED
shows a peak output power at 810 nm, as shown in Fig. 12.26.The spectral width of
the S-LED is 36 nm which is slightly broader for optical applications.

12.11.3 Injection Laser diode (ILd)

The injection laser diode is a semiconductor laser. It is more suitable for optical
communications due to their salient characteristic properties when compared to other
light sources. Properties like high monochromativity, high intensity, high power, narrow
bandwidth and smaller light emitting area are the key factors for ILD. These properties
help us to use ILD for many applications in optical fibers injected of a LED source.
The following are the essential features required for an ILD:
• It should give a continuous output at room and at higher temperatures.
• It should have a low threshold and high modulator bandwidth.
• It requires a highly stable and linear optical outputs.
• It requires a small light emissive area to improve the coupling.
• It requires a high coherency with narrow spectral width.

An ordinary LED can be converted into injection laser diode by providing an

additional arrangement known as optical resonant cavity. The optical resonant cavity
is used to amplify the light produced by the LED.

Stripe contact
Confined
emmission stripe

Reflecting p w
surfaces Reflecting
n surfaces

Fig. 12.27 Injection laser diode

The schematic representation of an ILD is shown in Fig. 12.27.The optical resonant

cavity is provided in the LED by providing a space between the two highly polished
ends to reflect the light. It is important to keep the dimension between the reflecting
ends and the wavelength of light in the same order. This will help to achieve the
multiple reflection of the light within this cavity and hence, the resonance condition.
One can achieve the reflecting planes by cleavageing the LED at an appropriate plane.
These cleavage planes are used as effective mirrors for light amplification to achieve
the resonance condition.
Working When the diode is forward biased, the emission of photons takes place due
to the recombination of electron-hole pairs. During the forward bias, the injection of
 Fiber Optics 12.27

electrons into the p-side and holes into the n-side leads to recombination of charge
carriers in a laser diode. The recombination results in emission of light. The population
inversion is required to achieve a high intense monochromatic laser beam. It is
achieved by producing a large current density at the junction between the electrons
and holes.

Relative output power

0.046 nm
.707

0
853 854
852
Emission wavelength (nm)

Fig. 12.28 Light emitting spectra for a cavity laser

The light emitted from the diode gets reflected from the cleavage plane back
and then, gets reflected into the first plane, and so on. This process stimulates the
recombination of more electron-hole pairs and hence, it produces an intense light
radiation. The resultant radiations are highly coherent and monochromatic, and hence
are more suitable for optical communications. The emission spectra produced by a
simple stripe constant laser are shown in Fig.12.28. It is evident from the spectra that a
peak power occurs at 853 nm with a spectral width of 0.046 nm. The observed spectral
width is very narrow than that of a LED spectral width. The comparison between LED
and ILD is given in Table 12.5.

Table 12.5 Comparison between LED and ILD

LED ILD
The emitted light is a little spatial or tempo- The emitted light is highly coherent.
ral coherent.
The power output is very less, i.e., of the The power output is very high, i.e., ofthe
order of several hundred microwatts. order of several millwatts.
The radiation level is very low. The radiation level is very high.
It is difficult to obtain a narrow spectral The spectral width is very narrow, and
width which is required for communications. hence, more suitable for optical commu-
nications.
12.28 Engineering Physics

Due to the larger light emitting area, the light Due to smaller light emitting area, the light
energy transmitted from LED into the fiber energy transmitted from the ILD into the
is less. fiber is high.
It requires a driving circuiting. It doesn’t require a driving circuiting.
It is used in many applications using multimode It is more suitable for single-mode fiber
fibers. applications.

12.12 PHOTOdETECTORS
The device which is used to convert light signals into electrical signals is known
as photodetector. Photodetectors are required at the receiving end of an optical
communication link. When light energy is incident on the photodetector, it converts
the varying optical energy easily into an electrical current. The essential requirements
for a detector are high sensitivity, high reliability, high stability, short response time,
low bias voltage and large electrical response. The optical detectors are of three types,
namely, photo-emissive, photoconductive and photovoltaic. Generally, photo-emissive
detectors are used in optical communication. In photo-emissive detectors, when a light
is incident on the detector, it emits electrons.

12.12.1 Photoconductors
The principle behind the working of a photodetector is conductivity. A simple
photoconductor is shown in Fig. 12.29. It is made up of semiconductor material. When
a photon of energy hγ is incident on the material, the incident photon generats electron-
hole pairs. The electrons and holes are moved to the opposite charge contacts and
hence, generate a photocurrent. The simplest photodetector is the photo conductor.

Ohmic content

� hv
V
� Incident
radiation

l
Load

w
d

Fig. 12.29 Photoconductor

A photon incident on the surface, having an energy greater than or equal to the band
gap Eg of the semiconductor material, will excite an electron from the valence band
into the conduction band. This process generates a hole in the valence band. Thus, an
electron-hole pair is generated by the optical photon. These photogenerated carriers
increase the conductivity, which leads the current in the external circuit.
 Fiber Optics 12.29

12.12.2 Photodiode
A reverse-biased p-n junction is a photodiode. The schematic diagram of a p-n
photodiode is shown in Fig. 12.30. It consists of a thin p-type layer which is deposited
on an n-type substrate. The incident light enters through the p-type layer. When a
reverse bias is applied to the diode, the majority carriers are attracted at the region
where the n and p type region joins.

Incident Light

hv

1�m p

Metal contacts
n

Fig. 12.30 p-n junction—Photodiode

Thus, it creates a thin region around the junction, known as the depletion region.
The applied reverse-bias voltage to the diode is available as a forward bias to the
minority carriers. Therefore, the minority carrier, namely, electrons in the p-type and
holes in the n-type are attracted towards the junction. The motion of minority carriers
forms a current known as leakage current. This leakage current is also known as dark
current. The dark current in a photodiode depends on the reverse-bias voltage, ambient
temperature and the series resistance in the circuit.
When a light is incident on the diode, a photon of energy hγ is absorbed in the
deflection layers. Thus, it emits an electron from the valence band to the conduction
band and creates a hole in the valance band. As a result, an electron-hole pair is generated
due to the optical photon. These electron-hole pairs are known as photocarriers. The
photocarrier produces an electronic current in the external circuit, in addition to the
already existing dark current. Therefore, an increase in the reverse-bias current takes
place due to optical excitations. In order to avoid this, one can increase the width of
the depletion region so as to absorb a large quantity of incident light.
The important characteristic features of a photodetector are, quantum efficiency
and response speed. The number of electron-pairs generated per incident photon of
energy hυ is known as quantum efficiency and is given by

number of electron - hole pairs generated

h= 12.25)
number of incident photon ns

Where Ip/Iq is the number of electron-hole pairs generated and N, the number of
incident photons.

Therefore, h=
(I p / Iq ) (12.26)
N
12.30 Engineering Physics

The photocurrent generated per unit optical power is known as responsibility R and
is given by
Ip
R= (12.27)
P0

where Ip is the output photocurrent and P0, the incident optical power.
The performance of the photodiode is evaluated based on the responsibility. For
a particular wavelength, the responsibility is directly proportional to the quantum
efficiency.
Drawbacks
• Many of the incident photons do not contribute to the photocurrent, since when it
enters the depletion region, it passes through the n-region without creating electron-
hole pairs. Hence, the responsibility or the conversion efficiency of the diode is
low.
• It has a limited frequency response due to limited junction capacitance.
• The lifetime of the electron-hole pairs is very short. Thus, the response of the diode
to the incident light is very fast.

12.12.3 p-i-n Photodiode

In order to improve the sensitivity of a photodiode, a very lightly doped intrinsic region
is introduced between the p- and n- type regions in a p-n diode. The intrinsic region
doped on p- and n-type p-n diode is known as p-i-n photo diode. The cross-sectional
view of a p-i-n photodiode is shown in Fig.12.31.

Incident Light

hv

i l

n+
Metal contacts

Fig. 12.31 p-i-n photodiode

When the energy of the incident photon is equal or greater than the band gap energy,
the energy of the photon is used to excite an electron from the valence band to the
conduction band. This process creates an electron-hole pair carrier. These carriers are
generated in the depletion region, where in the most of the incident lights are absorbed.
An increase in the width of the depletion layer region increases the absorption of
photons. As a result, it generates a large photocurrent leading to increase the sensitivity
of the diode. A typical energy band diagram for a p-i-n photodiode is Fig. 12.32.
 Fiber Optics 12.31

Photogenerated
electron
�
Band gap Eg p

Conduction band
i
Photon n
hv � Eg
+
Photogenerated
hole Valence band
Depletion
region

Fig. 12.32 p-i-n photodiode—energy-band diagram

Drawbacks
• In p-i-n photodiodes, the response speed is lower than that of a p-n photodiode.
• One can increase the quantum efficiency by increasing the thickness of the deple-
tion region. An increase in the thickness of the deplection layer decreases the
response speed. Therefore, an optimisation is required between the quantum
efficiency and response speed.

12.12.4 Avalanche Photodetector

The Avalanche Photodiode (APD), a more sophisticated photodetector, overcomes the
drawbacks of the p-i-n diode. The avalanche photodetector includes an internal gain
mechanism and hence, the photoelectric current is amplified within the detector. A
photodiode which is fabricated with special structures and materials is known as an
avalanche photodiode. The schematic representation of the avalanche photodetector
is shown in Fig. 12.33.
Incident
radiation

hv

+ n
V� p

Load p+

Fig. 12.33 Avalanche photodetector

The avalance photodetector is very useful to detect light rays of very low intensity.
When the photodetector is operated at the reverse bias voltages, an increase in the
voltage leads the diode to reach a threshold value. The photogenerated electrons in the
depletion layer acquire sufficient energy from the internal field to liberate secondary
electron-hole pairs. The process of generation of secondary electron-hole pairs is known
12.32 Engineering Physics

as impact ionisation. The secondary electron-hole pair produces further ionization

due to drift in opposite directions along with primary carriers. In the presence of field
intensity, the number of electrons generated multiplies exponentially. This phenomenon
is known as avalanche effect.
Drawbacks
• Limitation in the operation speed is due to high transit of the carriers.
• Existence of noise in the output signal is due to the random variation in the avalanche
multiplication factor.
• It is not possible to use an APD in high-intensity light optical communication.

12.13 FIBER OPTICAL SENSOR

An optical sensor is a device which converts one form of physical parameter into
another form of physical parameter that can be conveniently and accurately measured.
Fiber-optic sensors consist of an optical source, waveguides, modulator and optical
detector. A typical fiber-optical sensor is shown in Fig 12.34.

Transmitting fibre Receiving fibre

Source Modulator Detector

Fig. 12.34 Block diagram of a fiber-optic sensor

The optical fibers are used as waveguides to guide the optical signals, and hence
are known as waveguides. The optical source which produces the optical signal is
coupled with the transmitting fiber. The optical signals are received by the transmitting
fiber and then they are connected to the modulator. The modulator modulates the
optical signals for any one of the properties such as wavelength, intensity and phase,
depending on the requirements. The modulated signals are received by the receiving
fiber and then connected to the detector. The modulated optical signals are detected
by the optical detector. Fiber-optic sensors find wide applications in different fields
when compared with normal sensors. Generally, LED or LASER is used as an optical
source for sensor applications.

12.14. CLASSIFICATION OF OPTICAL SENSORS

The fiber-optic sensors are classified into two types based on modulation, namely,
(i) active or intrinsic sensors, and (ii) passive or extrinsic sensors.

12.14.1 Active or Intrinsic Sensor

In an active or intrinsic sensor, the physical parameters to be sensed act directly on the
fiber with respect corresponding modulation in the transmitted physical parameter.
The change into the optical propagation is measured. Simultaneous sensing and
measurement are possible in active sensors. Based on modulation properties, active
sensors are further classified as intensity-modulated, phase-modulated, polarisation-
 Fiber Optics 12.33

modulated and wavelength modulated sensors. The intensity-and phase-modulated

sensors find wide applications than any other optical sensors.
(i) Intensity-Modulated Sensors In intensity-modulated sensors, the change in
intensity of light due to absorption or emission of light or change in refractive index
are measured. These sensors are used to measure physical parameters like pressure,
displacement, refractive index, temperature and level of liquids.
(ii) Phase-Modulated Sensors In phase-modulated sensors, the change in phase
of light signals due to the interference pattern produced between the transmitted
and reference signals is measured. Sensors such as hydrophone, gyroscope, and
magnetometers are based on this principle.
(iii) Polarisation-Modulated Sensors The principle behind a polaristion-modulated
sensor is the polarisation state of guided signal by the variable. The application of
these sensors includes measurement of magnetic field and the current measurement
in high-voltage transmission lines.
(iv) Wavelength-Modulated Sensors The principle behind this sensor is the spectral
dependent variation of absorption and emission by the variable. These sensors are
used to measure temperature.

12.14.2 Passive or Extrinsic Sensor

In extrinsic optical fiber sensors, separate sensing elements and optical fibers are used as
guiding media, i.e., to transmit radiation to and fro from the point or region to be sensed.
The modulation of the light transmitted through the fiber is carried out externally either
by induced or environmental changes. Thus, the modulated signal is transmitted through
a second fiber. In a passive sensor, the fibers are used only as transmission media.

12.14.3 Pressure or Temperature Sensor

The pressure sensor is an example of active sensors. The principle behind the pressure
sensor is interference, i.e,, the path difference between the reference beam and the
beam passing through the environment. A schematic representation of a pressure sensor
is shown in Fig.12.35. It consists of a laser source, beam splitter, reference fiber, test
fiber and optical components.
S B
LASER
L1
Reference
fibre
L2
Measuring
environment

L3
Interference
pattern

Fig.12.35 Fiber optic sensor—pressure sensor

12.34 Engineering Physics

High-energy laser light from the source S is made incident on the beam splitter
B, which is kept at an angle of 45o to the incident light. The beam splitter splits
the incident light into two components. The light beam emerging out of the beam
splitter is made to pass through the reference fiber with the help of a converging lens
L1. The reference fiber is protected from environmental changes. Thus, the incident
light emerges out of the reference fiber at the other end without any change in phase.
The beam which is reflected from the beam splitter is made to pass through the test
fiber using the converging lens L2. The test fiber is exposed to the environment.
Any change in the environment, i.e., pressure or temperature makes a corresponding
change in the phase of the laser light which is passes through the test fiber.
The laser light emerging from the test fiber is made incident on the lens L3.
Therefore, a path difference between the light emerging from the reference and test
fibers is observed. The observed path difference between the reference and test beam
is due to the change in parameters such as pressure or temperature on the test-fiber
environment. The path difference between the two beams produces an interference
pattern after passing through the lens L3. The observed interference pattern is used to
measure the change in pressure or temperature accurately.

12.14.4 displacement Sensor

The displacement sensor is an example of a passive sensor. In this method, two
separate sensors are used one for transmitting the light on the moving object and the
other, to receive the reflected light from the object. A schematic representation of a
displacement sensor is shown in Fig 12.36.

S
T

R
D

Fig. 12.36 Fiber optic sensor—displacement sensor

The displacement sensor consists of a light source S, a transmitting fiber T, a

receiving fiber R, an object O and the detector D. The transmitting and receiving
fibers consist of a bundle of fibers which are coupled properly to the source and
detector. The light energy from the He–Ne laser source is made incident on the
moving object after passing through the transmitting fiber. The light reflected from
the moving object O is received by the receiving fiber and the same is detected at
the other end by the detector. The change in the magnitude of the light detected
by the detector is used to measure the movement of the object. For example, an
increase in intensity of light is noticed when the object is moved towards the sensor.
On the other hand, if the object is moving away from the sensor, the intensity of
the light decreases. Thus, the change in intensity of the light is used to measure the
displacement of the object.
 Fiber Optics 12.35

12.14.5 Advantages of a Sensor

(i) It is very sensitive and gives accurate results.
(ii) It is very small in size, volume and weight.
(iii) It is very safe in explosive environments and resistant to nuclear or
ionizing radiations.
(iv) It is easy to couple with optical systems, and hence used in remote sensing
applications.
(v) It is chemically inert, and hence it is used in chemical and biomedical
instrumentations.
(vi) The sensed signal is immune to electromagnetic interference and radio
frequency interference.

12.15 FIBER ENdOSCOPE

The principle behind the working of a fiber endoscope is the transmission of light to
illuminate the inner structure of an object under study and to view or collect the image
of the object. The structure of the flexible fiber endoscope is shown in Fig.12.37. It
consists of bundles of flexible inner and outer fibers. The inner fiber is used to illuminate
the structure of the object under study. Similarly, the outer fiber is used to collect the
reflected light from the illuminated area of the object.

Outer fibre conduct

light to object
Object

Inner fibre conduct

image to observer

Fig. 12.37 Flexible fiber endoscope

The reflected light helps to view the structure of the objects to be viewed. One end of
the optical fiber is focused an the object while the other end is used as a viewing end.
An optical light source is attached at the viewing end of the endoscope. The light from
the optical source is shone on into the object to be viewed. Then, the reflected lights
from the surface of the object are viewed through the telescope attached to the end of
the endoscope. The telescope is used to obtain a better image of the object.
Applications
• It is used to study the interior of the lungs and other parts of the human body.
• It is used to study tissues and blood vessels which are far below the skin.
• It is a non-destructive method.
12.36 Engineering Physics

12.16 ENGINEERING APPLICATIONS OF OPTICAL

FIBERS
The following are the engineering applications of optical fibers:
(a) Telecommunications
• It is used for long distance transmission or communication of sound signals.
• It is used to communicate a large number of telephone signals, more than 1,5000,
without any interference; whereas an ordinary copper metal cable is used only for
48 signals at a particular time.
• During optical communication, the signal leakage is due to total internal reflection.
• Therefore, there is no cross talk in fiber optic communication.
• It is an ideal communication tool to use in explosive environments.
• It is highly immune to adverse temperature, moisture and chemical reactions.
• It is used as a secure communication medium during wartime.
• Optical cables are low in cost when compared to metal cables.
(b) Computer Networks
• It is used as a communication device in Local Area Networks (LAN).
• The internal computers are connected to the server through optical cables to avoid
the loss of data during transmission of signals.
• It is used to connect output devices like printers to the computer/server.
• Intra-and inter-net connectors are made through optical fibers.
• The operation of radars, digital cameras, etc., are monitored and controlled using
optical fiber cables which are connected to the source computers.

(c) Cable Television

• It is used to transmit the TV signals in digital form after proper modulation.
• It is used to transmit a large number of TV signals without overlapping.
• The loss of signal is very less during long transmission, and hence, it produces
good quality TV signals without overlapping.

(d) Delay Lines

• It is used in electronics to produce the required delay in microwave signal processing.
• It transmits the signal without any loss due to attenuation.

Keypoints to Remember

• The principle behind optical fiber communication is total internal reflection.

• According to Snell’s law, the relationship between angles of incidence and refrac-
tion is
n1 sin f1 = n2 sin f2
 Fiber Optics 12.37

• When the angle of incidence is greater than the critical angle, the light rays are
reflected within the originating medium. This phenomenon is known as total in-
ternal reflection.
• Different kinds of propagation of light rays takes place in optical fibers, namely,
meridional and skew rays.
• The ray which passes through the axis of optical fibers is known as meridional
rays.
• The rays which do not pass through the axis of optical fibers are known as skew
rays.
• The angle of acceptance is the limiting angle for the incident rays, wherein the
incident light rays undergo total internal reflection. When the angle of incidence is
greater than the acceptance angle, total internal reflection will not take place.
• The inner glass cylinder of the optical fiber is known as core, which has high
refractive index (n1) than the cladding.
• The seal which covers the core is known as cladding. The refractive index of a
cladding (n2) is lower than that of the core material.
• The measurement of the amount of light rays which is accepted by the optical
fiber is known as Numerical Aperture (NA).
• The number of modes propagated through an optical fiber is equal to 4.9
(d NA/l)2
• The condition to propagate in single mode through an optical fiber is d ≤ (0.76
NA) l.
• The condition to propagate in multimode through an optical fiber is d > (0.76/
NA) l.
• There are two different types of fibers, namely, glass and plastic fibers.
• Glass fibers are obtained by fusing metal oxides and silica glasses.
• Plastic fibers are made of plastic materials.
• Optical fibers are classified as single and multimode fibers based on the number
of modes of propagation.
• In a step index fiber, the refractive indices of air, core and cladding varies step by
step.
• In a graded index fiber, the refractive index of the core varies radially from the
fiber axis.
• Based on the refractive index profile, optical fibers are classified as step index and
graded index fibers.
• The time difference between the entry at one end and the arrival at the other end
is known as intermodal dispersion.
n1 - n2
• The core cladding index difference is equal to D = The loss of light energy
n1
when it is propagated through an optical fiber is known as attenuation.
• The loss of optical energy when it is propagated through an optical medium due to
the scattering, materials absorption and electron absorption is known as dispersion.
12.38 Engineering Physics

• A transmitter, or modulator, is used to convert the input analog electrical signals

into electrical pulses and then to digital optical pulses.
• LED and ILD are used as sources in optical communication.
• The principle behind LED is electroluminescence.
• The process of injecting electrons and holes respectively into n- and p-type mate-
rials is known as electroluminescence.
• In a surface emitting diode, light emission takes place from the upper surface of
the diode.
• Injection laser diode is an ordering laser diode added with an optical resonating
cavity.
• Optical resonating cavity is used to amplify the intensity of light emitted by the
laser diode.
• The loss in light radiation due to bending of optical fiber is known as bending
losses.
• The radiative losses which arise when the fiber axis is bent during cabling is
known as microbending loss.
• The p-i-n photodiodes and avalanche photodiodes are used as photodiodes in opti-
cal communication.
• The device which is used to convert light signals into electrical signals is known
as photodetector.
• The leakage current or dark current in a photodiode is formed due to attraction of
minority carriers towards the junction.
• An avalance photodetector is a photodetector which includes internal gain mecha-
nism to amplify the photoelastic current.
• A receiver or demodulator is used to convert the digital optical pulses and then
convert then into analog electrical signals.
• In optical communication, the LED and semiconductor lasers are used as optical
light sources.

Solved Problems

Example 12.1 Estimate the critical angle when the core refractive index is
1.48 and the relative refractive index is 2%.

Given Data
n2 - n1
The relative refractive index Δ= = 2%
n1
The refractive index of core n1 = 1.48
 Fiber Optics 12.39

Solution:
n2 - n1
The relative refractive index Δ=
n1
n2
= -1
n1
n2
Therefore, = 1-Δ
n1
Substituting the value of Δ, we get,
= 1–0.02
= 0.98
We know that the critical angle fc is given

n2
fc= sin-1
n1
Substituting the value, we get,
= sin-1(0.98)
= 78.52˚
The critical angle of the fiber is 78.52˚.

Example 12.2 A fiber has a diameter of 6 mm and its core refractive index
is 1.47 and for cladding, it is 1.43. How many modes can propagate into the
fiber if the wavelength of the source is 1.5 mm?.
Given Data
The diameter of fiber d = 6 × 10−6 m
The wavelength of laser source l = 1.5 × 10−6 m
The refractive index of core n1 = 1.47
The refractive index of clad n2 = 1.43

Solution
The numerical aperture is NA = n12 - n22

Substituting the values of n1 and n2, we get,

= 1.47 2 1.432
= 0.34
The number of modes propagating through the fiber
2
È d NA ˘
N = 4.9 Í
Î l ˙˚
12.40 Engineering Physics

Substituting the values, we get,

2
È 6 ¥10-6 ¥ 0.34 ˘
= 4.9 Í -6 ˙
Î 1.5 ¥10 ˚
= 9.06
The number of modes that can be allowed through the fiber is 9.
Example 12.3 Find the numerical aperture of an optical fiber having a core
refractive index of 1.55 and a cladding refractive index of 1.50.

Given Data
The refractive index of core n1 = 1.55
The refractive index of clad n2 = 1.50

Solution
The numerical aperture is NA = n12 - n22

Substituting the values of n1 and n2, we get,

= 1.552 - 1.502

= 0.391
The numerical aperture of the fiber is 0.391.

Example 12.4 Find the numerical aperture of an optical fiber having a core
refractive index of 1.6 and a cladding refractive index of 1.50

Given Data
The refractive index of core n1 = 1.6
The refractive index of clad n2 = 1.5

Solution
The numerical aperture is NA = n12 - n22
Substituting the values of n1 and n2, we get,

= 1.62 -1.52
= 0.55677
The numerical aperture of the fiber is 0.55677.

Example 12.5 A step-index fiber has a numerical aperture of 0.26, a core

refractive index of 1.5 and a core diameter of 100 mm. Calculate the refractive
index of the cladding, angle of acceptance and the maximum number of modes
with a wavelength of 1 mm that the fiber can carry.
 Fiber Optics 12.41

Given Data
The refractive index of core n1 = 1.5
The numerical aperture NA = 0.26
The diameter of core in fiber d = 100 ¥ 10-6 m
The wavelength of source l = 1 ¥ 10-6 m

Solution
We know that, the numerical aperture is NA = n12 - n22

Substituting the values of n1 and NA, we get,

0.26 = 1.52 - n2 2

(Or)
2 2
0.0676 = 1.5 - n2
(Or) n22 = 2.1814
The refractive index of cladding is n2 = 1.4772
im = Sin ( NA)
-1
The acceptance angle is given by
Substituting the values of NA, we get,
im = Sin (0.26)
-1

im = 15.07º
The number of modes propagating through the fiber
2
È d ¥ NA ˘
N = 4.9 Í
Î l ˙˚
Substituting the values, we get,
2
È100 ¥10-6 ¥ 0.26 ˘
= 4.9 Í ˙
Î 1¥10-6 ˚
= 3312.4
The number of modes that can be allowed through the fiber is 3312.
Example 12.6 A signal of 100 mW is injected into a fiber. The outcoming
signal from the other end is 40 mW. Find the loss in dB.

Given Data
Power injected into fiber P1 = 100 mW
Power ejected into fiber P0 = 40 mW
Solution
The loss in dB = 10 log(100/40)
= 3.979 dB
The loss in dB is 3.978.
12.42 Engineering Physics

Example 12.7 Calculate the refractive indices of core and cladding materials
of an optical fiber if its numerical aperture is 0.22 and relative refractive index
difference is 0.012.

Given Data
The relative refractive index Δ = 0.012
The Numerical aperture of fiber NA = 0.22
Solution
NA
The refractive index of core n1 =
2D
Substituting the values, we get,
0.22
=
2 ¥ 0.012
= 1.4201
The refractive index of cladding n2 = n1(1−Δ)
Substituting the values, we get,
= 1.4201 × (1 - 0.012)
= 1.4031
The refractive index of the fiber core is 1.4201 and cladding is 1.4031.

Examples 12.8 Calculate the refractive indices of the core and gladding
of a fiber from the following data. The numerical aperture is 0.027 and relative
refractive index is 0.015.
Given Data
The relative refractive index Δ = 0.015
The Numerical aperture of fiber NA = 0.27
Solution:
NA
The refractive index of core n1 =
2D

Substituting the values, we get,

0.27
=
2 ¥ 0.015
= 1.558

The refractive index of cladding n2 = n1(1−Δ)

Substituting the values, we get,
= 1.558 × (1−0.015)
= 1.534
The refractive index of the fiber core is 1.558 and cladding is 1.534.
 Fiber Optics 12.43

Examples 12.9 Calculate the total number of guided modes propagating

in the multimode step index fiber having a diameter of 60 mm and numerical
aperture of 0.25, operating at a wavelength of 2.7 mm.
Given Data
The numerical aperature NA = 0.25
The diameter of core in fiber d = 60 × 10−6 m
The operating wavelength l = 2.7×10−6 m

Solution
We know that, the number of guided modes propagating through the fiber
2
È d ¥ NA ˘
N = 4.9 Í
Î l ˙˚
Substituting the values, we get,
2
È 60 ¥10-6 ¥ 0.25 ˘
= 4.9 Í -6 ˙
Î 2.7 ¥10 ˚
= 151.23
The number of guided modes that can be allowed through the fiber is 151.

Example 12.10 Calculate the total number of guided modes propagating in

the multimode graded index fiber having the diameter of 50 mm and the numerical
aperture of 0.2 and operating at a wavelength of 1mm.
Given Data
The numerical aperture NA = 0.2
The diameter of core in fiber d = 50 ×10−6 m
The operating wavelength l = 1 × 10−6 m
Solution
We know that, the number of guides modes propagating through the step index
fiber 2
È d ¥ NA ˘
N Step = 4.9 Í
Î l ˙˚
Substituting the values, we get,
2
È 50 ¥10-6 ¥ 0.2 ˘
= 4.9 Í -6 ˙
Î 1¥10 ˚
NStep = 490

The number of guide modes propagating through the graded index fiber is
N = N step
grad
2
Ngrad = 245 modes
12.44 Engineering Physics

The number of modes that can be allowed through the graded index fiber is 245.

Example 12.11 Compute the numerical aperture, acceptance angle and

the critical angle of the fiber having a core refractive index n1 = 1.50 and the
refractive index of the cladding n2 = 1.45

Given Data
The refractive index of core n1 = 1.55
The refractive index of clad n2 = 1.50

Solution
n2 - n1
We know that the relative refractive index Δ=
n1
Substituting the values, we get,
1.5 -1.45
=
1.5
Δ = 0.033

The relative refractive index of the fiber is 0.033.

The Numerical aperture is given by, NA = n1 2D
Substituting the values, we get,
NA = 1.5 ¥ 2 ¥ 0.033

= 0.387

im = Sin ( NA)
-1
The acceptance angle is given by
Substituting the values of NA, we get,
im = Sin -1 (0.387 )

im = 22.78º

The acceptance angle of the fiber is 22.78º

We know that, the critical angle fc is given
Ên ˆ
fc = Sin -1 Á 2 ˜
Ë n1 ¯
Substituting the value, we get,
Ê 1.45 ˆ
= Sin -1 Á
Ë 1.5 ˜¯
= 75.2º

The critical angle of the fiber is 75.2º.

 Fiber Optics 12.45

Objectives Questions

12.1 The refractive index of the materials is equal to

a) c2/v b) cv
c) c/v2 d) c/v
12.2 According to Snell’s law
n1 sin f1 n1 sin f2
a) = b) =
n2 sin f2 n2 sin f1

n1 n1 sin 2 f1
c) = sin f1 + sin f2 d) =
n2 n2 sin 2 f2

12.3 Conditions to obtain the total internal reflection is that the refractive index
of the core is slightly ____________ than that of cladding material.
12.4 Numerical aperture of an optical fiber is equal to

n1 - n22 n1 - n2
a) b)
n1 n1

n1 + n2 n12 + n22
c) d)
n1 n12
12.5 The condition to propagate single mode through an optical fiber is
0.76 0.76
a) d = l b) d < l
NA NA
0.76 0.76
c) d ≥ l d) d £ l
NA NA
12.6 The number of modes passing through an optical fiber is
1/ 2
Ê d NA ˆ
a) N ª 4.9 ÊÁ
d NA ˆ
b) N ª 4.9 Á
Ë l ˜¯ Ë l ˜¯

2
Ê d NA ˆ Ê d NA ˆ
c) N ª 4.9 Á d) N ª 4.9 Á 2 ˜
Ë l ˜¯ Ë l ¯

12.7 The condition to propagate multimode through an optical fiber is

a) d = 0.76 l b) d < 0.76 l

NA NA

c) d > 0.76 l d) d £ 0.76 l

NA NA
12.46 Engineering Physics

12.8 ____________ is an example for glass fiber.

12.9 Single-mode fiber propagates the multimodes. (True/False)
12.10 ___________ mode is propagated through the multimode fiber.
12.11 In a step index fiber, the refractive index of air, core and cladding varies
step by step manner.
12.12 The core–cladding index is equal to

n2 - n1 n1 - n2
a) Δ = b) Δ = >
n1 n1

n2 + n1 n2 + n1
c) Δ = d) Δ =
n1 n2

12.13 In optical communications_____________ is used as light source.

12.14 In optical communications _________________ and __________are used
as a photodiodes.

KEY:
12.1 d) 12.2b)
12.3 higher 12.4b)
12.5 d) 12.6c)
12.7 c) 12.8GeO2 – SiO2 – Core and SiO2 –
Cladding
12.9 False 12.10 Multi
12.11 True 12.12 b)
12.13 LED and semiconductor 12.14 pin, photodiode

Exercises

12.1 (i) Find the numerical aperture and the acceptance angle qa for a step
index fiber for which n1 = 1.5, n2 = 1.48, and n0 = 1.
(ii) Find the numerical aperture and the acceptance angle qa for a step
index fiber for which n1 = 1.5, n2 = 1.48, and n0 = 1.5.
12.2 The refractive index of core and gladding materials of an optical fiber are
1.54 and 1.5 respectively. Calculate the numerical aperture of the optical
fiber.
12.3 A step-index fiber has a numerical aperture of 0.16, a core refractive index
of 1.45 and a core diameter of 90 mm. Calculate the critical angle at the
core–cladding interface.
 Fiber Optics 12.47

Short Questions

12.1 What is the basic principle of fiber optics?

12.2 Define total internal reflection.
12.3 List the conditions to be satisfied for total internal reflections.
12.4 Explain the classification of optical fibers.
12.5 Give an example for glass fiber along with the core and cladding
compositions.
12.6 Define acceptance angle.
12.7 Define numerical aperture
12.8 What is meant by attenuation?
12.9 What is intrinsic absorption?
12.10 What is dispersion?
12.11 List any four applications of optical fiber
12.12 Explain how fiber is drawn from double crucibles.
12.13 What is a detector?
12.14 Mention the advantages of fiber optic sensor
12.15 Differentiate between active and passive fiber optic sensors.
12.16 What is a connector?
12.17 What is a plastic fiber?
12.18 Define step index fiber.
12.19 What is meant by a graded index fiber?
12.20 Distinguish between the single mode and multimode fiber.
12.21 Differentiate step index fiber and graded index fiber.
12.22 Define intermodal dispersion.
12.23 What is splicing?
12.24 List out different type of splicing
12.25 What is a connector?
12.26 What type of source is used for optical communications?
12.27 Why repeater is used in fiber optics?
12.28 What is the function of a multiplexer?
12.29 Mention any four salient features required for an optical light source.
12.30 What is LED?
12.31 Expand LED.
12.32 Explain injection electroluminescence.
12.33 What is the principle behind LED?
12.34 What is meant by surface emitting LED?
12.35 Explain microbending losses.
12.36 Explain macrobending losses.
12.37 Differentiate micro and macrobending loss in optical communications.
12.38 What is meant by optical resonant cavity?
12.39 What is meant by photoconduction?
12.40 Explain photoemission.
12.41 What is meant photodiode?
12.48 Engineering Physics

12.42 Explain leakage current.

12.43 Define quantum efficiency?
12.44 Mention any four drawbacks of a p-n photodiode.
12.45 Explain p-i-n photodiode.
12.46 What are the drawbacks of p-i-n photo-diode?
12.47 What is meant by photodetector?
12.48 Mention any four drawbacks of an APD.
12.49 What are the advantages of optical fibers in communication over ordinary
cable communication?
12.50 Sketch the block diagram of fiber optic communication system.
12.51 What is fiber endoscope?
12.52 Give the application of fiber optic sensor
12.53 What is meant by waveguide?
12.54 What is meant by light source in fiber optical communication?

descriptive Questions

12.1 Write short notes on the following:

(a) Acceptance angle
(b) Numerical aperture
(c) Step index fiber
(d) Graded index fiber
12.2 Write an essay about the working of fiber optic communication system
12.3 Define numerical aperture and derive an expression for numerical aperture
and angle of acceptance of fiber interms of refractive index of core and
cladding.,
12.4 Write an essay on the basic principle, preparation and advantages of optical
fibers.
12.5 Explain with basic principle, the construction and working of one type of
optical fiber sensor
12.6 Describe the classification of optical fibers based on refractive index profile
and propagation modes.
12.7 Give an account on fiber optic temperature sensor and fiber optic displace-
ment sensor.
12.8 Describe the working of the displacement and Magnetic field optical fiber
sensor.
12.9 Explain double crucible method of fiber manufactures?
12.10 Explain the construction and working of fiber optic medical endoscope.
12.11 Write an essay about the light source and detectors used in fiber optical
communication.
 Chapter

Crystal Structure
13

OBJECTIVES
• To develop knowledge in crystal structure and its properties
• To explain the fundamental terms in crystallography
• To discuss the various crystal systems according to Bravais lattices
• To discuss Miller indices in crystal planes and their applications
• To discuss the importance of packing factor in crystal structure
13.1
i Crystallography deals with the study of all possible types of crystals
n and determination of the actual structure of the crystalline solids by
t X-rays, neutron beams or electron beams. Solids are classified into two
categories based on the arrangement of atoms or molecules. They are
r given below.
o (i) Crystalline solids, and
d (ii) amorphous solids
u
c
t
i
o
n

13.1.1 crystalline Solids

In crystalline solids, atoms are arranged in a regular manner, i.e., the atomic array is
periodic. Each atom is at regular intervals along arrays in all directions of the crystal.
The crystalline solids have directional properties and are also called as ‘anisotropic
substances’. The structure may be made up of metallic crystals or non-metallic crystals.
The metallic crystals find wide application in engineering because of their strength,
conductivity, reflection, etc.
Example of metallic crystals are copper, silver, aluminium, tungsten, etc.
13.2 Engineering Physics

13.1.2 Amorphous Solids (non-metallic crystals)

In amorphous solids, the atoms or molecules are arranged randomly. The amorphous
solids have no regular structure (no directional property) and hence they are known
as isotropic substances. Such materials have no specific electrical property, but have
only plasticity. Examples are glass, plastics and rubber.

13.2 FundAMEntAL tErMS oF

crYStALLoGrAPHY
The structure of all crystals is described in terms of lattice with a group of atoms,
each in a lattice point. The group is termed as basis. The basis is repeated in space
to form the crystal structure. Let us now consider the various crystallographic terms
in detail.

13.2.1 Lattice
A lattice is a regular and periodic arrangement of points in three dimensions.
Figure 13.1 represents a two-dimensional lattice.

E¢ D¢
a 5a
E D F¢ C¢
a 5a a 2a
F C A¢ B¢
a
a 2a
A a B
b

a
P Q

Fig. 13.1 A two-dimensional lattice

Consider the points P, Q and R. Let us join the points P and Q by a straight line, and
the points P and R by another straight line. The line PQ is taken as an axis, say X-axis.
Similarly, the line PR is taken as another axis, say Y-axis. The distance between any
two successive lattice points in the X direction is taken as a. Similarly, the distance
between any two successive lattice points along the Y direction is taken as b. Here, ā
-
and b are said to be lattice translational vectors. Consider a square lattice in which
a = b.
Consider two sets of points A, B, C, D, E, F and A¢, B¢, C¢, D¢, E¢, F¢. In these two
sets, the surrounding environment looks symmetrical, i.e., the distances AB and A¢B¢,
AC and A¢C¢, AD and A¢D¢, AE and A¢E¢ and AF and A¢F¢ are equal.
 Crystal Structure 13.3

The term lattice can be defined in another way. In an arrangement of points, if

the surrounding environment looks the same when the arrangement is viewed from
different lattice points, then that arrangement is said to be a lattice.

13.2.2 Basis
To construct a crystal structure, some basic arrangement is to be fixed at each and
every lattice point. This basic arrangement is said to be a basis. Consider Figs 13.2a
and 13.2b.
To obtain the structure shown in Fig. 13.2c, the arrangement shown in Fig. 13.2b
is to be fixed in each and every lattice point. So, the arrangement shown in Fig. 13.2b
is said to be a basis.

(a) Lattice (b) Basis (c) Crystal structure

Fig. 13.2 Arrangement of basis and lattice point

13.2.3 crystal Structure

A crystal structure is obtained by arranging the basis in each and every lattice point.
It can be written as,
Crystal structure = lattice + basis
The above equation is not a mathematical expression, but it is used to explain the
formation of crystal structure. According to this equation, a crystal structure is formed
by arranging the basis in each and every lattice point.

13.2.4 unit cell

In the construction of a wall, bricks are arranged one above
the other. So, in the case of the wall, a brick is said to be a
unit cell. Similarly, in the case of a crystal, a smallest unit
is arranged one above the other. This smallest unit is known
as unit cell. Thus, a unit cell is defined as a fundamental
building block of a crystal structure. Figure 13.3 shows
a cubic unit cell. Fig. 13.3 Unit cell
13.4 Engineering Physics

13.2.5 crystallographic Axes

Consider a unit cell consisting of three mutually perpendicular edges OA, OB and OC
as shown in Fig. 13.4. Draw parallel lines along the three edges. These lines are taken
as crystallographic axes and they are denoted as X, Y and Z axes.

Y
B

A
O X

C
Z
Fig. 13.4 Crystallographic axes

13.2.6 Primitives
Consider the unit cell shown in Fig. 13.5. Let OA be an intercept along the X-axis.
Similarly, the intercepts made by the unit cell along the Y and Z axes are OB and OC, that
is, OA, OB, and OC are the intercepts made by the unit cell along the crystallographic
axes. These intercepts are known as primitives. In crystallography, the intercepts OA,
-
OB and OC are represented as ā, b and c-.

Y
B

A
O X

C
Z
Fig. 13.5 Primitives

13.2.7 interaxial Angles (or interfacial Angles)

In a crystal, the angles between X, Y and Z axes are called as interaxial angles. The
angle between X and Y axes is represented as g. Similarly, the angle between Y and
 Crystal Structure 13.5

Z, and Z and X axes are denoted by a and b, respectively, as shown in Fig. 13.4. The
angles a, b and g are said to be interfacial angles.

13.2.8 Lattice Parameters

In order to represent lattice, the above three interfacial angles and the corresponding
intercepts are essential. These six parameters are said to be lattice parameters.

13.2.9 Primitive cell

It is the smallest unit cell in volume constructed by primitives. It consists of only one
full atom as shown in Fig. 13.6.
If a unit cell consists of more than one atom then it is not a primitive cell. A simple
cubic unit cell is said to be a primitive cell, whereas a body centred cubic unit cell is
not a primitive cell.

c
b
a

Fig. 13.6 Primitives cell of a space lattice

13.3 tYPES oF crYStALS

Crystals are classified into seven systems on the basis of the shape of the unit cell.
These are classified in terms of lengths of unit cells and the angle of inclination between
them. The seven systems are cubic, tetragonal, orthorhombic, monoclinic, triclinic,
trigonal and hexagonal.

13.3.1 Bravais Lattices

Bravais in 1948, showed that there are 14 different types of unit cells under the
seven crystal systems as shown in Fig. 13.7. They are commonly called Bravais
lattices.
13.6 Engineering Physics

Cubic P Cubic I
Cubic F

Tetr agonal P Tetr agonal I

Orthorhombic P Orthorhombic C Orthorhombic I Orthorhombic F

Monoclinic P Monoclinic C Triclinic

Trigonal
Trigonal and hexagonal P
Fig. 13.7 Bravais lattices

Table 13.1 shows the seven crystal systems, the relation between primitives and
angles, lattice symbols and the number of possible lattices. The lattice symbol P, I, F
and C represents, respectively, primitive, body centred, face centred and base centred
crystal structures.
 Crystal Structure 13.7

table 13.1 The seven crystal systems

S. No. Name of the Relation be- Lattice symbols No. of Examples
system tween primitives possible
and angles lattices
1 Cubic a = b = c, P 3 Po
a = b = g = 90° I Na, W, a - Fe
F Ag, Au, Pb
2 Tetragonal a = b π c, P 2 TiO2, SnO2
a = b = g = 90° I KH2PO4
3 Orthorhom- a π b π c, P —
bic a = b = g = 90° I PbCO3, BaSO4
F KNO3,K2SO4
C 4 a-S
4 Monoclinic a π b π c, P 2 CaSO4.2H2O
a = b = 90°π g C K2MgSO4.6H2O
5 Triclinic a π b π c, P 1 K2Cr2O7
a π b π 90°π g
6 Trigonal a = b = c, P 1 Calcite,
a = b = g π 90° As,Sb,Bi
(but less than
120°)
7 Hexagonal a = b π c, P 1 SiO2, AgI
a = b = 90°
g = 120°

13.3.2 Miller indices

Miller devised a method to represent a crystal plane or direction. In this method, to
represent a crystal plane, a set of three numbers are written within the parentheses.
Similarly, crystal direction is represented as a set of three numbers written within the
square brackets. Miller index is one in which the crystal plane is represented within
the parenthesis.
Rules to Find the Miller Indices of a Plane To find the Miller indices for a given
plane, the following steps are to be followed.
(i) The intercepts made by the plane along X, Y and Z axes are noted.
(ii) The coefficients of the intercepts are noted separately.
(iii) Inverse is to be taken.
(iv) The fractions are multiplied by a suitable number so that all the fractions
become integers.
(v) Write the integers within the parentheses.
Notes
(i) While writing Miller indices, a comma or dot between any two numbers
may be avoided.
13.8 Engineering Physics

(ii) The positive X axis is represented as (100), Y axis as (010) and Z axis as
- -
(001). Similarly, the negative X axis as (l 00), negative Y axis as (0l 0) and
-
negative Z axis as (00l ).
(iii) The Miller indices for a plane (101) is read as ‘one zero one’ and not as
one hundred and one.
For example, Miller indices of the plane shown in Fig. 13.8 can be found by the
following method.
The given plane ABC makes intercepts 2a, 3b and 2c along the X, Y and Z axes,
respectively. Hence, the intercepts are 2a, 3b and 2c.
The coefficients of the intercepts are 2, 3 and 2. The inverse are 1/2, 1/3, 1/2.
The LCM is 6. Multiply the fractions by 6, so that they become integers as 3, 2, 3.
The integers are written within the parenthesis as (323). (323) represents the Miller
indices of the given plane ABC.

Y
4b

B 3b

2b

b
a 2a 3a 4a
c A X
2c
3c C

Z
Fig. 13.8 Miller indices of a plane

Salient Features of the Miller Indices

(i) A plane parallel to one co-ordinate axis is taken as that plane will meet
the axis at infinity. Therefore, the intercept is taken as infinity. The index
number (Miller indices) for that plane in that co-ordinate axis is zero.
(ii) A plane passing through the origin is defined in terms of a parallel plane
having non-zero intercepts.
(iii) Equally spaced parallel planes have same Miller indices.
(iv) Planes which have negative intercepts are represented by a bar, like ( 00).
The Miller indices ( 00) indicating that the plane has an intercept in the
negative X axis.
Important Features of Miller Indices The Miller index notation is especially useful
for cubic systems. Its desirable features are listed below.
(i) The angle q between any two crystallographic directions [u1 v1 w1 ] and
[u2 v2 w2] can be calculated easily. The angle q is given by Eq. (13.1),
 Crystal Structure 13.9

u1u2 + v1v2 + w1w2

cos q = (13.1)
(u12 + v12 + w12 )1/ 2 (u22 + v22 + w22 )1/ 2
(ii) The direction [hkl] is perpendicular to the plane (hkl)
(iii) The relation between the interplanar distance and the interatomic distance
is given by Eq. (13.2),
a
d= (for cubic) (13.2)
h + k2 + l2
2

(iv) If (hkl) is the Miller indices of a crystal plane then the intercepts made by
the plane with the crystallographic axes are given as a/h, b/k, c/l, where
a, b, and c are the primitives.

Procedure to Find the Miller Indices of a Direction To find the Miller indices of
a direction, choose a perpendicular plane to that direction. Find the Miller indices of
that perpendicular plane. The perpendicular plane and the directions have the same
Miller indices value. Therefore, the Miller indices of the perpendicular plane is written
within a square bracket to represent the Miller indices of the direction.
To find the Miller indices of a line (direction), find the direction ratios of that line
and then write them within the square brackets. It represents the Miller indices of that
line.
The Miller indices of some of the important cubic crystal planes like (100) plane,
(010) plane, (111) plane, (110) plane, (011) plane and (002) plane are shown in
Fig. 13.9.

13.4 rELAtion BEtWEEn tHE intErPLAnAr

diStAncE And tHE intErAtoMic
diStAncE
Consider a cubic crystal with cube edge ‘a’. Let (hkl) be the Miller indices for the
plane ABC as shown in Fig. 13.10. The intercepts made by the above plane are a/h,
a/k, a/l. Consider another parallel plane to the above plane ABC passing through the
origin O. A perpendicular line drawn from the origin O to the plane ABC represents
the distance between two parallel planes. Let ON be the distance d between the two
parallel planes.
Let a ¢, b ¢ and g ¢ be the angles made by the line ON with X, Y and Z axes. The
direction cosines, cos a ¢, cos b ¢ and cos g ¢ are written as,
ON d dh
cos a ¢ = OA = a / h = a (13.3)
ON d dk
cos b ¢ = OB = a / k = a (13.4)

ON d dl
cos g ¢ = = = (13.5)
OC a / l a
13.10 Engineering Physics

From the properties of the direction cosines of any line, we can write,

cos2 a ¢ + cos2 b ¢ + cos2 g ¢ = 1

i.e. (dh/a)2 + (dk/a)2 + (dl/a)2 = 1

d 2 (h2 + k2 + l2) = 1
a2
a
or d= 2 (13.6)
h + k2 + l2
Equation (13.6) gives the relation between the interatomic distance a and the interplanar
distance d.

Y Y

X X

Z Z
(a) (100) plane (b) (010) plane

Y Y

X X

Z (c) (111) plane Z (d) (110) plane

Y Y

X X

Z (e) (011) plane Z (f) (002) plane

Fig. 13.9 Miller indices of some cubic crystal planes

 Crystal Structure 13.11

Z
N g¢
B
b¢ C

O A X
a¢

Fig. 13.10 Spacing of planes in crystal latties

13.5 crYStAL StructurES oF MAtEriALS

In this section, first consider some of the important parameters which are used to
describe the crystal structure of the materials.
(i) Atomic Radius (r) It is half the distance between any two successive atoms. For
a simple cubic unit cell, the atomic radius

a
r= (13.7)
2
where a is the interatomic distance.
(ii) Co-ordination Number It is the number of nearest neighbouring atoms to a
particular atom. For a simple cubic unit cell, the coordination number is 6.
(iii) Density of Packing It is the ratio between the total volume occupied by the
atoms or molecules in a unit cell and the volume of unit cell.

i.e.

Total volume occupied by atoms in a unit cell

Density of packing =
Volume of the unit cell

Number of atoms present in a unit cell

¥ volume of one atom
= (13.8)
Volume of the unit cell

13.6 SiMPLE cuBic crYStAL StructurE

A simple cubic crystal structure (scc)unit cell consists of eight corner atoms as shown
in Fig. 13.11. In actual crystals, each and every corner atom is shared by eight adjacent
unit cells. Therefore, each and every corner atom contributes 1/8 of its part to one unit
13.12 Engineering Physics

1
cell. Hence, the total number of atoms present in a unit cell is ¥8=1
8 a
Atomic Radius For a simple cubic unit cell, the atomic radius is given by, r =
2
Coordination Number The coordination number of a simple cubic unit cell can be
calculated as follows. Let us consider any corner atom. For this atom, there are four
nearest neighbours in its own plane. There is another nearest neighbour in a plane
which lies just above this atom and yet another nearest neighbour in another plane
which lies just below this atom. Therefore, the total number of nearest neighbours is
six and hence the coordination number is 6.

Fig. 13.11 Arrangement of atoms in SC unit cell

Packing Density The packing density of a simple cubic unit cell can be calculated
as follows.
For simple cubic, the total number of atoms present is one. Therefore, from
Eq. (13.8), the packing density of the simple cubic can be written as follows.

1 ¥ (4 / 3) ¥ p r 3
Packing density = (13.9)
a3
Substituting the value r = a/2 in Eq. (13.9), we get,

1 ¥ (4 / 3) ¥ p (a / 2)3
\ Packing density =
a3
p
Therefore, packing density = = 0.52. (13.10)
6
Thus, 52 per cent of the volume of the simple cubic unit cell is occupied by atoms
and the remaining 48 per cent volume of the unit cell is vacant.

13.7 BodY cEntrEd cuBic StructurE

A body centred cubic (bcc) structure has eight corner atoms and one body centred atom.
The diagrammatic representation of a body centred cubic structure is shown in Fig.
13.12a. In a body centred crystal structure, the atoms touch along the diagonal of the
 Crystal Structure 13.13

body. In a bcc unit cell, each and every corner atom is shared by eight adjacent unit cells.
therefore, the total number of atoms contributed by the corner atoms is (1/8) 8 = 1.

Fig. 13.12(a) Arrangement of atoms in bcc unit cell

A bcc unit cell has one full atom at the centre of the unit cell. Therefore, the total
number of atoms present in a bcc unit cell is 2.
Atomic Radius For a body centred cubic unit cell, the atomic radius can be calculated
from Fig. 13.12b as follows.

G H

F
E
4r

D
C
A B
Fig. 13.12(b) Calculation of atomic radius

From Fig. 13.12b, AH = 4r and DH = a

From the triangle AHD,
AD2 + DH 2 = AH 2 (13.11)
To find AD, consider the triangle ABD,
From the triangle ABD,
AB2 + BD2 = AD2 or a2 + a2 = AD2
13.14 Engineering Physics

i.e. AD2 = 2a2

Therefore, AD = 2a (13.12)

Substituting AD, AH and DH values in Eq. (13.11), we get,

AD2 + DH 2 = AH 2

or 2a2 + a2 = (4r)2

i.e. 16r2 = 3a2

3 2
r2 = a
16

3
The atomic radius r= a (13.13)
4

Coordination Number The coordination number of a body centred cubic unit cell can
be calculated as follows. Let us consider a body centred atom. The nearest neighbour
for a body centred atom is a corner atom. A body centred atom is surrounded by eight
corner atoms. Therefore, the coordination number of a bcc unit cell is 8.
Packing Density The packing density of a body centred cubic unit cell can be
calculated as follows:
The number of atoms present in a unit cell is 2.
Therefore, from Eq. (13.8), the packing density of the bcc unit cell can be written as
follows.

2(4 / 3)p r 3
Packing density = (13.14)
a3

Substituting the value of r = ( 3 /4) a in Eq. (13.14), we get,

3
ÈÊ 3 ˆ ˘
2(4 / 3)p ÍÁ ˜ a ˙
ÍÎË 4 ¯ ˙˚
\ Packing density =
a3

3p
= = 0.68 (13.15)
8

Therefore, the packing density, of a bcc unit cell = 0.68.

This shows that 68 per cent of the volume of the body centred cubic unit cell is
occupied by atoms and the remaining 32 per cent volume of the unit cell is vacant.
 Crystal Structure 13.15

13.8 FAcE cEntrEd cuBic StructurE or

cuBic cLoSE PAcKEd StructurE
A face centred cubic (fcc) unit cell consists of eight corner atoms and six face
centred atoms. A face centred cubic or cubic close packed (ccp) unit cell is shown in
Fig. 13.13a. The atoms in a face centred cubic unit cell touch along the face diagonal.
The fcc unit cell consists of eight corner atoms and six face centred atoms. Each and
every corner atom is shared by eight adjacent unit cells. Therefore, each and every
corner atom contributes 1/8 of its part to one unit cell. The total number of atoms
contributed by the corner atoms is (1/8) 8 = 1.

Fig. 13.13(a) Arrangement of atoms in fcc unit cell

Each and every face centred atom is shared by two unit cells. Therefore, a face
centred atom contributes half of its part to one unit cell. The total number of atoms
contributed by the face centred atom is (1/2) 6 = 3. Therefore, the total number of
atoms present in an fcc unit cell is 4.
Coordination Number The coordination number can be calculated as follows. Let
us consider a corner atom. In its own plane, that corner atom has four face centred
atoms. These face centred atoms are its nearest neighbours. In a plane which lies just
above this corner atom, it has four more face centred atoms as nearest neighbours.
In a plane which lies just below this corner atom, it has yet four more face centred
atoms as its nearest neighbours. Therefore, for an atom in an fcc unit cell, the number
of nearest neighbours is 12.
Atomic Radius The atomic radius can be calculated from Fig. 13.13b as follows.
From Fig. 13.13b, consider the triangle ABC,

AC2 = AB2 + BC2

(4r)2 = a2 + a2

16r2 = 2a2
13.16 Engineering Physics

a
The atomic radius r= (13.16)
2 2

G H

D C

4r F
E

A B

Fig. 13.13(b) Calculation of atomic radius

Packing Density The packing density of the fcc unit cell can be calculated as follows.
The number of atoms present in an fcc unit cell is 4.
Therefore, from Eq. (13.8), the packing density of the fcc unit cell can be written
as follows.

4(4 / 3)p r 3
Packing density = (13.17)
a3

Substituting the value of r = a (2 2 ) in Eq. (13.17), we get,

3

\ Packing density =
(
4(4 / 3)p ¥ a / 2 2 ) =
p
3
a 3 2
Therefore, the packing density of the fcc unit cell = 0.74 (13.18)

That is 74 per cent of the volume of an fcc unit cell is occupied by atoms and the
remaining 26 per cent volume of the unit cell is vacant.

13.9 HEXAGonAL cLoSEd PAcKEd

StructurE
The hexagonal closed packed (hcp) structure is shown in Fig. 13.14a. The hcp structure
consists of three layers of atoms as shown in Fig. 13.14b. The bottom layer has six
corner atoms and one face centred atom. The middle layer has three full atoms. The
upper layer has six corner atoms and one face centred atom.
 Crystal Structure 13.17

A
c/2 A C A
B
B
c A
C
A C A
B
b A

a
(a) hcp unit cell (b) Arrangement of atoms

Fig. 13.14 hcp structure

The arrangement of atoms in a hexagonally closed packed structure as shown in

Fig. 13.14 is explained as follows. In the bottom layer, the central atom is surrounded
by six other atoms having equal radius. The bottom layer of atoms is denoted by the
letter A. Three places are marked as B and the remaining three places are marked
as C over the bottom layer. The second layer of atom is placed either over the point
marked as B or the point marked as C. Consider that the second layer is placed in
the places marked as B. The third layer can be arranged in two ways, (i) the third
layer of atoms placed directly over the first layer, and (ii) the third layer placed over
the points marked as C. The stacking sequence goes on as ABABAB ... for case (i)
representing the hcp structure, and as ABCABCABC for case (ii) representing the fcc
structure.
The total number of atoms present in the case of an hcp crystal structure is 6. To
calculate this, first consider the bottom layer of atoms. The bottom layer consists of
six corner atoms and one face centred atom. Each and every corner atom contributes
1/6 of its part to one unit cell. The total number of atoms contributed by the corner
atoms is (1/6) 6 = 1. The face centred atom contributes 1/2 of its part to one unit
cell. Therefore, the total number of atoms present in the case of the bottom layer is
1 + (1/2) = 3/2. Similarly, the upper layer also has 3/2 number of atoms. The middle
layer has three full atoms. Therefore, the total number of atoms present in a unit cell
is 3/2 + 3/2 + 3 = 6.

Fig. 13.15 Calculation of atomic radius

13.18 Engineering Physics

Atomic Radius The atomic radius of an hcp crystal structure can be calculated as
follows. Let us consider any two corner atoms. Each and every corner atom touches
each other as shown in Fig. 13.15.
Therefore, from Fig. 13.15
a = 2r
a
i.e. r= (13.19)
2
The atomic radius r = a/2.
Coordination Number The coordination number of an hcp structure can be calculated
as follows. Let us consider a face centred atom in the bottom layer. This face centred
atom is surrounded by six corner atoms. These corner atoms are the nearest neighbours.
The middle layer has three atoms which are nearest neighbours to the face centred
atom. A unit cell, which lies below our reference unit cell also has three middle layer
atoms. These three atoms are also the nearest neighbours for the face centred atom.
Therefore, the total number of nearest neighbours is 6 + 3 + 3 = 12.
Packing Density The density of packing of an hcp crystal structure can be calculated
as follows.
From Eq. (13.8), the packing density of the hcp unit cell can be written as
follows.
6(4 / 3)p r 3
Packing density = (13.20)
6 ( )
3 4 a 2c

Substituting the value of r = a/2 in Eq. (13.20), we get,

6(4 / 3)p (a / 2)3 2p a

\ Packing density = = (13.21)
6 ( )
3 4 ac 2
3 3c

Substituting the value of c/a = (8 / 3) in Eq. (13.21), we get,

2p 3 p
\ Packing density = = = 0.74 (13.22)
3 3 8 3 2

Therefore, the packing density of hcp unit cell = 0.74.

That is, 74 per cent of the volume of the hcp crystal structure is occupied by atoms
and the remaining 26 per cent volume is vacant.
Relation Between C and A Consider the bottom surface of a hexagonally closed
packed structure. It has six corner atoms and one face centred atom. The face centred
atom touches all the corner atoms. The arrangement of atoms is shown in Fig. 13.16a.
The second layer of atoms are placed directly over the first layer. In Fig. 13.16a, A, B,
C, D, E, F and O represent the bottom layer of atoms. G, H, I represents the middle
layer of atoms. Consider the arrangement of the atoms A, F, O and G as shown in
Fig. 13.16b.
 Crystal Structure 13.19

F E

G H
F G

A O D
E¢
I X

B C A J O
(a) Bottom surface of hcp unit cell (b) Triangle AFO

Fig. 13.16 Arrangement of atoms–hcp structure

In Fig. 13.16b, A, F and O represent the bottom layer of atoms and G represents
one of the atoms in the second layer. Now, let us bisect the line AF, by drawing a
normal from O. OE¢ bisects the line AF into two.
Consider the triangle AE¢O. Since, the triangle AFO is an equilateral triangle,
–AOE¢ = 30°. Draw another perpendicular line from F to the line AO. The line FJ
bisects the line AO and hence AJ = JO = a/2.
From Fig. 13.16b, –AOE¢ = 30° and –JXO = 60°
Consider the triangle XJ ¢O, the angles of the triangle are 30°, 60° and 90° and
hence it faces are in the ratio of 1: 3 :2.
Therefore, in triangle JXO,

XJ : JO : OX = 1 : 3:2 (13.23)

2 JO
OX = (13.24)
3
Substituting the values of JO (= a/2) in Eq. (13.24), we get,

2 a
OX =
3 2
a
OX = (13.25)
3
In the triangle XOG,

OG2 = OX2 + GX2 (13.26)

Substituting OG, OX and GX values in Eq. (13.26), we get,

2 2
Ê a ˆ Ê cˆ
a2 = Á ˜ + Á ˜
Ë 3¯ Ë 2¯
13.20 Engineering Physics

a2 c2 2a 2 c 2
a2 - = or =
3 4 3 4
a2 = 3
c2 8
c
= 8 / 3 = 1.633 (13.27)
a
Hence, the axial ratios c/a for an hcp structure is 8 / 3 .

Keypoints to remember

• Based on the arrangements of atoms or molecules, solids are classified into two
categories, namely. crystalline solids and amorphous solids.
• In crystalline solids, atoms or molecules are arranged randomly and have isotro-
pic properties.
• The smallest unit cell in a crystal structure is known as a unit cell.
• A simple cubic unit cell is said to be a primitive cell.
• Types of seven crystal systems are cubic, tetragonal, orthorhombic, monoclinic,
triclinic, trigonal and hexagonal.
• The different types of unit cells under the seven crystal structures are called Brav-
is lattice.
• Miller indices are a set of three numbers written within the parenthesis and is used
to represent a crystal plane.
• The co-ordination number is the nearest number of neighboring atom to a par-
ticular atoms.
• Density of packing, or packing density is defined as the ratio of total volume
occupied by atoms in a unit cell to the volume of the unit cell.
• The co-ordination number for simple cubic, bcc, fcc and hcp structures are respec-
tively 6,8,12 and 12.
• The packing density for simple cubic, bcc, fcc and hcp structures are respectively
0.52, 0.68, 0.74 and 0.74.
• In the hcp structure, the atoms are arranged in stacking sequences.

Solved Problems

Example 13.1 Show that the crystal plane (hkl) is perpendicular to the direction
[hkl].
Solution The Miller indices of the given plane = (hkl)
 Crystal Structure 13.21

The intercept made by the plane = a/h, b/k, c/l

The equation of the plane
x y z
+ + =1
a/h b/k c/l

xh yk zl
i.e. + + =1
a b c
For cubic unit cell a = b = c
Therefore, the equation of the plane can be written as,
xh + yk + zl = a (i)
The direction ratio of normal to the plane is h, k, l. The equation of a line passing
through the points (x1, y1, z1) and having direction ratios h, k, l is
x - x1 y - y1 z - z1 (ii)
= =
h k l
Equation (ii) is an equation for a line perpendicular to the plane given by Eq.
(i).
The direction ratios of Eq. (ii) is h, k, l. The Miller indices of the line given
in this problem is [hkl]. Hence, the Miller indices are nothing but the direction
ratios.
The angle between two lines having the direction ratios u1, v1, w1 and u2, v2,
w2 is given by,
u1u2 + v1v2 + w1w2
cos q = (iii)
[u + v + w12 ]1/ 2 [u22 + v22 + w22 ]1/ 2
2
1
2
1

where u1 = u2 = h ; v1 = v2 = k and w1 = w2 = l

Equation (iii) can be written as,

h2 + k 2 + l 2
cos q = =1
[h + k + l 2 ]1/ 2 [h 2 + k 2 + l 2 ]1/ 2
2 2

Therefore, q = 0.
That is, the normal to the plane and the direction [hkl] are parallel. It means, the
direction [hkl] is perpendicular to the plane.
Example 13.2 Find the Miller indices of a set of parallel planes which make
intercepts in the ratio 3a: 4b on the X and Y axes and parallel to the Z axis. a, b,
c are primitive vectors of the lattice of the lattice. Also calculate the interplaner
distance of the planes taking the lattice to be a cubic with a = b = c = 2 A°.

Given Data
The intercept along X axis = 3a
The intercept along Y axis = 4b
The intercept along Z axis =•
13.22 Engineering Physics

Solution
The intercepts made by the plane along the three axes are 3a, 4b,
The coefficient of the intercepts are 3, 4, •
The inverse of the coefficients are 1/3, 1/4, 1/ •,
The L C M of these above fractions is 12
Multiplying these fractions by 12, we get, 4, 3, 0
Therefore, the Miller indices of the plane is (430).
The distance between any two successive parallel planes is given by
a
d =
h2 + k 2 + l 2
Substituting the values for 430 planes, we get,

2 ¥ 10-10
d 430 =
42 + 32 + 02
= 0.4 ¥ 10-10 m.
The lattice spacing for the plane 430 is 0.4 ¥ 10-10 m.

Example 13.3 Sodium is a bcc crystal. Its density is 9.6 ¥ 102 kg m–3 and
atomic weight is 23. Calculate the lattice constant a for sodium crystal.
Given Data
Density of sodium = 9.6 ¥ 102 kg m– 3
Atomic weight of sodium = 23
Solution The mass of the unit cell of the sodium crystal
= density ¥ vol ume of the unit cell
= 9.6 ¥ 102 a3 (i)
where a is the interatomic distance.
The mass of the unit cell of the sodium crystal is given by another relation,

Number of atomsin a unit cell ¥ atomic weight

Mass =
Avogardo constant
Since sodium is a bcc crystal, the number of atoms present in one unit cell is 2.
2 ¥ 23
Therefore, mass of one unit cell =
6.022 ¥ 1026
= 7.638 ¥ 10–26 kg (ii)
From (i) and (ii), 9.6 ¥ 10 ¥ a = 7.638 ¥ 10–26
2 3

a = 4.30 ¥ 10–10 m
The lattice constant of sodium is 4.3 Å.
Example 13.4 CsCl crystallizes in simple cubic crystal structure. The
atomic weight of Cs is 132.9 and that of Cl is 35.5. The density of CsCl is
4 ¥ 103 kg m–3. Determine the value of the Avogadro constant. Given that the
lattice constant of Cesium chloride is 4.12 Å.
 Crystal Structure 13.23

Given Data
The density of CsCl = 4 ¥ 103 kg m– 3
The atomic weight of Cs = 132.9
The atomic weight of Cl = 35.5
The lattice constant a = 4.12 Å = 4.12 ¥ 10– 10 m
Solution The mass of the CsCl unit cell = density ¥ volume of the unit cell
= 4 ¥ 103 (4.12 ¥ 10–10)3
= 2.797 ¥ 10– 25 kg (i)
Let N be the Avogadro constant, then the mass of the CsCl unit cell is given
by,
number of atomsin one unit cell ¥ molecular weight
Mass =
Avogardro's constant

Since, CsCl belongs to simple cubic, the number of atoms present in a unit cell
is one.
1(132.9 + 35.5)
Therefore, the mass of one unit cell of CsCl =
N
168.4
= (ii)
N
From Eqs (i) and (ii), we get,

168.4
= 2.797 ¥ 10– 25
N
168.4
N = = 6.0199 ¥ 1026 per kg mole
2.797 ¥ 10- 25

The value of the Avogadro constant = 6.0199 ¥ 1026 per kg mole.

Example 13.5 X-rays of 1.5418 A° wavelength are diffracted by (111)

planes in a crystal at an angle of 30° in the first order. Calculate the interatomic
spacing.

Given Data
The wavelength of X-rays l = 1.5418 A °
The angle of diffracted angle q = 30°
Miller indices for diffracted plane hkl = (111)

Solution
We know that the interplanar distance d for the first-order diffraction is
l
d=
2sin q

We also know that, the interplaner distance between the planes is

13.24 Engineering Physics

a
d=
h + k2 + l2
2

Equating the above equation, we get the lattice constant is

l ¥ h2 + k 2 + l 2
a=
2sin q

Substituting the values of l h, k, l, s, q in the above equation, we get,

1.5418 ¥ 10-10 ¥ 3
= 2 ¥ (1 / 2)
= 2.6705 ¥ 10-10 m.

The lattice constant a is 2.6705 ¥ 10-10 m.

Example 13.6 Calculate the value of d–spacing for (110) planes in a rock salt
crystal of a = 2.814 A°.

Given Data
-10
The lattice constant a = 2.814 ¥ 10 m
Solution
The distance between any two successive parallel planes is given by
a
d=
h + k2 + l2
2

Substituting the values for (100) planes, we get,

2.814 ¥ 10-10
d100 =
12 + 02 + 02
-10
= 2.814 ¥ 10 m
-10
The lattice spacing for the plane (100) is 2.814 ¥ 10 m.

Example 13. 7 Calculate the interplaner distance for the (321) planes in SCC
lattice with inter-atomic spacing equal to 4.12 A°.
Given Data
The lattice constant a = 4.12 ¥ 10-10 m

Solution
The distance between any two successive parallel planes is given by
a
d=
h + k2 + l2
2
 Crystal Structure 13.25

Substituting the values for (321) plane, we get,

4.2 ¥ 10-10
d321 =
32 + 22 + 12
= 1.1011 ¥ 10-10 m
The lattice spacing for the plane (321) is 1.1011 ¥ 10-10 m.

Example13.8 Calculate the interplaner spacing for (101) and (221) planes in
a simple cubic whose lattice constant is 0.42 nm.

Given Data
The lattice constant a = 4.2 ¥ 10-10 m
Solution
The distance between any two successive parallel planes is given by
a
d=
h + k2 + l2
2

Substituting the values for the (110) plane, we get,

4.2 ¥ 10-10
d101 = = 2.9698 ¥ 10-10 m
12 + 02 + 12
Substituting the values for the (221) plane, we get,

4.12 ¥ 10-10
d101 = = 1.4 ¥ 10-10 m
22 + 22 + 12

The lattice spacings for the planes (110) and (220) are 2.968 ¥ 10-10 m and 1.4
¥ 10-10m. respectively.

Example 13.9 (a) Calculate the next neighbour’s distance in a body centred
cubic crystal. (b) In a body centred cubic lattice, find the ratio of the nearest
neighbour’s distance to the next neighbour’s distance.

Solution
(a) In a body centred cubic crystal, body centred atom is the nearest neighbour
( )
to a corner atom. The distance between these two is 3 / 2 a , where a is the
lattice constant. For a corner atom, the next nearest neighbour is another corner
atom. The distance between the two corner atoms is a.
Therefore, the next neighbour distance in a bcc lattice is a.
(b) In a bcc lattice, the next neighbour distance is a. The nearest ( 3/2 a)
neighbour distance is. The ratio between these two is

d1 : d2 = 3 / 2a : a
13.26 Engineering Physics

Here d1 is the nearest neighbour distance and d2 is the next neighbour distance.
Therefore,
d1 : d2 = 3/2 :1 i.e. d1 : d2 = 0.866 : 1

The ratio between the nearest neighbouring distance and the next neighbour
distance is 3 / 2 : 1.

Example 13.10 In a crystal, lattice planes cut intercepts of lengths 2a, 3b

and 4c along the three axes. Deduce the Miller indices of the plane.
Given Data
The intercept along X-axis = 2a
The intercept along Y-axis = 3b
The intercept along Z-axis = 4c
Solution
The intercepts made by the plane along the three axes are 2a, 3b and 4c.
The coefficients of the intercepts are 2, 3, 4
The inverse of the coefficients are 1/2, 1/3, 1/4
The L.C.M of the above three fractions is 12.
Multiplying these fractions by 12, we get 6, 4, 3.
Therefore, the Miller indices of the plane is (643).

Example 13.11 In a crystal whose primitives are 1.2 Å, 1.8 Å and 2 Å.

A plane (231) cuts an intercept of 1.2 Å along the X-axis. Find the lengths of
intercepts along the Y and Z axes.
Given Data
The primitives are 1.2 Å, 1.8 Å and 2 Å
The Miller indices of the plane = (231)
The intercept made by the plane along the X-axis = 1.2 Å

Solution
Method I
Let l1, l2 and l3 are the intercepts made by the plane along the X, Y and Z axes.
Hence, the ratio of the intercepts is
l1 : l2 : l3 (i)
The Miller indices of the plane = (231)
The inverses of the Miller indices = 1/2, 1/3, 1/1
Multiplying these fractions by 6, we get, 3, 2, 6.
Therefore, the intercepts are in the ratio of
3a : 2b : 6c (ii)
Equating Eqs (i) and (ii), we get,
l1 : l2 : l3 = 3a : 2b : 6c
 Crystal Structure 13.27

The a, b, c values are given as 1.2 Å, 1.8 Å, 2 Å

Therefore, l1 : l2 : l3 = 3.6 Å : 3.6 Å : 12 Å i.e. l1 : l2 : l3 = 3.6 : 3.6 : 12
The value of l1 is given as 1.2 Å.
1.2 1.2
Therefore, l2 = 3.6 = 1.2 Å and l3 = 12 = 4 Å
3.6 3.6
The lengths of the intercepts made by the plane along Y and Z axes are
1.2 Å and 4 Å.
Method II
Let (hkl) be the Miller indices of a crystal plane. If Miller indices are known,
then the intercepts made by the plane is given by
a, b, c
h k l
The values of a, b and c are given as
a = 1.2 Å, b = 1.8 Å, c = 2 Å
Substituting the values of a, b and c we get the ratios of intercepts as
1.2Å 1.8Å 2Å = 0.6 Å : 0.6 Å : 2 Å
: :
l 3 1
Let these ratios be x : y : z
Therefore, 0.6 Å: 0.6 Å : 2 Å = x : y : z
Substituting, the x axis intercept, we get
0.6 Å : 0.6 Å : 2 Å = 1.2 Å : y : z
The y intercept is determined by considering x and y intercepts.
i.e. 0.6 Å : 0.6 Å = 1.2 Å : y
y = 1.2 Å
The z intercept is, 0.6 Å : 2 Å = x : z
z= 4Å
The y and z intercepts are 1.2 Å, 4 Å.

Example 13.12 The Miller indices of a crystal plane in a simple cubic crystal
is (110). Find the ratio of the intercepts on the three axes.
Given Data
The Miller indices of the plane = (110)

Solution
The Miller indices of the given plane = (110)
The inverses of the Miller indices = 1/1, 1/1, 1/0 i.e. 1, 1, •
The intercepts made by the plane in terms of lattice parameters is 1a, 1b, • c.
13.28 Engineering Physics

Let l1, l2 and l3 be the lengths of the intercepts made by the plane along the
X. Y and Z axes. The ratios of these three lengths is l1 : l2 : l3. If l1 : l2 : l3 are the
ratios of the intercepts, then they are related to the lattice parameters as,
l1 : l2 : l3 = 1a : 1b : • c
Since, the given crystal is a simple cubic a = b = c
Therefore, the ratio
l1 : l2 : l3 = 1a : 1a : • c
=1:1:•
The intercepts made by the given plane along the Z axis is •. It means that the
plane is parallel to the Z axis.

Example 13.13 The lattice constant of a cubic lattice is 4.12 Å. Find the
lattice spacings between (111), (112) and (123) lattice planes.
Given Data
The lattice constant a = 4.12 Å
Solution The distance between any two successive parallel planes is given by
a
d=
h + k2 +l2
2

(i) For (111) plane,

4.12 ¥10-10
d111 = = 2.3787 ¥ 10–10 m
12 +12 +12
(ii) For (112) plane,
4.12 ¥10-10
d112 = 2 2 2
= 1.68198 ¥ 10–10 m
1 +1 + 2
(iii) For (123) plane,
4.12 ¥10-10
d123 = = 1.1011 ¥ 10–10 m
12 + 22 + 32

The lattice spacing for the planes (111) = 2.3787 ¥ 10–10 m

The lattice spacing for the planes (112) = 1.6820 ¥ 10– 10 m
The lattice spacing for the planes (123) = 1.1011 ¥ 10– 10 m

Example 13.14 Show that in a simple cubic lattice, the separation

between the successive lattice plane (100), (110) and (111) are in the ratio
of 1 : 0.71 : 0.58.
Solution The interplanar distance is given by

a
d=
h + k2 +l2
2
 Crystal Structure 13.29

a
For (100) plane, d100 = =a
1 + 02 + 02
2

a a
For (110) plane, d110 = 2 2 2
=
1 +1 + 0 2

a a
For (111) plane, d111 = =
2 2 2
1 +1 +1 3

a a
The ratio of d100 : d110 : d111 = a : :
2 3
i.e. d100 : d110 : d111 = a : 0.707a : 0.577a
The ratio of d100 : d110 : d111 = 1 : 0.71 : 0.58
or d100 : d110 : d111 = 6: 3: 2
Example 13.15 The lattice constant for a FCC structure is 4.938 A°. Calculate
the interplaner spacing of the (220) plane.
Given Data
The lattice constant a = 4.938 ¥ 10-10 m
Solution
The distance between any two successive parallel planes is given by
a
d=
h + k2 + l2
2

Substituting the values for the 220 plane, we get,

4.938 ¥ 10-10
d 220 =
22 + 22 + 02

= 1.7458 ¥ 10-10

The lattice spacing for the plane 110 is 2.968 ¥ 10-10 m.

Example 13.16 The unit cell of aluminum is FCC with lattice constant
a = 0.405 nm. How many unit cells are there in a 0.054 cm thick and 25 cm2
square aluminum foil?
Given Data
The lattice constant a = 0.405 ¥ 10-9 m.
The thickness of Al foil t = 0.005 ¥ 10-2 m
The side length of the Al foil A = 25 ¥ 10-4 m

Solution
We know that the number of unit cells in the Al foil is
13.30 Engineering Physics

Volume of Al foil
=
Volume of unit cell

t¥A
i.e., =
a3
Substituting the values, we get,
0.005 ¥ (25 ¥10-2 )
= (0.405 ¥10-10 )3

1.25 ¥10-5
= = 1.88 ¥ 10-26
6.643 ¥10-29
Therefore, the number of atoms in the Al foil is 1.88 ¥ 10-26.
Example 13.17 The lattice constant of a metal with cubic lattice is 2.88 A°. The
density of the metal is 7200 kg m-3. Calculate the number of unit cell present
in the 1 kg of the metal.

Given Data
The lattice constant a = 2.88 ¥ 10-10 m.
Density of metal ρ = 7200 kg m-3

Solution
We know that the number of unit cells in 1 kg of the metal is
1
=
massof the unit cell

1
i.e., = volume of the unit cell ¥ density

Substituting the values, we get,

1
= = 5.8142 ¥ 1024
(0.288 ¥ 10-10 )3 ¥ 7200

Therefore, the number of unit cells present in 1 kg metal is 5.8142 ¥ 1024.

Example 13.18 Metallic iron changes from BCC to FCC form at 910°C. At
this temperature, the atomic radii of the iron atoms in the structures are 0.1258
nm and 0.1292 nm respectively. Calculate the volume changes in percentage
during this structural change.

Given Data
The atomic radius at BCC state = 0.1258 ¥ 10-9 m
The atomic radius at FCC state = 0.1292 ¥ 10-9 m
 Crystal Structure 13.31

Solution
4r
We know that, the lattice constant for BCC a=
3
Substituting the values, we get,
4 ¥ 0.1258 ¥ 10-10 = 2.9052 ¥ 10-10 m
=
3
a3
Therefore, the volume occupied by one atom in BCC is =
2
Substituting the values, we get,
(2.9052 ¥ 10-10 )3
= = 1.226 ¥ 10-29 m3
2

The volume occupied by one atom in BCC state is = 1.226 ¥ 10 m3.

-29

4r
We know that, the lattice constant for FCC a=
2
Substituting the values, we get,
4 ¥ 0.1292 ¥ 10-10
= = 3.6543 ¥ 10-10 m
2
Therefore, the volume occupied by one atom in FCC is
a3
=
4
Substituting the values, we get,
(3.6543 ¥ 10-10 )3
= = 1.22 ¥ 10-29 m3.
4
The volume occupied by one atom in FCC state is = 1.22 ¥ 10-29 m3.
Therefore, change in volume in percentage is

(1.226×10−29 − 1.22 × 10−29 )

= × 100 = 0.4894
1.226× 10−29

The volume change in percentage during the structural changes is 0.4894.

Example 13.19 Copper has FCC structure and its atomic radius is 1.273 Å.
Find the lattice parameter and the density of copper.
Atomic weight of copper = 63.5 g
Avogadros number = 6.023 ¥ 10-26 atoms k mol-1

Given Data
The atomic radius for FCC system r = 1.273 Å
13.32 Engineering Physics

Atomic weight of copper A = 63.5 g

= 63.5 ¥ 10-3 kg
Number of atoms per unit cell for FCC n=4

Solution
4r
We know that Lattice parameter for FCC a=
Substituting the values, we get, 2
4 ¥ 1.273 ¥ 10-10
=
1.414

a = 3.6 ¥ 10-10 m
nA
Density of the material is r =
Na 3
Substituting the given values, we get,
4 ¥ 63.5 ¥10-3
Density r =
6.023 ¥1026 ¥ (3.6 ¥10-10 )3
= 9.0388

Therefore, the density of copper is 9.0388 gm m-3

Example 13.20 α-iron of 55.85 atomic weight solidifies into BCC structure
and has a density of 7860 kg m-3. Calculate the radius of an atom.

Given Data
The density of α-iron r = 7860 kg m-3.
The atomic weight of α-iron M = 55.85
Number of atoms per unit cell for BCC n=2
Avogadro’s number N = 6.023 ¥ 1026 atoms k mol-1.

Solution
We know that the volume of the cube is
Number of atoms per unit cell×molecdular weight
a3=
Avogadro's number×ddensity
nM
i.e., a3 =
N×ρ
Substituting the values, we get,
2 ¥ 55.85 ¥ 10-3
= = 2.3595 ¥ 10-32 m3.
6.626 ¥ 1026 ¥ 7860
 Crystal Structure 13.33

-32
i.e., a = 3 2.3596 ¥ 10

or a = 0.2868 ¥ 10-10 m.

The lattice constant of α-iron is 0.2868 A˚.

We know that the atomic radius for BCC is

a 3
r=
4
Substituting the values, we get,
1.732 ¥ 0.2868 ¥ 10-10
r= = 0.12418 ¥ 10-10 m
4

The atomic radius of the α-iron is 0.12418 ¥ -10 m.

Example 13.21 Copper crystalline in the FCC structure. The density and
atomic weight of copper are 8960 kg m-3 and 63.54 respectively. Calculate its
lattice constant.
Given Data
The density of copper r = 8960 kg m-3.
The atomic weight of copper M = 63.54
Number atoms per unit cell for FCC n=4
Avogadro’s number N = 6.023 ¥ 1026 atoms k mol-1.

Solution
We know that, the volume of the cube is
Number of atoms per unit cell×molecdular weight
a3=
Avogadro's number×ddensity

nM
i.e., a3 =
N×ρ
Substituting the values, we get,

4 ¥ 63.54 ¥ 10-3
= = 4.7096 ¥ 10-32 m3.
6.023 ¥ 1026 ¥ 8960

-32
i.e., a = 3 4.7096 ¥ 10

or a = 0.3611 ¥ 10-10 m.

The lattice constant of copper is 0.3611 A°.

13.34 Engineering Physics

objectives Questions

13.1 Anisotropic structures have _________ properties.

13.2 Examples for metallic crystals are _________, _________ and _________.
13.3 The structures which are not having directional properties are known as
_________ substances.
13.4 Complete the equation, Crystal structure = Lattice + _________.
13.5 _________ is the fundamental building block of a crystal structure.
13.6 Body centered cubic unit cell is not a primitive cell. (True/False)
13.7 In a cubic crystal structure, the values of angles α = β= γ = _________.
13.8 The crystal plane is represented by a set of three numbers within _________.
13.9 Crystal directions are represented by a set of three numbers within
_________.
13.10 The inter-atomic distance is equal to _________
a) d = a2 b) d = a2
2 2 2
h +k +l h2 + k 2 + l 2
a a2
c) d = b) d =
h2 + k 2 + l 2 h2 + k 2 + l 2
13.11 The co-ordination number for a simple cube is _________.
13.12 The packing density for a simple cube is equal to _________.
13.13 _________ is the co-ordination number for body centered cubic structure.
13.14 _________ and _________ are respectively the co-ordination number and
packing density for fcc structure.
13.15 The co-ordination number and packing density for hcp structure are respectively
_________ and_________.
13.16 In the hcp structure, the relation between c and a is _________.
a) c = 8 b) c = 8
a 3 a 3
c) c = 8 d) c = 8
a 3 a 3
13.17 Give three examples for cubic crystal planes _________, _________ and
_________.
13.18 In BCC structure, the packing density of crystal is equal to
a) 3π b) 3 π
8 8
c) π d) 3 3π
3 8
8
KEY

13.1 Directional 13.2 Copper, silver, aluminium

13.3 Isotropic 13.4 Basis
 Crystal Structure 13.35

13.5 Unit cell 13.6 True

13.7 90º 13.8 Paranthesis
13.9 Paranthesis 13.10 c)
13.11 6 13.12 0.52
13.13 8 13.14 12, 0.74
13.15 12, 0.74 13.16 c)
13.17 (110), (010), (101) 13.18 b)

Exercises

13.1 Calculate the density of the NaCl crystal from the following data:
Molecular weight of NaCl = 58.45; lattice constant a = 5.64 Å; Avogadro
constant = 6.023 ¥ 1026 per kg mole.
13.2 Calculate the lattice constant of potassium bromide. Density of potassium
bromide is 2.7 ¥ 103 kg m- 3 and belongs to fcc lattice. The molecular
weight of KBr is 119 and the Avogadro constant is 6.022 ¥ 1026 per kg
mole.
13.3 Calculate the next neighbour’s distance in a simple cubic lattice and also
determine the ratio between the nearest neighbour’s distance and the next
neighbour’s distance for a simple cubic lattice.
13.4 Find the Miller indices of a plane, which makes intercepts at 3a, 2b and 2c.
13.5 A crystal plane makes intercepts at 2a, 3b and 6c along the three crystal-
lographic axes. Here a, b and c are the primitive vectors of the unit cell.
Determine the Miller indices of the given crystal plane.
13.6 The lattice parameters of a unit cell is 1.6 Å, 2.22 Å and 1.84 Å. A plane
having Miller indices value of (231) makes an intercept at 1.84 Å along
the Z axis. Find the lengths of the intercepts made by the plane along X
and Y axes.
13.7 Calculate the interplanar spacing for a (321) plane in a simple cubic lattice
whose lattice constant is 4.12 ¥ 10-10 m.

Short Questions

13.1 Define space lattice.

13.2 What is meant by basis?
13.3 Define the term crystal structure.
13.4 What are interfacial angles?
13.5 Define the term unit cell.
13.6 What is meant by lattice Paranthesis?
13.7 What is Primitive cell?
13.8 Disting with the Primitive cell and unit cell.
13.36 Engineering Physics

13.9 Name the seven types of crystal systems.

13.10 What is Bravais lattice?
13.11 Name the crystal structure of the following (a) Gold, (b) Geranium, (c) Bartu,
and (d) Zinc.
13.12 Bismith has a = b = c = 4.74 AU and angles a = b = g = 60° what it's crystal
structure?
13.13 What are Miller indices?
13.14 Explain fow the miller indrices are determined.
13.15 Describe the structure of hcp.
13.16 Define the following terms:
(i) Atomic radius
(ii) Coordination number, and
(iii) Packing density
13.17 State the values of Co-ordination number for hcp structure.
13.18 Calculate the packing factor for a simple cubic structure.
13.19 Calculate the packing factor for a body contracte cubic.
13.20 Calculate the packing factor for a face centred cubic.
13.21 Define the Co-orination number and the calculate the same for fcc lattice
13.22 Show that for a bcc crystal structure, the lattice constant is given by
a = 4r/ , where r is the atomic radius.
13.23 Establish the relation between the radius and the interatomic distance for a
face centred cubic crystal.
13.24 Draw the diagram of the unit cell of the close packed hexagonal lattice.
13.25 Fero cubic lattice drow the followig plane showing the value of intercapte with
the Co-ordination axis (a) [110], (b) [111] and (c) [021].
13.26 Draw the schematic diagrams of a simple cubic, body centred cubic and face
centred cubic unit cells.

descriptive Questions

13.1 What are Miller indices? How will you determine the Miller indices of a
given plane? What are the distinct features of Miller indices?
13.3 Define the terms coordination number, atomic radius, and packing density.
Calculate the above factors for a simple cubic, body centred cubic and
face centred cubic crystals.
13.4 Determine the coordination number and packing density for a hexagonally
closed packed structure. Show that a hcp structure demands an axial ratio
of 1.633.
13.5 What is packing factor? Prove that the packing faction of hcp is 0.74
 Chapter

Waves And Particles

14

OBJECTIVES
• To explain the particle and wave nature (matter waves) of the quantum particles
• To derive the de-Broglie equation related with momentum and wavelength of the
particle
• To discuss the properties of matter waves and explain the experimental evidence
of matter waves
• To derive the Schrödinger wave equation for the motion of the quantum particles
• To discuss the importance of the uncertainty principle
• To derive application of Schrödinger equation for a particle in one-dimensional
box and its importance

14.1
I Classical mechanics which is based on Newton’s laws, explains the large-
n scale experiments. On the other hand, Newtonian mechanics fails to explain
T the different phenomena which take place at microscopic or atomic scales.
Quantum theory was able to explain the nature of light waves in terms of
r packets or bundles known as photons or quanta. Some of the phenomena
O like interference, diffraction, polarization, etc., are explained based on the
d wave nature of light. However, the phenomena like photoelectric effect,
U Compton effect, Zeeman effect, etc., are explained based on the particle
C nature of light. Therefore, radiation, or light, behaves like a wave as well
as a particle. Thus, the wave–particle property of light radiation is known
T as the dual nature of light. The concepts which prompted de Broglie to
I propose the idea of matter waves are namely i) the universe is made up of
O radiation and matter, and ii) nature is symmetrical everywhere.
n In the present chapter, an attempt has been made to explain the dual nature
of light, i.e., de Broglie waves, their experimental verification, Schrödinger
wave equations and their applications in quantum mechanics.
14.2 Engineering Physics

14.2 dE BrOGLIE WAVE

According to de Broglie, light waves behave sometimes as particles, and conversely
particles, can have wavelike characteristic properties. Therefore, the particles like
electrons, protons, neutrons, atoms or molecules will have associated waves with them
known as matter waves or pilot waves or de Broglie waves. A variable quantity known
as wave function is used to characterise the de Broglie waves. The wave function is
denoted by the symbol y (psi).

14.3 dE BrOGLIE WAVELEnGTH

Let us consider that a photon with frequency n is traveling with the velocity of light c.
Then, the velocity of light c = nl (14.1)
where l is the wavelength of light.
According to Einstein, the energy of each photon

E = hn (14.2)

where E is the energy of the photon.

Considering the momentum of the photon subjected to an external force, Eq.(14.1)
and Eq. (14.2) can be combined as,
E
p= (14.3)
c
Substituting the value of c = u l and E = h n , we get,
hn
p=
n l

or
h
p= (14.4)
l
From the above equation, it is clear that the light photon with wavelength l and
momentum p = h / l will have an associated wavelength l and also a wavelike
character. In 1924, de Broglie suggested that the matter particles will have associated
waves known as de Broglie waves (or) matter waves. The value of the wave function
associated with a moving particle at any point (x,y,z) and time t determines the
probability of finding the particle at that corresponding point and time.
Consider a particle of mass m moving with a velocity n. Then, the wavelength
associated with the particle is
h
l= (14.5)
mv
where p = mv is the momentum of the particle.
Equation (14.5) is known as the de Broglie wavelength of the matter wave.
 Waves and Particles 14.3

14.3.1 de Broglie Wavelength in terms of KE

Consider a particle of mass m moving with a velocity v. Then, the kinetic energy
(KE) of the particle is,
E = (1 / 2) m v 2

1 p2
= m2 v 2 =
2m 2m
We know that p = mv,

\ The momentum p = 2mE (14.6)

Substituting the value of p in Eq. (14.5), we get,
h
The wavelength l= (14.7)
2mE
Equation (14.7) represents the de Broglie wavelength interms of kinetic energy.

14.3.2 de Broglie Wavelength in terms of v

Consider an electron of mass m and charge e, accelerated through a potential difference
of V volts. Then, the KE of the electron is equal to the loss in potential energy.

1 2
i.e., mv = eV (14.8)
2
or
m2v2 = 2 m eV
\ The momentum of the electron
p = mv = 2 m eV (14.9)
Substituting the value of mv in Eq. (14.5), we get,
h
de Broglie wavelength of electron l = (14.10)
2 m eV
Substituting the value of h, e and m in Eq. (14.10), we get,
6.626 ¥10-34
De Broglie wavelength of electron l =
2 ¥ 9.1¥10-3 ¥1.6 ¥10-19 ¥ V

12.28 ¥ 10-10
= m
V
12.28
l= Å (14.11)
V
Equation (14.11) gives the de Broglie wavelength of an electron.
14.4 Engineering Physics

14.4 PrOPErTIES OF MATTEr WAVES

The following are the dominant properties of matter waves:
(i) Matter waves are not physical phenomena, but a wave probability.
(ii) The wavelength associated with matter waves decreases with increase in
the mass of the particles,
h
i.e., l= (14.12)
2 m eV

(iii) Matter waves are a new kind of waves and are not electromagnetic in
nature.
(iv) Matter waves are mainly used as a wave to pilot or guide the matter par-
ticles and hence, are known as pilot waves or guide waves. The schematic
representation of pilot or guide waves are shown in Fig. 14.1.
(v) The velocity of matter waves depends on the velocity of the material
particle.
(vi) The phase velocity of a matter wave is inversely proportional to its wave-
length.
l

Fig. 14.1 Pilot or guide wave

(vii) Matter waves are not constant as electromagnetic waves and move faster
than the velocity of light,

i.e., u = c2/n (14.13)

14.5 MATTEr WAVES—EXPErIMEnTAL

VErIFICATIOn
The de Broglie hypothesis clearly states that particles like electrons will have associated
wavelike characteristics and obey the properties of ordinary light like refraction,
reflection, diffraction, etc. One can prove the wave nature of the particles through
simple experiments, namely, Davission–Germer and Thomson’s experiments. In both
the experiments, electrons have been selected to prove the wave natures mainly due to
their well known characteristic properties and for the easy generation and detection.

14.5.1 davission–Germer Experiment

In 1927, Davission and Germer made an attempt to prove the wave nature of atomic
particles. The schematic representation of the experimental set-up used to demonstrate
the dual nature of matter is shown in Fig. 14.2.
 Waves and Particles 14.5

D1 D2
N
L.T. F A H

H.T.

S
G

Fig.14.2 Davission–Germer experiment—dual nature verification

The electrons are produced by the hot filament F by applying the necessary
potential through LT. The electrons are allowed to pass through the two thin aluminum
diaphragms D1 and D2 in order to get a fine parallel beam of electrons. By applying
the necessary potential V to the aluminium cylinder A, the electrons are accelerated,
which are then allowed to strike the single crystal of nickel N which is fixed with the
handle H. In order to get the diffraction at different points on the surface of the nickel
N, one can rotate the nickel crystal through the handle H at any desired axis of the
incident electron beam.
When the fast-moving electron beam strikes the nickel crystal, scattering of electrons
takes place according to the Braggs diffraction formula for X-rays,
2d sin q = nl (14.14)
where d is the interplanar distance; q, the scattering angle; n, the order of the spectrum
and λ, the wavelength of the incident beam.
The scattered electron will be collected with the help of the detector known as
the Faraday cylinder C. The detector moves on a graduated circular scale S. The
Faraday cylinder collects the scattered electrons in all the directions by moving
the same on the graduated scale. The amount of current produced by the collected
electrons by C is measured through the galvanometer G. The position of the
cylinder on the scale measures the angle of scattering of the electrons. Then, by
measuring the peak position of the deflection in the galvanometer and the position
of the cylinder on the scale, one can obtain respectively the maximum current for
the scattered electrons and the maximum scattering angle. One can measure the
number of electrons received on the Faraday cylinder and the scattering angle
for a given accelerating voltage V. The experiment can be repeated for different
accelerating voltages, V. The above observation can be plotted by taking the angle
along the x-axis and the number of electrons scattered along the y-axis, as shown
in Fig.14.3a. A peak in the number of scattered electrons occurs at an angle of 50˚
for an applied voltage of 54 V. This means that the diffraction effect which exhibits
from the surface layer of the crystal acting as a plane grating produces the first-
order spectrum at an angle of 50˚.
14.6 Engineering Physics

The wave nature of the electron can be verified by determining the wavelength of
the reflected waves by considering both its particle and wave nature. The wavelength
of the electron, by considering the particle nature, can be determined from Bragg’s
diffraction formula. The arrangements of atoms in the nickel crystal are shown in
Fig.14.3b. The interatomic distance for the nickel crystal is 2.12 ¥ 10-10 m. From
the top surface of the crystal, the reflecting planes in the crystal are inclined at an
angle of 250.
Therefore, the interplanar distance
d = 2.15 ¥ 10–10 sin 25˚
= 0.909 ¥ 10–10 m (14.15)
No. of scattered electrons

�5°
�5°
�5°
65°
d

50°
a
0° 30° 60°
q

a) Arrangement of atoms b) Scattering angle versus number of

electrons collected
Fig.14.3 Scattering angle and arrangement of atoms in nickel crystal

According to Bragg’s formula,

2 ¥ 0.909 ¥ 10–10 sin (90° – 25°) = 1 l
Therefore, the de Broglie wavelength l = 1.65 Å (14.16)
According to de Broglie, the electrons, which are accelerated by a potential
difference of 54 V,
12.28
de Broglie wavelength l = = 1.67 Å (14.17)
54
Equations (14.16) and (14.17) confirm the close agreement between the two
wavelengths of the electron obtained by considering the wave and particle nature of
electrons.

14.5.2 Thomson’s Experiment

Another experiment which is used to study the wave nature of the electron was
developed by GP Thomson. The Thomson experiment is similar to Von Laue’s X-ray
diffraction experiment. The schematic representation of the experimental set-up is
shown in Fig.14.4.
 Waves and Particles 14.7

A G
C

S
Pump P

Fig.14.4 Thomson experiment—dual nature verification

The accelerated fast-moving narrow beam of electrons is produced by the cathode C

by applying a potential of 50 kV. In order to get a fine narrow beam of electrons, it
is further passed into a fine hole H as shown in Fig. 14.5. These electrons are made
incident on the thin gold foil F. Thus, the diffraction of the electrons takes place at F.
The diffracted electrons are made to fall either on a florescent screen S or a photographic
plate P, as shown in Fig.14.4. One can use either a photographic plate (or) screen to
obtain the pattern. When an electron is incident on a thin foil, both diffraction and
generation of secondary X-rays takes place. The wave nature of the electrons can be
verified by considering the reason for the existence of the diffracted pattern, i.e., the
pattern is due to the existence of electrons or secondary X-rays.

Fig.14.5 Diffraction pattern

The different patterns produced by the electrons which are diffracted at the foil F is
shown in Fig.14.5. The pattern consists of concentric rings with increasing diameter.
This is possible due to the periodic arrangement of atoms in the gold foil and it obeys
the Braggs diffraction condition to give proper reflection. The above results confirm
that the pattern is only due to the existence of electrons and not due to the secondary
X-rays coming out of the thin foil F. The same can be explained in another way.
When the foil is removed, the entire pattern disappears which confirms that the foil
is essential to obtain the diffraction pattern. On the other hand, if the electron behaves
as a particle when it is incident on the foil, it gets scattered over a wide angle. The
diffracted electrons are the ones that produce the diffraction pattern.
From the above experiment, it is clear that electrons behave like a wave since the
obtained diffraction pattern is possible only by waves. The size of the crystal unit
14.8 Engineering Physics

cell can be obtained by knowing the ring diameter and the de Broglie wavelength of
electrons. The size of the unit cell obtained by this method and X-rays are in close
agreement.

14.6 SCHrÖdInGEr WAVE EQUATIOn

In 1926, Schrödinger developed mathematical equations to explain both microscopic
and macroscopic particles by predicting the wave functions at any particular point. The
Schrödinger equation is one of the basic equations in quantum mechanics similar to
Newton’s law of motion. Schrödinger derived two forms of wave equations, namely,
time independent wave equation, and time-dependent wave equation, to explain the
dual nature of matter waves.
de Broglie made two assumptions to derive the equation for the wave. In his first
assumption, the de Broglie wavelength concept was applied to any matter waves under
any field of force. When such an external force is applied, the particles will have both
potential and kinetic energy, i.e.,
E = PE + KE
E = V + (1 /2 ) mv2
p2
The total energy E=V+ (14.18)
2m
Rearranging Eq.(14.18), we get,
p = [2m (E – V)] 1/2 (14.19)
According to de Broglie wavelength, we know that,
h
or l=
p
h
\ the de Brogile wavelength l = (14.20)
[2m( E - V )]1/ 2
According to de Broglie’s second assumption, the one-dimensional wavefunction
associated with the particle is
y = y0 e–iwt (14.21)
where y0 is the amplitude of the wave function at the point (x,y,z) at any time which
is independent of time and w = 2pn, where n is the frequency of radiation.

14.6.1 Time Independent Wave Equation

Consider a system of stationary waves associated with a moving particle. y is the wave
function of the particle along x, y and z co-ordinate axes at any time t. Based on the
Cartesian co-ordinates, one can write the differential wave equation of a progressive
wave with wave velocity u as,

d 2y d 2y d 2y 1 d 2y
+ + = ¥ (14.22)
dx 2 dy 2 dz 2 u2 dt 2
 Waves and Particles 14.9

The solution for Eq. (14.22) is Eq. (14.21).

d 2y
The value of can be obtained by differentiating Eq. (14.21) w.r.t. t twice.
dt 2

dy
= - iwy 0 e - iw t = - iwy
dt
or
d 2y
= - w 2y (14.23)
dt 2

Substituting the value of d2y/dt2 in Eq. (14.22), we get,

d 2y d 2y d 2y w2
+ + =- y (14.24)
dx 2 dy 2 dz 2 u2

We know that w = 2p n .

(2pn ) 2
Therefore, Eq. (14.24) can be written as, =- y
u2

d 2y d 2y d 2y 4p 2 n 2
+ + =- y (14.25)
dx 2 dy 2 dz 2 u2

Substituting the value of u ( = nl) in Eq. (14.25), we get,

d 2y d 2y d 2y 4p 2n 2
2
+ 2
+ 2
=- y (14.26)
dx dy dz l 2n 2
Substituting the value of the wavelength from Eq. (14.20) in Eq. (14.26), we get,

d 2y d 2y d 2y 4p 2
2
+ 2
+ 2
=- ¥ 2m( E - V ) y (14.27)
dx dy dz h2
We know that — 2 is the Laplacian operator and is equal to

∂2 ∂2 ∂2
— 2= 2
+ 2
+ (14.28)
∂x ∂y ∂z 2
The Laplacian operator operates on the wave function and reproduces the corresponding
wave function and its energy.
Equation (14.27) can be written as,

8p 2
—2y = - m( E - V ) y (14.29)
h2
14.10 Engineering Physics

2m
=- ( E - V )y
2
h
where ħ=
2p
2m
Therefore, —2 y + (E - V ) y = 0 (14.30)
2
The Schrödinger time independent equation can be taken either from Eq. (14.29)
or (14.30) based on the requirements.

14.6.2 Time dependent Wave Equation

On the other hand, for a free particle one cannot use Eq. (14.30), since for a free
particle, the potential energy V = 0. Hence, a more general time-dependent equation
is required. Therefore, Eq. (14.30) can be written by taking V = 0.
2m
—2y + Ey = 0 (14.31)
2
According to Schrödinger’s second assumption, Eq. (14.20) can be differentiated
w.r.t. t, and we get,
dy
= -iw y = - i 2 p n y (14.32)
dt
Where E = hn. We get,
dy -i 2 p E E
= y =-i y
dt h 

 dy
Ey = -
i dt
or
dy
Ey =i (14.33)
dt
According to Schrödinger’s time-independent equation,
2m 2m
  —2 y + 2
Ey - Vy =0
 2

Substituting the value of Ey from Eq. (14.33), we get,

2m dy 2m
— 2y + i ¥ - 2 Vy =0 (14.34)
2 dt 

Multiplying Eq. (14.34) by  2 / 2m , we get,

 Waves and Particles 14.11

2 dy
— 2 y + i -V y = 0
2m dt
or
2 dy
- — 2 y + V y = i (14.35)
2m dt

H is a Hamiltonian operator and is equal to

2
H= - — 2+V (14.36)
2m
Substituting the value of H in Eq. (14.36), we get,
Hy = Ey (14.37)
dy
where E y = i  ¥ is an energy operator.
dt
The Schrödinger time-dependent wave equation can be either in the form of Eq.
(14.35) or (14.37) depending on the applications.

14.6.3 Physical Significance of Wave Functions

The following are the significance of a wave function:
(i) It gives a statistical relationship between the particle and wave nature.
(ii) It is a complex quantity and hence, one cannot measure it.
(iii) It is a function of position and time co-ordinate. Hence, it cannot be used
to locate the position of particle.
(iv) A new term known as position probability density P (r,t) is introduced to
explain the wave function. It is equal to the product of the wave function
y and its complex conjugate as,
2
P (r , t ) = y (r , t ) (14.38)

(v) The probability of finding a particle within a volume dv is

Ú
2
P = y dv (14.39)

where d v = dx dy dz.

(vi) When a particle definitely exists in a volume dv then its probability density
is one,
+•

Ú
2
i.e, P= y dv = 1 (14.40)
-•

(vii) Wave function does not have any physical meaning while the probability
density has physical meaning.
14.12 Engineering Physics

14.7 APPLICATIOn OF SCHrÖdInGEr’S

EQUATIOn TO A PArTICLE In A BOX
•
L

O L x

Fig. 14.6 Schrödinger equation application Particle in a box

Consider a one-dimensional box with width x = 0 to x = L and infinite height as

shown in Fig.14.6. Let E be the total energy of the particle with a mass m moving
freely in the x-direction inside the potential box. The particle is moving inside the
box with limitations x = 0 and x = L, and hence, its motion is restricted by the walls.
Therefore, the particle will be inside the box and hence, its potential energy is zero.
Therefore, one can use the Schrödinger time-independent equation to obtain the wave
function and energy of the particle inside the box.
The particle is inside the box and hence, the potential energy is zero
i.e., for 0 < x < L V=0
Therefore, the wave function
2
i.e., for 0 > x > L y = 0
y=0
The particle cannot be outside the box and hence, the potential energy outside the
box is infinite,
i.e., for 0 ≥ x ≥ L V= •
2
Therefore, the wavelength y π 0 for 0< x < L
According to Schrödinger, the one-dimensional time independent wave
equation is
d 2 y 2m
+ 2 ( E - V )y = 0 (14.41)
dx 
We know that for a freely moving particle, V = 0 in Eq. (14.41), and we get,
d2y 2m
2
+ Ey = 0 (14.42)
dx 2
or
d2y
+ k 2y = 0 (14.43)
dx 2
 Waves and Particles 14.13

2m
where k2 = E (14.44)
2
Equation (14.43) is similar to the equation of harmonic motion, and the solution
of the above equation gives the wave function of the particle inside the box,
y = A sin kx + B cos kx (14.45)
where A and Bare the amplitude of the electron’s wave function.
Applying the boundary conditions, we get,
x = 0 and y = 0
Therefore at this boundary condition the move function of electron is Zero.
Substituting the boundary conditions no. Eq. (14.45),we get, B=0
Similarly, when x = L and y = 0, we get 0 = A sin kL
We know that the electron is present inside the box and hence, A π 0
Therefore, we can write, sin kL = 0
But, sin kL = 0, only when kL = n p
np
Therefore, k = (14.46)
L
Squaring Eq. (14.46) and comparing with the value of k2 in Eq. (14.44), we get,
2m n2 p 2
E=
2 L2
Rearranging the above equation, we get,
n2 p 2 2
En = ¥
L2 2m
Substituting the value of  (= h / 2p ), we get,

n2 p 2 h2
En = ¥
L2 8p 2 m
or n2 h2
En = (14.47)
8mL2
Eq. (14.47) given the permited energy levels of an electron in one dimentional at
potential box.
Therefore, the wave function of the particle can be written by applying the boundary
conditions to value of k from Eq. (14.46) in Eq. (14.45), and we get,
np x
y n = A sin (14.48)
L
One can determine the value of A by considering the definite existence of an electron
inside the box, •

Ú y dx =1
2
i.e., (14.19)
-•
14.14 Engineering Physics

L
Ê np xˆ
Ú A2 sin 2 Á
Ë L ˜¯
dx = 1 (14.50)
0

Rearranging the above equation, we get,

L
Ê np xˆ 1
Ú sin 2 Á
Ë L ˜¯
dx = 2
A
0

L
1 È1 - cos(2 p n x / L) ˘
or
A 2
= Ú Í
Î 2 ˙ dx
˚
0

Integrating the above equation, we get,

1 L
2
=
A 2

2
Therefore, A= (14.51)
L
Substituting the value of A in Eq. (14.48), we get,
The wave function of the electron,
2 np x
yn = sin (14.52)
L L
Equations (14.52) and (14.47) give respectively the wave function and the
corresponding energy levels. For each value of n, the above equations give the
corresponding wave functions and energy levels. The allowed value of the wave
function is known as eigen function, and the energy value is known as eigen value.
We know that the particle is inside the box and hence, it will have a discrete value of
wave function and energy. These wave functions and energies are normalised and are
represented respectively by y1, y2, y3, y4 etc., and E1, E2, E3, E4, etc. The normalised
wave function and energy of the particle inside the box are shown respectively in
Fig.14.7.
y n=1

n=3
n=2

Fig.14.7 One-dimensional potential box—energy levels

 Waves and Particles 14.15

14.8 HEISEnBErG UnCErTAInTY PrInCIPLE

Based on the classical theory, it is clear that each and every particle will have a fixed
position and momentum in a given region of space. One can determine these quantities
exactly at any given point of time. During measurement, there will be an inherent
uncertainty in the determination of the position and momentum. The uncertainty in
the simultaneous determination of position and momentum can be explained based
on the Heisenberg uncertainty principle.
The Heisenberg principle states that the simultaneous determination of a pair of
physical quantities like position and momentum of a particle cannot be determined
with the required accuracy. Let Dx be the error in determining its position and Dp, the
error in determining its momentum during the simultaneous determination. According
to the Heisenberg principle, the above error quantities are related as
1 h h
Dx Dp  or (14.53)
2 2p 4p
Equation (14.53) states that the product of two errors is approximately of the order
of Planck’s constant.
Let DE and Dt be respectively the uncertainty in the measurement of energy and
time. Then according to the Heisenberg principle,
1 h h
Dt DE = 2 2 p or 4p (14.54)

Equation (14.53) and (14.54) clearly state that it is impossible to design an

experiment to prove the wave and particle nature of matter at any given instant of time.
If one measures the position or momentum accurately then there will be an uncertainty
in the other. Thus, the Heisenberg uncertainty principle gives the probability of
determining the particle at any given instant of time instead of a certainty.

14.8.1 Illustration
Consider that a beam of electrons is incident on a slit S of width Dx, which is
perpendicular to the direction of the beam as shown in Fig. 14.8. The initial momentum
of the electrons is p = mv. The electrons acquire momentum along OA after getting
diffracted at the slit S. The angular deflection q of the diffracted electrons depend on
the component of the momentum parallel to the slit,
i.e., Dp = p sin q
For a small angular deflection,
Dp = pq (14.55)
The deflection angle q0 for the first minimum of the diffracted pattern is
x
q0 =
Dx
or
l
Dx = (14.56)
q0
14.16 Engineering Physics

The product of uncertainty in position and momentum

l
Dx Dp = pq
q0
or
q
Dx Dp = p l (14.57)
q0

q q

Fig. 14.8 Heisenberg uncertainty principle—illustration

For a small value of q0, it is nearly equal to q (i.e., q ª q0 approximately)

Therefore, DxDp ~ h (14.58)

where p = h/l

The probable deflection q of the electron is less than q0.

Therefore,
1 h h
D x D p≥ or (14.59)
2 2p 4p
Equation (14.59) states the uncertainty relation for the position and momentum
according to the Heisenberg principle.

Keypoints to remember

• All matter particles will have an associated wave known as matter wave or de
Broglie wave.
 Waves and Particles 14.17

h h
• The de Broglie wavelength l = =
mv p
h
• The de Broglie wavelength of an electron l =
2 m eV
• Matter waves are known as pilot waves (or) guide waves.
• The Davission–Germer and GP Thomson experiments are used to verify the
wave nature of the particles experimentally.
• Schrödinger’s time-independent and time-dependent wave equations are used to
describe the dual nature of matter waves.
2m
• Schrödinger’s time-independent equation is — 2 y + 2 ( E - V ) y = 0

2 dy
• Schrödinger’s time-dependent equation is - — 2 y + V y = i
2m dt

• Schrödingers time–dependent equation in terms of the Hamiltonian operator

Hy = Ey
• According to the Heisenberg uncertainty principle, it is not possible to determine
simultaneously a pair of physical quantities like position and momentum to a
very high precision.

Solved Problems

Example 14.1 Determine the de Broglie wavelength of an electron

accelerated by a potential difference of (i) 150 V, (ii) 5000 V, (iii) 400 V.

Given Data
(i) Potential difference V = 150 V
(ii) Potential difference V = 5000 V
(iii) Potential difference V = 400 V

Solution
Case I
h
The de Broglie wavelength of an electron, l= (i)
2meV

where h is the Planck’s constant; m, the mass of the electron; and V, the
potential difference applied.
Substituting the constant value in Eq. (i), we get,
14.18 Engineering Physics

6.626 ¥10-34
The de Broglie wavelength of an electron l =
2 x ¥ 9.1¥10-31 ¥ 1.6 ¥ 10-19 ¥ 150
= 1.0018 ¥ 10-10 m
The de Broglie wavelength of the electron is 1.0018 ¥ 10-10 m
Case II
h
The de Broglie wavelength of an electron, l= (ii)
2meV
where h is the Planck’s constant; m, the mass of the electron; and V, the potential
difference applied.
Substituting the constant value in Eq. (ii), we get,

6.626 ¥10-34
The de Broglie wavelength of an electron l =
2 ¥ 9.1¥10-31 ¥1.6 ¥10-19 ¥ 5000
= 0.17353 ¥ 10-10 m
The de Broglie wavelength of the electron is 0.17353 ¥ 10-10 m
Case III
h
The de Broglie wavelength of an electron, l= (iii)
2meV
where h is the Planck’s constant; m, the mass of the electron; and V, the potential
difference applied.
Substituting the constant value in Eq. (iii), we get,

6.626 ¥10-34
The de Broglie wavelength of an electron l =
2 ¥ 9.1¥10-31 ¥ 1.6 ¥ 10-19 ¥ 400

= 0.6136 ¥ 10-10 m
The de Broglie wavelength of the electron is 61.36 ¥ 10-10 m
The de Broglie wavelength of the electron
(i) accelerated for a potential of 150 V is 1.0018 ¥ 10-10 m
(ii) accelerated for a potential of 5000 V is 0.17353 ¥ 10-10 m
(iii) accelerated for a potential of 400 V is 0.6136 ¥ 10-10 m

Example 14.2 Determine the wavelength associated with an electron having

an energy of 100 eV

Given Data
Energy of the electron, E = 100 eV
Solution
Energy of the electron, E = 100 ¥ 1.6 ¥ 10-19 = 1.6 ¥ 10-17 J
 Waves and Particles 14.19

h
The de Broglie wavelength of an electron l =
2mE
6.626 ¥10-34
Substituting the values of h, m and n, we get =
2 ¥ 9.11¥10-31 ¥1.6 ¥10-17
l = 1.227 ¥ 10-10 m
The de Broglie wavelength of the electron is 1.227 ¥ 10-10 m.
Example 14.3 A neuton of 1.675 ¥ 10-27 kg mass is moving with a kinetic
energy of 10 KeV. Calculate the de Broglie wavelength associated with it.
Given Data
Kinetic energy of the neutron E = 10 keV
E = 10 ¥ 103 ¥ 1.6 ¥ 10-19
= 1.6 ¥ 10-15 J
Solution
h
The de Broglie wavelength of the neutrons l =
2mE
6.626 ¥ 10-34
=
2 ¥ 1.675 ¥ 10-27 ¥ 1.6 ¥ 10-15

= 2.861 ¥ 10-13 m
The de Broglie wavelength is 2.861 ¥ 10-13 m.
Example 14.4 Determine (i) the velocity of an electron, (ii) phase velocity
of the electron wave, (iii) the de Broglie wavelength, (iv) momentum, and
(v) the wave number of an electron wave. The electrons which are at rest are
accelerated through a potential difference of 125 V.
Given Data
Potential difference applied, V = 125 V
Solution
2eV 2 ¥ 1.6 ¥ 10-19 ¥ 125
(i) The velocity of the electron, v= =
m 9.1 ¥ 10-31
= 6.6299 ¥ 106 m s-1

c2 (3 ¥ 108 )
(ii) The phase velocity of the electron, u = =
v 6.6299 ¥ 106

= 1.3574 ¥ 1010 m s-1

h 6.626 ¥ 10-34
(iii)The de Broglie wavelength, l= =
mv 9.1 ¥ 10-31 ¥ 6.6299 ¥ 106
14.20 Engineering Physics

= 1.0982 ¥ 10-10 m
l = 1.0982Å
(iv) The momentum of the electron, p = mv
= 9.1 ¥ 10-31 ¥ 6.6299 ¥ 106
= 6.033 ¥ 10-24 kg m s-1
1
(v) The wave number of the electron wave, n =
l
1
=
1.0982 ¥ 10-10
9 -1
= 9.1058 ¥ 10 m
The velocity of the electron is 6.6299 ¥ 106 m s-1.
The phase velocity of the electron is 1.3574 ¥ 1010 m s-1.
The de Broglie wavelength is 1.0982 Å.
The momentum of the electron is 6.033 ¥ 10-24 kg m s-1.
The wave number of the electron wave is 9.1058 ¥ 109 m-1
Example 14.5 Calculate the energy of the electron in the energy level
immediately after the lowest energy level, confined in a cubical box of 0.1 nm
side. Also, find the temperature at which the energy of the molecules of a perfect
gas would be equal to the energy of the electrons in the above-said level.
Given data
The length of the potential well L = 0.1 ¥ 10-9m
Solution
For the lowest energy level n x = ny = 1
Let nz be the higher level nz = 2
and hence, the lowest level will be n x = ny = 1
The energy of the electron in the (1 1 2) state is
h2
E112 = (12 + 12 + 22 )
8 m L2
6h 2
=
8mL2
Substituting the values of h, m and L in the above equation, we get,
6 ¥ (6.62 ¥ 10 - 34) 2
E112 =
8 ¥ 9.1 ¥ 10-31 ¥ (0.1 ¥ 10-9 ) ¥ 2

= 36.12 ¥10-18 J
Therefore, the energy of the electron is 36.12 ¥ 10-18 J
 Waves and Particles 14.21

The energy E112 is equal to the average energy of the molecule.

3
Therefore, E112 = kT
2
2
\ The temperature T = E112
3k
Substituting the values of E112 and k in the above equation, we get
2 ¥ 36.12 ¥ 10-18
T=
3 ¥ 1.38 ¥ 10-23
= 17.45 ¥ 105 K
The energy of the electron is 36.12 ¥ 10-18 J
The temperature of the system is 1.745 ¥ 106 K
Example 14.6 An electron is trapped in a one-dimensional box of 0.1nm
length. Calculates the energy required to excite it from its ground state to the
fifth excited state.
Given data
The length of the one-dimensional box = 0.1 nm
= 0.1 ¥ 10-9 m
Solution
We know that the energy of the electron in a one-dimensional well is
n2 h2
En =
8mL2
For the ground state, n = 1
Substituting the values of h, m, and L in the above equation
12 ¥ (6.626 ¥ 10-34 ) 2
E1 =
8 ¥ 9.11 ¥ 10-31 ¥ (0.1 ¥ 10-9 ) 2
= 6.0233 J
6.0233
= = 37.64 eV
1.609 ¥ 10-19
For the fifth excited state, n = 6
62 ¥ (6.626 ¥ 10-34 ) 2
\ E6 =
8 ¥ 9.11 ¥ 10-31 ¥ (0.1 ¥ 10-9 ) 2

= 2.16805 J
2.16805
= = 1355.03 eV
1.609 ¥ 10-19
\ The energy required to excite the electron from the ground state to the fifth
excited state is given by
14.22 Engineering Physics

E = E6 – E1
= 1355.03 – 37.64
= 1317.93 eV
\ The energy required to excite the electron from the ground state to the fifth
excited state is 1317.39 eV.
Example 14.7 Find the energy of the electron moving in one dimension in
an infinitely by high potential box of 0.1 nm width.
Given data
The length of the one-dimensional potential box is 0.1 nm
= 0.1 ¥ 10-9 m
Solution
For the lowest energy level, n= 1
The energy of the electron in a ground state is
h2
E1 = (1) 2
8mL2
h2
=
8mL2
Substituting the value of h, m and L in the above equation, we get,
(6.626 ¥ 10-34 ) 2
E1 =
8 ¥ 9.11 ¥ 10-31 ¥ (0.1 ¥ 10-9 ) 2
6.0233 ¥ 10-18
= 6.0233 ¥ 10-18 J = J
1.609 ¥ 10-19

= 37.64 eV
The energy of the electron in the ground level is 37.64 eV
Example 14.8
En +1 - En
For the one-dimensional well, show that limit =0
En
nƕ
Given data
The limit of the quantum number nƕ
Solution
We know that the energy of the electron in a one-dimensional well is
n2 h2
En =
8mL2
Similarly, for the (n + 1)th state, the energy
(n +1) 2 h 2
En+1 =
8mL2
 Waves and Particles 14.23

\The difference in the energy between nth and (n + 1)th state,

h2
En+1 – En = È(n + 1) 2 - n 2 ˘
8 m L2 Î ˚

Rearranging the above equation, we get,

E( n+1) - En (n + 1) 2 - n 2
=
En n2
Given that n Æ •
\ (n + 1)2 – n2 Æ 0
Therefore, En +1 - En
limit =0
En
NÆ•

Example 14.9 If the uncertainty in position of an electron is 4 ¥ 10-10 m,

calculate the uncertainty in its momentum.
Given data
The electron in the position Dx = 4 ¥ 10-10 m
Solution
We know from the Heisenberg uncertainty principle,
Dx Dp ª h
h
Therefore, Dp =
Dx
Substituting the value of h and Dx in the above equation, we get,
6.6 ¥ 10-34
The error in the momentum Dp = = 1.65 ¥ 10-24 kg m s-1.
4 ¥ 10-10
The uncertainty in momentum Dp is 1.65 ¥ 10-24 kg m s-1.
Example 14.10 Calculate the minimum energy that an electron can posses
in an infinitively deep potential well of 4 nm width.
Given data
The width of the potential well L = 4 nm
= 4 ¥ 10-9 m
Solution
n2 h2
Energy of the electron in a one-dimensional potential well =
8mL2

12 ¥ (6.626 ¥ 10-34 ) 2
E = -34 -9 2
= 3.765 ¥ 10-21 Joules
8 ¥ 9.11 ¥ 10 ¥ (4 ¥ 10 )
14.24 Engineering Physics

3.765 ¥ 10-21 J
E = = 0.235 eV
1.6 ¥ 10-19

Example 14.11 An electron is confined to a box of 10-9 m length. Calculate

the minimum uncertainty in its velocity.
Given data
The electron in the position Dx = 10-9 m
Mass of the electron m = 9.1 ¥ 10-31 kg
Planck’s constant h = 6.6 ¥ 10-34 J s
Solution
We know that Dx Dp = h
When Dx is maximum, the error in Dp, i.e., the uncertainty in momentum is
minimum.
i.e., (Dx)max (Dp)min = h
h
or ( D p ) min =
( Dx) max
Substituting the values of Dx and h in the above equation, we get,
6.6 ¥ 10-34
( D p ) min =
10-9
= 6.6 ¥ 10-25 kg m s-1

We know that minimum error in momentum ( D p ) min = m ( D v) min

( D p ) min
Therefore, ( D v) min =
m

Substituting the values of ( D p ) min and m in the above equation, we get,

The minimum error in velocity

( Dpx ) min 6.6 ¥10-25
( D vx ) min = = = 7.3 ¥105 ms -1
m 9.1¥10-31

The minimum uncertainty in velocity is 7.3 ¥ 105 m s -1 .

Objectives Questions

14.1 Electrons, protons and neutrons are the examples for ______.
 Waves and Particles 14.25

14.2 The wave function is denoted by ______.

14.3 Matter waves are not ______ waves.
14.4 Matter waves are used as ______ to guide the matter particles.
14.5 In Davission and Germer experiment, electron is selected as a particle due
to ______ and ______.
14.6 Bragg’s diffraction formula 2d sinq = n ______.
14.7 The de Broglie wavelength of electron accelerated through a potential of
54 V is ______ A˚.
14.8 Two forms of Schrödinger’s equation are ______ and ______.
14.9 When the particle is inside the box, it’s potential energy is equal to
______.
14.10 When the electron is inside the well, the wave function associated with
the electron is ______.
14.11 The wave function corresponding to each En is known as ______.
14.12 Heisenberg uncertainty principle Dx Dp = ______.

KEY
14.1 Matter particles 14.2 y
14.3 Electromagnetic 14.4 Pilot
14.5 Easy generation, detection 14.6 l
14.7 1.67 14.8 Time independent, time dependent
14.9 Zero 14.10 Not equal to zero
h
14.11 Eigen functions 14.12
2p

Exercises

14.1 Determine the de Broglie wavelength of an electron accelerated through

a potential difference of 200 eV.
14.2 Compute the de Broglie wavelength of a proton whose kinetic energy is
equal to the rest energy of an electron. Mass of a proton is 1836 times
than that of the electron.
14.3 Compare the de Broglie wavelength, speed and momenta of a proton and
a-particle having the same kinetic energy.
14.4 Determine the energy levels and wave function for an infinitely deep two-
dimensional potential well.
Given that V = 0 for 0 < ¥ < d and 0 < y < d and v = a for outside of
this region.
14.5 Determine the energy levels for a particle with mass m in a one-dimen-
sional potential box shown in Fig. 14.10.
Given that V = V1 for x £ 0, V = 0 for 0 < x < and V = V2 for x ≥ d
14.26 Engineering Physics

V1

V2

0 V

Distance

Fig. 14.10 Energy levels of a particle

14.6 Applying the uncertainty principle, show the non-existence of an electron

inside the nucleus.
14.7 A particle is different at a certain angle and the uncertainty in the mea-
surement of the angle is one second of the angle. Estimate the error in
the measurement of its angular momentum.
14.8 An electron has a speed of 600 m s-1 with an accuracy of 0.005%.
Determine the certainty with which one can locate the position of the
electron.
14.9 Determine the uncertainty in velocity if the uncertainty in the location of
a particle is equal to its de Broglie wavelength.

Short Questions

14.1 What is meant by dual nature?

14.2 Explain particle wave duality.
14.3 What is meant by matter waves?
14.4 Define de Broglie wave length.
14.5 Write down the de-Broglie matter wave equation? .
14.6 What are the ideas prompted de Broglie, to propose his concept about
matter waves?
14.7 Define wave function.
14.8 What is meant by Schrödinger equation?
14.9 Write the Schrödinger time independent equation and explain the various
terms.
14.10 Write the Schrödinger time dependent equation and explain the various
terms.
14.11 Drive an expression for the de Broglie wavelength of an electron.
14.12. What is the physical significance of wave function?
14.13 What is meant by eigen function?
 Waves and Particles 14.27

14.14 Define Eigen value.

14.15 State and explain Heisenberg uncertainty principle.

descriptive Questions

14.1 Explain the particle wave duality. Drive the equation for the de Broglie
equation for an electron accelerated through a potential difference V.
14.2 What are the matter waves? Explain with neat sketch the existence of
matter waves using Thomson’s experimental method.
14.3 Explain with neat sketch the experimental verification of matter waves
using Davisson-Germer experiment.
14.4 Derive the Schrödinger time independent and time dependent wave
equation.
14.5 Explain the physical significance of the wave functiony ? Explain the
application of Schrödinger wave equation to a particle in a box.
14.6 Explain Heisenberg uncertainty principle with suitable illustration.
14.7 Write note on the following
• Matter waves
• Particle in a box
• Heisenberg uncertainty principle
 Chapter

Semiconductors
15

OBJECTIVES
• To explain the property of a solid material on the basis of band theory
• To study the classification of semiconductors such as intrinsic and extrinsic
semiconductors
• To explain the arrangement of atoms in intrinsic semiconductors
• To explain the structural changes of extrinsic semiconductors when added with tri/
pentavalent element
• To study the principle behind LED and different types of LED’s
• To explore the possible LED materials and their properties
• To understand the principle behind the passive display device, namely, LCD and
the classification of LCD devices
• To study the characteristic properties of LCD
• To compare the relative merits of LED and LCD
• To review the applications of display devices

15.1
i Most electronic devices are made of semiconductors such as silicon and
n germanium. The applications of semiconductors and their devices are ever
t increasing in all fields of science and technology.Hence, knowledge on
the classification, structures and properties of semiconductors has become
r very essential to identify the right materials for their applications. In the
o next chapters, electrical properties of materials will be studied in detail.
d Therefore, in this chapter, the classification, bonding and structure of solids
u are discussed in the first part; while in the second part,certain applications
c such as solar cells and display devices are discussed in detail.
t
i
o
n
15.2 Engineering Physics

15.2 classification of solids on the basis

of band theory
Based on the energy band structure, the arrangement of electrons and forbidden bands,
solid materials are classified into the following three categories:
(i) Conductors
(ii) Insulators, and
(iii) Semiconductors
Let us discuss these materials briefly and move on to semiconducting materials.

15.2.1 conductors
Materials which conduct electric current when a potential difference is applied across
them, are known as conductors. In case of a conductor, the valence band is completely
filled, while the conduction band is half filled, as shown in Fig. 15.1.
Therefore, when a small potential difference is applied to a solid material, it provides
sufficient energy to the electron in the valence band to shift to the conduction band.
Thus, the shifting of electrons from the valence band to the unfilled conduction band
results in the flow of current in the material. Examples for some good conductors are
copper, lithium, etc.
Degeneracy
2p
Empty
6 6N

2s Conduction band
2
2N
Forbidden
energy gap
2N Valence band
1s
2

(a) Energy level diagram (b) Energy bands

Fig. 15.1 Conductors–lithium atom

15.2.2 insulators
Solid materials which do not conduct electric current under normal conditions are
known as insulators. In insulators, the valence band is completely filled and it has
no electron in the conduction band. Further, the forbidden energy gap will be very
high when compared with a conductor. The energy band diagram of an insulator (for
example, ebonite) is shown in Fig. 15.2. Therefore, the energy required to shift an
electron from the valence band to the conduction band to make electrical conduction
is very high. Hence, it is not possible to provide enough energy by an ordinary electric
field. However, one can achieve electrical conduction in an insulator with very high
voltage, known as breakdown voltage.
 Semiconductors 15.3

Empty conduction
band

Forbidden band

Eg = 5eV
Energy
(eV) Valence band

Fig. 15.2 Energy bands in insulators

15.2.3 semiconductors
Semiconductors (for example, silicon or germanium) are materials whose electrical
conductivity lies between that of conductors and insulators. The conductivity of
semiconductors is of the order of 104 to 10–4 mho m–1. The magnitude of the forbidden
energy gap of a semiconductor lies in between the forbidden energy gap of insulators
and conductors, as shown in Fig. 15.3.

Conduction band
(contains few electrons
at room temperature)

Eg 1 eV

Energy
(eV) Valence band (with few
holes at room
temperature)

Fig. 15.3 Energy bands in semiconductors

Semiconducting materials, whether elemental, compound or oxide, all are crystalline

solids in nature. Well-known semiconductors, such as silicon and germanium, are
elemental semiconductors, while gallium arsenide (GaAs), cadmium sulphide (CdS),
etc., are known as compound semiconductors. Some of the oxide semiconductors are
Bi2O3, Te2O3, ZnO3, Cu2O, etc.
Let us discuss the different types of semiconductors and their applications in detail.

15.3 classification of semiconductors

Semiconductors are of two types and are classified on the basis of the concentration
of electrons and holes in the materials
15.4 Engineering Physics

(i) Pure or intrinsic semiconductors,

(ii) Doped or extrinsic semiconductors
Let us discuss the above two types of semiconductors in detail.

15.3.1 Pure or intrinsic semiconductors

Highly pure semiconductors are called
intrinsic semiconductors, which means that Electron
the concentration of electrons must be equal
to the concentration of holes.
In order to understand the electrical
conducting property in a semiconducting
material, let us first consider the arrangement of
atoms in a material, say, silicon (or germanium).
Both germanium and silicon have four valence
electrons as shown in Fig. 15.4.
Let us consider the crystal arrangement
of silicon (or germanium). Silicon atom is Fig. 15.4 Two dimensional
represented by a circle, while the valence arrangement of atoms
electron is marked by black dots. The central in silicon at T= 0 K
silicon atom is surrounded by four valence
electrons constituting a covalent bond between the two atoms, due to the sharing of
valence electrons.
If we consider the crystal structure at 0 K, all the valence electrons are engaged in
forming covalent bonds with the neighbours. Therefore, no free electron is available. At
this stage, the material does not conduct current due to the lack of mobile charges, i.e.,
at 0 K, the material behaves as an insulator. Electrical conduction can be more lucidly
explained by considering the energy level diagram of silicon at 0 K, as shown in Fig.
15.5. At 0 K, the valence band is completely filled and there is no empty space in the
valence band. Therefore, electrons can shift from the valence band to the conduction
band through the forbidden gap. The shifting of electrons is not possible even for a
large applied field strength at 0 K.

Conduction band

Eg

Energy Valence band

(eV)

Fig. 15.5 Energy-band-diagram of silicon at T = 0 K

However, the thermal energy is sufficient to liberate an electron from the valence
band at room temperature. When the temperature of the intrinsic semiconductor is
 Semiconductors 15.5

raised, the atoms in silicon vibrate about their

mean positions. This provides sufficient
energy to the electrons due to which the
breaking of the covalent bonds takes place as
shown in Fig. 15.6. The broken electron is now
said to be a free electron.
When an electrical field is applied, the free
electron acquires sufficient energy and shifts
from the valence band to the conduction band.
This results in the creation of a hole in the
valence band, as shown in Fig. 15.6. The free
electrons move in the conduction band, while
the holes move in the valence band. Thus,
electrons and holes are moving opposite to Fig. 15.6 Two-dimensional
each other, as shown in Fig. 15.7. arrangement of atoms
When a potential difference is applied in silicon at T= 0 K
across a silicon/germanium crystal, the electric
force experienced by the electrons and holes are opposite. Thus, due to the opposite
charges, the movement of electrons and holes give rise to an electric current in the
same direction. The conductivity of germanium is higher than silicon.

Electron Conduction band

Hole

Energy Valence band

(eV)

Fig. 15.7 Energy band diagram of silicon at T > 0 K

15.3.2 extrinsic semiconductors

The application of intrinsic semiconductors is restricted due to their low conductivity.
In electronic devices, high conducting semiconductors are more essential. The
concentration of either electrons or holes in a semiconductor is increased depending
upon the requirements in the electronic devices.
This can be carried out simply by adding impurities (one atom in 107 host atoms)
to the intrinsic semiconductors. The process of adding an impurity to the intrinsic
semiconductors is known as doping. The doped semiconductor is called extrinsic
semiconductor. The concentration of electrons and holes are not equal in an extrinsic
semiconductor.
Extrinsic semiconductors are classified into two categories based on the
concentration of the charge carriers as given below:
(i) n-type semiconductors
(ii) p-type semiconductors
15.6 Engineering Physics

(i) n-type semiconductors when a pentavalent atom such as arsenic (antimony,

bismuth, phosphorus) is added as a dopant to the tetravalent silicon atom, the arsenic
atom will occupy one site of the silicon atom. Thus, out of five free electrons in arsenic,
four electrons make covalent bonds with the four neighbouring silicon atoms and the
fifth one is loosely bound to the silicon atom, as shown in Fig. 15.8.

Conduction band

Energy level eV
Donor level

Valence band

(a) With free electrons (b) Energy at donor level

Fig. 15.8 doping in n-type semiconductors

The energy required to ionise the fifth electron is very less and hence, the thermal
energy of the material shifts the free electron to the conduction band. Each arsenic atom
contributes one free electron to the crystal and hence, it is called a donor impurity. In
this type of semiconductor, the concentration of charge carriers (i.e., electrons) is more
than that of holes. Therefore, these semiconductors are called n-type semiconductors.
In an n-type semiconductor, electrons are the majority carriers while holes are the
minority carriers.
(ii) p-type Semiconductors Instead of a pentavalent atom, the addition of a trivalent
atom indium (In) to the tetravalent silicon atom, occupies the crystal site of the silicon
atom as shown in Fig. 15.15.

Conduction band
Energy level, eV

Acceptor level

Valence band

(a) With vacancy (b) Energy at acceptor level

Fig. 15.9 doping in p-type semiconductors

 Semiconductors 15.7

The three valence electrons in indium make covalent bonds with the three neighbouring
silicon atoms, whereas the fourth bond has an empty space known as hole due to
the deficiency of one electron. Therefore, when a trivalent atom is added to silicon,
it creates a hole in the valence band. The dopant (indium) accept an electron from
the neighbouring silicon atom to form a covalent bond and hence, it is called an
acceptor. The hole in the valence band moves freely and hence, the current flows
through the material. This type of electrical conduction will take place only when the
dopant valency is less than that of the parent atom. Such semiconductors are called
p-type semiconductors. In a p-type semiconductor, holes are the majority current
carriers and electrons are the minority current carriers.

15.4. solar cells

Let us discuss in this section the general description, characteristics and materials of
some important solar cells and their applications.
A solar cell is nothing but a p-n junction device based on the principle of
photoelectric effect. It directly converts light into electricity and, hence, is known as
a photovoltaic cell.

15.4.1 description of a solar cell

The first solar cell made of silicon was developed in 1954. Even today, silicon cells
are the only cells which have commercial status. Conventional silicon cells are thin
wafers about 300 mm thick and 3 to 6 cm in diameter, sliced from a single crystal of
n-type or p-type doped silicon (see Fig. 15.10).

Light

Metal electrode
on front side
~ 0.2 m m n-type Si

~ 300 m m
p-type Si External
load

Metal electrode
on back side

Fig.15.10 diagrammatic representation of a solar cell

A shallow junction is formed at one end by the diffusion of the other type of
impurity. Metal electrodes are made of Ti-Ag solder and are attached to the front and
back sides The electrodes are in the form of a metal grid with fingers which permit
sunlight to pass through it. On the back side, the electrode completely covers the
surface. An antireflection coating of SiO having a thickness of about 0.1 mm, is also
put on the top surface.
15.8 Engineering Physics

15.4.2 Working of a solar cell

When radiation falls on a solar cell, it is absorbed and pairs of positive and negative
charges, called electron-hole pairs, are created. The positive and negative charges are
separated because of the p-n junction. The direct current thereby produced is collected
by the metal electrodes and flows through the external load.
(i) V-I Characteristics of a Solar Cell The volt-ampere characteristics of a solar
cell are determined by connecting a decade resistance box and a voltmeter as shown
in Fig15.11

Solar cell
+
R V
_

Light

Fig15.11 Volt-ampere characteristics of a solar cell

A known intensity of light from a halogen lamp is made to fail on it. The resistance
values are varied step by step and the corresponding voltages across the resistance box
is measured using a voltmeter. From the known values of V and R, the value of I is
determined using the relation, I = V/R. A graph is drawn between voltage and current
as shown in Fig. 15.12.

Isc
Power = –VmIm
Pmax I Vm
Im
V

Current
Im
Pmax

Voltage Vm Voc

Fig. (15.12) Characteristic curve

The current Isc shown in Fig. 15.12 is obtained by short-circuit in the two terminals
of the solar cell and this current is known as short-circuit current. Similarly, voltage
Voc is known as open-circuit voltage. The product of these two quantities gives the ideal
power of the cell. The maximum useful power is the area of the largest rectangle that can
be formed in the V-I curve. The corresponding voltage and current are represented by Vm
and Im. Therefore, the maximum useful power is Vm Im. The ratio of the maximum useful
power to the ideal power is called the fill factor. A typical value of the Voc, Ix and fill factor
for a silicon cell are. respectively, 450 to 600 mV, 30 to 50 mA and 0.65 to 0.8.
 Semiconductors 15.9

(ii) Efficiency of a Solar Cell Efficiency of a solar cell is defined as the ratio of the
total power converted by the solar cell to the total solar power available for energy
conversion.
Maximum output electrical power
h=
Input optical power
Pmax
h= ¥ 100 (15.2)
Light intensity ¥ area of the solar cell
Equation (15.2) is used to calculate the efficiency of the solar cell and the same found
to vary from 10 to 15 per cent.
(iii) Fill Factor The fill factor of a solar cell is given by the relation.
Maximum output power
f = (15.2)
Voc × I sc
The fill factor of the solar cell is found to be 0.65 to 0.8.

15.4.3 solar cell materials

There are many materials which can be used for solar cells. The first parameter
affecting the choice of the semiconductor for the photovoltaic application is the
band-gap energy. The band-gap energy of a semiconductor should be comparable
with the energy of the photons present in the solar spectrum, so as to absorb more
number of photons. The energy gap of the materials which are used as solar cell is
given in Table 15.1

table 15.1 Energy gap of solar cell materials

S. No. Material Energy gap (eV)

1. Si 1.11
2. CdS 2.42
3. GaAs 1.40
4. CuInSe2 1.01
5. CdSe 1.74
6. CdTe 1.44
7. CuInS2 1.50
S. CuInTe2 1.90
9. ZnSe 2.60
10. ZnTe 2.20

15.4.4 classification of solar cells

Solar cells are classified into different categories, namely,
(i) p-n homojunction
(ii) p-n hetrojunction
(iii) Schottky barrier
15.10 Engineering Physics

(iv) Homojunction hetrostructure

(v) MIS (metal-insulator-semiconductor cell), and
(vi) SIS (semiconductor-insulator-semiconductor cell)
Let us discuss the gallium arsenide solar cells in detail
Gallium Arsenide Solar Cells GaAs solar cells perform well in monocrystalline
form, compared to polycfystailine thin film solar cells. They have high absorption
co-efficieni for visible light. They absorb all light in a surface layer of 1 µm thickness.
The schematic diagram of a GaAs solar cell is shown in Fig. 15.13
Illumination

Metal grid
positive contact

p-type Ga (l-x)
AIx As (0.3mm)
n-type GaAs

(Zn doped)
0.5mm
Metal negative
contact

Fig. 15.13 Schematic diagram of a GaAs solar cell

In the case of GaAs solar cells, the surface recombination is very high and at the
same time the carriers have short diffusion lengths. Therefore, the efficiency of the
GaAs solar cells, is low. Low efficiency in this solar cells is also due to the lack of
understanding the material fabrication parameters which are used to determine the
minority carrier life time. Therefore, a new hetrojunction solar cell is made using GaAs/
Ga(1-x) Alx As material with an efficiency of 19 percent. The junction at the interface
of GaAs and Ga(1-x) Alx. As does not affect the crystal structure very much and, thus,
does not introduce recombination centres near the junction.

15.4.5 application of solar cells

There are three broad categories for terrestrial photovoltaic applications:
industrial, social and consumer applications.
(i) Industrial Applications Telecommunication PV systems are used effectively for
the operation of telecommunication equipment in remote and difficult to access areas
like mountain tops, islands and deserts.
Cathodic Protection To prevent corrosion of pipeJines, bridges, etc., a small direct
current is impressed on the structures at regular intervals. This is called cathodic
protection. For this, small PV panels may be used to provide this current efficiently.
Alarm Systems PV systems are also used to power railway signals, alarm systems,
fog. fire and flood hazard warnings, traffic lights and highway telephones.
 Semiconductors 15.11

Defense Equipment Defense equipment like mobile telephone, remote

instrumentation, remote radar, water purifier, etc., are powered by PV systems.
Remote Aircraft beacons Remote radio and light beacons are powered by PV
systems.
Automatic Meteorological Stations For recording the whether report at a frequent
interval of time, meteorological stations are powered by PV systems.
(ii) Social Applications
(i) PV devices are used to provide electric power to remote villages
(ii) PV powered water pumps are being installed to provide potable waterf- flow
or plant
(iii) PV is used to power refrigerators at community health centres for keeping
vaccines at low temperatures.
(iii) Consumer Applications Some consumer products, such as pocket calculators,
watches, torches, garden lights, portable fans for cars and houses, radios, toys, electric
fences, etc., are powered by PV solar systems

15.5 disPlay deVices

Recent advancements in the field of science and technology require information on
the classification, basic principles, working mechanism, performance and applications
of different display devices. Display devices are an output unit which give visual
representation of data, i.e., display device is a device which produces the information
on the screen. Generally, the display devices are classified into two different
categories, namely, active and passive devices. The device which emits radiation on
its own is known as an active device. On the other hand, the device which modulates
incident radiations to provide necessary display information is known as a passive
device. Display devices play an important role in many areas such as electronic
instruments, advertisements, healthcare, home products, etc. The principle, operation
and applications of both active and passive display devices are given in detail in the
following sections.

15.6 actiVe disPlay deVices

An active display device is a device which emits its own radiation when a required
power is given to the device. The examples of active display devices are
( i) Cathode ray tubes
(ii) Light emitting diodes
The principle, working and application of light emitting diodes is given briefly in
the following heading:

15.6.1 light emitting diode

A Light Emitting Diode (LED) is a junction diode which emits light when it is
forward biased. The principle behind LED is electroluminescence. The process of
15.12 Engineering Physics

injecting electrons and holes into the n-type and p-type materials is known as injection
electroluminescence.

Principle
Electrons are charge carriers in a semiconductor and it absorbs energy when an
electric energy is applied. The total energy of the charge carrier electrons increases
and hence,they are excited to the higher energy state (E2). The excited electrons in
the higher energy states stay there only for a few seconds, and after the mean lifetime
eventually return back to the ground state energy level (E1). During this process, a
spontaneous emission of the radiation of light takes place. The energy of the emitted
photon (hn) is equal to the energy of band gap (Eg) of materials, i.e.,

Eg = hn (15.4)
where h is the Planck’s constant and n, the frequency of the emitted radiation.
c
Substituting the value of n = in Eq. (15.4), we get,
l

hc
Eg = (15.5)
l

where c is the velocity of light and l, the wavelength of light.

Equation. (15.5) can be written as,

hc (15.6)
l
Eg

Equation. (15.6) gives wavelength of emitted photon.

Substituting the values of h = 6.62 ¥ 10-34 J s and c = 2.998 ¥ 108 m s-1 in
Eq. (15.6), we get,
6.62 ¥ 10-34 ¥ 2.998 ¥ 108
The wavelength of emitted photon l =
Eg

12400 
l= A (15.7)
Eg (ev )

Equation. (15.7) indicates that the wavelength of emitted photons depends on the
energy gap in the semiconductor. Thus, the energy gap of a semiconductor plays a
major role in selecting a suitable material for LED applications. The type of material
is also an important factor to be considered for the materials selection.

operation
LED is a forward biased p-n junction (Fig. 15.14). When it is forward biased
suitably, it emits visible light. During the forward biasing, the charge carriers,
 Semiconductors 15.13

namely, electrons and holes, are injected respectively into the anode and cathode
regions. The recombination of the charge carriers, namely, the electrons from
the n-side and the holes from the p-side, takes place at the junction. During the
recombination, the difference in the energy is given up in the form of heat and light
radiation, i.e., photons. The energy of light radiation depends on the strength of
recombination. Thus, the diode current controls electroluminous efficiency of the
LED. The emitted light is very small in intensity and is of the order of microampere
range. The emitted light colour depends on the types of materials used. For example,
materials like GaAs, GaP and GaAsP are used to produce infrared, red or green
and red or yellow colours.

p-type
– – – – –
– – – – – –
n-type
Eg hv – – – –
–
– – – – – –
Ec
+ + + + + +
+ + + + + hv

+ + + Ev
+ + +
+ + + + +

Fig 15.14 p – n Junction spontaneous emission

15.6.2 led in electrical circuits

The symbol used for LED is shown in Fig 15.15a. Similarly, a typical forward biased
LED circuit and its symbols is shown in Fig. 15.15 b and c.

p n

+ – + –

Fig. 15.15 Light emitting diode

The cross - sectional view of gallium arsenide phosphide (GaAsP) semiconductor

and its symbol is shown in Fig.15.16. Gallium arsenide is used as substrate to grow
15.14 Engineering Physics

a thin layer of n type gallium arsenide phosphate through the epitaxy method. Above
the n type layer, a very thin layer of p-region is diffused. Similarly, very a thin layer
of p-region is diffused into the epitaxial layer. The anode is laid down on the p-region
in the shape of a comb or other similar configurations. In order to allow more central
surface area for the light to escape, the provisions for metal oxide connections are
given at the outer edge of the p-layer.

Light Photons

Metal comb anode

p-n junction

1-1.5mm

– + p-region
– +

–
n-region
Symbol

Fig. 15.16 Gallium arsenide phosphate semiconductor—sectional view

15.6.3 types of leds

LEDs are available as discrete components, packaged for specific applications, or as
high intensity light source products depending on the applications.
(i) Discrete LED The popular standard type LED is in the form of a small round dome
epoxy encapsulation. LEDs are also available in a variety of other shapes and sizes.
In particular, rectangular, square and triangular LEDs are available for applications
like panel indicators. LED components like axial leaded LEDs, bar graph displays,
tri-coloured RGB LEDs, and surface mount technology components are also available
in the market. The salient features of LEDs include low current, high brightness, high
voltage, flashing and multicolour variants.
(ii) Alphanumeric Displays In 1967, LED displays are introduced by comprising
7 or more individual LED’s. In most of the electrical appliances and other
applications, these types of displays are used. The displays are arranged either by
using a multi-segment LED display or a dot-matrix LED display. The alphanumeric
character is displayed by means of using array LED’s and seven-segment LEDs.
The schematic representation of 7 ¥ 5 array and seven segment LED arrangements
for the alphanumeric display are shown respectively in Fig.15.17a and b. In 7 ¥ 5
array LED display, the illuminated points are shown as dark points while non-
illuminated points are shown by white points. A typical representation of decimal
5 read-out is shown in Fig. 15.17a. The seven- segment display is energised
by applying a potential ranges from 1.5 to 3.3 V with a constant current of 50
to 100 mA. The above display can produce different colours such as red, blue,
 Semiconductors 15.15

green and orange. In most of the display applications, seven-segment displays

are commonly used.

(a) 7 ¥ 5 array of LED’s

Epoxy encapsulation

Light pipe

LED

(b) Seven-segment LED

Fig. 15.17 Alphanumeric display

(iii) LED Clusters and Lights In order to produce brighter and high power lights,
groups or clusters of LEDs are used. The total brightness of the group or cluster of
LED may failure even if there is a breakdown of one or two individual LEDs with in
the group. However, the application of LED technology is increasing in the market
due to the high density light yield.

15.6.4 leds—reduction in reflection loss

Generally, when an LED emits light, there is a loss of light energy due to the reflection
losses which arise in LEDs. There are two methods by which one can reduces the loss
due to reflections. One way of reducing loss of reflection is by making the LED with a
hemispherical dome as shown in Fig. 15.18a. In this method, the p-type material is used
to obtain a hemispherical domelike structure. Thus, the dome forms a semiconductor/
air interface. When the light rays strike the semiconductor/air interface at an angle
less than the critical angle, they emerge out without any loss. The energy loss is
further reduced by replacing the dome by means of plastic encapsulation as shown in
Fig.15.18b. The replacement of semiconductor/air interface in a hemispherical dome
by a plastic/air interface further reduces the loss of energy due to reflection. In most of
the commercial LEDs, the plastic encapsulation techniques are employed to improve
brightness of the light energy.
15.16 Engineering Physics

Plastic encapsulation
p
p�n �unction

Electrical
c��tact� �lect�ical contacts
(a) Hemispherical dome (b) Plastic encapsulation
Fig. 15.18 LEDs— reduction in reflection loss

15.6.5 led materials

The material selection for the fabrication of LED is essential due to the emission of
different colours (wavelength). The emission of light with different colours depends
on the semiconductor materials. The essential factors such as energy gap, both n- and
p-type with efficient pathways are to be considered for the fabrication of LEDs. The
wavelength of the light emitted depends on the energy gap of the semiconducting
materials. For example, infrared and far infrared light are emitted by lower band–gap
materials, while visible light is emitted by larger band gap (≈ 2 eV) materials. Due
to the high melting point, high resistivity and low structural stability, the high band
gap materials have advantages in LED applications than low band gap materials. The
commercial by available materials for LED applications along with their properties
are briefed in the following headings:
(i) Gallium Arsenide Gallium arsenide (GaAs) is an III–V compound semiconductor
consisting of the element gallium from the column III and the element arsenic from V of
the periodic table. It is a direct band gap semiconductor. At room temperature,the band
gap energy is 1.44 eV. It has high luminescent efficiencies due to the readily formed
p-n junction. The mass radiation is due to the band -to- band transitions. Hence, the
emitted radiations are reabsorbed. The efficient diodes are obtained by doping silicon,
either as a donor or acceptor. The incorporation of silicon is used to replace either Ga
or As depending on the doping. Thus, the main radioactive transition is based on the
recombination between conduction band and complete acceptor level. In such a case,
the band-to-band transition is not effective due to the insufficient energy of radiation
and hence, re-absorption is very low. Generally, the wavelength of light emitted from
GaAs LED lies between 910 and 1020 nm.
(ii) Gallium Phosphate Gallium phosphate (GaP) is an indirect band–gap
semiconductor with Eg = 2.26 eV. These semiconductors are converted into an efficient
light emitter by doping impurity in the band gap. Generally, it emits red and green
 Semiconductors 15.17

light. There is no band-to-band radioactive transition. Elements such as N and Bi

from group V, have the same valence as that of P and are doped. It is useful to get
the radioactive recombination rather in forming donor or acceptor states. When the
doping concentration of N is greater than 1014 cm-3, it results in a shift in the emitted
light radiation from 550 nm (green) to 590 nm (yellow). This observed shift in the
light radiation is due to the defect level in the band gap. A simultaneous doping of Zn
and O in GaP results in light radiation at 640 nm (red).
(iii) Gallium Arsenide Phosphide Gallium arsenide phosphide (GaAs1-xPx) is an
important semiconductor for LED fabrication due to the change in band gap energy.
The band gap energy depends on the composition of x. When the composition is low
(x < 0.45), it gives a direct band gap semiconductor, while when it reaches x = 0.45, a
change in the direct baned gap to indirect band gap takes place. Thus, the energy gap
at x = 0.45 is 2.1 eV. One can produce light emission for different colours such as red,
orange and yellow by changing the composition of x and the doping content N.
(iv) Gallium Aluminium Arsenide Gallium aluminum arsenide (GaxAl1-xAs) is
a new semiconductor used for the fabrication of LEDs. The light emitted by these
materials lies in between red and near infrared region. The intensities of the light are
very high and hence, it is called super bright LEds. The standard type GaAsP LEDs
are replaced by GaAlAs LEDs. The high-intensity radioactive emission is due to the
formation of n-type Ga0.3Al0.7As and p-type Ga0.6Al0.4As semiconductor by doping
Zn. The emission is achieved at 650 nm with high efficiency. The doping of Si with a
change in Al composition is possible due to increase the band gap and hence, emission
rate from 870 to 890 nm.
(v) Indium Gallium Arsenide Indium gallium arsenide (In 0.53 Ga 0.47 As)
semiconductor is used for fiber optical communications. The light emitted by the
LEDs is in the range of 1.1 to 1.6 mm. This wavelength range is more suitable for
optical communications since the spectral region of optical fibers lies in the same
range. The general characteristic properties of common LED materials are given in
Table 15.2.

table 15.2 Properties of LED materials

Peak wave
Band gap Band gap
Materials length Colour
Type (eV)
(nm)

GaP:ZnO Indirect 1.78 700 Red

GaAsP Direct 1.99 650 Red

GaAsP: N Indirect 1.95 630 Red

AlGaAs Direct 1.91 650 Red

AlGaP Direct 2.00 620 Red

AlInGaP Direct 2.08 595 Amber

GaAsP:N Indirect 2.10 585 Yellow

15.18 Engineering Physics

AlInGaP Direct 2.18 570 Yellow–Green

GaP:N Indirect 2.20 565 Yellow–Green

GaP Indirect 2.26 555 Green

SiC Indirect 2.9 – 3.05 480 Blue

GaN Direct 3.5 450 Blue

15.6.6 advantages
The following are the advantages of LEDs:
• LEDs are used to produce more light per watt than incandescent bulbs.
• It is easy to operate than through battery power.
• LEDs are highly protected as they are built inside solid cases.
• The lifespan of LEDs is more than 100,000 hours.
• LEDs light up very quickly.
• A typical red indicator LED will achieve full brightness within few microseconds.
• The response time of LEDs used in communication devices is much faster than
normal sources.

15.7 PassiVe disPlay deVices

Non-emissive display devices are known as passive display device,s i.e., they modify
the parameters of light, generated by an external source. The modification may take
place in optical parameters such as optical path, path length, absorption, reflection,
scattering or a combination of all these parameters. Each modulation will have its
own effects. For example, when wavelength is modulated, then the display is colored.
Materials such as liquid crystals, electrophoresis and electrochromium are used to
achieve the electro optic effects. Based on the properties of electro optic materials,
one can select the right material for passive display devices. The Liquid Crystal
Display (LCD) is widely used due to the variety of modulation effects. The properties
of passive display materials are given in Table 15.3. In the following heading, the
principle, types, operation and applications are given in detail.

table 15.3 Properties of passive display materials

Liquid crystals
Effect Hydro- Field Electrophoresis Electrochromism
dynamic effect

Operation in transmission T T - -

Operation in reflection R R R R

Viewing angle Narrow Medium No restriction No restriction

 Semiconductors 15.19

Operating voltage (V) 15–40 5–10 50–100 1–2

Power consumption 0.1 0.002 0.4 -

continuous operation
mW cm-2

Switching speed 0.05 0.2 1 0.001

T - Transmission R-Reflection

15.8.1 liquid crystal display

Liquid crystal is a kind of substance which lies in an intermediate state between a
conventional liquid and a solid state. In a restricted temperature range, the organic
materials exhibit a state of matter known as liquid crystal state.A liquid crystal
becomes crystalline solid at low temperature, and at high temperatures, it turns into a
clear isotropic liquid. Thus, the properties of liquid crystals are intermediate between
liquids and solids. LEDs generate lights, while liquid crystal displays do not generate
light, rather they reflects light. LCD reflects only a part of the surrounding light, while
the other part of the light is absorbed by the display. In view of the above reasons,
LCDs are used in lighted areas. LCD displays are used in watches, display boards,
TVS, computers and packet calculators.

15.8.2 Principle of lcd

Liquid crystal display is based on two principles, namely, polarisation and twisted
nematic property of the liquid crystal.

Polarisation
The process of filtering certain unwanted light wavelengths employing glass with
parallel thin impenetrable black lines is known as polarisation. When the wavelength
of the incident light is parallel to the parallel lines, it will pass through the glass, while
the other wavelengths are stopped. Consider two polarised glass sheets are placed one
in front of the another with perpendicular polarisation. When light is incident on the
glass sheet, it will not pass through it.

twisted nematic
Consider that the liquid crystal is sandwiched between two sheets of polarised glass.
The molecules in the liquid crystal arrange themselves in a twisted form. Under this
condition, when a light is entering into the first sheet of glass, it comes out of the
glass as a polarised light. Thus, the polarised light enters into the twisted form of
molecules. The entered light waves are twisted along with the orientation of liquid
crystal molecules. The light waves which are entering the molecules are in line with
the polarisation of the second glass sheet. Therefore, the region in which the light
passes through the glass sheet is displayed. On the other hand, a liquid crystal does
not pass the light when it is untwisted. Therefore, the light is not passed through the
second glass sheet, and hence, it creates a dark region on the display. The position of
the liquid crystal is controlled by applying a necessary charge.
15.20 Engineering Physics

15.8.3 classification of liquid crystals

Liquid crystals consist of three different types of states, namely, nematic, cholesteric
and smectic states. In most of the electro optic devices, the first two types of states
are used for practical display devices.
(i) Nematic Liquid Crystals In nematic ordering, the molecules known as directors
are arranged parallel to each other. Rod or disclike molecules oriented with respect
to each other as well as the liquid crystal surface are known as directors. In other
words, a director is a unit vector pointing along the orientation of molecules in a
small volume. In nematic ordering, molecules are free to move along each other due
to the liquid properties. Generally, two benzene rings are linked with a central group
to form the nematic phase. In nematic ordering, the parallel alignment of molecules
(or directors) is shown in Fig.15.19. Thus, it acquires liquid properties. In nematic
crystals, two benzene rings are linked with a central group. The chemical formula
for the nematic crystal molecule 4–methoxybenzylidene–4–butylanaline (MBBA),
is given below,

CH3 O CH N C6H9

Fig. 15.19 Liquid crystalline phases – Nematic ordering

The schematic arrangements of nematic liquid crystal molecules are shown in

Fig.15.19. The MBBA shows liquid crystal behaviour in the temperature range of
293 to 320 K.
(ii) Cholesteric Liquid Crystals A small modification in the nematic crystal results
in a cholesteric liquid crystal. The structure of a cholesteric liquid crystal is derived
from cholesterol molecules. The molecules in the crystal are optically active, and hence,
have the ability to rotate the plane polarisation of light passing through it. The structure
of the cholesteric liquid crystal is shown in Fig.15.20. Rod or disclike molecules are
used in liquid crystal phase.

Pitch

Fig. 15.20 Liquid crystalline phases – Cholesteric ordering

 Semiconductors 15.21

A cholesteric liquid crystal consists of a large number of vertical sheets stacked one
above the other as shown in Fig 15.20. The molecules in the respective sheets are
aligned in the nematic state, keeping the orientation of the molecules in each sheet
twisted when compared with the molecules in other sheets. Thus, the director directions
of the sheets represent a helical twist in the molecules. The distance between any two
successive planes is known as pitch.
When a light beam is propagated parallel to the helical axis, it undergoes
phenomena like reflection, rotation and change of polarisation based on the
wavelength of the incident light to pitch ratio. Similar to the direction, the elliptically
polarised light is rotated above the helix axis when wavelength to pitch ratio is
very small. The cholesteric liquid crystals show colour effects. When a white light
is incident on it, it shows as a strongly coloured light. The pitch of the crystal and
colour of reflected light depends on temperature. Under this condition, it obeys the
Bragg’s reflections, i.e., p = nλ (where n is equal to 1, 2, 3, etc.). The cholesteric
liquid crystals consisting of mixed materials are used for visual display devices
like a surface temperature measurement thermometer. For example, a mixture of
material with 20% cholesterol carbonate and 80% cholesterol nonanoate scatters
bright yellow and deep violet lights respectively at wavelengths of 0.55 mm at 298
K and 0.39 mm at 318 K.
(iii) Smectic Liquid Crystals A smectic liquid crystal is also called lyotropic liquid
crystal (lyo means liquid). An example of smectic liquid crystals is soap water. When
soap is melted, it forms liquid crystals. The molecules in liquid crystals are arranged
parallel to each other with irregular spacing as shown in Fig. 15.21. A layered structure
is known to exist only in smectic structure. Thus, it gives rise to a strong lateral force
between molecules within layer and weak interactions between layers. Therefore, a
smectic liquid crystal is slippery.

Fig. 15.21 Smectic liquid crystal—molecular arrangements

water

water

Fig. 15.22 Lyotropic smectic liquid crystal–molecular arrangements

15.22 Engineering Physics

Similarly, molecules which are arranged in a lyotropic liquid crystal also exhibit
similar property. The arrangement of molecules in a lyotrpic liquid crystal is shown
in Fig 15.22. The molecular layers are separated by a thin film of water. The layers
can stack one above other and hence, give properties of soap. An example of lyotropic
liquid crystals are body fluids like mucus and saliva.

15.9 different modes of lcd

We know that LCD depends on electro optic effects. Based on the effects, LCD
operations are categorised as,
(i) Dynamic scattering
(ii) Twisted nematic
(iii) Phase change
(iv) Memory effects
A brief explanation about the different modes of LCD is given in the following
headings:

15.9.1 dynamic scattering

In dynamic scattering, positive nematic materials with homogeneous alignment
of molecules having low impendence are used. The material is purely transparent
when there is no external field. The molecular ordering depends on the external
field. The orientation of positive homogeneous molecules in LCD on application
of electric field is shown in Fig. 15.23. For example, when the field is lower than
Ec, the molecular ordering is not affected. However, when the field reaches Ec, the
molecules tend to align parallel to the field. When the field is extremely higher,
most of the molecules align along the field direction. At very high field, the existing
current carries the movement of the liquid. As a result, the incident light gets a strong
scattering. Thus, it gives a frosted appearance to the material. The dynamic scattering
is possible only at low frequency, while at higher frequency, it is not possible due
to the electrolysis of the liquid.

(a) E< Ec (b) E>_ Ec (c) E>>Ec

Fig. 15.23 Orientation of positive nematic material with

homogeneous ordered– applications of electric field

LCD is used as an effective scatterer of white light under a suitable external field.
However, in absence of a field, it is purely a transparent liquid crystal. The major
 Semiconductors 15.23

disadvantages of LCD are poor contrast due to reflection, short lifetime and huge power
consumption when compared to twisted nematic or field effect display.

15.9.2 twisted nematic mode

In this method, dielectric properties of the molecules play a major role on the transport
property of light. Consider that the molecules are arranged in a manner as shown in
Fig.15.24a, during the absence of the field. When an external field is applied (E>> Ec),
the molecules aligne themselves in the field direction as shown in Fig. 15.24b. The
twisting of the molecules is eliminated under the influence of the field. When a light is
incident on the LCD, it does not have effect on the incident polarised light. The portion
in which the twisted nematic LCDs action takes place appears as a block in the ON
condition. On the other hand, a shiny surface is obtained on the other faces. These kinds
of LCDs help to produce frosty white characters on a dark background.

d d
(a) E=O (b) E>>Ec

Fig. 15.24 Arrangement of molecules in liquid crystal operating in

twisted nematic mode

15.9.3 Phase change effect

In this mode, cholesteric material with positive dielectric anisotropy and high resistivity
is used. In this method, with a proper biasing, the cholesteric planes are maintained
perpendicular to the cell walls. When a small field is applied, the widely scattered
liquids cause the helix to unwind, leading to the arrangement of molecules in the
direction of the field. Thus, the LCD is more nematic and highly transparent.

15.9.4 memory effect

Cholesteric material with negative anisotropy and low resistance are required to achieve
this effect. The functions are very similar to dynamic scattering. The transition from
the scattering to the transparent state is very slow.

15.10 liQuid crystal disPlay system

It consists of two glass plates, each attached with a crossed polaroid as shown in
Fig. 15.25. On both sides of the glass plate, silicon monoxide is coated. The distance
of separation between the coating surfaces is typically 10 mm. The liquid crystal is
sealed in between the two glass surfaces. Thus, the liquid molecule has a transition
in between the two glass plates. LCD devices are usually constructed in the form
15.24 Engineering Physics

of sandwich cells. The sandwich cells consist of two conducting glass plates made
up of SnO2 by coating on both sides of the plate by In2O3, etc. A thin layer of liquid
crystal of the order of 3–50 mm is placed between the two conducting plates. The
cell is perfectly sealed in order to avoid chemical reactions by interacting with the
environment.

Glass

Seal Transparent
conductive coating
(electrodes)

Fig. 15.25 Liquid crystal display

The lifetime of LCD is very high when the device is operated under ac conditions.
The liquid crystal is operated under two modes, namely, reflective and tranmissive
mode. In the reflective mode of operation, the incident light gets reflected back from
the surface of the reflective aluminum film which is placed near the glass plate. In the
transmission mode, the light is transmitted through the cell. There are two types of
LCD displays, namely, dynamic scattering and the field effect type. Letters on a dark
background are produced in dynamic scattering while in field effect, black letters on
a silver background are produced.

15.10.1 twisted nematic liquid crystal display

A positive nematic material with parallel alignment of molecules to the field directions
is used in Twisted Nematic Liquid Crystal Display (TN-LCD) or field effect display.
The liquid crystal cell shown in Fig. 15.25 is placed in between the two polarising
filters known as polaroid (I and II). The polarizing directions of the filters are made
very near to the molecular ordering direction. The arrangements of the filters and the
LCD are shown in Fig. 15.26.
In the absence of an electric field, the molecules in LCD undergo a gradual twist.
When an unpolarised light is incident on the first polaroid, it gives a polarised light.
When the polarised light is incident on the cell, the twisted molecules rotate the plane
polarised light through 90°. Thus, it gives horizontal polarised light and it passes
through the second polaroid. In the absence of a field, it gives a clear bright cell. The
action of an LCD is shown in Fig. 15.26a.
On the other hand, when a field is applied, the molecules are aligned in the field
directions. Under this condition, when a light is incident on the first polariser, it is
passed into the liquid medium. Therefore, the polarised light is simply absorbed
by the liquid molecules. Therefore, no light is reflected back from its original path
and hence, the liquid medium appears dark. The corresponding display action of an
LCD is shown in Fig. 15.26b. A reflector is placed behind the second polaroid in
case of reflective mode of operation. It rotates the incident polarised light through
90° similar to the light when it passes through the cell. The polarised light passes
 Semiconductors 15.25

through the second polariser and then, it is reflected back along its path. Therefore,
it appears bright.

�ri����li���

unpolarised � olaroid�� ����ell � olaroid���

li��� (a) Absence of electric field

�ar�

unpolarised � olaroid�� ����ell � olaroid���

li��� E>>Ec

(b) Presence of electric field

Fig. 15.26 Twisted nematic liquid crystal display function

It is clear from the above study that during the absence of a field, LCD
reflects the incident light and appears as bright. During the presence of a
field, light is not passed through the second polariser due to the absence of
90° twist. Hence, there is no reflected light and the, device appears as dark.
The amount of light reflected from LCD depends on the applied voltage. In
LCD, the amount of light reflected as a function of applied voltage is shown
in Fig.15.27. The reflected light remains constant up to the critical voltage Vc .
The critical voltage Vc is equal to Ecd, where d is the cell thickness. When the
applied voltage is increased, an exponential decay is obtained up to the saturation
voltage Vsat.
Reflected light

Vc Vsat
���lied � �lt�ge

Fig. 15.27 Reflected light versus applied voltage

The turn on time Ton and turn-off time Toff are important factors which are con-
sidered for the operation of an LCD device. In twisted nematic LCD, the Ton is directly
15.26 Engineering Physics

proportional to average viscosity h and inversely proportional to DŒE2, where Œ is

dielectric anisotropy and E, the electric field. The electric field is has more influence
on Ton than DŒ and h. Similarly, the Toff is directly proportional to λd2, where λ is
the twist viscosity coefficient. The nature of mode of display and transformation
temperature of few a LCDs is given in Table 15.4.

table 15.3 Liquid crystals operating mode and transition temperature

Transition tem-
Liquid crystals Mode
perature K

n-p-Methoxy Benzylidene p-n

Nematic 293.4
Butyl-Aniline (MBBA)

4 Methoxy- 4-n-Butyl-Azox-Ben-
Nematic 315.8
zene (MBAB)

n-p-Ethoxy Benzyliden p-n- Butyl-

Nematic 308.4
Anidene (EBBA)

Cholesteryl-Erucate (CE) Cholesteric 283.6

Cholesteryl Nonanoate (CN) Cholesteric 351.9

15.10.2 numeric display

The commonly used simple format for numeric display is the seven segment display. It
is based on the dynamic scattering method. It consists of two glass plates coated with a
transparent conductive material like SnO2. These two glass plates are separated through
a small distance of nearly 10 mm. The liquid crystal material is filled in between the
glass plates. The conducting coating available at the lower electrode is used as common
electrodes. The upper electrodes are energised through latch and driver unit separately.
The schematic representation of a seven–segment display is shown in Fig. 15.28.

Edge connectors

a) Lower electrode b) Upper electrode

Fig. 15.28 Seven segment display—dynamic scattering display

 Semiconductors 15.27

When the electric field is absent, the liquid appears as transparent. On the other
hand, when an electric field is applied, the interaction of the doped ions with
molecules takes place. Thus, the molecules are oriented in the field direction.
Therefore, the incident light on the liquid gets scattered and hence, the liquid
appears white in colour. The required electrical field is applied to each segment
employing external devices. The power required to generate the electric field is
very low. Thus, the required display either in dots or segments is made with the
application of electric field by designing the glass plate with a conductive layer
on one side.
The LCD is not suitable for use in matrix displays mainly due to the dependence
of the threshold voltage, the flow response on the operating temperature and the flow
response time.

15.10.3 advantages and disadvantages of lcds

The following are the advantages of LCDs:
• LCD displays are used in conventional televisions and computer screens.
• LCDs are much lighter in size and consume less power.
• It provides an opportunity for the development of many portable devices.
• LCDs improve the quality of the image and meet the increasing demand for
quality display.
• LCDs are replacing CRT screens in many household appliances owing to its
lower price.
• It can be viewed over a wide range of lighting conditions.
• The device is very small in thickness.
The following are the disadvantages of LCDs:
• The decay time of LCD is very small. Therefore, the segments slowly fade
when the power is switched off.
• It requires an external illumination and is invisible in darkness.
• The angle of view is limited.
• The intensity of the light produced is very small.
• Its functions are limited in the temperature range of 293 to 333 K.
• It is highly sensitive to environmental conditions like temperature, interfer-
ence due to electromagnetic field, etc.

15.11 comParison betWeen leds and lcds

A comparison between the LEDs and LCDs are given in Table 15.5 for easy
understanding.
15.28 Engineering Physics

table 15.3 Comparison of LED and LCD

Light emitting diode Liquid crystal display

(i) An electronic device that lights (i) Digital display that uses liquid crys-
up when an electricity is passed tal cells that change reflectivity in a
through it applied electric field.
(ii) LED or OLED displays does not (ii) Backlit by a light source, hence,
have any light loss there is a little light loss passing the
light through the LCD panel
(iii) Requires 10–250 mW power per digit (iii) Requires 10–200 mW power per digit
(iv) Generates visible light (iv) Reflects a part of the surrounding
light
(v) Gives high intensity light (v) Gives high intensity light
(vi) Operate over wide range of tem- (vi) Limited range of temperatures (293–
peratures (303 – 358 K) 333 K)
(vii) Higher lifetime (vii) Limited lifetime due to chemical
degradation
(viii) Emits different colours (viii) Extra illumination required
(ix) Operating voltage ranges from 1.6 (ix) Operating voltage ranges from 3 to
to 5 V dc 20 V dc
(x) Response time is 50–500 ns (x) Response time is 50–500 ns

15.12 aPPlications
The following are the applications of display devices, namely, CRT, LED and LCD
in various fields.

CRT
• CRT is an important versatile display device used for the analysis of electrical
signals and optical display.
• CRTs are used in radar systems, televisions and computer monitors.

LED
• Traffic lights and signals
• Exit signs
• Bicycle lights
• Railroad crossing signals
• Flashlights
• Light bars on emergency vehicles.
• Thin and lightweight message displays at airports, railway stations, buses,
trains, ferries etc.
• Remote controls, of TVs, VCRs, DVDs
• In optical fiber and Free Space Optical (FSO) communications
 Semiconductors 15.29

LCD
In recent years, the applications of LCDs have been endless. Most of the watches and
pocket calculators use LCD. A simple example of a liquid crystal display in a digital
watch is shown in Fig. 15.29. The display is created in a sandwich liquid crystal which
is placed in between two glass sheets G2 and G3. G2 and G3 glass sheets are not
polarised, however the one in front of G2 has grooves etched into it, and electrodes
inside those grooves are used to determine charge required for the liquid crystal. The
glass sheet G4 is coated with a conducting layer and acts as an electrode. Glass-film
sheets G1 and G5 are with perpendicular polarisation and are placed on either side of
these two glass sheets. As a result, the direction of the grooves line up with the direction
of their nearest polarising films. The reflective surface glass plate G6 is placed behind
the system. This will helps to view the light excited by liquid crystal pixel of LCD.

Fig. 15.29 digital water — LCd display

• Liquid crystal display devices are now preferred to cathode ray tube (CRT)
devices as they can offer superior performance in terms of maximum luminance
and intensity.
• It can also offer some features like automatic calibration and remote quality as-
surance.

Keypoints to remember

• Solids are classified based on energy band structure, arrangements of electrons

and forbidden bands as conductors, insulators and semiconductors.
• In conductors, the valence band is completely filled while the conduction band is
half filled.
• Solid materials which do not conduct electric current under normal conditions are
known as insulators.
• In insulators, the valence band is completely filled and these are no electrons in
conduction band.
• Three different types of semiconductors, namely, elemental, compound and oxide
semiconductors.
15.30 Engineering Physics

• Semiconductors are classified into two types, namely, pure or intrinsic and doped
or extrinsic semiconductors.
• In intrinsic semiconductors, the carrier concentration of electrons and holes are
equal. These semiconductors are highly pure semiconductors.
• Doping is the process of adding impurity to an intrinsic semiconductor.
• Doped semiconductors are called extrinsic semiconductors.
• Extrinsic semiconductors are of two types, namely, n-type and p-type.
• In n-type semiconductors, electrons are majority carrier while in p-type semicon-
ductors, the holes are majority carriers.
• When a dopant with valency higher than the parent atom is doped then the resul-
tant semiconductor is known as n-type semiconductors.
• When a dopant with valency lower than the parent atom is doped, then the resul-
tant semiconductor is known as p-type semiconductors.
• A solar cell is nothing but a p-n junction diode based on the principle of photo-
electric effect and it converts light into electrical energy.
• Characteristics of solar cells are analysised from the V-I curve.
• Efficiency of a solar cell is defined as the ratio of the total power converted by the
solar cell to the total power available for energy conversion.
• The requirements of a solar cell are that band gap energy of semiconduct-
ing materials is comparable with the energy of the photon present in the solar
spectrum.
• Different classification of solar cells is p-n homojuction, p-n heterojunction,
Schottky barrier, homojuction heterostrcuture, metal-insulator semiconductor cell
and semiconductor insulator semiconductor cell.
• Active display device is the one which emits radiation on its own.
• Passive display device is the device which modulates incident radiation to provide
necessary display information.
• The energy of the emitted photon is E = hv.
• LED is a forward-biased p-n junction.
• In LED, the emitted light colour depends on the materials used.
• Alphanumeric characters are displayed employing array LED’s and seven seg-
ment LEDs.
• In LEDs, the energy loss during radiation is reduced employing plastic encap-
sulation.
• The colour of light emitted from LED depends on the semiconductor materials
used.
• Large band gap (≈ 2 eV) materials are used for LED applications.
• Lifespan of an LED is more than 1,00,000 hours.
• Two different types of principles, namely, polarisation and twisted nematic prop-
erty of liquid crystal are employed for LCD.
• The process of filtering certain unwanted wavelengths employing glass with par-
allel thin impenetrable black lines is known as polarisation.
 Semiconductors 15.31

• In twisted nematic display, the molecules in the liquid crystal are twisted and
hence, the incident light entering the liquid crystal comes out as polarised light.
• Liquid crystals are classified as nematic, cholesteric and smectic liquid crystals.
• LCD has four different types of modes of display, namely, dynamic scattering,
twisted nemactic scattering, phase change and memory effects.
• Dynamic scattering and twisted nematic scattering methods are mostly used for
LCD devices.
• Letter on a dark background are produced in dynamic scattering methods.
• Black letters on a silver background are produced in field effect type.
• In twisted nematic LCD, the Ton is directly propositional to viscosity of the liquid
medium.
• LED generates visible light while LCD reflects a part of the surrounding light.

solved Problems

Example 15.1 Calculate the wavelength of light emitted by an LED with

band gap of energy 1.8 eV.
Given Data

Bandgap of given LED is Eg = 1.8 eV

= 1.8 ¥ 1.609 ¥ 10-19
= 2.8962 ¥ 10-19 J
Solution
We know that wavelength emitted from given LED
hc
l=
Eg
Substituting the values, we get,
6.626 ¥10-34 ¥ 3 ¥108
= 2.8962 ¥10-19
= 6.863 ¥ 10-7 m

The wavelength of light emitted from given LED is 0.6863 mm.

Example 15.2 Calculate the band-gap energy of GaAsP semiconductor

whose output wavelength is 6715A˚.
Given Data
The wavelength of green light from mercury lamp = 6715 ¥ 10-10 m
15.32 Engineering Physics

Solution
hc
We know that band gap is Eg =
l
Substituting the values, we get,
6.626 ¥10-34 ¥ 3 ¥108
= = 2.944 ¥ 10-19 J
6751¥10-10
= 2.944 ¥ 10-19 J
2.944 ¥10-19
or = = 1.8 eV
1.6 ¥10-19
The band gap of the given GaAsP is 1.8 eV.

objectives Questions

15.1 In conduction, the valence band is _______ while the conduction band is
_______ filled.
15.2 In conducting materials, the flow of current is due to shifting of ______ from
valence band to conduction band.
15.3 In insulators, ______ band is completely filled and does not have any_______
is conduction band.
15.4 Examples for insulators are______.
15.5 The forbidden gap energy of an insulator is _______ eV.
15.6 Examples for semiconductors______, ________.
15.7 The conductivity of semiconductor is of the order of ________ ohm-1 m-1.
15.8 Give an example for compound semiconductors _______, _______.
15.9 Give two examples for oxide semiconductors______, _________.
15.10 In intrinsic semiconductors, the concentration of electrons and holes are not
equal. True / False.
15.11 Give any two examples for intrinsic semiconductors________, ________.
15.12 The valence electron for silicon is _______.
15.13 The conductivity of semiconductors depends on energy gap. True / False.
15.14 The majority current carrier is n-type semiconductor is ___________.
15.15 _______ is the majority current carrier is p-type semiconductors.
15.16 Give any two examples for pentavallent atoms _________, ________.
15.17 _______ and ______ are the example for trivalent atom.
15.18 The device which converts the light energy into electrical energy is known as
_______.
15.19 ________ is used for the antireflection coating at the surface of solar cell.
15.20 Efficiency of a solar cell is equal to
a) (Maximum output electrical power / input optical power) ¥ 100
b) (Maximum input optical power/ output electrical power) ¥ 100
c) (Maximum output electrical power ¥ input optical power) ¥ 100
d) (Maximum output electrical power / input optical power) / 100
 Semiconductors 15.33

15.21 Fill factor of a solar cell is equal to

a) Maximum output power x (Voc ISC)
b) Maximum output power x (Voc / ISC)
c) Maximum output power / (Voc ISC)
d) (Voc ISC) / Maximum output power
15.22 _______ device display the information on the screen.
15.23 The device which emits radiation is known as _______.
a) Passive device
b) Active and passive device
c) Active device
d) None of the above
15.24 The device which modulates the incident light is known as_______.
15.25 _______ is the principle behind LED.
15.26 LED is a _______ biased p-n junction.
15.27 Energy of the emitted photon is _______.
15.28 The colour of the emitted LED light depends on _______.
15.29 _______ and _______ LED’s are used to display alphanumeric character.
15.30 The loss of emitted light energy in LED is due to _______.
15.31 _______ band gap materials are used to emit visible light.
15.32 Lower band gap materials are used to emit _______ and _______ light.
15.33 The wavelength of light emitted by GaAs LED lies between _______ and
_______ nm.
15.34 GaP is a _______ band-gap semiconductor with energy _______.
15.35 The band-gap energy for GaAs1-xPx at x = 0.45 is _______ eV.
15.36 The non-emissive display device is known as _______ display device.
15.37 _______ device reflects lights.
15.38 MBBA shows liquid crystal behaviour in the temperature range from _______
to _______ K.
15.39 A mixture of 20% cholesterol carbonate and 80% cholesterol non-anoate scatter
_______ and _______ colours.
15.40 Dynamic light scattering is possible at _______ frequency.
15.41 The twisted molecules in a liquid crystal rotate the plane polarized light through
an angle _______ .
15.42 In dynamic scattering, letters on _______ background is produced.
15.43 In field effect scattering type, black letters on _______ background are
produced.
15.44 Response time for an LED is from _______ to _______ ns.

Key
15.1 completely, half 15.2 electrons
15.3 valence, electron 15.4 carbonite
15.5 5 15.6 silicon, germanium
15.7 104 to 10-4 15.8 GaAs, GaP
15.9 Bi2O3, Te2O3 15.10 False
15.11 silicon, germanium 15.12 4
15.13 True 15.14 electrons
15.15 holes 15.16 arsenic, antimony
15.34 Engineering Physics

15.17 indium, boron 15.18 photovoltaic cell

15.19 SiO2 15.20 a)
15.21 c) 15.22 Display
15.23 c) 15.24 Passive devices
15.25 Electroluminescence 15.26 Forward
15.27 hn 15.28 Materials
15.29 Array and seven segments 15.30 Reflection loss
15.31 Larger 15.32 Infrared and far infra red
15. 33 910 and 1020 15.34 Indirect and 2.26 eV
15.35 2.1 15.36 Passive
15.37 LCD 15.38 293 and 320
15.39 Bright yellow and deep violet 15.40 Low
15.41 90° 15.42 Dark
15.43 Silver 15.44 50 and 500

short answer Questions

15.1 What is a semiconductor?

15.2 Define a conductor.
15.3 What is meant by an insulator?
15.4 Draw the energy level diagram of a conductor.
15.5 Draw the energy level diagram of an insulator.
15.6 Draw the energy level diagram of a semiconductor.
15.7 State the properties of semiconductors.
15.8 What is meant by an intrinsic semiconductor?
15.9 What is an extrinsic semiconductor?
15.10 Distinguish between intrinsic and extrinsic semiconductor.
15.11 What are elemental, compound semiconductors? Give two examples.
15.12 Explain the crystal structure of germanium and silicon.
15.13 Mention any four advantages of semiconductors.
15.14 What is meant by doping?
15.15 Define p-type and n-type semiconductor.
15.16 Explain n-type semiconductor.
15.17 What are the advantages of semiconducting materials?
15.18 What is solar cell?
15.19 Explain photovoltaic cell.
15.20 Explain the working of solar cell.
15.21 Explain the V-I characteristics of a solar cell.
15.21 What is meant by an open circuit?
15.23 Define the efficiency of a solar cell.
15.24 What is fill factor?
15.25 Mention the different classifications of a solar cell.
 Semiconductors 15.35

15.26 What are the materials used for the fabrication of a solar cell.
15.27 Explain GaAs solar cell.
15.28 Mention the industrial applications of a solar cell.
15.29 What are the basic requirements of a solar cell?
15.30 What is meant by display devices?
15.31 Explain the classification of display devices.
15.32 Why do we need a suitable material for the LED?
15.33 Explain how LED emits light radiations.
15.34 What is meant by electromagnetic radiation?
15.35 Why the shape of the LED is made hemispherical?
15.36 Explain plastic encapsulation.
15.37 Explain the different types of LED materials along with their radiant colour.
15.38 What is meant by passive display devices?
15.39 Mention some of the properties of passive display devices.
15.40 What is meant by liquid crystal display?
15.41 Mention few applications of LCD.
15.42 What is meant by liquid crystal state?
15.43 Explain how LCD illuminates light.
15.44 What is the range of wavelength emitted by LCD?
15.45 What is meant by a director?
15.46 Explain why extra light is required to illuminate LCD.
15.47 Mention the different types of LCD display.
15.48 Mention few applications of LCD’s
15.49 What are the drawbacks of LCD?
15.50 List some of the applications of display devices in solid state electronics.
15.51 What is the difference between active and passive display devices?
15.52 Explain the active display devices.

descriptive Questions

15.1 Explain with a neat sketch the intrinsic and extrinsic semiconducting
materials.
15.2 What is an energy band diagram? Explain the energy diagram for and extrinsic
semiconducting materials.
15.3 Write notes on the following:
a) Intrinsic semiconductors
b) Extrinsic semiconductors
15.4 Explain with a neat sketch the construction, working and V-I characteristics of
solar cell.
15.5 Explain the working of GaAs solar cell with neat sketch. Mention the applications
of solar cells.
15.6 Explain how a p-n junction diode acts as a lighting emitting diode.
 15.7 Explain with a neat sketch the basic principle, working and the applications of
LED.
15.8 Explain with a neat sketch for the working of LCD along with their salient
features.
15.9 Compare the relative merits of LCD and LED.
15.10 Write notes on the following:
a) LED
b) LCD
 Chapter

Electron Theory
of Solids 16

OBJECTIVES
• To understand the electrical conduction in materials
• To explain the conductivity of a material using free electron theory
• To derive the equation for electrical conductivity of a solid using free electron
theory
• To derive the equation for thermal conductivity of a material and hence, derive the
Wiedemann–Franz law
• To verify Ohm’s law
• To discuss the limitations of classical free electron theory

16.1
i In solids, electrons in the outermost orbit of atoms determine its
n electrical properties. Electron theory is applicable to all solids, both
t metals and non-metals. In addition, it explains the electrical, thermal
and magnetic properties of solids. The structure and properties of solids
r are explained employing their electronic structure by the electron theory
o of solids.
d There are three main stages for development of this theory, namely,
U classical free electron theory, quantum free electron theory and zone theory.
The first theory was developed by Drude and Lorentz in 1900. According
c to this theory, metal contains free electrons which are responsible for the
t electrical conductivity and metals obey the laws of classical mechanics. In
i 1928, Sommerfield developed the quantum free electron theory. According
o to Sommerfield, the free electrons move with a constant potential. This
n theory obeys the quantum laws. Bloch developed the Brillouin zone or
Band theory in 1928. According to this theory, free electrons move in
periodic potential provided by the lattice. This theory is known as band
theory of solids.
Let us discuss in the following headings, electrical conduction and
thermal conduction, their relationship and the advantages and drawbacks
of classical free electron theory.
16.2 Engineering Physics

16.2 ELEctricAL condUction

When an electronic potential difference is applied across materials, it conducts
electricity. Electrical conductivity is defined as the quantity of electricity flowing
through a material per unit area per unit time maintained at unit potential gradient.
The material with this property is called a conducting material. The most important
property of a material is electrical resistance, and it is used to characterise the electrical
properties of the material. Let R be the resistance of the material. A and l are respectively
the area and length of the material.
Therefore, the resistivity of the material is

area
Resistivity (r) = Resistance ¥
length

A
or r= R Wm (16.1)
l
The reciprocal of the electrical resistivity is known as electrical conductivity (s),.

1
i.e., s=
r

= 1 l = l r -1m -1 (16.2)
R A RA

The electrical conductivity of a material depends only on the presence of

free electrons or conduction electrons. These free electrons move freely in the
metal and do not correspond to any atom. This group of electrons is also called
electron gas.

16.3 cLASSiFicAtion oF condUctinG

MAtEriALS
Based on the electrical conductivity, conducting materials are classified into three
major categories, namely,
(i) Zero resistivity materials
(ii) Low resistivity materials, and
(iii) High resistivity materials

(i) Zero Resistivity Materials The material which conducts electricity at zero
resistance is known as a zero resistivity material. Superconducting materials like alloys
of aluminium, zinc, gallium, nichrome, nibium, etc., conduct electricity almost at zero
resistance below the transition temperature. The above superconducting materials are
perfect diamagnets. The applications of these materials are energy saving in power
systems, superconducting magnets, memory storage, etc.
 Electron Theory of Solids 16.3

(ii) Low Resistivity Materials The resistivity of high electrical conductivity materials
is very low. The electrical conductivity of metals and alloys like silver, and aluminium
is very high, of the order of 108 W -1 m-1. Low resistivity materials are used as resistors,
conductors, electrical contacts, etc., in electrical devices. In addition, these materials
are also used in electrical power transmission and distribution lines, winding wires
in motors and transformers.
(iii) High Resistivity Materials Generally, materials with high resistivity will have
low temperature coefficient of resistivity. For example, tungsten, platinum, nichrome,
etc., have high resistivity and low temperature coefficient of resistance. High resistivity
materials are used in the manufacturing of resistors, heating elements, resistance
thermometers, etc.

16.4 cLASSicAL FrEE ELEctron or drUdE–

LorEntZ tHEorY oF MEtALS
Very high electrical and thermal conductivity are the outstanding properties of metals.
The positive ion cores and the valence electrons are the charge carriers in metals and
hence, good conductivity means the presence of a mobile charge carrier. The observed
high conductivity with conduction by the drift ion cores is difficult to understand. If
this happens, then conductivity must increase with increase in temperature. Hence, it
may be concluded that mobile charges in metals are valence electrons. The classical
free electron theory reveals that the free electrons are fully responsible for electrical
conduction.

16.4.1 Postulates of classical Free Electron theory

The free electrons, or electron gas, available in a metal move freely here and there
during the absence of an electronic field similar to the gas molecules moving
in a vessel as shown in Fig. 16.1. These free electrons collide with other free
electrons or positive ion cores or the walls of the container. Collisions of this
type are known as elastic collisions. The total energy of an electron is assumed
to be purely KE.

Fig 16.1 Absence of the field—Free electron

On the other hand, suppose an electric field is applied to the material through an
external arrangement as shown in Fig 16.2. The free electrons available in the metal
16.4 Engineering Physics

gain some amount of energy and are directed to move towards a higher potential.
These electrons acquire a constant velocity known as drift velocity <v>. The velocity
of the electron obeys the Maxwell–Boltzmann studies.

Free electrons

Fig. 16.2 Presence of field—free electron

Drift Velocity It is defined as the average velocity acquired by the free electron in
a particular direction during the presence of an electric field.
Relaxation Time The relaxation time is defined as the time taken by a free electron
to reach its equilibrium position from its disturbed position, during the presence of
an applied field.
l
t = (16.3)
< v>

where l is the distance traveled by the electron.

16.5 EXPrESSion For ELEctricAL

condUctiVitY And driFt VELocitY
In order to obtain the expression for electrical conductivity, the velocity of the
electron in the conducting material is obtained by two methods. In the first method,
the velocity of the electron is obtained without considering the collision of free
electrons. In the second method, the collision of free electrons is taken into account
for obtaining the velocity. Thus, the current density behaviour of a conducting
material is studied under the above two approaches to obtain the expression for
electrical conductivity.
Consider a conductor which is subjected to an electric field of strength E as shown
in Fig. 16.3. Consider that n is the concentration of the free electrons; m, the mass and
e, the electric charge of the electron in the conductor. According to Newton’s second
law of motion, the force F acquired by the electrons is equal to the force exerted by
the field on the electrons.
 Electron Theory of Solids 16.5

Free electrons

Fig.16.3 Metal—conduction

Therefore, the equation of motion ma = -e E (16.4)

-e E
or Acceleration a =
m
Integrating Eq. (16.4), we get,

eE
The velocity of the electron n=- t +C (16.5)
m
where C is an integration constant, and is obtained by applying the boundary conditions.
During the absence of the electric field, the average velocity of the electron is zero,
i.e., when t = 0, < v > = 0
Substituting the above boundary condition in Eq. (16.5), we get, C = 0
Substituting the value of C in Eq. (16.5), we get,
eE
Velocity of the electron =- t (16.6)
m
According to Ohm’s law, the current density in a conductor,
I
J= (16.7)
A
Therefore, the charge dq flowing through this area A in time dt is
dq = -e n Av dt

dq
= I = -enAv (16.8)
dt
where I is the current flowing through the conductor with an area of cross-section A.
Substituting the value of I from Eq. (16.8) in Eq. (16.7), we get,
J = –nev (16.9)
16.6 Engineering Physics

Substituting the value of n from Eq. (16.6) in Eq. (16.9), we get,

ne 2 E
J= t (16.10)
m
It is clear from Eq. (16.10) that the current density is directly proportional to the applied
field E. When the field increases, the current density also increases, and it reaches
infinity when the field is applied for a long period. However, in actual practice, J never
becomes infinity. Rather, it remains constant beyond a certain field strength. This is
due to the presence of collisions of free electrons which is not taken into account for
obtaining the current density.
Due to the collision of free electrons, a frictional force acts on the electrons. The
frictional force experienced by the electron

= m< v > /tr (16.11)

where <v> is the drift velocity of the electron and t r the relaxation time between any
two successive collisions during the presence of an electron field.
Therefore, equation of motion,
d< v > m < v >
m + = - eE (16.12)
dt tr
Rearranging Eq. (16.12), we get,
d< v > È eEt r ˘
tr =-Í + < v >˙
dt Î m ˚
d <v> - dt
or = (16.13)
È eEt r ˘ tr
Í m +<v >˙
Î ˚
Integrating Eq. (16.13), we get,

Èe E tr ˘ -t
In Í + < v > ˙ = + In B (16.14)
Î m ˚ tr
where In B is an integration constant.

Simplifying, Eq. (16.14), we get,

e Etr
+ < v > = Be –t/t r (16.15)
m
In order to obtain the value of the integration constant, consider the boundary condition,
when t = 0, < v > = 0,
Therefore Eq. (16.15) can be written as,
eE
B= tr (16.16)
m
 Electron Theory of Solids 16.7

e E t r –t/t r
or < n > = [e – 1] (16.17)
m
Substituting the value of < v > from Eq. (16.17) in Eq. (16.9), we get,

ne 2 t r E
The current density J= [1 – e–t/t r ] (16.18)
m

J=sE
The current density is proportional to the electric field intensity E and a constant s,
known as electrical conductivity.

ne 2 t r
Therefore, electrical conductivity s= [1 - e–t/t r ] (16.19)
m
Equation (16.19) shows that the conductivity of the material is directly proportional to
E and it reaches a maximum value within 10-14 s (since t r is of the order of 10-14 s).
Beyond the limit, it remains as constant.
Therefore, the steady state-value of the electrical conductivity and drift velocity
of the electron are

ne 2 t r
Electrical conductivity s = (16.20)
m

e Etr
and drift velocity <v> = (16.21)
m

Resistivity (r) We know that the resistivity of the material is the reciprocal of
electrical conductivity.
Therefore, the resistivity

1
r=
s

m
= (16.22)
ne 2 t r

Mobility (me ) We know that from Eq. (16.21), the average velocity of electrons

et r
<v>= E (16.23)
m
or < v > µE
et r
where is the proportionality factor known as mobility me .
m
16.8 Engineering Physics

et r
i.e., me = (16.24)
m
The mobility of a charge carrier is defined as the average velocity of the charge carrier
per unit applied electric field intensity.
Mean Free Path (l) The average distance travelled by an electron between any two
successive collisions is known as the mean free path.

i.e, l = vtr (16.25)

where v is the root mean square velocity of the electron.

16.6 tHErMAL condUctiVitY

Thermal conductivity (K) of a material is equal to the amount of heat energy (Q)
conducted per unit area of cross-section per second to the temperature gradient
(dT/dx).

i.e. Q µ dT dx

dT
or Q=K
dx
Q
Therefore, thermal conductivity K =- (16.26)
(dT dx )
In solids, the conduction takes place both by available free electrons and thermally
excited lattice vibrations known as phonons.
Therefore, the total conductivity is
Ktotal = Kelectrons + Kphonons (16.27)
where phonons are the energy carriers for lattice vibrations.
Metals In case of metals, the concentration of free electrons is very high. Therefore,
electrons, in addition to thermal vibrations, absorb and transport thermal energy.
Hence, the thermal conductivity of a metal is due to the free electrons. (Kelectron >>
Kphonon. ),
Ktotal = Kelectrons (16.28)

Insulators In insulators, the thermal conductivity is due to atomic or molecular

vibration of the lattice,

i.e, Ktotal = Kphonons (16.29)

Semiconductors The thermal conductivity is due to both electrons and phonons.

Therefore, Ktotal = Kelectrons + Kphonons (16.30)

 Electron Theory of Solids 16.9

16.7 EXPrESSion For tHErMAL condUctiVitY

Consider a uniform rod HC with the temperature of the hot end H as T1 and the
temperature of the cold end C as T2, as shown in Fig.16.4. Heat is flowing from the
hot end H to the cold end C. Let A be the cross-sectional area which is at a distance
equal to the mean free path l of the electrons between the two ends H and C. The
kinetic energy of the electrons at the hot end H is greater than that of the electrons at
the colder end C.

2l

T1 l l T

H O C

Fig. 16.4 Thermal conductivity

Let Q be the amount of heat flowing through the rod from the end H to C whose
length is 2l. Therefore, the heat conducted

A(T1 - T2 )
Qa t
2l
KA (T1 - T2 )t
or Q= (16.31)
2l

where K is the coefficient of thermal conductivity; A, the area of cross-section; t, the

time for conduction and 2l, the length of the rod.
Therefore, the thermal conductivity per unit area per unit time
Q2l
K= (16.32)
A (T1 - T2 ) t

Let n be the number of available conduction electrons and v be the root mean square
velocity of the electrons. Let us assume that the available free electrons in the metal
have an equal probability to move in all the six possible directions. Therefore, an
average of 1/6 nv electrons can travel in any one direction. We know that the free
electrons are assumed to be free moving gas molecules.
The average kinetic energy of an electron at the hot end H of temperature T1
3
=k B T1 (16.33)
2
where kB is the Boltzman constant.
Similarly, the average kinetic energy of an electron at the cold end c of the
temperature T2
3
  = k B T2 (16.34)
2
16.10 Engineering Physics

The number of electrons crossing the area at A per second,

1
= nv (16.35)
6
\ the heat energy transferred per unit area per unit time from the hot end H to the
cold end C is = number of electrons ¥ average KE of electrons moving
from H to C
1 3
= nv k B T1
6 2
1
= n v k B T1 (16.36)
4
Similarly, the heat energy transferred across A per second from C to H
1 3
= n v k B T2
6 2
1
= n v k B T2 (16.37)
4
\ the resultant heat energy transferred from H to C across A per second,
nv
Q= k B ( T1 - T2 ) (16.38)
4
dT T1 - T2
We know that, temperature gradient = (16.39)
dx 2l
Substituting the values of Q and temperature gradient from Eq.(16.38) and (16.39 ),
in Eq. (16.32) we get,
n(v / 6) (3 / 2) k B (T1 - T2 )
or Thermal condition K =
( T1 - T2 ) / 2l

1 ( T - T2 ) 2 l
K = nv k B 1 (16.40)
4 ( T1 - T2 )
Simplifying the above equation, we get,
1
K = nv k B l (16.41)
2
We know from the classical free electron theory, the electronic specific heat capacity
of the metal is
3
Ce = R (16.42)
2
where R is the gas constant and is equal to n kB.
Substituting the R value in Eq. (16.41), we get,
 Electron Theory of Solids 16.11

1
Thermal conductivity K = Ce v l (16.43)
3
Thermal conductivity of a metal is determined either using Eq. (16.41) or Eq (16.43)
depending on the available data.

16.8 WiEdEMAnn–FrAnZ LAW

The ratio between the thermal conductivity and electrical conductivity of a metal is
directly proportional to the absolute temperature of the metal when the temperature
is not too low,
K
i.e., µT
s
K
=L (16.44)
sT
where K/s T is a constant known as Lorentz number. The value of L is equal to
2.44¥10-8 W W K-2 at 293 K.
We know that
1
thermal conduction K= nv k B l (16.45)
2
ne 2t r
electrical conduction s = (16.46)
m

K 1 / 2nvk B l
\ =  (16.47)
s (ne 2 t r / m)

mvk B l
= (16.48)
2e 2 t r
Substituting l = v t r in the above equation, we get,
K mv 2 k Bt r
=  (16.49)
s 2e 2t r
Simplifying the above equation, we get,
K 3 k
=  k B T B2 (16.50)
s 2 e
We know that kinetic energy of an election is 1/2 mv2 = 3/2 kB T,
K 3 k B2
Therefore, =
sT 2 e2

3 k B2
Lorentz number L= ¥ (16.51)
2 e2
16.12 Engineering Physics

Substituting the values of kB and e in Eq. (16.51), we get,

3(1.38 ¥ 10-23 ) 2
Lorentz number L=
2(1.6 ¥ 10-19 ) 2
= 1.11 ¥ 10-8 W W K-2 (16.52)
We observe that the theoretical value of the Lorentz number is only one half of the
experimental value (= 2.44 ¥ 10-8 W W K-2). The observed discrepancy is due to the
failure of the classical theory to give the correct value for the thermal conductivity of
metals. In order to rectify the discrepancy, the concept of quantum theory has been used
to obtain the expression for thermal conductivity. According to the quantum theory,
the expression for thermal conductivity is modified by considering the electronic
specific heat as,
n p 2 k B2 T t r
K= (16.53)
3m
K
We know that Lorentz number, L =
sT
Substitutly the values of K and s, we get,
n p 2 k B2 T t r m
or L = ¥ 2 (16.54)
3m ne t r T
2
p 2 È kB ˘
Lorentz number =
3 ÍÎ e ˙˚
Substituting the values of kB, e and p in Eq. (16.54), we get,

p 2 (1.38 ¥ 10-23 ) 2
L =
3(1.6 ¥ 10-19 ) 2
Lorentz number = 2.44 ¥ 10-8 W W K-2 (16.55)
Equation (16.55) gives the correct value of the Lorentz number and is in good
agreement with the experimental value. Thus, it confirms that the Wiedemann–Franz
law is verified using the quantum theory. Further, it supports that Wiedemann–Franz
law is not applicable for low temperature.

16.9 VEriFicAtion oF oHM’S LAW

The classical free electron theory is used to verify Ohm’s law. In order to verify
the same, consider that the steady-state current density can be written from
Eq. (16.19) as
ne 2 t r E
J= (16.56)
m
 Electron Theory of Solids 16.13

Similarly, the steady-state conductivity from Eq. (16.20), is

ne 2 t r
s= (16.57)
m
Compare Eqs. (16.56) and (16.57), one can write,

J=s E (16.58)

We know that the current density J = I/A, the conductivity s = 1/r, and the electric
field intensity E = V/d, Therefore, Eq.(16.58) is given by
I 1 V
=
A r d

Ê rdˆ
or V= Á I (16.59)
Ë A ˜¯
RA
We know that, r = and hence,
d
rd
R= (16.60)
A
Substituting the above value in Eq. (16.59), we get,
V= I R (16.61)
Equation (16.61) states the Ohm’s law. It is clear from the above equation that Ohm’s
law is verified employing classical free electron theory.

16.10 cLASSicAL FrEE ELEctron tHEorY:

AdVAntAGES And rAWBAcKS
Even though the classical free electron theory is the first theory developed to explain
the electrical conduction and thermal conduction of metals, it has many practical
applications. The advantages and disadvantages of the classical free electron theory
are as follows:
Advantages
(i) It explains the electrical conductivity and thermal conductivity of
metals.
(ii) It explains the Wiedemann–Franz law.
(iii) It verifies Ohm’s law.
(iv) It is used to explain the optical properties of metals.
Drawbacks
(i) It fails to explain the electric specific heat and the specific heat capacity
of metals.
(ii) It fails to explain superconducting properties of metals.
16.14 Engineering Physics

(iii) It fails to explain new phenomena like photoelectric effect, Compton

effect, black-body radiation, etc.
(iv) It fails to explain electrical conductivity of semiconductors or
insulators.
(v) The classical free electron model predicts the incorrect temperature
dependence of s. According to the classical free electron theory, s µ T -1 .
(vi) It fails to give a correct mathematical expression for thermal
conductivity.
(vii) Ferromagnetism couldn’t be explained by this theory.
(viii) Susceptibility has greater theoretical value than the experimental value.

Keypoints to remember

• The three main theories developed for metals are the classical free electron theory,
quantum free electron theory and zone or Band theory.
• The classical free electron theory is a macroscopic theory and it obeys classical
laws.
• The quantum free electron theory is a microscopic theory and it obeys quantum
laws.
• Zone theory is a macroscopic theory and is based on the energy bands of solids.
• Electrical conductivity is defined as the quantity of electricity flowing through the
material per unit area per unit time maintained at unit potential gradient.
ne 2t r
• The electrical conductivity s = where n is the number of electrons per
m
unit; e, the charge; m, the mass and t r , the relaxation time.
• The mobility of a charge carrier is defined as the average velocity of the charge
per unit applied electric field intensity.
et
me = r
m
• The mean free path is the average distance travelled by the electron between any
two successive collisions l = v t r
• The thermal conductivity of a metal Ktotal = Kelectrons + Kphonons
• Thermal conductivity of an insulator Ktotal = Kphonons
• The coefficient of thermal conductivity is defined as the ratio of the heat energy
transferred across unit area of cross-section in one second to the temperature
gradient.
Q
K= 2l
(T1 - T2 )
• The thermal conductivity of a metal
1
K = n v kB l
2
 Electron Theory of Solids 16.15

• The thermal conductivity of a metal in terms of electronic specific heat

1
K = Ce vl
3
• The Wiedemann–Franz law states that the ratio between thermal conductivity and
electrical conductivity of a metal is directly proportional to absolute tempera-
ture.

K
µT
s
K
• Lorentz number L=
sT
• Ohm’s law is verified using the classical free electron theory.

Solved Problems

Example 16.1 The following data are given for copper: i) Density = 8.92 ¥
103 kg m-3, ii) Resistivity = 1.73 ¥ 108 W m iii) Atomic weight = 63.5. Calculate
the mobility and the average time collision of electrons in copper obeying
classical laws.
Given Data
The resistivity of copper r = 1.73 ¥ 108 W m
The atomic weight of copper z = 63.5
The density of copper is d = 8.92 ¥ 103 kg m-3
Solution
Avogadro's ¥ density
We know that the carrier concentration =
Atomic weight
Substituting the values, we get
8.92 ¥ 103
i.e, n = 6.023 ¥ 1026 ¥
63.5
n = 8.46 x 1028 m-3
1
The conductivity of copper is, s=
r
1
=
1.73 ¥ 10-8
16.16 Engineering Physics

7 -1 -1
= 5.78 ¥ 10 W m
ne 2t
We know that conductivity is s=
m
sm
Substituting the values, we get, t=
ne 2
5.78 ¥107 ¥ 9.11¥10-31
=
8.46 ¥1028 ¥ (1.6 ¥10-19 ) 2

t = 2.43 ¥ 10-11 s.

s 5.78 ¥ 107
Mobility m= =
ne 8.46 ¥ 1028 ¥ 1.6 ¥ 10-19
m = 4.27 ¥ 10-3 m 2 V -1 s -1
The mobility of electrons in copper is 4.27 ¥ 10-3 m 2 V -1 s -1.

Example 16.2 Sodium metal with bcc structure has two atoms per unit cell.
0
The radius of sodium atom is 1.85 A . Calculate its electrical resistivity at 0° C,
if the classical value of mean free time at this temperature is 3 ¥ 10-14 s.
Given Data
The radius of the sodium atom = 1.85 A∞
Mean free time of sodium at 0ºC tr = 3 ¥ 10-14 s
Solution
m
We know that resistivity r =
n2 e 2 t

4
For bcc structure, lattice constant is given by a = r
3

4 ¥ 1.85 ¥ 10-10
Therefore, a= = 4.27 ¥ 10-10 m
3

Number of atoms per unit cell

Density of electrons ne = 
Volume (a 3 )
where number of atoms per unit cell is 2 for bcc structure.
2
Therefore, \  ne = 
(4.27 ¥ 10-10 )3

ne =  2.57 ¥ 1028 m -3
 Electron Theory of Solids 16.17

9.11 ¥ 10-31
  \ r=
(2.57 ¥ 1028 ) ¥ (1.6 ¥ 10-19 ) 2 ¥ (3 ¥ 10-14 )

r = 4.616 ¥ 10-8 W m

-8
Therefore, the resistivity copper is 4.616 ¥ 10 W m .
Example 16.3 Calculate the electrical resistivity of sodium at 0oC. It
27
has 25.33 ¥ 10 electrons per unit volume and has a mean free time of
3.1 ¥ 1014s.
Given Data
Number electrons per unit volume n = 25.33 ¥ 1027
Mean free time of the electron tr = 3.1 ¥ 1014
Solution
We know that the electrical resistivity of sodium metal is
m
r=
ne 2 z
where m and e are the mass and charge of electrons respectively.
Substituting the value of n, tr, m and e, we get,
9.11 ¥ 10-31
=
25.33 ¥ 1027 (1.6 ¥ 10-19 ) 2 ¥ 3.1 ¥ 1014
= 4.532 ¥ 10-36 W m
The electrical resistively of sodium at 0°C is 4.532 ¥ 10-36 W m.
Example 16.4 The relaxation time of conduction electrons in a material is
3 ¥ 10-14s. If the density of electrons is 5.8 ¥ 1028 per m3, calculate the resistivity
of the material and mobility of the electron.
Given Data
Number of force electrons per unit volume n = 5.8 ¥ 1028 per m3
The relaxation time of conduction electrons tr = 3 ¥ 10-14 s.
Solution
We know that the electrical resistivity of the metals is given by
m
r=
ne 2 t r
Substituting the value of n, tr , mass of electron and charge of electron, we get,
9.11 ¥ 10-31
r=
5.8 ¥ 1028 ¥ (1.6 ¥ 10-19 ) 2 ¥ 3.4 ¥ 1014
= 1.804 ¥ 10-36 W m
16.18 Engineering Physics

Therefore, the electrical conductivity of the material is 1.804 ¥ 10-36 W -1 m -1 .

We also know that,
the mobility of electron is
et r
me =
m
Substituting the value of tr and m, we get,

1.6 ¥ 10-19 ¥ 3.4 ¥ 1014

= = 5.9715
9.11 ¥ 10-31

Therefore, the mobility of the electron in a metal is 5.9715 m 2 v -1s -1 .

Example 16.5 A uniform silver wire has a resistivity of 1.54 ¥10-8 ohm/m
at room temperature. For an electric field along the wire of 1 volt/cm, com-
pute the average drift velocity of an electron assuming that there is 5.8 ¥1028
conduction electrons/m3. Also calculate the mobility.

Given Data
The resistivity of the silver = 1.54 ¥ 10-8 ohm/m
Electric field along the wire = 100 v m-1
The carrier concentration of electron = 5.8 ¥ 1028 m-3
Solution
s 1
We know that, the mobility of the electron m = (or )
ne r ne
Substituting the values of n, e and r , we get,
1
m=
1.54 ¥ 10 ¥ 5.8 ¥ 1028 ¥ 1.6 ¥ 10-19
-8

1
m= = 6.9973 ¥ 10-3
142.912
The mobility of the electrons in silver is 6.9973 ¥ 10-3 m 2 v -1s -1
The drift velocity vd =  m E
vd = 6.9973 ¥ 10-3 ¥ 100
Therefore, Drift velocity (vd) = 0.69973
The drift velocity of the electron is silver is 0.69973 m s-1.
Example 16.6 The density of silver is 10.5 ¥ 103 kg m-3, assuming that each
silver atom provides one conduction electron. The conductivity of silver at 20º C
is 6.8 ¥ 107 W-1 m-1. Calculate the density and mobility of electron in silver
with atomic weight of 107.9 ¥ 10-3 kg m-3.
 Electron Theory of Solids 16.19

Given Data
The density of silver = 10.5 ¥ 103 kg m-3
The conductivity of silver at 200C = 6.8 ¥ 107 W-1 m-1
The atomic weight of silver = 107.9 ¥10-3 kg m-3
Solution
We know that, the number of atoms present per m3
density
  = Avogadro’s number ¥ 
atomic weight

10.5 ¥ 103
= 6.023 ¥ 1026 ¥
107.9
= 5.86 ¥ 1028 atoms/m3
As each silver atom contributes one electron, the density of electrons is
5.8 ¥ 1028 atoms/m3.
We know that the conductivity is given by s = nem

s 6.8 ¥ 107
m= =
ne 5.86 ¥ 1028 ¥ 1.609 ¥ 10-19

\  m = 0.72 ¥ 10-2 m 2 V s -1

Therefore, the mobility of electron is 0.72 ¥ 10-2 m 2 V s -1.

Example 16.7 The thermal and electrical conductivities of Cu at 20oC are

390 W m-1 K-1 and 5.87 x 107 W-1 m-1, respectively. Calculate the Lorentz
number.
Given Data
Electrical conductivity of copper s = 5.87 ¥ 107 W-1 m-1
Thermal conductivity of copper k = 390 W m-1 k-1
Temperature T = 293 K
Solution
We know that the Lorentz number is
K
L=
sT
Substituting the values of K, s and T, we get,
390
=
5.87 ¥ 107 ¥ 293
= 2.26756 ¥ 10-8 W W K -2
Therefore, the Lorentz number is 2.267 ¥ 10-8 W W K-2.
16.20 Engineering Physics

Example 16.8 Calculate the electrical and thermal conductivities for a metal
with relaxation time of 10-14 second at 300 K. Also, calculate the Lorentz number
using the above result. (Density of electrons = 6 ¥ 1028 m-3.)
Given Data
The relaxation time t r = 10-14 s
The temperature T = 300 K
The electron concentration n = 6 ¥ 1028 m-3
Solution
We know that the electrical conductivity is
ne 2t r
s=
m
Substituting the values of n, e, tr and m, we get,
6 ¥ 1028 ¥ (1.6 ¥ 10-19 ) 2 ¥ 10-14
=
9.1 ¥ 10-31
= 1.6879 ¥ 107
Therefore, the electrical conductivity is 1.6879 X 107 W-1 m-1 .
We know that the thermal conductivity
np 2 k 2 BT t r
k=
3m
Substituting the values, we get,
6 ¥ 1028 ¥ p 2 (1.38 ¥ 10-23 ) 2 ¥ 300 ¥ 10-14
=
3 ¥ 9.1 ¥ 10-31
= 123.927525 W m-1 k-1
We know the thermal conductivity is 123.92 W m-1 k-1.
k
Lorentz number is L=
sT
Substituting the corresponding value in the above equation, we get,
123.927525
= = 2.44737 ¥ 10-8
7
1.6879 ¥ 10 ¥ 300
The Lorentz number is 2.4474 ¥ 10-8 W W K-2.
Example 16.9 The density and atomic weight of Cu are 8900 kg m-3 and
63.5. The relaxation time of electrons in Cu at 300 K is 10-14 s. Calculate the
electrical conductivity of copper.
Given Data
Density of copper = 8900 kg m-3
Atomic weight of Cu = 63.5
Relaxation time = 10-14 s
 Electron Theory of Solids 16.21

Solution
We know that the concentration of free electrons
Avogadro's constant ¥ denstiy ¥ number of
free electrons per atom
n=
atomic weight
Substituting the values, we get,
6.022 ¥1023 ¥ 8900 ¥103
= = 8.44 ¥ 1028
63.5
Since the number of free electrons per atom in copper is 1,
ne 2t r
the electrical conductivity s =
m
8.44 ¥ 1028 ¥ (1.6 ¥ 10-19 ) 2 ¥ 10-14
=
9.1 ¥ 10-31
The electrical conductivity is 2.374 ¥107 Ohm-1 m-1.
Example 16.10 The resistivity of a piece of silver at room temperature is
1.6 ¥10-8 W m. The effective number of conduction electrons is 0.9 per atom
and the Fermi energy is 5.5 eV. Estimate the mean free path of the conduction
electrons. Calculate the electronic relaxation time and the electronic drift velocity
Ê m ˆ
in a field of 100 V m-1. The density of silver is 1.05 ¥ 104 kg/m3 Á =1 .
Ë m * ˜¯
Given Data
The resistivity of the silver piece at room temperature r = 1.6 ¥10-8 W m
The effective number of conduction electrons for atom = 0.9
Fermi energy of the silver piece = 5.5 eV
= 5.5 ¥1.60¥10-19
=  8.8 ¥ 10-19 J
Solution
1
We know that the conductivity s= r

1
= 
1.6 ¥ 10-8
= 6.25 ¥ 107
The conductivity of the silver piece is 6.25 ¥ 107 W -1 m -1
1.05 ¥ 104
n = 6.023 ¥ 1023 ¥ = 5.86 ¥ 1028 / m3
107.9 ¥ 10-3
sm
We know that the relaxation time t =
ne2
16.22 Engineering Physics

Substituting the values we get,

6.25 ¥ 107 ¥ 9.11 ¥ 10-31
=
5.86 ¥ 1028 ¥ (16.03 ¥ 10-19 ) 2

t = 3.78 ¥ 10-14

Therefore, the relaxation time is 3.78 ¥ 10-14 s

The mean free path is given by l = ct
= 3 ¥ 108 ¥ 3.78 ¥ 10-14
l = 1.134 ¥ 10-5 m
sE
We know that, the drift velocity is Vd =
ne
6.25 ¥ 107 ¥ 100
Substituting the values, we get, Vd =
5.86 ¥ 1028 ¥ 1.6 ¥ 10-19
Therefore, the drift velocity of electrons in the silver piece is 0.66 m s-1
Example 16.11 A copper wire has a resistivity of 1.7 ¥ 10-8 W m at room
temperature of 300 K. If the copper is highly pure, find the resistivity at
700˚C.

Given Data
The resistivity of copper wire at room temperature 1.7 ¥10-8 W m.
Solution
We know that r µ T1/2

r1 T 1/ 2
i.e., = 11/ 2
r2 T2

r1 T11/ 2
r2 =
T21/ 2
By rearranging the above equation, we get

T11/ 2
r2 = r1
T21/ 2

Substituting the value of r 1, T1 and T2, we get,

(700 + 273)1/ 2
r2 = 1.7 ¥ 10-8 ¥
3001/ 2
a resistivity of the copper wire is 3.0616 ¥ 10-8 W m.
 Electron Theory of Solids 16.23

Example 16.12 A conduction wire has a resistivelity of 1.54 ¥ 10-8 W m at

room temperature. The Fermi energy for such a conductor is 5.5 eV. There are
5.8 ¥ 1028 conduction electrons per m3. Calculate
(i) The relaxation time and the mobility of the electrons
(ii) The average drift velocity of the electrons when the electric field
applied to the conductor is 1 V cm-1
(iii) The velocity of an electron with Fermi energy
(iv) The mean free path of the electrons
Given Data
The resistivity r= 1.54 ¥ 10-8 W m
Fermi energy EF = 5.5 eV
= 5.5 ¥ 1.609 ¥ 10-19
= 8.8495 ¥ 10-19 J
Concentration of electrons n= 5.8 ¥ 1028 m-3
Solution
(i) We know that the relaxation time a
m
tr =
r ne 2
Substituting the value of r, EF, n and e, we get,
9.1 ¥ 10-31
tr = 
1.54 ¥ 10 ¥ 5.828 ¥ (1.6 ¥ 10-19 ) 2
-8

= 3.97972 ¥ 10-14 s
Therefore the relaxation time is 3.98 ¥ 10-14
We know that the mobility of the electrons is
et r
m=
m
1.6 ¥ 10-19 ¥ 3.97972 ¥ 10-14
m=
9.1 ¥ 10-31
= 6.9973 ¥ 10-3
The mobility of the electrons is 6.99 ¥ 10-3 m2 V-1 s-1.
(ii) We know that the drift velocity of the electrons.
et E
vd = r
m
Substituting the value of e, tr , E and m in the above equation, we get,
1.6 ¥ 10-19 ¥ 3.98 ¥ 10-14
m =  ¥ 1 ¥ 102
9.11 ¥ 10-31
= 0.69973
The drift velocity of the electrons is 0.69973 m s-1.
16.24 Engineering Physics

(iii) We know that the Fermi velocity is

2EF
VF =
m

= 2 ¥ 5.5 ¥ 1.6 ¥ 10-19 =1.3907 ¥ 106 m s-1

9.1 ¥ 10-31

Therefore, the Fermi velocity is 1.39 ¥ 106 m s-1.

We also know that the mean free path l = VFtr
= 1.3907 ¥ 106 ¥ 3.97972 ¥ 10-14
= 5.5346 ¥ 10-8
-8
The mean free path is 5.535 ¥ 10 m.

objectives Questions

16.1 ____________ is the macroscopic theory.

16.2 Quantum free electron theory is a macroscopic theory and it obeys
____________ law.
16.3 Zone theory is based on ____________ of solids.
16.4 The reciprocal of electrical resistivity is known as ____________.
16.5 The unit for electrical resistivity is ____________.
16.6 The free electrons in a metal are known as ____________.
16.7 Electrical conductivity of low-resistivity materials is in the range of
____________.
16.8 Examples for high-resistivity materials ____________, ____________ and
____________.
16.9 According to Newton’s second law of motion
(a) F = ma2 (b) F = ma
(c) F = m2a2 (d) F = ma
16.10. The thermal conductivity of a metal is
ne 2 t r ne 2 t r2
(a) s = (b) s =
m2 m2
ne 2 t r ne t r
(c) s = (d) s =
m m2
16.11. The resistivity of a material
m m
(a) r = (b) r =
ne2 t r ne t r
m m2
(c) r = (d) r =
ne2 t r2 ne 2 t r
 Electron Theory of Solids 16.25

16.12 The mobility of the electron me = ____________

16.13 The thermal conduction in a metal is equal to Ktotal = ____________
16.14 The thermal condition for an insulator is Ktotal = ____________
16.15 The coefficient of thermal conductivity K is equal to
1 2 1 2 2
(a) n v kB l (b) n v kB l
2 2
1 2 1
(c) nv k B l (d) nv k B l
2 2
16.16 According to Wiedemann–Franz law
K K
(a) µ T2 (b) µT
s s
K K
(c) = T2 (d) µT2L
s s
16.17 Ohm’s law is verified using the classical free electron theory. True/False

KEY
16.1 Classical free electron 16.2 quantum
16.3 energy bands 16.4 Electrical conductivity
16.5 W-1 m-1 16.6 electron gas
16.7 108 16.8 Tungsten, Platinum, nichrome
16.9 b) 16.10 c)
16.11 a) 16.12 etr /m
16.13 Kelectron + Kphonon 16.14 Kphonon
16.15 d) 16.16 b)
16.17 True.

Short Questions

16.1 What is meant by electrical conductivity?

16.2 Define electrical conductivity.
16.3 What is meant by conductivity materials?
16.4 Define density of states and sketch the same for a metal?
16.5 What are the main theories developed for metals?
16.6 What is meant by free electrons?
16.7 What is classical free electron theory?
16.8 Mention any two important features of quantum free electron theory of
metal?
16.9 Define electric collision.
16.10 What are the sources of resistance in metals?
16.11 Mention the postulates of free electron theory.
16.26 Engineering Physics

16.12 Define relaxation time.

16.13 Distinguish between relaxation time and collision time.
16.14 Define mean free path.
16.15 Define the mobility of electrons?
16.16 Define drift velocity?
16.17 Distinguish between drift velocity and thermal velocity of an electron.
16.18 Define coefficient of thermal conductivity.
16.19 Define electrical conductivity.
16.20 Distinguish between thermal and electrical conductivity.
16.21 State Wiedemann–Franz law.
16.22 What is meant by Lorentz number?
16.23 What are the simultaneous between the electrical and thermal
conductivity?
16.24 Verify Ohm’s law using classical free electron theory.
16.25 Mention the application of classical free electron theory.
16.26 What are the successes of classical electron theory?
16.27 What are the drawbacks of classical free electron theory?

descriptive Questions

16.1 What are the postulates of free electron theory? Drive an expression for
electrical conductivity based on free electron theory?
16.2 Derive an expression for electrical conductivity in a material in terms of
mobility of electrons and hence obtain Wiedemann–Franz law.
16.3 Define electrical and thermal conductivity and deduce the expression for
the same.
16.4 Deduce Wiedemann Franz law classically and quantum mechanically.
16.5 Describe the classical free electron theory and deduce Lorentz number.
Also, discuss the merits and demerits of classical free electron theory.
 Chapter

Statistics and
Band Theory of 17
Solids

OBJECTIVES
• To derive the Fermi Dirac statistics for the energy states
• To study the probability of occupation of electrons
• To explain the density of states in metal or semiconductors
• To study the effect of temperature on Fermi energy function
17.1
i The classical free electron theory could not explain specific heat capacity,
n electronic specific heat etc. But they are well explained using quantum free
electron theory. On the other hand, quantum free electron theory fails to
t
explain the distinction among metals, semiconductors and insulators, the
r positive value of Hall Effect and some transport properties. All the above
o failures are overcome by the energy band theory of solid. The band theory of
D the solids is used to explain the band structure and the electrical properties
u of solids. The outcome of quantum mechanics, Pauli’s exclusion principle
and Bohr’s atom model are results in the band theory of solids.
c The statistics mainly used to derive the velocity and the energy distribution
t of particles is of three types namely, (i) Maxwell-Boltzmann statistics, (ii) Bore-
i Einstein statistics and (iii) Fermi-Dirac statistics. The Maxwell – Boltzmann
o statistics deals with particles having no spin (Eg. Gaseous particles). The
n Bose-Eintein statistics explains the particles like photon having integral
spins, while the particle with half integral spin was dealt by the Fermi-Dirac
statistics. Examples for Fermi-Dirac statistics are the particles like electrons
which have half integral spin and hence, these particles are known as Fermi particles or
Fermions. The Fermi-Dirac statistics, Fermi energy and density of static band theory of
solids are briefly discussed in this chapter.

17.2 Fermi-Dirac statistics

The distribution of energy states in a semiconductor is explained by Fermi-Dirac
statistics since it deals with the particles having half integral spin like electrons.
Consider that the assembly of electrons as electron gas which behaves like a system
17.2 Engineering Physics

of Fermi particles or Fermions. The Fermions obeying Fermi-Dirac statistics i.e.,

Pauli’s exclusion principle.
Therefore, the probability function f (E) of an electron occupying an energy level
E is given by,
1
f (E) = (17.1)
1+ exp ÈÎ( E - EF ) / KT ˘˚

where EF is known as Fermi energy, K the Boltzmann constant and T the absolute
temperature.
Eq.(17.1), the probability function f (E) lies between 0 and 1. Hence, there are three
possible probabilities namely:
f (E) = 1 100 % Probability to occupy the energy level by electrons
f (E) = 0 No probability to occupy the energy levels by electrons and hence, it
is empty
f (E) = 0.5 50 % Probabilityof finding the electron in the energy level.
A detailed explanation for the above three cases are given by considering the
temperature dependence of Fermi distribution function and its effects on the occupancy
of energy level by electrons is shown in Fig. 17.1.
E
E E

EF
N/2 E EF
F

0 1
Distance f(E) N(E)

(a) Distribution (b) Fermi Dirac (c) Electron

of electrons in distribution distribution
conduction band function at 0 K function
at 0 K.
Fig. 17.1 Femi-Dirac distribution function

Case I Probability of occupation at T = 0 K, and E < EF

Substituting the above condition in Eq. (17.1). We get,
1
f (E) =
1+ e - •

1
= =1
1

Therefore, f (E) = 1 (17.2)

 Statistics and Band Theory of Solids 17.3

Eq. (17.2), clearly indicates that at T = 0 K, the energy level below the Fermi
energy level EF is fully occupied by electrons leaving the upper levels vacant.
Therefore, there is a 100 % probability that the electrons to occupy energy
level below Fermi energy. Generally, a single energy band namely conduction
band diagram as shown in Fig. 17.1 ais used to characterise the conductors.The
conduction band have more energy levels than free electrons. Fig. 17.1 a indicates
that conduction band is filled up to certain energy level marked as E F, while the
energy levels above the highest filled level is empty. Fermi energy level is defined
as the upper most filled energy level in a conduction band at 0 K. In other words,
the highest energy level occupied by an electron in a conductor at 0 K is the Fermi
energy level.

Case II Probability of occupation at T = 0 K and E > EF

Substituting the above condition in Eq. (17.1) We get,

1
f (E) =
1+ e•

1
=
1+ •

1
or = =0
•

Therefore, f (E) = 0 (17.3)

Eq. (17.3) clearly indicates that at T = 0 K, the energy levels above the Fermi
energy level EF is unoccupied i.e., vacant. Therefore, there is a 0 % probability for the
electrons to occupy the energy level above the Fermi energy level. Fig. 17.1 b shows
that the variation of f (E) for different energy values is a step function.

Case III Probability of occupation at T = 0 K and E = EF

Substituting the above condition in Eq. (17.1) We get,

1
f (E) =
1+ e0

1
=
1+1

1
or = = 0.5
2

Therefore, f (E) = 0.5 or 1/2 (17.4)

17.4 Engineering Physics

Eq. (17.4) clearly indicates that at T = 0 K, there is a 50 % probability for the

electrons to occupy Fermi energy level. Therefore, the Fermi energy level is defined as
the energy level at any temperature, the probability of electron is 50 % or ½. Similarly,
it is also defined as EF the average energy occupied by the electrons which participate
in conduction process in conductor at temperature above 0 K.

Case Iv At High temperature (T > 0 K) i.e., KT >> EF or T = •

At higher temperature, electrons are excited above the Fermi energy level which
is vacant. Therefore, most of the electrons are lying in the deep conduction band,
without any disturbance. Since, the energy KT is not sufficient to make any transition
to an unoccupied level. This energy is sufficient to make a jump to higher level those
electrons lie in the energy level adjunct to Fermi level. At higher temperatures, the
electron lost the quantum mechanical properties and the traditional classical Boltzmann
distribution function.

17.2.1 Density of states

The energy distribution of electrons in a metal or semiconductor is determined using
Fermi Dirac statistics. The nx, ny, nz are quantum numbers used to construct the point
in the sphere.

z
D Octants
Quadrant

E
A C y
B
x Hemisphere

(a) Division of a Sphere

ny

dR

nx
nz

(b) Octant
Fig. 17.2 Density of States
 Statistics and Band Theory of Solids 17.5

The ability of a metal to conduct electricity depends on the number of quantum

states and the available energy levels of the electrons. Therefore, the determination
of energy states for the electrons is essential. The numbers of quantum states present
in a metal between the energy interval E and E + dE per unit volume is known as
density of states.

No. of quantum states present between E and E + dE

Density of states Z(E) = (17.5)
Volume of the specimen

Consider that the sphere is further divided into number shells as shown in Fig.
17.2 a. Therefore, each shell is represented by a set of quantum numbers (nx, ny
and nz) and will have an associated energy. Let E be the energy of the point which
is same for all points present on the sphere. Therefore, the radius of the sphere
with energy E is

n2 = nx2 + ny2 + nz2 (17.6)

Consider that the unit volume represents one energy state. Therefore, number of
energy states in a sphere of radius n is
4 3
= pn (17.7)
3
Eq.(17.7) represents the total volume of the sphere. We know that the quantum
number nx, ny, nz takes only the positive integral values and hence, one has to take only
one octant in the sphere i.e., 1/8 of the total volume of the sphere.
Therefore, the every states available within one octant of the sphere of radius n
and its energy E is
1 È4 ˘
= Í p n3 ˙ (17.8)
8 Î3 ˚
Similarly, the energy states available within one octant of the sphere of radius n +
dn and its energy E + dE is
1 È4 3˘
= p ( n + dn ) ˙ (17.9)
8 ÍÎ 3 ˚
Therefore, the number of energy states available within the sphere of radius n
and n+dn is obtained by finding the energy difference between the two energy levels
namely E and E + dE.
1 È4 3˘ 1 È4 ˘
N(E) d(E) = Í p ( n + dn ) ˙ - Í p n3 ˙
8 Î3 ˚ 8 Î3 ˚
1 Ê 4p ˆ È
ÁË ˜¯ Î( n + dn ) - n ˘˚
3 3
=
8 3

Expanding (n + dn)3, we get,

p 3
N(E) d(E) =
6
(
n + dn3 + 3n 2 dn + 3ndn 2 - n3 ) (17.10)
17.6 Engineering Physics

Simplifying the above Eq. (17.10) using (a + b)3 = a3 + b3 + 3a2b + 3ab2, we get,
p
N(E) d(E) =
6
(
dn3 + 3n 2 dn + 3ndn 2 )
Neglecting the higher powers of dn i.e., dn2 and dn3, we get,
p
N(E) d(E) =
6
(
3n 2 dn )
Simplify the above equation we get,
p 2
N(E) dE = n dn (17.11)
2
(or) p (17.12)
N ( E ) dE = n (ndn)
2
Consider a cubic metal piece with cube edge l. Therefore, the energy of electron
within the cube is,
n2h2
E=
8ml 2
Rearranging the above equation, we get,
8ml 2
n2 = dE (17.13)
h2
1/ 2
È 8ml 2 E ˘
(or) n=Í 2 ˙ (17.14)
Î h ˚

The value of ndn is obtained by differentiating Eq. (17.13)

8ml 2
i.e., 2ndn = dE
h2

8ml 2
(or) ndn = dE (17.15)
2h 2

Substituting the value of n and ndn from the Eq. (17.14) and Eq. (17.15) in
Eq. (17.12), we get,
1/ 2
p Ê 8ml 2 E ˆ Ê 8ml 2 ˆ
N(E)dE = ÁË 2h 2 ˜¯ dE
2 ÁË h 2 ˜¯

Simplifying the above equation, we get,

3/ 2
p Ê 8ml 2 ˆ
N(E) dE = Á 2 ˜ E1/ 2 dE (17.16)
4Ë h ¯
where l3 is the volume of the metal piece.
 Statistics and Band Theory of Solids 17.7

According to Pauli’s exclusion principle, we know that two electrons with opposite
spin occupy each state. Therefore, the number of energy states available for electron
occupancy is
3/ 2
p Ê 8m 2 ˆ
N(E) dE = 2 ¥ Á 2 ˜ E1/ 2 d (17.17)
4Ë h ¯
Eq.(17.17) is the effective number of energy states in a volume l3 with energy between
E and E + dE. The number of available energy states per unit volume l3 = 1.
We know that,
N (E) d (E)
Density of states Z(E) d(E) =
V
Substituting the value of N(E) d(E) and l = 1, in the above equation, we get,
3/ 2
p Ê 8m ˆ
Density of states Z(E) dE = Á ˜ E1/ 2 dE (17.18)
2 Ë h2 ¯
Eq. (17.18) is the density of energy states i.e., charge carrier in the energy interval E and
E + dE. One can determine the carrier concentration in the metals and semiconductors
using the above equation.

17.3 carrier concentration (Free

electron Density) in metals
The concentration of the carrier nc i.e., number of electrons per unit volume in the
given energy levels E and E + dE is obtained by integrating the product of the density
of states and the probability of occupancy f (E).
Therefore, nc = Ú Z ( E ) f ( E ) dE (17.19)
Substituting the values of Z(E) and f (E) in the above equation, we get,
4p 1
nc = Ú (2m)3/ 2 E1/ 2 ( E - EF )/ KT
dE (17.20)
h 3
1+ e
Eq. (17.20) gives the carrier concentration in the given energy level E + dE.

17.4 eFFect oF temperature on Fermi

energy Function
17.4.1 Determination of Fermi energy at 0 K
In metals, at 0 K, the electrons occupy up to the Fermi level EF. Therefore, f (E) = 1
for energy levels between E = 0 and E = EF.
Substituting the above values in Eq. (17.20), we get,
4p
nc = Ú (2m)3/ 2 E1/ 2 dE
h3
17.8 Engineering Physics

The evaluation of integration in the above equation gives the concentration of

electrons in a band in terms of Fermi energy level EF. At T = 0, EF = EFo i.e., EFo is
the highest energy level occupied by the energy at T = 0 K. The above integration is
valid only E < EFo.
Therefore, integrating the above equation at T = 0 K, we get,
2/3
Ê h 2 ˆ Ê 3n ˆ
EFo = Á ˜ Á ˜ (17.21)
Ë 8m ¯ Ë p ¯

(or) EFo = B n2/3 (17.22)

Ê h2 ˆ Ê 3ˆ
2/3
where B= is a constant and is equal to 5.85 ¥ 10-38 J.
ÁË 8m ˜¯ ÁË p ˜¯
e

Eq. (17.22) is used to determine the highest energy level i.e., Fermi energy level (EFO)
occupied by an electron at T = 0 K by knowing the value of the carrier concentrations.
The value of EFO for few important metals is given in Table 17.1.

table.17.1 Highest Energy level EFO at 0 K

Metals Values of n (¥ 1028 m-3) EFO

Cu 8.491 7.06

Zn 13.153 9.45

Al 18.066 11.68

Mean energy of electron at T = 0 K Consider that Eave is the average energy

of the electron at 0 K,

Therefore,
1 EF o
Eave = Ú N ( E ) dE E (17.23)
n o

Substituting the values of N(E)dE in the above equation, we get,

1 EF o 4p
Eave = Ú (2m)3/ 2 E1/ 2 E dE
n o h3
EF o
1 4p
(or) = 3
(2m)3/ 2 Ú E 3/ 2 dE (17.24)
nh o

Integrating the term, we get,

1 4p 2 5/ 2
Eave = 3
(2m)3/ 2 EFO
nh 5
1 4p 2 3/ 2
(or) = (2m)3/ 2 EFO EFO
n h3 5
 Statistics and Band Theory of Solids 17.9

Substituting the values of EFO from Eq. (17.21), in the above equation, we get,
3/ 2
1 4p 3/ 2 2
Ê h 2 Ê 3n ˆ 2/ 3 ˆ
Eave = ( 2 m ) Á ˜ EFO (17.25)
n h3 5 ÁË 2m Ë 8p ¯ ˜¯
Rearranging, the above equation, we get,
1 4p 3/ 2 2 h3 Ê 3n ˆ
Eave = ( 2 m ) Á ˜ EFO (17.26)
n h3 5 (2m)3/ 2 Ë 8p ¯
Simplifying the above equation, we get,
3
Eave = EF o (17.27)
5
Eq. (17.27) gives the average Fermi energy values occupied by electrons at 0 K. It is
clear that Fermi energy of solids depends on density of electrons in the solid.

17.4.2 Fermi energy of electrons at non zero

temperature (t > 0 K)
When the temperature increases, i.e., T > 0 K and hence (E - EF) >> KT. Therefore,
the Fermi Dirac distribution function can be written as,

f (E) = e - ( E - EF )/ KT for E - EF > KT

Therefore, the carrier concentration of electrons
top of theband
n= Ú f ( E ) N ( E ) dE (17.28)
o

Substituting the value of f (E) and N(E), we get,

4p a

3 (
2m ) Ú E1/ 2 e - ( E - EF )/ KT dE
3/ 2
n= (17.29)
h o

Substituting the value of n from the above equation (17.28) in Eq. (17.29), we get,
1a - ( E - EF )/ KT
Eave = Ú E N (E) e dE (17.30)
no
Fermi energy at any temperature is obtained by evaluating the above equation,

È p 2 È kT ˘ 2 ˘
i.e., EF (T ) = EFo Í1 - Í ˙ ˙ (17.31)
ÍÎ 12 Î EFO ˚ ˙˚

and
3 È 5p 2 È kT ˘ 2 ˘
Eavg (T ) = EFo Í1 - Í ˙ ˙ (17.32)
5 ÍÎ 12 Î EFO ˚ ˙
˚
Eqs. (17.31) and (17.32) show that Fermi energy level decreases with increase in
temperature, while average energy increase with increase in temperature. Thus,
17.10 Engineering Physics

the variation in Fermi energy level with temperature is very small and hence, it is
neglegiable.

17.5 signiFicance oF Fermi energy

Fermi energy levels are used to explain the flow of electrons when two metals are in
contact, p-type and n-type semiconductors and Seebeck effect. Let us discuss briefly
about the significance of Fermi energy levels in the following heading:

17.5.1 metal – metal contacts

Consider two different metals namely platinum (Pt) and molybdenum (Mo) respectively
with work function 5.36 eV and 4.17 eV. The higher work function of Pt is higher than
Mo which gives rise to higher Fermi energy level in Mo than Pt. When these metals
are brought in contact as shown in Fig.17.3, the electrons from the higher energy level
flows into lower energy level i.e., Mo to Pt. Therefore, the inner surface of Pt at the
Pt-Mo metal contact region becomes more negative while the inner surface of Mo
becomes positive. The flow of electrons takes place until two energy levels are equal.
As a results, a contact potential is developed across the Pt-Mo contact region which
is equal to 1.16 eV (5.36–4.2eV). The developed contact potential stops the further
flow of electrons from Mo to Pt metals.
Pt Mo Pt Mo

EF
EF
– +
EF – +
Electrons Electrons – + Electrons
Electrons – +

Fig. 17.3 Pt-Mo metals contact -Contact Potential

Similarly, the flow of electrons and holes in pn junction semiconductor are explained
using the Fermi energy levels. When a pn junction is formed there is a difference in
the Fermi energy levels between the p-type and n-type semiconductors. As a result
there is a flow of electrons from n-type to p-type and there is a flow of holes from
p-type to n-type semiconductors. The transfer of electrons and holes take place until
the Fermi levels in both the semiconductors reaches same level.

17.5.2 seebeck effect and thermocouple

Consider that the two ends of the metal are kept at the two different temperatures
say 273 K and 373 K as shown in Fig.17.4. Therefore in view of the difference in the
temperatures between the two ends, flow of electrons from hot end to cold end starts.
Therefore more electrons are accumulated at the cold end and hence, it becomes more
negative when compared to the hot end.Therefore, it develop a potential difference
between the two ends of the metal, which is called as Seebeck effect. Once can use
 Statistics and Band Theory of Solids 17.11

the seebeck effect to measure the thermo emf across the metals which are kept at
different temperatures using the thermocouple.

Metal

373 K 273 K

Fig. 17.4 Seebeck effect

Consider two copper wires having the same Fermi energy levels are connected
at their ends. One end of the wire is kept as cold end i.e., at 273 K while the other
end is kept as hot end i.e., at 373 K. A voltmeter connected across the hot and cold
ends as shown in Fig. 17.5a is used to measure the thermo emf generated between
the ends. There is no flow of electrons between the hot and cold ends, since the same
copper wire is used having with same Fermi energy levels. Therefore, there is no
thermo emf across the ends and hence voltmeter does not show any deflections.

Cu Cromel

Cu Alumel
373 K 273 K 373 K 273 K

V
V
(a) (b)

Fig. 17.5 Thermocouple

On the other hand, when two different metals having different Fermi energy levels
say Cromel (eV) and Alumel (eV) metals are connected and kept at two different
temperatures,it generate an emf as shown in Fig.17.5b.Therefore, electrons flow
from hot to cold end and hence, the voltmeter shows a deflection. The cromel-alumel
metal connects act as a thermocouple and is known as K-type thermocouple. The
thermocouples are obtained by connecting two different materials having different
Fermi levels. The different types of thermocouples and the materials used are given
in Table 17.2.

17.6 eFFective mass oF an electron

Consider the influence of an external field E on the electron when it is in a vacuum
as shown in Fig. 17.6(a).The external field results an increase in the force acquired
by electron. According to Newton’s law of motion, the force acquired by the electron
is F = ma. Let Fext be the force experienced by the electron when an external field is
applied. Therefore, the acceleration of the electron
Fext
a= (17.33)
m
17.12 Engineering Physics

Electron
Ion
Vacuum

E E

(a) Vacuum (b) Crystal

Fig. 17.6  Electron under the influence of an electric field 

On the other hand, when an external electric field E is applied to the crystal
(Fig. 17.6b), the electron in the crystal acquires force both due to the external and
internal fields. The field which exists in a crystal due to the periodic arrangement of
atoms or ions is known as internal field. Let Fint be the internal field available in the
crystal. Therefore, the acceleration exerted by the electron
Fext + Fint
a= (17.34)
m
One cannot measure the internal force experienced by the electrons directly.
Therefore, an another mathematical expression is used to determine the acceleration
exerted by the electron by considering the internal force into the system and replacing
the mass of an electron as the effective mass (m*) of the electron as,
Fext
a= (17.35)
m*
In Eq. (17.35), the effective mass (m*) of the electron incorporates all the internal
forces exist in the crystal. The behaviour of effective mass is same as that of classical
mechanics. The effective mass of some of the important metals are shown in
Table 17.2. Metals like Cu and Ag show that their effective mass is nearly equal to
the mass of the electrons. The effective masses of electrons in different metals are
displayed in Table 17.2.

table 17.2 Effective masses of electrons in different metals

Metals m e* / m
Cu 1.010
Ag 0.990
Au 1.100
Bi 0.047
K 1.120
Li 1.280
Na 1.200
Ni 28.000
Pt 13.000
Zn 0.850
 Statistics and Band Theory of Solids 17.13

Expression for the Effective Mass Consider an electric field of strength E is applied
to the crystal. The force exerted by the electron in the crystal is
F = -eE
= ma (17.36)
According to quantum concept, the electrons behaves as a wave and hence, the group
velocity is
dw
vg = (17.37)
dk
where w is the angular frequency, k is known as wave vector or wave number and its
value is equal to 2p/l.
We know that the energy of the electron
E = w (17.38)

Differentiating the above equation, we get,

dE =  dw

or dw = dE / 

Substituting the value of dw in the above equation, we get the group velocity
1 dE
vg = (17.39)
 dk
The acceleration exerted by the electron is obtained by differentiating the above
equation w.r.t.t,
dvg 1 d Ê dE ˆ
The acceleration exerted by the electrons a = = Á ˜
dt  dt Ë dk ¯

1 d 2 E dk
or a= (17.40)
 dk 2 dt

k4
k3
k1 k2
k

Fig. 17.7 E-k diagram of conduction band

17.14 Engineering Physics

One can determine the energy gained by the electron by considering the E – k
diagram of the conduction band as shown in Fig.17.7. When an electric field is
applied, the electron gains energy and hence, it moves form one k value to another k
value in the E – k diagram. The accelerated electron coincides with lattice vibration
and hence, random scattering of electrons takes place. The scattered electron takes
into another k value as shown in Fig.17.7. Thus, the group velocity of the electron
is determined from the gradient of the E – k diagram. Let Fext be the external force
acting on the electron by the application of external field. The distance moved by
the electron when it acquires energy externally is dt. Therefore, the energy gained
by the electron

dE = Fext vg dt (17.41)

Rearranging the above equation, we get,

1 dE
Fext = (17.42)
vg dt

Substituting the value of Vg from Eq. (17.39) in the above equation, we get,
dk
Fext = 
dt
dk
or = Fext  (17.43)
dt

Substituting the value of dk from Eq. (17.43) in Eq. (17.40), we get,

dt
Fext
a= -1
(17.44)
È d 2E ˘
2 Í 2 ˙
Î dk ˚

Comparing the value of a with a = F/m, we get,

F Fext Fext
= -1
= (17.45)
m 2Èd E ˘
2 m*
 Í 2˙
Î dk ˚
-1
where m* =  2 È d E ˘ known as the effective mass of the electron and it depends
2

Í 2˙
Î dk ˚
on the E – k diagram.
Consider an E – k diagram for a valance band which is downward concave as
shown in Fig.17.7. The effective mass of an electron, which is at the top of the valance
band is negative. The negative sign of the effective mass indicates that the electrons
are deaccelerating by the application of the external field. Generally, the effective
mass of a crystal depends on curvature (d2E / dk2), on the E – k diagram. Thus, the
E – k diagram of the crystal depends on the nature of bonding and the symmetry of
 Statistics and Band Theory of Solids 17.15

the crystal structure. Cyclotron resonance method is generally used to determine the
effective mass of the crystal.

17.7 concept oF Hole

One can explain the concept of hole by plotting a graph between energy of an electron
E and wave vector k known as E-k diagram as shown in Fig.17.8. In Fig. 17.8a, all
the states in both bands b and b’ are filled by electron and hence, there is no vacancy
state. On the hand in Fig.17.8b all the states are not filled in band b while there is a
vacancy or empty state of an electron in band b. The absence of an electron or empty
state is called as a hole.
(i) We know that the total wave vector in a filled energy band is zero. Let
k be the wave vector of an electron in the band b and -k be the wave
vector of an electron in band b′. In Fig.17.8a, all the states are filled and
hence, the total wave vector in a filled energy band is zero. However, in
Fig.17.8b, there is once extra wave vector in band b' since there is an
empty state in band b. This empty state or space is called as hole and its
wave vector is kh. Therefore, the wave vectors of the hole and electron
are equal in magnitude but opposite in nature i.e., kh = - ke.

E E

b¢ b b¢ b

�k k �k k
(a) Filled states (b) Empty state
Fig. 17.8 E – k diagram of valence band

(ii) The wave vectors of hole and electron are equal and opposite in magnitude.
Therefore, the electron which is missing in the valence band is excited to
conduction band.
(iii) The charge for a hole is positive i.e.,e+, while the charge of an electron
is negative i.e. e-.
(iv) The energy of hole and electrons are equal but opposite in magnitude i.e.,
eh (kh) = ee (- ke) = - ee (ke).
(v) When an electric field is applied to a band, the negatively charged electrons
moves opposite to the field direction (Fig. 17.9). On the other hand, the
positively charged holes moves with same velocity as that of electron in
the same direction of the field.
i.e., vh = ve
17.16 Engineering Physics

E E (¨E) E
k k k
E F E
C D
G CD E F G C D FG
B H B B H
A A H A

Fig. 17.9  Motion of a hole—Applied field

(vi) The effective mass of an electron at the top of the valence band is nega-
tive, while it is positive for hole due to its opposite charge as that of
electron.
(vii) The equation of the motion of an electron is
dke
 = - e ( E + ve x B ) (17.46)
dt
Similarly, the equation for motion of a hole is,
dkh
 = e ( E + vh x B ) (17.47)
dt
(viii) The equation for the current density for an electron is
J = - neV (17.48)
Similarly, the equation for current density of a hole is
J = neV (17.49)

17.8 BanD tHeory oF soliDs – origin oF

energy gap
The quantum free electron theory of metals assumes that the free electrons known as
conduction electrons are fully responsible for the conduction mechanism.The above
theory explains the phenomena like specific heat capacity, electrical conductivity,
thermal conductivity, electrodynamics of metals, photoelectric effect, Compton effect
etc. However, it fails to explain many other physical properties. This model fails to
explain the distinction between metal, semiconductor and insulator.Similarly, it fails
to explain the positive values of the Hall co-efficient. Therefore, the band theory of
solids was proposed to overcome the failures of quantum free electron theory.
In order to explain the band theory of solids, cyclic or periodic boundary conditions
is used to explain the free electrons. Consider the one dimensional periodic arrangement
of positively charged ions inside a crystal as shown in Fig.17.10. The motion of the
free electrons inside the positively charged ion core is shown in Fig.17.10a. Therefore,
the wave function of the electron is

y (x) = A e jkx (17.50)

where k is the wave vector and A the amplitude.

 Statistics and Band Theory of Solids 17.17

+ + + +
+ + + +
+ + + +
+ + + +

(a) Motion of electron

P.E.

A B C D E

a
(b) Potential energy variation
Fig. 17.10 One dimensional periodic potential

The potential energy of the freely moving electron at the positive ion site inside
the crystal is zero while it is maximum at the middle. On the other hand, outside the
crystal, the potential energy is infinite. Therefore, the potential energy of the moving
electrons varies periodically with same period as that of crystal as shown in Fig.17.10b.
Therefore, momentum (p) and energy (E) of the moving electron is respectively k
and È( k ) / 2m ˘ .
2
Î ˚
When an electron moves in a periodic potential it undergoes similar effects such as
reflection and diffraction as that of an ordinary wave. The electrons which satisfies the
Bragg’s condition for reflection during its motion in a periodic potential takes k vector.

A B C D E

a
Fig. 17.11 Reinforcement of electron waves

Consider the arrangements of atoms in a periodic potential as shown in Fig.17.11.

Let us consider electrons are moving along the positive x-direction in the periodic
potential. When the electron wave incident on atom A, a part of the wave gets reflected
back while, the remaining part of the wave gets transmitted through it. Similarly,
when the part of the transmitted wave incident on atom B, a part of the wave gets
reflected back while a part is transmitted through it and this process continues. All
the reflected electron waves from atoms A, B, C etc. are reinforced when it satisfies
the Bragg’s condition. Therefore, the formation of standing wave pattern takes place
due to reinforcement of waves when the path difference between the reflected waves
from atoms A and B is 2a. Therefore, interference patterns is obtained when
2a = nl (17.51)
17.18 Engineering Physics

where n is an integer and it takes the value 0, 1, 2, 3 etc and l the wave length.
We know that wave vector k = 2p/l, substituting the k value in the above equation,
we get,
p
Wave vector k = n (17.52)
a
Eq. (17.41) show indicates that the standing wave patterns are formed due to the
reinforcement of reflected beams whose wave vector is in the order of p/a.
Therefore, the equation for the wave function of the traveling wave is
y+(x) = A ejkx (17.53)
Similarly, the wave function for the reflected wave is
y-(x) = A e -jkx (17.54)
We know that the formation of the standing wave pattern takes place only
when wave function y+(x) and y-(x) are reinforced. It is clear from Eq. (17.53) and
Eq. (17.54), the reinforcement takes places in two different ways namely
y1(x) = y+(x) + y-(x) (17.55)

y2(x) = y+(x) - y-(x) (17.56)

Substituting y+(x) and y-(x) from respectively Eqns. (17.55) and (17.56) in the above
equations, we get,
np
y1(x) = Aejkx + Ae-jkx = A cos x (17.57)
a

np
y2(x) = Aejkx - Ae-jkx = A sin x (17.58)
a
Let r(y) be the probability density function or charge density of the standing wave
pattern. Therefore, the probability density for the above two standing waves are

2 np
r(y1) = y 1 = A2 cos 2 x (17.59)
a

2 np
r(y2) = y 2 = A2 sin 2 x (17.60)
a

r1 (y1)

r2 (y2)

Fig. 17.12 Piling of energy by charge density

 Statistics and Band Theory of Solids 17.19

The energies associated with standing wave of the above two wave function are
used to determine the energy gap.
Brillouin Zones The energy of an electron moving in a periodic potential is limited
within allowed regions or zones. One can determine the energy gap by finding the
difference in the potential energies of the electrons piled with two different waves
functions namely y1(x) and y2(x). Fig. 17.12 shows the piling of standing waves
y1(x) and y2(x). The wave function y1(x) piles the maximum energy of the electrons
at the positive ion cores. Therefore, the wave function y1(x) gives the potential
energy of the standing wave.On the other hand, the wave function y2(x) piles the
energy of the electrons at the middle of the positive ion cores. Thus, it increases the
potential energy of the wave function than potential energy of the standing wave.
Therefore, the difference between the potential energies of the electrons piled by
these two wave functions y1(x) and y2(x) gives the energy gap i.e.,

Energy of electron (k ) 2 (17.61)

E=
2m

We know that, wave vector k = ± n (p/a) (17.62)

Second Second First Second

Brillouin Brillouin Brillouin Brillouin Band
Zone Zone Zone Zone

2V1 Energy gap Forbidden

Energy

energies

Band

Allowed
Es 2V1 Energy gap energies
Ec Band
� k k
� 2 p/a � p/ a O 2p/a p/a

Fig. 17.13 Energy gap—Brillouin zone boundaries

The relationship between the energy and wave number for a one dimensional
lattice is obtained by plotting a graph between total energy E and wave vector k as
shown in Fig.17.13. Fig.17.13 demonstrates the origin of energy gap in electron
energy at the Brillouin zone boundaries. The energy and wave vector graph shows
discontinuities in the energy band at k = ± p/2, ± p ... etc. It is clear from Fig.17.13
17.20 Engineering Physics

that electron has an allowed energy value in the region or zone between k = - p/a
and k = +p/a. This zone is known as first Brillouin zone. Similarly, energy value
lies in between the band k = - p/a to k = -pa and k = +p/a to k = +p a is known as
second Brillouin zone. The break in between the first and second Brillouin zones
is called as forbidden region or forbidden band or forbidden zone. Once can also
define the higher order Brillouin zones.
Energy Gap One can determine the band gap energies by considering the interaction
of the electron with the periodic potential of the lattice. Consider that an electron
beam is incident on a two dimensional arrangement of lattice system as shown in
Fig. 17.14. The incident electron gets reflection both at k = ± p/a and k = ± 2 p .
a
When k = ±p/a, the electron gets reflected from planes [0 1] and [1 0], while it gets
reflected from plane [1 1] when k = ± 2 p .
a
We know that k

k sin q = ± np (17.63)
a

k1

k3
k2
[1 0]
[0 1]
a

a
2

a [1 1]

Fig. 17.14  Reflection of wave vectors by [0 1] and [1 1] planes

In order to determine the energy gap in the crystal lattice, the interaction of electron
in all possible directions is to be considered. The minimum and maximum energy value
in each band depends on the crystal direction. Therefore, the energy of the electron
as a function of the crystal direction is shown in Fig.17.15.
For the [1 0] plane, E1 is the maximum energy value while E2 is the minimum
energy value. However, for the [1 1] plane, E1’ is the maximum energy value which
is higher than E1 and E2’ is the lower energy value which is lower than E2. Therefore,
the energy gap E2’- E1’ is low when compared to E2- E1.
 Statistics and Band Theory of Solids 17.21

Band Second brillouin zone

Energy gap

Band First brillouin zone

k1 [1 0]

Band Second brillouin zone

E Energy gap

Band First brillouin zone

k3 [1 1]
k p/a 2p /a

(a) [1 0] plane (b) [1 1] plane

Fig. 17.15 E—k diagram

classification of materials
The overlapping of the first and second Brillouin zone in a crystal lattice is shown
in Fig. 17.16. The overlapping of the first Brillouin zone of [1 0] electron over the
second Brillouin zone of [1 1] electron results a continuous distribution of energy.

Eg2
Band Eg2
Band Gap Band Band
+ = Band + =
E g1 Eg1 Eg1 Eg
Band Band Band Band Band Band
[1 0] [1 1] [1 0] [1 1]
(a) (b)
(a) Semiconductor or insulator of Metal (b) Metal
Fig. 17.16  Classification of materials
17.22 Engineering Physics

Therefore, electron finds any energy (Fig. 17.16.a) and hence, the material is a metal.
Similarly, the first Brillouin zone of [1 0] direction overlap with the first Brillouin zone
of [1 1] direction results in an energy gap as shown in Fig. 17.16.b. Thus, the electron
does not find any energy in between the bands and hence, the material is known as
semiconductor or an insulator.

17.9 conDuctivity oF copper anD

aluminum
Material properties like electrical conductivity are widely used to select the materials
for wide range of applications. Even though, copper and aluminum are monovalent
metals, the resistivity of copper is higher than aluminum i.e., the electrical conductivity
of Cu (5.88 ¥ 107 W-1 m-1) at room temperature is lower than that of aluminum
(6.21 ¥ 107 W-1 m-1). We know that the electrical conductivity of a metal is,

ne 2t r
s=
m
where n is the concentration of electrons and tr the relaxation time. m is the mobility
of the electrons and is equal to m = e t r /m.
Therefore,
Electrical conductivity s = ne m (17.64)

The Table 17.3 displays some of the electrical properties of Cu and Al.
The important properties of pure Cu such as highest conductivity next to silver,
good mechanical strength, fairly resistant to corrosion and formability into wires
or strips or rolled sheets helps to use for many electrical applications. The addition
of metals like Fe (0.2% ) or As (0.3%) reduces the its electrical conductivity nearly
50%. In view of the high resistivity of aluminum (1.6 times greater) than Cu, it
replaces the Cu for many industrial applications. Manganin is an alloy of Cu, Ni
and Manganese. Constantan is an alloy of Cu and Ni. It has constant resistance
over a wide temperature range. For contact materials operating at high currents
alloys of Cu like Cu-W-No is used. Solders, which are alloys having lower
melting points than the metals to be connected. Alloys like Sn-Pb-Cd (melting
point 145–180°C) and Cu-Zn alloy (hard solder) (melting point 825 – 860°C) are
used for soldering.

table 17.3 Electronic properties of Cu and Al

s n Lattice Con- EF me
Metal m* / me
(W-1 m-1) (m-1) stant (a) A° eV (m2 / volt-sec.)

Cu 5.88 ¥ 107 8.5 ¥ 1028 1.01 3.61 7.00 4.3 ¥ 10-3

Al 6.21 ¥ 107 5.85 ¥ 1028 0.99 4.05 11.8 7 ¥ 10-3

 Statistics and Band Theory of Solids 17.23

17.10 eFFect oF temperature anD

impurity on electrical resistivity
oF metals (mattHiessen’s rule)
We know that the resistivity of the metals is due to the scattering of the conduction
electrons. The resistivity of the metal is divided into two components namely ideal and
residual resistivity. Generally in metals, the scattering takes place in the mechanism
results in the component of resistivity namely rph and ri. When the electrons are
scattered by lattice vibration i.e., phonons free from all defeats give rise to ideal
resistivity rph. The ideal resistivity is temperature dependent. On the other hand, when
the electrons are scattered by the presence of the impurities and imperfection like
dislocation vacancies, grain growth and boundaries, give rise to residual resistivity.
The residual resistivity is independent of temperature and hence, the remaining does
not be zero even at T = 0 K. Therefore, the resistivity of a metal is
Resistivity of metal r = rph + ri (17.65)
Eq. (17.54) is known as Matthiessen’s rule. According to Matthiessen’s rule the
total resistivity of a metal is the sum of resistivity due to phonons scattering which
depends on temperature and the resistivity due to the scattering by impurities which
is independent of temperature.
Assume that there is no scattering mechanism,
m
r ph = 2 (17.66)
ne t ph
Simplify if there is known scattering by lattice vibration,
m (17.67)
ri =
ne 2t i
Substituting the rph and ri in Eq. (4.1), we get,
m m
r= +
ne 2t ph ne 2t i

m Ê 1 1ˆ
or r= 2 Á
+ ˜ (17.68)
ne Ë t ph t i ¯

Eq. (17.68) is used to explain the effect of temperature and impurities on electrical
resistivity of metals. The temperature dependent resistivity of metal expects the
superconducting metal is shown in Fig. 17.17.
At low temperature, the amplitude of lattice vibration is very small and hence, the
scattered electrons also very less. Thus, it results a larger tph and hence, the ρph is
almost equal to zero. Therefore, the total resistivity of the metal is equal to
ρ = ρi (17.69)
It is clear from the Eq. (17.69), that the resistivity of a metal has a residual resistivity
ri at T= 0 K as shown in Fig. 17.17. On the other hand, when the temperature increases,
the amplitude of lattice vibration increases and hence, the scattering of electrons by
17.24 Engineering Physics

the lattice also increases. Therefore, the resistivity of lattice vibration is added to
total resistivity (rph + ri) and hence, a linear increase in resistivity with increases in
temperature is observed at low temperature as shown in Fig. 17.17.

Resistivity (ρ)

ρ = ρc + ρph
ρphdT

ρph

ρe (Scattering by
impurity)

Temperature T
Fig. 17.17. Temperature dependent resistivity of metal

At high temperatures, the scattering effects due to phonons overcomes the effect due
to scattering and impurities which give rise to the resistivity which is depend on lattice
vibration only. As a result, at higher temperature the resistivity of the metals which
depends purely on lattice vibrations varies exponentially than at low temperature.
Similarly, at low temperature, the resistivity of metal depends on lattice vibration and
residual resistivity and hence, shows a linear variation with temperature.
In a pure metal the scattering of electrons takes place only due to lattice vibrations.
But in the case of impure metals, the scattering of electrons is both due to the lattice
vibrations and impurity scattering. Therefore, the mean free time of electrons for impure
metals is of two components namely, (i) the mean free time due to lattice vibration and
(ii) the mean free time due to impurity atoms. The total mean free time is given by,
1 1 1
= + (17.70)
t tT t I
where tT is the mean free time due to thermal scattering (i.e., lattice vibrations) and
tI the mean free time for electrons due to impurity scattering.
The drift mobility (md) is also written as,
1 1 1 (17.71)
= +
m d mT m I
where mT is the mobility of electrons due to thermal scattering and mI the mobility of
the electrons due to impurity scattering.
The electrical resistivity of an impure metal is written as,
1 1 1 (17.72)
= +
r nemT nem I
r = rT + r I (17.73)
 Statistics and Band Theory of Solids 17.25

where rT is the resistivity of the metal due to thermal scattering and rI the resistivity of
metal due to impurity scattering.The resistivity of the metal due to thermal scattering
is known residual resistivity rR.Hence, the resistivity of an impure metal is

r = rR + rI (17.74)

The Eq. (17.74) is known as Matthiessen’s rule.

Keypoints to remember

• The particles like electrons with half integral spin obey Fermi Dirac statistics.
• Particle like electrons with half integral spin are known as Fermi particles or
Fermions.
• The probability function of an electron occupying an energy level E is given by
1
f (E) =
1+ exp ÈÎ( E - E ) / KT ˘˚
• Fermi energy level is the uppermost energy level in a conduction band at 0 K.
• At T = 0 K and E >EF, the levels above Fermi levels is unoccupied i.e., vacant.
• The probability of electron to occupy the energy level above the Fermi energy
level is Zero at T = 0 K and E > EF.
• 50 % or ½ % is the probability for electrons to occupy Fermi energy level at
T = 0 K and E = EF.
• The number of quantum states present in a metal between any internal E and
E + dE per unit volume is known as density of states.
No. of quantum states present between E and E + dE
• Density of states Z(E) =
Volume of the specimen
• The average volume of Fermi energy level Eave = 3/5 EFO.

solved problems

example 17.1 Calculate the Fermi energy of the following metals

Cu Zn Al
-3 8.96 7.14 2.70
r (g cm )
Mat 63.55 65.38 27.0
17.26 Engineering Physics

Given Data
For Cu
Density of Cu = 8.96 ¥ 103 kg m-3
Atomic weight of Cu = 63.55
For Zn
Density of Zn = 7.14 ¥ 103 kg m-3
Atomic weight of Zn = 65.38
For Al
Density of Al = 2.7 ¥ 103 kg m-3
Atomic weight of Al = 27.0
Solution
(i) For Cu The concentration of electrons in Cu
density × Avogadro's constant × no.of freee electrons per atom
n=
atomicc weight

8.96 ¥ 103 ¥ 6.022 ¥ 1026

=
63.55

= 8.4905 ¥ 1028 m-3

Fermi energy at 0 K,

Ê h 2 ˆ Ê 3n ˆ
2/3

EFO = Á Á ˜
Ë 8me ˜¯ Ë p ¯

Substituting the values of h, n and m in the above equation, we get,

( )
Ê 6.626 ¥ 10-34 2 ˆ Ê 3 ¥ 8.4905 ¥ 1028 ˆ 2/ 3
=Á ˜
ÁË 8 ¥ 9.1 ¥ 10 ˜¯ ÁË ˜¯
31
p

= 1.129729 ¥ 10-18 J

= 7.0608 eV

(ii) For Zn The concentration of electrons in Zn

r NA
n= ¥ no. of free electrons/atom
M at
3 26
= 7.14 ¥ 10 ¥ 6.022 ¥ 10 ¥ 2
65.38
= 13.152976 ¥ 1028 m-3
 Statistics and Band Theory of Solids 17.27

Fermi energy at 0 K,
Ê h 2 ˆ Ê 3n ˆ
2/3

EFO = Á Á ˜
Ë 8me ˜¯ Ë p ¯
Substituting the values of h, n and m in the above equation, we get,

( )
Ê 6.626 ¥ 10-34 2 ˆ Ê 3 ¥ 13.153 ¥ 1028 ˆ 2/ 3
=Á ˜
ÁË 8 ¥ 9.1 ¥ 10 ˜¯ ÁË ˜¯
31
p

= 1.51252397 ¥ 10-18 J

= 9.45 eV
(iii) For Al The concentration of electrons in Al
r NA
n= ¥ no. of free electrons/atom
M at

2.7 ¥ 103 ¥ 6.022 ¥ 1023 ¥ 3

=
27
= 18.066 ¥ 1028 m-3
Fermi energy at 0 K,
Ê h 2 ˆ Ê 3n ˆ
2/3

EFO =Á Á ˜
Ë 8me ˜¯ Ë p ¯
Substituting the values of h, n and m in the above equation, we get,

( )
Ê 6.626 ¥ 10-34 2 ˆ Ê 3 ¥ 18.066 ¥ 1028 ˆ 2/ 3
=Á ˜
ÁË 8 ¥ 9.1 ¥ 10 ˜¯ ÁË ˜¯
31
p

= 1.8689 ¥ 10-18 J

= 11.68 eV

The Fermi energy of Cu is 7.0608 eV.

The Fermi energy of Zn is 9.45 eV.
The Fermi energy of Al is 11.68 eV.
Example 17.2 Calculate the density of states for Cu at the Fermi level for
T = 0 K, if (m*/m) = 1.01.

Given Data
Temperature =0K
The effective mass of electron in Cu = 1.01
17.28 Engineering Physics

Solution
The density of states is given by Z(E) = g E1/ 2 / 2
where l = 6.82 ¥ 1027 m-3 eV-3/2

Fermi energy at 0 K,
Ê h 2 ˆ Ê 3n ˆ
2/3

EFO = Á Á ˜
Ë 8me ˜¯ Ë p ¯
Substituting the values of h, n and m in the above equation, we get
2/3
Ê (6.626 ¥ 10 - 34) 2 ˆ Ê 3 ¥ 8.4905 ¥ 1028 ˆ
=Á
Ë 8 ¥ 9.1 ¥ 10-31 ˜¯ ÁË p ˜¯

= 1.129729 ¥ 10-18 J
= 7.0608 eV.

The value of EF for Cu is 7.0608 eV.

Therefore,
Z(E) = g EF 1/ 2 / 2
= 3.39 ¥ 1027 ¥ 7.0608
27 -3
= 9 ¥ 10 m

The density of states for Cu at the Fermi level for T = 0 K is 9 ¥ 1027 m-3

Example 17.3 The resistivity of Ni at 200 º C is 69 nW m. If 80% Ni is alloyed with

20% chromium, the resistivity changes to 1120 nW m. Find the Nordheim’s
coefficient.

Given Data
Resistivity of Ni = 63 nW m
Resistivity of Cr = 129 nW m
Resistivity of 80% Ni + 20% Cr = 1120 nW m

Solution
The resistivity of alloy from Nordheim’s relation is rI = C ¥ (1 - X)
Where X is the atomic fraction of the solute atom.
Here, X = 0.8 therefore rI = C X (1-X)
1120 ¥ 10-9 W m = C ¥ 0.8 (1-0.8)
1120 ¥ 10-9
C=
0.8 ¥ 0.2
= 7 ¥ 10-6
The Nordheim’s coefficient is 7 ¥ 10-6 W m
 Statistics and Band Theory of Solids 17.29

Example 17.4 Calculate the conductivity of Al at 25º C using the following

data. Density of Al = 2.7 g cm-3, atomic weight of Al = 27, and relaxation time
of 10-14 s.

Given Data
Density of Al = 2.7 ¥ 103 Kg m-3
Atomic weight of Al = 27
Relaxation time = 10-14 s

Solution
The number of electron available per m3 in Al,
rNA
n= ¥ no. of free electrons per atom
M at

2.7 ¥ 103 ¥ 6.022 ¥ 1026 ¥ 3

=
27

= 18.066 ¥ 1028 m-3

Conductivity of Al, ne 2t r
n=
m
2

=
(
18.066 ¥1028 ¥ 1.6 ¥ 10-19 ¥10-14 )
9.11 ¥ 10-31
= 5.0823 ¥ 107 ohm m.

The conductivity of Al is 5.0823 ¥ 107 ohm m.

Example 17.5 Use Fermi distribution function to obtain the value of F (E)
for E-EF = 0.01 eV at 200 K.

Given Data
The difference between Energy level to Fermi level E-EF = 0.01 eV
= 0.01 ¥ 1.6 ¥ 10-19 J
= 1.6 ¥ 10-21 J
Temperature T = 200 K

Solution
We know that, the Fermi distribution function,
1
F (E) =
1+ e( E - EF )/ kT
17.30 Engineering Physics

Substitution the value of E-EF and T, we get,

1 1
= (1.6 ¥10-21 )/(1.38¥10-23 ¥ 200 )
=
1+ e 1 + e0.5797
= 0.3589
The Fermi distribution function for energy E is 0.3589.

Example 17.6 Calculate Fermi energy and Fermi temperature in a metal. Fermi
velocity of electron in the metal is 0.86 ¥ 106 m s-1.

Given Data
Velocity of electron v = 0.86 ¥ 106 m s-1
Mass of electron m = 9.1 ¥ 10-31 kg
Electronic charge e = 1.6 ¥ 10-19 C
Boltzmann’s constant k = 1.38 ¥ 10-23 J K-1

Solution
We know that, the Fermi energy

EF = 1 mv 2
2
Substituting the values, we get,

= 1 ¥ 9.11¥10-31 ¥ 0.86 ¥106

2
= 3.368 ¥ 10-19 J
We also know that, the Fermi temperature

EF
TF =
k
Substituting the value, we get,
-19
= 3.368 ¥10
1.38 ¥10-23
= 2.43 ¥ 104 K
Therefore, the Fermi temperature TF is 2.43 ¥ 104 K.

Example 17.7 Calculate the number of states lying in an energy interval of

0.01 eV above the Fermi level for a crystal of unit volume with Fermi energy
EF = 3.0 eV
 Statistics and Band Theory of Solids 17.31

Given Data
Mass of electron m = 9.1 ¥ 10-31 kg
Energy interval ∆E = 0.01 eV
Planck’s constant h = 6.63 ¥ 10-34 Js
Fermi energy EF = 3.0 eV
Solution
Let us take E1 is ground state,
i.e., E1 = 3.0 eV
= 3.0 ¥ 1.6 ¥ 10-19
E1 = 4.8 ¥ 10-19 J
E2 is given by E2 = E1 + ∆E
= (3.0 + 0.01) eV
= 3.01 ¥ 1.6 ¥ 10-19 J
E2 = 4.816 ¥ 10-19 J

Number of status per unit volume lying between E1 and E2 is given by

E2
4p
n= Ú 3
(2m)3/ 2 E1/ 2 dE
E1 h

Here density of status Z (E) is unity

E2
4p
= 3
(2m)3/ 2 Ú E1/ 2 dE
h E1

Integrating the above equation, we get

E2
4p È2 ˘
= 3 ( 2 m) 3/ 2 Í ( E ) 3/ 2 ˙
h Î 3 ˚E 1

Simplify the above equation, we get,

E2
4p È2 ˘
= ( 2 m) 3/ 2 Í ( E ) 3/ 2 ˙
h3 Î3 ˚E 1

= 4p (2m)3/2. 2 È E23/ 2 - E13/ 2 ˘

h3 3Î ˚

Substituting the value we get,

( )
3/ 2
4p ¥ 2 ¥ 9.1¥10-31 2 3/ 2
= ¥ ÈÎ ÈÎ(4.816)3/ 2 - (4.8)3/ 2 ˘˚ ¥10-19 ) ˘˚
(6.63 ¥ 10 ) -34 3 3
17.32 Engineering Physics

= 3.74 ¥ 1055 ¥ (1.108 ¥ 10-30)

= 4.14 ¥ 1025
The number of states lying between the energy level is 4.14 ¥ 1025.
Example 17.8 Fermi temperature of a metal is 24600 K. Calculate the Fermi
velocity.

Given Data
Fermi temperature of the metal
TF = 24600 K
Mass of an electron m = 9.11 ¥ 10-31 kg

Solution
We know that, the Fermi velocity is

2kTF
VF =
m
Substituting the values, we get,

2 ¥1.38 ¥ 10-23 ¥ 24600

=
9.11 ¥ 10-31

= 0.8633 ¥ 106 m s -1
The Fermi velocity VF is 0.8633 ¥ 106 m s-1

Example 17.9 Free electron density of aluminum is 18.10x1028 m-3. Calculate

its Fermi energy at 0 K. Planck’s constant and mass of free electron are 6.62 ¥
10-34 J s and 9.1 ¥ 10-31 kg.
Given Data
Electron density of aluminum n = 18.10 ¥ 1028 m-3
Planck’s constant h = 6.62 ¥ 10-34 J s
Mass of electron m = 9.1 ¥ 10-31 kg

Solution
We know that, the Fermi energy at 0 K,
2/3
Ê 3n ˆ h2
EF0 = Á c ˜
Ë 8p ¯ 2m
Substituting the given values, we get,
2/3
Ê 3 ¥ 18.10 ¥ 1028 ˆ (6.62 ¥ 10-34 ) 2
=Á ˜¯ ¥
Ë 8 ¥ 3.14 2 ¥ 9.1 ¥ 10-31
 Statistics and Band Theory of Solids 17.33

= 1.8689 ¥ 10-18 J
1.8689 ¥10-18
=
1.6 ¥10-19
= 11.68 eV
The Fermi energy at 0 K is11.68 eV.

objectives type Questions

17.1 Probability function f(E) for an electron is

1 1
a) f (E) = b) f (E) =
( )
1- exp ÈÎ E - E f / KT ˘˚ ( )
1+ exp ÈÎ E f - E / KT ˘˚

1 1
c) f (E) = d) f (E) =
( )
1+ exp Î E - E f / KT ˘˚
È ( )
1- exp Î E f - E / KT ˘˚
È

17.2 Fermi energy level is the ______ energy level in a conduction band at 0 K.
17.3 Electrons occupy the Fermi energy level fully and leave vacant above EF at
T = 0 K, when
a) E + EF b) E = EF
c) E > EF d) E < EF
17.4 Fermi level is ______ at T = 0 K, E < EF
17.5 Zero percent probability is the probability for the electrons to occupy the energy
level above the Fermi energy level at T = 0 K and
a) E + EF b) E = EF
c) E > EF d) E < EF
17.6 Electrons occupy 50% or ½ of the Fermi energy level at ______ and ______
17.7 Density of states is equal to
No. of quantum states present between E & E < dE
a)
Volume of the specimen

No. of quantum states present between E & E > dE

b)
Volume of the specimen

No. of quantum states present between E & E - dE

c)
Volume of the specimen

No. of quantum states present between E & E + dE

d)
Volume of the specimen
17.34 Engineering Physics

17.8 The concentration of free electrons in metal is equal to

4p
a) Ú 3 (2m)3/ 2 E1/ 2 dE b) Ú 4p3 (2m)3/ 2 E -1/ 2 dE
h h
4p 4p
c) Ú (2m)3/ 2 E 5/ 2 dE d) Ú 3 (2m)3/ 2 E 3/ 2 dE
3
h h
17.9 The value of Fermi energy level at T = 0 K
2/3
Ê  2 ˆ Ê 3n ˆ
2/3
Ê h 2 ˆ Ê 3n ˆ
a) EFo = Á ˜ Á ˜ b) EFo = Á ˜ Á ˜
Ë 8m ¯ Ë p ¯ Ë 8m ¯ Ë p ¯
2/3
Ê h 2 ˆ Ê 3p ˆ
2/3
Ê h 2 ˆ Ê 3m ˆ
c) EFo = Á ˜ Á ˜ d) EFo = Á ˜ Á ˜
Ë 8m ¯ Ë n ¯ Ë 8p ¯ Ë n ¯

17.10 The average energy of the electrons at T = 0 K

a) Eave = 5/3 EFO b) Eave = 1/3 EFO
c) Eave = 1/5 EFO d) Eave = 3/5 EFO
17.11 Average Fermi energy level of electrons at non-zero temperature Eave (T) is
equal
a) 5/3 EFO b) 1/3 EFO
c) 3/5 EFO d) 3/4 EFO

Keys
17.1 c) 17.2 Upper most filled
17.3 d) 17.4 Vacant
17.5 c) 17.6 T = 0 K, E = EF
17.7 d) 17.8 a)
17.9 b) 17.10 d)
17.11 b)

exercises

17.1 Evaluate the Fermi energy of alkali metals Li, Na and K using the following
data:
Li Na K
Density (kg m-3) 534 971 860
Atomic weight 6.939 22.99 39.202

17.2 Determine the electrical conductivity of Cu at 25ºC using the following data.
Density of Cu = 8960 Kg m-3
Atomic weight of Cu = 63.55
Relaxation time of Cu = 10-14 s.
 Statistics and Band Theory of Solids 17.35

short Questions

17.1 Write the mathematical expression for the Fermi-Dirac statistics and explain
all the terms.
17.2 What is Fermi Level and Fermi energy?
17.3 Explain the distribution of electrons at 0 K based on the quantum theory.
17.4 Draw Fermi distribution curve for 0 K and at any Temperature T K.
17.5 Define the density of states.
17.6 What do you mean by quantization of momentum?
17.7 Show that an electron’s momentum in a potential well is quantized.
17.8 Deduce an expression for Fermi energy in terms of concentration of electrons
at 0 K.
17.9 Obtain an expression for Fermi energy at T < 0K.
17.10 Explain the significance of Fermi energy in thermo emf measurements.
17.11 Explain the significance of Fermi energy in metal-metal contacts.
17.12 Write the expression for carrier concentration of metal.
17.13 What is meant by effective mass of an electron?
17.14 Explain the electrical conductivity of Cu.
17.15 What is a hole?

Descriptive Questions

17.1 Derive a mathematical expression for density of states.

17.2 Write short notes on the following
(i) Fermi-Dirac distribution
(ii) Fermi energy at T = 0 K and T > 0 K.
(iii) Significance of Fermi energy
17.3 What is meant by effective mass of an electron? Derive an expression for the
effective mass of an electron.
17.4 What is hole? List out the properties of a hole.
 Chapter

Transport
Properties of 18
Semiconductors

OBJECTIVES
• To derive the carrier concentration, Fermi level and the conductivity of an intrinsic
semiconductor
• To derive the carrier concentration and the Fermi energy level of the p-type and
n-type extrinsic semiconductor
• To explain the Hall effect in a crystal and hence derive the Hall coefficient, Hall
voltage, etc., of the crystal
• To discuss the experimental determination of Hall coefficients of a crystal with
circuit diagram
• To discuss the important applications of Hall effect
• To derive the variation of carrier concentration, conductivity, Fermi level of the
semiconducting materials as a function of temperature
18.1
i In metals, the electrons are fully responsible for electrical conduction.
n But in semiconductors, both electrons and holes are the charge carriers.
t The electrical conductivity in semiconductor is produced due to the
movement of the holes and electrons. In this chapter, let us discuss about
r the concentration of carriers in intrinsic and extrinsic semiconductors,
o and Hall effect and its applications.
d
U
c
t
i
o
n
18.2 Engineering Physics

18.2 carrier concentration in an

intrinsic semicondUctor
In a semiconductor, all the states in a valence band (VB) are occupied while in
the conduction band (CB) they are empty at 0 K. Figure 18.1a shows the valence
and conduction bands in a semiconductor at 0 K. At room temperature, due to
thermal excitation, some electrons are available in the conduction band, as shown in
Fig. 18.1b. In a semiconductor, both electrons and holes act as charge carriers. To
find the concentration of carriers in an intrinsic semiconductor, first let us consider
the conduction band alone.
In a conduction band, some lower energy states are filled with electrons, at room
temperature. The concentration of electrons in the conduction band is given by

n = Ú N ( E ) f ( E ) dE (18.1)

Ev + c Ev + c

CB
CB
Ec Ec
Eg Eg
Ev Ev

VB

0
(a) At 0 K (b) Room temperature

Fig. 18.1 Energy-band diagram of a semiconductor

where N(E) is the number of electrons per unit energy per unit volume, and f(E) the
probability that a quantum state is occupied by the electrons. N(E) is written as
4p
N(E) = 3 (2me*)3/ 2 E1/ 2 18.2)
h
where me* is the effective mass of the electron.
The Fermi Dirac distribution function f(E) is written as,
1
f(E) = (18.3)
Ê E - EF ˆ
1 + exp Á
Ë kT ˜¯
At room temperature, since E - EF > kT, hence Eq. (18.3) can be written as,
1 È Ê E - EF ˆ ˘
f(E) = ª exp Í- Á ˜˙ (18.4)
Ê E - EF ˆ
exp Á Î Ë kT ¯ ˚
Ë kT ¯ ˜

From Eqs (18.2) and (18.4), Eq. (18.1) can be written as,

EC + c
4p È Ê E - EF ˆ ˘
n= Ú (2me*)3/ 2 ( E - EC )1/ 2 exp Í- Á ˜ ˙ dE (18.5)
Î Ë kT ¯ ˚
3
EC h
 Transport Properties of Semiconductors 18.3

In Eq. (18.5), E½ has been replaced by (E - EC)1/2, since the lower energy level in
a conduction band is EC. The above integral varies from EC to EC + c, where EC is
the lower energy level in the conduction band and c the work function of the metal.
Replacing EC + c by •, Eq. (18.5) can be written as,
• 4p È Ê E - EF ˆ ˘
n= Ú (2me*)3/ 2 ( E - EC )1/ 2 exp Í- Á ˜ ˙ dE
Î Ë kT ¯ ˚
3
EC h

4p • È Ê E - EF ˆ ˘
Ú ( E - EC ) exp Í- Á
* 3/ 2 1/ 2
= ( 2 m ) ˜ ˙ dE (18.6)
Î Ë kT ¯ ˚
3 e
h EC

The integral in Eq. (18.6) is evaluated by substituting E = EC + x, dE = dx.

The limit varies from 0 to •.
Therefore, the term
• È Ê E - EF ˆ ˘
Ú ( E - EC ) exp Í- Á
1/ 2
˜ ˙ dE
EC Î Ë kT ¯ ˚
becomes
•
1/ 2 ÈÊ EF - EC - x ˆ ˘
Ú x exp ÍÁ ˜¯ ˙ dx
0 ÎË kT ˚

Ê E - EC ˆ • 1/ 2 È x ˘
= exp Á F Ú x exp Í- ˙ dx
Ë kT ˜¯ 0 Î kT ˚
To evaluate the integral, put y = x/kT, dy = dx/kT
Therefore, the integral
•
Ê xˆ
Ú ( x) exp Á - ˜ dx
1/ 2

0 Ë kT ¯
becomes
•
(kT )3/ 2 Ú ( y )1/ 2 exp(- y ) dy
0

•
The integral Ú y exp (- y ) = G (n) is known as Gamma function. To evaluate this
n-1

integral, the properties of the Gamma function like G(½) = and G(n + 1) = nG(n)
are used. The value of the above integral is
•
1/ 2 Ê -xˆ p 1/ 2
Ú x exp Á ˜ dx = (kT )3/ 2
0 Ë kT ¯ 2
Substituting the value of the integral in Eq. (18.6), we get,

4p p 1/ 2 Ê E - EC ˆ
n= (2me*)3/ 2 (kT )3/ 2 exp Á F
h 3
2 Ë kT ˜¯
18.4 Engineering Physics

3/ 2
È 2p me*kT ˘ Ê EF - EC ˆ
= 2Í ˙ exp ÁË ˜ (18.7)
Î h 2
˚ kT ¯
Equation (18.7), can be written as,
Ê EF - EC ˆ
n = NC exp ÁË ˜ (18.8)
kT ¯
3/ 2
È 2p me*kT ˘
where NC = 2 Í 2 ˙ . Equation (18.8) gives the concentration of electrons in
Î h ˚
the conduction band.
The concentration of holes in the valence band is calculated by modifying
Equation (18.1) as,
•

p = Ú N ( E )[1 - f ( E )] dE (18.9)
-•

where f(E) represents the probability that a quantum state is occupied by the
electrons. Therefore, [1-f (E)] represents the probability that a quantum state is
occupied by holes. The integral given in Eq. (18.9) varies from 0 to Ev, since 0 is
the lowest energy value of the valence band and Ev the highest energy value of the
conduction band. The number of electrons per unit energy per unit volume is given
by Eq. (18.2) as,
4p
N(E) = (2mh*)3/ 2 E1/ 2
h3
Since the maximum energy of the valence band is EV, the above equation can be
written as,
4p * 3/ 2 1/ 2
N(E) = 3 (2mh ) ( EV - E ) (18.10)
h
Since E < Ev, the value of [1 - f(E)] is obtained from Eq. (18.3):
1
1 - f (E) =1 -
Ê E - EF ˆ
1 + exp Á
Ë kT ˜¯

Ê E - EF ˆ
1 + exp Á -1
Ë kT ˜¯
=
Ê E - EF ˆ
1 + exp Á
Ë kT ˜¯

Ê E - EF ˆ
exp Á
Ë kT ˜¯
=
Ê E - EF ˆ
1 + exp Á
Ë kT ˜¯

Since EF - E >> kT, the exponential term in the denominator is negligible.

 Transport Properties of Semiconductors 18.5

Therefore, we can write

Ê E - EF ˆ
exp Á
Ë kT ˜¯ Ê - ( EF - E ) ˆ
1 - f(E) = ª exp Á ˜¯ (18.11)
1 Ë kT

From Eqs (18.11) and (18.10), Eq. (18.9) can be written as,
EV
4p Ê - ( EF - E ) ˆ
P= Ú (2mh* )3/ 2 ( EV - E )1/ 2 exp Á ˜¯ dE
-• h
3
Ë kT
The above integral varies from 0 to EV, since 0 and EV are the lowest and hightest
energy values of the valence band, respectively.
4p EV
Ê - ( EF - E ) ˆ
Ú ( EV - E ) exp Á
* 3/ 2 1/ 2
= ( 2 m ) ˜¯ dE (18.12)
h 3 h
0 Ë kT
The value of the above integral is
Ê E - EF ˆ
1/ 2
EV
Ê - ( EF - E ) ˆ 3/ 2 p
Ú V - 1/ 2
= ( kT ) exp Á V (18.13)
Ë kT ˜¯
( E E ) exp ÁË ˜¯ dE
0 kT 2

From Eqs (18.12) and (18.13), we get,

Ê EV - EF ˆ
p = NV exp ÁË ˜ (18.14)
kT ¯
3/ 2
Ê 2pmh* kT ˆ
where NV = 2 Á
Ë h 2 ˜¯
Equation (18.14) gives the concentration of holes in the valence band of a semi-
conductor.

18.2.1 concentration in an intrinsic semiconductor

In an intrinsic semiconductor, the concentration of holes and electrons are equal,
i.e., n = p. According to the mass action law, the product of the hole and the electron
concentrations is equal to the square of the intrinsic concentrations, i.e.,
n p = n i2 (18.15)

Substituting the values of n and p from Eqs (18.8) and (18.14) in Eq. (18.15), we get,
Ê ( E - EC ) ˆ Ê ( E - EF ) ˆ
ni2 = NC NV exp Á F ˜ exp Á V ˜¯
Ë kT ¯ Ë kT

Ê EV - EC ˆ
= NC NV exp ÁË ˜
kT ¯
3
È 2p kT ˘ È Ê E - EV ˆ ˘
= 4 Í 2 ˙ (mh* ◊ me* )3/ 2 exp Í - Á C ˜˙
Î h ˚ Î Ë kT ¯ ˚
18.6 Engineering Physics

Substituting EC - EV = Eg and the values of p, k, h2 in the above equation, we get,

Multiplying and dividing by m3 in the above equation, we get,
-23 3

ni2 = 4 ÈÍ 2p ¥ 1.38 ¥ 10 ˘˙ (mh* ◊ me* )3/ 2 T 3 exp ÍÈ- g ˘˙

E
-34 2
Î ( 6 .626 ¥ 10 ) ˚ Î kT ˚
3 3/ 2
È 2p ¥ 1.38 ¥ 10-23 ¥ 9.1 ¥ 10-31 ˘ Ê mh . me ˆ È Eg ˘
* *

= 4Í -34 2 ˙ ÁË m 2 ˜¯ T 3 exp Í- ˙
Î (6.626 ¥ 10 ) ˚ Î kT ˚
3/ 2
Ê mh* . me* ˆ È Eg ˘
= 2.322 ¥ 10 43
ÁË m 2 ˜¯ T 3 exp Í- ˙
Î kT ˚
= AT3 exp(-Eg/kT) (18.16)
3/ 2
Ê m ◊m ˆ
where A = 2.322 ¥ 1043 Á h 2 p ˜
Ë m ¯
The intrinsic concentration is given by

ni = A1/2 T3/2 exp (-Eg/2kT)

i.e., ni = A0 T3/2 exp(-Eg/2kT) (18.17)

3/ 4
Ê mh ◊ m p ˆ
1/2 21
where A0 = A = 4.819 ¥ 10 ÁË m 2 ˜¯

Equation (18.17) gives the intrinsic carrier concentration in an intrinsic semi-

conductor.

18.2.2 Fermi Level in an intrinsic semiconductor

In an intrinsic semiconductor, the concentrations of electrons and holes are equal.
Therefore, from Eqs (18.8) and (18.14), we get,

Ê EF - EC ˆ Ê EV - EF ˆ
NC exp ÁË ˜¯ = NV exp ÁË ˜
kT kT ¯

NC Ê E - EF ˆ Ê - ( EF - EC ) ˆ
exp Á V exp Á
NV = Ë kT ˜¯ Ë kT
˜¯

EV + EC - 2 EF
=
kT
NC E + E - 2E
ln N = V C F
V kT
EV + EC - 2EF = kT ln (NC/NV)
 Transport Properties of Semiconductors 18.7

EV + EC kT N
EF = - ln C
2 2 NV

If the effective masses of the holes and electrons are equal, then
EC + EF
EF = (18.18)
2
Equation (18.18) shows that for an intrinsic semiconductor, the Fermi level lies at
the middle of the energy gap, when the effective masses of the holes and electrons
are equal.

18.3 condUctivity oF semicondUctors

The conductivity of a metal is given by,
s = nem (18.19)
where n is the concentration of electrons and m is the electron's mobility.
In a semiconductor, both the electrons and holes are the charge carriers. Therefore,
Eq. (18.19) is modified as,
s = neme + pemh (18.20)
where n and p are the concentrations of electrons and holes, respectively, and me and
mh are, respectively, the mobility of electrons and holes.
For an intrinsic semiconductor, since the concentrations of electrons and holes are
equal, Eq. (18.20) can be written as,
s = nie (me + mh) (18.21)
In a p-type semiconductor, since p >> n, Eq. (18.20) can be written as
s = p e mh (18.22)
In an n-type semiconductor, since n >> p, Eq. (18.20) can be written as
s = n e me (18.23)
Equations (18.21) to (18.23) are used to find the conductivity of a
semiconductor.
Substituting the value of ni in Eq. (18.21), we get,

3/ 2 3/ 4
Ê me* mn* ˆ
s = 2 ÊÁ
2p mkT ˆ - Eg / 2 kT
e e ( me + m h ) (18.24)
Ë h 2 ˜¯ ÁË m 2 ˜¯

Equation (18.24) can be written as,

s = Ae-Eg/2kT (18.25)

3/ 2 3/ 4
Ê 2p mkT ˆ Ê me* mh* ˆ
where A = 2Á e ( me + m h )
Ë h 2 ˜¯ ÁË m 2 ˜¯
18.8 Engineering Physics

From Eq. (18.25), the resistivity of the intrinsic semiconductor is

1
= Ae-Eg/2kT
r
1 Eg / 2 kT
i.e., r= e (18.26)
A
Substituting the value of (r = Ra/l), in Equation (18.26), we get,
Ra 1 Eg / 2 kT
= e
l A
l Eg /2 kT
R= e
Aa
i.e. R = CeEg/2kT (18.27)
l
Here, C = , where a is the area of cross-section and l the length of the
specimen. Aa
In Eq. (18.27), taking ln on both sides, we get,
ln R = ln C + Eg /2kT (18.28)
Equation (18.28) is similar to equation of a straight line y = mx + c. In
Eq. (18.28), y = ln R, x = 1/T, m = Eg /2k and C = ln C. If a plot is drawn between ln R
and 1/T, the value of Eg can be determined from the slope of the straight line.
Eg = 2k slope

dy
In R

dx

dy E g
=
In C

dx 2k

1/T

1
Fig. 18.2 A plot of ln R versus for an intrinsic semiconductor
T

Therefore, the energy gap of an intrinsic semiconductor is determined by drawing

a plot between ln R and 1/T.
Experimental determination of the band gap To determine the energy gap of a
semiconductor, its resistance is measured at different temperatures using a post office
box. Then, a plot is drawn between ln R and 1/T. The slope of the straight line is
determined. The energy gap is determined using the relation, Eg = 2k slope.
 Transport Properties of Semiconductors 18.9

18.4 extrinsic semicondUctor

Consider an intrinsic Si crystal is doped with pentavalent impurities such as P, As, Sb,
etc., and the regular Si atom is replaced by these impurity atoms. Since these impurity
atoms are having five valence electrons, four electrons occupy the regular lattice site
and form covalent bonding. The one excess electron is loosely bound to the parent atom.
At room temperature, the thermal excitation energy (ª kT) produced is 0.025 eV. The
excess of electron is lightly bound to the parent atom (~0.01 eV). Since, the thermal
energy is sufficient to excite this electron, this electron can contribute to the conduction
process. Since, the pentavalent impurity donate an electron, it is said to be a donor
impurity. According to the energy band theory of solids, these excess electrons possess
an energy level just below the conduction band. This energy level is known as the
donor level. The donor level in an n-type semiconductor and the acceptor level in a
p-type semiconductor are shown in Fig. 18.3. In Si, the difference between the donor
level and the lowest energy value of the conduction band is nearly 0.03 eV. At room
temperature, the thermal energy is sufficient to ionize donor impurities (ND+).
ED 0 ≈.03 eV
Conduction band Conduction band
EC EC

ED

EA

EV EV
Valence band Valence band
EA = 0.01 eV
(a) Donor energy level in an (b) Acceptor energy level in a
n-type semiconductor p-type semiconductor

Fig. 18.3 Donor and acceptor energy levels in an n-type and p-type semiconductors
Consider an intrinsic semiconductor doped with trivalent impurities such as B, Al, Ga,
etc. When a trivalent impurity is doped, it occupies the regular site of a Si atom. All the
three electrons are shared by three different Si atoms. A covalent bond is not completed,
because the trivalent impurity has only three electrons. Therefore, a hole is created due
to the trivalent impurity doping. This hole is free to move within the crystal.
At 0 K, all the states in the valence band is completely occupied. The excess of hole
produced due to the trivalent impurity doping occupies an energy level just above the
valence band. This energy level is known as the acceptor level. For Ge, the acceptor
level lies just 0.01 eV above the valence band and for Si, it lies just 0.01-0.04 eV
above the valence band. Thus, a semiconductor has more positive charge when it is
doped with acceptor impurities and is known as a p-type semiconductor.

18.5 n-type semicondUctor

A semiconductor doped with donor impurities is known as an n-type semiconductor.
For example, if a tetravalent silicon atom is doped with pentavalent atoms such as As
and Bi, it will become an n-type semiconductor.
18.10 Engineering Physics

18.5.1 Fermi Level

In an n-type semiconductor, the concentration of electrons in the conduction band is equal
to the sum of the number of electrons excited from the valence band and the number of
ionized donor impurities excited from the donor energy level. Let ND and ND+ respectively
be the concentration of electrons in the donor energy level and the ionized donor impurity
concentration. Then, the number of electrons in the conduction band, Ne, is given by
Ne = Nh + ND+ (18.29)
where Nh is the number of holes in the valence band.
The number of ionized donor impurity electron is given by
ND+ = ND (1 - f(ED)) (18.30)
where 1 - f(ED) is the probability of the absence of electrons in the donor level. The
ionized donor impurity concentration is the concentration of the electron absent in
the donor level.
The Fermi-Dirac distribution of function for donor energy level is given as,
1
f (ED) =
È E - EF ˘
1 + exp Í D
Î kT ˙˚

È E - EF ˘
exp Í D
Î kT ˙˚
Therefore, 1 - f (ED) = (18.31)
È E - EF ˘
1 + exp Í D
Î kT ˙˚
In an n-type semiconductor, the Fermi level lies between the donor energy level
and the conduction band, hence ED - EF is negative. Therefore, Eq. (18.31) can be
written as,
È ED - EF ˘
1 - f (ED) ª exp Í
Î kT ˙˚
(18.32)

From Eqs (18.30) and (18.32), the ionized donor impurity concentration can be
written as,
È E - EF ˘
ND+ = ND exp Í D (18.33)
Î kT ˙˚
At 0 K, all the states in the valence band are completely filled. Therefore, no electron
is excited from the valence band to the conduction band. Hence, at T = 0 K, Nh = 0.
Therefore, from Eq. (18.29), the concentration of electron in the conduction band can
be written as,
Ne = ND+ (18.34)
From Eq. (18.8), the value of Ne is written as,
È EF - EC ˘
Ne = NC exp Í ˙
Î kT ˚
 Transport Properties of Semiconductors 18.11

3/ 2
È 2p mc* kT ˘
where 2
NC = Í 2 ˙ (18.35)
Î h ˚
From Eqs (18.33), (18.34) and (18.35), we can write
È E - EC ˘ È ED - EF ˘
NC exp Í F ˙ = ND exp Í ˙
Î kT ˚ Î kT ˚
È E - EC ˘ È - ( ED - EF ) ˘ N D
or exp Í F ˙ exp Í ˙= N
Î kT ˚ Î kT ˚ C

È E - EC - ED + EF ˘ N D
or exp Í F ˙= N
Î kT ˚ C

In the above equation, taking log on both sides, we get,

2EF - ( EC + ED ) N
= ln D
kT NC
EC + ED kT N
i.e., EF = + ln D (18.36)
2 2 NC
At T = 0 K, Eq. (18.36) becomes

EC + ED
EF = (18.37)
2
Equation (18.37) shows that the Fermi level lies at the middle of the donor level
and the lower energy level of the conduction band.

18.5.2 carrier concentration

The number of electrons in the conduction band of an intrinsic semiconductor is
given by,
È EF - EC ˘
n = NC exp Í ˙ (18.38)
Î kT ˚
Substituting the value of EF from Eq. (18.36) in Eq. (18.38), we get,

È E + ED EC 1 N D ˘
n = NC exp Í C - + ln ˙
Î 2kT kT 2 N C ˚

È ED - EC ˘ È 1 ND ˘
= NC exp Í 2kT ˙ exp Í 2 ln N ˙
Î ˚ Î C ˚

1/ 2
È ED - EC ˘ Ê N D ˆ
= NC exp Í ˙
Î 2kT ˚ ÁË N C ˜¯
(18.39)

Substituting the values of NC in Eq. (18.39), we get,

18.12 Engineering Physics

1/ 2
Ï 3/ 2
¸
n = ÔÌ2 È 2p me kT ˘ N Ô˝ È E - EF ˘
*

Í ˙ exp Í D
Î 2kT ˙˚
D
h2
ÓÔ Î ˚ ˛Ô
3/ 4
È 2p me* kT ˘ È E - EF ˘
= (2 ND)1/2 Í ˙ exp Í D (18.40)
Î 2kT ˙˚
2
Î h ˚
The Eq. (18.40) gives the concentration of electrons in an n-type semiconductor.

18.6 p-type semicondUctor

A semiconductor doped with acceptor impurities is known as a p-type semiconductor. For
example, if Si is doped with B, Al, Ga, etc., it will become a p-type semiconductor.

18.6.1 Fermi Level

In a p-type semiconductor, the concentration of holes in the valence band is equal to
the sum of the concentration of electrons available in the conduction band and the
concentration of electrons available in the acceptor level, i.e., concentration of ionised
acceptor impurities
p = Ne + NA+ (18.41)
At absolute zero temperature, all the states in the valence band are occupied and
hence, no electron is available in the conduction band for electrical conduction.
Therefore, at T = 0 K, Ne = 0. Hence, Eq. (18.41) can be written as,
p = NA+ (18.42)
That is, at 0 K, the hole concentration is equal to the concentration of ionized
acceptor impurities. The ionized acceptor impurity is given by
NA+ = NA f(EA) (18.43)
where NA is the acceptor concentration and f(EA) is the probability that a quantum state
is occupied by an electron in the acceptor level. From the Fermi Dirac distribution
function, f(EA) can be written as,
1
f(EA) = (18.44)
È E - EF ˘
1 + exp Í A
Î kT ˙˚
From Eqs (18.43) and (18.44), we can write
1
NA+ = NA È E - EF ˘ (18.45)
1 + exp Í A
Î kT ˙˚
Since, the acceptor level lies above the Fermi level, EA - EF is positive. Therefore,
È E - EF ˘
the term 1 is neglected, compared to exp Í A ˙ . Therefore, Eq. (18.45) can be
Î kT ˚
written as,
 Transport Properties of Semiconductors 18.13

È - ( E A - EF ) ˘
NAs+ = NA exp Í ˙ (18.46)
Î kT ˚

Ï È E - EF ˘ ¸
Substituting the value of p ª Ì NV exp Í V ˙ ˝ from Eq. (18.14), in Eq. (18.42)
Ó Î kT ˚ ˛
and hence, substituting the value of N+A in Eq. (18.46) we get,

È E - EF ˘ È - ( E A - EF ) ˘
NV exp Í V ˙ = NA exp Í ˙
Î kT ˚ Î kT ˚

È E - EF + E A - EF ˘ N A
i.e., exp Í V ˙=N
Î kT ˚ V

In the above equation, taking log on both sides, we get,

- 2EF EV + E A N
+ = ln A
kT kT NV

EV + E A kT N
or EF = - ln A (18.47)
2 2 NV
Equation (18.47) represents the Fermi level in a p-type semiconductor. At T = 0
K, Eq. (18.47) becomes
EV + E A
EF = (18.48)
2
i.e., at zero degree Kelvin, the Fermi energy level lies at the middle of the top of the
valence band and the acceptor energy level.

18.6.2 carrier concentration

The concentration of hole in the valence band in an intrinsic semiconductor is given
by
È E - EF ˘
p = NV exp Í V ˙ (18.49)
Î kT ˚
Substituting Eq. (18.47) in Eq. (18.49), we get,
ÈE E + EA kT N ˘
p = NV exp Í V - V + ln A ˙
Î kT 2kT 2kT NV ˚

1/ 2
E - EA ˘ Ê N A ˆ
= NV exp ÈÍ V ˙
Î 2kT ˚ ÁË NV ˜¯
È E - EA ˘
= (NANV)1/2 exp Í V ˙ (18.50)
Î 2kT ˚
Substituting the value of NV in Eq. (18.50), we get,
18.14 Engineering Physics

3/ 4
È 2p mh* kT ˘ È E - EA ˘
p = (2NA)1/2 Í 2 ˙ exp Í V ˙ (18.51)
Î h ˚ Î 2kT ˚
Equation (18.51) represents the concentration of carriers in a p-type semiconductor.

18.7 HaLL eFFect

Let Ix be the current flowing through a specimen along the x-direction and BZ be the
transverse magnetic field applied along the z-direction. An electric field Ey is induced in
a direction perpendicular to both the current and the magnetic field. This phenomenon
is known as Hall effect.

18.7.1 illustration
The origin of the Hall effect is easy to understand. This property confirms the particle
nature of the charge carriers. Consider a semiconducting specimen, as shown in
Fig. 18.4, or a metallic specimen, carrying a current Ix along the x-direction and a
transverse magnetic field along the z-direction; then a force will be developed along
the y-direction. The direction of force is easily noted from the corkscrew rule or right
hand thumb rule. Due to the force, the charge carriers are forced downwards and they
accumulate near the bottom face, i.e., face 1. If the specimen is a metal, since it has
only one type of charge carriers, i.e., electrons, the electrons are forced down into
the bottom surface. Therefore, the bottom surface becomes more negative compared
to the upper surface. Hence, a potential difference is developed between the bottom
and upper surfaces.
If the specimen is an n-type semiconductor, since the electrons are the charge
carriers, the electrons are forced down into the bottom surface. Therefore, the upper
face becomes positive, whereas the bottom surface becomes negative. In a p-type
semiconductor, the bottom surface is occupied by holes and it becomes more positive
compared to the upper surface. The potential difference between the upper and lower
surfaces is known as Hall voltage.
Let Ix be the current applied through the specimen along the x-direction and BZ
be the magnetic field applied to the specimen along z-direction. Let E be the electric
field intensity due to Hall effect. Then, at equilibrium,

Face 2

F
BZ

IX
Face 1

Fig. 18.4 Hall effect

 Transport Properties of Semiconductors 18.15

eEH = Bev (18.52)

where e is the electronic charge and v the velocity of the charge carriers.
Let VH be the Hall voltage developed between the faces 1 and 2, then

EH = VH /d (18.53)

From Eqs (18.52) and (18.53)

VH = B dv (18.54)

where d is the thickness of the specimen.

Let J be the current density and it is given by

J = nev (18.55)

From Eqs (18.54) and (18.55), we get

VH = Bd × J/ne (18.56)
The current density is also given by, J = (I/A), where A is the area of the specimen. It
is given by dw, where w is the width of the specimen. Therefore, J = (I/dw). Substituting
this value in Eq. (18.56), we get
Bd ◊ I
VH =
ne ◊ dw

BI
or VH = (18.57)
ne w
Equation (18.57) can be written by taking, RH = 1/ne (where RH is the Hall coefficient)
as,
B I ◊ RH
VH =
w

VH w
i.e., RH = (18.58)
BI
Equation (18.58) gives the value of the Hall coefficient. By measuring I, B, VH and
w, the Hall coefficient is determined.
From the Hall coefficient, one can find the value of the concentration of the carriers
using the relation, RH = 1/ne. By knowing the concentration of the carriers, the mobility
of the charge carriers is determined using the relation,

s = nem

or m = RH s (18.59)
where s is the electrical conductivity of the material.
The Hall effect and the Hall mobility of selected metals are given in Table 18.1.
18.16 Engineering Physics

table 18.1 Hall effect and hall mobility of selected metals

Metals n(¥ 1028 m-3) RH (¥ 10-11 m3A-1s-1) mH = |sRH| (¥ 10-4 m2v-1s-1)
Ag 5.85 -9.0 57
Al 18.06 -3.5 13
Au 5.90 -7.2 31
Cu 8.45 -5.5 32
Ga 15.3 -6.3 3.6
In 11.49 -2.4 2.9
Mg 8.60 -9.4 22
Na 2.5 -25 53

18.7.2 experimental determination of Hall voltage

A rectangular slab of a semiconducting material of width w and breadth b is taken.
A current of Ix ampere is applied to this sample along the x-direction, as shown in
Fig. 18.5, by connecting the specimen with a battery B. A magnetic field Bz is applied
to this specimen along the z-direction. A voltmeter is connected between the bottom
and upper faces of the crystal.

VH

b qH

IH –
+
B
Fig. 18.5 Experimental measurement of Hall voltage
The Hall voltage measured is given by Eq. (18.58). Equation (18.58) is derived by
assuming that all the particles travel with a mean drift velocity v. Actually, the current
carriers have a random thermal distribution of speed. Taking into account this random
3p Ê 1 ˆ 3p
distribution of speed, the Hall coefficient is redefined as RH = Á ˜ª , where
8 Ë ne ¯ 8r
r is known as the charge density and is equal to ne. Equation (18.59) can be written
as,
Ê 3p ˆ s
m =Á ˜ (18.60)
Ë 8 ¯ ne
Since, the charge of the electron is negative, for an n-type material, Eq. (18.60 )
can be written as,
Ê 3p ˆ s
me = - Á ˜ (18.61)
Ë 8 ¯ ne
 Transport Properties of Semiconductors 18.17

and for hole, since the charge is positive and hence, Eq. (18.60) can be written as,

Ê 3p ˆ s
mh = Á ˜ (18.62)
Ë 8 ¯ ne
The Hall angle (qH) is defined as,
tan qH = EH/Ex (18.63)
where EH is the Hall voltage measured per unit thickness of the specimen. From Eq.
(18.53),
V B Ix B J x B ne vx
EH = H = = = = Bvx (18.64)
d ne wd ne ne
From Eqs (18.63) and (18.64),
B vx
tan qH = (18.65)
Ex
Thus, by measuring the Hall voltage and the conductivity of the specimen
simultaneously, one can determine the mobility, concentration, Hall coefficient and
Hall angle.

18.7.3 applications of the Hall effect

Some of the applications of the Hall effect are given below.
(i) It is used to find whether the given semiconductor is n-type or p-type.
(ii) It is used to find the concentration of carriers and hence, the mobility of
carriers.
(iii) Equation (18.57) shows that the Hall voltage is the product of two in-
dependent variables like the current and the magnetic field. Therefore,
this property can be used to carry out the multiplication process and to
measure the power dissipation in a load, where the load current and the
voltage are multiplied.
(iv) The Hall effect is ideally suited to measure the magnetic field in many
applications. Using a typical Hall effect magnetometer, the magnetic field
can be measured in the range of 10 m T to 1 T full scale. This value is
comparable to the earth's magnetic field of ~50 m T and to that of a strong
magnet, typically ~1 T. The manufacturers use different semiconductors
depending upon the application and the accuracy needed.
(v) Hall effect semiconducting devices are used as sensors to sense magnetic
fields. The linear Hall effect sensor devices from Texas Instruments are
TL170-173 and from Sprague or Allegro Microsystems is the UG3500-
3600 series. The sensor TL173 is capable of providing a Hall voltage of
15 mV per mT of applied magnetic field.
(vi) Hall effect is also used in magnetically activated electronic switches. Hall
effect electronic switches are used as non-contacting keyboards and panel
switches. The applications of Hall effect switches range from ignition
systems to speed controls, position detectors, alignment controls, brushless
dc motor commutators, etc.
18.18 Engineering Physics

18.8 variation oF eLectricaL

condUctivity witH temperatUre
The concentration of charge carriers in n-type and p-type semiconductors are derived by
assuming the temperature as room temperature, n ª ND and p ª NA. If the temperature
is raised, the conductivity of the extrinsic semiconducting materials vary with two
factors: (i) variation of carrier concentration with, temperature, and (ii) variation of
drift mobility with temperature.

18.8.1 variation of carrier concentration with temperature

Consider an n-type semiconductor with Nd donors per unit volume. Let Nd >> ni,
where ni is the intrinsic carrier concentration. At very low temperatures, all the valence
bands are completely occupied by the electrons and the donor carriers. Therefore,
no electron is available in the conduction band for the electrical conduction. This is
depicted in Fig. 18.6a.
T < TS TS < T <T1 T <T1

Conduction band Conduction band Conduction band

�
+ �+ � + � �+ �+
EF � �+ � +
Donor As As As As
+
As As
+ level EF
Eg As As As EF EF

Valence band Valence band Valence band

(a) At T = T1 (b) At T = T2 (c) At T = T3

Fig. 18.6 Concentration of electrons at different temperatures: (a) At a very low tem-
perature, (b) At a temperature, which is sufficient to excite donor electron,
and (c) At a temperature, which is sufficient to excite valence electrons
If the temperature is increased gradually, some of the donor electrons are ionized
and their electrons are excited to the conduction band, as shown in Fig. 18.6b. At
room temperature, all the donor electrons are excited to the conduction band. If the
temperature is further increased, there is no increase in concentration of electrons in the
conduction band, since the electrons in the conduction band require a minimum energy
of DE = Ec - Ev, which is greater than the ionization energy [DEi = Ec - Ed (<< Eg )] of
the donor electrons. The electron concentration at very low temperature is given by
1/ 2
DE ˆ
n = ÊÁ N C N d ˆ˜ exp ÊÁ -
1
(18.66)
Ë2 ¯ Ë 2kT ˜¯
Equation (18.66) is similar to the intrinsic concentration of carriers,
Ê Eg ˆ
ni = (NCNV)1/2 exp Á - (18.67)
Ë 2kT ˜¯
In Eq. (18.66), a factor ½ is introduced because the donor occupation statistics
is different from the usual Fermi Dirac distribution function. Equation (18.66) is
applicable only to find the donor concentration excited from the donor level to
the conduction band at very low temperature. But Eq. (18.67) is used to find the
concentration of carriers excited from the valence band to the conduction band.
 Transport Properties of Semiconductors 18.19

If the temperature is further increased, the electrons present in the valence band
acquire energy and hence, breaks the bond. The electrons dislodged from the covalent
bond are excited to the conduction band due to thermal agitation.
The dependence of the electron concentration on temperature is classified into the
three categories given below:
(i) Low-temperature range
(ii) Medium temperature range, and
(iii) High-temperature range
Let us discuss the above three points briefly.
(i) Low-temperature range (t < ts) At very low temperatures, all the donor
levels and the valence bands are occupied by electrons. No electron is available in
the conduction band. If the temperature is slightly raised, the donor electrons are
ionized and they are excited to the conduction band. The ionization of donor electrons
continues until the temperature Ts, known as the saturation temperature, is reached
and hence, all the donor electrons are ionised. The concentration of electrons in this
range is given by Eq. (18.66) and is known as ionization range.
(ii) Medium-temperature range (ts < t < ti) If the temperature is further increased
beyond the saturation temperature, there is no increase in concentration of electrons
in the conduction band, until a temperature required to liberate the electrons in the
valence band is reached. Since the electrons in the valence band requires an energy
of DE = EC - EV, which is very high compared to the donor ionization energy DEi =
EC - ED, this temperature range is said to be the extrinsic range.
(iii) High-temperature range (t > ti) When the temperature becomes sufficient
to liberate electrons from the valence band, the concentration of electrons in the
conduction band increases very sharply. The reason is, at this temperature, more and
more number of electrons get liberated and they are excited to the conduction band.
This region is said to be the intrinsic range.
If a plot is drawn between ln (n) and 1/T, a curve as shown in Fig. 18.7 is obtained.
The three regions can be distinctly seen in Fig. 18.7. Since there is a sharp increase
in the concentration of electrons at high temperature, concentration is given as,
Ê - Eg ˆ
n µ T3/2 exp Á (18.68)
Ë 2kT ˜¯
In(n)

Intrinsic
slope = � Eg /2k

Extrinsic Ts Ionization
In (Nd) slope = � D E/2k
Ti
ni(T )
1/T
1
Fig. 18.7 A plot of ln (n) versus for n-type semiconductor
T
18.20 Engineering Physics

This shows that there is a domination of the exponential part over T 3/2 in the high
temperature region. In the extrinsic region, n ª ND and is practically independent of
temperature. The temperature dependence of the intrinsic concentration of Si, Ge and
GaAs are shown in Fig. 18.8. From the slope of this curve, one can determine the band
gap of the semiconducting materials.

Fig. 18.8 Temperature dependence of intrinsic concentration of Si, Ge and GaAs

18.8.2 variation of drift mobility with temperature

The drift mobility varies with two distinctly different temperature variations. At high
temperature region, the drift mobility is limited by scattering from lattice vibrations.
At high temperature, m a T -3/2, i.e., the mobility decreases with the increase in
temperature. At low temperature, the scattering of electrons by ionized impurities is
the major mobility limiting mechanism and m µ T 3/2.
The mobility is given by the expression,
et
m = *r (18.69)
me
where e is the charge of the electron, tr the mean free time, and me* the effective mass.
The mean free time is given by
1
tr = (18.70)
Svth N s
where S is the surface area of the scatterer, vth the mean speed of the electrons and Ns
the number of scatterer per unit volume. The surface area of the scatterer is pr2. As the
temperature increases, the amplitude of the lattice vibration also increases. Therefore,
r2 µ T behaviour is observed.
The mean speed of the electron is obtained using the relation,
1
mvth2 = 3 k BT
2 2
i.e., vth µ T1/2 (18.71)
 Transport Properties of Semiconductors 18.21

Thus, the mean free time is given as,

1 1 1
tr = µ 1 µ 3
(p r 2 )vth N s T (T 2 ) T 2
i.e., t µ T -3/2 (18.72)
-3/2
i.e., at high temperature, the drift mobility varies with T .
At low temperature, the ionized impurity scattering is dominant over thermal
scattering. Consider that at a low temperature, an electron is scattered by an ionized
impurity, such as As+. As an electron is scattered by an ionized impurity, the magnitude
of the kinetic energy of the electron is less than the potential energy.
i.e., KE < |PE|. Therefore, the PE is given by
e2
PE =
4p e 0e r rc
The critical radius corresponding to the electron, when it is just scattered, is rc
which is when KE ª |PE(rc)|.
3 e2
Therefore, kBT =
2 4p e rc
e� 1
KE = 2 me v2 KE > |PE|

KE ª |PE|
rc

As+

KE< |PE|

Fig. 18.9 Scattering of an electron by an ionized impurity

e2
i.e., rc =
6p k BT e
p e4
2
The surface area, S = pr = (6k T e p ) 2
B

1
i.e., Sµ (18.73)
T2
From Eqs (18.70), (18.71) and (18.73), we get,
1
t1 µ (18.74)
T -2 (T 1/ 2 ) N I
where NI is the concentration of ionized impurities. The ionized impurity scattering
limited mobility from Eq. (18.69) can be written as,
18.22 Engineering Physics

T 3/ 2
t1 µ (18.74)
NI
Equation (18.74) shows that the drift mobility due to impurity scattering is directly
proportional to T3/2. The combined drift mobility using Mathiessen's rule can be
written as,
1 1 1
= + (18.75)
md mI mL
where md , mL and ml are the drift mobility, the mobility due to lattice scattering and
the mobility due to impurity scattering, respectively. The variations of drift mobility
with temperature and doping concentration are shown in Fig. 18.10 and Fig. 18.11,
respectively.

Total scattering
F 1 F
G G
H mH
1 Lattice scattering
mD (phonon) ªT �3/2

Impurity scattering ªT �3/2

Fig. 18.10 A plot of ÊÁ ˆ˜ versus temperature (T)

1
Ë d¯
m

Fig. 18.11 Variation of drift mobility with doping concentration in Si for

electrons and holes
 Transport Properties of Semiconductors 18.23

18.8.3 variation of conductivity with temperature

The variation of electrical conductivity with temperature has three distinct regions
namely: (i) ionization range, (ii) extrinsic range and (iii) intrinsic range. The variation
of ln (s) versus (1/T) is shown in Fig. 18.12.
In the ionization range, the concentration of carriers is given by
1

Ê1 ˆ2 È - ( EC - ED ) ˘
n = Á N C N D ˜ exp Í ˙ (18.76)
Ë2 ¯ Î 2kT ˚

log (n) log (s )

Semiconductor

Resisitivity
Intrinsic
Metal
Logarithmic scale

Extrinsic

Lttice Ionization
scattering
m µT �3/2 m µT 3/2
log(m) Impurity
scattering
1/T
High temperature Low temperature

Fig. 18.12 Variation of conductivity, concentration and mobility with temperature

and the electrical conductivity is also proportional to the concentration of carriers; it
dominates the temperature dependence of conductivity.
In the intrinsic region, the conductivity is given by
sI = nie(me + mh)
In the above equation, the intrinsic concentration varies with temperature and
hence, the conductivity also varies with temperature. In the extrinsic region, the
concentration of carriers is n ª Nd for n-type material and the conductivity varies
with the temperature dependence of the drift mobility. The temperature dependence
of conductivity, concentration and mobility are shown in Fig. 18.12.

18.9 variation oF Fermi LeveL witH

temperatUre in extrinsic
semicondUctor
18.9.1 n-type semiconductor
The Fermi level for an n-type semiconductor is given by
Ê E + ED ˆ kT È N D ˘
Ef = Á C
Ë ˜¯ + ln Í ˙ (18.77)
2 2 Î NC ˚
18.24 Engineering Physics

Ê E + ED ˆ
Substituting T = 0 K in the above equation, we get, Ef = Á C ˜¯ . This shows that
Ë 2
in an n-type semiconductor, the Fermi level lies in between the conduction band and
the donor level at zero degree Kelvin. As the temperature increases from 0 K, the
Fermi level falls. At higher temperature, it falls below the donor level and hence, it
approaches the centre of the forbidden gap. The Fermi level lying at the middle of the
energy gap at very high temperature shows that the material is behaving as an intrinsic
semiconductor. As the donor concentration is increased, the Fermi level will move up.
The variation of Fermi level with temperature is shown in Fig. 18.13.

Fig. 18.13 Variation of Fermi level in an n-type semiconductor with temperature

18.9.2 p-type semiconductor

The Fermi level in a p-type semiconductor is given by

Ê E + EV ˆ kT È NV ˘
Ef = Á A
Ë ˜+ ln Í ˙ (18.78)
2 ¯ 2 Î NA ˚

The variation of Fermi level with temperature in a p-type semiconductor is shown

Ê E + EV ˆ
in Fig. 18.14. As T = 0 K, the above equation reduces to EF = Á A ˜ i.e., the
Ë 2 ¯
Fermi level lies at the middle of the acceptor level and the valence band at 0 K. If the
temperature is increased, the Fermi level rises. If the temperature is sufficiently high,
the Fermi level increases above the acceptor level. At very high temperature, it lies
at middle of the energy gap. This shows that at very high temperatures, the p-type
material behaves as an intrinsic material. As the acceptor concentration is increased,
the Fermi level shifts downwards as shown in Fig. 18.14.
 Transport Properties of Semiconductors 18.25

Fig. 18.14 Variation of Fermi level with temperature in a p-type material

Keypoints to remember

• In semiconductors, electrons and holes are the charge carriers for conductors.
• In semiconductors, all the states in the valence band are occupied while in the
conduction band, they are empty at 0 K.
• Fermi distribution function
1
f (E) =
Ê E - EC ˆ
1 - exp Á F
Ë RT ˜¯
• The concentration of electrons in the conduction band of a semiconductor is equal
to
Ê E - EC ˆ
n =Nc exp Á F
Ë RT ˜¯
• The concentration of holes in the valence band of a semiconductor is equal to

Ê E - EF ˆ
p =Nv exp Á V
Ë RT ˜¯
• The concentration of intrinsic carrier concentration in an intrinsic semiconductor
Ê Eg ˆ
is ni = Ao T3/2 exp Á -
Ë 2 KT ˜¯
18.26 Engineering Physics

• In an intrinsic semiconductor, when the effective mass of holes and electrons are
equal, then Fermi energy level lies at the middle of energy gap,

EC + EV
EF =
2
• A semiconductor doped with acceptor impurities has more positive charges and is
known as a p- type semiconductor.
• A semiconductor doped with donor impurities is known as an n-type semiconductor.
• In an n-type semiconductor, the Fermi energy level lies at the middle of the donor
level and the lower energy level of the conduction band.
EC + ED
i.e., EF =
2
• In a p-type semiconductor, the Fermi energy level lies at the middle of the top of
the valence band and the acceptor energy level
EV + E A
i.e., EF =
2
• When a transverse magnetic field is applied to a current carrying conductor in
the z-direction, an electric field is induced in a direction perpendicular to both the
current and magnetic field. This phenomenon is known as Hall effect.
• The Hall voltage developed on the specimen is equal to VH = EH × d, where
EH is the electric field intensity due to Hall effect and d, the thickness of
specimen.
1 1 1
• According to Mathiessen, the combined drift mobility is equal to m = m + m ,
d l L

where ml and mL are the mobility due to impurity scattering and lattice scattering.

solved problems

Example 18.1 Calculate the intrinsic carrier concentration, intrinsic conductivity

and resistivity of Ge at 300 K using the following data: me = 0.4 m2 V-1 s-1, mh = 0.2
m2 V-1 s-1, Eg = 0.7 eV, me* = 0.55 m0, and mn* = 0.37 m0.

Given Data
Temperature (T) = 300 K
Electron mobility (me) = 0.4 m2 V-1 s-1
Hole mobility (mh) = 0.2 m2 V-1 s-1
 Transport Properties of Semiconductors 18.27

Band gap (Eg) = 0.7 eV

Electron effective mass (me*) = 0.55 m0
Hole effective mass (mh*) = 0.37 m0
Solution The intrinsic concentration is given by
È - Eg ˘
3/ 2
Ê 2p kT ˆ
ni = 2 Á 2 ˜ (mh* me* )3/ 4 exp Í ˙
Ë h ¯ Î 2kT ˚
3/ 2
Ê 2p ¥ 1.38 ¥ 10-23 ¥ 300 ˆ
= 2Á ˜¯ (0.55 ¥ 0.37)3/ 4 ¥ (9.1 ¥ 10-31 )3/ 2
Ë (6.626 ¥ 10-34 ) 2

È - 0.7 ¥ 1.6 ¥ 10-19 ˘

exp Í -23 ˙
Î1.38 ¥ 10 ¥ 300 ˚
= 1.352 ¥ 1013 m-3

The intrinsic conductivity (s) = ni e (me + mn)

= 1.298 ¥ 10-6
The intrinsic resistivity (r) = 1/s
= 0.77 ¥ 106
The intrinsic concentration (ni) = 1.352 ¥ 1013 m-3
The intrinsic conductivity (s) = 1.298 ¥ 10-6 W-1 m-1
The intrinsic resistivity (r) = 0.77 ¥ 106 W m
Example 18.2 A n-type Si wafer has been doped uniformly with antimony
(Sb) atoms and the doped Si has the donor concentration of 1016 per cm3.
Calculate the Fermi energy with respect to the Fermi energy in intrinsic Si (For
Si, ni = 1.45 ¥ 1010 cm-3).

Solution Doping of Sb converts Si into n-type material with Nd = 1016

cm-3.
For Si, ni = 1.45 ¥ 1010 cm-3
Nd > ni
Therefore, we have Nd = 1016 cm-3
For intrinsic Si,
- ( EC - EFi ) ˘
ni = Nc exp ÈÍ ˙ (i)
Î kT ˚
For doped Si,

Nd = Nc exp È - ( EC - EFd ) ˘ (ii)

Í ˙
Î kT ˚
Dividing Eq. (i) by Eq. (ii), we get,
18.28 Engineering Physics

Nd È ( E - EFi ) ˘
= exp Í Fd ˙
ni Î kT ˚
Ê Nd ˆ
EFd - EFi = kT ln = 0.348 eV
ÁË n ˜¯
i

The Fermi energy with respect to EF in intrinsic Si = 0.348 eV.

Example 18.3 Find the resistance of an intrinsic germanium rod which is 1 cm
long, 1 mm wide and 1 mm thick at 300 K. For germanium ni = 2.5 ¥ 1019 /m3 ,
me = 0.39 m2 V-1 s-1 , mh = 0.19 m2 V-1 s-1 at 300 K.

Given Data
Intrinsic carrier concentration ni = 2.5 ¥ 1019 /m3
Electron mobility, me = 0.39 m2 V-1 s-1
Hole mobility mh = 0.19 m2 V-1 s-1
length of the rod l = 1 ¥ 10-2 m
Solution
We know that the electrical conductivity of an intrinsic semiconductor
(Germanium) is
s = ni e ( me + m h )
Substituting the values, we get,
= 2.5 ¥1019 ¥1.6 ¥10-19 ¥ (0.39 + 0.19)
= 2.32
Therefore, the resistance,
l
R =
sA
where A is area of cross-section and given by product of width and thickness.
Substituting the given values, we get,

1 ¥ 10-2
R = = 4310 W
2.32 ¥ (1 ¥ 10-3 ¥ 1 ¥ 10-3 )

The resistance of germanium is 4310 Ω.

Example 18.4 The intrinsic carrier density is 1.5 ¥ 1016 / m-3. If the electron
and hole mobilities are 0.13 and 0.05 m2 V-1 s-1, calculate the electrical
conductivity.

Given Data
Carrier concentration, ni = 1.5 ¥ 1016 m-3
Electron mobility, me = 0.13 m2 V-1 s-1
Hole mobility, mh = 0.05 m2 V-1 s-1
 Transport Properties of Semiconductors 18.29

Solution
We know that the electrical conductivity is
s = n1e [ m e + m h ]
Substituting the values, we get,
= 1.5 ¥ 1016 ¥ 1.6 ¥ 10-19 [0.13 + 0.05]
= 4.32 ¥ 10-4 W-1 m-1
The electrical conductivity of the intrinsic semiconductor is 4.32 ¥ 10-4 W-1 m-1 .

Example 18.5 Find the intrinsic resistivity of Ge at room temperature of

300 K if the carrier density is 2.15 ¥ 1013/cm3

Given data
m e = 3900 cm 2 V -1 s -1
Mobility of electron
Mobility of hole m n =1900 cm 2
Carrier density ni = 2.15 ¥ 1013 cm-3
Solution
We know that the conductivity of Ge is
s i = e( m e + m h )ni
Substituting the values, we get,
= 1.6 ¥ 10-19 ¥ (3900 + 1900) ¥ 2.15 ¥ 1013
= 1.6 ¥ 10-19 ¥ 5800 ¥ 2.15 ¥ 1013
= 2.32 ¥ 10-2 ohm-1 cm-1
We also know that the intrinsic resistivity
1
ri =
si
Substituting the values, we get,
1
=
2.32 ¥ 10-2
ri = 43 W cm

Example 18.6 In a p-type germanium ni = 2.1 ¥ 1019 m-3 and density of

boron is 4.5 ¥ 1023 atoms m-3. The electron and hole mobilities are 0.4 and
0.2 m2V-1s-1 respectively. What is its electrical conductivity before and after
the addition of boron atoms?
Given data
Carrier concentration ni = 2.1 ¥ 1019 m-3

Electron mobility m e = 0.4m 2V -1s -1

18.30 Engineering Physics

Hole mobility m h = 0.2 m 2 V -1 s -1

Density of boron is equal to density of hole p = 4.5 ¥ 1023 m-3

Solution
We know that the conductivity of the Ge is
s = n1e( m e + m h )
Substituting the values, we get,
= 2.1 ¥ 1019 ¥ 1.6 ¥ 10-19 (0.4 + 0.2)

= 2.016W -1m -1

After doping with boron, the electrical conductivity due to extrinsic (p-type)
semiconductor is
sg = p e m p
Substituting the values, we get,
= 4.5 ¥ 1023 ¥ 1.6 ¥ 10-19 ¥ 0.2
= 1.44 ¥ 104 W -1m -1
Therefore, the electrical conductivity of boron doped semiconductor is
1.44 ¥ 104 W -1 m -1.

Example 18.7 Find the resistance of a 1 cm3 pure Si crystal. What is the
resistance when the crystal is doped with arsenic with a doping concentration
of 1 in 109 (Given: n = 5 ¥ 1028 m-3, ni = 1.45 ¥ 1013 m-3, me = 1.35 m2 V-1 s-1,
mh = 0.45 m2 V-1 s-1).

Given Data
Atomic concentration in Si = 5 ¥ 1028 m-3
Intrinsic concentration (ni) = 1.45 ¥ 1013 m-3
Electron mobility (me) = 1.35 m2 V-1 s-1
Hole mobility (mh) = 0.45 m2 V-1 s-1

Solution The intrinsic conductivity is

si = ni e (me + mh)
= 4.18 ¥ 10-6 W-1 m-1
The resistivity is r = 1/s = (RA/L) = 2.39 ¥ 10-5 W m
Therefore, the resistance is
R = L/sA = 2.39 ¥ 107 W
 Transport Properties of Semiconductors 18.31

If the crystal is doped with 1 in 109 arsenic, then the donor concentration is
given by
N si 5 ¥ 1028
Nd = = = 5 ¥ 1019 m-3
10 9 10 9
The concentration of hole is 2
N 2 1.45 ¥ 10
p= i =
(
16
)
= 4.2 ¥ 106 m-3
19
Nd 5 ¥ 10
Therefore, the conductivity is s = neme = Nd e me
= 10.8 W-1 m-1
The resistance is R = L/sA = 9.26 W
Example 18.8 Mobilities of electrons and holes in a sample of intrinsic Ge
at 300 K are 0.36 m2 V-1 s-1 and 0.17 m2 V-1 s-1, respectively. If the resistivity
of the specimen is 2.12 W m, compute the forbidden energy gap for Ge, me* =
0.5 m0 and mh* = 0.37 m0.

Given Data
Temperature (T) = 300 K
Resistivity (r) = 2.12 W m
Electron mobility (me) = 0.36 m2 V-1 s-1
Hole mobility (mh) = 0.17 m2 V-1 s-1
Solution The conductivity is given by,
1
s = 1/r = = 0.471698 W-1 m-1
2.12
The conductivity is also given by,
s = ni e (me + mh)
s 0.471698
ni = =
e ( me + m h ) 1.6 ¥ 10-19 (0.36 + 0.17)
= 5.56247 ¥ 1018
The intrinsic concentration of carriers is given by
Ê - Eg ˆ
ni = (NC NV)½ exp Á
Ë 2k BT ˜¯

3/ 2
NC = 2 ÊÁ
2p k BT ˆ
where
Ë h 2 ˜¯
(m )
* 3/ 2
e

3/ 2
Ê -23 ˆ
= 2 Á 2p ¥1.38 ¥10 ¥2300 ˜ (0.5 ¥ 9.1¥10 )
-31 3/ 2

ÁË ( 6.626 ¥10-34 ˜¯ )
18.32 Engineering Physics

= 8.852 ¥ 1024

3/ 2
NV = 2 ÊÁ 2p k BT ˆ˜ (m )
* 3/ 2
Ë h2 ¯ h

3/ 2
Ê -23 ˆ
= 2 Á 2p ¥1.38 ¥10 ¥2300 ˜ (0.37 ¥ 9.1¥10 ) -31 3/ 2

ÁË (
6.626 ¥10-23 ˜¯ )
24
= 5.635 ¥ 10
The energy gap of an intrinsic semiconductor is given by
È ( N C NV )1/ 2
Eg = 2kT In Í
ÍÎ ni
= 2kT ¥ 14.054
Eg = 0.727 eV

The band gap of Ge is 0.7 eV.

Example 18.9 For an intrinsic semiconductor with gap width Eg = 0.7 eV,
calculate the concentration of intrinsic charge carriers at 300 K assuming that
m = m *e = m0 (rest mass of electron).

Given Data
Reset mass of electron, m0 = m* = 9.1 ¥ 10-31 kg
Planck’s constant h = 6.62 ¥ 10-34 Js
Boltzmann’s constant, k = 1.38 ¥ 10-23 JK-1
Band-gap energy Eg = 0.7 eV
Electronic charge e = 1.6 ¥ 10-19 C
Temperature, T = 300 K
Solution
We know that the intrinsic carrier concentration
3
Ê 2 p me* k T ˆ 2
- Eg / 2 k T
ni = 2 ¥ Á ˜¯ e
Ë h2
Substituting the values, we get,
3
Ê 2 ¥ 3.14 ¥ 9.1 ¥ 10-31 ¥ 1.38 ¥ 10-23 ¥ 300 ˆ 2
È - Eg ˘
= Á ˜¯ exp Í ˙
Ë (6.626 ¥ 10-34 ) 2 Î KT ˚
È - Eg ˘
= 2.5087 ¥ 1025 exp Í ˙
Î KT ˚
 Transport Properties of Semiconductors 18.33

È -0.7 ¥ 1.6 ¥ 10-19 ˘

= 2.5087 ¥ 1025 exp Í 2 ¥ 1.38 ¥ 10-23 ¥ 300 ˙
Î ˚
= 2.5087 ¥ 1025 ¥ 1.335 ¥ 10-6

= 33.49 ¥ 1018

Therefore, the carrier concentration of an intrinsic semiconductor is

= 33.49 ¥ 1018 m-3.

Example 18.10 The energy gap of silicon is 1.1 eV. Its electron and hole
mobilities at room temperatures are 0.48 and 0.013 m2V-1s-1. Evaluate the
carrier concentration and its electrical conductivity.

Given Data
Energy gap, Eg = 1.1 eV
Electron mobility, me = 0.48 m2V-1s-1
Hole mobility, mh = 0.013 m2 V-1s-1
Temperature, T = (270C + 273) = 300 K
Boltzmann’s constant k = 1.38 ¥ 10-23 JK-1
Solution
We know that the intrinsic carrier concentration
Ê 2 p me* k T ˆ ( - Eg / 2 k T )
ni = 2 Á ˜¯ e
Ë h2
Substituting the given values, we have
32
Ê ˆ
-31 -23 Ê -1.1 ¥ 1.6 ¥ 10-19 ˆ
Á 2 ¥ 3.14 ¥ 9.1 ¥ 10 ¥ 1.38 ¥ 10 ¥ 300 ˜
ni = 2 ¥ ¥ exp Á ˜
Á ˜ Ë 2 ¥ 1.38 ¥ 10-23 ¥ 300 ¯
ÁË (
6.626 ¥ 10
-34 2
) ¯˜
32
Ê 2.3626 ¥ 10-50 ˆ Ê -1.76 ¥ 10-19 ˆ
ni = 2 ¥ Á ¥ exp Á
Ë 4.39038 ¥ 10-67 ˜¯ Ë 828 ¥ 10-23 ˜¯

= 2 ¥ [5.3942 ¥ 1016]3/2 ¥ exp (-21.256)

= 2 ¥ 1.2528 ¥ 1025 ¥ 5.8697 ¥ 10-10
ni = 1.4707 ¥ 1016 m-3
We know that the electrical conductivity,
s i = ni e ( m e + m n )

Substituting the values, we get,

18.34 Engineering Physics

= 1.4707 ¥ 1016 ¥ 1.6 ¥ 10-9 (0.48 + 0.013)

si = 1.160 ¥ 10-3 Ω -1 m-1
Therefore, the electrical conductivity of silicon is 1.160 ¥ 10-3 Ω -1 m-1.

Example 18.11 For a silicon semiconductor with a band gap of 1.12 eV,
determine the position of the Fermi level at 300 K if me* = 0.12m0 and
mh* = 0.28m0 .
Given Data
Band gap, Eg = 1.12 eV
Effective mass of electron me* = 0.12m0
mh* = 0.28m0 .
Effective mass of hole
Temperature T = 300 K
Solution
We know that the Fermi energy is
Eg 3 kT Ê mh* ˆ
EF = + ÁË log e m* ˜¯
2 4 e

Substituting the values. we get,

1.12 3 ¥ 1.38 ¥ 10-23 ¥ 300 Ê 0.28 m0 ˆ
EF = + ÁË log e 0.12 m ˜¯
2 4 ¥ 1.6 ¥ 10-19 0

3
= 0.56 + ¥ 0.0258 ¥ log e 2.333
4
= 0.56 + 0.01935 ¥ 0.8473 = 0.56 + 0.016
= 0.576 eV
Therefore, the Fermi energy silicon at 300 K is 0.576 eV.

Example 18.12 Suppose that the effective mass of holes in a material is 4

times that of electrons. At what temperature would the Fermi level be shifted
by 10% from the middle of the forbidden energy gap? Given Eg = 1 eV.
Given Data
Energy gap Eg = 1 eV
= 1.6 ¥ 10-19 J
At temperature T mh* / me* = 4

Solution
We know that the Fermi energy is
Ec + Ev 3 kT Ê m* ˆ
EF = + log Á h* ˜
2 4 Ë me ¯
 Transport Properties of Semiconductors 18.35

For O K, EF is lies between the band gap. Hence, EF is given by

EF = Eν + 0.5 eV
Ec + Ev
( Ev + 0.5) ¥ 1.6 ¥ 10-19 =
2
[∵T = 0]

Let Fermi level shift by 10% at temperature T, i.e., 0.1 eV.

i.e, Ev + E0 3 k T
( Ev + 0.6 ) ¥ 1.6 ¥ 10-19 = + log 4
2 4
Subtracting the above equation, we get,
3k T
0.16 ¥ 10-19 = log 4
4
Simplifying, we get,
4 ¥ 0.16 ¥ 10-19
T =
3 ¥ 1.38 ¥ 10-23 ¥ log 4

0.6408 ¥ 10-19
= = 116 K
5.739 ¥ 10-23
Therefore, the temperature at watch Fermi level is shifted 10% is 116 K.
Example 18.13 The following data are given for an intrinsic Ge at 300
K. Calculate the conductivity of the sample (Given: ni = 2.4 ¥ 1019 m-3, me =
0.39 m2 V-1 s-1, mh = 0.19 m2 V-1 s-1)

Given Data
Intrinsic concentration (ni) = 2.4 ¥ 1019 m-3
Electron mobility (me) = 0.39 m2 V-1 s-1
Hole mobility (mh) = 0.19 m2 V-1 s-1
Solution The intrinsic conductivity is si = ni e (me + mp)
= 2.4 ¥ 1019 ¥ 1.6 ¥ 10-19 (0.39 + 0.19)
= 2.22 W-1 m-1
The conductivity of Ge at 300 K si = 2.22 W-1 m-1.
Example 18.14 In an n-type semiconductor, the Fermi level lies 0.3 eV
below the conduction band at 300 K. If the temperature is increased to 330 K,
find the new position of the Fermi level.
Solution The concentration of carrier electrons at 300 K is given by
È ( E - EF 300 ) ˘
Ni300 = NC exp Í C ˙ (i)
Î kT ˚
18.36 Engineering Physics

(
È -0.3 ¥1.6 ¥10-19
= NC exp Í
) ˘˙
ÍÎ k ¥ 300 ˙˚
È - ( EC - EF 300 ) ˘
Ni330 = NC exp Í ˙ (ii)
Î kT ˚
Taking NC300 ª NC330 from Eqs (i) and (ii) we get,

È -0.3 ¥1.6 ¥10-19 ˘ È - EC - EF 300 ˘

exp Í ˙ = exp Í ˙
Î k ¥ 300 ˚ Î k ¥ 330 ˚
0.3 EC - EF 300
=
300 330
EC - EF330 = 0.33 eV

At 330 K, the Fermi energy level lies 0.33 eV, below the conduction band.
Example 18.15 The conductivity of Ge at 20 °C is 2 W-1 m-1. What is its
conductivity at 40 °C? Eg = 0.72 eV.

Solution The conductivity is given by

s1 = ni e (me + mm)

È - Eg ˘
3/ 2
È 2p kT ˘
where ni = 2 Í 2 ˙ (me m p )3/ 4 exp Í ˙
Î h ˚ Î 2kT ˚

At 20 °C and 40 °C
Ê - Eg ˆ
3/ 2
È 2p k ¥ 293 ˘
ni20 = 2 Í (me m p )3/ 4 exp Á (i)
Î h2 ˙˚ Ë 2k ¥ 293 ˜¯

Ê - Eg ˆ
3/ 2
È 2p k ¥ 313 ˘
ni40 = 2 Í (me m p )3/ 4 exp Á (ii)
Î h2 ˙˚ Ë 2k ¥ 313 ˜¯
Dividing Eq. (ii) by (i), we get
3/ 2
ni 40 Ê 313 ˆ È Eg Ê 1 1 ˆ˘
=Á ˜ exp Í ÁË - ˜ ˙ = 2.743
ni 20 Ë 293 ¯ Î 2 k 293 313 ¯ ˚
i.e. si20 = ni20 e(me + mm)
si40 = ni40 e(me + mm)

s i 20 ni 20
i.e. =
s i 40 ni 40
ni 40
si40 = si20 = 2 ¥ 2.743
ni 20
 Transport Properties of Semiconductors 18.37

= 5.486 W-1 m-1

The conductivity of Ge at 40 °C is 5.486 W-1 m-1.

Example 18.16 The energy gap of Si is 1.1 eV. The average electron effective
mass is 0.31 m, where m is the free electron mass. Calculate the concentration
in the conduction band of Si at RT, T = 300 K. Assume that EF = Eg/2.

Given Data
Energy gap of Si = 1.1 eV
Effective mass of electron = 0.31 m
Temperature = 300 K
EF = Eg/2

Solution For Si, the intrinsic concentration is given by

3/ 2
È 2p kT me* ˘ È - ( EC - EV ) ˘
ni = 2 Í 2 ˙ exp Í ˙
Î h ˚ Î 2kT ˚
Substituting the given values, we get

3/ 2
È 2p ¥ 1.38 ¥ 10-23 ¥ 300 ¥ 0.31 ¥ 9.1 ¥ 10-31 ˘ È - Eg ˘
ni = 2 Í ˙ exp Í ˙
Î (6.626 ¥ 10-34 ) 2 ˚ Î 2kT ˚

È -1.1 ¥ 1.6 ¥ 10-19 ˘

ni = 4.32166 ¥ 1024 exp Í -23 ˙
Î 2 ¥ 1.38 ¥ 10 ¥ 300 ˚

= 2.5367 ¥ 1015 electrons per m3

The intrinsic concentration of Si at 300 K is 2.5367 ¥ 1015 electrons per m3.

Example 18.17 The Hall coefficient and conductivity of Cu at 300 K have
been measured to be -0.55 ¥ 10-10 m3 A-1s-1 and 5.9 ¥ 107 W-1 m-1, respectively.
Calculate the drift mobility of electrons in copper.

Given Data

Hall coefficient of Cu = - 0.55 ¥ 10-10 m3 A-1 s-1

Conductivity of Cu = 5.9 ¥ 107 W-1 m-1
Temperature = 300 K

Solution Drift mobility = -| RH s |

= 0.55 ¥ 10-10 ¥ 5.9 ¥ 107
= 3.2 ¥ 10-3 m2 V-1 s-1
18.38 Engineering Physics

The drift mobility is given by,

m d = 3.2 ¥ 10-3 m2 V-1 s-1
Example 18.18 Using the electron drift mobility from the Hall effect
measurement (md = 3.2 ¥ 10-3 m2V-1s-1), calculate the concentration of
conduction electrons in copper, and determine the average number of
electrons contributed to the free electron gas per copper atom in a solid
(Given: s = 5.9 ¥ 107 W-1 m-1)
Solution The conductivity of an n-type semiconductor is given by
s = nem
s
Therefore, ni =
em

5.9 ¥107
ni =
1.6 ¥10-19 ¥ 3.2 ¥ 10-3

= 1.15 ¥ 1029 m-3

The concentration of free electron in pure Cu,
Avogadro'sconstant×density×number of free electrons per atom
n=
Atommic weight
6.022 ¥ 1023 ¥ 8900 ¥ 1¥ 103
=
63.5

= 8.44 ¥ 1028 electrons per m3.

The average number of electrons contributed per Cu atom

Concentration of electrons in an n-typesemiconductor

=
Concentration of electronsin pure Cu atom

1.15 ¥1029
= = 1.36
8.44 ¥ 1028
Therefore, the average number of electrons contributed per Cu atom is one.
Example 18.19 Find the Hall coefficient and electron mobility of germanium
for a given sample (1 cm length, 5 mm breadth, 1 mm thickness). A current of
5 milliamperes flows from a 1.35-volt supply and develops a Hall voltage of
20 nillivolts across the specimen in a magnetic field of 0.45 Wb / m2.
Given Data
Current through the specimen I = 5 ¥ 10-3 A
Voltage across the specimen V = 1.35 V
 Transport Properties of Semiconductors 18.39

Length of the sample L = 1 ¥ 10-2 m

Breadth of the sample b = 5 ¥ 10-3 m
Thickness of the sample t = 1 mm or 1 ¥ 10-3 m
Area of the sample a = 5 ¥ 10-6 m2
Hall voltage Vy = 20 ¥ 10-3
Magnetic field H = 0.45 Wb m-2
Solution
We know that the resistivity of the Ge sample is
Ra
r =
l
V 1.35
=
I 5 ¥ 10-3
Substituting the values of R = V/I, we get,
Va
S =
lI
1.35 ¥ 5 ¥ 10-6
r = = 0.135 W m
5 ¥ 10-3 ¥ 1 ¥ 10-2
We know that the Hall field, is
Vy
Ey =
Thickness
20 ¥ 10-3
=
1 ¥ 10-3

= 20 Vm -1

Current density given by,

Current
Jx =
Area of cross sec tion
Substituting the values, we get,
5 ¥ 10-3
J =
5 ¥ 10-6
= 1 ¥ 103 Am -2

1 Ey
=
ne HJ x
18.40 Engineering Physics

20
=
0.45 ¥ 103
= 0.044 m3 C -1
We know that the Hall coefficient is
3p 1
RH = ¥
8 ne
Substituting the values, we get,
3 ¥ 3.14
= ¥ 0.044
8
= 0.0524

= 0.0524 m3 C -1

We know that the electron mobility is,

R
me = H
r

0.0524
= = 0.39
0.135

= 0.39 m 2 V -1 s -1
\ Therefore, the mobility of the Ge sample is 0.39 m 2 V -1 s -1

Example 18.20 A 2.0-cm wide and 1.0-mm thick copper strip is placed in
a magnetic field with B = 1.5 weber / m2 perpendicular to the strip. Suppose
a current of 200 A is set up in the strip. What Hall potential difference would
appear across the strip? Given N = 8.4 ¥ 1028 electrons/m3.
Given Data
Current flowing Ix = 200 A
Applied magnetic field Hz = 1.5 Wb m-2
Number of electrons per unit volume n = 8.4 ¥ 1028 electrons m-3
Thickness of the strip d = 1.0 ¥ 10-3 m
Solution
Ix HZ
Hall potential, Vy =
net
Substituting the values, we get,
200 ¥ 1.5
Vy =
8.4 ¥ 1028 ¥ 1.6 ¥ 10-19 ¥ 1.0 ¥ 10-3
 Transport Properties of Semiconductors 18.41

= 2.2 ¥ 10-5 = 22 ¥ 10-6

Therefore, the Hall potential difference appearance between the ship is 22 m v.

Example 18.21 The Hall coefficient of a specimen of a doped silicon is

found to be 3.66 ¥ 10-4 m3/C. The resistivity of the specimen is 8.93 ¥ 10-3 Ω m.
Find the mobility and density of the charge carriers

Given Data
Hall coefficient of the specimen RH = 3.66 ¥ 10-4 m3 C-1
Resistivity of the specimen r = 8.93 ¥ 10-3 Ω m

Solution
1
We know that the carrier concentration is nh =
RH e
Substituting the values, we get,
1
=
3.66 ¥10 ¥1.6 ¥10-19
-4

= 1.708 ¥ 1022 m-3

The carrier concentration of silicon doped specimen is 1.708 ¥ 1022 m-3
We also know that, the mobility of carrier is,

RH
mn =
r

Substituting the values, we get,

3.66 ¥ 10-4
mh =
8.93 ¥ 10-3

mh = 0.04099 m2 V-1 s-1

The mobility of silicon doped specimen is 0.04099 m2 V-1 s-1.

Example 18.22 An n-type semiconductor specimen has Hall coefficient

RH = 3.66 ¥ 10-11 m3 A-1 s-1. The conductivity of the specimen is found to be
112 ¥ 107 W-1 m-1. Calculate the charge carrier density ne and electron mobility
at room temperature.

Given Data
Hall coefficient, RH = 3.66 ¥ 10-11 m3 A-1 s-1
Conductivity, s = 112 ¥ 107 W-1 m-1
18.42 Engineering Physics

Solution The Hall coefficient is given by

3p 1
RH =
8 ne
3p 1
\ n=
8 RH e
3p 1
=
8 3.66 ¥ 10-11 ¥1.6 ¥10-19
= 2 ¥ 1029 m-3
s = ne(me + mh)

For n-type semiconductor, s = neme

me = s/ne
112 ¥107
me =
1.6 ¥10-19 ¥ 2 ¥ 1029

= 0.035 m2 V-1 s-1

The concentration of electrons is 2 ¥ 1029 m-3.
The electron mobility at room temperature = 0.035 m2 V-1 s-1.
Example 18.23 A current of 50 A is established in a slab of copper, 0.5 cm
thick and 2 cm wide. The slab is placed in a magnetic field B of 1.5 T. The magnetic
field is perpendicular to the plane of the slab and to the current. The free electrons
concentration in Cu is 8.4 ¥ 1028 m-3. What will be the magnitude of the Hall
voltage across the width of the slab.
Given Data
Current (i) = 50 A
Magnetic field (B) = 1.5 T
Thickness of the slab = 0.5 ¥ 10-2
Width of the slab (d) = 2 ¥ 10-2
Concentration of electrons (N) = 8.4 ¥ 1028 m-3
Solution The Hall voltage is given by,
BI
VH =
new
1.5 ¥ 50
=
8.4 ¥ 1028 ¥ 1.6 ¥ 10-19 ¥ 2 ¥10-2
= 2.79 ¥ 10-7
The Hall voltage is 2.79 ¥ 10-7 V.
 Transport Properties of Semiconductors 18.43

objectives Questions

18.1 In a semiconductor all the states at 0 K in valence band are ________.

18.2 All the states at 0 K in the conduction band of a semiconductor are empty.
(True/false)
18.3 The value of concentration of electrons in the conduction band is equal
to
Ê E - EC ˆ Ê E + EC ˆ
a) n =Nc exp Á F b) n =Nc exp Á F
Ë kT ˜¯ Ë kT ˜¯

Ê E - EC ˆ Ê E + EC ˆ
c) n =Nc exp Á F d) n =Nc exp Á F
Ë kT ˜¯ Ë kT ˜¯

18.4 The concentration of holes in the valence band is equal to

Ê E + EF ˆ Ê E - EF ˆ
a)p =Nv exp Á V b)p =Nv exp Á V
Ë 2kT ˜¯ Ë 3kT ˜¯

Ê E + EF ˆ Ê E - EF ˆ
c)p =Nv exp Á V d)p =Nv exp Á V
Ë kT ˜¯ Ë kT ˜¯
18.5 The intrinsic carrier concentration in an intrinsic semiconductor is equal
to
Ê Eg ˆ Ê Eg ˆ
a) ni = Ao T3/2 exp Á ˜ b) ni = Ao T3/2 exp Á -
Ë 3kT ¯ Ë 3kT ˜¯

Ê Eg ˆ Ê Eg ˆ
c) ni = Ao T3/2 exp Á d) ni = Ao T3/2 exp Á -
Ë 2kT ˜¯ Ë 2kT ˜¯
18.6 The the Fermi energy level in an intrinsic semiconductor is equal to
________.
18.7 In an intrinsic semiconductor, the concentrations of electrons and holes
are not equal. (True/False).
18.8 The thermal excitation energy produced by an electron in-extrinsic
semiconductors at room temperature is equal to ________.
18.9 The acceptor energy level for Ge lying above the valence band is equal
to ________.
18.10 In n-type semiconductors, the value of Fermi energy level is equal to
EC + EV EC + ED
a) EF = b) EF =
2 2
EC + E A EC - ED
a) EF = d) EF =
2 2
18.44 Engineering Physics

18.11 The concentration of electrons in an n-type semiconductor is equal to

È 2p me * kT ˘ Ê E - EF ˆ
a) n = ( N D )1/ 2 2 Í exp Á D
Î h 2 ˙
˚ Ë kT ˜¯
È 2p me * kT ˘ Ê ED + EF ˆ
b) n = ( N D )1/ 2 2 Í ˙ exp ÁË kT ˜¯
Î h2 ˚
È 2p me * kT ˘ Ê E - EF ˆ
c) n = (2 N D )1/ 2 2 Í exp Á D
Î h 2 ˙
˚ Ë kT ˜¯
È 2p me * kT ˘ Ê ED + EF ˆ
d) n = (2 N D )1/ 2 2 Í ˙ exp ÁË kT ˜¯
Î h2 ˚
18.12 The Fermi energy level in a p-type semiconductor is equal to
E + EA E - Ec
a) EF = V b) EF = V
2 2
E - EA E + EC
c) EF = V d) EF = V
2 3
18.13 The carrier concentration in a p-type semiconductor is equal to
18.14 The mobility of charge carrier is σ = ________.
18.15 The hall voltage of a specimen is equal to
a) VH = EH/ d b)VH = EH × d
a) VH = 2EH /d d)VH = 2EH × d
18.16 According to Mathiessen’s rule, combined drift mobility is equal to
1 2 1 1 2 1
a) = - b) = +
m d ml m L m d ml m L
1 1 1 1 1 1
c) = - d) = +
m d ml m L m d ml m L
18.17 In semiconductors, the electrical conductivity is proportional to concentra-
tion of carrier. (True/False)

Key
18.1 Occupied 18.2 True
18.3 a) 18.4 d)
EV + EC
18.5 d) 18.6
2
18.7 False 18.8 0.025 eV
18.9 0.01 eV 18.10 b)
18.11 c) 18.12 a)
3/ 4
18.13 ( 2 N a ) 2 È 2p M h kT ˘ exp ÊÁ EV - E A ˆ˜
1
18.14 n e μ
Í h2 ˙ Ë 2kT ¯
Î ˚
18.15 b) 18.16 d)
18.17 True
 Transport Properties of Semiconductors 18.45

exercises

18.1 Calculate the intrinsic conductivity of Si at 300 K.

me = 0.135 m2 V–1 s–1
mh = 0.048 m2 V–1 s–1
Eg = 1.11 eV
me* = 0.26 m0
mn* = 0.39 m0
18.2 Calculate the intrinsic carrier concentration of GaAs at 300 K. Given that
the electron effective mass is 0.07 m, the hole effective mass is 0.56 m
and its energy gap is 1.4 eV.
18.3 The resistance of a CdSe crystal is 10 W cm at 300 K. Find its resistance
at 350 K. The band gap of CdSe is 1.74 eV.
18.4 The resistance of a semiconductor at different temperatures is given
below:
T (K) r (W m)
300 89
340 165
380 365
420 1012
450 9658

Find the band gap of that semiconducting material.

18.5 SnSe is a p-type semiconductor. Its Fermi level lies just 0.2 eV above the
valence band at 300 K. Find the position of the Fermi level at 370 K.

short Questions

18.1 What is meant by Fermi level?

18.2 What is meant by Fermi temperature?
18.3 Distinguish between the intrinsic and extensic semiconductor?
18.4 State mass action law.
18.5 What is an intrinsic semiconductor?
18.6 What is an extrinsic semiconductor?
18.7 What is an n-type semiconductor?
18.8 What is a p-type semiconductor?
18.9 What is meant by donor energy level?
18.10 What is meant by acceptor level?
18.11 Write down the expression for carrier concentration for a p-type
semiconductor
18.46 Engineering Physics

18.12 Write down the expression for carrier concentration for a n-type
semicondictor?
18.13 Define the term conductivity of a semiconductor.
18.14 Define the term mobility of a semiconductor.
18.15 What is Hall effect?
18.16 Explain the origin of Hall effect.
18.17 What is Hall coefficient?
18.18 What is meant by Hall voltage?
18.19 Mention the applications of Hall effect.

descriptive Questions

18.1 (a) Derive the expressions for concentration of holes in a valence

band and that of electrons in a conduction band for an intrinsic
semiconductor.
(b) Deduce an expression for intrinsic concentration using mass action
law.
18.2 Deduce the mathematical expressions for the concentration of electrons and
hole respectively in the conduction band and valence band for an intrinsic
semiconductor and hence show that the Fermi level lies at the middle for
an intrinsic semiconductor.
18.3 Obtain an expression for the conductivity of an n-type semiconductor and
hence explain the determination of energy gap.
18.4 Derive an expression for Fermi level in n-type semiconductor and hence
obtain an expression for carrier concentration of an n-type semicon-
ductor.
18.5 Derive an expression for Fermi level in a p-type semiconductor and hence
obtain an expression for concentration of hole in a p-type semiconduc-
tor.
18.6 (a) What is Hall effect?
(b) Obtain an expression for Hall coefficient.
(c) Explain the experimental technique used to find Hall coefficient.
(d) List the advantages of Hall effect.
18.7 Write briefly, about the temperature dependence of carrier concentration
and Fermi level in an extrinsic semiconductor.
 Chapter

Superconducting
Materials 19

OBJECTIVES
• To explain the superconducting phenomena and its applications
• To discuss the important properties of superconducting materials
• To explain the diamagnetic property of superconductors
• To explain the BCS theory for superconducting materials
• To discuss the development of high temperature superconductors
• To discuss the important applications of superconductors

19.1
i The helium gas was liquefied at 4.2k by Kamerlingh Onnes in 1908.
n Liquid He has a temperature of 4.2 K. Further, he studied the properties of
Hg at very low temperatures. He found that the resistivity of Hg suddenly
t
dropped to zero at 4.2 K (liquid He temperature). At 4.2 K, the resistivity
r of Hg is in the order of 10–5 W cm, i.e., at 4.2 K, Hg is converted into a
o superconducting material.
d For a normal conductor, the relation between temperature and resistivity
U is shown in Fig. 19.1.
c
t
i Normal conductor
r
o
n
Superconductor

Tc T

Fig. 19.1 Temperature versus resistivity

At very low temperatures, a normal conductor has some resistivity. But for a
superconductor, the resistivity is suddenly dropped to zero at very low temperatures.
This is shown in Fig. 19.1.
19.2 Engineering Physics

Let Tc be the transition temperature. It is defined as the temperature at which a

normal conductor is converted into a superconductor. It is also known as critical
temperature. Nowadays, superconduction can be achieved even at higher transition
temperatures.
For semiconductors, Tc varies from 0.3 K (GeTe) to 1.25 K (NbO); for metals,
Tc varies from 0.35 K (Hafnium) to 9.22 K (Niobium); and for alloys, from 18.1 K
(Nb3Sn) to 22.65 K (Nb3 Ge).
Good superconducting materials like zinc and lead are not good electrical
conductors. Good electrical conductors like copper and gold are not good
superconductors. Addition of impurities destroy the superconducting property.
A normal conductor is brought into a superconducting state by increasing its
pressure.

19.2 General properties of sUpercondUctinG

materials5
A theoretical explanation for superconductivity was given by Bardeen, Cooper and
Schrieffer in 1957 and hence, the theory is known as BCS theory.
At the transition temperature, the following changes are observed.
(i) The electrical resistivity drops to zero.
(ii) The magnetic flux lines are expelled from the material.
(iii) There is a discontinuous change in the specific heat.
(iv) Further, there are also small changes in the thermal conductivity and the
volume of the materials.

19.2.1 electrical resistance

The electrical resistance of a superconducting material is in the order of 10–5 W cm. The
ratio of the resistance of a material in the superconducting state (rs) to the resistance
of the same material in the normal state (rn) is less than 10–5,

i.e., < 10–5 (19.1)

19.2.2 magnetic property

When the superconducting materials are subjected to a large value of magnetic field,
it will result in the destruction of the superconducting property. The minimum field
required to destroy the superconducting property is given by

Hc = H0 (19.2)

where H0 is the field required to destroy the superconducting property at 0 K, Hc

the minimum field required to destroy the superconducting property at T K and Tc the
transition temperature of the material.
 Superconducting Materials 19.3

The magnetic properties of the material can be represented graphically as shown

in Fig. 19.2.

H0
Normal state
Hc
H0�Critical field at 0 K
Super-
conducting
state

O
Tc T

Fig. 19.2  Magnetic field versus temperature

19.2.3 diamagnetic property

When a normal conducting material is placed in a magnetic field of flux density B,
the lines of forces penetrate through the material, as shown in Fig. 19.3a. On the other
hand, if the material is cooled for superconductivity, the magnetic lines of forces
are ejected from the material, as shown in Fig. 19.3b. A diamagnetic material also
repels the magnetic field. Therefore, a superconducting material behaves as a perfect
diamagnetic material. This behaviour was first observed by Meissner and hence, this
property is known as Meissner effect.

Bπ0 B =0

T > Tc T < Tc
H > Hc H < Hc
(a) Normal state (b) Superconducting

Fig. 19.3 Meissner effect

19.2.4 effect of electric current

The application of a large value of electric current to a superconducting material destroys
the superconducting property. Consider a coil of wire wound on a superconductor as
shown in Fig. 19.4. Let i be the current flowing through the wire. The application of
the current induces a magnetic field. Thus, the induced magnetic field in the conductor
destroys the superconducting property.
19.4 Engineering Physics

Fig. 19.4  Effect of current in a superconductor

The induced critical current (Ic ) required to destroy the superconducting property is
given by
Ic = 2p r Hc (19.3)
where Hc is the critical magnetic field required and r the radius of the supercon-
ductor.

19.2.5 effect of pressure

Certain materials are brought into the superconducting state by increasing the pressure.
For example, cesium is a normal conductor at atmospheric pressure. While increasing
the pressure of Cs, it is converted into a superconductor at 110 kbar (Tc = 1.5 K).

19.2.6 isotopic effect

The presence of isotopes slightly changes the transition temperature of the
superconductor. The atomic mass of Hg varies from 199.5 to 203.4. Due to the variation
in atomic mass, the transition temperature of isotopes of Hg varies from 4.185 to 4.146
K. Maxwell showed that the transition temperature is inversely proportional to the
square root of the atomic mass of the isotope of a single superconductor.

i.e., Tc µ

M a Tc = constant (19.4)
where a is a constant equal to 1/2 and M the atomic weight.

19.3 types of sUpercondUctors

Superconductors are classified into two types. They are type I superconductors and
type II superconductors. Type I superconductors are known as soft superconductors
and type II superconductors are known as hard superconductors.

19.3.1 type i superconductors

Type I superconductors behave as perfect diamagnetic materials and obey the Meissner
effect. Figure 19.5 shows the relation between the magnetisation produced and the
applied magnetic field for type I superconductors.
A negative sign is introduced in the magnetisation value to represent the diamagnetic
property of the superconductor. The material produces a repulsive force up to the
critical field Hc. Therefore, due to the repulsive force, it does not allow the magnetic
 Superconducting Materials 19.5

field to penetrate through it. Hence, the material behaves as a superconductor. At Hc,
the repulsive force is zero and hence, the material behaves as a normal conductor. Sn,
Hg, Nb, V, C0.1 T0.3 V0.6 are some examples of type I superconductors.

�M

Super-
conducting Normal state
state

Hc

Fig. 19.5  Type I superconductor

19.3.2 type ii superconductors

Type II superconductors do not perfectly obey the Meissner effect. These materials
behave as a perfect superconductor up to Hc1. Above Hc1, the repulsive force decreases,
resulting in decrease in the magnetisation M and hence, the magnetic flux starts to
penetrate through the material. The magnetic field penetrates up to the value Hc2. In the
region up to Hc2, the material behaves as a superconductor, as shown in Fig. 19.6.

Fig. 19.6  Type II superconductor

Let Hc1 and Hc2 be the lower and upper critical fields. This region is known as
vortex state or mixed state. Above Hc2, the materials behave as normal conductors.
Examples for type II superconductors are Nb3 Sn, Nb3 Ge, YBa2 Cu3 O7.

19.4 Bardeen, cooper and schrieffer

(Bcs) theory
The theory of superconductivity has been developed in several levels. In 1957, Bardeen,
Cooper and Schrieffer proposed a microscopic theory known as BCS theory. The BCS
theory explains most of the phenomena associated with superconductivity in a natural
19.6 Engineering Physics

manner. This theory involves the electron interaction through phonon as mediators.
The main idea behind the BCS theory is the experimental results of the two effects,
namely, isotope effect and variation of specific heat with temperature. Let us discuss
briefly the main postulates of the BCS theory and its major accomplishments.
In 1950, Froblich and Bardeen showed the existence of self-energy of electrons
accompanied by virtual phonons when it moves through a crystal lattice. This means
that electrons travelling in a solid interact with lattice vibrations by the virtue of
electrostatic forces between them. The oscillator distortion of the lattice is quantised
in terms of phonons. This interaction is called electron-phonon interaction, which leads
to scattering of electrons and hence, causes a change in the electrical resistivity. The
resistivity is sensitive with temperature, particularly in the low temperature region,
since the number of phonon increases with temperature.
It is assumed from the BCS theory that the electron-phonon interaction produces
an attractive interaction between the two electrons. For example, an electron of
wave vector K emits a virtual phonon, which is absorbed by an electron K1. Thus, K
is scattered as K–q and K1+q, as shown in Fig. 19.7. The resulting electron–electron
interaction depends on the relative magnitude of the electronic energy change and
phonon energy. Once the phonon energy exceeds the electronic energy, the interaction
becomes attractive interaction (Vph). Thus, for attractive interaction, the wave vector and
spin are represented as K ≠and KØ. Therefore, the two electrons interacting attractively
in the phonon field are called cooper pair and the same is shown in Fig. 19.7.

Fig. 19.7  Electron–phonon interaction

19.5 electron–phonon interaction

On the other hand, these electrons, due to their charge, also repel each other with an
interaction Vc, but Bardeen, Cooper and Schrieffer assumed that in the superconducting
phase, Vph dominates over Vc. Therefore, the net interaction is attractive

V = -Vph + Vc < 0 (19.5)

The energy of the pair of electrons in the bond structure is less than in the free
state, where the electron exist separately. The difference in the energy between the
two states is known as binding energy of the Cooper pair. The electron lattice electron
interaction is stronger than electron coulomb interaction when the temperature is less
than critical temperature. The Cooper pair is completed at T = 0 K and is completely
broken when it reaches the critical temperature Tc.
The difference in the energy between the free state of the electron and the paired
state appears as the energy gap at the Fermi surface. At the Fermi surface, the normal
 Superconducting Materials 19.7

electron states are above the energy gap, while superconducting states are below the
energy gap. At absolute 0 K, the pairing is completed and hence, the difference in
energy of free and paired electron states, that is normal and superconducting electron
states is maximum. At T = Tc, the pairing is dissolved and hence, energy gap reduces to
zero. Thus, across the energy gap, there are many excited states for the superconducting
Cooper pairs.
BCS theory has solved the problem of the electron energy when the attractive
interaction V is present and the expression for critical temperature is given by

Tc = 1.14 qD exp [-1/VN (EF)] (19.6)

where qD is the Debye temperature, N(EF) the density of the electron states at the
Fermi surface and V the net attractive interaction. Equation (19.6) also accounts for
isotopic effect since qD is proportional to M–1/2. The BCS theory explains the existence
of Meissner effect, coherence length and the energy gap parameters.

19.6 hiGh temperatUre sUpercondUctors

Very few superconductors have been discovered between 1911 and 1986. The observed
highest Tc had gone from 4 K to about 23 K in the above period and the work was
accomplished with liquid helium. Later, the materials with Tc up to 40 K, 93 K and
125 K have been discovered, respectively, in the years 1983, 1987 and 1988. The new
materials with Tc crossing 77 K is more important, since the cooling is accomplished
by liquid nitrogen instead of liquid helium. The above trend confirms that it might be
possible to develop the superconductors at room temperature. The superconductors
having high Tc values are called as high temperature superconductors (HTSC).
Generally, the oxide compound (BaPbxBi1–x O3) with pervoskite structure (Sleight,
1975) shows Tc at about 13 K. Muller and Bendorz have tried to investigate the
occurrence of superconductivity with other oxide compounds and found a Tc of
about 35 K in solid solutions of La2–x Bax CuO4. Chu, in 1987, showed that another
compound YBa2Cu3O7–x became superconducting at 90 K. In 1988, various groups
working in USA and Japan discovered thallium and bismuth group of high Tc oxide
compounds. Later, HTSCs were also achieved by the substitution of Pb and Tl
compounds.
The HTSC compounds are normally represented by simplified notations such as
1212, 1234, etc. These notations are based on the number of atoms on each metal
element. For example, the compound YBa2Cu3O3 is represented in the simplified
notation as 123, based on the number of metal elements. Some of the HTSC components
along with transition temperature and notations are given in Table 19.1.
The crystal structure of the superconductors given in Table 19.1, namely,
La2–xMxCuO4 (M = Sr, Ba) among the oxide superconductors, is shown in Fig. 19.8.
The alkaline earth elements Ca, Sr and Ba can be substituted on La site and is
represented by M.
Thus, it is clear that the high Tc superconductors are not metal or intermetallic
compounds, but they are oxides of copper in combination with other elements. As a
result of the combinations, the HTSC materials become brittle and it is easy to form
wires and tapes. The HTSC wires/tapes provides a transmission of electrical power
over a long distance without any resistive losses.
19.8 Engineering Physics

table 19.1 Structure and properties of cuperate superconductors

  Notations  Chemical formula  Structure  a  b  c  TC
(Å) (Å) (Å) (K)
214 La1.82Sr0.18CuO4 Tetragonal 3.77 – 13.25 38
123 Yba2Cu3O7 Orthorhombic 3.81 3.88 11.63 90
Tl-1212 TlBa2CaCu2O7 Tetragonal 3.83 – 19.68 80
Tl-1223 TlBa2Ca2Cu3O9 Tetragonal 3.84 – 15.88 105
Tl-1234 TlBa2Ca3Cu4O11 Tetragonal 3.85 – 12.10 120
Tl-2201 TlBa2CuO6 Tetragonal 3.86 – 23.24 15
Tl-2212 Tl2Ba2Ca2Cu3O10 Tetragonal 3.86 – 29.39 108
Tl-2223 Tl2Ba2Ca2Cu3O10 Tetragonal 3.85 – 35.60 125
Tl-2234 Tl2Ba2Ca3Cu4O12 Tetragonal 3.85 – 42.00 105
BI-2201 Bi2Sr2CuO6 Orthorhombic 5.36 5.37 24.62 6
BI-2212 Bi2Sr2CaCu2O8 Orthorhombic 5.50 5.41 30.78 81
BI-2223 Bi2Sr2Ca2Cu3O10 Orthorhombic 5.40 5.41 37.18 110

Fig. 19.8  Tetragonal crystal structure of La2–xMxCuO4 (M = Sr, Ba)

19.7 applications
Due to the vast development of superconducting materials, they find a large range
and diversity of applications in different fields. Following are some of the important
applications.

19.7.1 superconducting magnets

Normally, when current flows through a coil, it generates magnetic fields. If the coil
is replaced by a superconducting material, it generates a large magnetic field. In the
 Superconducting Materials 19.9

conventional high field electromagnets, the effect of joule heating is a major problem,
while in superconducting materials, the current flows without any resistive loss and
joule heating.
Therefore, high critical magnetic field superconductors are used for these
applications. The most widely used superconducting materials are type II
superconductors such as Nb–Ti and Nb3Sn compounds. The important applications of
superconducting magnets are NMR, medical diagnostics and spectroscopy, magnetic
leviation, magnetic shielding, etc.

19.7.2 Josephson effect

In 1962, Brian Josephson predicted the flow of current in an insulator (oxide), which
is sandwiched in between two superconductors and a dc voltage is applied as shown
in Fig. 19.9. The current flowing through the device has both ac and dc components.
The ac component exists only during the existence of the applied voltage V, while
the dc component persists even after the removal of applied voltage. This effect
is known as Josephson effect. The frequency of the ac components is g = 2 eV/h
irrespective of the material used, and hence the value of e/h can be determined
more precisely.

Oxide insulator

V Superconductors

6
Fig. 19.9  Josephson effect

19.7.3 superconducting Quantum interface device

(sQUid)
SQUID is a magnetometer, which involves the super current properties of the
Josephson junctions. A typical SQUID system used for sensing magnetic field is shown
in Fig. 19.10. The low temperature superconductors are being used for fabricating
this SQUID. The main applications of SQUID are to detect a small fractional
change in flux, geological layers in different minerals, to detect NMR signals at low
temperature, etc.

19.7.4 maglev
Maglev is the acronym of magnetic levitation. Maglev a system which is used to
run the vehicle levitated from the guideway i.e., the rail tracks of conventional
railways. The principle behind maglev is the electromagnetic forces between the
superconductivity magnets. Maglev system consists of 8 figured cavitation coils and
sidewalk on the guide ways. The schematic representation of the maglev system is
shown in Fig. 19.11.
19.10 Engineering Physics

Fig. 19.10  SQUID system for sensing external magnetic field

N S N S

(a)�Maglev—later guidance

S N S N S N

S N

N S

N S N S N S

(b)�Maglev—Propulsion

Fig. 19.11 Maglev system

The guide ways for the maglev is similar to the rail tracks of the conventional
railways. Consider that an onboard superconductivity magnets passes at a high speed
with several centre meters below the centre of 8- figured coils. An electric current is
induced within the levitation coils. Thus, the levitation coil act as electromagnet and
hence, produces an electromagnetic forces which push the on-board superconducting
 Superconducting Materials 19.11

magnet to upward. Therefore, the maglev system is levitated and hence, the onboard
vehicle is levitated from the ground. The levitation coils which are facing each other are
connected through a loop under the guide way. When the on board vehicle is levitated
laterally, an electric current is induced in the loop and hence, creates a repulsive and
attractive forces. The repulsive force is acting on the levitation coil which is near the
onboard vehicle while attractive force acting on the levitation coil side further apart
from the on board vehicle. Therefore, running on board vehicle is always located at
the centre of guideway.
The onboard superconductivity magnet is accelerated employing the repulsive force
and attractive force induced between the magnets. The propulsion coils which are
fitted on the sidewall on both sides of guide tube is used to accelerate onboard vehicle.
The acceleration is achieved by giving a sufficient energy (three phase a.c.) to the
propulsion coils from the substation. Therefore, the on board vehicle is accelerated.

19.7.5 other applications

(i) Superconducting electric generators are small in size compared to con-
ventional electric generators. Superconducting generators produce more
power compared to ordinary generators.
(ii) Superconducting materials are used as no loss transmission lines.
(iii) In Japan, superconducting materials are used to levitate a train above its
rail.
(iv) Superconducting materials are used as a storage device in computers.
(v) Superconducting materials are used as relay in switching circuits.
Cryotron It consists of two superconducting materials A and B as shown in Fig. 19.12.

Fig. 19.12 Cryotron

Let Hca and Hcb be the critical fields of the materials A and B, respectively. Let
Hca < Hcb. Consider that a current i is passed through the material B. The current
induces some magnetic field H. If H lies between Hca and Hcb, then the induced field
will destroy the superconducting property of the material A. Hence, the resistivity
increases and the contact is broken.

Keypoints to remember

• When the resistivity of a material is suddenly dropped to zero at very low temper-
ature. At this zero resistivity, the material will conduct electricity. These materials
are known as superconductors
19.12 Engineering Physics

È T2 ˘
• The minimum field required to destroy superconductivity is H C = Í1 - 2 ˙ ,
Î Tc ˚
where Ho is the field required to destroy the superconducting property at 0 K and
TC, the transition temperature of the material.
• A superconducting material behaves as a perfect diamagnetic material. When the
material is cooled for superconductivity, the magnetic lines of forces are ejected
from the material. This property is known as Meissner effect.
• A large value of electric current applied to a superconducting material destroys
the superconducting properties.
• The transition temperature is inversely proportional to the square root of atomic
1
mass of isotope of a single superconductor, i.e., TC a a , where μ is the atomic
m
mass of the isotope and α, a constant equal to 0.5.
• Type I superconductors are perfect diamagnetic materials and obey the Meissner
effect.
• Type II superconductors are not perfect diamagnetic materials and hence, do not
obey the Meissner effect.
• When a dc potential is applied to an oxide insulator sandwiched between
superconductors, the ac component of current exists only during the existence of
applied voltage, while the dc component of current persists even after removal
of current. This phenomenon is known as Josephson effect.

solved problems

Example 19.1 Prove that superconductors are perfectly diamagnetic.

Solution For a magnetic material, the flux density is given by
B = m0 (M + H)

For a superconducting material, B = 0, i.e. 0 = m0 (M + H)

or M+H=0
M=-H

= c = -1

For a diamagnetic material, the susceptibility is negative. This equation proves

that a superconductor behaves as a perfect diamagnetic material.
Example 19.2 Superconducting tin has a critical temperature of 3.7 K at
magnetic filed and a critical field of 0.0306 Tesla Find the critical field at 2 K.
 Superconducting Materials 19.13

Given Data
Critical temperature Tc = 3.7 K
Critical temperature H0 = 0.0306 T

Solution
We know that the critical field
È T2 ˘
Hc = H0 Í1 - 2 ˙
Î Tc ˚
Substituting the values, we get,
È ( 2) 2 ˘
= 0.0306 Í1 - 2˙
Î (3.7) ˚
= 0.02166 T
Therefore, the critical field at 2 K is 0.02166 T.
Example 19.3 Calculate the critical current for a wire of lead having
a diameter of 1 mm at 4.2 K. Critical temperature for lead is 7.18 K and
Hc (0) = 6.5 ¥ 104 A m-1

Given Data
Critical temperature Tc = 7.18 K
Critical magnetic field H0 = 6.4 ¥ 104 A m-1
Solution
We know that the critical field
È T2 ˘
H = H0 Í1 - 2 ˙
Î Tc ˚
Substituting the values, we get,

È Ê 4.2 ˆ ˘
2

= 6.5 ¥ 104 ¥ Í1 - Á ˙
ÍÎ Ë 7.18 ˜¯ ˙˚

= 42.758 ¥ 103 A m-1

Therefore, the critical current through the wire is

Ic = 2πrHc

Substituting the values, we get

Ic = 2 ¥ 3.14 ¥ 0.5 ¥ 10-3 ¥ 42.758 ¥ 103
Ic = 134.26 Amp
The critical current through a wire of lead is 134.26 A.
19.14 Engineering Physics

Example 19.4 The critical temperature for a metal with isotopic mass
of 199.5 is 4.185 K. Calculate the isotopic mass if the critical temperature falls
to 4.133 K

Given Data

Critical temperature of lead Tc1 = 4.185 K

Critical magnetic field at 0K Tc2 = 4.133 K
Diameter of the lead at 4.2 K r = 1 ¥ 10-2 m
Solution
We know that the transition temperature for metal with isotopic mass is
1
È M ˘2
Tc 2 = Tc1 Í 1 ˙
ÎM2 ˚
Substituting the values, we get,
1
È 199.5 ˘ 2
= 4.184 ¥ Í ˙
Î 203.4 ˚
= 4.144 K
The critical temperature for metal with isotopic mass of 203.4 is 4.144 K.

objectives Questions

19.1 The resistivity of liquid helium drops to zero at _______ K.

19.2 A normal metal is converted into a superconductor at a temperature known
as ______.
19.3 The Tc values of NbO, hafmium and niobium are respectively _______,
_______ and _______ K.
19.4 The acronym of BCS theory is _______.
19.5 When a material is cooled below superconducting temperature, the mag-
netic lines of forces penetrat through the material. (True/False)
19.6 The current required to destroy the superconducting property is equal to
a) IC = 2 π r HO b) IC = 2π HC
c) IC = 2 π r HC d) IC = 4 π r HC
19.7 The isotropic effect for a single superconductor is
a) mα TC = Constant b) mα TC = 0
c) mα TC = 2 d) mα TC = 3
 Superconducting Materials 19.15

19.8 Type I superconductors do not obey the Meissner effect. (True/False)

19.9 The intermediate state between a superconducting and normal conductor
is _______ state.
19.10 Type II superconductors are perfect diamagnetic materials. (True/False)
19.11 BCS theory is used to explain _______
19.12 According to BCS theory, the expression for critical temperature is
equal to
Ê -1 ˆ Ê -1 ˆ
a) TC = 1.14 qD exp Á b) T = 1.24 q exp ÁË VN ( E ) ˜¯
Ë VN ( EF ) ˜¯
C D
F

Ê -1 ˆ Ê -1 ˆ
c) TC = 1.34 qD exp Á d) TC = 1.44 qD exp Á
Ë VN ( EF ) ˜¯ Ë VN ( EF ) ˜¯
19.13 BCS theory does not explain the following
a) Meissner effect b) Coherence effect
c) Isotopic effect b) Energy gap parameters
19.14 The value of TC for a high-temperature superconductor is low. (True/
False)
19.15 Expand HTSC.
19.16 Expand SQUID.

Key
19.1 4.2 19.2 Critical temperature TC
19.3 1.25,0.35 and 9.22 19.4 Bardeen, Copper and Schrieffer
19.5 False 19.6 c)
19.7 a) 19.8 False
19.9 Vortex 19.10 False
19.11 d) 19.12 a)
19.13 c) 19.14 false
19.15 High-temperature superconductors
19.16 Superconducting quantum interface device

short Questions

19.1 What are superconductors?

19.2 Explain Meissner effect.
19.3 What are type I and type II superconductors?
19.4 What are it propertics of the super conductor?
19.5 What is meant by isotopic effect?
19.6 What are Cooper pairs?
19.7 What is a high-temperature superconductor?
19.8 State Josephson effect.
19.16 Engineering Physics

19.9 What is SQUID?

19.10 What are the applications of SQUID?
19.11 Mention some of the oxide superconductors.

descriptive Questions

19.1 What are superconductors? Explain the occurrence of superconductivity.

What are the different types of superconductors? Explain them in detail.
19.2 Explain the properties of superconducting materials in detail.
19.3 What is BCS theory? Enumerate the important results of BCS theory.
19.4 Describe the applications of superconductors in various fields like super-
conducting magnets and SQUID.
 Chapter

Magnetic Materials
20

OBJECTIVES
• To understand the principle, theory, properties and applications of magnetic
materials
• To study the different types of magnetic materials along with suitable examples
• To derive the necessary theory for diamagnetism, paramagnetism, ferromagnetism
and anti-ferromagnetism
• To discuss the experimental methods used to study the paramagnetic properties of
materials
• To discuss the structure, property and applications of ferromagnetic materials
• To study the hard and soft magnetic materials and the energy product of magnetic
materials
• To study the magnetic materials used in storage devices and their applications

20.1
i The materials which strongly attract a piece of iron are known as magnetic
n materials or magnets. The magnetic property of a material arises due to
t the magnetic moment or magnetic dipole of materials. Materials which are
magnetised by the application of an external magnetic field are known as
r magnetic materials. Similarly, materials which are not magnetised due to
o the application of an external magnetic field are known as non-magnetic
d materials. The magnetism of materials is responsible for magnetic moment
u of materials. When a current flows through a conductor, it produces a
magnetic moment along the axis of the coil. Similarly, the electrons
c revolving around the nucleus leads to an orbital magnetic moment. The
t spin magnetic moment arises due to the spin ( ±1 / 2 ) of electrons. Magnetic
i materials are more important in terms of potential practical applications
o like magnetic storage and biomedical uses. General classes of magnetic
n materials are diamagnetic, paramagnetic, ferromagnetic, antiferromagneitc
and ferrimagnetic materials.
In this chapter, the basic parameters and classification of magnetic materials
are discussed in the first few sections. The different types, theories, properties and
applications of magnetic materials are discussed in following sections.
20.2 Engineering Physics

20.2 MAGnEtic PArAMEtErS

The magnetic property of materials depends on the degree of magnetisation.
The parameters such as magnetisation, magnetic susceptibility and magnetic
permeability are used to characterise the magnetic materials. Let us discuss
the important magnetic parameters which are used to characterise the magnetic
materials.
(i) Magnetic Dipole The magnetic dipoles, generally known as north and south
poles, commonly exist in magnetic materials. The magnetic dipoles are not separate
poles unlike an electric dipole.
(ii) Magnetic Field Strength The magnetic field strength H at any point in a
magnetic field is the force experienced by a unit north pole placed at that point. Its
unit is A m-1.
(iii) Magnetic induction or Flux Density The magnetic induction or flux density
B in any material is defined as the number of lines of force through a unit area of
cross-section perpendicularly.
Therefore,

f
Magnetic induction B = (20.1)
A

where A is the area of cross-section and f, the magnetic force. The unit for B is
Wb m-2.
(iv) Magnetic Dipole Moment Consider that m is the magnetic pole strength
and 2l, the length of magnet. The magnetic dipole moment is equal to the product
m × 2l.

Magnetic dipole moment mm = m × 2l (20.2)

The magnetic dipole moment is a vector quantity.

(v) Magnetisation or intensity of Magnetisation Magnetisation, or intensity of
magnetisation, is the measure of magnetism of magnetic materials and is defined as
the magnetic moment per unit volume.

Mm
M= (20.3)
V

where V is the volume. The unit for M is A m-1.

(vi) Magnetic Susceptibility Magnetic susceptibility (c) is used to explain the
magnetisation of materials. It is defined as the ratio of magnetisation to the magnetic
field strength.

M
Magnetic susceptibility c = (20.4)
H
 Magnetic Materials 20.3

(vii) Magnetic permeability The magnetic permeability m is defined as the ratio of

amount of magnetic density B to the applied magnetic field intensity H. It is used to
measure the magnetic lines of forces penetrating through a material.
B
m= (20.5)
H
Rearranging the above equation, we get,

Magnetisation B = m0 (M + H) (20.6)

where m0 is the permeability of free space and is equal to 4p ¥ 10-7 H m -1

Relation between Magnetic parameters

Relative permeability of a material is defined as the ratio of permeability of the
medium to free space,
m
i.e., Relative permeability mr = (20.7)
m0

Substituting the values of m = B/H, we get,

B
mr = (20.8)
m0 H

Substituting B value from Eq. (20.6) in the above equation, we get,

m0 ( M + H )
mr =
m0 H

M H
mr = + (20.9)
H H

Therefore, relative permeability mr = 1 + c (20.10)

It is clear that the magnetic parameters are analogous to dielectric parameters. The
comparisons of magnetic and dielectric parameters are given in Table 20.1.

20.3 Bohr MAGnEton

The magnetic moment of an atomic particle is represented by unit ampere metre2. The
magnetic moment of an atomic particle is very low, and it is usually represented by a
unit known as Bohr magneton. The value of one Bohr magneton is,

eh
1 Bohr magneton = (20.11)
4p m
20.4 Engineering Physics

Substituting the values of e, m and h, we get,

1.6 ¥10-19 ¥ 6.626 ¥10-34

1 Bohr magneton (b) =
4p ¥ 9.1¥10-31

1b = 9.27 ¥ 10-24 A m2 (20.12)

The magnetic moment of an electron is 1 Bohr magneton.

table 20.1 Comparison of magnetic and dielectric parameters

S. No. Dielectric parameters Magnetic parameters
1. Electric field Magnetic field
2. Electric displacement Magnetic induction
3. Electric dipole moment Magnetic dipole moment
4. Permittivity Permeability
5. Polarisation Magnetisation
6. Non-polar dielectric Diamagnetic
7. Polar dielectric Paramagnetic
8. Ferroelectric hysteresis Ferromagnetic hysteresis
9. Remanent polarization Remanent magnetisation
10. Coercive electric field Coercive magnetic field
11. Ferroelectric domain Magnetic domain
12. Ferroelectric Curie temperature Ferromagnetic Curie temperature
13. Converse piezoelectric effect Magnetostriction effect

20.4 clASSificAtion of MAGnEtic

MAtEriAlS
Magnetic materials are classified into two categories based on existence of dipole
moment and the response of the magnetic material to external magnetic fields.
(i) Diamagnetic materials—no permanent magnetic moment
(ii) Paramagnetic, ferromagnetic, antiferomagnetic and ferrimagnetic materials—
possess permanent magnetic moment.
Generally, diamagnetic and paramagnetic materials are known as non-magnetic materials,
due to poor response to an external magnetic field. Ferromagnetic, antiferomagnetic and
ferrimagnetic materials are known as magnetic materials. These materials are strongly
responsive to an external magnetic field. The different types of non-magnetic and
magnetic materials are discussed briefly in the following sections.

20.4.1 diamagnetic Materials

All materials exhibit diamagnetic property. In diamagnetic materials, magnetic dipoles
are oriented in such a way that the resultant dipole moment is zero. When an external
 Magnetic Materials 20.5

magnetic field is applied, the individual dipoles are rotated and hence, produce an
induced dipole moment. The induced dipole moment opposes the external magnetic
field. As a result, the magnetic fields are repelled from the materials. This effect is
known as diamagnetism. The existence of diamagnetism is represented by means of
simple representation as shown in Fig. 20.1. During the absence of an external magnetic
field, the magnetic moment of atoms is zero. On the other hand, when an external field
is applied, atoms acquire induced dipole moment and hence, move opposite to field
directions. This results in repulsion of magnetic lines of force.

H = 0 and M = 0 H = H0 and M = -M0

(a) Absence of field (b) Presence of field

Fig. 20.1 Diamagnetic properties

properties
The following are the properties of diamagnetic materials:
(i) They do not have a permanent dipole moment.
(ii) Magnetic effects are very weak and hence, often masked by other kind
of magnetism.
(iii) They repel the magnetic lines of force. The existence of this behaviour
in a diamagnetic material is shown in Fig. 20.2.

Bó0 B =0

Normal conductor Diamagnetic material

Fig. 20.2 Diamagnetic material—Magnetic field

(iv) The magnetisation becomes zero on removal of the external field.

(v) The susceptibility of a diamagnetic material is negative.
(vi) The susceptibility is independent of temperature and external field.
Examples for diamagnetic materials are copper, gold, mercury, silver and zinc.
20.6 Engineering Physics

20.4.2 Paramagnetic Materials

Paramagnetic materials possess a permanent magnetic moment. During the absence
of an external magnetic field, the dipoles are randomly oriented. This is due to
thermal agitation present in materials. Therefore, the net dipole moment and hence,
magnetisation of the material is zero. When an external magnetic field is applied, the
magnetic moments of individual atoms align themselves in the direction of the field
and hence, give non-zero magnetisation. The behaviour of a paramagnetic material
under the influence of an external field is shown in Fig. 20.3.

H = 0 and M = 0 H = H0 and M = +M0

(a) Absence of field (b) Presence of field
Fig. 20.3 Paramagnetic properties

properties
The following are the properties of paramagnetic materials:
(i) Paramagnetic materials possess a permanent dipole moment.
(ii) The magnetic dipoles are aligned randomly. The magnetic spin alignment
is shown in Fig. 20.4.

Fig. 20.4 Paramagnetic material—spin arrangement

(iii) They attract the magnetic lines of force.

(iv) The susceptibility is positive and depends on temperature:
C
χ= (20.13)
T
where C is the curie constant and T, the temperature. Equation (20.13) is
known as the Curie law of paramagnetism.
(v) Paramagnetic susceptibility is inversely proportional to temperature.
Examples of paramagnetic materials are aluminum, chromium, sodium, titanium,
zirconium, etc.
 Magnetic Materials 20.7

20.4.3 ferromagnetic Materials

Ferromagnetic material possess permanent magnetic moment which is mainly due to
the spin magnetic moment. The magnetic dipoles are aligned parallel to each other
due to interaction between any two dipoles. The ferromagnetic materials exhibit
spontaneous magnetisation, even in the absence of an external field. Due to the strong
internal field which exists in material, the alignment of magnetic moments results.
On the other hand, when a small magnetic field is applied, it produces a large value
of magnetisation due to the parallel alignment of dipoles.
In a ferromagnetic material, the influences of internal and external fields make them
different from other magnetic materials. The molecular field theory, or Weiss theory,
is used to explain the ferromagnetic properties of materials.
properties
The properties of ferromagnetic materials are as follows:
• The magnetic dipoles are arranged parallel to each other. The spin arrangement is
shown in Fig. 20.5.

Fig. 20.5 Ferromagnetic materials—spin arrangements

• They possess permanent dipole moment.

• They attract the magnetic lines of force strongly.
• They have characteristic temperature, namely, ferromagnetic Curie temperature
(qf). Materials below qf behave as ferromagnetic materials and obey hysteretic
curve. A material behaves as a paramagnetic when it is above qf.
• During the absence of a magnetic field, it exhibits magnetisation which is due to
the property of spontaneous magnetisation.
• The susceptibility of a ferromagnetic material is
C
c= (20.14)
T -q
where C is Curie constant and q, the paramagnetic Curie temperature.
Equation (20.14) is shown as Curie–Weiss law. This law holds good when the
temperature is greater than (T > q).
Examples for ferromagnetic materials are iron, cobalt and nickel.

20.4.4 Antiferromagnetic Materials

In ferromagnetic materials, we know that the magnetic dipoles are parallel to
each other. This is due to the existence of a strong interaction known as exchange
interaction between the spin magnetic moments. Similarly, in few materials, the
exchange interaction leads to antiparallel alignment of dipoles. The magnitudes of all
20.8 Engineering Physics

dipoles are equal and hence, resultant magnetic moment and magnetisation is zero.
The antiparallel alignment exists in material below a critical temperature known as
Neel temperature.
properties
The important properties of ferromagnetic materials are as follows:
• The dipoles are aligned anti-parallel as shown is Fig. 20.6.

Fig. 20.6 Antiferromagnetic materials—dipole arrangements

• When the temperature increases, susceptibility increases and reaches a maximum

at a temperature known as Neel temperature beyond which it decreases.
• The value of susceptibility is positive and is very small when T is greater than the
Neel temperature, TN.
C
c= (20.15)
T +q
• Anti-parallel alignment of dipole is due to exchange interactions.
Examples of antiferromagnetic materials are ferrous oxide, manganese oxide,
manganese sulphite, chromium oxide, etc.

20.4.5 ferrimagnetic Materials

Ferrimagnetic materials are a special case of antiferromagnetic materials. The
magnetic dipoles are antiparallel, similar to an antiferromagnetic material. However,
their magnitudes are not equal. This is due to the magnetic interactions existing
between dipoles. Therefore, ferrimagnetic materials possess net magnetic moments
due to the antiparallel dipoles with different magnitudes. Hence, they produce a large
magnatisation even for a small applied external field.

properties
The properties of ferromagnetic materials are as follows:
• The dipoles are antiparallel as shown in Fig. 20.7. However, the dipoles are not
equal in magnitude.
• Net magnetisation is larger even for a small external field.
• The susceptibility is positive and very large when the temperature is higher
than TN,
C
c= (20.16)
T ±q
• They behave as paramagnetic and ferromagnetic materials respectively above and
below Curie temperature.
• Ferrimagnetic domains are used as magnetic bubbles in memory elements.
 Magnetic Materials 20.9

Fig. 20.7 Ferimagnetic materials—dipole arrangements

20.5 oriGin of PErMAnEnt MAGnEtic

MoMEnt
The term permanent magnetic moment represents the presence of magnetic moment in
an atom of a magnetic material even in the absence of a magnetic field. The magnetic
moment arises in an element due to the presence of angular momentum. There are
three different types of angular momentum, namely,
(i) orbital angular momentum of an electron,
(ii) spin angular momentum of an electron, and
(iii) nuclear spin angular momentum.
Let us discuss the contribution of magnetic moment due to the above different types
of angular momenta.

20.5.1 orbital Angular Momentum of an Electron

The orbital angular momentum of an electron arises due to its orbital motion. The
relation between the magnetic moment and orbital angular momentum
e
mm = ma (20.17)
2m

where ma is the orbital angular momentum and is equal to

lh
ma = (20.18)
2p
According to quantum theory, quantum numbers such as n, l, ml and ms are used
to represent the state of an electron. The quantum number n is called the principal
quantum number. It represents the energy possessed by an electron. It takes integer
values such as 1, 2, 3… n. The quantum number  is known as orbital quantum number.
It takes values such as 0, 1, 2 …. (n-1). It represents the orbital motion of an electron.
The quantum number ml is known as magnetic orbital quantum number. It represents
the orientation of electronic orbits based on the externally applied magnetic field. It
takes discrete values ranging from – to + including zero.
The angular momentum of an electron due to its orbital motion is given byl ( h / 2p ).
The quantum numbers for an electron in K shell are n = l,  = 0, ml = 0 and ms = ± ½.
Substituting  = 0 in Eq. (20.18), we get the orbital angular momentum is zero. For
an electron in the L shell, the quantum numbers are n = 2,  = 0, 1, ml = 0, ±1, ms = 0,
±½. Substituting  = 1 in Eq. (20.18), we get the angular momentum of an electron as
( h / 2p ) . There are three possible directions (ml = 0, +1, -1) for the orbital motion of
an electron with  = 1. These three values for ml contribute three different values of
20.10 Engineering Physics

h h
the angular momentum of an electron. They are , 0, - . The magnetic moment
2p 2p
contributed by electrons with l = 1 is written from Eq. (20.18) as,
e h eh
mm = , 0, - (20.19)
2m 2p 4p m
For an element having completely filled shells, the total orbital magnetic moment is
zero because the sum of the magnetic moment is zero. Therefore, if there is an unfilled
electronic state in an atom for an element, then the total orbital magnetic moment is
not equal to zero. Therefore, materials with unfilled electronic states are important
for physicists and electrical engineers. The elements with atomic numbers 21 through
28 (the iron group), 39 through 45, 58 through 71 (the rare earths) and 89 through 92
have unfilled electronic states. For an electrical engineer, the iron group elements with
atomic numbers 21 through 28 are the most important. The above information shows
that elements with unfilled electronic states have permanent dipole moments.

20.5.2 Spin Angular Momentum of an Electron

The electrons possess angular momentum due to their spinning motion. The magnetic
spin quantum number ms gives the direction of spin vectors of an electron. There
are two possible directions for spin vectors, namely, upward and downward spins.
Therefore, the quantum number ms takes only two values, namely, ±1/2.
The relation between magnetic moment and spin angular momentum is,
e (20.20)
mm = - ms
m
where ms is the angular momentum contributed by the spinning motion of an electron.
1 h 1 h
The possible values of ms = ,- .
2 2p 2 2p
Therefore, from Eq. (20.20), the magnetic moment contributed by the spinning
motion is,
eh eh
mm = - ,+
4p m 4p m

= - 1 b or 1 b (20.21)

For elements having completely filled electronic states, the magnetic moment
contributed by the spin motion is zero. It confirms that a material with unfilled electronic
states possesses permanent dipole moment due to spin motion.

20.5.3 nuclear Magnetic Moment

The magnetic moment of a nucleus is known as nuclear magneton and it is given
as,
eh
mm = (20.22)
4p M N
 Magnetic Materials 20.11

where MN is the mass of the nucleon. The mass of the nucleon is MN = 1.66 ¥ 10-27 kg.
This mass is nearly 1824 times greater than that of an electron and hence, the nuclear
magneton is nearly 10-3 times smaller than the electron magnetic moment. Therefore,
this value is negligible compared to the magnetic moment of an electron.

20.6 diamagnetism
Diamagnetic materials possess a weak induced magnetic field when an external
magnetic field is applied. The induced magnetic field is produced due to electromagnetic
induction. Lenz’s law states that the magnetisation (M) will oppose the applied
magnetic field (H). The susceptibility of a diamagnetic material is very small and
negative. It is usually less than 10-5. Diamagnetism is very weak and it is present in
most materials. Examples of diamagnetics are copper, gold and germanium. Let us
discuss the theory about diamagnetic materials in this section.

20.6.1 langevin’ s theory of diamagnetism

The permanent magnetic moment arises if there is any unfilled electronic state in the
atoms of an element. When all states are completely filled, then there is no permanent
dipole moment. Inert gases such as He, Ne and Ar have completely filled electronic
states. However, they possess a small value of induced magnetic moment, when there
is an applied magnetic field. This property is known as diamagnetic property. This
small value of induced magnetic moment is produced in all elements. Therefore, all
elements possess diamagnetic property. The diamagnetic property arises due to Lenz’s
law operating in atomic scale.

Fig. 20.8 Atomic view—electron revolving around the nucleus

In order to derive an expression for susceptibility of a diamagnetic material,
consider an electron revolving around a nucleus. It acts like a current loop. The
current produced by the revolving electron is proportional to ef, where e is the charge
of an electron and f, its frequency. Let w be the angular frequency of an electron, then
w = 2p f. Therefore, the current produced by the revolving electron is,
ew
I= - (20.23)
2p
The magnetic moment induced by the revolving electron is, mm = IA, where A is
the area of cross-section. Substituting, the value of I and A (ª pr2), we get,
1 ew 2 1
mm = - p r = - ew r 2 (20.24)
2 p 2
20.12 Engineering Physics

The electron revolving around a nucleus looks like a current carrying coil of wire.
Hence, it induces a magnetic field. Consider that the magnetic field is increased from
zero to B. According to Lenz’s law, the magnetic field associated with this current
opposes the increase in flux. Hence, Lenz,s law is given as,
df
Ú E .dl = - (20.25)
dt
For an electron revolving in a circular orbit, dl = 2 πr and hence,

1 df
E= - (20.26)
2p r dt

Therefore, the magnetic flux density,

f
B= (20.27)
pr2
Substituting the value of df from Eq. (20.27) in Eq. (20.26), we get,
r dB
E= - (20.28)
2 dt
The force experienced by an electron due to this electric field is F = -eE
er dB
i.e., F= (20.29)
2 dt
The force can be written as the rate of change of momentum,
dp d d
i.e., F= = (mv) = (mrw )
dt dt dt
where v is linear velocity.
dw
or F = mr (20.30)
dt
Comparing Eq. (20.29) and Eq. (20.30), we get,
er dB dw
= mr
2 dt dt
e
or dw = dB (20.31)
2m
Integrating the above equation with limitation w 0 and w , we get,
w e
Ú dw = Ú dB
w0 2m

or e
w - w0 = B
2m
 Magnetic Materials 20.13

e
i.e., w = w0 + B (20.32)
2m
where w0 is the angular frequency of an electron when B = 0. When the field is applied,
the angular velocity is given by,
e
w = w0 + B = wo + wL (20.33)
2m
where wL is called Larmor angular frequency and is equal to eB/2m. Equation (20.33)
shows that the application of a magnetic field changes the angular frequency and hence,
the magnetic moment. Substituting w from Eq. (20.33) in Eq. (20.24), the magnetic
moment can be written as,
1
m m = er 2 (w 0 + w L )
2

1 e2 r 2
= - er 2w 0 - B (20.34)
2 4m
where the term, (-1 / 2)er 2w 0 is the magnetic moment of an electron before the
e2 r 2
application of the field, and the second term, - B represents the induced magnetic
4m
moment produced due to the application of field. The negative sign shows that the
magnetic moment opposes the applied field.
The induced magnetic moment from Eq. (20.34) can be written as,
e2 r 2
mm (ind) = - B (20.35)
4m
Substituting, B = mH, and for an element with N number of dipoles, Eq. (20.35) can
be written as,

Ne 2 r 2
N mm (ind) = - mH (20.36)
4m
The term, N mm(ind) gives the magnetisation induced and hence, Eq. (20.36) can be
written as,
M Ne 2 r 2
c= =- m
H 4m
We know that, m = m 0 m r , hence the above equation can be written as,

Ne 2 m 0 m r r 2
c =- (20.37)
4m
Equation (20.37) represents the susceptibility of a diamagnetic material. This equation
is derived based on the assumption that an electron is revolving around a circular path.
Generally, in atoms all orbits are not circular. Therefore, for a spherical symmetrical

atom, let rx, ry and rz be the average radii of all electronic orbits, then r02 = rx2 + ry2 + rz2
20.14 Engineering Physics

r02
and rx2 = ry2 = rz2 = due to spherical symmetry. Let r be the radius of an atom. The
3
average radius of an atom can be written as,
2
r 2 = rx2 + ry2 = r02 (20.38)
3
Substituting the value of r 2 from Eq. (20.38) in Eq. (20.37), we get,
Ne 2 m 0 m r r 2o (20.39)
c= -
6m
The diamagnetic susceptibility of most materials vary from 10-5 to 10-6 and
the experimental observations of diamagnetic susceptibility show that it is true.
Substituting, N = 5 ¥ 1028 atoms m-3, e = 1.6 ¥ 10-19 C, m = 9.1 ¥ 10-31kg, r = 1Å
and mr = 1, we get,
2

c= -
(
-5 ¥1028 ¥ 1.6 ¥ 10-19 ) ¥ (4p ¥ 10-7 )(10-10 ) 2
6 ¥ 9.1¥10-31

c = -2.946 ¥ 10-6 (20.40)

In the above calculation, mr is taken as unity. The susceptibility is related to the

dielectric constant as,

c m = m r -1 (20.41)

The value of cm varies from 10-5 to 10-6 and hence mr ª 1. The experimental
value of c for Cu is -9 ¥ 10-6. From Eq. (20.41), one can infer that the diamagnetic
susceptibility is independent of temperature.

20.7 PArAMAGnEtiSM
We have known that in paramagnetic materials, permanent dipole moment exists
even in absence of an external magnetic field. The dipoles try to align themselves on
application of an external magnetic field. However, the thermal agitation present in
the material disturbs the alignment of dipoles. Therefore, the resultant magnetisation
is based on the intensity of applied magnetic field and thermal energy responsible for
agitation. The classical theory of Langevin is used to explain the above mechanism,
and it gives the necessary expression for susceptibility of paramagnetic materials.
The principle behind paramagnetism is explained by the Langevin theory of
paramagnetism.

20.7.1 langevin theory of Paramagnetism

Consider that a paramagnetic material consists of total n number of permanent
magnetic dipoles which are oriented randomly. When an external magnetic field
of strength H is applied, the dipoles caused to align themselves in the direction of
the field.
 Magnetic Materials 20.15

Under equilibrium conditions, the dipoles are inclined at an angle q as shown in

Fig. 20.9. The angle of inclination is proportional to the field.

i.e., n a exp [-E/kT]

n = co exp [-E/kT] (20.42)

where E is the energy of magnetic dipole, k the Boltzmann’s constant, T the temperature
and co, a constant. The dipoles experience torque due to applied external field. The
torque which is acting on the dipole is
Torque = m H ¥ QR (20.43)

Dipole
Q
m
m

q m m sin q
H

P R
mm cos q

Fig. 20.9 Alignment of dipole in a magnetic field

From the Fig. 20.9, QR = 2l sinq

Therefore, Torque = m H 2l sinq

= -mm H sinq (20.44)

where mm is the magnetic dipole moment.

Therefore, energy acquired by the dipole due the torque is
q
E = Ú t dq (20.45)
p /2

Substituting the torque value, we get,

q
E = - Ú m m H sin q d q
p /2

Integrating the above equation, we get,

p /2
E = -m m H cos q q

= m m H cos q (20.46)

Substituting E from Eq. (20.46), in Eq. (20.42), we get,

È m H cos q ˘
n = co exp Í m ˙ (20.47)
Î kT ˚
20.16 Engineering Physics

Differentiating the above equation w.r.t. q we get,

È m H cos q ˘ È m m H ˘
dn = - c0 exp Í m ˙ Í kT ˙ sin q d q
Î kT ˚Î ˚

Rearranging the above equation, we get,

È m m H sin q cos q d q ˘ È m m H ˘
dn = -c0 exp Í ˙ Í kT ˙
Î kT ˚ Î ˚
or
È mm H ˘ È m m H sin q cos q d q ˘
dn = c0 Í ˙ exp Í ˙
Î kT ˚ Î kT ˚
or
È m m H sin q cos q d q ˘
dn = C exp Í ˙ (20.48)
Î kT ˚

Ê -co m m H ˆ
C = ÁË
kT ˜¯
where,

The total dipole moment is obtained by integrating the magnetic dipole moment with
limitation 0 and p.
Therefore, the average magnetic dipole moment is equal to

Totaldipole moment
  mav = (20.49)
Number of dipoles
Substituting the value, we get,
p
Ú m m dn
0
  mm = p (20.50)
Ú dn
0

From Fig. (20.9), mm cos q and mm sin q are respectively horizontal and vertical
components of the magnetic dipole moment. Therefore, the average magnetic dipole
moment is
p
Ú m m cos q dn
m av = 0
p (20.51)
Ú dn
0

Substituting the value of dn from Eq. (20.48) in the above equation, we get,
p
È m m H cos q ˘
Ú C m m cos q exp Í ˙ sin q d q
m av =
0 Î kT ˚
p
È m m H cos q ˘ (20.52)
Ú C exp Í ˙ sinq d q
0 Î kT ˚
 Magnetic Materials 20.17

mm H
Substituting a = , x = cos q and dx = - sin q dq in the above equation and
kT
rearranging the common terms, we get,

-1
Ê xˆ
( )
-1
m m Ú xea x dx m m Ú Á ˜ d ea x
1 Ëa¯
m av = -1
1
= -1
Ê 1ˆ
1
ax
Ú e dx ÚÁ ˜d e
1 Ëa¯
( )
ax

m m -1 -1
Ú xd e
ax
( )
m m [ ( xea x )1-1 + Ú ea x dx]
= a -11 = 1

(ea x )1-1
1
a 1
Úd e
ax
( )

È e -a + e +a 1 ˘ È 1˘
= mm Í a -a
- ˙ = m m Ícot h a - ˙ (20.53)
Î e -e a˚ Î a˚

Ê 1ˆ
where L(a) is known as the Langevin function and is equal to Á cot ha - ˜ . When all
Ë a¯
N dipoles are aligned in the field direction, then it turns magnetisation M as saturation
magnetisation Ms.

Therefore, M = Ms L(a) (20.54)

M Ê 1ˆ
or = Á cot h a - ˜ (20.55)
Ms Ë a¯

M
or = L (a ) (20.56)
Ms

Langevin functions L (a) is shown graphically in Fig. 20.10. The curve is known
as Langevin curve. At high magnetic field and low temperature, the value of L(a)
approaches unity due to a larger value of a. The same is evident from Fig. 20.10. This
means that all dipoles are oriented along the field direction. Thus, the magnetisation
M approaches saturation magnetisation Ms (= N mm). However, in gases, the complete
parallel alignment of dipoles is never reached.
Therefore, at high temperatures and moderate value of H, the value of a is small.
We know that,
2
cot h a = 1 + a + a + ...... (20.57)
a 3 45
20.18 Engineering Physics

Fig. 20.10 A plot of normalized magnetisation versus

For high temperature and for small value of a, Eq. (20.57) can be written as,
1 a
cot h a = + (20.58)
a 3
Substituting the above value in Eq. (20.55), we get,
1 a
L(a) = cot h a - = (20.59)
a 3

M a
Therefore, =
Ms 3

ÊMˆ
or ÁË M ˜¯ 1 (20.60)
=
s

a 3
a
M = Ms
3
Equation (20.60) shows that the slope of Langevin curve is equal to (1/3), when a
is small. This means that at the initial part, the curve is linear and coincides with the
tangent to the curve at the origin.
We know that paramagnetic susceptibility
M
  cp = (20.61)
H

Substituting the value of M, we get,

M sa
cp = (20.62)
3H
 Magnetic Materials 20.19

Substituting the value of a and Ms in the above equation, we get,

Ê N mm ˆ Ê mm H ˆ
  cp = Á
Ë 3H ˜¯ ÁË kT ˜¯

N mm2
=
3 kT

N mm2 1
=
3k T

C
Therefore, cp = (20.63)
T

where C is the known as Curie constant and is equal to Nmm2 /3k. The above results
support the Curie experimental results on materials like Nd, CuSO4.K2SO4.6H2O
and O2.
Drawbacks of Langevin’s Theory
The following are the drawback of Langevin's theory:
• It fails to explain the relationship between para and ferromagnetism.
• It fails to explain the deviation exhibited in many substances like compounds and
cooled gas, solid salts and crystals.

20.7.2 Weiss theory of Paramagnetism

Langevin’s theory failed to explain the complicated temperature dependence of
susceptibility of paramagnetic materials. In order to explain the same, the internal or
molecular field concept of Weiss theory is used. According to this theory, in a real gas
the internal or molecular field seen by a gaseous dipole is equal to the sum of applied
field and the field due to the contribution from neighbouring gaseous dipoles. The
resultant magnetic field (Hi) is

Hi = Ha + gM (20.64)

where Ha is the applied field; g, the internal field constant and M, the intensity of
magnetisation.
From Langevin’s theory, the magnetisation experienced by a paramagnetic material
is obtained from susceptibility value,
N mm2
  cp=
3 kT
or
M N mm2
=
H 3k
20.20 Engineering Physics

Therefore, the magnetisation

N m m2 m o H i (20.65)
M=
3kT
Substituting the value of Hi from Eq. (20.64) in Eq. (20.65), we get,

N m m2 m o
M= (H a + g M )
3kT
or
N m m2 m o N m m2 m o
M= Ha + gM (20.66)
3kT 3kT
Rearranging Eq. (20.66), we get,
N m m2 m o
Ha
M= 3kT (20.67)
N m m2 m og
(1 - )
3kT

N m m2 m og N m m2 m o
Substituting, = q and C = in Eq. (20.67), we get,
3k 3k
M
c= (20.68)
Ha

c = C
(20.69)
(T - q )

where C is known as Curie constant and q, the paramagnetic Curie point.

Equation (20.69) is known as Curie–Weiss law. This equation shows that the
susceptibility is negative below Curie temperature (when T < q). However, in most of
paramagnetic materials, the Curie temperature is very low and hence, the occurrence
of a situation such as T < q is rare.

20.7.3 theory of Paramagnetism—A two-level Quantum

Mechanical Model
Consider a paramagnetic material consisting of N number of dipoles. Let Na and Np
be respectively the number of dipoles aligned in antiparallel and parallel, when a
magnetic field is applied.
In order to simplify the mathematical calculations, consider there are two dipoles
in a system, one with spin up and another with spin down as shown in Fig. 20.11.
Let B be the applied magnetic flux density. The energy acquired by the dipole that is
aligned parallel to the field due to the application of the field is,

Ep = -mm B = - m0 mm H (20.70)
 Magnetic Materials 20.21

Fig. 20.11 Two-level quantum mechanical models—Paramagnetic spin system

The energy of the antiparallel dipole is equal to Ea = mmB = m0mmH. The concentration
of dipoles N, Na and Np are given by Maxwell–Boltzmann distribution function as,

È -E ˘
N = N 0 exp Í ˙,
Î kT ˚

È -E ˘
N a = N 0 exp Í a ˙ and
Î kT ˚

È -Ep ˘
N p = N 0 exp Í ˙ (20.71)
Î kT ˚
The number of dipoles present in the system is

N = Na + Np (20.72)

Substituting the values of Na and Np from Eq. (20.71) in Eq. (20.72), we get,

È Ê -E ˆ Ê -Ep ˆ ˘
N = N 0 Íexp Á a ˜ + exp Á ˙ (20.73)
ÍÎ Ë kT ¯ Ë kT ˜¯ ˙˚
From Eq.(20.71), Eq. (20.72) and Eq. (20.73), we get
Ê -Ep ˆ
exp Á
Np Ë kT ˜¯ (20.74)
=
N Ê -Ep ˆ Ê -E ˆ
exp Á ˜ + exp Á a ˜
Ë kT ¯ Ë kT ¯

Ê -E ˆ
exp Á a ˜
Na Ë kT ¯
and = (20.75)
N Ê -Ep ˆ Ê -E ˆ
exp Á + exp Á a ˜
Ë kT ˜¯ Ë kT ¯
20.22 Engineering Physics

Substituting the value of Ep and Ea in Eq. (20.74) and Eq. (20.75), we get,
Ê m Bˆ
N exp Á m ˜
Ë kT ¯
Np = (20.76)
Ê m Bˆ Ê -m B ˆ
exp Á m ˜ + exp Á m ˜
Ë kT ¯ Ë kT ¯

Ê -m B ˆ
N exp Á m ˜
Ë kT ¯
Na =
and Ê m Bˆ Ê -m B ˆ (20.77)
exp Á m ˜ + exp Á m ˜
Ë kT ¯ Ë kT ¯
The total dipole moment per unit volume is,

M = (Np - Na) mm (20.78)

Substituting the values of Na and Np from Eq. (20.76) and (20.77) in Eq. (20.78),
we get,
È Ê mm B ˆ Ê - mm B ˆ ˘
Í exp ÁË kT ˜¯ - exp ÁË kT ˜¯ ˙
M = N mm Í ˙ (20.79)
Í Ê mm B ˆ Ê - mm B ˆ ˙
Í exp ÁË kT ˜¯ + exp ÁË kT ˜¯ ˙
Î ˚
mm B
Taking a = , Eq. (20.79) can be written as,
kT
Ê ea - e -a ˆ
M = N mm Á a -a ˜ = N mm tan ha
Ë e +e ¯

Ê m Bˆ
or M = N mm tan h Á m ˜ (20.80)
Ë kT ¯
For smaller value of a, tan ha = a. Therefore, for low value of magnetic field or
for high value of temperature, Eq. (20.80) can be reduced to

Ê N m m2 B ˆ N m0 m m2 H
M= Á = (20.81)
Ë kT ˜¯ kT
where mm is the permanent magnetic moment produced by a dipole and it is in the order
of 1 Bohr magneton. Therefore, replacing mm by b, Eq. (20.81) can be written as,

N m 0 b 2 H CH
M= =
kT T

M C
i.e., c= = (20.82)
H T
Ê N mo b 2 ˆ
where C Á = is the Curie constant and c the susceptibility of material.
Ë k ˜¯
 Magnetic Materials 20.23

Equation (20.82) gives the susceptibility of a paramagnetic material. Equation (20.82)

is obtained from a two-level quantum mechanical model and differs by a factor of 3
from Equation (20.63) obtained by classical theory.

20.7.4 determination of Paramagnetic Susceptibility

of a Solid
The susceptibility of a paramagnetic material is determined based on the principle of
force acting on it when subjected to a magnetic field. Let mm be the magnetic moment
and B the applied field. Then the relation for the force acting on a paramagnetic
material is,

(
F = m m .— B ) (20.83)

The x component of the force is,

∂B
F = mm (20.84)
∂x
The magnetisation produced in a magnetic material,
M=cH (20.85)
where H is the magnetic field strength and c, the susceptibility of material. Let the
volume of material is V, then the magnetisation is,

mm
M= (20.86)
V
Substituting the values of M from Eq. (20.85) in the above equation, we get,
mm
=c.H
V
or
mm = c H V (20.87)

Using the relation, B = moH and Eq. (20.87), Eq. (20.84) can be written as,

∂H
F = c Hm0 V (20.88)
∂x

∂ ∂H
Using the equation,
∂x
( )
H 2 = 2H
∂x
(20.89)

Equation (20.88) can be written as,

∂
F = ½ c Vm0
∂x
( )
H2 (20.90)
20.24 Engineering Physics

Let c2 and c1 be the respective susceptibility of a material and surrounding medium

(usually air) in which the measurement takes place. Therefore, Eq. (20.90) can be
written as,
1 ∂
F=
2
( c 2 - c1 )V m 0
∂x
( )
H2 (20.91)

Equation (20.91) gives the force acquired by a paramagnetic material due to the
application of field.
(i) Gouy’s Method Gouy’s method is one of the simple methods used to find the
susceptibility of a paramagnetic material. The material under test is taken in the form
of a powder or rod. The material in the powder form is taken in a glass tube or in a
quartz tube of length equal to 10 to 15 cm. The sample is suspended in such a way that
one of its ends lies in between the pole pieces of an electromagnet at the midpoint.
The other end is kept away from the field and hence, the magnetic field acting at the
other end is negligible or small. The schematic representation of the apparatus used
for Guoy’s method is shown in Fig. 20.12.
Arm or a microbalance
D

dx
x

N S

Fig. 20.12 Gouy’s method—susceptibility of a paramagnetic solid

Let a be the area of cross-section of the sample and dx be a small portion in the
sample. Then, the volume of sample is adx. The susceptibility of the material is
measured by applying the magnetic field by an electromagnet. The force acting on
the paramagnetic material is,
1 ∂
F=
2
( c 2 - c1 ) V m 0
∂x
( )
H2 (20.92)

Substituting the value of V, we get,

1 ∂
F=
2
( c 2 - c1 ) adx m 0
∂x
( )
H2

or F = ( c 2 - c1 ) a m 0 HdH (20.93)
The total force acting on material is determined by integrating the above equation,
H
i.e., F = ( c 2 - c1 ) a m 0 Ú0 HdH (20.94)
 Magnetic Materials 20.25

The above equation is integrated from 0 to H, since the field is maximum (H) at one
end and it is minimum (H = 0) at the other end of sample under test.
The total force acting on the sample is

1
F= ( c 2 - c1 ) a m 0 H 2 (20.95)
2
The force acting on the sample is determined by measuring the mass of sample
before and after the field is switched on. Let m1 and m2 respectively be the mass of
sample before and after the field is applied. Then, the downward force acting on
material is

F = m 2g – m 1g (20.96)

The susceptibility of the material is determined using the relation,

1
(m2 – m1) g = ( c 2 - c1 ) a m 0 H 2 (20.97)
2
The magnetic field H is measured using a search coil, and this experiment is also
used to find the susceptibility of material at different temperatures.
(ii) Quincke’s Method The susceptibility of a liquid paramagnetic material is
determined using Quincke’s method. The Quincke’s method uses a U-tube as shown
in Fig. 20.13. One end of the tube consists of a wide limb, while at the other end, the
limb is narrow. The narrow limb portion of the tube is kept in between pole pieces
of an electromagnet. The given paramagnetic liquid is taken up to the middle of the
electromagnet. This method is based on the principle of the rise in the level of a
paramagnetic liquid when it is subjected to a magnetic field.

N S

Fig. 20.13 Quincke’s method—paramagnetic susceptibility

Consider that a magnetic field is applied by energising the electromagnet. The

force acting on the liquid is
1 ∂H 2
F= ( c 2 - c1 ) V m 0 (20.98)
2 ∂x
20.26 Engineering Physics

Let a be the area of cross-section of the bore and dx, the length of liquid. Then the
volume of liquid is V = a dx.
Substituting the value of V, we get,
1 ∂H 2
F=
2
( c 2 - c1 ) a dx m 0
∂x
(20.99)

The total vertical force acting on the paramagnetic liquid is

H ∂
F=
1
2
( c 2 - c1 ) m 0 a Ú0
∂x
( )
H 2 dx

1
or =
2
( c 2 - c1 ) m0 aH m2 (20.100)

Let r and s be the density of liquid and air respectively; and h, the rise in the level of
liquid. The hydrostatic pressure acting on the liquid, when the level of liquid rises is
(r - s) h g. The corresponding force acting on the liquid is,

F = (r - s) h g a (20.101)

where a is the area of cross-section.

Equating Eq. (20.100) and Eq. (20.101), we get,

1
2
( c 2 - c1 ) m0 aH m2 = (r - s) h g a

or 1
2
( c 2 - c1 ) m0 H m2 = (r - s) h g (20.102)

The rise in the level of liquid h is measured using a traveling microscope.

The diameter of the narrow limb should not be large, since the variation in the
level of liquid is not appreciable. When the diameter of the limb is very low, there
are some changes in the surface tension of the liquid. Therefore, the diameter of the
limb should be of an optimum size.

20.8 fErroMAGnEtic MAtEriAlS

Materials like Fe, Co, Ni and certain alloys exhibit a high degree of magnetisation.
When the magnetic field is absent, these materials exhibit finite value of magnetisation
known as ferromagnetism. These materials are known as ferromagnetic materials.
Ferromagnetic materials exhibit two different properties as a function of temperature.
Above a particular temperature known as ferromagnetic Curie temperature (qf), they
behave as paramagnetic materials. Below the ferromagnetic Curie temperature, the
materials behave as ferromagnetic materials and show the hysteresis curve. Thus,
ferromagnetic materials posses different properties above and below the ferromagnetic
Curie temperature qf.
 Magnetic Materials 20.27

Case i (T > qf )
When the temperature is greater than qf , a ferromagnetic material behaves as a
paramagnetic material. The material shows similar property as that of paramagnetic
materials and an unique relationship between magnetisation and applied field. In this
region, susceptibility depends on the Curie–Weiss law,
c
c= (for T>> qf ) (20.103)
T -q f
where C is the Curie constant and qf the paramagnetic Curie temperature. The validity
of the above equation is analysed by drawing a plot between (1/c) and T as shown
in Fig. 20.14.

Fig. 20.14 Reciprocal of susceptibility as a function

of temperature—ferromagnetic material

The linear portion of the curve is identified and extrapolated to determine the
paramagnetic Curie temperature, q. The intercept made on the x-axis gives the value
of q. Generally, the paramagnetic Curie temperature q is greater than the ferromagnetic
Curie temperature qf. The ferromagnetic and paramagnetic Curie temperatures of a
few ferromagnetic materials are shown in Table 20.2 for comparison.

table 20.2 Ferromagnetic and paramagnetic Curie temperatures of few ferromagnetic

materials

q qf
S. No. Material
K K

1 Fe 1093 1043

2 Co 1428 1393

3 Ni 650 631

Case ii (T < qf )
When the temperature is less than qf , materials behaves as ferromagnetic materials
and show the well-known hystersis curve. The hystersis curve drawn between B and
H, and M and H is shown respectively in Fig. 20.15 a and b.
20.28 Engineering Physics

(a) Magnetic flux density as a function of applied field

(b) Magnetisation as a function of applied field

Fig. 20.15 Hysteresis curve—ferromagnetic materials

The magnetic flux density B increases with increase in applied field and it reaches
saturation at a level known as Bsat beyond which it remains constant even for a further
increase in applied field. On the other hand, when the field is decreased, the magnetic
flux density decreases through a new path ab instead of oa as shown in Fig. 20.15a.
When the field reaches zero value, the magnetic flux exists in the material and is
known as remanent flux density Br.
When a negative field is applied, the magnetic flux density decreases and it reaches
zero value at a field strength of –HC by taking the path bc. The field required to bring
the magnetic flux density to zero value, i.e., -HC is known as coercive field. When
the field is increased in the negative direction, it results in magnetic flux saturation
(-Bsat), by taking the path cd, beyond which the flux density remains constant for a
further increase in field. When the field is increased in the positive direction, the flux
density takes the path de and ef, and finally reaches the point a.
The path turned by the B-H curve forms a loop known as hysteresis loop as the
shown in Fig. 20.15a. A similar curve is obtained by taking the magnetisation M and
the applied field H as shown in Fig. 20.15b. This curve is known as M-H curve. From
Fig. 20.15b, at zero magnetic field (H = 0), the magnetisation exists in materials known
as remanent magnetisation (Mr). The field required to bring Mr to zero value is known as
 Magnetic Materials 20.29

coercive field or coercivity. The existence of remanent magnetisation at H = 0, is known

as spontaneous magnetisation. The saturation flux density, magnetisation and Bohr
magnetisation per atom of few ferromagnetic materials are given in Table 20.3.

table 20.3  Saturation values of flux density and magnetisation of ferromagnetic materials

Bohr magneton Bsat = m0 Msat msat
S. No. Materials
per atom T ¥ 10-6 A m-1
1 Fe 2.22 2.2 1.75

2 Co 1.72 1.82 1.45

3 Ni 0.60 0.64 0.50

20.8.1 Weiss theory of ferromagnetism

In order to explain the ferromagnetic properties, Weiss proposed two postulates,
namely, internal field and domain concept. Based on the Weiss theory, internal field
is the field exerted between two interacting atoms in ferromagnetic materials.
Therefore, internal field or molecular field produced in a material is,
Hi = g M (20.104)

where g is the internal field constant or Weiss molecular field constant and M, the
magnetisation.
The internal-field concept is used to explain most of the properties such as
spontaneous magnetisation, Curie law and behaviours of ferromagnetic materials.
However, the internal-field concept fails to explain the following points:
a. Based on Weiss theory, the Curie temperature for ferromagnetic and paramagnetic
states is same. However, the experimental values show that ferromagnetic and
paramagnetic Curie temperatures, i.e., qf and q are different.

b. The classical theory fails to explain the magnetic interaction and interaction
energy in a ferromagnetic material. The values of the internal-field constant g and
interaction energy (kT) obtained based on classical theory is about 1000 times less
than the actual value. Therefore, the concept of wave nature based on quantum
theory has been introduced. Hence, the magnetic interaction and interaction energy
are explained in terms of exchange force in wave mechanics.
According to Weiss, the internal field expressed by dipoles is the sum of applied field
and the field experienced by the contribution from neighbouring dipoles.
Hef = H + g M (20.105)
where Hef is the effective field seen by a dipole; H the applied field; g the internal
field constant and M, the magnetisation.
Case (i): High temperature (T > qf ) A ferromagnetic material behaves as a
paramagnetic material when the temperature is greater than the Curie temperature.
20.30 Engineering Physics

In order to explain this property, consider the equation for magnetisation as given in
Eq. (20.80),
Èm m H ˘
M = N mm tan h Í 0 m ˙
Î kT ˚
where mm represents the permanent magnetic moment of a dipole. Taking mm = 1 b
(one Bohr magneton), the above equation can be written as,

Èm bH ˘
M = N b tan h Í 0 ˙ (20.106)
Î kT ˚
Replacing H by H + γM in Eq. (20.106), we get,

È m b (H + g M ) ˘
M = N b tan h Í 0 ˙ (20.107)
Î kT ˚
when T is very high, the value within the square bracket in Eq. (20.107) will become
small. For smaller value of x, tan hx is ≈ x. Therefore, Eq. (20.107) can be written as,

È N b 2 m0 ( H + g M ) ˘
M= Í ˙ (20.108)
Î kT ˚
Rearranging Eq. (20.108), we get,

N b 2 m 0g M N b 2 m 0 H
M- = (20.109)
kT kT
The value of susceptibility can be written as,

M ( N b 2 m o ) / kT
c= =
H Ê N b 2 m og ˆ
ÁË1 - kT ˜¯

C
or c=
T -g C

C
c = (20.110)
T -q

N b 2 mo
where C = and q = γC.
k
Equation (20.110) gives the susceptibility of a ferromagnetic material, when
the temperature is very high. Equation (20.110) is similar to the susceptibility of a
paramagnetic material. This shows that ferromagnetic materials behave as paramagnetic
materials above a certain temperature known as Curie temperature. The internal field
constant for a ferromagnetic material is equal to 103. The internal field is due to the
wave nature of electrons. According to wave mechanics, the above fields are known
as exchange force.
 Magnetic Materials 20.31

Case (ii): Ferromagnetic Curie Temperature According to the Curie–Weiss law, the
susceptibility becomes infinite, when T = qf. This shows that the existence of a non-
vanishing value of M, even though H = 0. The existence of magnetisation even in the
absence of a magnetic field is known as spontaneous magnetisation. The spontaneous
magnetisation is obtained by substituting, H = 0 in Eq. (20.107).
m 0g b M
Therefore, M = N b tan h (20.111)
kT
m 0g b M
Let x= (20.112)
kT
Substituting the value of x in the above equation, we get,
M = N b tan h x (20.113)
where Nb represents the total magnetisation produced by all dipoles and it is known
as saturation magnetisation, Ms. Therefore, Eq. (20.113) can be written as,
M M
= = tan hx (20.114)
Nb Ms
From Eq. (20.112), we get,
kT
M= x (20.115)
m 0g b
Substituting the value of M from Eq.(20.115) in Eq. (20.114), we get,
M kT
= x (20.116)
M s N m og b 2

where, Ms= Nb
M T
Therefore, = x (20.117)
Ms q
N b 2 mog
where q=gC= .
k
A graphical solution for Eq. (20.117) is obtained by drawing tan hx curve between,
M / M s and x as shown in Fig. 20.6. From Eqs.(20.114) and Eq.(20.117), we infer that
the value of M / M s should satisfy these two equations.

Fig. 20.16 M / M s as a function of x

20.32 Engineering Physics

Using Eq. (20.117), three straight lines are drawn in Fig. 20.16, by taking T > 0,
T = 0 and T < 0. Figure 20.16 shows that the line drawn for T = q is tangential to the
tan hx curve. Similarly, the line drawn for T > q, has no solution since it does not
intersect the tan hx curve while the line drawn for T < q intersects the tan hx curve. The
value M/Ms should satisfy Eq. (20.114) and Eq. (20.117). The point of intersection of
tan hx curve with the T < q line gives the value of x. The value of x are obtained by
drawing straight lines using Eq. (20.117), for T < q. Then another curve as shown in
Fig. 20.17 is drawn between M / M s and T / q .

1.0

0.8
(M/Ms)

0.6
0.4

0.2

0.2 0.4 0.6 0.8 1.0

T/q

Fig. 20.17 M / M s as a function of T / q

This curve shows that the magnetisation is nearly equal to the saturation magnetisation
when T >> q and the magnetisation vanishes when T < q. The experimental values
obtained for Fe, Co and Ni are found to obey Eq. (20.114) and Eq. (20.117). Similarly,
the curves obtained for these three elements are similar to Fig. 20.17, even though they
have widely different values of q and Ms. Thus, the experimental evidence confirms
the internal field concept of Weiss theory.

20.8.2 domain theory of ferromagnetism

The magnetic properties of ferromagnetic materials are explained based on the Weiss
domain concept. Hence, this theory is known as domain theory of ferromagnetism. The
small region within which all spin magnetic moments are aligned in a specific direction
is known as magnetic domain. The smallest region in which there is an alignment
of spin in one direction is known as ferromagnetic domain. Thus, the ferromagnetic
material consists of number of domains. Generally, the size of the domain will be
of the order of 10-6m or larger. Each domain acts as a single magnetic dipole and is
oriented in random direction as shown in Fig. 20.18a. Therefore, the net magnetisation
is zero, in the absence of a magnetic field.
Each domain is separated from other domains by a wall known as bloch or domain
wall. When an external magnetic field is applied, the domains which are parallel or
nearly parallel to the applied field, grow in size at the expense of other domains. The
domains which are not parallel to the applied field have a decrease in size. During
the absence of a magnetic field, even though the magnetic domains are ordered, the
net magnetisation force in a cubic ferromagnetic crystal is zero. The same is shown
 Magnetic Materials 20.33

in Fig.20.18b. When the material is placed in an external magnetic field, the central
domain grows at the expense of other domains as shown in Fig. 20.18c.

Net magnetization = 0 Net magnetization = M

(a) Iron—absence of field (b) Ferromagnetic crystal (c) Cubic ferro
—absence of field magnetic crystal—
presence of field
Fig. 20.18 Ferromagnetic domains

Domain theory—Experimental Verification

The domain concept was experimentally verified by the magnetic-powder-pattern
technique, developed by Bitter. In this technique, the colloidal solution of a magnetic
material is sprayed on the surface of the ferromagnetic material under study.
We know that a strong magnetic field exists near the boundaries. The colloidal
particles are attracted towards well-defined lines and show the boundaries between
domains. Further, these domains move depending on the applied external field. A
microscope with high resolving power helps to observe the domain walls and their
movements.
During the growth of the domain, the internal energy is due to the net contribution
of magnetostatic, anisotropy, domain wall and magnetostriction energies. Let us
discuss the above energies and their contributions to internal energy briefly in the
following sections.
Magnetostatic Energy Consider a single domain in a magnetic material. The
orientation of the dipoles and the direction of magnetic lines of force in a single domain
are shown in Fig. 20.19a. The potential energy stored inside the magnetic material is
known as magnetostatic energy and is very high. This energy is reduced by splitting
the domain into two domains as shown in Fig. 20.19b. The second domain consists
of two dipoles with anti-spin alignment.
The magnetostatic energy of a domain is further reduced by creating another
domain as shown in Fig. 20.19c. During this process, domain walls known as bloch
are created. A further reduction in magnetostatic energy of the domain is obtained by
closing the external field lines as shown in Fig. 20.19d. The domains which are used
to close external field lines are called closure domains. The potential or magnetostatic
energy of a domain is further reduced to a larger value by creating larger number of
domains. The domains attain an optimum size at equilibrium state. Generally, domain
size is of the order of 1 to 100 mm.
20.34 Engineering Physics

Fig. 20.19 Domains of magnetic materials

Antisotrophy Energy We know that crystals like iron consist of different directions,
namely [100], [110] and [111]. The magnetic field energy required to magnetise
the crystal is a function of crystal direction. This means that the crystal consists of
hard and soft directions of magnetisation, and hence, it requires variable energy. For
example, in a bcc iron crystal, direction [100] is easy, direction [110] is medium and
direction [111] is hard. Therefore, the energy required to magnetise the iron varies
depending on direction. The different magnetisation direction of an iron crystal is
shown in Fig.20.20.

Fig. 20.20 Anisotropy—iron crystal

 Magnetic Materials 20.35

Bloch or Domain wall Consider two domains in magnetic materials. These two
domains are separated by a bloch or domain wall. The domains are opposite in direction.
The second domain is obtained by rotating the first domain through 180° as shown in
Fig. 20.21. The rotation of the domain is carried out gradually due to the existence of
exchange force and anisotropy energy. The role of exchange force needed to rotate
the dipole which existing between the adjascent atomic spin is very less.

N S

S N

Fig. 20.21 Magnetic materials—magnetic domains

The gradual rotation of domains in an iron crystal is shown in Fig. 20.22. The energy
required to rotate the domain in an easy direction is less when compared to the hard
direction. In order to rotate the domain through an angle of 180o, anisotropy energy
requires a domain-wall thickness of nearly 1A0, while the exchange energy requires
a larger domain wall thickness. However, a minimum wall thickness is required with
minimum potential energy at equilibrium thickness condition. Therefore, the minimum
potential energy of the domain wall is known as domain-wall energy. Generally, the
thickness of a domain is of the order of hundreds of Å. For example, the domain-wall
thickness of iron is equal to 0.1 mm.

Fig. 20.22 Gradual rotation of domain—iron crystal

Magnetostriction Energy Consider a ferromagnetic material subjected to a magnetic

field. There is an increase in domain size which is parallel to the field, while the
antiparallel domains decrease in size. As a result, realignment of dipoles takes place. Thus,
the material length increases in an easy direction due to reorientation of dipoles because
of the application of an external magnetic field. The change in length of a ferromagnetic
material due to the influence of a magnetic field is shown in Fig. 20. 23.
20.36 Engineering Physics

l +D l

Fig. 20.23 Magnetostriction—ferromagnetic materials

When the magnetic field is applied in the hard direction, the material will experience
a decrease in length. Let l be the original length of a ferromagnetic material and Δl
be the change in length. Therefore, the ratio of change in length to original length is
known as magnetostriction constant (λ).

Dl
l= (20.118)
l

The magnetostriction constant reaches saturation (λsat) when the field reaches
saturation. This condition is known as saturation strain and its value ranges from
10-6 to 10-5. The energy associated with magnetostriction is called magnetostriction
energy. The noise in transformers is produced by the magnetostriction energy.
Hysteresis Curve We know that ferromagnetic materials do not posses net
magnetisation due to random orientation of magnetic domains. On the other hand,
when an external field is applied, it acquires net magnetisation due to growth of
magnetic dipoles in the field direction. The variation in magnetisation due to the
application of an external field H is shown in Fig. 20.24. The magnetisation exhibits
a curve known as hysteresis curve. When the material is at the starting point O, the
domain structure is shown in Fig. 20.24. The variations in magnetisation is shown
as points a to b on the curve due to increase in field strength. Beyond that, the
magnetic domains try to rotate along the direction as shown in Fig. 20.24. At point
b, magnetisation reaches a maximum and remains constant even for an increase in
magnetic field strength H. When the domain walls are rotated, it gives out some
fluctuations in domains due to irregular rotations. These fluctuations are known as
Barkhausen effect. The increase in domain takes place up to b, beyond which there
is no increase in size of domain. At b, the domain walls are in the direction of the
field. The magnetisation at b is called spontaneous magnetisation. The magnetisation
reaches its maximum value known as saturation magnetisation, Ms.
When the magnetic field is reduced gradually, the magnetisation decreases in the
path bc and not in ba as shown in Fig. 20.24. It means that magnetisation M lags behind
the applied field H. When the field is reduced to zero, the magnetisation has a non-
zero magnetisation known as remanent magnetisation. The remanent magnetisation
or retentivity is used to measure the permanent magnet strength of a magnet of
ferromagnetic material. The magnetic domain-wall size reduces and allows the growth
of other domains when the field is reduced.
In order to bring back the material to its original condition, the magnetic field is
applied in the reverse direction. The magnetisation decreases from Mr and reaches
zero value when the field reaches at B = -BC. The field BC is known as coercive
field or coercivity which is the field required to bring the magnetisation to zero
value. When the field is increased beyond, the material reaches reverse magnetic
saturation Ms.
 Magnetic Materials 20.37

The magnetic domain reduces in size and almost takes the original shape when the
magnetic field reaches the point i as shown in Fig. 20.25. When the magnetic field
is increased beyond, the magnetisation curve is closed. The closed curve is called
hysteresis loop. When a ferromagnetic material undergoes hysteresis curve, there is
an energy loss due to the rotation of domains. These losses are more for materials
with more impurities and imperfections. The energy loss is the measure area of the
hysteresis loop.
In a ferromagnetic material, the saturation magnetisation Ms depends on temperature.
The temperature dependence of Ms is shown in Fig. 20.26. When the temperature is
increased from 0 K, the saturation magnetisation decreases and it reaches zero value
at a temperature known as Curie temperature, as shown in Fig. 20.26. The Curie
temperature and saturation magnetisation temperature Ms of a few ferromagnetic
materials are shown in Table 20.4.

M
b
Ms
Mr c

d a g
–Bc o Bc B
f
–Mr
e –Ms

Fig. 20.24 Ferromagnetic material—hysteresis curve

H H H H

at o at a at b at c

H H=0 H H

at d at e at f at g
H=0 H

at h at i

Fig. 20.25 Ferromagnetic material—domain walls

20.38 Engineering Physics

Ms
Ms(0)

T Tc

Fig. 20.26 Magnetisation as a function of temperature

table 20.4 Curie temperature and saturation magnetisation temperature

of ferromagnetic materials

Saturation magnetisation at Curie Temperature

S. No. Materials 0K Tc
¥ 105 A m-1 K

1 Fe 1.38 1043

2 Co 1.15 1388

3 Ni 0.41 627

20.8.3 heisenberg’s Exchange interaction

The parallel and antiparallel arrangements of magnetic spin respectively in
ferromagnetic and antiferromagnetic materials are explained based on exchange
interaction energy (Eex). In order to explain the above concepts, consider the
electronic configuration of an iron atom. The electric configuration of iron Fe26 is
1s2, 2s2, 2p6, 3s2, 3p6, 3d6, 4s2. The 4s subshell is filled with two electrons while
the 3d subshell is unfilled as shown in Fig. 20.27. The 3d subshell consists of five
orbitals out of which 1 orbital is completely filled. The available four unpaired
electrons are aligned parallel in a separate orbital based on both Pauli’s exclusion
principle and electrostatic energy and not based on magnetic interaction. Thus,
electrons will have the same spin moment Ms and a different orbital moment Ml for
each orbital. The spin magnetic moment is mainly responsible for magnetisation
in ferromagnetic materials. Applying quantum concept, an exchange interaction is
constituted out of the combination of Pauli’s exclusion principle and electrostatic
interaction energy, to explain a large value of the internal field in ferromagnetic
materials. The exchange interaction is known as exchange field or molecular field
or Weiss field.
 Magnetic Materials 20.39

Consider that Si and S j are the spin angular moments of ith and jth electrons.
According to quantum mechanical concepts, exchange energy between any two
electrons is

Eex = - 2 Jex Si Sj (20.119)

where Jex is known as the exchange integral. The negative sign indicates that exchange
interaction energy depends on interatomic distance between two interacting atoms.
Equation (20.119) is used to explain parallel and antiparallel alignment of spins in
ferro and antiferromagnetic materials. For most solids, the value of Jex and Eex, are
negative, i.e., antiparallel. Therefore, spin moment Si and Sj are antiparallel as exist in
antiferromagnetic materials. On the other hand, the value of Jex is positive, while Eex is
negative in case of ferromagnetic materials such as Fe and Co. Hence, the value of Si
and Sj are parallel and it is confirmed that they are ferromagnetic materials. Thus, the
sign of an exchange integral is used to know the status of ferro and antiferromagnetic
materials.

3d 6 4s 2

Fig. 20.27 Iron atoms—electrons in 3d subshell

The same can be explained by considering the exchange integral value as a

function of ratio of r/rd where r is interatomic distance and rd, the radius of a 3d
oribital. The ratio of r/rd for different atoms is shown in Table 20.5. A graph is
drawn between Jex and r/rd as shown in Fig. 20.28, to explain the state of magnetic
materials. For atoms like Fe, Co, Ni and Gd, the value of r/rd is higher than 3, and
hence, takes positive exchange integral values. Similarly, for atoms like Mn and
Cr, the r/rd value is less than 3 and hence, takes negative exchange integral values.
Therefore, it is clear that when the value of r/rd is higher than 3, materials are called
ferromagnetic materials. When the value of r/rd is less than 3, materials are known
as antiferromagnetic materials.

J ex
CO
+ Ni
Fe
Gd

0
Mn r/rd
– Cr

Fig. 20.28 Exchange integral as a function of r/rd

20.40 Engineering Physics

Table 20.5 Value of r/rd and materials status

S. No. Metals r/rd Materials status

1 Cr 2.60 Antiferromagnet

2 Mn 2.94 Antiferromagnet

3 Fe 3.26 Ferromagnet

4 Co 2.64 Antiferromagnet

5 Ni 2.94 Antiferromagnet

6 Cd 3.1 Ferromangnet

20.9 AntifErroMAGnEtic MAtEriAlS

In antiferromagnetic materials, adjacent dipoles are aligned antiparallel to each other.

The antiparallel alignment of dipoles is produced due to the exchange interactions
similar to that of a ferromagnetic material, when the distance between any two adjacent
dipoles is very small. The antiparallel alignment can be explained considering a body
centered cubic unit cell produced by two intersecting simple cubic unit cells of different
kinds of atoms A and B. The antiparallel alignment of dipoles is contributed by the
atom A having dipole orientation in one direction, and the atom B having orientation
of dipoles in another direction. Antiferromagnetism was first observed in MnO and
then a large number of compounds were found to have antiparallel alignment.

A
B

Fig. 20.29 Antiparallel alignment of dipoles—two intersecting unit cells

When a curve is drawn between the susceptibility and temperature, a curve as

shown in Fig.20.29 is obtained for an antiferromagnetic material. The temperature
corresponding to the maximum value of susceptibility of a material is known as Neel
temperature.
 Magnetic Materials 20.41

T(K)

Fig. 20.30 Susceptibility as a function of temperature—Antiferromagnetic materials

The susceptibility of antiferromagnetic materials is found to obey the following

equation above the Neel temperature,

C when T > TN (20.120)

c=
T +q
where C, T and q are respectively the Curie constant, absolute temperature and
paramagnetic Curie temperature.
The behaviour of an antiferromagnetic material above the Neel temperature is
explained using the internal field concepts. The internal field produced is
Ha = H – gMb (20.121)
Hb = H – gMa (20.122)
where Ha and Hb are the internal fields produced respectively by the interactions of
atoms A and B. Ma and Mb are the magnetisations respectively for atoms A and B. The
negative sign shows that the interaction produces antiparallel alignment of dipoles.
Substituting the values of Ha and Hb in the Eq.(20.106), we get,
mb
M a = N b tan h 0 ( H - g M b ) (20.123)
kT
m0 b
and M b = N b tan h (H - g M a ) (20.124)
kT
The total magnetisation is given by M = Ma + Mb. Therefore, the total magnetisation
is
Èm b ˘
M = N b tan h Í 0 (2 H - g ( M a + M b )) ˙ (20.125)
Î kT ˚
È m0 b ˘
or = N b tan h Í (2 H - g M )˙ (20.126)
Î kT ˚

For smaller values of x, tan hx = x. Therefore, Eq. (20.126) can be written as,

N b 2 m0 (20.127)
M = (2 H - g M )
kT
20.42 Engineering Physics

Rearranging Eq. (20.127), we get,

M 2 N b 2 m 0 / kT
c= = (20.128)
H N gb 2 m 0
1+
kT

N b 2 m0
Substituting, C = and q = g  C in Eq. (20.128), we get,
k

M 2C
c= = (20.129)
H T +q

Equation (20.129) gives the value of susceptibility of an antiferromagnetic material,

when the temperature is greater than Neel temperature. Equation (20.129) is obtained
by multiplying Eq. (20.120) by a factor of 2. A rigorous mathematical treatment
gives the correct value of susceptibility. The above simple treatment explains the
antiferromagnetic behaviour, and there is no need for any rigorous treatment.
The existence of Neel temperature is explained based on the following arguments.
Consider that the dipoles of an antiferromagnetic material are nearly at 0 K. The
dipoles are perfectly oriented in an antiparallel manner. Hence, the magnetisation
produced by individual dipoles is very high. Due to the antiparallel alignments, the
magnetisation produced by one dipole is cancelled by the other one. Consider that the
temperature is slightly increased from 0 K, the magnetisation decreases gradually and
it becomes zero at the Neel temperature. This shows that at the Neel temperature, the
spontaneous magnetisation vanishes. Therefore, above the Neel temperature there is
no spontaneous magnetisation.
Equations (20.123) and (20.124) are valid even in low temperature. By taking
tan hx ª x, it can be written as,

Èm b ˘
M a = N b Í 0 ( H - g M b )˙ (20.130)
Î kT ˚

Èm b ˘
and M b = N b Í 0 ( H - g M a )˙ (20.131)
Î kT ˚

Even though the spontaneous magnetisation is zero, the value of H = 0, is still valid.
Substituting, H = 0 in Eqs. (20.130) and (20.131), we get,
- N b 2 m 0g M b
Ma = (20.132)
kT

and - N b 2 m 0g M a (20.133)
Mb =
kT
The above equations can be written as,
gC
Ma + Mb = 0 (20.134)
T
 Magnetic Materials 20.43

gC
and Mb + Ma = 0 (20.135)
T
Above the Neel temperature, Eq. (20.134) and (20.135) has nontrivial solution,
since there is no spontaneous magnetisation present above the Neel temperature. Let
us consider that spontaneous magnetisation has set in at T = TN. Then the equation
has a trivial solution. Assuming that there is a spontaneous magnetisation at T = TN,
the values of Ma and Mb are equal to zero.
Therefore,

2
Ê g Cˆ
ÁË T ˜¯ - 1 = 0 or TN = gC = q (20.136)
N

Equation (20.136) shows that TN = q, and the spontaneous magnetisation is

observed at T=TN. But most of antiferromagnetic materials have different values of
TN and q. For example, FeO has TN = 200 K and q = 570 K, and MnO2 has TN = 84
K and q = 316 K. This discrepancy in explaining the Neel temperature is due to our
crude model used to explain the properties of antiferromagnetic materials. Another
reason for the discrepancy in the present result is due to the assumption of the crystal
structure. In this model, it is assumed that antiferromagnetic materials possess body
centered cubic crystal structure. But certain ferromagnetic materials have different
crystal structures.

20.10 fErriMAGnEtic MAtEriAlS

Ferrimagnetic materials, also known as ferrites, are a special class of ferromagnetic
materials. Ferrites and ferromagnetic materials exhibit similar properties except for
the alignments of spin magnetic moments. In a ferromagnetic material, spin magnetic
moments are aligned in the same direction. However, in ferrites, spin magnetic moments
are not in the same direction; rather, a few of them will be aligned in opposite directions.
Therefore, ferrites have net spin magnetic moments. This special characteristic of ferrites
makes them different from ferromagnetic materials and hence, they can be used for
high frequency purposes and design of special magneticdevice applications.

20.10.1 Structure of ferrites

The general chemical formula for ferrites is Me2+Fe23+O42-, where Me2+ represents
divalent metallic ions such as Zn2+, Cd2+, Fe2+, Mn2+and Mg2+. Examples of ferrites
are manganese ferrite, cadmium ferrite and zinc ferrite. The ferrites crystallise in a
cubic structure. A ferrite unit cell consists of one ferrite molecule at each corner and
hence, there is a total of 8 ferrous molecules in a ferrite unit cell. Therefore, a ferrous
ferrite unit cell consists, of 32 oxygen (O2-) ions, 16 Fe3+ ions and 8 Me2+ ions. A
ferrite unit cell contains both octahedral sites and tetrahedral sites. The 8 Fe2+ ions
and 8 Fe3+ ions occupy the octahedral sites, in which each ion is surrounded by six
O2- ions. The balance 8 Fe3+ ions occupy the tetrahedral sites and are surrounded by
four O2- ions. The total number spin in octahedral site B is higher than the tetrahedral
20.44 Engineering Physics

site A. The spin of 16 ions in the octahedral sites is aligned parallel while 8 ions in
the tetrahedral sites are antiparallel to octahedral sites. If one considers the presence
of oxygen ions, then the structure is a close packed face centered cubic structure. The
arrangement of spin in a ferrite is shown in Fig. 20.31.
The electronic configuration, spin alignment in orbital, magnetic spin and magnetic
moment of a few metal ions are given in Table 20.6.

3+
Fe
2+ 3+
Me Fe

S = 5/2 S=2 S = 5/2

(a) Octahedral sites (b) Tetrahedral sites

Fig. 20.31 Spin arrangement—ferrite

Ferrites takes two different types of structure, namely, inverse spinal and regular
spinal. The brief details of these structures are given below.
(i) inverse Spinal Consider a single ferrous ferrite cell which consist of Fe2+ and
Fe3+ ions in the octahedral B site, and Fe3+ ions in the tetrahedral A sites as shown
in Fig. 20.32. Half of the B site is occupied by ferrous ions, while the remaining half
is occupied by ferric ions. The A site is occupied by balance ferric ions. The value
of each Fe2+ ion corresponds to a magnetic dipole moment of 4b. Similarly, for Fe3+
ions, the magnetic dipole moment is 5b ( the dipole moment produced by an unpaired
electrons is equal to one Bohr magneton, i.e., mB = 1b). The dipole moment of B-site
Fe3+ ions, i.e., 5b cancels A-site Fe3+ ions (5b) and hence, the net dipole moment is
4b. This structural arrangement is known as inverse spinal. This leads to spontaneous
magnetisation of ferrites.

Fig. 20.32 Ferrites—inverse spinal

 Magnetic Materials 20.45

table 20.6 Magnetic moment and spin of metal ions

Electric
Magnetic
S. No Ions configuration Orbital spin alignment S
moment
inner core

1 Mn2+ 2d5 5/2 5mB

2 Fe2+ 3d6 2 4mB

3 Co2+ 3d7 3/2 3mB

4 Ni2+ 3d8 1 2mB

5 Cu2+ 3d9 1/2 1mB

(ii) Regular Spinal The general chemical formula for a regular spinal is Me2+
Fe23+ O42- where Me2+ is a divalent non-magnetic ion like Zn2+, Cd2+, Mg2+, etc. In the
regular spinal structure, the divalent ions occupy tetrahedral A-site, while the trivalent
ions occupy octahedral B-sites as shown in Fig. 20.33.

Fe 3+ Fe 3+

B Site (octahedral site)

A Site (tetrahedral site)

2+
Zn

Fig. 20.33 Ferrites—regular spinal

Consider a zinc-ferrite molecule, i.e., Zn2+ Fe23+O42-. It consists of one ferrous ion
(Zn2+) and two ferric ions ( Fe3+ 2 ). The two ferric ions occupy the octahedral B site,
while ferrous ions occupy the tetrahedral A-site. The dipole moment of the A-site is
4b since a ferrous ion has four unpaired electrons. The dipole moment of the B-site is
equal to 2 ¥ 5 b = 10b, since the ferric ion has five unpaired electrons. Therefore, the
total dipole moment is 14b, when the ferrous and ferric ions are in parallel alignment.
On the other hand, if one ferrous and ferric ion are in one direction, while the other
ferric ions are in one direction, then the total dipole moment is 4b. The present results
are in good agreement with experimental ones. Thus, in ferrous molecules, the dipoles
are at antiparallel alignment.
20.46 Engineering Physics

20.10.2 hystersis curve

A ferrimagnetic material exhibits hysterisis curve and is in the form of a square as
shown in Fig. 20.34.

M
+Ms

–Ms

Fig. 20.34 Hystersis curve—ferrite

It is clear from the hysteretic curve that the ferrite exhibits in any one of the states,
namely, +Ms or -Ms. The above two states of ferrites are similar to that of binary digits
0 and 1. For a particular value of applied field, the reversal in magnetisation occurs
and hence, it is more suitable for digital memory devices in computers.

20.10.3 Applications
Ferrites find versatile applications in industries due their characteristic features. Ferrites
are classified into two types, namely, soft and hard ferrites. The following are some
of the applications of ferrites.
• Soft ferrites are used in high-frequency transformer cores and computer memo-
ries. The devices which are based on soft ferrites are computer hard disks, floppy
disks, credit cards, audio/video cassettes, recorder heads, etc.
• Microwave devices like isolators and circulator phase shifters are prepared em-
ploying ferrites.
• Hard ferrites are used to prepare permanent magnets for applications such as
loudspeakers and wiper motors.
• Ferrites are used to generate lowfrequency ultrasonic waves using the magneto-
striction principle.
• They are used to produce cores for lowpower transformers and high-flux
transformers.
• In computer memory systems, non-volatile memories are made using ferrites.
These memories retain the data stored in them even when the power is cut off.
 Magnetic Materials 20.47

• Ferrite as a thin film is used in magnetic bubble memory. It is a non-volatile

memory.
• Small antennas are made employing ferrite rods by winding with a coil of
suitable material.

20.11 hArd And Soft MAGnEtic MAtEriAlS

Ferromagnetic materials are classified into two types, namely, soft and hard
magnetic materials, based on the characteristic parameters such as hystersis and
magnetisation.
20.11.1 Soft Magnetic Materials
The name implies that soft magnetic materials are easy to magnetise and demagnetise.
When a small amount of magnetic field is applied, it results in a large magnetisation
due to easy movements of magnetic domains. The degrees of magnetisation and
demagnetisation of these materials are very high even for a small applied field. In
order to prepare soft magnetic materials, the pure material is first heated to the required
high temperature. When the temperature is high, the atoms are can move freely in
the molten state and are allowed to settle in an ordered lattice during slow cooling.
The resultant material is a soft magnetic material. The potential applications of soft
magnetic materials are based on their characteristic properties.
B
Bsat

Br

H
–Hc

Fig. 20.35 Hysteresis loop—soft ferrities

properties
The following are the properties of a soft magnetic material:
(i) It is easy to magnetise and demagnetise.
(ii) Its hysteresis loop is very thin and long as shown in Fig. 20.35.
(iii) The hysteresis loop area is very less and hence, the hysteresis loss is very
small.
(iv) The coercive field is very low while the saturation magnetisation is very
high.
(v) The susceptibility and permeability values are very high.
20.48 Engineering Physics

(vi) Its resistivity is very high and hence, eddy-current loss is very low.
(vii) The magnetostatic energy is very small since such materials are free from
irregularities like strain.
Examples

(i) Iron–nickel–aluminum alloys with a small dopant cobalt known as FeAl-

NiCo alloy
(ii) Iron–silicon alloys
(iv) Iron–cobalt–mangann alloys
(v) Copper–nickel–iron alloys
Applications

The following are the applications of soft magnetic materials.

• They are used in transformer cores, motors, relays and sensors.
• Iron–silicon alloy magnets are used in electrical equipment.
• Silicon steel magnets are used in alternators and high-frequency rotating materi-
als.
• Soft magnetic materials are used in storage components and microwave isolators.

20.11.2 hard Magnetic Materials

Hard magnetic materials are those which are difficult to magnetise and demagnetise.
These materials require high magnetic field for both magnetisation and demagnetisation.
It is difficult to rotate the magnetic domains due to the impurities and crystal defects
existing in such materials. In order to make the materials hard magnetic, the molten
mixture which is at a high temperature is rapidly quenched in cold liquid. In addition,
impurities are added to the base materials to make them hard. The hard magnetic
materials are used where a permanent and high magnetic field is required.
B

Br

H
–Hc

Fig. 20.36 Hysteresis loop—hard ferities

 Magnetic Materials 20.49

properties
The following are the properties of hard magnetic materials:
(i) They are hard to magnetise and demagnetise.
(ii) The hysteresis loop is very large and hence, hysteresis loss is heavy due to
larger hysteresis area. The characteristics of the hysteresis loop is shown
in Fig.20.36.
(iii) It is very difficult to rotate the domain walls due to impurities and crystal
imperfections.
(iv) The susceptibility and permeability values are low.
(v) The values of coercivity and resistivity are larger.
(vi) The value of eddy current loss is very high.
(vii) The mechanical strain is more due to presence of impurities and crystal
imperfections. Therefore, the magnetostatic energy is very large.

Examples
AlNiCo, rare earth metal alloys with Mn, Fe, Co, Ni, carbon steels and tungsten
steels.

Applications
Applications of hard magnetic materials are as follows:
(i) They are used for production of permanent magnetism.
(ii) The magnetism in toys, compass needles, meters, etc., are made from
carbon steel.
(iii) The magnets in dc meters and measuring devices are made from tungsten
steel.
iv) Neodymium magnets are used in microphones instead of conventional
magnets mainly to reduce the microphone size.
v) Cast AlNiCo magnets are used in speed meters, and sensors in automobiles,
motors, etc.

20.12 EnErGy Product of MAGnEtic

MAtEriAlS
Permanent magnets require hard magnetic materials with large saturation magnetisation
and large coercivity. The energy stored in hard magnetic materials is larger due to
their large hysteresis loop. The amount of energy stored in hard magnetic materials is
measured from the maximum area of the rectangle which fits in the second quadrant
of the B-H curve. The area of the rectangle CDEF of the B-H curve shown in Fig.
20.37 gives the energy stored in a magnetic material.
Consider that Bm, Hm and Vm are the flux density, magnetic field and volume of
magnetic materials respectively. From Fig. 20.37, energy stored in magnetic materials
is
Em = Bm Hm Vm
or Em = (BH)max Vm (20.137)
20.50 Engineering Physics

�
� r
��H � ���

E D

H H
–H c F C

Fig. 20.37 Hard magnetic materials—energy products

where (BH)max is the maximum area of the quadrant in the B-H curve and is equal
to maximum energy stored in magnetic materials. Therefore, the product of B-H is
known as energy product of magnetic materials.
The energy stored in a magnetic material is determined from the energy density
measurements. In order to determine the energy density, consider a permanent magnet
as shown in Fig. 20.38.

lg

Ag

Lm

Fig. 20.38 Permanent magnet—energy density

Let Bg, Hg and Vg be respectively the flux, field and volume of the air gap. Therefore,
the magnetic energy stored in the gap
= (BgHg) Vg (20.138)
We know from Ampere’s circuit theorem that, the total flux density is constant in a
magnetic circuit.

i.e., (BgHg) Vg = -(BmHm) Vm (20.139)

Equation (20.139) reveals that the product of B and H gives energy present per unit
volume in the gap as well as in the magnet.

Generally, the magnetic circuit designer operates the magnet at a point known as
the optimum working condition point of the magnetic material. The working point
is obtained from the curve drawn between demagnetisation and energy product.
 Magnetic Materials 20.51

� ��

0��
W � �H � ���
0�2

0��

H BH
– – – 20 40 60
H �� � � –� ��H � � �� �

Fig. 20.39 Demagnetisation and energy product

The demagnetisation curve is drawn in the first and second quadrants as shown in
Fig. 20.39. The parallel line to x-axis is drawn from the point (BH)max which meets
the curve in the fourth quadrant at W. The point W is known as the optimum working
condition of the magnetic material. The application of a few ferromagnetic materials
along with the demagnetising field and energy product is given in Table 20.7. The
energy product of a rare earth magnet is four to five times higher than AlNiCo magnet
and hence, the applications of rare earth magnets are relatively higher than AlNiCo
magnets.

table 20.7  Energy product and demagnetization field of ferromagnetic materials

Magnetic m0 Hc Br (BH)max Applications

Material (T) (T) (KJ m-3)

Alnico Wide range of permanent

0.19 0.9 50
(Fe-Al-Ni-Co-Cu) magnet applications

Alnico
0.075 1.35 60
(Columnar)

Starter motors, dc motors,

Strontium ferrite
0.3–0.4 0.36–0.43 24–34 loud speakers, telephone
(Anisotropic)
receivers, various toys

Rare earth cobalt, Servomotors, stepper mo-

e.g, Sm2Co17 0.62–1.1 1.1 150–240 tors, couplings, quality
(sintered) audio headphones

Small motors (e.g., hand

tools), walkman equipment,
NdFeB magnets 0.9–1.0 1.0–1.2 200–275
CD motors, MRI body scan-
ners, computer applications

Hard particles Audio and video tapes,

0.03 0.2
Γ – Fe2O3 floppy disks
20.52 Engineering Physics

20.13 fErritE corE MEMory

Certain ferrite materials have square hysteresis curves as shown in Fig. 20.40. Ferrites
such as (Mg, Zn, Mn) Fe2O4, (Cu, Mn) Fe2O4 and Li½ Fe½ Fe2O4 which have square
hysteresis curves are used to prepare non-volatile computer memories. The square
hysteresis property and the remanent state of these ferrite materials are altered by the
application or the removal of a small field such as ± ½Hm, where Hm is the maximum
value of the magnetic field. When the applied field is greater than ± Hc, then the
remanent state is switched to opposite sense. The remanent states are used to represent
the digits 0 and 1 respectively.
∆B B

Bm
Br
1

H
Hm/2 Hm

Hc

-Br

Fig. 20.40 Square hysteresis—ferrite materials

The magnetic cores are arranged in a matrix interlaced through fine metal wires,
both horizontally and vertically, as shown in Fig. 20.41. Each core is threaded with 3
wires, namely x and y drive wires and a read wire. When an anticlockwise magnetisation
is used to represent the 0 state, a large current I is passed through y drive wires from
top to bottom portion. A large value of the current is needed to make all the cores into
0 states because the field produced at the centre is greater than Hm. This will clear all
the memories stored in the core matrix and hence, all the cores are in the 0 state.

Fig. 20.41 A part of memory core matrix

 Magnetic Materials 20.53

A change in magnetic state of the core is facilitated when the currents in the wires
passing through the core reinforce each other. For example, to change the X2 Y2 core
into the 1 state, a current of I/2 is applied from the bottom of Y2 to the top portion and
along X2 from right to left. Otherwise, no change occurs. The core can be accessed
randomly. Reading the information stored in a core requires a third wire threaded
through the core. It picks up an induced current when test signals passing through the
wires change the state of the core.
The departure of hysteresis curve from true squareness is represented by DB. It
determines the magnitude of unwanted voltage pulse caused when a core does not
switch on interrogation. A ferrite material with DB = 0 is a suitable material for ferrite
core memory. The speed of a computer is determined by the time taken to access
information stored in the memory. This switching time is decreased by increasing
HC. The drive current is kept as minimum so as to minimise the power consumption.
Reducing the drive current restricts increasing of HC. By reducing the core size, for
the same drive current, Hm is increased. Cores with 0.5 mm size are manufactured
using dry pressing unit. When the core size is reduced, the switch speed and storage
capacity are increased.

20.14 MAGnEtic rEcordinG MAtEriAlS

Generally, magnetic materials play a dominant role in storage as well as recording/reading
applications. A few examples for storage devices are magnetic tapes, floppy disks and
hard disks. In addition, audio and video signals are recorded employing recording and
reading heads which are made using magnetic materials. The principles, operations and
applications of magnetic materials are discussed briefly in the following sections.

20.14.1 recording-head Materials

Generally, the recording head is made up of a soft magnetic material which has low
coercivity and high saturation magnetisation. When a suitable input signal, either
current or magnetic field, is applied it gives out a strong fringing magnetic field.
The magnetic field produced by the recording head is stored on the magnetic film.
The reading head receives the magnetic field and hence, converts the magnetic field
into an electric field. Therefore, the reading head should also be of a soft magnetic
material with low coercivity and high magnetisation. Magnetic materials which are
used for recording heads are alloys, soft ferrites and amorphous metals. Recording-
head materials are prepared employing thin-film techniques.
The following magnetic materials used for making recording heads:
(i) Alloys—Ni–Fe, Fe–Al–Si
(ii) Soft ferrites—MnZn, NiZn
(iii) Amorphous metals—Co–Zr–Nb

20.14.2 Magnetic Storage Media Materials

In magnetic storage devices like magnetic tapes, the information is stored by a
process method known as spatial magnetisation. The information stored on magnetic
devices is highly non-volatile and should not have any effect on the presence of a
stray field.
20.54 Engineering Physics

Therefore, the material used for magnetic storage devices requires high coercivity
as well as high remanent magnetisation. The stability of magnetic recording depends
on coercivity and hence one has to maintain an optimum value for storage applications.
Thus, magnetic materials with high remanent magnetisation and optimum coercivity
are required for storage device applications. The different types of storage devices
along with their applications are shown Table 20.8.

table 20.8 Magnetic storage devices and their applications

Magnetic storage device Applications

Magnetic tapes • Store individual characters
• Store information

Magnetic disks • More storage

• Continuous storage
• Data/video library

Floppy disks • Interchangeable storage for computers

20.15 MAGnEtic PrinciPlE of AnAloG

rEcordinG And rEcordinG
Generally, recording is done both by analog and digital devices. In digital recording, the
information is stored both in the 1 and 0 states. On the other hand, in analog recording,
the audio signal is combined with an ac bias signal. Digital recording requires a proper
encoding procedure. A brief discussion on analog recording and reading are given in
the following sections.

20.15.1 recording Process

The schematic representation of recording of an audio signal on a magnetic tape is
shown in Fig. 20.42. The recording head is made up of a toroidtype electromagnet
with a small air gap. The electromagnet with this small air gap is known as a recording
head. The recording head is made up of soft magnetic materials. The necessary current
signal is applied to the electromagnet to produce the magnetic field in the material as
well as in the air gap. The recording head is placed in contact with the top surface of
the magnetic tape as shown in Fig. 20.42. The magnetic tape is made up of polymer-
packing tape in which the top surface is coated with magnetic material. The magnetic
tape is moves with a constant velocity.
The audio signal is first converted into an equivalent electrical current signal. The
converted current signal is applied to the electromagnet which produces the equivalent
magnetic field. At the same time, a fringing magnetic field is produced at the air gap
which is used to magnetise the magnetic material present in the tape. The fringing
magnetic field is used to magnetise the magnetic tape at a uniform speed. The strength
of magnetisation on the tape depends on the strength of the fringing field which, in
turn, depends on the applied current signal.
 Magnetic Materials 20.55

Thus, the magnetisation on the tape depends on the strength of the current signal.
Therefore, the current signal is stored on the tape as a spatial magnetic pattern
permanently. In the above process, recording of the signal is carried in uni-direction
and hence, this process of recording is called longitudinal recording.

Fig. 20.42 Magnetic recording and reading—audio cassette

20.15.2 reading Process

The principle of Faraday’s law of induction is used for reading the audio cassettes. The
recording head is used for retrieving the stored information on the magnetic tape.
The magnetic tape which is moving at a constant speed is in contact with the reading head.
Hence, the magnetic field which is present at the tape penetrates to the reading head. The
penetrating magnetic field is strongly attracted by the reading-head magnetic material.
Thus, the field is attracted towards the high permeability regions of magnetic materials.
In view of the above reason, the toroid core of the electromagnet is made up of high-
permeability magnetic materials. When the magnetic field from the tape enters the core,
it forms a loop as shown in Fig. 20.42. This magnetic loop produces an emf at the output
of the electromagnetic coil. The magnetic field available at the core of the electromagnet
is converted into an equivalent voltage signal. The voltage signal at the output of the coil
depends on the spatial magnetic pattern available on the magnetic tape. When the voltage
signal is connected to a microphone, it converts the voltage signal into an audio signal. In
a magnetic tape, the information is stored in the form of a spatial magnetic pattern. The
number of data stored on the tape depends on the spatial wavelength, l.
The spatial wavelength l = Dx = u/ν (20.140)
where u is the velocity of the tape, ν is the frequency of the input signal and Dx is the
distance moved by the tape for every 1/ ν seconds. A large amount of data is stored
when the value of l is very small. In most of the commercial applications, the recording
and reading processes are done by the same head.

20.16 MAGnEtic BuBBlE MEMory

A magnetic bubble memory is a non-volatile computer memory and it is in the form
of thin films using soft magnetic materials. The magnetic domains with different
orientations are embedded in a matrix. When a magnetic field is applied to the entire
20.56 Engineering Physics

matrix, the magnetic domains shrink down into a tiny circle, known as tiny magnetic
domains. The tiny magnetic domains are very small in size when compared to the
magnetic domains in storage devices like tapes and hard disks. These tiny magnetic
domains are known as bubbles and are used to store one bit of data. In bubble memories,
the recording and reading of information are carried out employing the fast movement
of bubbles by applying an electric field. As a result, the read and write time is very
short in bubble memories than in those of magnetic disks and tape devices. The
bubble memory was first demonstrated in rare earth orthoferrite (RFeO3). A schematic
representation of bubble memory is shown in Fig. 20.43.
Consider a thin magnetic film which is made up of ferrite or garnet. The magnetic
domains are in the form of strips, which are arranged in two ways, namely, pointing
up and downward. The behaviour of the strips totally depends on the applied field.
For example, during the absence of a field, when a polarised light is applied, except
for one bright strip, the others appear dark. The appearance of strips during the
absence of the field is shown in Fig. 20.43a. When an external field is applied in a
perpendicular direction of the thin film, the strips oppose the field and hence, the field
starts to shrink as shown in Fig. 20.43b. On the other hand, when a high magnetic
field is applied, the magnetic domains get concentrated into circular areas and form
circular domains in the order of a few microns as shown in Fig. 20.43c. Such circular
domains are called magnetic bubbles. The movement of these bubbles are controlled
by the applied external field.

(a) Appearance of strips— (b) Strips shrink—field is (c) Circular domains

absence of field perpendicular to film high magnetic field
Fig. 20.43 Magnetic bubble memory

The dependence of magnetic bubbles on the applied field is shown in Fig. 20.44.
When the applied field crosses the value of Hs, the conversion of magnetic domains
into strips takes place. A further increase in field decreases the bubble radius until the
field reaches the value of Hco. Beyond Hco, the magnetic bubble collapses and becomes
a magnetised material. Thus, the magnetic bubbles are stable only in certain regions
of the field. These regions are used for bubble memories.

Structure of the Magnetic Bubble Memory

Magnetic bubble memory thin films are produced using the epitaxial coating method. A
thin layer of magnetic garnet is coated on a non-magnetic substrate like gadolinium and
gallium. The magnetic field required to convert the magnetic domains into bubbles is
produced by the permanent magnet. The magnetic fields required to rotate the magnetic
 Magnetic Materials 20.57

bubbles are produced employing a set of three coils. The structure of the magnetic
bubble memory is shown in Fig. 20.45. The data in the bubble memories are stored
similar to other storage devices using the logic 0 and logic 1 states. The rotating field
is used to store the information on bubble memories. When the field is rotated once,
it creates one bubble memory. The presence of a bubble memory indicates the logic 1
state, while the absence of a bubble memory indicates the logic 0 state. The existences
of magnetic bubbles are studied using external magnetic fields. The data stored on the
bubbles are independent of field and hence, the bubble memory is non-volatile. The
materials used for the magnetic bubble memories are orthoferrites (RFeO3), hexagonal
ferrites (PbFe12O19), rare earth ferromagnetic and amorphous bubble materials like
Gd–Co and Ge–Fe alloy films.

Fig. 20.44 Dependence of magnetic bubble on applied field

Fig. 20.45 Structure of magnetic bubble memory

20.58 Engineering Physics

The following are the main disadvantages of a magnetic bubble memory:

(i) It requires high recording time for storing and retrieving data.
(ii) It requires interface circuits.

20.17 MAGnEtic PrinciPlE in coMPutEr

dAtA StorAGE
The direction of magnetisation is used to represent the logic 0 and 1 states. The principle
behind the data storage in storage devices is the ferromagnetic properties of magnetic
materials. We know that the magnetic dipoles are arranged parallel to each other and
hence, even for a small amount of external field, a large value of magnetisation is
produced. The digital information stored in a magnetic device is explained based on
the direction of magnetisation.
In ferromagnetic materials, the magnetic dipoles are arranged parallel to each other
in the absence of an external field as shown in Fig. 20.46. Each dipole in the material
will act as a tiny magnet. When an external magnetic field is applied, the north and
south poles of the magnet are attracted towards the opposite poles of the external
magnet. The magnet gets magnetised due to the application of an external field.
When the external field is removed, the magnet posseses magnetisation. Therefore, it
produces a magnetic field as shown in Fig. 20.46 due to its magnetic properties. The
properties of the magnet are same as that of a permanent magnet.

SN SN SN

SN SN SN

Fig. 20.46 Magnetic material—after removing external magnetising force

The direction of magnetising force orients the direction of south and north poles in the
new magnet. Therefore, one can store data by changing the direction of magnetic domains.
This means that when the field is applied in one direction, it stores logic one (i.e., 1) state,
while when the field is reversed, it stores the logic zero (i.e., 0) state. The datas are stored
in magnetic devices using the above principle. Generally, the following different types of
magnetic storage devices are available in industries: magnetic tapes, floppy disks, hard
disks and CD drives. The principles behind the above devices and the process of storing/
retrieving information are discussed in detail in the following sections.

20.18 MAGnEtic tAPE

A magnetic tape is made up of a thin plastic (nylon) sheet with 0.5 inch width and
large length depending on the requirements. The thin plastic sheet is coated with a
 Magnetic Materials 20.59

very thin layer of ferrous (or) ferric oxide magnetic materials. Generally, a magnetic
tape consists of 9 tracks and 18 tracks with a storage capacity of respectively 250
and 3800 characters per inch. A schematic representation of the cross–section of a
magnetic tape is shown in Fig. 20.47.

Fig. 20.47 Magnetic tape

The digital information are stored on the magnetic tape with the help of an
electromagnet, which is known as read/write head. The principle of storing and
retrieving information in a magnetic storage tape is similar to that of a magnetic tape
used in an audio cassette. In the read/write electromagnet, the south and north poles
are separated by a small gap known as the head gap. A schematic representation of
magnetic tape and read/write head is shown in Fig. 20.48.
The information are stored on the magnetic tape using the write head, while the
read head is used to retrieve the stored information on the magnetic tape. When an
electric field is applied to the write head, it generates the magnetic field at the head
gap. The magnetic field existing at the head gap magnetises the magnetic tape in one
direction, say logic 1. This information is stored on the storage cell as the dipoles in
one direction.
The next information is stored as logic 0 in the magnetic tape wherein the magnetic
dipoles are in the opposite direction. This process is repeated to store the data on the
magnetic tapes. The information stored on the tape is read by the read head. When
the tape reaches the read head, it generates an induced magnetic field due to the
existing magnetic dipoles in the storage cell. The induced magnetic field generates
an electrical signal at the output of the read head. Similarly, when the data storage
cell enters the read head, it will generate an induced electrical signal with different
values. The difference in the electrical signals represents the logic 1 or logic 0 states
which are stored in the magnetic tape.
20.60 Engineering Physics

Track Write Read

Storage
surface head head
cell

Magnetic
medium

Fig. 20.48 Schematic representation of magnetic tape and heads

Even though the principle behind the magnetic storage is very simple, it fails to
attain high density and high reliability magnetic storage devices. This is mainly due
to the following reasons:
(i) The magnetic head gap must be very small.
(ii) A small magnetic field is available in a small head gap.
(iii) The small magnetic field head requires a close contact with the surface
of the tape.
(iv) The data is stored on the magnetic tape with low-level field strength and
hence, is easy to retrieve.
(v) A small external field may destroy the data stored on the magnetic tape.

20.19 floPPy diSk

Floppy disks or diskettes are used widely to store information and hence, are known as
secondary and backup memory devices. A floppy disk is made up of very thin and flexible
plastic (nylon) materials. Magnetic iron oxide material is coated on both sides of the disk.
In order to store information on the disk, the surface of disk is divided into a number of
concentric circles as shown in Fig. 20.49. These concentric circles are called tracks. Further,
these tracks are divided into a number of sectors. The division of tracks and sectors on
the disk are made only for storing and retrieving the information stored. However, these
divisions are not done physically. The track is divided into a number of sectors and these are
logical areas on disks. The information is stored in the disk in the form of logic 1 or logic
0 states employing magnetic domains. The logic 1 state is represented by one direction of
the magnetic domain, while the logic 0 state is represented by the domain in the opposite
direction. The reading and writing of data in the disk are carried out after inserting the disk
in the floppy drive by the read/write head which is available in the floppy drive.

Fig. 20.49 Magnetic floppy disk—tracks and sectors

 Magnetic Materials 20.61

Fig. 20.50 Floppy disk

Generally, floppy disks are available in three different formats, namely, single,
double and very high density. The techniques such as Frequency Modulation (FM)
and Modified Frequency Modulation (MFM) are employed for reading/writing the
single, double and very high density disks.
A simple floppy disk consists of a write protect notch, a head slot, a write protect
tab and a hard plastic/thin vinyl covering cover. The read/write head is in contact
with the disk through the head slot. The write protect notch/tabs is used to protect the
stored information and also to control the reading and writing of data on the disk. The
floppy disks are available in two different sizes, namely, 5.25 and 3.5 inches, both
in double and high-density formats. The schematic representations of 5.25 and 5.15
inch floppy disks are shown in Fig. 20.50. The size and storage capacity of floppy
disks are given in Table 20.9.

table 20.9  The size and storage capacity of floppy disks

Size inch Format Storage capacity
5.25 DD 360 KB

HD 1.2 MB

5.15 DD 7.20 KB

HD 1.44 MB

20.20 MAGnEtic hArd diSk

A magnetic hard disk is made up of a very thin disk using metals and metal alloys. Soft
magnetic materials are coated on both sides of the disk. The disk consists of thousands
of concentric circles with increasing diameter from the centre. These concentric circles
are known as recording tracks. The data are stored in the recording tracks using the
read/write arm as shown in Fig. 20.51. Similar to the floppy disk, the hard disk is also
divided into sectors.
Generally, the storage capacity of a single disk is very low. The hard disk capacity
is increased by making a number of disks on a single driver unit as shown in
20.62 Engineering Physics

Fig. 20.52. This driver unit is called a disk pack. The disk pack is enclosed in a dustfree
airtight container.

Fig. 20.51 Magnetic hard disk

Fig. 20.52 Magnetic hard disk pack

The magnetic hard-disk pack consists of a number of disks, read/write head and
moving arm. The disks are rotated using the disk-drive unit. Each disk has a read/
write head which is attracted with a moving arm. The moving arm helps to select the
particular disk and sector for recording and reading purposes. The amount of data
stored in a hard disk depends on its capacity. Different types of hard disks and their
storage capacities are given in Table 20.10.

table 20.10  Hard disk size and its storage capacity

S. No. Size inches Storage capacity

1. 1.8 160 GB

2. 2.5 500 GB

3. 3.5 500–1000 GB
 Magnetic Materials 20.63

20.21 coMPutEr AidEd toMoGrAPhy

In recent years, computers have found enormous applications due to technological
development. Computers are used for imaging, data acquisition, processing and
display of pictures in medicine. This helps physicians solve medical problems in a
simple way. Computer aided softwares help to obtain the three-dimensional image
of the object.
Tomography is a technique used to slice (or) section an arbitary plane through a
patient’s body in order to view the net plane in detail. Computer aided tomography
(CAT) helps to obtain 3D images and to get sections of images to better explore
the inner fine details of tissues. Ultrasonography, X-rays, Computed Tomography
(CT), Single Photon Emission Computed Tomography (SPECT), Pointer Emission
Tomography (PET) and Nuclear Magnetic Resonance Imaging (NMRI) are some of
the computer aided tomographic applications in imaging techniques.

20.21.1 nuclear Magnetic resonance imaging

A Nuclear Magnetic Resonance (NMR) imaging technique is a standard spectroscopic
technique used for characterisation of materials. The phenomenon of nuclear
magnetic resonance was discovered by F Block and E. Purcell in 1946. In1972,
the concept of NMR was used to study living organs like tumors by means of
obtaining an image of the organs. The image obtained using NMR signals is known
as Magnetic Resonance Image (MRI). The magnetic signals are used to obtain the
image by penetrating through medium like human tissues and air-filled structures
with less attenuation.

20.21.2 Magnetic resonance imaging

We know that the human body is composed of tissues which contain water and fat.
The major constituents of water and fat are hydrogen. The nucleus of an atom has a
single proton which is a neutral choice for using the Magnetic Resonance (MR) to
image the body. The response of a proton to the applied magnetic field is large in
nature. Hence, the magnetic resonance image is based on the interaction between the
applied magnetic field and the nucleus.
Consider that the nucleus of a hydrogen molecule is a small magnet. When the
nucleus is in the direction of the applied field, it gains low energy and while it is in
the opposite direction, it gains more energy. Thus, the direction of the nucleus changes
based on the direction of the applied external field. The energy observed by the nucleus
is emitted when it returns back to the equilibrium state. The process of absorption
and emission takes place only at the resonant condition. The emitted energy from the
nuclei is used to construct the image of the object.
The block diagram of an MRI system is shown in Fig. 20.53. It consists of a
magnet, an rf power amplifier, transmitter/receiver coils, gradient amplifier/coil,
computers and necessary softwares. The patient is subjected to a strong, uniform
and stable magnetic field produced by the magnet. The magnet is placed very close
to the patient. The three different gradient coils, namely, x, y and z are used to
produce a controlled non-uniform magnetic field in all directions of the exposed
20.64 Engineering Physics

area of the body. The transmitter and receiver coils are placed on both sides of the
patient so as to produce and receive the gradient field. When the frequency of a
magnetic field which is present on the patient and a linear gradient field produced
by the rf coils reaches the resonant condition, the superposition of the field takes
place. When the resonance frequency of the processing nucleus is measured in the
direction of the magnetic field, it gives a one-dimensional image of the object. The
three/two-dimensional image of the object is obtained employing the x, y and z
directions of the gradient coils. The applied magnetic fields interact with the nucleus
which possesses the spin and gives out the magnetic resonance. The strength of the
magnetic field and the motion of gradient coils are controlled employing computer
controlled software.

Fig. 20.53 Block diagram of magnetic resonance imaging

The receiver coil receives the magnetic resonance signals from the object. The
received signals are amplified and then the image of the object is constructeded on the
computer screen. During the construction of image, the Fourier transformation analysis
is used to obtain MR images. The high quality MR images are obtained employing
high temperature superconducting magnets and high resolution receiver coils. NMR
has an excellent contrast behavior on soft tissues and hence, it is used to image objects
such as the brain and spinal cord. Due to the development of instrumentations and
image processing techniques, NMR is used to obtain the image of moving organs like
the chest and abdomen.
 Magnetic Materials 20.65

keypoints to remember

• Materials which are magnetised by the application of external field are known as
magnetic materials.
• Materials which are not magnetised by the application of external field are known
as non-magnetic materials.
• The north and south poles of a magnet are known as magnetic dipoles.
• The magnetic field strength is the force experienced by a unit north pole placed
at that point.
• The magnetic moment per unit volume is known as magnetisation or intensity of
magnetisation (M = Mm/V).
• The magnetic susceptibility is defined as the ratio of magnetisation to magnetic
field (c = M/H).
• Magnetic permeability is defined as the ratio of amount of magnetic density to
applied magnetic field intensity (m = B/H).
• The permeability and susceptibility are related as mr = 1 + c.
• The magnetic materials are classified as diamagnetic, paramagnetic, ferromag-
netic, antiferromagnetic and ferrimagnetic materials.
• A diamagnetic material repels magnetic lines of force.
• The Curie law for paramagnetism is c = C/T.
• Ferromagnetic materials exhibit spontaneous magnetisation even in the absence
of an external field.
• Ferromagnetic material has two characteristic behaviours, namely, below the
Curie temperature (qf), it behaves as a ferromagnetic material and above the Curie
temperature, it behaves as paramagnetic material.
• Neel temperature is a critical temperature below which the material exists with
antiparallel arrangements.
• Lenz’s law states that the magnetisation (M) will oppose the applied magnetic
field (H).
• The drawbacks of Langevin theories of paramagnetism are that it fails to explain
the relationship between para and ferromagnetism and the deviation exhibited in
many substances like compounds and cooled gases.
• Internal or field concept of Weiss theory is used to explain the complicated tem-
perature dependence of susceptibility of paramagnetic materials.
• The paramagnetic Curie temperature is always greater than the ferromagnetic
Curie temperature.
• The alignment of all spin magnetic moments in a small region is known as
magnetic domain.
• The internal field which is present in a ferromagnetic material is known as
exchange force.
20.66 Engineering Physics

• During the growth of domain, the internal energy is due to the net contribution of
magnetostatic, anisotropy, domain wall and magnetostriction energies.
• During the rotation of domains walls, it gives out some fluctuations in domains
due to irregular rotations which are termed as Barkhausen effect.
• When the applied field is reduced to zero, the existence of non-zero magnetisation
is known as remanant magnetisation.
• Exchange interaction energy is used to explain the parallel and antiparallel
arrangements of magnetic spin respectively in ferro and paramagnetic materials.
• The general chemical formula for ferrites is Me 2 + Fe23+ O42 - .
• Soft magnetic materials are easy to magnetise and demagnetise.
• Hard magnetic materials are difficult to magnetise and demagnetise.
• The energy products of magnetic materials measure the amount of energy stored
in a hard magnetic material.
• Magnetic materials are used in recording/reading head and magnetic devices.
• In an audio cassette, the reading process in based on the principle of Faraday’s
law of induction.
• Ferromagnetic properties of magnetic materials are used to store digital
information in magnetic storage devices.

Solved Problems

Example 20.1 A magnetic material has a magnetisation of 2300 A m-1 and

produces a flux density of 0.00314 Wb m-2. Calculate the magnetising force
and the relative permeability of the material.
Given Data
Magnetisation M = 2300 A m-1
Flux density B = 0.00314 Wb m-2
Solution
We know that, the magnetic flux density is

B = m0 ( M + H )

Rearranging the above equation, we get,

B
The magnetising force H= -M
m0
Substituting the values, we get,
0.00314
= - 2300
4 p ¥ 10-7
= 198.7326 A m -1
 Magnetic Materials 20.67

M
The susceptibility c = = mr - 1
H
where mr is the relative permeability, i.e.
M
or mr = +1
H
Substituting the values of M and H, we get,
2300
= +1
198.7236
= 12.57334

The magnetising force H is 198.7326 A m-1 and the relative permeability mr is
12.57334.
Example 20.2 A paramagnetic material has a magnetic field intensity of
104 A m-1. If the susceptibility of the material at room temperature is 3.7 ¥ 10-3,
calculate the magnetisation and flux density of the material.
Given Data
The magnetic field intensity H = 104 A m-1
The susceptibility c = 3.7 ¥ 10-3
Solution
We know that the susceptibility
M
c=
H
The magnetisation M = cH
= 3.7 ¥10-3 ¥104
= 37 A m -1
We know that the flux density
B = m0 ( M + H )
Substituting the values of M and H, we get,
-7 4
= 4 p ¥ 10 ¥ (37 + 10 )

= 1.26 ¥ 10-2 Wb m -2

The magnetisation in the material is 37 A m-1 and flux density in the material
is 1.26 ¥ 10-2 Wb m -2 .

Example 20.3 The magnetic field strength of copper is 106 ampere/metre. If

the magnetic susceptibility of copper is -0.8 ¥ 10-5, calculate the flux density
and magnetisation in copper
20.68 Engineering Physics

Given Data
The magnetic field intensity H = 106 A m-1
The susceptibility c = -0.8 ¥ 10-5

Solution
M
The susceptibility c=
H
The magnetisation M = cH
= -0.8 ¥ 10-5 ¥ 106
= -8 A m-1

The flux density B = m0 ( M + H )

Substituting the values of M and H, we get,

= 4p ¥10-7 ¥ (-8 +104 )

= 1.26 ¥ 10-2

The flux density in the material is 1.26 ¥10-2 Wb m -2

Example 20.4 A magnetic filed of 1800 ampere/metre produces a magnetic
flux of 3 ¥ 10-5 weber in an iron bar of cross sectional area 0.2 cm2. Calculate
permeability.

Given Data
Magnetising field intensity H = 1800 A m-1
Magnetic flux f = 3 ¥ 10-5 Wb
Area of cross-section A = 0.2 ¥ 10-4 m2
Solution
f
We know that the magnetic flux density B =
A
Substituting the values, we get,
3 ¥ 10-5
=
0.2 ¥ 10-4
B = 1.5 Wb m-2
B
We know that the permeability m =
H
Substituting the values of B and H, we get,
1.5
m=
1800
The permeability is 8.333 ¥ 10-4 H m-1.
 Magnetic Materials 20.69

Example 20.5 The saturation magnetic induction of nickel is 0.65 weber/

metre2. If the density of nickel is 8906 kg/m3 and atomic weight is 58.7, calculate
the magnetic moment of the nickel atom in Bohr magnetron.
Given Data
Magnetic induction of nickel B = 0.65 Wb m-2
Density of nickel r = 8906 kg m-3
Atomic weight M = 58.7
Solution
We know that the magnetic flux is
B = N m0mm
where N is the number of atoms per unit volume (atoms/m3) and it is given by
density×Avagadra's number
N =
Atomic number

r NA
=
M
Substituting the values, we get
8906 ¥ 6.023 ¥ 1026
N =
58.7
= 9.14 ¥ 1028 atoms m-3
The magnetisation produced per atom
B
mm =
N m0

Substituting the values of B, N and m0, we get,

6.5
mm =
9.14 ¥ 10 ¥ 4p r ¥ 10-7
28

= 5.66 ¥ 10-24 A m2
We know that 1 Bohr magnetron
= 9.27 ¥ 10-24 A m2
5.66 ¥ 10-24
mm =
9.27 ¥ 10-24
  mm = 0.61 Bohr magneton
The magnetic moment of the nickel atom is 0.61 Bohr magneton.
20.70 Engineering Physics

Example 20.6 A paramagnetic material has bcc structure with a cube edge
of 2.5Å. If the saturation value of magnetisation is 1.8 ¥ 106 A m-1, calculate
the average magnetisation contributed per atom in a Bohr magneton.
Given Data
The interatomic spacing a = 2.5 ¥ 10-10 m
The magnetisation M =1.8 ¥ 106 A m-1
Solution
The number of atoms present per unit volume
Number. of atoms present in an unit cell
=
Volume of the unit cell

2
= = 1.28 ¥ 1029 m -3
-10 3
(2.5 ¥ 10 )
The magnetisation produced per atom
1.8 ¥106
=
1.28 ¥1029
=1.40625 ¥10-23 A m 2
eh
Bohr magneton, b =
4p m

1.6 ¥ 10-19 ¥ 6.625 ¥ 10-34

=
4 p ¥ 9.1 ¥ 10-31
-24 2
= 9.27 ¥10 A m
The magnetisation produced per atom
1.40625 ¥ 10-23
=
9.27 ¥ 10-24
= 1.517 Bohr magneton
The average magnetisation contributed per atom = 1.517 Bohr magneton.
Example 20.7 A system of electron spins is placed in a magnetic field of 2
wb m-2 at a temperature T. The number of spins parallel to the magnetic field is
twice as large as the number of antiparallel spins. Determine T using classical
statistics.
Given Data
A system of electron spins is placed in a magnetic field = 2 Wb m-2
Solution
The number of electron spins orienting in any direction making an angle q with
the applied field is
n = c ¥ no ¥ exp (- Eg / kT )
 Magnetic Materials 20.71

where Eg = -m•H with the orientation direction perpendicular to the field taken
as reference.
For parallel orientation potential energy = -mH
For antiparallel orientation potential energy = mH

i.e., n p = C ¥ n0 ¥ exp ( m H / kT )

n p = C ¥ n0 ¥ exp (- m H / kT )

Hence np exp ( m H / kT )
=
na exp (- m H / kT )
= exp (2 m H / kT )
Therefore, the electron spins is placed in a magnetic field of 2 Wb m-2
np
=2
na

Hence exp (2 m H / kT ) = 2

Taking loge on both sides, we get,

loge 2 = 2 m H / kT

2 ¥ m ¥ H
or T=
log 2 ¥ k
Substituting the value of m, H and k, we get,
2 ¥ 9.4 ¥ 10-24 ¥ 2
=
0.6931 ¥ 1.38 ¥ 10-23
The temperature of the system T is 3.9 K.
Example 20.8 The rare earth element gadolinium is ferromagnetic below
160C with 7.1 Bohr magnetron per atom. Calculate the magnetic moment per
gram. What is the value of saturation magnetisation, given that the atomic weight
of gadolinium is 157.26 and its density is 7.8 ¥ 103 kg m-3?

Given Data
Bohr magnetron per atom = 7.1 b
Atomic weight of Gd =1.8 ¥ 106 A m-1
The density of Gd = 7.8 ¥ 103 kg m-3
Solution
We know that the number of atoms N is the number of atoms per unit volume
(atoms/m3) in 1 kg is
density×Avagadra's number
N =
Atomic number
20.72 Engineering Physics

r NA
=
M
Substituting the values, we get
7800 ¥ 6.023 ¥ 102b
N =
157.26
= 298.836 ¥ 1026 atoms m-3
The magnetic moment per 1 gram atom
= 298.836 ¥ 102b ¥ 7.1 Bohr magnetron
= 298.836 ¥ 102b ¥ 7.1 ¥ 9.27 ¥ 10-24
= 1966.849 A m2
We know that the saturation magnetisation
Bs = Nm0mm
Substituting the values, we get,
= 298.836 ¥ 1026 ¥ 4p ¥ 10-7 ¥ 9.27 ¥ 10-24 Wb m-2
= 2.4726 Wb m-2
Therefore, the saturation magnetic field of Gd atom is 2.4726 Wb m-2.

Example 20.9 Calculate the saturation magnetisation for Fe3O4 given that
each cubic unit cell contains 8 Fe2+ and 16Fe3+ ions, and that the unit cell edge
length is 0.839 nm.
Given data
Interatomic distance a = 0.839 ¥ 10-9 m
Solution
Fe3O4 is ferrous ferrite (FeO.Fe2O3). It contains 16 Fe3+ and 8 Fe2+ ions per
unit cell. If a single Fe3O4 molecule is considered, one Fe2+ and one Fe3+
ions occupies octahedral site and another Fe3+ ion occupies tetrahedral site.
The magnetic moments of Fe2+ and Fe3+ ions are 4b and 5b respectively. The
magnetic moment per Fe3O4 molecule is 4b. That is, the magnetic moment is
contributed by Fe2+ ions. There are 8 Fe2+ ions in a unit cell. Therefore, the
magnetic moment per unit cell is 8 ¥ 4b =32b.
The magnetisation is defined as the magnetic moment per volume. Therefore,
saturation magnetisation, Ms = (magnetic moment / unit cell)/volume of the unit
32b
cell M s = , where V is the volume of the unit cell. The unit cell is cubic and
V 3
its volume is a .
-24
32b 32 ¥ 9.27 ¥ 10 -5
Therefore, Ms = = 3 = 5.022776 ¥ 10 A m-1.
V (
0.839 ¥ 10-9 )
The saturation magnetisation is 5.023 ¥ 10-5 A m-1.
 Magnetic Materials 20.73

Example 20.10 Nickel is fee and its magnetic moment per atom is 0.6b. Its
density and atomic weight are 8.9 g cm-3 and 58.71. Calculate (a) the saturation
magnetisation and (b) the saturation flux density.

Given data
Density of Ni = 8900 kg m-3
Atomic weight = 58.71
The magnetic moment / atom = 0.6b
Solution
Saturation magnetisation, Ms = magnetic moment per atom ¥ number of atoms /
volume
= 0.6bN

density × Avogadro constant

Number of atoms per volume, N=
atomic weight

8900 ¥ 6.022 ¥ 1026

= = 9.1289 ¥ 1028
58.71
Saturation magnetisation, Ms = 0.6 ¥ 9.27 ¥ 10-24¥ 9.1289 ¥ 1028
= 5.077 ¥ 105 A m-1.

Saturation flux density, Bs = moMs = 4p ¥ 10-7 ¥ 5.077 ¥ 105

= 0.638 Wb m-2.
The saturation magnetisation is 5.077 ¥ 105 A m-1.
The saturation flux density is 0.638 Wb m-2.

Example 20.11 Calculate the saturation magnetisation of gadolinium. Its

atomic weight, atomic number and density are respectively 157.25, 64 and
7860 kg m-3.
Given data
Atomic weight = 157.25
Atomic number = 64
Density = 7860 kg m-3
Solution
There are eight unfilled electrons and hence the magnetic moment per atom of
gadolinium is 8b, since the dipole moment contributed by one electron is 1b. The
total spin is 8 ¥ ½ = 4. The number of unfilled electrons is determined by writing
the electronic configurations. For gadolinium, the electronic configurations are
written as, 1s2, 2s2, 2p6, 3s2, 3p6, 4s2, 3d10, 4p6, 5s2, 4d10, 5p6, 6s2, 4f7 and 5d1.
We know that the saturation magnetisation,
Ms = 8bN
20.74 Engineering Physics

density × Avogadro constant

Number of atoms per volume, N =
atomic weight
Substituting the values, we get,

8 ¥ 9.27 ¥ 10-24 ¥ 7.86 ¥ 103 ¥ 6.022 ¥ 1026

=
157.25
= 2.23 ¥ 106 A m-1

The saturation magnetisation of gadolinium is 2.23 ¥ 106 A m-1.

objectives Questions

20.1 The materials which are magnetised are known as _________ materials.
20.2 ________ materials are not possible to magnetise.
20.3 The magnetic dipoles are not separate poles unlike an electric pole. (True/
False)
20.4 The magnetic induction is equal to B =
a) fA b) f/A
c) fA/H d) fH/A
20.5 The magnetic dipole moment mm = _______
20.6 The intensity of magnetisation M = ________
20.7 The magnetic susceptibility is equal to ________
a) c = mH b) c = mH/B
c) c = m/H d) c = mB/H
20.8 The magnetic permeability is equal to _______
a) m = B/H b) m = BH
c) m = B d) none of these
20.9 The permeability of free space is equal to ________ H m-1.
20.10 The relation between permeability and susceptibility is _______
a) mr = 1/c b) mr = 1c
c) mr = c d) mr = 1 + c
20.11 The value of one Bohr magneton is 1b = _________ A m-2.
20.12 All materials exhibit diamagnetic property. (True/False)
20.13 Examples for diamagnetic materials are ________, ________, _________ and
____________.
20.14 Diamagnetic materials do not repel magnetic lines of force. (True/False)
20.15 The Weiss law for paramagnetism is _________
a) c = T b) c = CT
c) c = C/T d) c = C
20.16 ________ materials exhibit spontaneous magnetisation.
 Magnetic Materials 20.75

20.17 Curien–Weiss law is __________

C C
a) c = b) c =
T -q 2T - q
C
c) c = d) none of these
T +q
20.18 The dipoles are aligned antiparallel with equal magnitude in ________
materials.
20.19 Examples for antiferromagnetic materials are _______, ________and
_________.
20.20 The orbital angular magnetisation of an electron _________
lh lh
a) m a = b) m a =
p 4p
lh lh
c) m a = d) m a =
2p 8p
20.21 The spin angular moment and magnetic moment are related as
e
a) m = e m b) m m = - ms
m
2m
s 2m
e
c) e d) m m = - m s
mm = ms m
m
20.22 The nuclear magneton is equal to _________
eh eh
a) m m = b) m m =
2p M N 4 p MN
eh eh
c) m m = d) m m =
6p M N 8p M N
20.23 Examples for inert gases are _______, __________ and ________.
20.24 The paramagnetism principle is explained by ________ theory.
20.25 The complicated temperature dependence of susceptibility of paramagnetic
materials is explained by ________ theory.
20.26 The force acquired by a paramagnetic material due to application of field
_______
1 ∂ 1 ∂
a) F = ( c 2 + c1 ) V m 0 ( H 2 ) b) F = ( c 2 + c1 ) V m 0 ( H 2 )
4 ∂x 2 ∂x
1 ∂ 1 ∂
c) F = ( c 2 - c1 ) V m 0 ( H 2 ) d) F = ( c 2 - c1 ) V m 0 ( H 2 )
8 ∂x 4 ∂x
20.27 ___________ method is used to determine the susceptibility of a paramagnetic
material.
20.28 The susceptibility of a liquid paramagnetic material is determined using ______
method.
20.29 Examples for ferromagnetic methods are __________, _________ and
__________.
20.76 Engineering Physics

20.30 The paramagnetic Curie temperature is greater than ferromagnetic Curie

temperature. (True/False)
20.31 The paramagnetic Curie temperature of Fe, Co and Ni are respectively _______,
_________ and __________.
20.32 According to Weiss theory, the internal field produced in a material is equal to
_________.
a) Hi = gM b) Hi =2gM
c) Hi = 3gM d) Hi =4gM
20.33 The internal field present in a ferromagnetic material is known as ________
force.
20.34 The irregular fluctuation in domains due to irregular rotation during the rotation
of domain wall is known as _______ effect.
20.35 The magnetic spin arrangements are explained using ________ energy.
20.36 Exchange interaction energy between any two electrons is ________.
a) Eex = +2 Jex Si Sj b) Eex= + 4 Jex Si Sj
c) Eex = - 2 Jex Si Sj d) Eex = - 4 Jex Si Sj
20.37 When the value of r/rd is higher than 3 then the material is known as _______
material.
20.38 __________ materials have the value of r/rd less than 3.
20.39 _________ is the general chemical formula for ferrites.
20.40 The hysteresis curve exhibited by ferrites is in the form of ________.
20.41 The soft magnetic materials can be magnetised easily. (True/False)
20.42 _______ magnetic materials are difficult to magnetise and demagnetise.
20.43 The energy stored in hard magnetic materials is measured using the
_______.
20.44 ________ magnetic materials are used to make recording head.
20.45 High remanant magnetisation materials are used for storage devices. (True/
False)
20.46 Examples for storage magnetic materials _________, __________ and
________.
20.47 ___________ magnetic materials are used as magnetic bubbles.
20.48 Examples for magnetic bubbles devices ________, _________ and
________.
20.49 The principle behind magnetic storage device to store digital data is ________
properties.
20.50 The number of characters stored in an 18-track tap is ________ characters per
inch.
20.51 During the read/write process, the floppy disk is rotated at speed of _____
rpm.
20.52 _________ modulation is used to write/read data in single density format
disk.
20.53 The read/write process is done by using __________ modulation in case of
double density disks.
20.54 The different sizes of storage disks are _______, ______ and _____ inch.
20.55 Expand CET.
20.56 Acronym for NMR.
20.57 Expansion for MRI.
20.58 Expand PET and SPECT.
 Magnetic Materials 20.77

kEy
20.1 Magnetic 20.2 Non-magnetic
20.3 True 20.4 b)
20.5 m2 20.6 Mm/V
20.7 c) 20.8 a)
20.9 4p ¥ 10-7 20.10 d)
20.11 9.27 ¥ 10-24 20.12 False
20.13 Copper, gold, mercury and silver 20.14 False
20.15 c) 20.16 Ferromagnetic
20.17 d) 20.18 Antiferromagnetic materials
20.19) Ferrous oxide, magnese oxide and 20.20 c)
chromium oxide
20.21 d) 20.22 b)
20.23 He, Ne, and Ar 20.24 Langevin’s
20.25 Weiss theory 20.26 d)
20.27 Gouy’s 20.28 Quincke’s
20.29 Fe, Co, Ni 20.30 True
20.31 1043 K, 1393 K, 631 K 20.32 a)
20.33 Exchange 20.34 Barkhausen
20.35 Exchange interaction 20.36 c)
20.37 Ferromagnetic materials 20.38 Antiferromagnetic
20.39 Me 2+ Fe3+ 2-
2 O4 20.40 Square
20.41 False 20.42 Hard
20.43 Energy product 20.44 Soft
20.45 True 20.46 g - Fe 2 O3 , Co
modified g - Fe 2 O3,
metallic particles
20.47 Soft 20.48 RFeO3, R3Fe5O12, 6Fe12O19
20.49 Ferromagnetic 20.50 3800
20.51 300 20.52 Frequency
20.53 Modified frequency 20.54 3.5, 5.25, 8
20.55 Computer aided tomography 20.56 Nuclear magnetic resonance
20.57 Magnetic resonance imaging 20.58 Positron emission tomography
and emission corrupted tomog-
raphy with single photon

Exercises

20.1 The magnetic field strength in a piece of copper is 106 A m-1. Given
that the magnetic susceptibility of Cu is -0.5 ¥ 10-5, find the flux
density and the magnetisation in Cu.
20.78 Engineering Physics

20.2 The saturation value of the magnetisation of iron is 1.75 ¥ 106 A m-1.
Given that iron has bcc structure with an elementary cube edge of
2.86 Å, calculate the average number of Bohr magneton contributed
to the magnetisation per atom.
20.3 The magnetic field in a piece of Fe2O3 is A m-1. Given that the sus-
ceptibility of Fe2O3 at room temperature is 1.4 ¥ 10-3, find the flux
density and the magnetisation in the material.
20.4 Calculate (a) saturation magnetisation, and (ii) the saturation flux density
of nickel ferrite (NiFe2O4)8 which has a unit cell edge length of 0.8337
nm.
20.5 The magnetic flux density within a bar of some material is 0.630 Wb
m-2 at a field H of 5 ¥ 105 A m-1. Compute the following for this
material, (a) the magnetic permeability, and (b) magnetic susceptibility
(c) What type(s) of magnetism would you suggest by this material?
Why?
20.6 An iron bar of coercivity of 4000 A m-1 is to be demagnetized. If the
bar is inserted within a cylindrical wire coil 0.15 m long and having
100 turns, what electric current is required to generate the necessary
magnetic field? [Hint: B = mo ¥ turns/length ¥ I]

Short−Answer Questions

20.1 Define magnetic materials.

20.2 What is meant by non-magnetic materials?
20.3 Define magnetic dipole.
20.4 What is magnetic moment?
20.5 Explain magnetic induction.
20.6 Define the term magnetic flux density.
20.7 Explain magnetic field strength.
20.8 What is meant by magnetisation?
20.9 Define the term magnetic susceptibility.
20.10 Define magnetic permeability.
20.11 Define Bohr magneton. What is its unit?
20.12 What is a diamagnetic material?
20.13 What are the different types of magnetic materials?
20.14 Mention the magnetic materials having permenant magnetic moment.
20.15 Mention the properties of a diamagnetic material.
20.16 What is a paramagnetic material?
20.17 Mention the properties of a paramagnetic material.
20.18 Distinguish diamagnetic and paramagnetic materials.
20.19 What is a ferromagnetic material?
20.20 Explain the properties of a ferromagnetic material.
20.21 Define the terms: (i) retentivity (ii) coercivity.
 Magnetic Materials 20.79

20.22 List out the properties of ferromagnetic materials.

20.23 Explain an antiferromagnetic material.
20.24 What are the properties of an antiferromagnetic material?
20.25 What are ferromagnetic materials?
20.26 Distinguish between ferromagnetic and antiferromagnetic materials.
20.27 Explain the properties of ferromagnetic materials.
20.28 What is meant by internal field of a paramagnetic material?
20.29 What is a domain?
20.30 Write down the applications of ferrites.
20.31 What is a hard magnetic material?
20.32 What are the properties of a hard magnetic material?
20.33 What are soft magnetic materials?
20.34 Distinguish between soft and hard magnetic materials.
20.35 List out the properties of a soft magnetic material.
20.36 Mention the applications of a soft magnetic material.
20.37 Mention the applications of a hard magnetic material.
20.38 Define the term energy product of a magnetic material.
20.39 What are ferities?
20.40 What is Bohr magnetism?
20.41 Mention the applications of ferrites.
20.42 Define orbital angular momentum of an electron.
20.43 Explain spin angular momentum of an electron.
20.44 State Lenz’s law of magnetisation.
20.45 What is meant by Langevin’s function?
20.46 Define saturation magnetisation.
20.47 Mention the drawbacks of Langevin theory.
20.48 Explain Weiss theory of paramagnetism.
20.49 What is Curie–Weiss law?
20.50 Explain the principle behind Gouy’s method.
20.51 Give four examples of ferromagnetic materials.
20.52 Define paramagnetic Curie temperature.
20.53 What is ferromagnetic Curie temperature?
20.54 What is meant by hysteresis curve?
20.55 What is B-H curve?
20.56 What is M-H curve?
20.57 Explain the domain concept.
20.58 What is meant by exchange force?
20.59 Define spontaneous magnetisation.
20.60 What is meant by magnetic domain?
20.61 Define magnetostatic energy.
20.62 What is magnetostriction energy?
20.63 Define molecular field.
20.64 What is meant by Neel temperature?
20.65 Gibe any two examples for inverse spinal.
20.66 Write the chemical formula for regular spinal.
20.67 Differentiate +Ms and -Ms.
20.68 Mention any four applications of ferrites.
20.69 Define the term ‘energy product’ of a magnetic material.
20.80 Engineering Physics

20.70 What is a floppy disk?

20.71 What is a hard disk?
20.72 What is magnetic tape?
20.73 What are magnetic bubbles?
20.74 What is the magnetic principle used in computer data storage?
20.75 Explain the process of magnetic recording in an audio tape.
20.76 Explain the process of reading in an audio tape.
20.77 Mention some materials used for magnetic recording.
20.78 What is meant by Bloch wall?
20.79 What is saturation strain?
20.80 What is Barkhausen effect?
20.81 What is meant by exchange interaction?
20.82 What is hard direction in a magnetic material?
20.83 What is easy direction in a magnetic material?
20.84 What do you mean by anisotropy energy?
20.85 What is ferrite core memory?

descriptive Questions

20.1 What is meant by permanent dipole moment? Explain the origin of permanent
dipole moment in magnetic materials.
20.2 What is a magnetic material? Distinguish between a hard and a soft magnetic
material.
20.3 What is diamagnetic material? Explain the Langevin’s classical theory of
diamagnetism and hence derive an expression for the susceptibility of a
diamagnetic material.
20.4 What is paramagnetic material? Explain the Langevin’s classical theory of
paramagnetism and hence derive an expression for the susceptibility of a
paramagnetic material.
20.5 What are the drawbacks of the Langevin’s classical theory of paramagnetism?
Explain how the drawback of Langevin’s theory is overcome in Weiss theory
and hence derive an expression for the susceptibility of a paramagnetic material
using Weiss theory.
20.6 Using a two-level quantum mechanical model, derive an expression for the
susceptibility of a paramagnetic material.
20.7 Derive an expression for the susceptibility of a paramagnetic material
usingquantum theory.
20.8 Explain the experimental determination of the paramagnetic susceptibility of
a (i) solid using Gouy’s method, and (ii) a liquid using Quincke’s method.
20.9 Explain the Weiss theory of ferromagnetic materials. Explain how the saturation
magnetisation is explained using Weiss internal field concept.
20.10 What are magnetic domains? Explain, with suitable sketches, the hysteresis
property of a ferromagnetic material.
 Magnetic Materials 20.81

20.11 What is an antiferromagnetic material? Explain the antiparallel alignment of

dipoles in antiferromagnetic material with suitable sketch and hence derive
an expression for the susceptibility of an antiferromagnetic material.
20.12 (a) Explain the Heisenberg theory ferromagnetism.
(b) Explain the hysteresis curve using domain concept.
20.13 What are ferrites? Explain the different types of structures of ferrites with
suitable diagrams and hence explain the antiparallel alignment of dipoles in
ferrites using magnetic moment calculations.
20.14 Explain the magnetic principle involved in computer data storage and hence
explain how the data are stored in (i) magnetic tape, (ii) floppy disk, and (iii)
hard disk.
20.15 What do you understand by magnetic exchange interaction of dipoles? Explain
the Heisenberg theory of ferromagnetism.
20.16 Write short notes on the following: (i) anisotropy energy, (ii) magnetostrictive
energy, (iii) magnetostatic energy, and (iv) domain wall energy.
20.17 Explain in detail the energy product of magnetic material. What is its
Importance?
20.10 Explain in detail the process of recording and reading an audio tape.
Mention the magnetic materials used for storage media and recording head.
 Chapter

Dielectric Materials
21

OBJECTIVES
• To explain the dielectric nature of the material with necessary definitions
• To discuss the different types of polarization according to its dipoles
• To derive the local field of dielectric material
• To discuss the various types of dielectric materials and its application
• To derive the Claussius–Mosotti equation for the dielectric material and discuss
its importance
• To discuss the dielectric loss and explain the various factors to destroy the dielectric
properties
• To discuss the change in the polarization of selected dielectric materials as a function
of applied temperature and applied frequency
• To discuss the active and passive dielectric materials
• To find some applications of dielectric materials

21.1
i All dielectric materials are insulators. The distinction between a dielectric
n material and an insulator lies in the application to which one is employed.
t The insulating materials are used to resist the flow of current through it
when a difference of potential is applied across its ends. On the other hand,
r the dielectric materials are used to store electrical energy.
o A dielectric material is one which stores electrical energy with a
d minimum dissipation of power, since the electrons are bound to their
U parent molecules and hence, there is no free charges.
Let us consider some important terms related to this section.
c
t
i
o
n
 21.2 Engineering Physics

21.2 dEFinitionS
(i) Electric Field Intensity or Electric Field Strength Consider a point charge dq in
the region of an electric field. Let F be the force acting on the point charge dq.
The force per unit test charge dq is known as electric field strength (E), given by
F Q
E= = (21.1)
dq 4p e r 2
From Coulomb’s law, when two point charges Q1 and Q2 are separated by a distance
r, the force of attraction or repulsion between the two charges is
Q1Q2
F= n̂ (21.2)
4p e r 2
where e is the permittivity or dielectric constant of the medium in which the charge
is placed. For vacuum, e = e0 = 8.854 ¥ 10–12 F m–1.
(ii) Electric Flux Density or Electric Displacement Vector The electric flux density
or electric displacement vector D is the number of flux lines crossing a surface normal
to the lines, divided by the surface area.
The electric flux density at a distance r from the point charge Q can be written as,
Q
D= (21.3)
4p r 2
where 4p r2 is the surface area of a sphere of radius r.
From Eqs (21.1) and (21.2), we get,
D = eE = e0E + P (21.4)
where P is the polarisation and it has the same unit as D, i.e., coulomb per square
metre (c m–2).
(iii) Dielectric Parameters The dielectric parameters are
(a) Dielectric constant (er)
(b) Electric dipole moment (m)
(c) Polarisation (P), and
(d) Polarizability (a).
(a) Dielectric Constant The dielectric constant (er) of a material is defined as the
ratio of the permittivity of the medium (e) to the permittivity of free space (e0),
e
er = (21.5)
e0
where er, is the dielectric constant, which is a dimensionless quantity. The measure of
dielectric constant or relative permittivity gives the properties of a dielectric material.
The dielectric constant of air is one.
(b) Electric Dipole Moment Consider two charges of equal magnitudes but of
opposite polarities separated by a distance r, as shown in Fig. 21.1.
 Dielectric Materials 21.3

Fig. 21.1 Electric dipole

The arrangement of two equal and opposite charges + Q and – Q, separated by a

distance r is known as electric dipole. The product of magnitude of the charge and
the distance of separation is known as electric dipole moment (m).
m = charge ¥ distance Qr (21.6)
where m is the dipole moment and its unit is coulomb metre (c m). Since the dipole
moment is a vector, it points from the negative to the positive charges as shown in
Fig. 21.1.
The total dipole moment of a system constituting of point charges Q1, Q2, Q3, ..,Qn
and the distances of separation r1, r2,.., rn is
n
mtotal = ÂQ
i =1
i ri (21.7)

(c) Polarisation When an electric field is applied to a solid material consisting

of positive and negative charges, the positive charges are displaced opposite to the
direction of the field, while the negative charges are displaced in the direction of the
field. The displacement of these two charges create a local dipole in the solid. This
type of displacement of positive and negative charges by the application of electric
field leads to polarisation.
m
P= (21.8)
volume
where P is the polarisation in c m–2. The term, ‘Polarisation’ is defined as the induced
dipole moment per unit volume.
(d) Polarisability When a dielectric material is placed in an electric field, the
displacement of electric charges gives rise to the creation of dipole in the material.
The polarisation P of an elementary particle is directly proportional to the electric
field strength E
i.e., PµE
P=aE (21.9)
where a is a proportionality constant known as polarisability. The unit of a is F m2.
If the solid material contains N number of particles per unit volume, then the
polarisation can be written as,
P=NaE (21.10)
where a = ae + ai + a0. Here ae, ai and a 0 are respectively the electronic, ionic and
orientation polarisability. In the following sections, the above three polarisations are
discussed in detail:
 21.4 Engineering Physics

21.3 diFFErEnt tYPES oF PoLAriSAtionS

The application of an electric field to a dielectric material creates or realigns the
dipoles resulting in polarisation. There are four different types of polarisations. They
are listed below.
(i) Electronic or induced polarisation (Pe)
(ii) Atomic or ionic polarisation (Pi)
(iii) Orientation polarisation (P0), and
(iv) Interfacial or space charge polarisation

21.3.1 Electronic or induced Polarisation

A dielectric material consists of a large number of atoms. Let us, consider a dielectric
material consisting of only one atom, as shown in Fig. 21.2a. The nucleus is at its
centre while the electrons are revolving around the nucleus. When an electric field
is applied to this atom, the nucleus moves away from the field while the electrons
move towards the field. Therefore, there is a displacement between the nucleus and
the electrons. This displacement produces an induced dipole moment, and hence,
polarisation. The polarisation produced due to the displacement of electrons is known
as electronic polarisation.

e Ze
Ze
x
R

(a) (b)

Fig. 21.2 Electronic polarisation

Let Z and R be respectively the atomic number and radius of an atom. Similarly, let
e be the charge of an electron. If E is the electric field intensity applied to the atom,
then the force acquired by the nucleus is ZeE. Due to the application of the electric
field, there is a displacement x of the nucleus from its position. If a sphere is drawn
by taking x as the radius, then the entire portion of the atom is splitted into two. From
Gauss’s theorem it can be proved that the electron cloud present outside the small
sphere of radius x has no impact on the nucleus. Therefore, the nucleus exerts force
only due to the electron cloud present in the inner portion of the sphere of radius x.
Let the nucleus be present at the centre of the sphere of radius x and the electron
clouds are present throughout this sphere.
4 3
px
The charge inside the sphere = 3 Ze
4 3
pR
3
x3
fi = Ze (21.11)
R3
 Dielectric Materials 21.5

The Coulomb force acting between the nucleus and the electron clouds inside the
sphere of radius x is given by,
Ê - x3 ˆ
Z e Á 3 Z e˜
Ë R ¯
F= (21.12)
4p e 0 x 2
At equilibrium, the nucleus is balanced and hence, the total force on the nucleus is
zero. Therefore,
Ê x3 ˆ
Z e Á 3 Z e˜
ËR ¯
ZeE = 2
4p e 0 x
Simplifying the above equation, we get,
4p e 0 R 3 E
x= (21.13)
Ze
The induced dipole moment is given by
mind = Ze x
Substituting the value of x from Eq. (21.13) in the above equation, we get,
mind = 4p e0 R3E

or mind = ae E
where ae is the electronic polarisability and is equal to
ae = 4p e0 R3 (21.14)
It is clear from Eq. (21.14) that the electronic polarisability is directly proportional to
R3. From Eq. (21.14), the electronic polarisation can be written as,
Pe = N ae E (21.15)
Substituting the value of ae from Eq. (21.14) in the above equation, we get,
Pe = N 4p e0 R3 E
i.e.,
e0(er – 1) E = 4 N p e0 R3 E

er – 1 = 4 N p R3 (21.16)
where er is the dielectric constant of material.
The dielectric constant of Al at 1 atmospheric pressure is found to be 1.0000192129
and the number of dipoles per unit volume present is 2.7 ¥ 1025 atoms m–3. The value
of R obtained from Eq. (21.16) is 0.384 Å, which is of the order of the radius of an
atom. The displacement of electrons and nucleus due to the application of electric field
is a crude assumption which is not accepted by the atomic model. Anyhow, the results
obtained by using this assumption give the correct values of the atomic parameters.
Therefore, even though it is a crude model, it cannot be neglected.
 21.6 Engineering Physics

21.3.2 Atomic or ionic Polarisation

When an electric field is applied to an ionic No
crystal, the polarisation that arises due to field
the displacement of the positive ions away
from the field and the displacement of the
With
negative ions towards the field, is known field
as atomic or ionic polarisation. This type of
polarisation is produced in ionic molecules x2 x1
such as NaCl, KBr, KCl and LiBr.
Consider the arrangement of ionic mole- Fig. 21.3 Ionic polarisation
cules as shown in Fig. 21.3. In the absence of
electric field, there is no displacement of ions. When an electric field is applied, there
is a displacement of the positive and negative ions which produces an induced dipole
moment mi. This induced dipole moment in turn produces an induced polarisation.
The induced average ionic polarisation produced per ionic dipole is given by
Pi = ai Ei
The polarisation produced for a crystal having N number of dipoles per unit volume
is given by,
Pi = N ai Ei (21.17)
Let x1 and x2 be the displacements of the positive and negative ions, produced due
to the application of an electric field. The dipole moment induced is given by,
mi = e (x1 + x2)
Let F be the force experienced by the ions due to the application of the electric
field. The restoring force acting on the ions is directly proportional to their
displacements.
i.e., F µ x1
µ x2
= b1 x1 = b2 x2 (21.18)
where b1 and b2 are the proportionality constants and they are directly proportional
to the mass and angular frequency of the respective ions.
i.e., b1 µ m and b2 µ M

µ w02
Form Eq. (21.18), the force experienced by the positive and negative ions is given
by,
F = eE = mw02 x1 = Mw02 x2
eE eE
Therefore, x1 = and x2 =
mw 02 Mw 02
 Dielectric Materials 21.7

Substituting the values of x1 and x2, the induced dipole moment can be written as,
e2 È 1 1˘
mi = 2 Í
+ ˙E (21.19)
w0 Î m M ˚

e2 Ê 1 1ˆ
The ionic polarisability ai = Á + ˜ (21.20)
w 02 Ë M m ¯
Using Clausius–Mosotti equation, the dielectric constant for an ionic crystal can be
written as,
er - 1 Na i
= (21.21)
er + 2 3e 0
In addition to ionic polarisation, an ionic molecule also possesses electronic polarisation
due to the displacement of electron clouds. The electronic polarisation of an ionic
molecule will be in the order of 1/10th of ionic polarisation. Hence, its magnitude is
much smaller than the ionic polarisation.

21.3.3 dipolar or orientation Polarisation

The dipolar or orientation polarisation is produced only in case of polar molecules such
as H2O, HCl and nitrobenzene. When an electric field is applied to a polar molecule,
the dipoles experience a torque and try to align parallel to the applied field, which
results in a rotation of the dipoles. The mechanism of dipolar polarisation is shown
in Fig. 21.4.

– +
Cl H

(a) (b)
+Q
F = QE

F –
–Q
(c) (d)
Fig. 21.4 Dipolar polarisation: (a) the dipole in a HCl molecule, (b) the random
orientation of dipoles in the absence of electric field, (c) the rotation of
a dipole due to the applied electric field, and (d) the dipoles try to align
parallel to the applied field

Consider a polar molecule is subjected to an electric field of strength E. Let q be

the angle of rotation of the dipoles.
Then, the torque produced by the field on the dipole is
t = mp E sin q (21.22)
where mp is the permanent dipole moment.
 21.8 Engineering Physics

The maximum work is done when the dipole is rotated through an angle of q = 180°.
When the dipole is already parallel to the applied field, i.e., when q = 0°, the work
done is minimum. Therefore, the maximum energy is given by
p
Emax = Ú 0
m p E sin q dq

= 2mp E (21.23)
The average dipole energy Edip
Edip = mp E (21.24)
The ratio of the average dipole energy to average thermal energy is, given by

Average dipole energy mpE

= (21.25)
Average thermal energy 5
kt
2
If this ratio is greater than unity, then the orientation polarisation is said to be
effective. The average orientation polarisation is

Permanent dipole moment ¥ average dipole energy

Po µ
Average thermal energy

mpE
or, Po µ mp (21.26)
5
kt
2
If the calculation for average dipole energy is properly done using Boltzmann's
statistics, then the average orientation polarisation is
2
1 mp E
Po = (21.27)
3 kt
Therefore, the orientation polarisability can be written as,
m 2p
ae = (21.28)
3kt
It is clear from Eq. (21.28) that the orientation polarisation is temperature
dependent.

21.3.4 interfacial or Space charge Polarisation

Consider a dielectric medium is placed between any two electrodes, as shown in
Fig. 21.5. When no field is applied to the electrode, the positive and negative charges
are not separated and there are fixed number of charges. On the other hand, when an
electric field is applied, the charges are separated. The positive charges are accumulated
near the negative electrode. Therefore, a dipole moment is induced due to displacement
of the ions. Then, the induced dipole moment per unit volume gives the induced
polarisation. This polarisation is known as interfacial polarisation.
 Dielectric Materials 21.9

Electrodes Electrodes

+ – + + +
+
– + – +
+
+ – + – +
– + + +

E
(a) absence of an electric field (b) presence of an electric field
Fig. 21.5 Space-charge polarisation

21.3.5 total Polarisation

In the calculation of total polarisation, the space charge polarisation is not taken into
account, since it occurs at interfaces and it is very small and hence negligible. In
addition to this, the fields are not well defined at interfaces.
Therefore, the total polarisation is the sum of the electronic, ionic and orientation
polarisation. Therefore, total polarisation is given by

P = Pe + Pi + Po (21.29)

Substituting the values of Pe, Pi and Po respectively from Eqs (21.15), (21.18) and
(21.27) in Eq. (21.29), we get,

P = N a eEi + N ai Ei + N ao Ei (21.30)

Substituting the values of ae, ai and ao respectively from Eqs (21.14), (21.20) and
(21.28) in Eq. (21.30), we get,

Ê e2 Ê 1 1ˆ m p2 ˆ
P = N Ei Á 4p e 0 R + 2 ÁË + ˜+
3
˜ (21.31)
Ë w 0 M m ¯ 3kt ¯

1
When a plot is drawn between P and ,a
t
straight line is obtained, as shown in Fig. 21.6.
The straight line makes an intercept at the y-axis,
1
when = 0. The value of the temperature- N mp2
t Slope
independent portion in the plot is N(ae + a i). P 3k
1 N( ae + ai)
Therefore, by drawing a plot between P and ,
t
one can determine the orientation polarisation and 1/T

the sum of electronic and ionic polarisation. Fig. 21.6 Plot of P versus 1/t
21.10 Engineering Physics

21.4 LocAL or intErnAL FiELd

In a dielectric material, the field acting at the location of an atom is known as local
or internal field Ei. The internal field seen by an atom is not equal to the externally
applied electric field E.
The internal field Ei must be equal to the sum of applied field plus the field produced
at the location of the atom by the dipoles of all other atoms.
Ei = E + the field due to all other dipoles (21.32)

Calculations of Internal Field for Solid Dielectrics To calculate the internal

field seen by an atom in a solid dielectric, let us consider a simple example which
consists of an array of atoms represented as A, B1, B2, C1, C2, etc. B1, B2, C1, C2, etc.
are atoms equidistant from A, arranged in the form of a string, as shown in Fig. 21.7.
Let a be the polarisability of these atoms.
C1 B1 A B2 C2

.. ...
mind

a
E
Fig. 21.7 Local field

From the symmetry of the system, it is clear that the internal field Ei acting on
the site of atom A will be parallel to the applied field E, and will be same in all other
atoms B1, B2, C1, C2, etc.
The induced dipole moment on each atom of the string
mind = a Ei (21.33)
where Ei is the local field acting at the atom A due to the external field E and the field
by the dipoles on atoms B1, B2, C1, C2, etc.
Ei = E + the field due to all other dipoles at the atom A. (21.34)
Consider the point dipole on atom B1,
whose dipole moment is m. According Eq
to the field theory, the potential around Er
a point dipole in vacuum is
P
1 m cos q
V(r, q) = (21.35)
4pe 0 r2
where r is the distance from the dipole to
the point charge and q the angle between q
r and m, as shown in Fig. 21.8.
The field around the dipole has two m
components, one due to r and the other
Fig. 21.8 Potential at a point P due to
due to q.
a dipole
 Dielectric Materials 21.11

The r component field

-∂V
Er =
∂r
1 m cos q
Er = (21.36)
2pe 0 r3
The q component field
1 ∂V
Eq = – ¥
r ∂q
m sin q
= ¥ 3 (21.37)
2pe0 r
[The negative gradient of potential is due to the electric field at A]. The field produced
by B1 atom at the location of the atom A can be obtained by taking r = a and q = 0 in
Eqs (21.36) and (21.37), since the point dipoles lie on the axis of the dipole.
The field acting on the atom A by the atom B1
mind
= Er + Eq = +0 (21.38)
2p e 0 a 3
Substituting the values of Er and Eq in the above equations, we get,
mind
=
2p e 0 a 3
where m = mind, since the dipole is an induced one.
The field produced at A by dipole on B1 is equal to that produced by B2. The atoms
are separated by a distance a.
Therefore, the internal field at A

mind mind
Ei = E + 2 ¥ 3
+2¥ + ...
2p e 0 a 2p e 0 (2a )3

mind È 1 1 ˘
=E+2¥
2p e 0 a 3 Í1 + 23 + 33 + ...˙
Î ˚
mind 1
=E+ ¥Â 3 (21.39)
p e 0 a3 n

where n = 1, 2, 3, etc.
1
We know that from Rice man's zeta function  n3
= 1.2. Substitutly this values is
Eq. (21.39) can be written as
1.2 mind
Ei = E + (21.40)
p e 0 a3
From Eq. (21.40), it is clear that the internal field is greater than the external field
for the model chosen, suggesting that the dipoles cooperate with each other. The
21.12 Engineering Physics

cooperation becomes stronger as the polarisability of the atom increases and the
distance between them decreases.
The internal field Ei in a three dimensional case is very complicated and depends
upon the crystal structures as defined by
gP
Ei = E + (21.41)
e0
where P is the dipole moment per unit volume (polarisation) and g proportionality
constant known as internal field constant. When the atoms in a solid are surrounded
1.2
cubically by other atoms, the value of g = ª 1/3.
Equation (21.41) can be written as, p

P
Ei = E + (21.42)
3e 0
This field is known as Lorentz internal field.
It is clear from the expression of Lorentz field that the internal field at the atoms is
larger than the applied field by an amount directly proportional to the induced dipole
moment.

21.5 tYPES oF diELEctric MAtEriALS

The dielectric materials are classified into three types as given below.
(i) Solid dielectric
(ii) Liquid dielectric, and
(iii) Geseous dielectric

21.5.1 Solid dielectric

There are three types of solid dielectric materials. They are
(i) Elemental solid dielectrics
(ii) Ionic non-polar solid dielectrics
(iii) Polar solid dielectrics
Elemental Solid Dielectrics Solid materials consisting of single type of atoms, such
as diamond,sulphur, germanium, etc., are said to be elemental solid dielectric materials.
These materials exhibit only the electronic polarisability.
Ionic Non-Poplar Solid Dielectrics In ionic crystals such as alkali halides, the total
polarisation is ionic and electronic in nature. These solids contain more than one type
of atoms, but no permanent dipoles. This type of dielectric materials are said to be
ionic non-polar dielectric materials.
Polar Solid Dielectrics In solids, whose molecules possess permanent dipole
moments, the total polarisation has all the three components, i.e., it is the sum of
electronic, ionic and orientation polarisations. This type of materials are known as
polar solid dielectric, e.g. solid C6H5NO2.
 Dielectric Materials 21.13

21.5.2 Liquid dielectric Materials

Liquid dielectric materials are also classified into three types as given below.
(i) Mineral insulating oils
(ii) Synthetic insulating oils, and
(iii) Miscellaneous insulating oils
Mineral Insulating Oils Transformer oil, capacitor oil and cable oil are said
to be mineral insulating oils. They are directly obtained from crude petroleum
by distillation. They are used as coolant in transformers and capacitors.
Synthetic Insulating Oils Synthetic insulating oils are also used for the purpose of
cooling in high-tension transformers. Compared to mineral insulating oils, synthetic
oils are inferior. Also, they are very cheap, e.g., as karels, sovol, etc.
Miscellaneous Insulating Oils Silicone liquid and vegetable oil are said to be
miscellaneous insulating oils. The silicone liquid is costly compared to synthetic
insulating oils. It is used in high tension transformers.
Applications Petroleum oils are used for electrical insulation. Nowadays, mineral
insulating oils are being replaced by synthetic hydrocarbon oils. Polychlorinated
biphenyls (askarels) are widely used, where non-inflammable insulation is required
for transformers and capacitors. But, due to environmental pollution, askarels are
being withdrawn and silicone liquids are being used for non-inflammable insulation in
transformers and capacitors. Castor oil is used as an insulating liquid in the developing
countries.
Some of the uses of liquid dielectrics are given as follows.
(i) As a filling and cooling medium in transformers and other electronic
equipment
(ii) As a filling medium in capacitors and bushing, etc.
(iii) As an insulating and arc-quenching medium in switch gears
(iv) As an impregnate of absorbent insulation, e.g., paper, press board and
porous polymers. They are used in transformers, switchgears, capacitors
and cables

21.5.3 Gaseous dielectrics

Air, nitrogen, hydrogen, sulphur hexafluoride are some of the gaseous dielectric
materials used.
Air Air is one of the most important and naturally available gas used for electrical
insulation. Its resistivity is infinity under normal conditions, when there is no ionization.
The relative permittivity of air is 1. It is used as a dielectric in long-distance electrical
transmissions, and in air-capacitors. Compressed air is used as an arc-extinguishing
medium which provides dielectric insulation in air-blast circuit breakers.
Nitrogen Nitrogen is chemically inert and is used as a dielectric medium to prevent
oxidation. It is used in gas-filled high-voltage cables as an inert medium to replace air
in the space above the oil. It is also used in transformers and in low-loss capacitors
for high-voltage testing, and so on.
21.14 Engineering Physics

Sulphur Hexafluoride It is an electronegative gas and is used as a dielectric in

X-ray equipment, waveguides, coaxial cables, transformers and as an arc-quenching
medium in circuit breakers. Its dielectric strength is nearly 2.3 times higher than that
of air or nitrogen. It sublimes at about 209 K and may be used up to a temperature of
423 K. It is non-toxic, non-inflammable and chemically inert.
Hydrogen The dielectric strength of hydrogen is about 65% higher than that of air.
It is used as a cooling medium in large turbo-generators and synchronous motors. The
injurious effects of hydrogen gas are considered to be negligibly small, since during
the discharge it does not produce ozone or oxides of nitrogen. Further, the high voltage
discharge of hydrogen is not so severe.

21.6 cLASSiFicAtion oF ELEctricAL

inSULAtinG MAtEriALS
Electrical insulating materials are generally in the form of solids, liquids or gases.
These materials may be either organic or inorganic and can be either natural or
synthetic. The electrical insulating materials, used in generators, motors, transformers
and switchgears, etc. are classified into seven temperature classes, according to their
temperature limits based on their thermal stability (Table 21.1).

table 21.1 Classification of insulating materials

temperature k Class
363 Y
378 A
393 E
403 B
428 F
453 H
>453 C

Class Y Materials such as un-impregnated paper, cotton or silk, vulcanized natural

rubber, aniline, urea and various thermoplastics fall under this class. They can be used
up to a temperature of 363 K due to the softening points.
Class A The following are some of the materials that fall under this class: (i) cotton,
silk, paper or similar organic materials impregnated with oil or varnish, (ii) laminated
materials with cellulose filler phenolic resins, and (iii) a variety of organic varnishes
which can be used for wire coating and bonding.
Class E Polyurethane, epoxy resins and varnishes, cellulose triacetate, phenol
formaldehyde, polyethylene teraphthalate, etc., are the materials which come under
the class E.
Class B Mica, glass and asbestos fibres and fabrics bonded and impregnated with
suitable organic materials such as shellac bitumen, epoxy, phenol or melamine
formaldehide are the materials that come under class B.
 Dielectric Materials 21.15

Class F Same as class B, but with resins which are approved for class F operations.
For example, alkyd, epoxy and silicone alkyl.
Class H Same as class B, but with silicone resins or other resins suitable for class
H operations. For example, silicone rubber.
Class C Mica, asbestos, ceramics, glass, quartz and similar inorganic materials such
as polytetrafluoro ethylene and this provide ethylene are the materials under class C.
Let us discuss some of these solid insulating materials.
• Mica Mica is an inorganic compound of silicates of aluminium, soda potash and
magnesia. It is crystalline in nature and can be splitted into thin sheets. Muscovite
and phlogopite are the two important types of mica. Muscovite mica is one of the
best insulating materials. Its dielectric constant varies from 5 to 7.5 and its loss
tangent varies from 0.0003 to 0.015. The dielectric strength of the mica lies between
700 and 1000 kV mm–1. It is used as an insulating material in electrical machines,
switch gears, armature windings, and electrical heating devices like electric iron
and hot plates.
• Glass Glass is a brittle and amorphous material. The essential structural constituent
of most of the commercial glasses is SiO2. The dielectric constant of glass varies
from 3.7 to 10 and its dielectric strength lies between 3000 and 5000 V m–1. The
dielectric loss of glass is more complicated. It is used as an internal support in
articles like electric light bulbs, electronic valves, mercury switches, X-ray tubes,
etc. It is also used as a dielectric material in capacitors.
• Ceramics Ceramics are brittle and can be either amorphous or crystalline. The
dielectric and mechanical properties of ceramics are excellent. Their dielectric
constant varies from 4 to 10. Ceramics are used as insulators in switches,
plug-holders and cathode heaters. They can also be used as dielectric materials
in capacitors. Porcelein, alumina and titanates are some of the examples of
ceramics.
• Asbestos It is an inorganic material made of magnesium silicate. It has good
dielectric and mechanical properties. It is used as an insulator in the form of paper
tape, cloth and board.
• Rubber Rubber is an organic polymer and is available both in natural and synthetic
forms. The dielectric constant of rubber varies from 2.5 to 5 and its loss tangent lies
between 0.01 and 0.03. It is widely used in electric wires, cables, tapes, coatings,
transformers, motor windings, etc.

21.7 cLAUSSiUS-MoSotti EQUAtion

Elemental solid dielectrics like germanium, silicon, diamond, sulphur, etc. have no
permanent dipoles or ions and will have only cubic structure, thereby exhibiting only
electronic polparisation. The total polarisiation is written as,
P = N a Ei
where a = ae + ai + a0
Elemental solid dielectrics have only electronic polarisation and the remaining
polarisation, namely ionic and orientation, are equal to zero, since there is no ionic
character or permanent dipoles.
21.16 Engineering Physics

Therefore, the total polarisation

P = N ae Ei (21.43)
where ai = a0 = 0, and N is the number of atoms per unit volume.
Substituting the value of internal field, Eq. (21.43) can be written as
È P ˘
P = N ae Í E + ˙ (21.44)
Î 3e 0 ˚
We know that
D = e0 E + P
P D
= – e0 (21.45)
E E
From the definition of electric displacement vector,
D=eE
Therefore,
P
= e – e0 = er e0 – e0
E
where er = e/e0
P
= e0(er – 1)
E
or P = E e0 (er – 1) (21.46)
Substituting P value in Eq. (21.44), we get,
È E e 0 (e r - 1) ˘
E e0 (er – 1) = N ae Í E + ˙
Î 3e 0 ˚
È e 0 (e r - 1) ˘
e0 (er – 1) = N ae Í1 + ˙
Î 3e 0 ˚
e 0 (e r - 1)
N ae =
È e 0 (e r - 1) ˘
Í1 + ˙
Î 3e 0 ˚
N ae e 0 (e r - 1)
=
3e 0 3e 0 + e 0 e r - e 0
Simplifying the above equation, we get,
N ae e -1
= r (21.47)
3e 0 er + 2
where N is the number of dipoles per unit volume. Equation (21.47) is known as
Claussius–Mosotti equation. In this equation, by substituting the values of er , e0 and
N, one can determine the electronic polarisability ae.
 Dielectric Materials 21.17

For a dielectric material consisting of N number of dipoles

er - 1 1
er + 2
=
3e 0
ÂNa
i
i e (21.48)

where Ni and aei are the appropriate quantities for the types of atoms or molecules.

21.8 ExPEriMEntAL dEtErMinAtion oF

diELEctric conStAnt
The Schering bridge is used to determine the dielectric constant of any solid material
experimentally. It is one of modified forms of Wheatstone’s bridge. The experimental
arrangement of Schering bridge is shown in Fig.21.9. Consider that P, Q, R and S
are the four arms of the Schering bridge. The arm P consists of a fixed resistance R1
and a variable capacitor C1, while the arm S is made by connecting a resistor R4 and
variable capacitor C4 in parallel. The arms Q and R consist of respectively the variable
resistor R3 and the fixed capacitor C2. The high frequency oscillator AC is used to
give necessary potential to the bridge circuit. The balanced condition of the bridge is
obtained by adjusting the values of R3 and C4 in order to get a null deflection in the
galvanometer G.
The dielectric material whose dielectric constant is to be determined is placed
in between the parallel plate capacitor C1. The dielectric constant of the material is
determined by measuring the change in capacitive value of capacitor C1 before and
after introducing the material in between the parallel plate of C11.
eA
Therefore, the capacitance of a capacitor C11. = (21.49)
d

Fig. 21.9 Scherring bridge—Dielectric Constant

21.18 Engineering Physics

where e is the permittivity of medium present between the parallel plates, d the thickness
of the sample and A the area of cross-section. After measuring the capacitance of the
capacitor, the dielectric material is removed. Therefore, the capacitance of the capacitor
C1 is again determined, and is equal to
C1 = e 0 A (21.50)
d
where eo is the permitively of free space.
The dielectric constant of a material is equal to the ratio of the capacitance of the
capacitor with material and free space.
C11
Dielectric constant = (21.51)
C1
Substitute the values of C1 and C11, we get,
eA d
Dielectric constant = ¥
d eo A
e
=
eo
e
Therefore, the dielectric constant er = (21.52)
e0
The value of C1 and C11 of the capacitor are determined by considering the balanced
condition of Wheatstone bridge network, i.e.,
P R
= (21.53)
Q S
We know that from Fig. 21.9,
1
P = r1 + (21.54)
j w C1
Q = r3 (21.55)
1
R= (21.56)
j w C1
C 4 r4
S = C4 || r4 = (21.57)
C4 + r4
Substituting the value C4 in the above equation, we get,
r4
jw C 4
S=
r4
+r
jw C 4 4
r4
= (21.58)
1+ r4 jw C 4
 Dielectric Materials 21.19

Substituting the values of P, Q, R and S in Eq. (21.53), we get,

1 1
r1 +
jw C1 jw C2
=
r3 r4
1 + jw Cr4

Rearranging the above equation, we get,

r3 r1r4 r 1
= + 4 [ ]
jw C2 1 + jw C4 r4 jw C1 1 + jw C4 r4

r3 (1 + jw C4 r4 ) rC
or = r1r4 + 4 2
jw C2 C1

r4 C2
or r3 + jw C4 r4 r3 = r1 r4 jw C2 + (21.59)
C1

Equating the real parts in the above equation, we get,

r4 C2
r3 = (21.60)
C1

r4
Therefore, C1= C2 (21.61)
r3

The resistance r4 and capacitor C2 are fixed. Therefore, the value of C1 is determined
by varying the variable resistance r3.
Therefore, dielectric constant of material,
1
er = C 1 (21.62)
C1
where C11 is the capacitance of the capacitor with dielectric material and C1 the
capacitance of capacitor with air as the dielectric.
Equation (21.62) is used to determine the dielectric constant of any material
experimentally using Schering bridge method.

21.9 diELEctric LoSS

When an ac field is applied to a dielectric material, some amount of electrical energy
is absorbed by the dielectric material and is wasted in the form of heat. This loss of
energy is known as dielectric loss.
The dielectric loss is a major engineering problem. In an ideal dielectric, the
current leads the voltage by an angle of 90° is shown in Fig. 21.10. But in case of a
21.20 Engineering Physics

commercial dielectric, the current does not exactly lead the voltage by 90°. It leads by
some other angle q that is less than 90°. The angle f = 90 – q is known as the dielectric
loss angle.

we0 er¢E 0

I I J

f f
f

90° q
we0 er¢¢E0

V V E0

Fig. 21.10 Relation between current and voltage in dielectrics

For a dielectric having capacitance C and voltage V applied to it at a frequency

f Hz, the dielectric power loss is given by

P = VI cos q
Since I = V/Xc where Xc is the capacitive reactance and is equal to 1/jwC.

V2
Therefore, P= cos (90 – F) = V2 jwC sin F (21.63)
Xc

Since q is very small, sin F = tan F and P = j V2 wC tan F, where tan F is said
to be the power factor of the dielectric. The power loss depends only on the power
factor of the dielectric as long as the applied voltage, frequency and capacitance are
kept constant.
The dielectric loss is increased by the following factors:
(i) High frequency of the applied voltage
(ii) High value of the applied voltage
(iii) High temperature, and
(iv) Humidity
The frequency dependence of the dielectric loss is shown in Fig. 21.11.
The dielectric losses in the radio frequency region are usually due to dipole rotation.
The dielectric losses at lower frequencies are mainly due to dc resistivity. The dielectric
losses in the optical region are associated with electrons and they are known as optical
obsorption.

21.10 diELEctric BrEAKdoWn

When a voltage is appplied to a dielectric material and thereby the electric field is
increased, it can withstand up to a certain maximum voltage before it permits large
currents to pass through it. This phenomenon in which the dielectric material fails to
 Dielectric Materials 21.21

offer insulation resistance for large applied voltage is known as dielectric breakdown
and the corresponding voltage is known as breakdown voltage.
Power loss

Electrical frequencies Optical

Power Audio Radio Infrared Visible
Frequency

Fig. 21.11 Frequency versus dielectric loss

The different types of dielectric breakdown are given below.

(i) Intrinsic breakdown
(ii) Thermal breakdown
(iii) Electrochemical breakdown
(iv) Defect breakdown, and
(v) Discharge breakdown

21.10.1 intrinsic Breakdown

If a dielectric material is subjected to a large amount of electric field, then the electrons
in the valence band acquire sufficient amount of energy so that they easily cross the
energy gap. These electrons while flowing through the conduction band produce a
large current. This large current causes the dielectric material to undergo a breakdown.
The large number of conduction electrons in the conduction band may collide with
the covalent band and consequently, they dislodge more number of electrons. These
dislodged electrons, in turn, dislodge some other electrons. Thus, this process goes
on as a chain reaction. The breakdown produced in this way is said to be intrinsic
breakdown or avalanche breakdown.

Characteristics
(i) It can occur even at low temperature.
(ii) It requires relatively large electric field.
(iii) This kind of breakdown occurs mostly in thin samples.
(iv) It does not depend on the electrode configuration and shape of the
material.

21.10.2 thermal Breakdown

In a dielectric material when an electric field is applied, some amount of heat is
produced. The heat produced in the material should be dissipated from it. In some
cases, the amount of heat generated is very high compared to the heat dissipated and
21.22 Engineering Physics

this excess of heat may produce breakdown of the dielectric material. This type of
breakdown is known as thermal breakdown.
Characteristics
(i) It can occur only at high temperatures.
(ii) The strength of the electric field to create dielectric breakdown depends
upon the material’s size and shape.
(iii) The breakdown time is in the order of few milliseconds.

21.10.3 Electrochemical Breakdown

The chemical and electrochemical breakdowns have close relationship with thermal
breakdown. If the temperature of a dielectric material increases, it will increase the
mobility of the ions and hence, electrochemical reaction will take place. When ionic
mobility increases, leakage current will increase, thereby decreasing the insulation
resistance, and this will result in dielectric breakdown.
In case of rubber, oxides are produced in air and hence, it gradually loses its dielectric
property. If one can bring rubber into ozone atmosphere, some cracks are produced.
Characteristics
(i) Electrochemical breakdown is determined by the leakage current, density
of ions, temperature and permanent dipoles in the material.
(ii) To avoid electrochemical breakdown, impurities should not be mixed with
the pure dielectric materials.
(iii) Electrochemical breakdowns are accelerated by temperature. To avoid
electrochemical breakdown, the dielectric material should not be operated
at high temperatures.

21.10.4 discharge Breakdown

Some dielectric materials may have occluded gas bubbles. If these dielectric materials
are subjected to high voltages, the gaseous substances are easily ionised and they
produce a large ionisation current. This large ionisation current may produce dielectric
breakdown. This type of breakdown is known as discharge breakdown.
Characteristics This type of breakdown can occur at low voltages where there are
large number of occluded gas bubbles.

21.10.5 defect Breakdown

Some dielectric materials may have surface defects like cracks, pores, etc. Moisture
and other impurities can get filled up at these places leading to breakdown. This is
known as defect breakdown.

21.11 FErroELEctric MAtEriAL

In certain dielectric materials, polarisation is not a linear function of applied electric
field. Such materials exhibit hysteresis curve similar to that of ferromagnetic materials
and are known as ferroelectric materials. The hysteresis curve exhibited by a
ferroelectric material is shown in Fig. 21.12.
 Dielectric Materials 21.23

P
Psat

Pr

– Ec A E
0

Fig. 21.12 Hysteresis curve for ferroelectric material

Hysteresis Properties When an increasing electric field is applied to a ferroelectric

material, it results in an increase in polarisation and it reaches a maximum value for
a particular field strength. On the other hand, if we decrease the electric field, the
polarisation decreases. When the field strength is zero, i.e., E = 0, a small amount of
polarisation exists in the material. This polarisation is known as remanent polarisation.
Now the ferroelectric material is said to be spontaneously polarised. In order to reduce
the value of polarisation to zero, an electric field strength (–Ec) should be applied.
This field is known as coercive field.
The hysteresis loop of a ferroelectric material is explained on the basis of the domain
concept. Domain is experimentally observed by applying polarised light, which makes
the domain visible. Figure 21.13 explains the domain structure of barium titanate
crystal.
Domains which are opposite in direction to the applied field decrease in size and
domains which are parallel to the field direction increase in size in the form of needles
of approximately 10–6 m width. Substances like Rochelle salt (sodium-potassium salt
of tartaric acid; NaKC4H4O21.4H2O), potassium dihydrogen phosphate (KH2PO4),
barium titanate (BaTiO3), etc., are typical examples. Ferroelectric crystals lack centre
of symmetry.

Fig. 21.13 Domain structure of barium titanate

21.24 Engineering Physics

Classification of Ferroelectric Crystals Ferroelectric crystals are classified into

three groups namely
(i) Rochelle salt
(ii) Potassium dihydrogen phosphate, and
(iii) Barium titanate

(i) Rochelle Salt It behaves as a ferroelectric material in the temperature range from
255 to 296 K, i.e., it possesses two transition temperatures (Curie temperature). The
crystal structure is orthorhombic above upper curie temperature. Below this transition
temperature, the crystal structure is monoclinic in nature. A plot of polarisation versus
temperature is shown in Fig. 21.14.

Fig. 21.14 temperature versus polarisation of Rochelle salt

(ii) Potassium Dihydrogen Phosphate It has only one Curie temperature and its
value is 123 K. It possesses ferroelectric property below this temperature. Above Curie
temperature, its crystal structure is tetragonal. Below Curie temperature, the crystal
structure is orthorhombic. Other ferroelectric crystals belonging to this family include
KD2PO4, RbH2,PO4, CsH2AsO4, CsD2AsO4. The variation of polarisation with respect
to temperature is shown in Fig. 21.15.

Fig. 21.15 Polarisation versus temperature in potassium dihydrogen phosphate

 Dielectric Materials 21.25

(iii) Barium Titanate This crystal exhibits three different ferroelectric phases.
The transition temperatures of barium titanate are 278 K, 193 K and 393 K. The
structure of barium titanate is cubic above 393 K. It has orthorhombic structure when
the temperature lies between 278 K and 193 K. Below 193 K, it has rhombohedron
structure. The structure of BaTiO3 above 393 K and the variation of polarisation with
temperature are given, respectively, in Figs 21.16 and 21.17.

Ba 2+
2�
O
4+
Ti

Fig. 21.16 Crystal structure of barium titanate (above 393 k)

21.12 diELEctric ProPErtiES

The following are some of the key properties of dielectric materials that determine
their suitability for specific applications.
(i) Relative Permittivity Relativie permittivity of a material may be expressed by
er relative to that of vacuum by er = e/e0. Since the dielectric constant is frequency
dependent, it should be taken into account while selecting a dielectric material for a
particular use.
(ii) Dielectric Strength The dielectric strength is the maximum electric field that
can be maintained in the dielectric. The dielectric strength depends on the material, its
thickness, the shape and size of the conductors between which the dielectric is placed,
moisture content of the material, temperature and pressure.

16

12
Ps
(X10 2 cm� 2 ) 8

73 113 153 193 233 273 313 353 393 433

T(k)

Fig. 21.17 Polarisation versus temperature in barium titanate

21.26 Engineering Physics

(iii) Dielectric Losses The extent to which a dielectric in an alternating electric field
loses energy is indicated by the loss factor, tan f. A very good dielectric would have
a loss factor of the order of 10–5 with a poor one of about 0.1.
(iv) Mechanical Properties In selecting a dielectric there may be a need to consider
the mechanical properties of the material. Many of the dielectrics are very brittle.
Properties which may need to be considered are the effects of bending, impact
strength, tearing strength, tensile strength, compressive strength, shear strength, and
machinability.
(v) Insulation Resistance Dielectrics need to have a high insulation resistance in
order to prevent leakage of charge. The resistance of these materials should be very
high.
(vi) Temperature Effects One of the main effects of an increase in temperature is a
decrease in resistivity and higher leakage currents through the dielectrics. The leakage
current increases with the increase in temperature and it will produce breakdown in
the dielectric material.
Other thermal properties that need to be considered in selecting a dielectric are
melting points, freezing points for liquid dielectrics, thermal expansivity, specific heat
capacity and ageing effect.

21.13 ActivE And PASSivE diELEctricS

A dielectric material which exhibits gain (current or voltage or both) and has directional
electronic properties is said to be active dielectrics. Piezoelectric, ferroelectric and
several other voltage induced or voltage inducing materials are said to be active
dielectrics. For example, quartz is an active dielectric material even though it is a
piezoelectric material. Similarly, a dielectric material which does not exhibit any gain
or directional property is said to passive dielectrics. Most of the insulating materials
like ceramics, mica, etc., belongs to this category.

21.14 FrEQUEncY And tEMPErAtUrE

dEPEndEncE oF diELEctric
ProPErtiES
The dielectric properties such as polarisation, dielectric constants and dielectric loss
depend on the frequency of the applied field and temperature. Let us discuss the
frequency and temperature dependence of polarisation and dielectric constant.

21.14.1 Frequency dependence of dielectric Properties

Polarisation When an ac field is applied to a dielectric material, the polarisation
of the dielectric material is a function of time. It follows the equation
È Ê t ˆ˘
P(t) = P Í1 - exp Á - ˜ ˙ (21.64)
ÍÎ Ë t r ¯ ˙˚
 Dielectric Materials 21.27

where P is the maximum polarisation attained by a dielectric due to the prolong

application of the electric field, and tr the relaxation time for the particular polarisation
process, is the average time between molecular collisions (in case of liquid), during
the application of the electric field. The relaxation time is a measure of the polarisation
process and is the time taken for a polarisation process to reach 67% of the maximum
value.
From Fig. 21.18, it can be inferred that the space charge polarisation occurs at very
low frequencies (less than 102 Hz). The space charge polarisation refers to the diffusion
of metal ions over several interatomic spacing. It also occurs at machine frequencies
in the order of 50–60 Hz. The space charge polarisation is one of the slowest process
compared to the other types of polarisation.

Space charge

Orientation
Polarisation

Ionic

Electronic

�2 6 12 16
10 1 10 10 10

Fig. 21.18 Frequency dependence of the polarisation processes

The orientation polarisation mechanism arises in the polar molecules when an ac

field is applied. This polarisation mechanism is faster than space charge polarisation
but is slower than the ionic and electronic polarisations. In many liquid dielectrics,
the orientation polarisation occurs between the radio wave and microwave frequency
range at room temperature. In some polymeric liquids, it involves a limited rotation
of molecules and occurs even at low frequencies.
The ionic polarisation mechanism occurs in the ionic molecules, whenever the
frequency of the applied field is less than 1013 Hz. Ionic polarisation does not occur
at optical frequencies (ª1015 Hz), since the ionic molecules require time nearly 100
times greater than the frequency of the applied field. Ionic polarisation is faster than
the orientation and space charge polarisations, but it is slower than the electronic
polarisation.
Electronic polarisation is the fastest polarisation and it occurs immediately after
the supply is switched on. This polarisation occurs even at optical frequencies.
Dielectric Constant The frequency dependence of the real and imaginary part of
dielectric constant is shown in Fig. 21.19. The curve is similar to that of the frequency
dependence of polarisation as shown in Fig. 21.18. Figure 21.19 shows distinct
21.28 Engineering Physics

peaks in er and some distinct features in er¢, but in reality these peaks and features
are broader. The variations in er¢ and er≤ are produced by the presence of different
polarisation mechanisms.

Interfacial and
space charge
Orientational,
dipolar
Ionic Electronic
er e r¢ = 1

e¢¢r

6 12 16
10�2 1 10 10 10
Frequency

Fig. 21.19 Frequency dependence of dielectric constant

21.14.2 temperature dependence of dielectric Properties

Orientation polarisation is produced due to the alignment of dipoles in polar
molecules in the presence of electric field. The increase in temperature disrupt
the alignment of dipole due to the electric field. This effect decreases the value
of dielectric constant with increase in temperature. For example, the dielectric
constant of solid HCl decreases from 19 to 14, when the temperature is increased
from 100 to 160 K. At the melting point of 160 K, it drops to 12. This shows
that the number of molecules per unit volume decreases due to the expansion
on melting.
Solid nitrobenzene is a polar molecule, but it does not exhibit orientation polarisation
in its solid state because the rotation of the molecules is prevented under an applied
field. But in liquid state, the molecules have sufficient energy to reorient themselves
in the applied field. The relative dielectric constant increases from 3 to 37 on melting.
This is in contrast with the results obtained for solid HCl. The dielectric properties of
four insulators are given in Table 21.2.

table 21.2 Dielectric properties of different insulators at two different frequencies

Material f = 60 Hz f = 1 MHz
er¢ tan d er¢ tan d
Polycarbonate 3.17 9 ¥ 10–4 2.96 1 ¥ 10–2
Silicone rubber 3.7 2.25 ¥ 10–2 3.4 4 ¥ 10–3
Epoxy with mineral filler 5.0 4.7 ¥ 10–2 3.4 3 ¥ 10–2
Alumina 8.5 1 ¥ 10–3 8.5 1 ¥ 10–3
 Dielectric Materials 21.29

In case of the polymer film Polyethyleneterephthalate (PET), the dielectric constant

er¢ measured at f = 10 kHz is found to increase with increase in temperature as shown
in Fig. 21.20.
2.60

e¢r

2.58

PET, f = 10 kHz
2.56
293 313 333 353
T(K)

Fig. 21.20 Variation of er¢ with temperature in PEt material

21.15 USES oF diELEctric MAtEriALS

Some of the most important properties of insulating materials possess excellent
mechanical and dk’lectrical strength, high thermal and electrical stability, etc. In
view of the above properties, dielectrical materials are used as insulating materials
in applications like power distribution transformers, capacitors, cables, transmission
equipment, etc.

21.15.1 capacitors
Dielectric materials are used to manufacture capacitors of different ranges. The selection
of right dielectric materials for capacitor applications is based on various parameters like
value of capacitance, frequency, tolerance lens, size and operating voltage. Dielectric
materials, paper and plastic film, mica film, single layer ceramic, multilayer ceramic,
solid electrolytic (Al, Ta) and electrolytic (AI, Ta) are used in capacitors to obtain a
range of capacitance 1 pf to 104 m f
Single and Multilayer Dielectric Capacitors The schematic representation of a single
layer capacitor is shown in Fig. 21.21. It consists of a thin ceramic disk or plate and
metal electrodes. The ceramic plate is placed in-between the metal electrodes. The leads
for the electrical connections are taken from the metal electrode. In order to prevent
the degradation of dielectric properties of ceramic plate due to moisture the whole
set-up is encapsulated in an epoxy coating. The capacitance of single layer capacitor
for an area of 1 cm2 is 885 pf. One can increase the capacitance of the capacitor by
connecting N number of ceramic plate in parallel by providing a sufficient space as
shown in Fig. 21.21(b). The capacitor with stacking of ceramic plates in different
layers is known as multilayer capacitor. The capacitance of multilayer capacitor is in
the range of few hundred microfarads.
21.30 Engineering Physics

Metal termination

Epoxy
Ceramic

Leads

Metal electrode

(a) Single-layer ceramic capacitor (b) Multilayer ceramic capacitor

(e.g. disk capacitors) (stacked ceramic layers)

Fig. 21.21 Dielectric capacitors

Polymeric Film Capacitors Polymer thin film capacitors are constructed to work as
mid frequency capacitors. Two separate thin polymer sheets metal coated by having a
small margin on one side employing vacuum deposition. The two metal coated films are
placed in parallelby keeping the margin in the opposite side. Thus, the two margins
are opposite in directions. In order
to get the capacitor, the two metal
Electrolyte sheets are rolled together like Swiss
Al2O3 roll. The electrical connections are
Anode Cathode
Al foils taken from the opposite sides of the
metals by proper soldering. One can
Al Al
also produce multilayer polymeric
+ _
thin film capacitors like multilayer
Al case ceramic capacitors.

Electrolytic Capacitors Large

Cross sectionalvalues capacitors are achieved using
_ view electrolytic capacitors. Electrolytic
+ capacitors are of different types
namely, aluminum electrolytic and
Fig. 21.22 Aluminum electrolytic capacitors solid electrolyte tantalum capacitors.
A cross-sectional view of aluminum
electrolytic capacitors is shown in
Fig. 21.22. The Al electrolytic capacitor consists of two Al foils.
A thin layer of Al203 as a dielectric medium is grown on the rough surface of the
one of the foils. The two foilsarewound together in the form of disk and kept inside
the cylindrical case as shown in Fig. 21.3. The AC foil coated with Al203 dielectric
act as an anode while /tKe~uncoatedi AlfoTacTas a cathode. The thickness of AljO,
grown on the foil is 0.1 fim and hence it gives large capacitance value (i.e, small
thickness and targe area). The AljOj is grown on the Al foil eleeterolytically and
hence, this capacitor is known as electrolytic capacitor.
 Dielectric Materials 21.31

Polymer film
Al metallization

(a) Aluminium Coating on film (b) Capacitor

Fig. 21.23 Aluminum electrolytic capacitors

The structure of a solid electrolyte tantalum capacitor is shown in Fig. 21.4 (a). The anode is
made up of tantalum (Ta) pellet. The surface of Ta pellet is anodized to get the tantalum pentoxide
(Ta,0;). A thick solid electrolyte like MnOj is coated above Ta2Os The process is complete’d by
coating graphite and silver paste as shown in Fig. 21.4 (b). The above system is then coated by
an epoxy. Tantalum capacitors are widely used in) electronic applications.

Epoxy Ta2O2 Graphite

Silver paint Ta MnO2 Silver
paste

Ta
+ –

– +
Leads

(a) Solid electroyte tantalum capacitors (b) Cross sectional view

Fig. 21.24 Aluminum electrolytic capacitors

Power and Distribution Transformers The following are the application of insulating materials
in power and distribution of transformers:

• Transformer oil is used as a liquid dielectric and coctat

• Electrical grade paper is used as layer binding insulation such as a cover to
cover the cable and as a backing paper is used for applications such as top and
bottom coil clamping ring, washer etc.
• The insulation tape is used for applications such as taping and banding, core
insulation, banding of transformer cores, etc.
• Materials such as synthetic rubbers are used as a gasket in different places to
percent oil leakages from joints
In order to meet the above requirements the insulahng/dielectric material requires the
following properties:
• Excellent electrical properties to withstand high voltages.
• High dielectric strength and adequate chemical stability.
• Very high moisture resistance.
21.32 Engineering Physics

21.16 APPLicAtion
Some of the applications of dielectric materials are given below.
(i) Quartz crystal is used for the preparation of ultrasonic transducers, crystal
oscillators, delay lines, filters, etc.
(ii) Barium titanate is used for the preparation of accelerometers.
(iii) Lead zirconate titanate (PbZrxTi1–xO3) is used for the preparation of
earphones, microphones, spark generators (gas lighter, car ignition, etc.),
displacement transducer, accelerometers, etc.
(iv) The insulating dielectric liquids are used in transformers, switchgears and
generators.
(v) Dielectric materials are used as insulating material in power cables, signal
cables, electric motors, electric iron, etc.
(vi) Dielectric materials are used in radiation detectors, thermoionic valves,
strain gauges, capacitors, resistors and many other electric devices, and
(vii) The electro-optic devices are prepared using dielectric material.

Keypoints to remember

• The force per unit charge is known as electric field strength E.

• The permittivity of free space, i.e., vacuum εo = 8.854 ¥10-12 F m-1.
• The electrical flux density is defined as the number of flux lines crossing a surface
normal to the lines divided by the surface area.
• The dielectric constant of a material is defined as the ratio of permittivity of the
e
medium to permittivity of free space e r = .
eo
• The product of magnitude of charge and distance of separation is known as elec-
tric dipole moment.
• Polarization is defined as induced dipole moment per unit volume.
• There are four different types of polarizations, namely, electronic, atomic, orien-
tation and interfacial polarization.
• The electronic polarization of a solid materials which contains large number of
atoms is equal to Pe = N 4 π εo R3 E.
• An electronic polarization is polarization produced due to the displacement of
electron, when an electric field is applied to the atom.
• An atomic or ionic polarization is polarization due to the displacement of positive
ions away from the field and the negative ions towards the field due to the applica-
tion of an electric field.
• The internal field or local field in a solid dielectric material is equal to the sum of
the applied field plus the field produced at the location of an atom by dipoles of
all other atoms.
 Dielectric Materials 21.33

• Dielectric materials are classified into solid dielectric, liquid dielectric and gas-
eous dielectric materials.
• The Claussius–Mosotti equation for a solid material is equal to
N ae er - 1
=
3e0 er + 2
• Dielectric loss is the loss of energy in the form of heat wasted due to absorption of
electrical energy by a dielectric material when an ac field is applied to the mate-
rial.
• Dielectric breakdown is the phenomenon in which the dielectric material fails to
offer insulation resistance for a large applied voltage.
• There are five different types of dielectric breakdown, namely, intrinsic, thermal,
electrochemical, defect and discharge.
• The dielectric materials which exhibit hysteresis curve similar to that of ferro-
magnetic materials are known as ferroelectric materials.
• Ferroelectric materials are classified into three major classes as Rochelle salt,
potassium dihydrogen phosphate and barium titanate.
• Active dielectric materials are the materials which exhibit gain in current or volt-
age or both and have directional electronic properties.
• Passive dielectric materials do not exhibit any gain or directional properties.

Solved Problems

Example 21.1 The lattice parameter of KCl is 0.629 nm. It crystallizes like the
NaCl crystal structure. The electronic polarisability of K+ is 1.264 ¥ 10–40 F m2
and that of Cl– is 3.408 ¥ 10–40 F m2. Calculate the relative permittivity of KCl
crystal at optical frequencies.
Given Data
Lattice parameter of KCl = 0.629 nm
The electronic polarisability, ae, for K+ = 1.26 ¥ 10–40 F m2
The electronic polarisability, ae, for Cl– = 3.408 ¥ 10–40 F m2
Solution The electronic polarisability ae for KCl = (ae for K+ + ae for Cl–1)
= 1.264 ¥ 10–40 + 3.408 ¥ 10–40
= 4.672 ¥ 10–40 F m2
Number of atoms
The number of dipoles per m3 (N) =
Volume of the unit cell
4
=
(0.629 ¥ 10-9 )3
= 1.607 ¥ 1028 atoms m–3.
21.34 Engineering Physics

The dielectric constant is given by

e0 (er – 1) = Nae
Na e
er = +1
e0
1.607 ¥ 1028 ¥ 4.672 ¥ 10- 40
= +1
8.854 ¥ 10-12
= 1.8479
The dielectric constant of KCl is 1.848.
Example 21.2 Calculate the electronic polarisability of an isolated Se atom.
The atomic radius of an Se atom is 0.12 nm.
Given data
The atomic radius of Se = 0.12 nm
Solution The electronic polarisability is given by
ae = 4pe0R3
= 4p ¥ 8.854 ¥ 10–12 (0.12 ¥ 10–9)3
= 1.9226 ¥ 10–40 F m2
The electronic polarisability of an isolated Se is 1.9226 ¥ 10–40 F m–2.
Example 21.3 The following data refers to a dielectric material.er = 4.94
and n2 = 2.69, where n is the index of refraction. Calculate the ratio between
electronic and ionic polarability for this material.
Given Data
The dielectric constant er = 4.94
The refraction index n2 = 2.69
Solution
We know that, the Clasius - Mosotti relation
Na e - 1
= r
3e 0 er + 2
(i) At optical frequencies er = n2, the electronic polarisation alone occurs at
optical frequencies
Na e - 1
Therefore, = r
3e 0 er + 2
We know that the electrical polariability
a = ae + ai + ao
Since the orientation polariability (a0) is very less it can be neglected.

Therefore, a = ae + ai
 Dielectric Materials 21.35

Substituting Clausius–Mosotti relation, we get,

N (a e + a1 ) e r - 1
=
3e 0 er + 2
Simplifying the above equation, we get,
ae + ai (e - 1) (n 2 + 2)
= r
ae (e r - 2) (n 2 + 1)
Substituting the values of er and n2, we get,
a i (4.94 - 1) (2.69 + 2)
\ 1+ = ¥
a e (4.94 + 2) (2.69 - 1)

ai
(or) = 0.5755
ae
ae
= 1.7376
ai
The ratio of the electronic to ionic polariability is 1.7376

Example 21.4 The polarisability of Ne gas is 0.35 ¥ 10–40 F m2. If the gas
contains 2.7 ¥ 1025 atoms m–3 at 0 °C and 1 atmospheric pressure, calculate its
relative dielectric constant.
Given Data
The electronic polarisability ae = 0.35 ¥ 10–40 F m2
The number of atoms N = 2.7 ¥ 1025 atoms m–3
Solution The dielectric constant is given by
e r - 1 Na i
e r + 2 3e 0
Substituting N, ae and e0 values in the above equation, we get
2 Na e
1+
3e 0
er =
Na e
1-
3e 0
Substituting the values of N, ae and e0 in the above equation, we get
Na e 2.7 ¥ 1025 ¥ 0.35 ¥ 10-40
=
3e 0 3 ¥ 8.854 ¥ 10-12
= 3.5577 ¥ 10–5
Therefore,
21.36 Engineering Physics

1 + 2 (3.5577 ¥ 10-5 )
the dielectric constant er =
1 - 3.5577 ¥ 10-5
= 1.00010673
The dielectric constant of Ne gas is 1.00010673.

Example 21.5 A parallel plate capacitor consists of 2 plates each of area

5 ¥ 10-4 m2. They are separated by a distance of 1.5 ¥ 10-3 m and filled with
a dielectric of relative permittivity 6. Calculate the charge on the capacitor if
it is connected to a 100 volts d.c. supply.
Given Data
Area of the capacitor plate A= 5 ¥ 10-4 m2
Distance between the plates d= 1.5 ¥ 10-3 m
Relative permittivity of the dielectric er = 6
Applied voltage V= 100 V
Permittivity in free space e0 = 8.85 ¥ 10-12 F m-1
Solution
We know that, the capacitance of the capacitor is Q = C V
e0 er A
C=
d
e 0 e r AV
Q=
d
Substituting the values, we get,
8.85 ¥ 10-12 ¥ 6 ¥ 5 ¥ 10-14 ¥ 100
=
1.5 ¥ 10-3

= 1.77 ¥ 10-9
The charge on the capacitor is 1.77 ¥ 10-9 C.

Example 21.6 Ar gas contains 2.7 ¥ 1025 atoms m–3 at 0 °C and at

1 atmo-spheric pressure. Calculate the dielectric constant of the Ar gas at this
temperature, if the diameter of the Ar atom is 0.384 nm.

Given Data
The number of Ar atoms m–3 = 2.7 ¥ 1025 m–3
The diameter of Ar atom = 0.384 nm
Solution The electronic polarisability of Ar atom
ae = 4pe0R3
= 4p ¥ 8.854 ¥ 10–12 ¥ (0.384 ¥ 10–9)3
= 0.63 ¥ 10–40 F m–2
 Dielectric Materials 21.37

The dielectric constant of Ar, using Clausius–Mosotti equation is

2 Na e
1+
3e 0
er =
Na e
1-
3e 0
Substituting the values of N, ae and e0 in the above equation, we get
2 ¥ 2.7 ¥ 1025 ¥ 0.63 ¥ 10-40
1+
3 ¥ 8.854 ¥ 10-12
er =
2.7 ¥ 1025 ¥ 0.63 ¥ 10-40
1-
3 ¥ 8.854 ¥ 10-12
1.000128078
=
0.9999359611
= 1.000192129
The dielectric constant of Ar is 1.000192129.
Example 21.7 A parallel plate capacitor has a capacitance of 2mF. The
dielect-ric has permittivity, er = 80. For an applied voltage of 1 kV, find the energy
stored in the capacitor as well as the energy stored in polarizing the dielectric.

Given Data
The capacitance C = 2 mF = 2 ¥ 10–6 F
The permittivity of the dielectric er = 80
Applied voltage V = 1 kV = 1000 V
Solution The energy stored in the capacitor
1
E1 = C V2
2
1
= ¥ 2 ¥ 10-6 ¥ (1000) 2 = 1 J
2
The capacitance of the capacitor when the dielectric is removed
C
C0 =
er
2 ¥ 10-6
= = 2.5 ¥ 10–8 F
80
The energy stored in the capacitor with vacuum as dielectric,
1
E2 = C0 V2
2
1
= ¥ 2.5 ¥ 10-8 ¥ (1000) 2 = 0.0125 J
2
21.38 Engineering Physics

Energy stored in the capacitor in polarising the dielectric,

1
C = E1 – E2 = (C – C0) V2
2
E = 1 – 0.0125 = 0.9875 J
The energy stored in the capacitor = 1 J
The energy stored in polarissing the capacitor = 0.9875 J

Example 21.8 A solid contains 5 ¥ 1028 identical atoms per m3, each with a
polarizability of 2 ¥ 10–40 F m2. Assuming that the internal field is given by the
Lorentz relation, calculate the ratio of the internal field to the applied field.

Given Data
Number of atoms present per m3 N = 5 ¥ 1028
Polarisability ae = 2 ¥ 10–40 F m2
P
Solution The Lorentz relation Ei = E +
3e 0
The polarisation P = Nae Ei
= 5 ¥ 1028 ¥ 2 ¥ 10–40 ¥ Ei
= 1 ¥ 10–11 ¥ Ei
1 ¥ 10-11 ¥ Ei
The Lorentz field Ei = E +
3e 0

È 1 ¥ 10-11 ˘
i.e., Í1 - ˙ E = E
Î 3e 0 ˚ i
Ei 1
or =
E È 1 ¥ 10-11 ˘
Í1 - ˙
Î 3e 0 ˚
-1
Ei È 10-11 ˘
= Í1 - -12 ˙
= 1.60379
E Î 3 ¥ 8.854 ¥ 10 ˚
The ratio of the internal field to the applied field = 1.6038.

Example 21.9 If a NaCl is subjected to an electrical field of 1000 V m-1 an

dthe resulting polarization is 4.3 x 10-8 C/m2, calculate the relative permittivity
of NaCl.
Given Data
Applied electrical field E = 1000 V m-1
Polarisation P = 4.3 ¥ 10-8 C m-2
Permittivity in free space e0 = 8.85 ¥ 10-12 F m-1
 Dielectric Materials 21.39

Solution
We know that, the relative permittivity of NaCl is
P
er = 1 +
e0 E
Substituting the values, we get,
4.3 ¥ 10-18
=1+
(8.85 ¥ 10-12 ) (1000)
= 5.86
The relative permittivity of NaCl is 5.86.

Example 21.10 Calculate the electronic polariability of argon atom given

er = 1.0024 at NTP and N = 2.7 ¥ 1025 atoms/m3.
Given Data
Relative permittivity er = 1.0024
Number of atoms N = 2.7 ¥ 1025 atoms m-3
Permittivity in free space e0 = 8.85 ¥ 10-12 F m-1
Solution
We know that, the polarisability of argon atom is,
P = e0 (er – 1)E
P = NaeE

e 0 (e r - 1)
ae =
N
Substituting the values, we get,

(8.85 ¥ 10-12 ) (1.0024 - 1)

ae =
2.7 ¥ 1025

ae = 7.9 ¥ 10-40 F m2
Therefore, the polarisability of argon atom is 7.9 ¥ 10-40 F m2

Example 21.11 The dielectric constant of He gas at NTP is 1.0000684. Cal-

culate the electronic polarizability of He atoms if the gas contains 2.7 ¥ 1025
atoms per m3.
Given Data
The dielectric constant of the gas at NTP, er = 1.0000684
The number of He atoms, N = 2.7 ¥ 1025 m-3
Permittivity in free space e0 = 8.85 ¥ 10-12 F m-1
21.40 Engineering Physics

Solution
We know that, the electronic polarasability ae is

e 0 (e r - 1)
ae =
N

Substituting the values, we get,

8.85 ¥ 10-12 ¥ (1.0000684 - 1)

=
2.7 ¥ 1025

= 2.242 ¥ 10-41 Fm2.

Therefore, the electronic polarisability of He atoms at NTP is equal to 2.242 ¥
10-41 Fm2.

Example 21.12 An elemental dielectric material has a relative dielectric

constant of 12. It also contains 5 ¥ 1028 atoms m-3. Calculate the electric
polarisability assuming the Lorentz field.
Given Data
The relative dielectric constant of the material, er = 12
The number of atoms in the element, N = 5 ¥ 1028 m-3
Permittivity in free space e0 = 8.85 ¥ 10-12 F m-1
Solution
We know that the electronic polarasability is
e 0 (e r - 1)
ae =
N
Substituting the values, we get,
8.85 ¥ 10-12 ¥ (12 - 1)
ae =
5 ¥ 1028

= 1.947 ¥ 10-39 F m2.

Therefore, the electronic polarisability of given element is 1.947 ¥ 10-39 F m2.

Example 21.13 A parallel plate condenser has a capacitance of 2 mF. The

dielectric has permittivity er = 100. For an apllied voltage of 1000 V, find
the energy stored in the condenser as well as the energy stored in polarizing the
dielectric.
Given Data
Capacitance of plate condenser C = 2 ¥ 10-6 F
The applied voltage V = 1000V
The dielectric permittivity er = 100
 Dielectric Materials 21.41

Solution
1
Total energy stored in the capacitor E= CV 2
2
Substituting the values of C and V in the above equations, we get,
1 -6 3 2
E = ¥ 2 ¥10 ¥ (10 )
2
= 1J
We know that the energy stored in the dielectric material which is introduced
in between the parallel plates of the condenser, capacitance has to be calculated
removing the dielectric material.
C
C0 =
er
Substituting the values, we get,
2 ¥ 10-8
= = 0.02 mF
100
Energy stored without the dielectric
1
= C0 V 2
2
Substituting the values, we get,
1
= ¥ 0.02 ¥ 10-6 ¥ (103 ) 2
2
= 0.01 J
Therefore, the energy stored in the dielectric
= 1 – 0.01
= 0.99 joules
The energy stored in the dielectric is 0.99 J.

one Mark Question

21.1 The force acting per unit charge E is equal to

Q2 Q
(a) 2 (b)
4p e r 4p e r2
Q2 Q
(c) (d)
2p e r 2 p r2
21.42 Engineering Physics

21.2 The value of permittivity of free space is equal to ______.

21.3 The dielectric constant of a solid material is equal to P = _______.
e
(a) e o = (b) e r = e e o
er
e
(c) e o = e e r (d) e r =
eo
21.4 The polarization of a solid material is equal to P = _______.
21.5 The unit for polarization is _______.
21.6 The polarization of a solid which contains N number of particles per unit
volume is equal to
(a) Pe = N α E (b) Pe = 2 N α E
(c) Pe = N α2 E (d) Pe = N α2 E2
21.7 The electronic polarization of a solid material which contains N number
of atoms are
a) Pe = N 2 π εo R3 E (b) Pe = N π εo R3 E
3
c) Pe = N 4 π εo R E (d) Pe = N 4 π εo R3
21.8 Atomic polarization is exhibited in ionic molecules like _______ and
_______.
21.9 The value of ionic polarizability is equal to αi = _______.
21.10 Dipolar or orientation polarization is produced in _______ molecules.
21.11 The value of orientation polarization is equal to ______.
1 Ê m F2 E ˆ 1 Ê mF E ˆ
(a) Pe = (b) Pe =
3 ÁË Rt ˜¯ 3 ÁË Rt ˜¯

Ê m2 E ˆ 3 Ê m F2 E ˆ
(c) Pe = Á F ˜ (d) Pe =
Ë Rt ¯ 4 ÁË Rt ˜¯
21.12 The value of orientation polarization is equal to _______.
21.13 The total polarization in a solid material is equal to P = _______.
21.14 The internal field ie equal to Ei = E +______.
21.15 The internal or Lorentz field is equal to
P
(a) Ei = E + Ec (b) Ei =
3e 0
P2 P
(c) Ei = E + (d) Ei = E +
3e 0 3e 0
21.16 Give an example for dielectric solid materials _______.
21.17 Give an example for polar solid dielectric materials _______.
21.18 The Clausius–Mosotti equation for a solid dielectric material is equal to

N ai er + 1 N ai er - 1
(a) = (b) =
3e0 er - 2 3e0 er + 2

N ai er - 1 3 N ai er - 1
(c) = (d) =
e0 er + 2 e0 er + 2
 Dielectric Materials 21.43

21.19 Dielectric materials which exhibit hysteresis curve are known as _______
material.
21.20 The Curie temperature for Rochelle salt is _______ and _______K.
21.21 The transition temperatures for barium titanate ferroelectric phases are
(a) 278 and 193 K (b) 278 and 393 K
(c) 278, 193 and 393 K (d) 278, 193 and 300 K
21.22 Examples for active dielectric materials are _______, _______ and
_______.
21.23 Give two examples for passive dielectric materials _______ and
_______.
21.24 The polarization is a function of time
È Ê t ˆ˘ È Ê t ˆ˘
(a) P(t) = P Í1 - exp Á ˜ ˙ (b) P(t) = P Í1 + exp Á ˜ ˙
ÍÎ Ë tr ¯ ˙˚ ÍÎ Ë tr ¯ ˙˚
È Ê -t ˆ ˘ È Ê -t ˆ ˘
(c) P(t) = P Í1 - exp Á ˜ ˙ (d) P(t) = P Í1 + exp Á ˜ ˙
ÍÎ Ë tr ¯ ˙˚ ÍÎ Ë tr ¯ ˙˚

KEY
21.1 (b) 21.2 8.854 ×10-12 F m-1
21.3 (d) 21.4 Mass/Volume
21.5 C m-2 21.6 (a)
21.7 (c) 21.8 NaCl, KBr
e2 Ê 1 1ˆ
21.9 αi = ÁË + ˜¯ 21.10 Polar
w 02 M m
m F2
21.11 (a) 21.12 3 Rt

21.13 Pe + Pi + Po 21.14 Field due to all other dipoles

21.15 d) 21.16 Diamond
21.17 C6H5NO2 21.18 (b)
21.19 Ferroelectric 21.20 255, 296
21.21 d) 21.22 Piezoelectric, ferroelectric and
quartz
21.23 Ceramic, mica 21.24 (d)

Exercises

21.1 A condenser of 1 mF contains titanium oxide as a dielectric with er = 100.

For an applied dc voltage of 1000 V, find the energy stored in polarizing
the titanium oxide. Answer the same question for a 1 mF mica condenser,
assuming the dielectric constant er = 5.4 for mica.
21.2 An atom of polarisability a is placed in a homogeneous field E. Show
that the energy stored in a polarised atom is equal to 1/2aE2.
21.44 Engineering Physics

21.3 The electronic polarisability of the Ar atom is 1.7 ¥ 10–40 F m2. What is
the static dielectric constant of solid Ar (below 84 K) if its concentration
is 2 ¥ 1025 atoms m–3?
21.4 The dielectric constant of Si is 11.9. What is the electronic polarisability
due to the valence electrons per Si atom.
21.5 An elemental dielectric material has er = 12 and it contains 5 ¥ 1028
atoms m–3. Calculate the electronic polarisability assuming Lorentz field.
21.6 The relative permittivity of Ar at 0 °C and 1 atmospheric pressure is
1.000435. Calculate the polarisability of the atom.
21.7 The dielectric constant of He at 0 °C and 1 atmospheric pressure is
1.000074. Calculate the dipole moment induced in each He atom. The
electric field intensity of 3 ¥ 104 Vm–1.

Short Questions

21.1 Distinguish between a dielectric material and an insulator.

21.2 what are dielectric materials?
21.3 What is meant by polarisation in a dielectric material?
21.4 what are the different types of polarisations?
21.5 What is meant by dielectric loss?
21.6 What is meant by local field in a solid dielectric?
21.7 Explain the term total polarisation.
21.8 Explain the term dielectric breakdown.
21.9 Write the Clausius–Mosotti equation for a solid dielectric and explain the
terms.
21.10 Mention the different types of dielectric material?
21.11 What are the properties of dielectric material?
21.12 What are the uses of dielectric materials?
21.13 What are ferroelectric materials? Give an example.
21.14 What is ferroelectricity?
21.15 List the different types of ferroelectric materials.
21.16 Explain the crystal structure of Barium titanate.
21.17 Explain the crystal structure of potassium dihydrogen phosphate.
21.18 Explain the crystal structure of Rochelle salt.
21.19 What are the changes observed in the crystal structure of BaTiO3 with
change in temperatures?
21.20 What is a domain in a ferroelectric material?
21.21 What is permanent polarisation?
21.22 What is coercive field in a ferroelectric material?
21.23 What are active and passive dielectrics?
21.24 What is electronic polarisation?
21.25 What is ionic polarisation?
21.26 What is dipolar polarisation?
21.27 What is space charge polarisation?
 Dielectric Materials 21.45

descriptive Questions

21.1 What is meant by polarisation? Write an essay about the different types
of polarisation mechanisms involved in a dielectric material?
21.2 What is meant by local field in a solid dielectric? Deduce an expression
for the local field in a solid dielectric and hence obtain Clausius–Mosotti
relation.
21.3 Show that the imaginary part of the dielectric constant account for a
condenser being loss.
21.4 Explain with a neat sketch the experemental determination of dielectric
constant of the material.
21.5 What is meant by dielectric loss? Explain the phenomenon of dielectric
loss in detail.
21.6 Write an essay about the different types of dielectric breakdown.
21.7 What are the different types of dielectric materials? Explain them in
detail.
21.8 What is ferroelectricity? Explain the hysteresis curve exhibited by a ferro-
electric material with a suitable sketch. Give examples for ferroelectric
materials.
21.9 Explain with a neat sketch the frequency and temperature dependence of
dielectric properties.
21.10 Explain the classification of insulating materials based on their temperature
stability.
 Chapter

Shape Memory
Alloys 22

OBJECTIVES
• To explore the knowledge on shape memory materials
• To discuss the shape memory effect and the special features of shape memory alloys
• To understand the different characterisation tools to explore the phase transformation
temperatures
• To understand the commercial applications of shape memory alloys
22.1
I In recent decades, material science has drastically gained importance in
N view of the development of newer materials with exotic properties, new
process techniques, smart material performance, etc. The development of
T multifunctional materials is due to the demand for materials with additional
R engineering functionality such as sensing, actuation, electromagnetic
O shielding, etc.
D Some of the functional materials exhibit unique properties such
U as the ability to recover their shape or size when there is an increase
in temperature. The material which can recover its original shape or
C size when it is subjected to an appropriate temperature changes, either
T heating or cooling, is known as a Shape Memory Alloy (SMA). The shape
I recovery of the material is possible even under high applied loads. The
O SMA behaves as a rubber, at lower temperatures and can be deformed
even for small applied forces. However, at high temperatures, it behaves
N
like a metal and hence, the induced strains are highly irrecoverable. The
unique characteristics of SMAs lead to many industrial applications such as
sensing, actuation, impact absorption and vibration damping. The application of SMAs
in industrial sectors such as aerospace, automotive, biomedical and oil exploration
are evidenced extensively.
Shape memory alloys are classified into two types, namely, one-way shape memory
and two-way shape memory alloys. The material which exhibits the shape memory
effect only upon increase in temperature is known as one-way shape memory alloy.
22.2 Engineering Physics

Some of the materials can exhibit the shape-memory effect both during increase
and decrease in temperatures. These materials are known as two-way shape memory
alloys.
In order to understand the science and technology of Shape Memory Alloys (SMAs),
detailed discussions are given in the following sections:

22.2 ORIGIN OF SHAPE MEMORY ALLOYS

In 1890, Adolf Martens discovered the existence of martensite phase in steels. The
concept of thermo-elastic martensitic transformation and, thereby, the reversible
transformation of martensite was explained in 1949 by Kurdjumov and Khandros.
Arneolander, a Swedish physicist observed an interesting phenomenon on gold (Au)
and Cadmium (Cd) alloys in the year 1932. When the Au–Cd alloy is cooled to low
temperature, it exhibits a plastic feel and while heating the material, it surprisingly
returned to its original dimensional configuration. The effect of thermo-elastic
transformation structure during the change in temperature is known as Shape Memory
Effect (SME). The material which exhibit this phenomena are known as shape memory
alloys (SMA). The discovery of NiTi is a major breakthrough in SMAs for engineering
applications. The NiTi material is named NiTiNOL in order to honour its discovery
by Buchler and his co-workers from the Naval Ordnance Laboratory (NOL). Alloying
elements such as Co or Fe are added to the existing NiTi system, resulting in an abrupt
change in the SMA transformation temperatures. The NiTi material added with Co/
Fe elements are extended for first commercial applications and hence, are known as
Cryofit. The new materials such as TiPd, TiPt and TiAu are developed with improved
transformation temperatures greater than 373 K. These materials are known as High
Temperature SMA (HTSMA).

22.3 PRINCIPLE OF PHASE TRANSFORMATION IN

SHAPE MEMORY ALLOYS
The formation and disassociation of phases of alloys at a fixed composition is
mainly because of the change in temperature. The Shape Memory Alloys (SMA)
have two phases, namely, martensite and austenite within the operating temperature
region. The structure of the SMA in the respective phases is different and hence, the
properties vary widely. The phase of the material is changed from austenite (A) to
martensite (M) depending on the temperatures of the alloys. At high temperature,
the material is in austenite (A) phase, while at low temperature it is transformed
into martensite (M) phase. The austenite phase takes a cubic structure while the
martensite phase takes either tetragonal or orthorhombic or monoclinic structure. The
transformation of crystalline structure of the alloy occurs by shear lattice distortion,
and it is known as martensitic transformation. The direction of orientation of each
martensitic crystal is called variant. The assembly of martensitic variants can exist
in two forms, namely, twinned martensite (Mt) and detwinned martensite. The first
one is self-accommodated martensitic variants while the later is the dominant of
the specific variant (Md).
 Shape Memory Alloys 22.3

The crystal structure change from austenite to martensite during cooling is called
forward transformation. It is the result of the formation of several martensitic variants.
When the material is heated to high temperature, the crystal structure is transformed
from the martensitic phase to the austenite phase. The above transition is called reverse
transformation.

Twinned Mf Ms
Austenite
Martensite

Twinned As Af
Austenite
Martensite

Fig. 22.1 SMA—phase transformation

The schematic representation of the twinned martensite and austenite crystal structures
of the SMA and the corresponding phase transformations between them are shown in
Fig. 22.1. The characteristic temperatures associated with the phase transformation
are martensitic start (Ms), martensitic finish (Mf), austenitic start (As) and austenitic
finish (Af). Martensitic start temperature (Ms) is the temperature at which the crystal
structure begins to transform to the twinned martensite state from the austenite state
during the forward transformation. This transformation completes the crystal structure
to martensitic phase at the temperature known as martensitic finish temperature (Mf). At
this stage, the material is fully converted into the twinned martensitic phase. Similarly,
during heating, the reverse transformation starts at the austenitic start temperature
(As). The transformation is completed at the austenitic finish temperature (Af) and
hence, it reduces the austenitic structures.
When a mechanical load is applied to the material which is in the twinned martensitic
phase at low temperature, it is possible to detwin the martensite by reorienting a
certain number of variants as shown in Fig. 22.2. During this detwinning process, a
macroscopic shape change occurs. The above deformed configuration is recovered
to the original shape when the load is released. A reverse phase transformation takes
place upon a subsequent heating of the SMA which is in the detwinned martensite
phase to a temperature above the austenite finish (Af). Thus, the material attains the
complete shape recovery as shown in Fig. 22.3.
22.4 Engineering Physics

Detwinned Martensite

sf

ss
Twinned Martensite

Mf Ms As Af Temperature, T

Fig. 22.2 SMA—detwinning

When the material is cooled again below the temperature Mf, it again leads to the
formation of twinned martensite without any deformation in its shape. This process is
known as the Shape Memory Effect (SME). During the detwinning process, the applied
load must be sufficiently large so as to start the process. The detwinning initiation
is termed detwinning start stress (σs), which is the minimum stress required to start
detwinning. Complete detwinning of martensite occurs at sufficiently high applied
load and is called detwinning finish stress (σf).

Detwinned Martensite
Stress, s

sf

ss Austenite

Mf Ms As Af Temperature, T

Fig. 22.3 SMA—austenite without any applied load

Direct formation of detwinned martensite occurs during the cooling of material

which is in the austenitic phase with a mechanical load greater than σs. Thus, the
deformation in shape takes place. The deformed shape of the material is totally
recovered at the austenitic phase during the reheating process even though the applied
stress σs are continued.
 Shape Memory Alloys 22.5

In this case, the magnitude of the applied load is the key factor in determining the
transformation temperatures. The transformation temperature increases with increase
in the value of applied load as shown in Fig. 22.4.

Stress, s
Detwinned Martensite

Msf Mss

sf Ass Asf

Austenite
ss

Mf Ms As Af Temperature, T

Fig. 22.4 SMA—phase transformation during the load

22.4 SHAPE MEMORY ALLOYS—PROPERTIES

22.4.1 Hysteresis
The types of alloys and their compositions, and the applied thermo-mechanical treatments
are the key factors which induce the phase transformations in SMAs. The temperature
required for the transformation of the phase changes from martensite to austenite and
hence, from austenite to martensite is different. During the increase in temperature,
somewhat higher temperature is required to induce the transformation from martensite
to austenitic than that for the reverse transformations, i.e., from austenitic to martenstic
during cooling. The difference in the temperatures during the transformation upon heating
and cooling exhibits a hysteresis curve as shown in Fig. 22.5.

Ms Af Md
100%
Austenite %

Mf As
Temperature

Fig.22.5 Hysteresis curve

22.6 Engineering Physics

The martensitic phase start and finish are represented respectively by Ms and Mf.
Similarly, the austenitic phase start and finish temperature are represented respectively
by As and Af. The SMA exhibits a hysteresis curve, since there is no overlay of
transformation temperature during heating and cooling. The hysteresis curve depends
on the alloy systems. Most of the phase transformation occurs in a narrow temperature
range. However, the starting and ending transformation of phases during heating and
cooling occurs relatively at higher temperature range. The transformation temperature
of few SMAs is shown in Table.22.1.
The difference between the temperature at which 50% of the material is transformed
into austenitic during heating and 50% transformation of the material to martensite
during cooling is known as the transformation temperature T. In most of the SMAs,
the value of T lies between 293 and 303 K.

Table 22.1 Transformation temperature range of few SMAs

Transformation Transformation
Alloys Composition temperature hysteresis
range (K) T (K)

Ag – Cd 44/49 wt % cd 83 – 223 @ 15

Ni – Al 36/38 wt % Al 93 – 173 @10

Ni – Ti 49/51 wt % Ni 223 – 163 @ 30

Mu – Cu 5/35 et % Cu 23 – 93 @ 25

Cu – Zn 38.5/41.5 wt % Zn 93 – 263 @ 10

22.4.2 Two-Way Shape Memory Alloy

A repeated shape change in the SMA takes place when it is subjected to cyclic
thermal conditions during the absence of any applied load. The ability of the SMA is
to recover its original shape to austenite whenever the temperature is increased, and
also to gain the deformed or changed shape to martensite while cooling is known as
two-way shape memory effect (TWSME). A change in the microstructure leading to
macroscopic change in the material behaviour is expected due to the repeated cycles
of loading and unloading.

22.4.3 Pseudo Elastic Effect

The phase transformation of an SMA highly depends on the thermal conditions and
also to the applications of high mechanical load to the material in the austenitic phase.
The result of the applied load is a fully detwinned martensite phase created from
austenite. When the temperature of the material is above Af , the stress-introduced
transformation leads to strain generation during loading and stress recovery during
unloading. Therefore, the martensite phase totally changed upon removal of the
stress and the austenite phase recovers its original shape. This is based on the stress
induced martensite formation. The effect of return to its original shape upon loading
after substantial deformation is called pseudoelastic effect or superconductive
 Shape Memory Alloys 22.7

effect. The pseudoelastic effect is shown schematically in Fig. 22.6. The σMs and
σMf are the stress levels respectively at which the martensite transformation starts
and completes.

Stress, s Detwinned Martensite s Mf

s Ms

sf s As
Austenite
ss
s Af

Mf Ms As Af Temperature, T

Fig. 22.6 Pseudoelastic effect

Similarly, a reverse transformation to austenite from detwinned materials takes place

when the load is reversed from SMA. The corresponding stress levels at which the
material initiates and completes are represented respectively by σAs and σAf .

22.4.4 Thermoelastic Properties

The elastic constants such as Young’s modulus, Poisson’s ratio, etc., are used to obtain
the thermo-elastic properties of SMA, both at austenite and martensite conditions.
These parameters are used to explore the plastic yield and failure behavior of the
materials for design applications. The elastic stiffness of the material at austenite
condition is taken as Young’s modulus of austenite (EA). Similarly, the elastic constant
of the material after completing the transformation from austenite to martensite is
taken as elastic modulus of martensite (EM).
700
T=40° C
600

500
�� ���

400 � A
������

300
� M
200

100 � sub

0
0% 2% 4% 6%
������

Fig. 22.7 Dependence of strain against the stress

22.8 Engineering Physics

Similarly, the Poisson’s ratio for each phase is measured concurrently with the
stiffness. The thermally induced deformation response of austenite and martensite
materials is predicted by observing the coefficient of thermal expansion.

22.5 PROCESSING TECHNIqUES

Materials such as titanium, used for the preparation of SMA, are highly reactive to
any foreign materials present in the region. Therefore, instead of the normal material-
processing techniques, a high vacuum or an insert atmosphere is required for the
processing of SMAs. In addition, the processing temperature also needs to be very
high. The commercial SMA is prepared employing techniques like plasma arc melting,
electron beam melting, and vacuum induction.

22.6 CHARACTERISATION TECHNIqUES

Even though a number of materials are available for material characterisation, the
following four different methods are widely used to explore phase transformations
in the SMAs:
(i) Differential scanning calorimeter
(ii) Resistivity measurements
(iii) Transformation of SMA with temperature
(iv) Tensile test

22.6.1 Differential Scanning Calorimeter

The release and absorption of latent heat of the material is responsible for the
observed thermally induced phase transformation from austenite to martensite and
vice versa. The heat of transformation and the related transformation temperatures
are obtained using the technique known as Differential Scanning Calorimeter
(DSC). The information such as phase transformation temperature, latent heat due
to transformation, and the specific heat capacity of different phases in a material are
explored from these measures. In this technique, the sample material is encapsulated
in an inert atmosphere to prevent oxidation.
A tangent is drawn at the start and end regions of the transformation peaks and the
baseline of the heating and cooling curve. A typical DSC curve obtained for an SMA
is shown in Fig.22.8. The corresponding values of the tangent give the transformation
temperatures of the SMA.
Tc
Exo
Tg
����
��o�
E��o

Tm

�����������

Fig.22.8 DSC curve

 Shape Memory Alloys 22.9

The specific heat capacity of the material is computed by normalizing the power
employed during the heating rate and the weight of the specimen. The associated
latent heat for the phase transformation is obtained by integrating the specific heat
over the range of the transformation temperatures. The stored mechanical energy
may affect the transformation temperatures significantly and hence, the initial state
of the material is to be noted accurately. Thus, the stored mechanical energy in
turns can cause either a shift or widening in the transformation temperatures. From
the observed endotherm and exotherm peaks of the DSC curve, one can easily
measure the energy absorbed or given off at the beginning and end of the phase
transformation.

22.6.2 Resistivity Measurements

It is the second method used to measure the phase transformation in an SMA by
measuring the change in resistivity as a function of temperature. In order to measure
the transformation temperature both ways, i.e., heating and cooling, one has to measure
the resistivity of an SMA as a function of temperature over a wide range. The measured
resistivity shows peaks at phase transformation temperatures. The results obtained by
this method often disagree with the measured phase changes.

22.6.3 Transformation of SMA with Temperature

The most direct method employed to characterise the SMA is the stress–strain
measurements. By maintaining a constant stress, the strain on the sample is measured
during the transformation of both cooling and heating. The observed transformation
hysteresis is shown in Fig. 22.9. The obtained hysteresis transformation is the direct
measurement from the stress–strain measurements. The transformation hysteresis
temperature T, martensite start Ms, austenite start As, martensite finish Mf, and
austenite finish Af temperatures are obtained from the hysteresis results. The obtained
transformation temperatures for the Ms and Af from the above method are slightly
higher than those obtained from the DSC method. The observed higher transformation
temperature is due to the stress applied on the SMA during the measurements,

100
Martensite (%)
Length (%)

DL
T

Mf Ms As Af
Temperature

Fig. 22.9 Transformations versus temperature

22.10 Engineering Physics

while in the DSC measurement, the transformation is obtained without any stress
on SMA. The results obtained by this method are from direct measurements. The
main disadvantage of this method is the sample preparation and the method of
conducting the test on the SMA.

22.6.4 Tensile Test

In this method, the SMA is subjected to the standard tensile test within the range of
transformation temperature. The stress–strain properties of the SMA are obtained
during both heating and cooling. From the measured properties, the approximate
transformations temperature for the SMA is obtained. Even though this method is
used to obtain the transformation temperatures, it is not effectively used.

22.7 COMMERCIAL SHAPE MEMORY ALLOYS

A wide variety of SMAs were investigated over the last few decades, starting from
the initial investigation of AuCd and AgCd alloys. The Ni–Ti and copper-based
alloys are the first developed commercial SMAs. The development and fabrication
of new compositions of SMAs are being made by adding different alloy elements
to the existing alloys. This is mainly used to produce different SMAs with required
properties. Shape memory alloys are classified based on a variety of categories such
as primary alloy elements, mode of actuation of both magnetic and thermal, and
operating temperature.

22.7.1 NICkEL-TITANIUM BASED ALLOYS

(i) Ni–Ti alloys In the early 1960s, Buehler and his co-workers discovered the
shape memory effect in a nickel–titanium alloy. The composition of Ni–Ti alloy
is at equiatomic state, i.e., 50 % of Ni and Ti having the maximum Af temperature
of 393 K for all its Ni–Ti compositions. The properties of Ni–Ti alloys depend on
the composition of Ni added to the alloys. As the composition of Ni decreases in
Ni–Ti alloys, there is no change in the value of transformation temperatures. On
the other hand, an increase in the percentage of Ni above 50% leads to a decrease
in the transformation temperature. This results at ambient room temperature of 296
K, the existence of characteristic properties from SME to pseudo elasticity. The
Ni–Ti alloy shows good result on shape memory effect in both ways. The pseudo-
elastic behaviour of this alloy is studied extensively and found suitable for a variety
of commercial applications. Ni–Ti alloys exhibit good biocompatibility and better
resistance to corrosion and hence, prove their suitability for many biomedical
applications. The thermal, mechanical and shape memory properties of the Ni–Ti
alloy is shown in Table 22.2.
Knowledge of crystallography and thermo-mechanical response of Ni–Ti is
equally important. The formation of intermediate phase and, thereby, a change in the
crystalline structures of the Ni rich Ni–Ti alloy are obtained through aging at certain
temperatures. Ni–Ti alloys exhibit fully recoverable transformation strains up to 8%.
Ni–Ti alloys are available commercially in various forms such as wires, strips, rods,
tubes and plates.
 Shape Memory Alloys 22.11

Table 22.2 Thermal, mechanical and shape memory properties of Ni–Ti alloy

Properties Value
Thermal properties

Melting temperature (K) 1573

Density (x10–3 kg m–3) 6.50

Resistivity (x10–8 / µΩ) 70 – 100

Thermal conductivity (Wm–1) 8.5 – 18

Material properties

Young’s modulus (GPa)

Austenite 83

Martensite 28 – 41

Ultimate tensile strength (MPa) 895

Shape memory properties

Transformation temperatures (K) 73 – 383

Maximum shape memory strain (%) 8.5

When the Ni constant on Ni–Ti is increased to 55%, a change in the transformation

temperature is observed in the range of 263 K to 333 K. The low transformation
strains are obtained due to the multiphase structure of the alloy. This composition
has proven to the superior corrosion resistanete than stainless steels, even in a harsh
environment such as a salt water bath or salt fog. In addition to the above, this alloy
shows an excellent thermo-mechanical stability and easier control of transformation
temperatures through heat treatment.
(ii) Nic–Tic–Cu Alloys The addition of Cu to Ni–Ti replaces the Ni and forms the
Ni–Ti–Cu alloys. The composition of Cu to be added in a binary system is ≤ 10%. The
addition of Cu greater than 10% results in embitterment of the material. Thus, it helps
to reduce the hysteresis of SMA response, transformation strain and the pseudo-elastic
hysteresis. The small hysteresis makes the Ni–Ti–Cu alloy an ideal choice for actuators.
The width of the pseudoelastic hysteresis reduces width addition of Cu to the Ni–Ti
alloys. A reduction in pseudoelastic hysteresis from 200 Mpa to 100 Mpa while adding
10% to Ni–Ti alloys is observed. The addition of Cu greatly reduces the sensitivity
of the martensitic start temperature and hence, there is a corresponding change in the
phase transformation.
(iii) Ni–Ti-Nb Alloy The addition of niobium (Nb) element to Ni–Ti alloy widens
the hysteresis curve. In SMAs, the existence of wide hysteresis has important practical
22.12 Engineering Physics

applications. Thus, it helps to show a minimum response to the change in the hystersis
temperature.
(iv) Ni–Ti–X Alloys The demand for SMAs with high transformation temperatures
results in the development of a new class of SMAs known as High Temperature
Shape Memory Alloys (HTSMAs). The HTSMAs are a unique class of SMAs
that have the transformation temperatures greater than 373 K and are capable of
actuating under high temperature conditions. Applications such as the core region
of an aircraft engine or downhole applications in the oil industry require high
transformation temperatures along with stable material properties. In the past few
decades, SMAs were developed for commercial applications with an operating
temperature less than 373 K.
One can produce a variety of novel shape memory alloys by adding the ternary
elements such as palladium, platinum, hafnium, gold, and zirconium to Ni–Ti, wherein
the transformation temperatures are shifted anywhere in the range between 373 and
1073 K.

22.7.2 COPPER–BASED ALLOYS

The Ni–Ti SMAs offer excellent properties like pseudoelasticity and SME but the
main disadvantage of the system is the cost when compared to Cu-based SMAs.
The properties such as electrical and thermal conductivity of the Cu-based SMAs
show that it is the best alternative for Ni–Ti alloy. The hysteresis of copper-based
alloys exhibit less value than Ni–Ti and its transformation temperatures are highly
dependent on the composition. The Cu–Zn and Cu–Al alloys are the main Cu-based
alloys.
(i) Cu–Zn–Al The ductility and resistance to intergranular fracture of Cu–Zn binary
alloys are comparatively higher than any other Cu-based alloys. One can increase the
transformation temperatures by adding aluminium. Further, one can also change the
Ms temperature over a wide range from 93 K to 373 K by changing the composition
of aluminum between 5 wt.% and 10 wt.%. of Cu–Zn–Al alloys. These alloys are
very sensitive to heat treatments. A phase dissociation or a change in transformation
temperatures is achieved by means of quenching the alloys.
(ii) Cu–Al–Ni Similar to CuZnAl, the transformation temperatures of Cu–Al–Ni
alloy depends on the change in composition and the content of aluminum or nickel
to be added. One can change the Ms temperature from 133 K to 373 K by changing
the composition of aluminium between 14% and 14.5%. The change in the hysteresis
behaviour and transformation temperature fairly depends on the change in composition.
This alloy is harder to produce and hence, manganese is added to improve its ductility.
Similarly, titanium is added to refine its grains.
The thermal, mechanical and shape memory properties of the Cu–Zn–Al and
Cu–Al–Ni alloys are shown in Table 22.3. For commercial applications many novel
SMAs with wide and varied properties are under development. Recently the materials
like, CuAlBe, CuAlMn and CuAlNb have been developed. The CuAlMn alloy has
very good ductility, while the CuAlNb alloy is more suitable for high temperature
applications.
 Shape Memory Alloys 22.13

Table 22.3 Thermal, mechanical and shape memory properties of Cu–Zn–Al and
Cu–Al–Ni alloys

Properties Cu–Zn–Al Cu–Al–Ni

Thermal properties
1223–1293 1273–1323
Melting temperature (K)
7.64 7.12
Density (x10-3 kg m-3)
8.5–9.7 11–13
Resistivity ( x10s / µΩ)
120 30–43
Thermal conductivity (W m-1)
Mechanical properties
Young’s modulus (GPa)
70 85
Austenite
70 80
Martensite
600 500-800
Ultimate tensile strength (MPa)
Shape memory properties
Transformation temperature (K)
< 393 < 473
Maximum shape memory strain
4.0 4.0

22.7.3 Iron-Based Alloys

In recent years, iron-based ferrous alloys such as FeNiCoTi and FeMnSi have been
developed. The alloy FeNi31Co10Ti3 exhibits good shape memory effect after specific
thermomechanical treatments. Similarly, the alloy FeMnSi has good commercial
prospects. This is mainly due to the addition of Si content to its composition to improve
the shape memory effect.

22.7.4 Additional SMAs

(i) The CoNiAl alloy is prepared with the addition of Co to Ni–Al or Ni to
the CoAl binary alloy systems. The CoNiAl alloy has a very good cor-
rosion and oxidation resistance at high temperatures. This alloy with a
composition of CoNi33Al29 shows wide transformation temperatures and
stability in the pseudoelastic behaviour over a wide range of temperatures.
The magnetic properties of CoNiAl alloys reveal that martensite reorients
when it is subjected to an external magnetic field. As a result, the material
generates a magnetic-field-induced reorientation strain.
(ii) NiMnGa is the most widely investigated Magnetic Shape Memory Alloys
(MSMAs). The NiMnGa alloy demonstates the magnetic field-controlled
shape memory effect with larger field-induced strains. The other important
property of this alloy is the relatively low blocking stress, i.e., the stress
at which the magnetic reorientation strain is completely suppressed. This
is the main limitation of Magnetic Shape Memory Alloys (MSMAs). The
studies on other magnetic shape memory alloys such as Fe–Pd, Fe–Ni–
Co–Ti, Fe–Pt, Co–Ni–Ga, Ni–Mn–Al and Co–Ni–Al are revealed with
existence of lower field-induced strains.
22.14 Engineering Physics

22.8 SHAPE MEMORY ALLOYS-APPLICATIONS

Nowadays, newer materials with novel properties are required to meet the existing
application requirements. The best active materials such as SMAs are quickly gaining
momentum mainly due to their new kind of behaviours and multi-functionality. The
conversion of thermal energy into mechanical work using SMAs for real has been
aligned practical applications. The applications of the SMA in the present scenario
are diversified and ranges from everyday consumer products to biomedical implants
applications. The following are some of the applications of the safe memory and
super-elastic alloys:
(i) Aerospace and Military The SMA has wide applications in aerospace industry
such as in the areas of fixed-wing aircraft, rotorcraft and spacecraft. The application
of SMAs in the fixed wing aircraft is to optimise the performance of lifting bodies.

Reduction in Aircraft Engine Noise

The SMA is used in the aircraft engine to reduce the noise. This is aligned by installing
chevrons into the engine and to mix them with flow of exhaust gases where it reduces
the engine noise. The SMA components are embedded inside the chevrons. During low-
altitude flight or low-speed flight, the chevrons containing the SMA beams bend and,
thereby, increase the mixing and hence, reduce the noise. Similarly, during high-altitude
or high-speed flight, the SMA beam components cool into martensite state and thereby
straightening of the chevrons results in an increase of engine performance. Thus, the
aircraft noise levels during takeoff and landing are controlled effectively.
(ii) Transportation SMAs are extensively used is automobiles for applications
ranging from impact absorption to sensing and actuation. The key properties of SMAs
like pseudoelastic behaviour and hysteresis provide an effective system to dissipate
vibrations and impact.
The SMA is used as an actuator in actuating the blinds which cover the fog lamp
to prevent it from external damage, Whenever the fog lamp is turned on, the actuation
of the SMA louvers through the electrical circuits and prevents damage to the lamps.
It is also used for sensing and actuating purposes simultaneously.
(iii) Safety Applications The SME of the alloys is used for many applications. The
SMA actuator is used to shut off the toxic or flammable gas flow when there is a fire.
A similar actuation system is incorporated in the Shinkansen bullet train gearbox
wherein the temperature in the gear box is monitored. The SMA spring actuates a
valve to adjust the oil level in the gearbox. Other applications developed for trains
include the thermally actuated switch for the radiator fan in diesel engines and steam
traps for the steam heating system in passenger trains. In both of these applications,
the shape memory effect is used. Ni–Ti alloys are used as actuators and fasteners in
automobile applications. The fan clutch is used to regulate the temperature of the
engine. Similarly, the SMA is used as a thermostat to open and close the valve to
control the flow of water in the cooling system.
(iv) Consumer Products Most of the consumer product applications are based on
the pseudoelastic properties of SMAs. Some of the applications are eyeglass frames,
golf equipment, wires in retractable antennas, gained wire for steering catheters into
 Shape Memory Alloys 22.15

vessels, working toys, etc. The SMA is used as a thermostat in coffeepots to open and
close the valve to control the release of hot water to brew a perfect pot of coffee.
(v) Medical The pseudoelastic characteristics and the biocompatibility properties
of the SMAs like NiTi, makes the SMA an attractive element for use in medical
applications. The SMA is used for applications such as stents, filters, and orthodontic
wires as well as devices for Minimally Invasive Surgery (MIS).

Blood–clot Filter
A suitable shape of Ni–Ti is used to filter blood clots when it is inserted into the vein.
The SME is used to achieve this filtering. The undercooled SMA is inserted into the
vein in its deformed shape. The existence of body heat helps the SMA recover its
original shape due to SME and filters the trapped blood clots passing through the vein.
The trapped clots get dissolved eventually.

Orthodontic
SMAs are successfully implemented in a variety of dental applications. For example,
nitinol orthodontic arch wires are used as an effective material than steel wires. When
a linear wire made of stainless steel is used in orthodontic archeries, it exacts a large
amount of force on the tooth for a small amount of corrective motion, even for a small
strain. The advantage of pseudoelastic arch wires is their ability of correction motion.
When the SMA is used as an arch wire, it operates in the pseudoelastic plateau region
and hence, it has a near-zero stress due to the large strain increments. Therefore, the
replacement of steel wires by SMA arch wires results in a moderate force on the tooth
for a long time.
In addition, SMAs find wide applications in product development such as
microsurgical instruments and flow control devices, particularly for biomedical
applications.

22.9 SHAPE MEMORY ALLOYS-DISADvANTAGES

The following are some of the disadvantages of SMAs:
• The manufacturing cost of SMAs is more than any other materials.
• The fatigue properties of the SMA are very poor. As a result, a load with a stand-
ing capacity of an SMA is 100 times less than that of steel components.

keypoints to Remember

• Shape Memory Alloys (SMAs) are materials which can recover their original
shape or size when subjected to an appropriate temperature change, either heating
or cooling.
• The important two phases of the SMA are martensite and austenite.
22.16 Engineering Physics

• Martensitic start (Ms), martensitic finish (Mf), austenitic start (As) and austenitic
finish (Af), are the important transition temperatures.
• High Temperature Shape Memory Alloy (HTSMA) are materials with transition
temperatures higher than 373 K.
• Shape Memory Effect (SME) is the process of returning to the original dimen-
sional configuration during heating.
• The materials which exhibit SME both during heating and cooling are known as
two-way SMAs.
• The material which exhibit SME upon increase in temperature are known as one
way shape memory alloys.
• The difference in the transformation temperature during heating and cooling ex-
hibits a smooth curve known as hysteresis.
• Superelasticity or pseudoelasticity is the ability of the SMA to return to its original
shape upon loading after substantial deformation.
• Categories of SMAs are nickel ntitanium, copper-and iron-based alloys.

Objectives questions

22.1 _____ and ______ alloy exhibits the first shape memory effect.
22.2 The first commercial application of SMA is achieved by adding Co/Fe
elements on ______
22.3 _________ is the first commercial SMA.
22.4 The two phases of the SMA are __________ and ________.
22.5 The characteristic temperature associated with the phase transformation
are
a) Ms, Mf, As, Md b) Ms, Mf, As, Af
c) Ms, Md, As, Af d) Ms, Md, As, Mf
22.6 The reverse transformation starts at _________ temperature.
22.7 The austenite structure is reduced at the ________ finish temperature.
22.8 ________ SMA is used for biomedical applications.
22.9 In SMA, the ductility is improved by adding_________.
22.10 _______ is used to refine the grains is SMA
22.11 The most widely used magnetic shape memory alloy is _________.
22.12 SMA is used in aircraft to ___________ the engine noise.

kEY
22.1 Au and Cd 22.2 NiTi
22.3 Cryofit 22.4 Martensite and Austenite
22.5 b) 22.6 Austenitic start
22.7 Austenitic 22.8 NiTi
22.9 Manganese 22.10 Titanium
22.11 NiMnGa 22.12 Reduce
 Shape Memory Alloys 22.17

Short questions

22.1 What is meant by multifunctional materials?

22.2 What are shape memory alloys?
22.3 What is meant by one-way shape memory alloy?
22.4 Explain the two-way shape memory alloy.
22.5 Differentiate between one-way and two-way shape memory alloys.
22.6 Define shape memory effect.
22.7 Explain high-temperature shape memory alloy.
22.8 What is meant by phase transformation?
22.9 Explain the martensite and austenite phase.
22.10 Define varriant.
22.11 Explain the twinned and detwinned martensite.
22.12 What is meant by hysteresis?
22.13 Explain two way shape memory effect.
22.14 What is pseudoelasticity?
22.15 Mention few commercial shape memory alloys.
22.16 What are the properties of SMA
22.17 What is meant by actuators?
22.18 Mention few applications of SMAs in aerospace and military.
22.19 How SMA is used in safety applications.
22.20 Mention few applications of SMAs in consumer products.
22.21 Explain how SMAs are used to filter the blood clots.
22.22 Explain the disadvantages of SMAs.

Descriptive questions

22.1 Explain with a neat sketch the origin, principle and phase transformation of
SMAs.
22.2 Describe the different properties of SMAs with suitable illustrations.
22.3 Describe with a neat sketch the different characterisation techniques used for
SMAs.
22.4 Write an essay on the application of different commercial SMAs.
22.5 Explain with suitable examples the applications of SMAs in different fields.
22.6 Write notes on the following:
a) Shape memory effect
b) Hysteresis
c) Pseudoelastic effect
d) Ni–Ti alloys
22.7 Explain the shape memory effect and pseudoelasticity of shape memory alloys
with necessary diagrams.
 Chapter

Nonlinear
Materials 23

OBJECTIVES
• To introduce the concept of nonlinear optics
• To describe the nonlinear behaviour and the properties of materials
• To understand the passive and active nonlinear materials and their properties
• To study the different types of nonlinear materials and their applications
• To explore the possible applications of the nonlinear materials
23.1
i Nonlinear optics is a branch of optical physics dealing with various new
n optical effects and, thereby, the changes in matter due to the interaction
with highly intense and coherent optical radiation. The properties of
t
the material are retained without any change when a low intensity
r light beam propagates through the materials. On the other hand, the
o properties of the material, like refractive index, is affected when a highly
d intense light beam propagates through the material. Therefore, during
u the propagation of light in optical materials, the intensity of the light
input and frequency is not related to the output light through a simple
c proportional constant, known as nonlinear behaviour. The nonlinear
t behaviour of optical materials results in new effects which are not
i observed during the propagation of a low intensity light beam through
o the material. The material which shows this behaviour is known as a
n nonlinear material.
When a high-intensity light beam is propagated through the nonlinear
material, it generates harmonics or overtones in addition to the original
light frequency. For example, the ruby laser (red beam) generates an ultraviolet beam
as harmonics in addition to a red beam at the output when it is propagated through
nonlinear materials.
The interaction of a highly intense light beam with nonlinear optical materials opens
up new applications like optical communication mixing, heterodyning, modulation,
etc. The basic principle of nonlinear optics, properties and application of nonlinear
materials are discussed in the following sections.
23.2 Engineering Physics

23.2 Basic principle

The principle behind nonlinear optical properties of material is the Faraday and Kerr
effects under the influence of strong electric and magnetic fields. We know that the
light waves are electromagnetic in nature. When a light beam is propagated through
a material, it changes the properties of the medium such as its refractive index, and
its dependence on the electric and magnetic fields associated with the light beam.
For example, the nonlinear propagation of the material will be absent in the case of
low intensity incident light beam, since the electric fields associated with the light
beam are so weak. On the other hand, for a high intensity light beam such as laser,
the nonlinear effect will be more and interesting, since the electric fields are strong
enough in the incident light beam.
Generally, the electric field strength for a conventional light beam is very
low i.e., 101 Vcm-1. On the other hand, the internally available interatomic field
(107–1010 Vcm-1) oscillates the atoms or molecules. When strong electric and
magnetic fields propagate through a medium, it changes the properties and its
propagation.

0 cm
1 cm 2 cm

Fig. 23.1 Spring—Linear displacement

Consider that the force F acting on the spring S along the x-direction as shown in
Fig. 23.1. When the force is applied, the spring undergoes a stretch along the x-direction.
The displacement of the spring due to the application of the force is a small distance,
say 1cm. The force which is acting on the stretched spring is

F=kx (23.1)

where k is the proportionality constant and is known as spring constant. Equation.

(23.1) shows that the applied force and displacement of the spring are linear. The
linear relationship is satisfied only up to a certain force beyond which the displacement
is not linearly proportional to the force. On the other hand, the displacement is not
linear and is given by,

F = k x + k¢ x2 + k¢¢ x3 + k¢¢¢ x4 + ……… (23.2)

where k¢, k¢¢, k¢¢¢, etc., are known as higher-order constants and are smaller than the
value of k.
 Nonlinear Materials 23.3

Force
B Nonlinear region

Linear region

A D
Displacement

Fig. 23.2 Stretched spring—linear and nonlinear behaviour

The displacement of the spring, both linear and nonlinear behaviour, with the
application of force is shown in Fig. 23.2. The displacement of the spring is linear up
to the force F up to By, beyond which it is nonlinear.

23.3 classification of nonlinear

materials
Generally, nonlinear materials are classified into two categories, namely, molecular
and bulk materials. In molecular materials, the basic molecular units are classically
bonded and interact with bulk through Van der Waals interaction. As a result, the
molecular material produces nonlinear optical properties. The nonlinear arrangements
of molecular sites determine the nonlinear response of the material. The response of
the material is used to define the nonlinear coefficients. The nonlinear coefficients
of materials are known as hyper polarisabilities. The nonlinear property of materials
occurs at molecular level and hence, the molecules are assembled based on the
requirement of nonlinear properties.
In bulk materials, the nonlinear properties mainly depend on the response of
electrons which are not associated with any individual sites. The nonlinear responses
of bulk materials are explained by the effects of band structure and the response of
electrons.
Generally, when a light beam is passed through an optical material, the intensity
and frequency of the input and output lights are not related by a simple proportionality
constant. The above nonlinear property of the materials generates an additional
harmonics or overtones in its original light frequency. Based on the nonlinear properties
of the materials, it is classified as passive and active materials.

23.3.1 passive materials

The passive materials are used to produce passive optical effects. In passive optical
effects, nonlinear effects are produced in a material without imposing their characteristic
internal resonance frequencies on to the incident beam of light. In the above process,
the material acts as a catalyst. Examples for passive optical effects are harmonic
generations, frequency mixing, optical reflection and self-focusing of light.
23.4 Engineering Physics

23.3.2 active materials

In active materials, the characteristic resonance frequencies of the materials are
imposed on to an incident beam of light. This effect is known as active nonlinear effect.
The materials which exhibit this property are known as active materials. Examples
for the optical nonlinear effects are two photon absorption, and stimulated Raman,
Rayleigh and Brillouin scattering. The passive optical effects and the propagation of
nonlinear materials, like polarization, frequency doubling or tripling, optical mixing,
optical phase configuration, optical rectification and phase matching, are given in the
following sections.

23.4 nonlinear properties

The properties of the nonlinear materials such as polarisation, frequency doubling
or tripling, optical mixing, optical phase conjugation, optical rectification and phase
matching are given in brief in the following sections:

23.4.1 polarisation
Electric polarisation is a physical quantity used to explain phenomena like reflection,
refraction, scattering and dispersion during the polarisation of light. Polarisation
is the interaction of electric vector of the incident electromagnetic waves with the
medium. As a result, an instantaneous displacement of the electron density of an
atom takes place. Thus, the electron density is separated away from the nucleus
resulting in charge separation. The charge separation is known as induced dipole.
The induced dipole induces charge polarisation. Therefore, when an electric field
is applied to a nonlinear material, it produces a polarisation and it depends on the
applied electric field (E).
Therefore, the polarization is

P = a E + a1 E2 + a11 E3 + … (23.3)

where a is the polarisability coefficient of the material and d, d¢, etc., are higher-order
nonlinear optical coefficients which are much less than a.
We know that the strength of polarisation depends on the applied field. When a low
intensity electric field is applied, the nonlinear terms in Eq. (23.3) are negligible.

P=aE (23.4)

Equation (23.4) indicates that the strength of an electric field incident on the materials is
less than the internal electric field. The internal electric field available on the materials
is in the order of 109 V cm-1, while the electric field produced by the sunlight is 101
V cm-1.
When a high intensity laser beam is used, the high intensity electric field incident
on the nonlinear material produces large polarisation. Hence, Eq. (23.4) is valid.
 Nonlinear Materials 23.5

On the other hand, when a low intensity ordinary light beam is used, the electronic
field produced by the ordinary light is low and hence, Eq. (23.4) is valid. It is clear
that the contribution from higher order terms in Eq. (23.3) will be there when a high
intensity beam is used.

23.4.2 frequency doubling or tripling (Higher Harmonic

Generation)
Peter Franken in 1961 first demonstrated the frequency doubling effect. The quartz
crystal is irradiated with a ruby laser beam of 694.3 nm wavelength. When the laser
beam strikes the crystal, it converts into a small amount of light with a wavelength
of 347.2 nm. The converted light lies in the ultraviolet region, with exactly half
the wavelength and twice the frequency as that of the incident light. The doubling
of the frequency is known as frequency doubling or Second Harmonic Generation
(SHG).
Consider that a plane polarized light with frequency f and amplitude E0 passes
through an optical material. Therefore, the electric field generated in the medium is

E = E0 cos 2πft (23.5)

= E0 cost wt (23.6)

where w is the angular frequency.

Due to the interaction of external field, the induced polarisation

P = a E0 cos w t + a1 E02 cos2 w t (23.7)

We know that
1 + cos 2q
cos2 θ =
2
2
Substituting the value of cos θ in Eq. (23.7), we get,

a 1 E0 2 cos 2w t a 1 E0 2
P = aE0 cos w t + + (23.8)
2 2

or P = P(w) + P(2w) + a constant term (d.c) (23.9)

Equation (23.9) shows the association of frequency with polarisation. The first term
P(w) is the fundamental polarisation for the fundamental angular frequency w. The
second term P(2w) is the second harmonic polarisation and is a function of angular
frequency 2w, i.e., twice the angular frequency w. The third term is not a function of
frequency and provides a steady dc polarization. The frequency dependent polarisation
is shown in Fig. 23.3.
23.6 Engineering Physics

Fig. 23.3 Frequency versus polarisation

Therefore, induced polarisation will have two effects. The speed of light in the
medium decreases due to induced polarisation and re-radiation. Consider that c and v
are respectively the speed of light in vacuum and medium. Therefore, the refractive
index of the medium increases and is given by,

c
n= (23.10)
v

The frequency of re radiation is 2w. The frequency of re-radiation is twice as that of

the incident radiation. The doubling of the frequency is known as Second Harmonic
Generation (SHG) or frequency-doubling. Peter Franken demonstrated the frequency-
doubling effect in certain materials. The materials which are used to demonstrate
frequency doubling, or SHG, are known as nonlinear materials and they exhibit the
nonlinear property. The different types of materials which are used for nonlinear
applications are discussed in the earlier part of this chapter.

Quartz 6943 Å
prism Lens

Lens
Nonlinear Film
quartz
crystal 3472 Å
6943 Å
Beam contains fundamental
Filter and second harmonics

Lens
Q-switched
ruby laser

Fig. 23.4 Second harmonic generation—experimental set-up

A simple experimental set-up which demonstrates the nonlinear effects is shown

in Fig. 23.4. When a highly intense laser beam (Ruby laser, 694.3Å) incident on the
 Nonlinear Materials 23.7

material, it gets converted into two beams with wavelengths of 347.2Å and 694.3Å.
The frequency of the incident light radiation of 282823 GHz is doubled as 565646
GHz. This frequency is second harmonic generation. Similarly, one can generate the
third, fourth, etc., harmonics employing the incident light radiation.

23.4.3 optical mixing

When two coherent light sources of frequencies w1 and w2 are passed through a
nonlinear material, the mixing of the two light sources takes place and is known as
optical mixing. When two electromagnetic waves (E1 and E2) are mixed through the
optical mixing process, it produces a third wave Ep known as plasma. Therefore, the
total electric field generated in the material due to the transmission of optical light
beam is

E = E1 cos w1t + E2 cos w2t (23.11)

We know that when intense optical beams interact, it leads to charge polarization,
i.e.,

P = a (E1 cos w1t + E2 cos w2t) + a1 (E1 cos w1t + E2 cos w2t)2
= a (E1 cos w1t + E2 cos w2t) + a1 (E12 cos2 w1t + E22 cos2 w2t)
+ 2a1 E1 E2 cos w1t cos w2t (23.12)

In Eq. (23.12), the second term is a function of angular frequency 2w1 and 2w2.
Therefore, the last term is,

2a1 E1 E2 cos w1t cos w2t = a1 E1 E2 [cos (w1 + w2)t + cos (w1 - w2)t] (23.13)

Equation (23.13) clearly shows that the frequencies w1, w2, 2w1, 2w2, w1 + w2 and
w1 – w2 are the new waves generated. One can generate optical waves with different
frequencies using the optical arrangements. When a nonlinear material is used for
optical wave generation, it generates optical waves with different frequencies. This
process is known as optical mixing. The resultant waves are classified in two categories,
namely, up conversion and down conversion. The up conversion waves are produced
when the two input frequencies, i.e., w1 and w2, are summed. On the other hand, the
down conversion waves are produced due to the difference in the two input signals,
i.e., w1 – w2. Examples of nonlinear materials used for the production of up conversion
waves are Potassium Dihydrogen Phosphate (KDP) and Ammonium dihydrogen
phosphate (ADP), while LiNbO3 and quartz are used for down conversion waves.

23.4.4 optical phase conjugation

In 1977, Zeldovich and his co-workers discussed the optical phase conjugation. The
principle behind optical phase conjunction is Stimulated Brillouin Scattering (SBS).
The cubic nonlinearity of the optical medium is used to reverse the overall phase factor
as well as the direction of the incident light beam. The schematic representation of
phase conjunction is shown in Fig. 23.5.
23.8 Engineering Physics

Reflected
wave
conjugate
Incident
wave
Incident
wave kin = kxax + kyay + kzaz
kout = – kin kout = kxax + kyay – kzaz
a) Ordinary mirror b) Phase conjugate mirror

Fig. 23.5 Phase conjugation

When a light is incident on the surface of the reflecting mirror, the sign of the
vector K which is normal to the mirror surface is changed. However, the tangential
component which is leaving the mirror is unchanged. On the other hand, if reflection
occurs in a phase conjugation as shown in Fig. 23.5b, the vector k gets inverted.
The incident wave gets retrieved back in the same direction. This is possible due
to the incident conversion beam being conjugated into the reflected beam as shown
in Fig. 23.5b. The process of retrieving the phase of wave at every point on its
wavefront is known as phase conjugation optics. The phase removal is obtained
either using SBS three wave mixing in a crystal or degenerate four wave mixing
(DFWM) method.

23.4.5 optical rectification

Optical rectification is the generation of dc electric polarisation using an intense
optical beam in nonlinear medium. When a laser beam is passed through a nonlinear
optical crystal, it produces polarisation and is given by Eq. (23.8). It is clear from
Eq. (23.8) that the third term is due to d.c term and it is independent of frequency. One
can measure the dc signal generated by the crystal by connecting the conductors across
the opposite sides of the crystal. The conductor is working based on the piezoelectric
effect. The conductor converts the produced dc signals into voltage pulses. The strength
of the voltage depends on the intensity of the applied laser beam. Thus, this process
is known as optical rectification and is similar to the method used to rectify the ac
electrical signal employing a semiconductor diode.

23.4.6 phase matching

One can improve the efficiency of second harmonic generation by passing the light
along the index matching duration of the crystal. The propagation of the speed of light,
both in the horizontal and perpendicular direction in a nonlinear potassium dihydrogen
phosphate (KDP), is shown in Fig. 23.6. When an ordinary light is passed through
a doubly refracting crystal along its optic axis, it does not split in two light rays. On
the other hand, when a laser beam of light of 694.3 nm wavelength is passed through
a nonlinear optical crystal like KDP, it splits into two waves, namely, ordinary and
extraordinary waves. The extraordinary wave is the second harmonic light of 347.2
 Nonlinear Materials 23.9

nm wavelength which is half the wavelength of incident light. The speeds of both
waves i.e., ordinary and second harmonic are same when the waves propagate at an
angle of 50° inclined to the optic axis of the crystal.
Thus, the ordinary and second harmonic waves are in the same phase. This is
known as phase matching or index matching. One can also obtain phase matching in
other crystals by changing their temperature. This is mainly due to the temperature
dependence of properties of extraordinary rays. On the other hand, the ordinary ray
is independent of temperature. One can obtain the phase matching in a birefringence
crystal by adjusting the temperature of the crystal.
The experimental set-up used to obtain the phase matching in birefringence crystals
like niobate is shown in Fig. 23.7. The crystal is irradiated by Nd:YAG laser operating
at a wavelength of 1.06 mm. The second-harmonic intensity is monitored by adjusting
the temperature of the crystal to get the phase matching.

Z(optic) axis

50° Speed of
extraordinary
Speed of light
ordinary light (second harmonic :
(fundamental : 347.2 nm)
694.3 nm)

Fig. 23.6 Phase matching in KDP

Filter
Oven
Laser
PM
Chopper with
Lock-in amp
reference
Temperature
controller
X-Y plotter
Thermocouple

Potentiometer DC amplifier
Fig. 23.7 Experimental set-up—phase matching in birefringence crystals
23.10 Engineering Physics

Second Ideal crystal

harmonic
power
Nonideal crystal

Temperature
Fig. 23.8 Plot between second harmonic powers against temperature

The result obtained from the perfect crystal is shown as a plot between the second
harmonic powers against temperature as shown in Fig. 23.8. The observed results
suggest that the phase matching of the crystal with different compositions changes with
respect to the different sites of the crystal. The phase matching of different portions of
the crystal occurs at different temperatures. As a result, a central peak and reduction
in height of the second harmonic power is obtained against temperature.

23.5 nonlinear materials

Generally, nonlinear materials have a strong dependence on optical properties like
refractive index and a low susceptibility. More attention is being given on growing
nonlinear materials with several above properties. The following are some of the
common nonlinear optical materials used for different applications. The properties
such as refractive index and nonlinear coefficient of important nonlinear materials
are shown in Table 23.1.
table 23.1 Properties of nonlinear materials
Crystal Transmission Refractive Nonlinear
(Class) range (mm) index (at 1.06 mm coefficient (pm V-1)
Silver gallium selenide 0.78-18 no = 2.7010 d36 = 33
AgGaSe2 (42m) ne = 2.6792 (at 10.6 mm)
Β-barium borate 0.21-2.1 no = 1.6551 d22 = 2.3
BBO (3m) ne = 1.5425 d24 = d15 ≤ 0.15
Lithium iodate 0.31-5 no = 1.8517 d3 1=- 7.11
LiIO3 (6) ne = 1.7168 d33 =- 7.02
d14 = 0.31
Lithium niobate no = 2.234 d31 =- 5.95
LiNbO3 (3m) ne = 2.155 d33 =- 34.4
Potassium di hydrogen 0.18-1.55 no = 1.4944 d36 = 0.63
phosphate KH2PO4 (KDP) ne = 1.4604
KTiOPO4 0.35-4.5 n× = 1.7367 d31 = 6.5
KTP ny = 1.7395 d32 = 5.0
(mm2) nz = 1.8305 d33 = 13.7
d24 = 6.6
d15 = 6.1
 Nonlinear Materials 23.11

Ammonium Dihydrogen Phosphate and Potassium Dihydrogen Phosphate Ammonium

dihydrogen phosphate (ADP) and potassium dihydrogen phosphate (KDP) are the first
nonlinear materials used for different applications. The properties of ADP and KDP are
similar. One can grow these crystals in aqueous solutions with high optical quality and
with more than 10 cm thickness. These materials are used in piezoelectric applications
like ultrasonic transducers as well as for the generation of phase matched second
harmonic lights.
The optical transmission of these crystals range from 200 to 1500 nm. ADP and KDP
materials are resistant to laser damage in most of the applications. KDP is more stable
than ADP and undergoes alternate heating and cooling with damage to its structure
and properties. On the other hand, ADP deteriorates when it is heated above 373 K.
Isomorphs of ADP or KDP crystals are used to produce the nonlinear optical effects.
Isomorphs are the same chemical composition with crystalleations of either ADP or
KDP crystals. The isomorph crystals are known as KD*P or K-D-star-P. The optical
transmissions of these crystals are poor in the infrared region. Similarly, the nonlinear
coefficient is relatively low.
Lithium Niobate Lithium niobate (LiNbO3) is one of the most important nonlinear
materials. Generally, lithium niobate crystals are available in all sizes. It is a pure crystal
and transparent as that of water. The nonlinear coefficient of lithium niobate is ten times
larger than KDP and hence, the efficiency is higher by two orders of magnitude. The
SHG efficiency is almost close to 100%. One can achieve a phase matching between
the fundamental and harmonic waves due to formation of large birefringence in the
visible and near infrared region. Lithium niobate crystals are used for applications
like second harmonic generation and parametric oscillators. The major drawback is
that it has a low damage threshold energy.
Barium Sodium Niobate Barium sodium niobate (BaNaNb5O15) is known as banana
and is similar to lithium niobate. It is an optically transparent crystal in the range between
370 nm and 5 mm. The matching for the second harmonic generation is achieved using
an Nd: YAG laser beam at 373 K. The temperature of the phase matching depends on
the stoichiometric composition of the crystal. The nonlinear properties of barium sodium
niobate are three times higher than that of lithium niobate. It finds wide applications
like second harmonic generation and in building parametric oscillators.
Proustite Proustite (Ag3AsS3) is the only naturally crystal used as a nonlinear
material. It is available as abundant material in mineral deposits. Generally, proustite
crystals have good optical quality produced synthetically and have a dimension of
several centimetres. These crystals are used in wideband ranging from 600 nm to 13
mm. Due to its birefringence, it is used as a prime candidate to study phase-material
interactions between infrared and visible regions. The analog coefficient of a proustite
crystal is used to make the efficiency 300 times larger than KDP crystal. The main
disadvantage of a proustite crystal is its inability to accept the dielectric coating and
its resistance to optical polishing.
Polymeric In recent years, composites like poly (p-phenylenevinylene (PPV) with
poly (N-vinylpyrrolidone) are used as nonlinear optical polymeric materials. One
can construct highly functional photonic circuits using the polymeric materials. The
polymeric materials are highly useful for signal distribution in local area networks.
Recently, optical waveguide broadband applications such as fiber networks, airborne,
23.12 Engineering Physics

and space and based communication, etc. polymeric nonlinear optical chromobores
(NLO) with high hyper polarisabilities.

23.6 applications
The nonlinear optical materials are gaining importance in designing materials and
devices due to their nonlinear optical properties. They find wide application almost
in all fields of science and technology such as optical devices, storage of data, etc.
The following are the applications of nonlinear optical materials.
Computers
• It is used for information processing and image processing.

Optical Communication
• The optical bi stability and optical solutions are the key process for the elements. It
is used in optical computing and long-distance fiber communications.
• It is used for applications like frequency distribution or tripling of laser light, opti-
cal mixing and telecommunication.
• It is used to do radio frequency mixing; heterodyning and modulation are not at
optical frequencies employing laser beams.
• An effective coupling of light into fiber bundle using hexagonal arrays is
fabricated using phase grating.
• Optical phase configuration is used to achieve real-time aberration corrections in
image processing.

Electronics
• Organic molecules are used as optical and electro-optical switching in photonics
applications.

Keypoints to remember

• Nonlinear behaviour is the property of an optical material which shows the inten-
sity of the light input and the frequency is not related to the output light through a
simple proportional constant.
• Nonlinear materials are those which exhibit nonlinear behaviour.
• The principle behind nonlinear materials is Faraday and Kerr effects.
• Nonlinear materials are classified into two categories, namely, molecular and bulk
material.
• Hyperpolarisability is the nonlinear coefficient of a material used to explain the
nonlinear response of the material.
 Nonlinear Materials 23.13

• In bulk materials, the nonlinear response depends on electrons which are associ-
ated with any individual sites.
• Based on nonlinear properties, the materials are classified into passive and active
non linear materials.
• In passive nonlinear materials, the nonlinear effects are produced without impos-
ing their characteristics of internal response frequencies on to the incident beam
of light.
• In active nonlinear materials, the nonlinear effects are produced by imposing their
characteristic internal response frequencies on to the incident beam of light.
• The separation of two opposite charges is known as dipole.
• The interaction of electric field vector on the incident electromagnetic waves is
known as polarisation.
• Second Harmonic Generation (SHG) is the process of doubling the frequency.
• The optical mixing is a process of mixing two coherent light sources of different
frequencies using nonlinear materials.
• Stimulated Brillouian Scattering (SBS) is the principle behind optical phase con-
jugation.
• The generation of dc electric polarisation using an intense optical beam in nonlin-
ear materials is known as optical reflection.
• The process of improving the efficiency of second harmonic generation is known
as phase matching.
• Barium sodium niobate is also known as banana.

objectives Questions

23.1 The intensity of the input and output light propagated through nonlinear
materials is same. (True/False)
23.2 The range of interatomic fields is
a)107 – 1010 V cm-1 b) 106 – 1010 V cm-1
5 10 -1
c) 10 – 10 V cm d) 107 – 109 V cm-1
23.3 In bulk materials, nonlinear response depends on___________
23.4 In passive nonlinear materials, the characteristics response frequencies of the
materials are not imposed on to the incident beam of light. (True/False)
23.5 The material which imposes characteristic response frequency on the
incident light beam is _________ material.
23.6 The separation of opposite charge is known as __________.
23.7 In second harmonic generation, the frequency is ____________.
23.8 In optical mixing, the sources of ___________ frequencies are mixed
together.
23.9 The principle behind optical phase conjugation is __________
23.14 Engineering Physics

23.10 DC electric polarisation generation is done using __________ rectification.

23.11 The efficiency of second harmonic generator is not improved. (True/False)
23.12 Acronym for ADP is ____________
23.13 Acronym for KDP is ___________
23.14 The other name for barium sodium niobate is ________

KeYs
23.1. False 23.2. a)
23.3. Electrons 23.4. True
23.5. Active 23.6. Dipole
23.7. Doubled 23.8. Different
23.9. Stimulation Brillouin Scattering 23.10. Optical
23.11. False 23.12. Ammomium dihydrogen
phosphate
23.13. Potassium dihydrogen phosphate 23.14. Banana

short Questions

23.1 What is a nonlinear material?

23.2 Explain why nonlinear optical effect cannot exist when the intensity of
the incident light is low.
23.3 What is the principle of nonlinear effect?
23.4 Explain the role of electric field in a nonlinear material.
23.5 Explain how the nonlinear behaviour is explained in a stretching spring.
23.6 What are the classifications of nonlinear materials?
23.7 What is a passive nonlinear material?
23.8 Define an active nonlinear material.
23.9 Mention some of the nonlinear materials.
23.10 Explain why the nonlinear optical effect of a material purely depends on
the composition, microstructure and purity.
23.11 What are the common applications of nonlinear optical materials?
23.12 Define optical mixing.
23.13 What is meant by phase conjugation?
23.14 Define second harmonic generation.
23.15 What is meant by frequency up conversion?
23.16 Define frequency down conversion.
23.17 Explain phase-conjugate mirrors.
 Nonlinear Materials 23.15

descriptive Questions

23.1 What is nonlinear optical effect? Explain the nonlinear effect in a material
with a suitable example.
23.2 How are nonlinear materials classified? Write an essay about the properties
and applications of different nonlinear materials.
23.3 Explain how frequency doubling is achieved using a nonlinear material
with suitable illustrations.
23.4 Write a note on the following:
a Higher harmonic generation
b Optical mixing
c Phase conjugate
 Chapter

Metallic Glasses
24

OBJECTIVES
• To understand the principle, preparation, properties and applications of metallic
glasses
• To study the origin of metallic glasses
• To explain-long range order of molecular arrangements in metals and their alloys.
• To study different preparation techniques of metallic glasses and their interesting
properties.
• To discuss important applications of metallic glasses in different fields
24 .1
i Bulk Metallic Glasses (BMG) are the new-generation industrial and
n engineering materials with huge potential applications due to their
t excellent properties. Generally, metallic glasses are obtained in the form
r of foils, wires and ribbons. Metallic glasses are amorphous metals with
a disordered atomic structure, i.e., dimensional lattice arrangements
o of atoms. Most metals are crystalline in nature with highly ordered
d arrangement of atoms. The amorphous alloys are noncrystalline materials
u with disordered crystal structure. Bulk metallic glasses are directly
c produced from vigorous cooling of liquid-state alloys. Amorphous
t metal alloys are called glassy metals which are commonly known as
i metallic glasses. Metallic glasses are noncrystalline or amorphous
o materials with random arrangement of atoms. Metallic glasses are less
brittle than oxide glass and look like a metal—opaque, gray, shiny and
n
smooth. The amorphous metals are produced by several routes including
Physical Vapor Deposition (PVD), solid-state reaction, ion irradiation,
melt spinning and mechanical alloying. In addition to traditional methods, the quick
cooling method has been used for the preparation of bulk metallic glass. The origin,
principle, preparation, properties and applications of metallic glasses are discussed
briefly in this chapter.
24.2 Engineering Physics

24.2 origin of metallic glasses

In 1960, Klement, Willens and Duwez from the California Institute of Technology,
produced the first metallic glasses, namely, gold–silicon alloy (245Au–25Si) metallic
glass. In order to avoid crystallisation during cooling of alloys from its melt, a
rapid cooling of melt at the rate of one mega Kelvin per second (i.e., 106 K s-1) is
employed. Due to the restriction in forming amorphous metallic glass, a limited
form of metallic glasses is produced. Some of the typical forms of metallic glasses
are ribbons, foils and wires. In addition, there is a restriction in the formation of
thickness of metallic glasses. By means of employing surface-etching techniques
followed by rapid cooling techniques, a glassy block of metallic glasses are obtained
using 55 % palladium, 22.5 % lead and 22.5 % antimony alloys. The above method
helps to improve thickness of metallic glasses in the order of centimetre by adding
a suitable flux like boron oxide.
Similarly, multicomponent alloys such as lanthanum, magnesium, zirconium,
palladium, iron, copper and titanium are used with critical cooling rate between
1 K s-1 to 100 K s-1 to obtain metallic glasses which are well comparable to oxide
glasses. Very recently, new classes of alloys are developed from glasses at cooling
rates as low as one Kelvin per second. These cooling rates are achieved simply by
casting the alloys into metallic molds. The bulk amorphous metallic glass alloys are
cast into parts of several centimetre scale thickness. Thus, the maximum thickness of
metallic glass depends upon the alloy used to retain its amorphous structure. Generally,
alloys based on iron, titanium, copper, magnesium and other metals are known to form
bulk metallic glass. However, zirconium and palladium-based alloys form the best
metallic glasses. Many amorphous alloys are formed through a phenomenon known
as confusion effect.
These alloys contain different elements and are subjected to sufficiently fast rate of
cooling to obtain the amorphous metallic glass. The constituent atoms simply cannot
coordinate themselves into the equilibrium crystalline state before their mobility is
stopped. In this way, the random disordered state of atoms is bundled to form the
glass state. Employing these concepts, bulk amorphous steel, namely, glassy steel,
has been produced for commercial applications. The glassy steel is nonmagnetic at
room temperature and significantly stronger than conventional steel.

24.3 PrinciPle
The principle behind the metallic glass is the formation of noncrystalline glasses by
means of rapid cooling. The process method used to achieve the vitrification of melt
at high temperature is known as rapid solidification. This is process of vitrifying
the melt which is at high temperature employing the rapid quenching technique at
a faster cooling rate in the order of 106 to 109 K per second. Figure 24.1 reveals
the formation of vitrified metallic glasses. Generally, during the melting of a metal
or alloy, it loses the three dimensional arrangements of atoms. The nondirectional
nature of metallic liquids results in very high fluidity, i.e., low viscosity. However,
ordinary glass posseses high vicinity, i.e., high fluidity. In order to avoid and to
suppress the crystallisation of solid, and to avoid the nucleation or growth of metal
 Metallic Glasses 24.3

or alloy, the melt is cooled at a faster rate without providing sufficient time for the
above process. When the molten metal reaches the glass transition temperature
(Tc), rapid solidification of metals leads to formation of metallic glasses as shown
in Fig. 24.1.

�� �������
�����
��

� ������������� �
� ������������

�
����� �
�
Tg Tm
T����������

Fig. 24.1 Formation of vitrified metallic glasses

Glass–forming ability is the one of the important factors to be considered while

preparing the metallic glasses. In order to promote the vitrification of metals and
alloys, to form metallic glasses, an impurity atom is added by providing sufficient
cooling rates.

24.4 PreParation
Metallic glasses are prepared by different methods with ultrafast cooling of melt. A simple
melt–spinning technique, which is used for preparation of metallic glasses is shown in
Fig.24.2. It consists of a quartz tube, heater coil and cooled rotating metal drum. A set
of heater coils is wound at the lower end of the quartz tube, while provision is given at
the top of the quartz tube to purge inert gas. The required amount of base material, i.e.,
metal–metal or metal–metalloid alloys are taken at their stoichiometric ratio (wt. %) and
kept inside the quartz tube. The base materials are melted by increasing the temperature
of the heater coil above the melting temperature of individual components. Thus, base
materials are melted and are available at the bottom end of the quartz tube. The temperature
of melt is kept above the melting points of alloys in order to obtain homogeneous melt.
After forming the homogeneous melt, an inert gas with suitable pressure is passed from
the upper end of the quartz tube. Then, the molten alloy is flown through the outlet of
24.4 Engineering Physics

the quartz tube with an ultrafast rate. The molten flow liquid is deposited on the surface
of the cooled rotating copper cylinder. As a result, molten alloys are frozen within a
few milliseconds and produce long ribbon metallic glasses. For example, metal–metal
(Cu66Zr33) and metal–metalloid alloys (Fe80B20, Pd80 Si20) are used to obtain metallic
glass at a cooling rate of 106 to 108 K per second.
Inert gas pressure

Quartz tube

Molten alloy

Heater coil

Jet of molten metal

Ribbon of
glassy metal

Rotating cooled
metal drum
Fig. 24.2 Melt spinning technique-Metallic glasses

Important Features for the Formation of Metallic Glasses

The following are important features to be considered for the formation of metallic
glasses:
• It requires slow crystallisation kinetics, stabilized supercooled liquid state and
high glass forming ability.
• It consists of multicomponent alloys of three or more elements with increased
complexity.
• It reduces the formation of an ordered structure with longer-range periodicity.
• The elements with different atomic radii lead to a higher packing density and
smaller free volume in liquid state.
• Smaller free volume decreases the crystallisation of glass.
• Slower crystallisation allows a decreased critical cooling rate and alters stable bulk
metallic glass formation and fabrication by conventional casting techniques. The
critical cooling rates and segment thickness of bulk glass formation in different
alloy systems are given in Table-24.1.
 Metallic Glasses 24.5

table 24.1 Methods,Thickness and Critical cooling rates

of different bulk metallic glasses
Thickness Critical cool-
S.
Alloy composition Method × 10-2 ing rates
No
m K s-1
Low gravity tube
1 Pd77.5Cu6Si16.5 1.5 1000
dropping
2 Pd77.5Cu6Si16.5 Bridgman solidification 0.245 125
3 Pd40Ni40P20 Casting with B2O3 flux 10 0.124
4 La55AL25Ni20 Metallic mold casting 3 824
5 Mg65Cu25Y10 Metallic mold casting 4 93
6 Zr65Al24.5Ni5Cu5.5 Chill casting 24 1.5
High pressure die
7 Mg65Cu25Y10 24 93
casting
8 Zr65Al24.5Ni5Cu5.5 Water quenching 16 15
High pressure die
9 La55Al25Ni10Cu10Co5 >9 55
casting
10 Zr41.2Ti13.8Ni10Cu5Be5 Water quenching 0.9 14
11 Pd40Ni10Cu30P20 Water quenching 40 0.1
12 Zr55Al10Ni5Cu30 Suction casting 30 15
13 Pd40Ni40P20 Water quenching 25 0.124
14 Nd60Fe30Al10 Suction casting 15 12
15 Pd40Ni10Cu30P20 Water quenching 242 0.1

24.5 ProPerties
The observed extraordinary physico-chemical properties of metallic glasses are due to
the existence of glass in amorphous nature. Metallic glasses find excellent industrial
applications due to their superior strength, elasticity and unique mechanical and
magnetic properties. Bulk metallic glasses show high strength and substantial fracture
toughness due to their amorphous nature. In addition to that, they have significant
plastic deformation but show negligible plasticity in uniaxial tension. Thus, the
properties of metallic glasses are superior to crystalline materials.

24.5.1 structural Properties

The metallic glasses are alloys which consist of atoms with different sizes to form
glass structure. The viscosity of molten alloys prevents the atoms to form an ordered
lattice. The absence of grain boundaries and dislocations in metallic glasses lead
to improved wear and corrosion resistance. In addition, bulk metallic glasses are
much harder and less brittle than oxide glasses and ceramics. Generally, amorphous
materials, particularly amorphous metals, have low thermal conductivity than
crystalline materials. The fast cooling of molten liquid is required for the formation
of amorphous structure of metallic glass which limits the thickness of metallic glass.
24.6 Engineering Physics

The high atomic radius of metals is used to achieve high packing density and low free
volume in metallic glasses. However, combination of metal alloys with metallic glasses,
leads to heat of mixing and crystal nucleation. Crystalline and amorphous alloys are in
compositional disorder while structural disorder exists in noncrystalline state. Thus,
the characteristic properties of metallic glasses are different from conventional glasses
and other amorphous materials due to the structure of metallic glasses.

24.5.2 mechanical Properties

Metallic glasses have excellent mechanical properties which are superior to crystalline
materials due to their amorphous character and lack of dislocations. For example,
Ni-, Co-, and Fe-based metallic glasses are two times stronger than conventional steels.
In addition, the above glasses are less brittle than oxide glasses and show higher elasticity
and fracture toughness than ceramics. Further, metallic glasses get tensile when heated
just before the crystallisation temperature. The strength and ductility of metals are
explained by considering the easy motion of discrete line defects known as dislocations,
which exist in well-defined crystallographic planes. The absence of grain boundaries and
dislocation in metallic glasses leads to existence of slide or twinning planes. When a high
stress is applied, plastic flow takes place. These results show an increase in strength and
a reduction in ductility of metallic glasses. The obtained stronger metallic glasses are
due to the absence of point defects, dislocation and slip places in metallic glasses.
In general, amorphous metals or alloys deriv their strength directly from their
noncrystalline structure and hence, defects such as dislocations are absent. Modern
amorphous metals and alloys are known as vitreloy. The tensile strength of vitreloy is
almost two times higher than that of higher-grade titanium. The mechanical properties
of metallic glasses are enhanced due to their high rupture strength and toughness. In
spite of their high strength, metallic glasses show a high toughness opposing the brittle
behaviour of nonmetallic and high-strength crystalline metals. On the other hand, metallic
glasses at room temperature are not ductile and tend to fail suddenly when loaded in
tension which limits the material applicability in critical applications. Therefore, there
is a significant interest for production of bulk metallic glasses for dendrite and fibres of
a ductile non-crystalline metal. A comparison of commercial metallic glasses with steel
along with their significant properties is given in Table 24.2.

table 24.2 Comparison of Mechanical properties of bulk metallic

glasses and commercial steels
Yield
Specific
Vickers Hardness strength Specific grav-
Alloy strength
kg m-6 ×10-6 ity
m
kg m-1
Metallic Glasses

Pd77.5Cu6Si16.5 500 160 10.3 15200

Pd76Cu7Si17 670 170 - -

La62 Al14 (Cu, Ni)24 530 240 - -
 Metallic Glasses 24.7

La56Cu15Ni15Al14 634 568 - -

Zr50Cu50 580 180 24.33 24700
Ti60Be35Si5 850 253 3.9 65000
Fe80P19C3B1 835 250 24.3 34100
Fe80B20 1100 3240 24.4 50000
Cu60W30B10 1600 360 – –
Fe60CrMo6B26 – 490 – –
Steels
18% Ni (Maraging Steel) 600 20 8.0 25600

24.5.3 electrical Properties

The electrical properties of metallic glasses are significantly different from other
materials. The metallic glasses are widely used as resistance elements in electric
circuits due to their high electrical resistivity. The electrical resistivity of metallic
glasses is almost constant for different temperatures. However, metallic glasses
become a superconductor when they achieve the superconducting state parameters
such as electron-phonon coupling strength (λ), Coulomb pseudopotential (μ), transition
temperature (Tc) and isotope effect exponent (α).
In 1975, the first superconducting metallic glass was identified and it is an alloy of
lanthanum and gold (La80Au25). Some superconducting metallic glasses contain only
two metals such as Zr245Rh25 while others may contain more multifaceted alloys. The
most important applications of superconducting metallic glasses are the application
in high-field electromagnets. The electrical resistivity of metallic glasses depends on
change in structur and their relaxations as a function of temperature. The following
are important observations made on metallic glasses based on electrical resistivity
studies:
(i) At room temperature, the resistivity of metallic glasses is higher than the
crystalline metals / alloys.
(ii) At very low temperature in most of the studies, thermal expansion coef-
ficient of metallic glasses is negative.
(iii) The resistivity is almost constant for different temperatures. However,
resistivity is minimum at low temperature (Tm) beyond which it varies
as a logarithmic function of temperature.
(iv) The eddy current loss of metallic glasses is very small due to high
resistivity.
(v) The metallic glasses reach the superconductivity state at low tempera-
tures.

24.5.4 magnetic Properties

When alloys of boron, silicon, phosphorus and other glass formers with magnetic metals
such as iron, cobalt, and nickel are formed, metallic glasses give an excellent magnetic
property with low coercivity and high electrical resistance. The high resistance leads
to low losses by flow in circular currents when subjected to alternating magnetic
24.8 Engineering Physics

fields. Ferromagnetic metallic glasses are used as cores in transformers or couplings

in electromagnets. This is due their excellent soft magnetic properties such as ultra-
low coercivity, high saturation magnetisation and high permeability. For example,
vapor-deposited thin film of cobalt–gold (Co–Au) alloy metallic glasses exhibit
ferromagnetism. The metallic glasses with ferromagnetic properties are obtained
from a liquid alloy having a sufficient percentage of ferromagnetic metals in their
composition.
The metallic glasses with a combination of outstanding strength, excellent
corrosion and wear resistance, and magnetic properties lead to interesting
applications like inductors in magnetic separation equipment. The For example, the
Fe-Pt-B system shows good hard magnetic properties with a remaining magnetism of
0.249-0.82 T, saturation magnetisation of 0.93–1.05 T, coercive force of 3245–4824
kA m-1 and maximum energy product of 118–1224 kJ m-3. Thus, metallic glasses
have both soft and hard magnetic properties. The magnetic properties of metallic
glasses are distinct from other commercially available products and hence find
potential applications.
Soft Magnetic Materials Metallic glasses with soft magnetic properties show two
distinct features like high magnetic permeability and high saturation induction. A
proper heat treatment of metallic glasses leads to the superior property of commercial
supermetal alloys. For example, Fe82B18-xSix and metallic glasses with x = 8 show high
saturation induction and distinctive dc consequences when it is properly annealed. The
observed magnetic property values, namely, Hc = 0.03 Oe, Br = 12 kG and μ (20) =
8,000 are interesting. The stability against crystallisation of Fe82B10Si8 is higher than
that of Fe80B20. The ferrometallic glasses such as ferrous glass are the most easily
magnetised metallic glasses. These glasses are magnetised by application of very small
amount of applied field in the order of 100 mA m-1. The system of Fe5Co240Si15B10
behaves as soft magnetic metallic glasses as shown in Fig. 24.3.
2

1 Fe �S i
Bs (T)

0
Fe 81 B13.5 S i3.5 C 2

50 Hz

H (A cm� 1 ) 0.5 1.0

Fig 24.3 Hysteretic loop—soft magnetic glass (Fe5Co70Si15B10 )

These metallic glasses show high saturation magnetisation (BS) due to the free
shifting of magnetic domains. Thus, it shows an excellent macroscopic magnetic
property than other materials. In comparison with the conventional materials, the core
losses of metallic glasses are very less, nearly one sixth to one fourth. The magnetic
properties of metallic glasses and crystalline materials are given in Table 24.3.
 Metallic Glasses 24.9

Table 24.3 Magnetic properties of metallic glasses and crystalline magnetic materials
Saturation Curie tem- Magneto Resistivity
Permeabil- Coercivity
magnetiza- perature striction r
Alloy ity mmax Hc
tion Bs Tc l m Ohm cm
102 Oe
kg K 106 ×10-2

Metallic Glasses

Fe80B20 16.00 3244 30 320 0.040 140

Fe62.5Ni15.5Si8B14 13.10 460 – 2000 0.006 –

Fe40Ni40P14B6 8.30 250 0.12 1100 0.024 180

Co70Fe5Si15B10 6.24 430 0.10 960 0.006 134

Fe40Ni38Mo4B18 8.80 – – 1600 – –

Fe83B10Si8 16.30 – – 2420 – –

Crystalline Alloys

Deltamax
16.00 480 40 130 0.100 45
(Fe 50, Ni)

Square Permal-
loy 18.20 460 0 400 0.028 55
(Ni 16, Fe 4, Mo)

Mo-Permalloy
24.80 – – 2800 – –
(Ni 249, Fe 124)

M-4(Fe 3%)
19.24 2435 – 80 0.290 46
[0.28 mm]

H-2 (Fe 3%) 19.24 – – 80 – –

Permanent Magnetic Materials Advanced permanent magnets are a crucial part

of modern industries. They are used to convert the electrical energy into mechanical
energy. and in telecommunications and data storage systems. Permanent magnets retain
their magnetisation when subjected to internal or external demagnetising fields or
change in temperatures. Rare-earth-based permanent magnets usually have a magnetic
field strength of more than 5000 Oe. The requirement for rare-earth permanent magnets
is growing by more than 15% per annum. The high quality permanent magnets are
used in multiple applications like computer disk drive, voice coil motors, sensors and
consumer electronics in the computer industry.
Rare-earth magnets, namely, RE2M14B, where RE refers to a rare-earth element
like Nd, Pr and M refers to a transition metal element like Co and Fe have the highest
magnetic energy product (BH). These materials exhibit very fine structure and high
energy product which are incomparable with normal magnetic materials and hence,
find potential applications in industries. Examples for permanent magnetic metallic
glasses are TbFe2, Fe14Nd14B, and Fe-Pr-B etc.
24.10 Engineering Physics

24.5.5 chemical Properties

The important chemical properties of bulk metallic glasses are as follows:
(i) They are free from crystalline defects such as grain boundaries, disloca-
tions and staking faults.
(ii) Metallic glasses are free from defects such as second phase and
precipitates.
(iii) They are high corrosion resistant due to the formation of protective oxide
film.
(iv) They are highly stable due to their structures.
(v) Metallic glasses are soft in nature and hence, flow while heating.
(vi) They are used as catalysts. For example, a metalloid like Fe-Ni is used
as a catalyst to obtain C1 to C2 hydrocarbons through the hydrogenation
of carbon monoxide.

24.6 aPPlications
Applications of metallic glasses in industries are given below:
The metallic glasses find wide industrial applications in most fields due to their
mechanical, electronical, chemical and structural properties. For example, metallic
glasses with a wide range of mechanical properties are used in transportations and
aerospace industries. Similarly, they are used as materials for reinforcement of concrete,
plastics and rubber due to their outstanding mechanical properties. They are used for
design of tools in precision instruments due to the zero thermal expansion coefficient
and temperature coefficient of Young’s Modulus. Similarly, due their high strength, high
band ductility, rollability and good corrosion resistance, they are used as razor blades.

(a) Electronic Industries

(i) Due to high electrical resistivity and zero temperature coefficient of
resistance, metallic glasses are used to obtain products such as cryother-
mometers, magnetoresistance sensors, and computer memories.
(ii) Audio and video magnetic tapes, recording/reading heads are made
employing ferromagnetic metallic glasses. They are used as a sensitive
and quick response magnetic sensors, transducers and serial systems.
(iii) Metallic glasses are used as containers for nuclear waste disposal, magnets
for fusion reactors and magnets for levitated trains. This is possible due
to the strong irradiation resistance existing on metallic glasses due to their
magnetic properties.
(iv) Metallic glasses as ferrous glass ribbons find several applications such
as memories, record heads, delay lines and transducers.
(v) Metallic glasses with strong microcrystalline phases are used as smaller
and lighter electrical devices.
(vi) The soft magnetic character of metallic glasses results in low coercivity
and hence, low coercivity properties. The electronic coercivity of metallic
glasses are very less when compared with crystalline materials. Therefore,
resistances of metallic glasses are high and it reduces the core loss.
 Metallic Glasses 24.11

(b) Transformer Core

• Metallic glasses are used as core materials in power distribution transformers. This
is mainly due to properties of soft magnetic glasses which have low coercivity and
hence reduce eddy current loss and core loss. Therefore, metallic glasses as a core
material in power distribution transformers improve the output power generation
to 85 W from 25 KVA.
Vitreloy, i.e., a liquid metal, is used for products such as, luxury goods, electronics,
and medical and defense applications. High strength-to-weight ratio of metallic glasses
allows the mass to be distributed differently and enabling various shapes and sizes of
product head. Vitreloys yield stronger, lighter and more easily molded metallic glasses.
They are used as chokes in magnetic switches which are used in power supply for
high-power lasers. Vitreloys are used instead of Ni and other metals in jewelry and
watch shops to reduce the allergic reactions.

(c) Defense and Aerospace

Metallic glasses are widely used in effective high-temperature and stress applications
in the military. The stronger and lighter mechanical materials are used for different
military applications such as penetrators in antitank protective coverings and production
materials for missiles, because of the similar density and self-sharpening behaviour of
metallic glasses. When compared to crystalline metals, amorphous metals are highly
useful for the construction of projectiles which compress on collision and steep away
under dynamic loading. Further, the products like lightweight fragmentation bombs,
lighter and stronger ceramic-bulk metallic glass composite armor tiles are produced
for defense applications.

(d) Biomedical
The following are the important applications of metallic glasses in the biomedical
field:
• Biologically degradable metallic glasses or amorphous metallic alloys are used as
medical implant materials.
• Degradable implants make a removal of surgery and open up the possibilities for
treatment of diseases where permanent devices cannot be used.
• Mg-based amorphous alloys have good biocompatibility and hence, they are
highly used in implant applications.
• They are an ideal materials for cutting and surgical instruments due to their out-
standing corrosion resistance properties.
• Due to their high resistan to corrosion, metallic glasses are used as prosthetic
materials for implantation in the human body.
• The liquid metal is highly biocompatible and nonallergic with living bodies. Thus,
metallic glasses are used in knee replacement devices and pacemaker casings.
• Metallic glasses are used in medicinal applications like medicine labels and surgi-
cal clips due to their high corrosion resistance.
24.12 Engineering Physics

Keypoints to remember

• Metallic glasses are the formation of noncrystalline glasses by means of rapid

cooling.
• Metallic glasses are noncrystalline alloy materials with disordered crystal structure.
• Metallic glasses have very high strength and elasticity.
• Bulk metallic glasses are much harder and less brittle than oxide glasses and
ceramics.
• Crystalline and amorphous alloys are in compositional disorder while structural
disorders exist in noncrystalline state.
• Amorphous metal alloys are called glassy metals.
• Modern amorphous metals and alloys are known as vitreloys.
• Critical cooling liquid metal alloys leads to formation of amorphous structure.
• The solidification of liquid metal alloys at glass transition temperature (Tg) leads
to formation metallic glasses.
• Smaller free volume decreases the crystallization of glass.
• Metallic glasses act as insulators as well as superconductors with effect of tem-
perature.
• Metallic glasses possess soft and hard magnetic properties.

objectives Questions

24.1 Bulk metallic glasses are prepared by _________.

24.2 Amorphous alloys are _________ materials.
24.3 Amorphous metals can be produced by _________.
(a) melt spinning and mechanical alloying (b) chemical reduction
(c) chemical precipitation (d) none of the above
24.4 Metallic glass was first invented by
(a) W Klement (b) Willens
(c) Duwez (d) all of the above
24.5 _________ is the major requirement of metallic glass formation.
24.6 _________ is the required cooling rate to avoid the crystallisation of metal-
lic glasses.
 Metallic Glasses 24.13

24.7 Thin ribbons of amorphous metal on a supercooled fast-spinning wheel

was invented by
(a) Willens (b) W Klement
(c) C.Graham (d) H. Liebermann and
C.Graham
24.8 Amorphous metal alloys are forming glasses at cooling rates between
_________.
24.9 The absence of _________ and _________ in metallic glasses contributes
to improved wear and corrosion resistance
24.10 Bulk metallic glasses are much harder and less brittle than _________
and _________.
24.11 Amorphous metals have _________ than crystalline materials.
24.12 Ni-, Co-, and Fe-based metallic glasses are _________ than conventional
steels.
24.13 _________ method is used to produce a continuous uniform sheet of
metallic glasses.
24.14 Vitreloy is known as _________.
24.15 Biologically degradable metallic glasses are used as _________ materials.
24.16 _________ show high strength and fracture toughness.
24.17 Metallic glasses, _________ are two times stronger than conventional
steel.
24.18 Metallic glasses are stronger due to _________, and _________.
24.19 The electrical resistivity of _________ is almost constant for different
temperatures.

Key
24.1 Alloying of metals 24.2 Non-crystalline
24.3 a) 24.4 d)
24.5 Rapid cooling 24.6 106 K s-1
24.7 d) 24.8 2244 K s-1–3243 K s-1
24.9 Grain boundaries 24.10 Oxide glasses and Ceramics.
and Dislocations
24.11 Low thermal conductivity 24.12 Two times stronger
24.13 Planar flow casting 24.14 Liquid metal
24.15 Biomedical implant 24.16 Bulk metallic glasses
24.17 Ni, Co, Fe 24.18 Defects, dislocation & slips
24.19 Metallic glasses.
24.14 Engineering Physics

Short−Answer Questions

24.1. What are metallic glasses?

24.2. Explain how metallic glasses are obtained.
24.3. What is meant by glass transition temperature (Tg)?
24.4. What are the types of metallic glass and mention a few metallic glasses:
24.5. Give two examples for metallic glasses.
24.6. State the structural properties of metallic glasses.
24.7. How is metallic glass different from their crystalline metals and
alloys?
24.8. What is meant by discrete line defects?
24.9. What are characteristic features of the metallic glasses obtained from the
resistivity studies?
24.10. Explain how the metallic glasses are classified into soft and permanent
magnetic materials.
24.11. Explain why the metallic glasses are used for core in transformer in
power lines.
24.12. Explain why metallic glasses are used for manufacturing precision
measurement instruments.
24.13. Mention some of the applications of metallic glasses

descriptive Questions

24.1 Define metallic glasses. Explain how metallic glasses are prepared and
how they are different from their crystalline counterparts.
24.2 Write an essay about the properties of metallic glasses and their ap-
plications.
24.3 Write notes on the following:
a) Amorphous metallic glasses
b) Properties of metallic glasses
c) Applications of metallic glasses
 Chapter

Biomaterials
25

OBJECTIVES
• To understand about biomaterials
• To study the development of various stages of biomaterials
• To classify biomaterials based on their properties
• To understand the properties of biomaterials and their applications

25.1
i Biomaterials are special materials which provide an intimate contact
n with living tissues when they are implanted into the body tissues or
parts. Biomaterials are used for different biomedical applications in
t
the field of medicine. They are used to repair or replace damaged or
r diseased body parts in the human/animal body. The different biomedical
o applications are surgical sutures and needles, catheters, orthopaedic hip
d replacements, vascular grafts, implantable pumps, cardiac pacemakers,
U etc. Even though newer materials like nuclear, magnetic, shape memory
alloys, composites, etc., are being developed for advanced applications,
c biomaterials require important physico-chemical properties to be used
t for implant applications.
i In recent years, some of the newer biomaterials have come up due to
o requirements in the medical field for different applications. In this chapter,
n the classification of biomaterials, their properties and applications are
given in detail.

25. 2 Biomechanism
The implants which are used for improvement of the quality of life produce
a constant challenge to develop new biomaterials. The implant materials
(biomaterials) react with tissues in different ways depending on the material
type. Thus, the tissue attachment mechanism depends on the response of the
tissue to the implant surface. In general, one can classify the mechanism as inert,
bioresorbable and bioactive. The inert materials such as titanium, alumina, etc.,
25.2 Engineering Physics

are nearly chemically inert in the body and show minimum chemical interactions
with the adjacent tissues. The bioresorbable materials such as tricalcium phosphate,
polylacetic polyglycolic acid, polymers, etc., are designed to be replaced slowly by
the tissues (bone). The third class of materials such as glass, ceramics and glass-
ceramics which contain oxides of silicon, sodium, calcium and phosphorous form
a chemical bond with living bone leading to the formation of a strong mechanical
implant / bone bond. These materials are known as bioactive materials, since they
bond to living bone.
Biomaterials are classified into three groups, namely, bioinert, bioactive and
biodegradable materials based on their interactions. The different categories of
biomaterials based on their interactions are shown in Fig.25.1.

Biomaterials

Bioinert Bioactive Biodegradable

Fig. 25.1 Biomaterials—classification

25. 2. 1 Bioinert materials

When a synthetic or natural biomaterial is placed in a human body as an implant,
the interactions between the implant and the host tissue will be minimum, i.e., the
interaction of implant with the host tissue is chemically nil. Therefore, the implant
material behaves as an inert materials. On the other hand, when a foreign substance
comes in contact with the organism, the system initiates its host defense mechanism
involving an inflammatory response. Examples of bioinert materials are stainless steel,
titanium, alumina and polythene. Bioinert materials are generally used for orthopaedic
applications like fraction, fixation, wires and fixing screws.

25.2.2 Bioactive materials

Whenever there is an interaction between the implant and the host tissue, the implant
material is known as a bioactive material. A bioactive material is also defined as a
material that elicits a specific biological response at the interface of the material,
which results in the formation of a bond between the tissue and the material. When a
biomaterial is implanted in to the body, the interaction is initiated by a time-dependent
kinetic modification of the surface. Thus, it leads to ion-exchange reaction between the
implant and body fluids and hence, a bioactive layer, i.e., an apatite layer is formed
on the surface of the implant. The formation of an apatite layer enhances the tissue
interactions. Examples of bioactive materials are hydroxyapatite (HAp), bioceramics,
bioactive glass and glass-ceramics.
 Biomaterials 25.3

25.2.3 Bioresorbable or Biodegradable materials

When a bioresorbable material is placed in a human body, it starts to dissolve slowly
and hence, replaces the tissues. Thus, bioresorbable materials degrade or dissolve on
implantation in the body. It is essential that the degradation rate of a bioresorbable
material is equal to the regeneration rate of the host tissue. Bioresorbable materials
are used to provide significant advances in drug delivery systems and medical
implants. Examples of bioresorbable materials are tricalcium carbonate, gypsum,
calcium oxide and polyacetic-polyglycolic acid polymers. The different categories
of biomaterials and their interactions with host tissues along with applications are
given in Table 25.1.

table 25.1 Biomaterials properties and their applications

Biomaterials Examples Definition Applications

Bio-inert Stainless steel, titanium, Minimal interaction Implant applications
alumina with surrounding
tissues
Bioactive Hydroxyapatite, Interact with Bone filling, Dental
Bioactive glass, Glass surrounding hard(bone) filling applications
ceramics and soft tissues
Bioresorbable Polylactic–polyglycolic Material slowly Scaffold application
acid copolymers dissolved into body drug delivery
and replace the
damaged tissues/
organs

25. 3 development of Biomaterials

Based on the development of biomaterials for different biomedical applications since
the 1950s, one can categorise the biomaterials as first-, second- and third-generation
biomaterials as shown in Fig. 25. 2. Biomaterials and their general classifications,
namely, first, second and third generations are given in Table 25.2 along with the
important properties of biomaterials and their applications.

Biomaterials

First Generation Second Generation Third Generation

Fig. 25. 2 Development of biomaterials

25.4 Engineering Physics

table 25.2 Development of biomaterials and their applications

S. No. Period Category of Applications

biomaterials
1 1950–1969 First Generation • Fracture fixation
• Bone and joint replacement
• Dental implants
• Surgical instruments
2 1970–2000 Second Generation • Coatings for tissue ingrowth
• Dental implants
• Temporary bone space fillers
• Percutaneous access devices
• Artificial tendon and ligament
• Biodegradable polymers and hydro gel
3 2000 to till Third Generation MEMS and NEMS devices
date • Blood pressure sensors
• DNA array systems
• Tissue engineering
• Tissue repair/regeneration
• Cell encapsulation
• Bio artificial skin and liver construction
Nanostructured biological systems
• Nanoparticles-based scaffolds
Encapsulation on pharmaceuticals
• Biological structure imitations at atomic
and molecular scales.

25.3.1 first–Generation Biomaterials

Materials which were developed during the period of 1950s to 1960s mainly as
implants to the human body for multiple disciplinary applications like orthopaedics,
cardiovascular surgery, ophthalmology, and wound healing are known as first-
generation biomaterials. Generally, materials like cellulose, acetates and polymers
which are available in nature were used in the first-generation biomaterials. The
important properties of the first–generation biomaterials to be considered are
biocompatibility, bio-functionality and practicability. The foremost and the desired
characteristic of a biomaterial is its biocompatibility. Biocompatibility is the ability of
the surrounding tissues and the body as a whole to accept an artificial material when
it is implanted in the body.
Similarly, biofunctionality is the second important property of biomaterials.
It is the ability of the biomaterial to exhibit adequate physical and mechanical
properties to augment or replace the body tissues. The practicability is the
amenability of the biomaterial to machine, or to form, different shapes for ready
usage at low cost. The first-generation biomaterials and their applications are
given in Table 25.3.
 Biomaterials 25.5

table 25.3 First-generation biomaterials and their applications

S. No. First-generation biomaterials Applications

1. Metals and Alloys
• 316L stainless steel • Joint prostheses
• Ti alloys, Co-Cr alloys • Artificial joints
• Gold alloys • Fracture fixation
• Silver products • Surgical instruments
• Platinum • Bone and joint replacement
• Dental implants
• Bone plates
• Cardiovascular surgery
• Dental and maxillofacial implants
2. Ceramics
• Alumina • Joint replacement
• Zirconia • Dental implants
• Calcium phosphates • Bone replacement
• Porcelain • Dental restorations
• Carbons • Heart valves
• Percutaneous devices
3. Polymers
• Polyethylene • Joint replacement
• Polypropylene • Vascular prostheses
• Polyamides • Blood-contacting devices
• Polytetra fluoroethylenes, • Dental restorations
• Polyesters • Intraocular lenses
• Polyurethanes • Ophthalmology
• Polymethylmethacryble (PMMA)
• Silicones
• Hydrogels
4. Composites
• BIS-GMA-quartz/silica filler • Dental restorations
• PMMA- glass fillers • Dental cements

25.3.4 second-Generation Biomaterials

Biomaterials developed in the period between 1970s and 2000s are termed second-
generation biomaterials. The basic functional properties of biomaterials, namely
biocompatibility and biofunctionality, were retained while developing the second-
generation biomaterials. However, biomaterials with bioinert tissue responses were
replaced by the newly developed bioactive, biodegradable/bioresorbable materials. The
important properties of second-generation biomaterials is their ability to be bioactive and
biodegradable/ bioresorbable. The bioactive or biodegradable materials are widely used
in clinical applications and there is a huge demand for these materials. The bioactive
materials exhibit specific and controlled interactions with the surrounding tissue leading
25.6 Engineering Physics

to a chemical bond with them. On the other hand, the interactions of bio-inert materials
lead to little or no tissue response. The second-generation biomaterials are widely
used in orthopaedic and dentistry applications. The examples of second-generation
biomaterials and their applications are given in Table 25.4.

table 25.4 Second generation biomaterials and its applications

S. No. Second generation biomaterials Applications

1. Bioactive Materials
• Bioactive glasses—silica and • Bioactive fixation
phosphate based glasses • To promote the chemical bonding
between the implant and bone
2. Bioceramics
• Calcium phosphate • Bone plates and screws
• Aluminium calcium phosphate • Femoral heads
• Coralline • Middle ear ossicles
• Tricalcium phosphate • Hip replacement prosthesis
• Zinc calcium phosphorous oxide • For repairing and fusion of spinal
• Zinc sulphate calcium phosphate and lumbo-sacral vertebrae
• Ferric calcium phosphorous oxide • Replace and correct diseased bone
• Bioactive glass ceramics and its defects
• Ceravital
3. Biodegradable polymers
• Polyglycolic acid • Soft and hard tissue repair-
• Polylactides hydrolytic and enzymatic
• Polycaprolactone degradation
• Poly(ortho esters) • Orthopaedic implants
• Polyanhydrides • Artificial vascular grafts
• Polyphosphazenes, etc. • Heart valve
4. Hydrogels
• Poly(vinyl alcohol) • Soft contact lens material
• Polyacrylamide • Orthopaedic implants
• Poly(N-vinyl pyrrolidone) • Ophthalmic implants
• Poly(hydroxyethyl methacrylate) • Controlled drug systems
• Poly(ethylene oxide) • Biosensors
• Poly(ethylene glycol)
• Poly(ethylene glycol) monomethyl
ether
• Cellulose
• Poly(hydroxyethyl methacrylate), etc.

25.3.3 third-Generation Biomaterials

The third-generation biomaterials open up the possibilities to cure complex problems
and hence, improve the quality of human life through their clinical applications. The
new generation biomaterials developed beyond the year 2000 to the present day are
known as third-generation biomaterials. The third-generation biomaterials have been
 Biomaterials 25.7

developed with converged properties. In third-generation biomaterials, the important

characteristics of second–generation biomaterials, namely, bioactivity or biodegradable
properties are converged and retained. The advances in the field of tissue engineering,
microfabrication and nanofabrication are taken into consideration to develop third-
generation biomaterials. The main objective of the development of third-generation
biomaterials is to regenerate the host tissue rather than to replace the damaged or
diseased tissues. In third-generation biomaterials, materials like smart biomaterials and
implants are developed using micro and nano fabrication techniques. The examples of
third-generation biomaterials and their applications are given Table 25.5.

table 25.5 Third-generation biomaterials and their applications

S. No. Third generation biomaterials Applications

1. Tissue engineering • Tissue repair/regeneration
• Cell encapsulation
• Tissue scaffold for cell growth and
organisation
• Bone morphogenic protein infusion
into orthopaedic implants
• Artificial skin construction
• Bioartificial liver construction
2. Micro electro mechanical systems • MEMS accelerometer
(MEMS) • Blood pressure sensors
• Blood chemistry analysis systems
• DNA array systems
• Telemetry monitoring systems
• Implantable drug delivery
3. Nanoelectroemechanical systems • Nanoparticle based scaffolds
(NEMS) • Nanostructure encapsulation on
pharmaceuticals
• Biological structure imitations
• Self-assembled structures at atomic
and molecular scales
4. Nanobioactive glass
• Nanometric BG 45S5 • Better antimicrobial effect
• BG nanopowders • Improved corrosion resistance and
– Coating bioactivity

Microtechnology Microfabrication is one of the new techniques used for the

creation of new third generation biomaterials. The biomaterials generated from this
technique are smaller in size with more active and dynamic implants and enhanced
biocompatibility for a range of biomedical applications. The dimension of the devices
created from this method is in the range of micrometres to millimetres. The method
is based on the top-down approach. The small structures or devices are created on the
surface of the bulk material substrate using different techniques for micromachining
such as photolithography, etching, etc. Then, the micro electromechanical systems
25.8 Engineering Physics

(MEMS) are used to fabricate and to integrate the electrical components and mechanical
components on a small device.
Nanotechnology Nanotechnology is an enabling technology which deals with atomic
and molecular levels in the length scale of 1–100 nm range. It is a useful technology to
create structures, devices and systems with novel properties and functions employing
atoms/molecules at the nanoscale length. The novel properties of the materials at
their nanoscale length are totally different from that of the same in its bulk form. The
comparison of the structures of the nanostructured materials with that of biological
structures elucidates that most of the biological structures are at the nanoscale level.
A comparison of the size of nanostructured materials and the biological tissues are
given in Table 25.6.

table 25.6 Comparison of the size of nanostructured materials and biological systems

Nano structured Materials Biological structures

Materials Size nm Element Size nm
Nanoparticles 1–100 Atom 0.1
Fullerene (C60) 1 DNA-
• Width 2
• Thickness 0.34
• Pitch length 3.4
Quantum dot (CdSe) 8
Protein 2.2–150
Dendrimer 10 Virus 60–140
CNT 2-10 Bacteria 1000–10,000
White blood cell 10,000
Nucleotides 0.81 – 0.95
Amino acids 0.42 – 0.67

25.4 classification of Biomaterials

Biomaterials are classified based on the developments of three different generations,
origin (i.e., natural or synthetic), compositions (i.e., polymers, metals and alloys and
ceramics) and the interactions and tissue response (bio-inert, bioactive, bioresorbable).
The significant development in biomaterials includes the recent booming technology,
namely, nanotechnology. The various clauses of biomaterials, their properties and
applications are highlighted in the following sections.

25.4.1 metals and alloys

From ancient times, metals have been used for orthopedic applications. Pure metals
such as gold, silver and copper were used for different medical applications. Later,
the usage of the above metals was restricted due to the poor surgical conditions.
 Biomaterials 25.9

In view of the requirements of suitable materials for medical applications, alloys such
as 316L stainless steel, Co-Cr alloys and Ti-6Al-4V alloys have been developed for
orthopedic applications. These materials fix to a bone by mechanical interlocking and
they do not form any chemical bonds with the living bone. At a later stage, the above
materials are coated with bioactive glasses and glass-ceramics to make them bioactive
with the natural bone, since the implants (interlocking) will loosen after a long period
of time. The degradation of the coating layer may take place due to the peel off from
substrates, low strength, etc., resulting in the requirements of high-mechanical-strength
materials that can bond directly to the natural bone.
The different types of metals and alloys used as biomaterials for medical applications
are given in Table 25.3.

25.4.2 polymers
The common polymers that are used in biomedical applications are linear chains of
repeating subunits. The property of this polymer depends on the chemical structure and
macromolecular organisations of the polymer chains. The change in the properties of
the polymers plays a vital role in different medical applications. A class of polymers
are known as biodegradable or resorbable. When it is implanted in a human body,
the polymer is gradually absorbed by the human body without permanently retaining
any trace of residue in the implantation site and hence, they regenerate tissues through
interaction of their degradation products. The following are some of the polymers
which are well studied for biocompatibility, namely, polylactide acid, polyglycolic
acid and their copolymers.
The common applications of these polymers are implantable devices, catheters and
tubing, vascular grafts, injectable drug delivery and imaging systems. The different
types of polymers and applications are given in Table 25.3.

25.4.3 hydrogels
Hydrogels are basically cross-linked polymers with hydrophilic property. They can
either absorb water or any other biological fluids due to their hydrophilic properties.
The important characteristic properties like swelling, diffusive and surface properties
of hydrogel polymers make them different from other biopolymers. The hydrogels
are used in a variety of clinical applications since the 1950s. The notable biomedical
applications of hydrogels are implants, drug delivery systems and biosensors. In view
of the excellent properties of hydrogels, they are categorised as second-generation
biomaterials.

25.4.4 composites
The composite biomaterials are hybrid products of two or more distinct constituent
materials possessing the desired physical and mechanical properties to meet specific
clinical requirements. The composite biomaterials are significantly different from
homogeneous biomaterials in terms of their physical and mechanical properties. The
biocomposite materials are new biomaterials which offer a great promise to improve
the quality of human life. Biocomposite materials offer many advantages in comparison
to homogeneous materials.
25.10 Engineering Physics

One can achieve the required strength by reinforcement of bioactive glasses into
the polymer matrix. The resultant materials are known as biocomposite materials.
The biocomposite materials with improved strength find wide applications in
industries due to the close agreement of the material stiffness with that of bones.
The essential requirement of biocomposites is that each constituent material should
be biocompatible, and the interface between constituents should not be degraded in
the event of biological environments. Examples of applications of biocomposites
are dental filling, bone cement and orthopaedic implants, which are given in
Table 25.3.

25.4.5 ceramics
Ceramics are polycrystalline refractory materials including organic metal oxides, silicates,
carbides, hydrides, sulphides, selenides and nonmetallic elements. Glasses are often
considered to be a subset of ceramics. Glasses are amorphous and have only a short-range
crystalline order, which makes them brittle. In recent years, high-technology ceramic
materials, namely, advanced ceramics with improved compressive strength and bio-
inertness find potential applications as implant biomaterials. Bioceramics are classified
into three major categories based on biological environments, namely, nonabsorbable
or bioinert, bioactive or surface reactive, and biodegradable or resorbable bioceramics.
These bioceramics are developed in the first, second and third generation of biomaterials.
The classification of bioceramics and its applications are given in Table 25.5.
(a) Bioinert or Nonabsorbable Ceramics Examples of non-absorbable or bio-inert
bioceramics are alumina, zirconia and silicon nitrides which belong to the first
generation of bioceramics. These materials are able to maintain their mechanical
and physical properties without any alteration, even in biological environments.
These bioinert materials are used for typical structural support implants such as bone
plates and bone screws. Biologically inert materials can survive for a long period in
a highly corrosive environment that the human body provides. Examples of bioinert
ceramics and their applications are given in Table 25.5.
(b) Bioactive Glasses and Glass Ceramics Bioactive glasses and glass ceramics
play an important role in biomedical applications as bone-repairing materials. They
include a broad range of inorganic/nonmetallic compositions. These materials
are used for their ability to provoke responses on surrounding bones and tissues
after implantation. These materials are known as surface reactive ceramics, since
they form a strong chemical bond with adjacent living tissues after implantation.
All the bioactive glasses and glass ceramics are bonded to living bone through
the formation of an apatite layer which is formed on the surface of the bioactive
glasses. These bioactive glasses and glass ceramics are used both for orthopaedic
and dental applications and are given in Table 25.5.
(i) Nanobioactive Glass Among biomaterials, Nanobioactive Glasses (NBG) have
become essential biomaterials in view of their bone-bonding ability and load-bearing
applications. The transition from bulk bioactive glass to nanobioactive glass is used to
increase the rate of formation of hydroxyapatite layer and its thickness. This is possibly
due to the higher surface-to-volume ratio of NBG when compared to bulk glass. The
increased higher surface area results in higher rate of the interactions between the
nanoparticles and simulated body fluid.
 Biomaterials 25.11

(ii) Hydroxyapatite The bone serves as a reservoir for minerals, particularly

calcium and phosphate. Hydroxyapatite (HAp) is a class of calcium-phosphate-based
bioceramics. HAp plays an excellent role in biomedical applications due to its close
chemical and physical resemblance to mineral components of bone tissue, enamel
and dentin. According to calcium phosphate ratio, it is classified into different phases,
namely, tricalcium phosphates (TCP), tetracalcium phosphates (TTCP), amorphous
calcium phosphate (ACP), brushite, monetite, hydroxyapatite (HAp) and octa-calcium
phosphate (OCP). The chemical component of HAp is Ca10(PO4)6(OH)2 with a
stoichiometric Ca/P ratio of 1.67. HAp is derived either from natural or from synthetic
resources and is one of the most important bioactive materials, since it forms a strong
chemical bond with the host bone tissue.
(iii) Ceravital Ceravital glass is one of the popular glass ceramics used as a
biomaterial. The chemical composition of ceravital glass is the same as that of bioglass
and contains equal amount of SiO2. However, elements such as Al2O3, TiO2 and
Ta2O5 are added in order to control the dissolution rate and to improve its bioactivity.
Some of the important properties of ceravital glasses are very low thermal expansion
coefficient, high tensile strength, and high scratching and abrasive resistances. These
properties make ceravital glasses superior to glass and ceramics.
(c) Bioresorbable or Biodegradable Ceramics Resorbable ceramics are the ceramics
which degrade upon implantation in the host. Some of the examples of bioceramics
are aluminum calcium phosphate, hydroxyapatite and tricalcium phosphate which
from third-generation biomaterials. The biodegradable bioceramics are different from
bioactive bioceramics due to their high porous structure high solubility. They are highly
degradable by the surrounding tissues due their high solubility. The resorbable material
is replaced by endogenous tissues. The rate of degradation varies from material to
material. The resorbability of bioceramics depend on the content of calcium phosphate
present in then.

25.5 processinG and properties

Biomaterials such as metals and alloys, glasses and glass ceramics, polymers
and composites are prepared using the conventional techniques. In order to use
biomaterials for different biomedical applications, the study of biocompatibility and
mechanical properties and their interaction with the natural tissues are more important.
The mechanical properties of the biomaterials such as fracture strength, compressive
strength, fracture toughness, elastic moduli, etc., are essentially required. The above
mechanical properties of the biomaterials can be measured using the conventional
testing and measuring methods. The evaluation of the mechanical properties and
their relations with their natural tissues will help to study the biocompatibility of the
biomaterials for proper orthopaedic and dental-restoration applications.

25.6 applications
The following are some of the applications of biomaterials in the field of medicine:
Metals and Alloys 316L stainless steel, Co-Cr and Ti-6Al-4V alloys are used for
orthopaedic applications. Co-Cr-Mo alloys have been used as stem and heads of
25.12 Engineering Physics

implanted hip endoprosthesis, and Co-Ni-Cr-Mo alloy has been used for hip joint. Ni-
Ti shape memory alloy has been used in dental arch wires, microsurgical instruments,
blood clot filter, guide wires, etc.
Bioactive Glasses and Glass Ceramics In view of the high mechanical strength and
biocompatibility of the bioactive glasses and glass ceramics with living tissues, they find
wide applications in orthopaedic and dental restoration applications. Bioactive glasses
made up of main components of oxides of silicon, calcium, sodium, phosphorous and
calcium fluoride have been used for implant applications, orthopaedic devices such
as knee and hip joint replacements, spiral implants, and bone fixtures.

Dental implants Replacement of teeth / root system

Dental restorations Crown, craps, fillings
Heat treated SiO2-Al2O3-Na2O-K2O- Restorative dental applications
CaO-P2O5 with B2O3, Li2O, CeO2,
TiO2, ZrO2 and F-
MgO-CaO-SiO2-P2O5 glass ceramics Load bearing prostheses, tight chemical
bonds with living bone
Calcium phosphate glasses with high Implants for bone replacement /
CaO/P2O5 ratio modified by additives regeneration and drug delivery carriers
such as Na2O, MgO, TiO2, etc.
Polymers
Polymethylmethacrylate (PMMA) As bone cement
Polytetrafluroethylene (PTFE) Artificial organs responsible for blood
circulation
Polyurethene Blood / device interfaces
Polyesters Vessels prostheses such as blood vessels
Nylon Blood vessels, joints
Polyvinylchloride (PVC) Blood vessels, heart components

Biopolymers are used for a variety of surgical applications such as blood vessel
prostheses, tissue adhesives, heart valves, lenses and sutures.
Biocomposites The following are some of the applications of biocomposites.
Carbon fibre reinforced hip replacement
Oxirane / Polyol / dental composites—coupling of dental filler materials and matrix
resin
Bioceramics The following are some of the applications of bioceramics:
Tricalcium phosphate—bone repair
Al2O3 – SiO2—metal oxides – femoral head
Apatite ceramics—synthetic bone
Porous ceramics—mitral valve prostheses
 Biomaterials 25.13

Keypoints to remember

• Biomaterials are materials which provide intimate contacts with living tissues
when they are implanted into the body tissues or plants.
• Biomaterials are classified as bioinert, bioactive and biodegradable.
• When there is no interaction between the implant and host tissue, the implant
material is known as a bio inert material.
• When there is an interaction between the implant and host tissue, the implant
material is known as a bio active material.
• The material which start to dissolve slowly and hence replace the tissues are
known as bioresorbable or biodegradable materials.
• There are three different generations of biomaterials, namely, first, second and
third generations.
• Important properties of first-generation biomaterials are biocompatibility, bio-
functionality and practicability.
• First-generation biomaterials are developed during the period of 1950–1969.
• The ability of the surrounding tissues and the body as a whole to accept an artifi-
cial implant material is known as biocompatabilty.
• Materials developed during the period of 1970–2000 are termed second-genera-
tion biomaterials.
• Materials developed beyond the year of 2000 are known as third-generation bio-
materials.
• Biomaterials are classified based on origin, compositions and interaction, and tis-
sue response.
• Hydrogels are cross-linked polymers with hydrophilic property.

objectives Questions

25.1 _______ materials have minimal interactions with surrounding tissues.

25.2 _______ materials have interaction with surrounding bone and soft
tissues.
25.3 Materials which slowly dissolved into body and replace the damaged tis-
sues/organs are called _______materials.
25.4 First-generation biomaterials were developed during _______to _______.
25.5 Second-generation biomaterials were developed during _______to
_______.
25.6 Third-generation biomaterials were developed beyond _______year.
25.7 Examples for biomaterials and alloys are_______, _______ and
_______.
25.14 Engineering Physics

25.8 Examples for biopolymers are _______, _______, _______ and

_______.
25.9 _______, _______ and _______ are examples for hydrogels.
25.10 _______, _______ and _______ are examples for bio ceramics
25.11 _______ and _______ based glasses are examples for bioactive glass.

KeY
25.1 Bioinert 25.2 Bioactive
25.3 Bioresorbable or biodegradable 25.4 1950, 1969
25.5 1970, 2000 25.6 2000
25.7 316L SS, Co-Cr and Ti-6Al-4V 25.8 PMMA, PTFE, PVC and Nylon
25.9 Cellulose, Polyacrylamide and 25.10 Calcium Phosphate, Tricalcium
PVA phosphate, and Ferric calcium
25.11 Silica and Phosphate

short Questions

25.1 What are biomaterials?

25.2 What is meant by biomechanism?
25.3 What is meant by bioactivity?
25.4 What are the classifications of biomaterials?
25.5 Define bioinert materials.
25.6 Explain bioactive materials.
25.7 What is meant by biodegradable materials?
25.8 Differentiate bioactive and bio-degradable biomaterials.
25.9 Explain the different stages of development of biomaterials.
25.10 What is meant by bio-functionality?
25.11 What is practicability?
25.12 Explain nanobioactive glasses.
25.13 What is meant by microelectro mechanical system?
25.14 How are biomaterials classified based on the development of three different
generations?

descriptive Questions

25.1 What are biomaterials? Explain the different types of biomaterials and
their applications in medical field.
25.2 Write notes on the following:
(a) Bioactive glass
(b) Bioceramics
(c) Biocomposites
(d) Biometals and alloys
 Biomaterials 25.15

25.3 Write notes on the following:

(a) Bioinert
(b) Bioactive
(c) Bioresorbable
25.4 Write an essay about the first, second and third generations of
biomaterials.
25.5 Write an essay about the classification of biomaterials and their
applications.
 Chapter

Nanomaterial
Synthesis 26

OBJECTIVES
• To explore the knowledge on the preparation, properties and their applications of
nanomaterials
• To understand different experimental methods such as physical, chemical, biological
and hybrid methods used to prepare the nanomaterials and their limitations
• To discuss the size-dependent property of nanomaterials
• To study the influence of nanotechnology on environment
• To understand the applications of nanomaterials in different areas

26.1
i In recent years, nanoscience and technology has emerged as one of the
n most important and exciting forefront areas of interest in almost all fields
of science and technology. This technology provides the path for many
t
breakthrough changes in the near future in many areas of advanced
r technological applications. The prefix word nano means dwarf in Greek
o language. It can be used as a prefix to any unit like a second or a metre
d and is equal to a billionth of that unit (1 nm = 1¥10–9 m). Nanoscience
u and technology is an interdisciplinary area of research and development.
Nanotechnology means the construction of various structures of matter
c having dimensions of the order of a billionth of a metre for useful
t applications. The nanostructured materials are materials where the
i dimensions and tolerances are in the range of 0.1 to 100 nm (i.e., from
o the size of the atom to the wavelength of the light).
n

There are many definitions for the terms nanoscience and nanotechnology in literature.
Prof. Richard Feynman, a physics Nobel Laureate, in his lecture in late 1959, stated that
there is plenty of room at the bottom and made initiative in this innovative field before
the existence of the word nanotechnology. Feynman got this idea from the biological
systems. For example, the size of proteins is 4 to 50 nm, the diameter of DNA molecule
is 2 nm. The nanostructured materials may be metals, alloys, inter metallics, ceramics
or biological materials. Generally, the nanostructured materials exhibit greatly altered
26.2 Engineering Physics

properties like physical, chemical and mechanical, when compared with their normal
bulk materials having the same chemical compositions. To quote the exotic properties
of the nanostructured materials, the nano gold particles exhibit 100% coefficient of
absorption of light, while the bulk gold particles glittering effect is only due to their
reflection properties.
In the following sections, let us discuss briefly the different synthesis methods of
nanostructured materials along with their potential applications.

26.2 SyntheSiS of nanoStructured

materialS
The nanostructured materials with ultra fine grain size are in the order of 1 to
100 nm and can be produced with different dimensionalities. The different forms of
nano materials are zero, one, two and three dimensions. The above classifications are
based on the crystallite grain size and shape which are given in Table 26.1.
table 26.1  Classification of nanomaterials
S. No. Types Crystallite/grain size/shape
1 Zero dimension Clusters or powders (Quantum dots)
2 One dimension Multilayers
3 Two dimension Ultrafine grained over layers or buried layers
4 Three dimension Equiaxed nanometer sized grains

As we know, the applications of nanostructured materials are diverse and hence,

one has to select an approximate method for synthesis of nanomaterials to suit their
requirements. However, in nanomaterials, the particles in the ultra fine structure are
in the order of nano scale lengths. Therefore, the nano particles can be synthesised in
two broad ways namely, top-down and bottom-up approaches.

Nanostructured materials

Top-down Bottom-up
Example: Examples:
Mechanical alloying Chemical precipitation
Lithography Gas phase agglomeration
Erosion, etc. Self assembly, etc.

Fig. 26.1 Synthesis of nano structural materials

In the bottom-up approach, the nanostructured materials are synthesised by

assembling the atoms or molecules together to form the nano materials. On the other
  Nanomaterial Synthesis  26.3

hand, in top-down method, the bulk solids are dis-assembled (broken or dissociated)
into finer pieces until the particles are in the order of nanometre. The schematic
representation of the synthesis and building of nanostructured materials are shown in
Figs 26.1 and 26.2 respectively.

Top-down

Bulk

Powder

Nano particle

Clusters

Atoms

Bottom-up

Fig. 26.2 Schematic representation of top-down and bottom-up

nanostructural materials synthesis

The top-down and bottom-up method consists of different techniques for the
synthesis of nanostructured material. For example, mechanical grinding, lithography
and erosion are some of the techniques used under top-down approach for the
production of nanomaterials. The techniques like chemical precipitations, gas
phase agglomeration and self-assembly are used to obtain the nanomaterials under
bottom-up approach. However, one has to select a right technique for the synthesis
of nanomaterials for specific applications.
It is essential to produce an optimised novel nanostructured material for potential
applications. In view of the requirement of optimised nanomaterials, in addition to
the existing techniques like physical, chemical and biological techniques, hybrid
techniques are also developed. The various techniques available to synthesis the
nanomaterials are classified as shown in Table 26.2.
26.4 Engineering Physics

table 26.2 Classification of synthesis of remove the nano materials

Techniques Method
Physical method Mechanical
High energy ball milling
Lithography
Machining process
Vapour
Physical vapour deposition
Chemical vapour deposition
Chemical method Colloids
Sol gel
Inverse micelles
Biological Using biomembranes
DNA
Enzymes
Hybrid Electrochemical
Chemical vapour deposition
Micro emulsion

26.3 top-down approach-nanomaterialS

SyntheSiS
One of the main problems for the researchers is the production of large quantity of
nanomaterials for diversified applications. Some of the methods which are used in
top-down method can be easily scaled up to produce large quantity of nanomaterials.
In the following sections, techniques like mechanical grinding, lithography and
machining are explained briefly for the production of nanomaterials.

26.3.1 mechanical Grinding

The mechanical grinding method is a typical example of top-down method of synthesis
of nanomaterials. The mechanical grinding method is very popular, simple, inexpensive
and extremely scaleable method to synthesis all classes of nanomaterials. This method
is used to produce nanocrystalline or amorphous materials.
The mechanical attrition mechanism is used to obtain nanocrystalline structures
either from single phase powders or dissimilar powders or amorphous materials. The
schematic representation of the principle of mechanical milling is planetary ball or a
tumbler mill as shown in Fig. 26.3.
One can use either refractory balls or steel balls or plastic balls depending on the
materials to be synthesised. When the balls rotate at a particular rpm, the necessary
energy is transferred to the powder which in turn reduces the powder of coarse grain
seized structure to ultra fine nano range particles. The nano particles are produced due
to the shear action as shown in Fig. 26.3. Thus, it is clear that the energy transferred
to the powder from balls depend on many factors such as rotational speed of the balls,
size of the balls, number of the balls, milling time, the ratio of the ball to powder mass
and the milling medium/atmosphere. One can also use cryogenic liquids to increase
the brittleness of the powders. During the milling process, one has to take necessary
steps to prevent oxidation.
  Nanomaterial Synthesis  26.5

Refractory
or steel balls
Preferably
inert
atmosphere

Fig. 26.3 Schematic representation of the principle of mechanical milling

The selection of materials of the balls plays an important role. Generally, a harder
material will be selected to synthesize the softer materials. For example, a-alumina and
zirconia are used widely as a ball for synthesizing the nanomaterials in view of their
high grinding resistance values. The relationship between the hardness and grinding
resistance is shown in Fig. 26.4.
3.0
Grinding resistance (relative value)

a-Alumina
2.0
Zirconia
Quartz
1.0

0
0 5 10 15
Mohs hardness

Fig.26.4 The relationship between the micro hardness and grinding resistance

The main advantage of this method is the scaling upto tonnage quantity of materials
for wider applications. The disadvantage of this method is the contaminations of milling
media and or atmosphere and is restrictive for the production of non-metal oxides.
The non-metal oxides require an inert medium for milling and vacuum or glove box
to handle the powder particles.

26.3.2 nano lithography

Lithography means carving or writing on a stone. It is one of the techniques used to
pattern the flat surface by removing some part of it or to organize some material on
a suitable substrate. It involves the transfer of design of patterns on a semiconductor
(or) suitable substrate at suitable high speed radiation.
26.6 Engineering Physics

Lithography is one of the key technologies in the field of advanced semiconductor

manufacturing. It plays an active role in the technology sectors like integrated
circuit (IC) manufacturing or very large scale integration (VLSI), flat panel displays,
optoelectric components and advanced electronic packaging. The progress of
lithographic systems due to the advancement in technologies lead to tremendous
potential in microelectronics industry. One can produce the patterns even at the scale of
atomic distances due to advancement of the lithographic systems. Industries like circuit
manufacturing requires uniformity, reproducibility, line width control and overlay
accuracy of their products. The above requirements can be achieved employing the
nanolithography techniques. Nanolithography is basically a top-down method. Thus,
using the nanolithography, the atoms or molecules can be removed from the bulk
materials and hence, the nanostructured patterns are obtained. The modern electronic
devices like cell phones and ATM require miniaturised components like computers,
resistors, etc. These components require very less power for operation, small amounts
of materials and low cost. On the other hand, their performance and operations are
faster.
The miniaturisation of structures such as, FET, surface gated quantum devices,
quantum dots, wires, grating zone plates, and mask making can be achieved
employing the nanolithography technique upto deep submicron scale with enhanced
performance.
(a) Types of Lithography The important lithographic techniques which are
commonly used are optical lithography, X-ray lithography, electron beam lithography,
etc. The lithographic techniques are classified based on the types of radiation used for
carving the material or transferring the pattern.
The electromagnetic radiation or a particle is used to expose the material at the
selected regions of resist. The material which is sensitive to radiation is known
as resist. The selection of the desired portion in the material is made by mask.
The material is transparent in some region while it is opaque in other regions due
to its exposure to radiation. Thus, the radiation-exposed resist becomes weaker
or stronger compared to the unexposed resist. The desired pattern is obtained by
resolving the exposed or unexposed material using a suitable chemical or plasma
process. The above process can be repeated to obtain the desired pattern on the
materials.
A schematic representation of photolithography which is used to obtain the pattern
on a semiconductor surface is shown in Fig. 26.5. A thin film of a metal like chromium
is coated on a glass or silicon substrate. A positive or negative photoresist material like
polymer is coated above the metal surface. When the positive photoresist material is
exposed to radiation, it degrades the materials or some chemical bonds are broken. On
the other hand, when the negative resist material is exposed, it hardens the materials.
A mask is placed over the resist coated surface. Then, the UV radiation is exposed
to the mask, resulting in weaker or stronger regions on the resist, depending on the
opaque and transparent regions of the mask. The image is developed using a suitable
chemical (i.e., developer). The remaining unexposed material is recovered by using
an appropriate chemical treatment. The etched pattern on the materials is obtained as
shown in Fig. 26.5.
  Nanomaterial Synthesis  26.7

Photoresist
Metal
Substrate
(1) (2)

UV radiation

Mask

(4) (3)

(5) (6)

Fig. 26.5 Photolithography process

The Lithography is classified into the following types based on the type of radiation
used:
(i) Lithography using photons like UV light, laser and X-rays
(ii) Lithography using particle beams
a. Electron beam lithography
b. Ion beam lithography
c. Neutral beam lithography
In addition to the above techniques, the probe or fine tip of the scanning tunneling
microscope (STM) and atomic force microscope (AFM) are used to write or scratch on
the materials. These techniques are quite inexpensive and used to achieve the pattern
like lab-on-chip. The techniques developed using the above concept is scanning probe
lithography (SPL) and soft lithography (SL).
Let us discuss briefly the lithography based on photons, particles and probes in the
following sections:
(b) Lithography using photons The electromagnetic radiation like visible, ultraviolet
(UV-visible) or X-rays are used to obtain lithography. During the process of obtaining
the pattern, the glass lenses and masks are used to obtain a pattern in the visible
range of the order of 700 nm to 400 nm. The fused silica or calcium fluoride lenses
are used in case of UV range. There are three methods to obtain the pattern using
electromagnetic radiations, namely, proximity, constant and projection method. The
schematic representation of the three methods are shown in Fig. 26.6.
In case of proximity method, the mask is held in close contact to the photoresist
coated metal substrate, while the mask is in contact with the photoresist in case
of contact method. A parallel beam of UV radiation falls on the mask in both the
proximity and contact method. The radiation is transmitted in some regions while it is
blocked in the opaque region. The obtained resolution of the pattern is more in contact
26.8 Engineering Physics

method than proximity method due to the close contact of the photo resist and mask.
However, the mask gets damaged more in the contact method. In order to reduce the
damage of the mask, the projection method is used. In this method, a focused beam
is scanned through the mask as shown in Fig. 26.6. The above method also gives a
better resolution than contact method.
UV radiation UV radiation

Proximity Contact

Projection

Fig 26.6 Lithography using photons

c) Lithography using uV Light and Laser Beam A monochromatic beam of light

from mercury lamp in the visible UV range (436 nm) is used to obtain the pattern.
The laser beam from KrF (248 nm) or ArF(193 nm) is used to obtain the pattern
respectively with a size of 150 nm. It is clear that one cannot obtain the pattern below
100 nm using the photon as source.
(d) Lithography using X-rays X-rays are used to obtain the pattern below 100 nm but
with a suitable mask for X-ray lithography. The main problem one should consider
in X-ray lithography is the absorption of X-rays. Therefore, the metal mask should
be fabricated with thin and thick which helps higher rate of transmission at thin and
absorption at thicker regions. The gold masks are used in X-lithography.
(e) Lithography using particle Beams We know according to de-Broglie, the
wavelength (l) of the particles depends on the mass (m) and velocity (v) as
l = h/ mv (26.1)
where h is Planck’s constant.
According to this principle, one can use atoms or ions or electrons to reduce the
wavelength associated with the particle as small as 0.1nm. Therefore, larger particle
mass and larger velocity increases the resolution. The resolution of the pattern
depends on the interaction of the incident particle with resist material. In view of easy
generation, acceleration and focusing, electrons are used in lithography.
(f) Electron Beam Lithography High energetic electrons are made to be incident
on the positive or negative photoresist. The electron beam lithography is operated in
two modes, known as vector scan and raster scan. During vector scan, the electron
  Nanomaterial Synthesis  26.9

beam is made to write on a specified region and during the scanning of other region,
the electron beam is put off. In raster scanning, the material is scanned continuously
line by line, but the positions of the sample are moved at right angles to the beam
according to the pattern to be obtained. The electron beam lithography is slower than
other optical lithographic techniques.
Ion-beam lithography helps to obtain very small patterns. The resist materials are
sensitive to ion beams rather than to electron beams and exhibit low scattering in the
resist. Commonly used ions are He+, Ga+ etc., in ion beam lithography. The schematic
representation of the electron beam lithography is shown in Fig. 26.7.

Electron gun

Beam blanking

Vacuum chamber

Deflection coils

Photo resist

Metal film

Computer
Substrate

Fig. 26.7 Electron beam lithography

(g) Neutral Beam Lithography In particle beam lithography, neutral atoms are
used to obtain patterns of the images. Here, the use of masks is essential, since the
neutral atoms like argon or cesium are made incident on the material through the
mask. Deposition of neutral atoms is possible over the material in this technique. The
following are the applications of particle beam lithography:
(i) A Very Large Scale Integration (VLSI) of circuits on a small piece of
semiconductor can be obtained using nanolithography.
(ii) Using nanolithography technology, a wide variety of electronic devices
such as integrated circuits, photonic integrated circuits, etc., in smaller
size and increased performance can be prepared.
(iii) The development of broadband communication mainly depends on the
advanced lithography.
(iv) In nanolithography, the images can be patterned at the scale of 100 nm.

26.3.3 Scanning probe lithography

The development of scanning tunneling microscope (STM) and atomic force
(AFM) microscope leads to a new era in the history of lithography. The new branch
of lithography is known as scanning probe lithography (SPL). In SPL, the probe
(or) tip is used to obtain the pattern at the nano scale level. The different methods
used in SPL to obtain the pattern are, namely, mechanical scratching or movement,
26.10 Engineering Physics

optical, thermo-mechanical and electrical methods. Among the different methods,

the mechanical method is discussed in detail.
The mechanical method includes different modes like scratching, pick-up and
pick-down or dip-pen lithography. The schematic representation of the mechanical
scratching method is shown in Fig. 26.8. The AFM tip or STM tip is used to scratch
the surface of the bulk materials or thin films to obtain pits or lines. The scratched
materials are piled up around the indented region. The dimension of the pits is as small
as 30 nm in diameter and 10 nm in depth.
Scan direction
Lithographically
active layer

Fig. 26.8 Mechanical scratching – Microscope tip

In the pick-up and pick-down method, the AFM/ STM tip is moved close to the
atoms which are organised on the surface of the metal substrate. The process of the
method is shown schematically in Fig. 26.8. The AFM/ STM tip picks up the atoms
which are having loosely absorbed surfaces. Later, the picked up atom is arranged
in a desired pattern by moving the AFM/ STM tip as shown in Fig. 26.9. Using this
method, attempts have been made to write any words (or) letters on the thin film or
bulk materials at the nanoscale length. The range of patterns (i.e., characters or words)
produced by this method ranges from 30–50 nm height and 10 to 60 nm width.
Scanning probe

Atoms

Metal substrate
(1)

(2)

(3)

Fig. 26.9 Pick-up and pick-down-Lithography

Similar to pick-up and pick-down method, an another method used to obtain

lithography is known as dip-pen lithography, as shown in Fig. 26.10. It is similar in
nature as that writing to write in a paper by ink. In this method, the AFM tip is used
as a pen while the molecules are used as ink. The desired molecules are picked up by
the AFM tip from the source of molecules and then transported to the required place
on the substrate. One can write the letters up to a line thickness of 60 nm with very
  Nanomaterial Synthesis  26.11

high clarity. The unique feature of this method is the overwriting and erasing, which
cannot be done by any other methods.

AFM Tip
Writing direction
Molecules
Molecular transport

Water mensiscus
Assembled molecules

Substrate

Fig. 26.10 Dip-pin lithography

26.4 Bottom up proceSS—SyntheSiS of

nanoparticleS
In recent years, many techniques have been developed for the synthesis and formation
of nanostructured materials under the bottom-up process. The following are some of
the common process techniques used for the synthesis of nanostructured materials
under bottom-up approach.
(i) Physical methods (Vapour phase deposition techniques and Epitaxial
techniques)
(ii) Chemical methods (Colloids and sol gel)
Let us discuss the different methods in physical and chemical process
methods in the following sections in details:

26.5 Vapour phaSe depoSition

The vapour phase deposition (VPD) is the most preferred technique for the synthesis
of metal, insulator and semiconductor nanostructured materials. There is an increasing
interest in the vapour phase deposition technique due to elegant way to control the
process parameters. This will help to produce size, shape and chemical composition
controlled nanostructured materials. This technique is more suitable for the production
of large scale nanomaterials. The materials of interest are evaporated and brought
into the gaseous phase atoms or molecules. The gas phase atoms or molecules form
clusters and thus they are deposited on a substrate. One can obtain a single layer of
film or multilayer of films or powders of nanostructured materials, depending on the
potential applications. It is essential to maintain an adequate pressure in the sample
chamber for the synthesis of nanostructured particles. The adequate pressure helps in
melting the materials to evaporate. The vapour phase technology is broadly classified
into three categories, as given below:
(i) Physical Vapour Deposition (PVD)
(ii) Chemical Vapour Deposition (CVD), and
(iii) Plasma Enhanced Chemical Vapour Deposition (PECVD)
26.12 Engineering Physics

26.5.1 physical Vapour deposition

The materials of interest are evaporated and hence, the atoms or molecules are in gas
phase. The gas phase atoms or molecules are used to obtain the nanostructured materials
in any one of the methods, namely, (i) evaporation, (ii) sputtering, (iii) ion plating,
and (iv) laser ablation. Let us discuss the experimental set-up used for the synthesis
of nanostructured materials in the evaporation and sputtering method.
(i) Evaporation The schematic representation of the experimental set-up used for
the synthesis of nano materials by evaporation is shown in Fig. 26.11. It consists of
a bell jar, in which an inert gas or reactive gas is filled after vacuum. The materials
to be evaporated are placed in the crucibles and are heated either by resistance or an
electron gun until sufficient vapour develops. The evaporated atoms or molecules are
allowed to condense on a cold finger which is cooled externally by liquid N2. The
nanoparticles on the cold finger is scraped by the scraper and then collected to the
piston anvil through a funnel. The piston anvil is used to obtain the compacted nano
powders. The desired purity of the nano powder is obtained since the evaporation is
done at the vacuum chamber with the pressure of an inert or reactive gas. This method
is more suitable for non-conductive materials or high melting materials.
Liquid N2 cooled
central rod
�cra�er

Cold finger

Cruci�le�
Funnel

�a � i nlet

�i�ton an�il �o �acuu� �u��

Fig. 26.11 Physical vapour deposition – Evaporation

(ii) Sputtering In case of compound materials, the materials will dissociate
before evaporation and hence, the proportion of the constituents stoichiometric is
not maintained in the final products. Therefore, it is advisable to use the sputtering
technique for the deposition of stoichiometric products.
An inert gas like Ar is incident on the target material. The atoms (or) molecules in
the ionized form hit the target material and knock out the surface atoms. The knocked
out atoms are deposited on the second solid surface known as substrate. The removal
of the atoms from the first solid state, i.e., target is known as erosion. The sputtering
is achieved by two different method, namely, DC voltage and RF voltage.
Glow discharge The cross sectional view of the experimental set-up used for glow
discharge, i.e., DC sputtering is shown in Fig. 26.12. The target is held at the cathode
while the substrate is held at the anode or ground or floating potential. After attaining a
  Nanomaterial Synthesis  26.13

suitable pressure in the chamber, the argon gas is passed into the chamber at a pressure
of < 0.1 torr. When a suitable voltage is applied between anode and cathode, a small
current flows over the electrodes. The observed current is due to the pressure of ions
and electrons that exists in gas and the secondary electrodes which leave the target after
bombardment. As voltage increases, the above contribution also increases. However,
at a certain high voltage, the plasma region is obtained. The plasma region consists
of mixture of particles link electrons, ions, neutrons and protons. This method fails
when the target is insulating in nature, rather it requires a very high voltage.

Negative high voltage

Glow discharge

Substrate

Gas To vacuum pump

Fig. 26.12 DC sputtering

RF sputtering A high voltage (>106 V) is used to discharge the electrode when a
target material is insulating in nature. When a high frequency-low voltage is applied
to the system, it will result in a change in the polarity of the cathode and anode
alternatively. As a result, sufficient ionization is achieved by oscillating electrons. A
cross sectional view of the RF sputtering system is shown in Fig. 26.13. One can use
the sputtering technique to deposit number layers on the substrate.

Substrates

Gas To vacuum pump

Fig. 26.13 RF sputtering

26.5.2 chemical Vapour deposition

In chemical vapour deposition (CVD), the atoms or molecules which are in the gaseous
state either are allowed to react homogeneously or heterogeneously depending on
26.14 Engineering Physics

the applications. In case of homogeneous CVD, the particles or atoms / molecules in

the gas phase are diffused towards the cold surface due to the thermophoric forces.
The diffused particles can be scrapped from the cold surface to give nano powder
(or) deposited onto a substrate to form a film known as particulate film. However,
in case of heterogeneous CVD, a dense film of nanoparticles is obtained on the
substrate surface. CVD is an excellent method which is used to control the particle
size, shape, crystallinity and chemical compositions. One can use this method to
obtain high purity nanomaterials and multicomponents systems as well by controlling
the chemical reactions.
The schematic representation of the CVD experimental set-up used to synthesis
the nanoparticles are shown in Fig. 26.14. The metal-organic precursor is introduced
into the hot zone of the reactor employing flow controller. The precursor is vaporised
employing the inductive or resistive heating method. An inert gas like Ar or Ne is
used as carrier gas. The evaporated matter consists of hot atoms which undergoes
collision with the atoms in the cold gas and hence, loses its energy. Thus, the colloidal
atoms undergo condensation into small clusters through a homogeneous nucleation.
The clusters continue to grow in supersaturated region. Other reactants are added
to the clusters to control the chemical reactions. In order to control the size, the
clusters are removed from the supersaturated environment through a carrier gas.
The cluster size is controlled by controlling the following parameters, namely, rate
of evaporation (energy input), rate of condensation (energy removal) and rate of
gas flow (cluster removal).

Other Scrapper
reactants
Heated

Condensation
Reaction

Heated

Carrier gas Vapour

Cold finger

Particle
collection
Inductive or
resistive
heating

Fig. 26.14 Chemical vapour deposition

The condensed clusters are allowed to pass through the cold finger. The nano-
particles are collected using the scrapper as shown in Fig. 26.14. In addition to the
formation of single phase nanoparticles, two phase (or) doped nanoparticles can
also be synthesised using the CVD method. This can be achieved by supplying two
precursors at the first end of the reactor. The CVD method is used to produce defect
  Nanomaterial Synthesis  26.15

free nano particles. Due to the simplicity of the experiment, the scaling up of the unit
for mass production in industry is achieved without any major difficulties.

26.5.3 plasma enhanced chemical Vapour deposition

A typical experimental set-up used in plasma enhanced chemical vapour depositors
(PECVD) is shown in Fig. 26.15. The PECVD method is used to synthesize either
amorphous or microcrystalline nanoparticles. The major difference between the
conventional CVD and PECVD is the addition of Ar for the ignition of the plasma
and of H2. In PECVD, the source material is sputtered either by DC or RF sputtering
method. The synthesis of amorphous or microcrystalline nanoparticles is determined
by the degree of SiH2 content in H2. Thus, a high concentration of H2 etches the
amorphous phase and gives out the micro crystalline nanoproducts. One can also
have a more favored etching process using a high frequency in the order of 100 MHz
rather than the usual low frequency, i.e., 13.56 MHz. The PECVD method is used to
produce ultra pure and non-agglomerated nanoparticles.

RF power in

Substrate
Plasma

Pump Pump
Reactive
gas in

Fig. 26.15 PECVD method

26.6 epitaxial techniqueS—SyntheSiS of

nanomaterialS
In the bottom-up method, techniques like molecular beam epitaxy (MBE), metal
organic vapour phase epitaxy (MOVPE) and liquid phase epitaxy (LPE) methods are
discussed briefly in the following sections:

26.6.1 molecular Beam epitaxy

Molecular beam epitaxy (MBE) is basically a sophisticated ultra high vacuum (UHV)
based technique used for producing high quality epitaxial structures with mono layers
26.16 Engineering Physics

(ML) control. It is used as a tool for growing high purity semiconductor film by means
of producing epitaxial layer of metals, insulators and as well as superconductors. This
technique enables a sharp interface between one type of alloy and the next during the
epitaxy growth.
The principle behind this technique is very simple. The solid material source is
evaporated from solid ingots either by direct heating or by an electron beam. The
evaporated atoms or clusters are migrated into an UHV environment and impringe
on a hot surface. The atoms or clusters are diffused and eventually incorporated into
growing film. The rate of growth depends on the flux of material in the molecular
beams and it can be controlled by the shutters with on/off control. The principle of
the epitaxial growth can be explained by considering Fig. 26.16 in a simple way. The
atoms on a clean surface are free to move around until they find a correct position
in the crystal lattice to bond. The atom experiences more binding forces at the step
edges than on the surface as shown in Fig. 26.16. Therefore, a growth of the atom
takes place at the step edge. The mobility of the atom on the surface increases with
increase in temperature and hence, the efficiency depends on temperature. Typical
growth rate is 1 ml per second or 1 micron per hour, which is at a pressure of 10–6
m bar.

Growth
direction (z)

Fig. 26.16 Molecular beam epitaxy growth

In order to get good quality of epitaxy growth, the following extra care should be
taken while doing the experiment. The substrates should be carefully prepared by
ensuing negligible quantities of impurity and cleaned. The reaction chamber should
be evacuated not less than 10–11 mbar with a proper cooling of the chamber walls. In
addition, the source should be of extra pure quality.
A schematic representation of the MBE system growth chamber is shown in
Fig. 26.17. The important components of the MBE system are effusion cells, substrate
manipulators, pumping systems, vacuum systems, liquid nitrogen cryopanels and
analysis tools:
The effusion cell provides an excellent flux stability, uniformity and material
purity. The above system can withstand up to a very high temperature (1673 K)
for a longer period. The cells are placed on a source flange and are focused to the
substrate heater, which gives optimised flux uniformity. The homogeneity of the
epitaxy growth is improved with the help of a continous azimuthal rotation (CAR)
  Nanomaterial Synthesis  26.17

about its own axis. A beam flux monitor (BFM) is located opposite to the substrate
holder. The molecular beam intensity is calibrated by rotating BFM through an
angle of 180°C through the CAR assembly. A stainless steel chamber is used for
sample preparation. The necessary UHV is provided in the chamber using a turbo
molecular pump. The liquid nitrogen cryopanels are surrounded internally both
at the main chamber and the source flange. The cryopanels provide the necessary
thermal isolation between the different cells and for the additional pumping of the
residual gas.

Effusion cells Molecular

RHEED beams
Gun
Substrate heater

BFM

To Prep
chamber

Fluorescent Cryopanels
screen CAR
Shutters assembly

Fig. 26.17 Typical MBE growth chamber

The epitaxy growth can be monitored by a number of methods, namely, reflection

high energy electron diffraction (RHEED), low energy electron diffraction (LEED),
Auger electron spectroscopy (AES) and modulated beam mass spectroscopy (MBES).
The RHEED method is used to explore the completed monolayer and partial layer,
respectively, from the maximum and minimum diffracted electron beam patterns
due to the forward scattering at grazing angle. The surface morphology of the MBE
growth can be studied using LEED which takes place in backscattering geometry.
The type of atoms present in MBE is studied by AES while MBES technique is
used to explore the chemical species and the reaction kinetics. The characterisation
techniques such as photoluminescence and electron microscopy are used for post
growth analysis.
The following are the salient features of MBE. The epitaxy growth rates are typically
in the order of a few Å per second. At any function of a second, one can shut down the
molecular beam which facilitates an abrupt transition from one material to another.
The main drawback of the MBE is the lower yield.
26.18 Engineering Physics

26.6.2 metal organic Vapour phase epitaxy

The metal organic vapour phase epitaxy (MOVPE) system is used to produce the
complex semiconductor film systems which are used in the modern devices like
lasers and transistors for mobile phones. These semiconductors consist of two or
more components, e.g., gallium arsenide (GaAs), aluminium nitride (AlN) etc.
The formation of the epitaxy layer at the substrate takes place due to the pyrolysis
action of the constituent chemicals. Thus, in the MOVPE, the crystal growth is
only by chemical reaction and not by physical depositon as in MBE. The sample
chamber does not require any vacuum. However, it requires a moderate pressure
of the order of 2–100 Kpa. The principle behind the MOVPE technique is shown
in Fig. 26.18a.
(a) MOVPE- Principle
(b) MOVPE- Experimental set-up

Phosphine (PH3) molecules

reaction surface,
leaving phosphorous to react
with TM In subspecies,
Trimethyelfindium(TMIn) forming InP and CH4
molecules reaction Reaction by-products
surface, depositing TM In (CH4) leave reactor
subspecies

(a) MOVPE-Principle

Run�Vent
assembly Reaction chamber
Hydride

H�

�aratro n
�l�yl source

Throttle valve

Pressure control

Vacuum pump
(b) MOVPE-E�perimenta l set-up

Fig. 26.18 MOVPE

The schematic representation of the MOVPE system is shown in Fig. 26.18. The
sample chamber which is made up of stainless steel or quartz does not react with
  Nanomaterial Synthesis  26.19

chemicals. The process chamber includes reactor walls, a susceptor, gas injection
and temperature control unit. The necessary water circulations are provided within
the reactor walls through the channels to avoid overheating. The reactor wall and
the susceptor are separated by liner made up of quartz or ceramics. The materials
like graphite, which are resistant to metal organic compounds, are used as a material
for susceptor. The susceptor is located at controlled temperature region. The wafers
which come out during the heating of the sample sit at the susceptor. The susceptor
also requires special coating to prevent corrosion by ammonia for growing materials
like nitrides. The gas inlet and switching system provides the required gas through
a device known as bubblers. The bubbler is used to bubble the carrier gas through
the organic metal liquid. The carrier gas picks up the metal organic vapour and then
transports it to the reactor. The carrier gas flow and the bubbler temperature will help
to control the rate of transport of metal organic vapour. The toxic waste products after
conversion, either in liquid or solid state, are removed from the chamber through the
gas exhaust and cleaning systems.
The starting material, namely, the precursors, are fed into the reactor with the aid of
a carrier gas (nitrogen or hydrogen). The reactor contains the substrate which is in the
form of very thin single crystal wafer. The sample chamber is heated in the temperature
range of 773 to 1773 K depending on the material used. The metal organic gas is
liberated from the material due to the heating and then mixed with the carrier gas. The
above fragment together moves to the substrate surface and settles and migrates over
the wafer, resulting in the growth of wafer monolayer by monolayer. The scrubber is
used to filter, neutralize or dilute the carrier gas, like hydrogen, before pumping into
the exhaust air.
The MOVPE technique can be used to grow semiconductors from a variety of organo
metallic chemicals. The MOVPE is the dominant process technique to manufacture
laser diodes, solar cells, LEDs, etc.

26.6.3 liquid phase epitaxy

Liquid phase epitaxy (LPE) method is used for the growth of semiconductor layers
from the melt on solid substrates. The LPE grown semiconductors are used for
the manufacturing of optoelectronic devices like LEDs, lasers and photodiodes.
The LPE technique is used to grow materials with very low unintentional impurity
density, high mobility and good luminescence properties. The LPE techniques
involve the near equilibrium growth of a material from a supersaturated solution
which is placed in contact with polished solid substrates. The LPE is mainly used to
grow very thin, uniform and high purity ternary and quaternary III- V components
of GaAs substrates. Arsenide is dissolved in a Gallium solvent. The temperature is
lowered from the equilibrium temperature at a controlled rate when the substrate
is just in contact with solution and substrate. This results in a supersaturation in
the solution and hence, the dissolved material grow epitaxially on the substrate.
The equilibrium condition depends on the temperature and the concentration of
the semiconductor melts.
There are different techniques for the LPE growth of the semiconducting materials,
namely, tipping, dipping and sliding techniques. The different techniques are due to
the development of the growth of materials from single to multi components. Let us
discuss briefly the sliding boat LPE technique used for the growth of the nano particles
in detail.
26.20 Engineering Physics

The sliding boat technique is an improvement of the slide technique which

was mainly developed for the multi layer growth. The schematic diagram of a
simple sliding boat system used for the LPE is shown in Fig. 26.19. It consists of
a resistance heated type furnace. The system consists of number of boats which
contain different semiconducting components. For the uniform LPE growth, a flat
temperature profile is maintained at the centre of the zone. In addition, a three-
zone system is also maintained to provide sufficient temperature variations. In
order to improve the purity of the growth, flushing with H2 is done. The solution
and substrate are brought in contact by moving the slider in one direction. After
allowing some time for the growth, the slider is moved in the same direction so
that the substrate meets another solution. Hence, a new layer is grown. Once the
desired structure is made, the growth can be terminated by removing the substrate.
Thus, by employing this technique, one can make one or several layers of growth
at the same time.
Seed
Fused silica tube
Graphite
seedholder Graphite sliding
solution-holder

Solutions
H2 out 1 2 3 4

Push rod
Thermocouple

H2 in

Fig. 26.19 LPE–Slider system

26.7 chemical methodS—nanomaterial

SyntheSiS
Compared to physical methods, the chemical methods are very simple techniques,
inexpensive, and require fewer instruments to obtain the nanoparticles. In the chemical
methods, the resultant materials are obtained in the form of liquid. However, one
can convert into any form like dry powder or thin films or gel, depending on the
applications. One can obtain colloidal particles in solutions. Later, it can be converted
into a powder, after proper filtration and drying.
In chemical methods, different methods such as colloids, micro emulsion and sol
gel method are used for the synthesis of nanoparticles. In the following sections, a
brief description on the processes, namely, colloids and sol gel are given in brief to
understand the processing of nanostructured materials.

26.7.1 colloids
Colloids are a material which are made of two or more phases of same or different
materials. Out of the three dimensions, one dimension is less than a micrometre. There
are different forms of colloids, namely, particles or plates or fibers as shown in Fig.
26.20. An example for the colloid is the liquid in gas, i.e., fog.
  Nanomaterial Synthesis  26.21

Spheres Rods Tube Fibres

Different shapes

Irregular shapes Plates

Fig. 26.20 Types of colloids

(i) Synthesis of Nanoparticles Generally, the colloidal particles are suspended

in some host matrix. One can synthesise metal, alloy, semiconductor and insulator
particles of different size and shape in either aqueous or non-aqueous media.
A typical chemical reactor chamber used to synthesise the nanoparticles is shown
in Fig. 26.21. Glass reactor chamber is usually used for chemical reactions in which
the colloidal particles are obtained. The reactor has a provision to introduce the
precursors and gas. The provisions to measure temperature and pH during the chemical
reactions are included. Inert gas, like argon or nitrogen gas is admitted, depending
on the requirements through the separate control systems. The necessary stirring
arrangements, i.e., teflon-coated magnetic needle has been provided. One can take
the products after the reaction is over. One can use the above chemical reactor, to
synthesise metal or semiconductor or alloy nanoparticles at the required size and shape.
For example, gold nano particles are synthesised by the reduction of chloroauric acid
(HAuCl4) with tri sodium citrate (Na2C6H5O7).

HAuCl4 + Na3C6H5O7 Æ Au+ + C6H5O7 + HCl + 3NaCl (26.2)

Inert gas outlet

Inert gas inlet

Syringe for addition

Thermometer of reactants

Mixture of
reactants
Magnetic needle

Stirrer with
heating plate

Fig. 26.21 Typical chemical reactor chamber

26.22 Engineering Physics

The reduction reaction takes place under four stages to yield the products. The
gold atoms are formed by nucleation and condensation. The obtained gold atoms are
grown in bigger size by the reduction of Au ion on the surface. These bigger atoms are
stabilised by oppositely charged citrate ions. Thus, the stabilised nano gold particles
are formed and are represented in Fig. 26.22.
C4H5O7 �
C6H5O7 � C4H5O7 �
Au
Au+ + e� C6H5O7 �
Au+ + e�

C6H5O7 � C6H5O7 �
C6H5O7 �

Nucleation Condensation Surface reduction Electrostatic stabilization

Fig. 26.22 Gold nanoparticles

The above reaction is carried out in water. Thus, the resultant nanoparticles are
different in colour depending on their size. This reveals that optical properties of the
nano particles are size dependent.

26.7.2. Sol Gel method

The sol gel process is a wet-chemical technique, i.e., chemical solution deposition
technique used for the production of high purity and homogeneous nanomaterials,
particularly metal oxide nanoparticles. The starting material from a chemical solution
leads to the formation of colloidal suspensions known as sol. Then, the sol evolves
towards the formation of an inorganic network containing a liquid phase called the gel.
The removal of the liquid phase from the sol yields the gel. The particle size and shape
are controlled by the sol/gel transitions. The thermal treatment (firing/calcinations)
of the gel leads to further poly condensation and enhances the mechanical properties
of the products, i.e., oxide nanoparticles.
The precursors for synthesising the colloids are metal alkoxides and metal
chlorides. The starting material is processed with water or dilute acid in an alkaline
solvent. The material undergoes a hydrolysis and polycondensation reaction which
leads to the formation of colloids. The colloid system composed of solid particles
dispersed in a solvent contains particles of size from 1 nm to 1 mm. The sol is then
evolved to form an inorganic network containing liquid phase (gel). The schematic
representation of the synthesis of nanoparticles using the sol gel method is shown
in Fig. 26.23.
The sol can be further processed to obtain the substrate in a film, either by dip
coating or spin coating, or cast into a container with desired shape or powders by
calcinations. The chemical reaction which takes place in the sol gel metal alkoxides
M (OR)2 during the hydrolysis process and condensation is given below:

M-O-R + H2O Æ M-OH + R-OH ( Hydrolysis) (26.3)

M-O-H + R-O-M Æ M-O-M + R-OH ( Condensation) (26.4)

  Nanomaterial Synthesis  26.23

(dissol) (Dehydration (Rapid drying)

reaction)
Aerogel
SOL GEL
Precursor Su
or rfa
su gani ctant

ng
sp c
ni
in en
sio
Sp
n
Dipping

Xerogel
Calcine

Calcine

Calcine
Thin film coating Dense ceramic
Powder

Fig. 26.23 Schematic representations of sol gel synthesis of nano particles

The sol gel method is an interesting, cheap and low temperature technique which
is used to produce a range of nanoparticles with controlled chemical compositions.
One can produce the aero gel, a highly porous material like glass and glass ceramics,
at a very low temperature by controlling the process parameters. The sol gel derived
nano particles finds wide spread applications in various fields like optics, electronics,
energy, space, bio sensors and drug delivery.

26.8 hyBrid methodS—SyntheSiS of

nanomaterialS
In recent years, many new methods are emerging along with the existing methods for
the synthesis of nanoparticles and nanostructured materials. In this series, template
based nanomaterials synthesis, self-assembly and self-organisation are some of the new
routes developed for the nano synthesis. In the following sections, brief descriptions
of the above methods are given for a better understanding:

26.8.1 template Based Synthesis

The synthesis of nanoparticles on templates is a very general method, but it has gained
momentum in recent years. This process is used for the fabrication of nanorods, nanowires
and nanotubes of polymers, metals, semiconductors and oxides. The template growth of
nano rods and nano tubes has been obtained using different templates with nanosized
channels. These templates will have a desired pore (or) channel size. The template
also requires some additional parameters like morphology, size distributions and pore
densities. Anodized alumina membrane and radiation track etched polymer membranes
are the most commonly used and commercially available templates.
26.24 Engineering Physics

Three important points are to be considered while using the template based synthesis
of nanoparticles. (i) The template should be chemically and thermally inert during
the synthesis process. (ii) The depositing material or solutions must wet the internal
pore walls. (iii) The deposition of nanoparticle should start from the bottom end of
the template and hence, it has to proceed to the other end on the same side. The above
procedure is adopted for the synthesis of nanowires or nanorods. On the other hand,
for the growth of nanotubules, the deposition should start from the pore walls and
proceed inwardly. The pore blockage is produced during the inward growth. This
pore blockage is avoided in nanorods or nanowires. One can remove the nanorods or
nanowires from the template after the experiments.
The nanorods or nanowires are synthesised by electrochemical deposition. This
technique is also known as electro deposition. The following steps are involved
during the electro deposition. When an external field is applied to the electron, the
oriented diffusion of positively charged cations through the solution takes place. The
reduction of positively charged cation at the growth or the deposition surface will
act as an electrode. After this process, the electrode is completely separated from the
solution due to the deposition of positively charged cations. The deposition process
will continue, since the deposited cations permit the electrical current to pass through
it. The process of coating the metal on the template through electrochemical deposition
is known as electroplating. The deposition is confined inside the pores of the template
membranes and hence, the nano composite are produced. The template membrane is
removed from the experimental set-up and the nanoparticles are scrapped from the
templates. In recent years, a hybrid of the template synthesis with other chemical
process, the nanoparticles with the core-shell and onion structures are produced.

26.8.2 Self-assembly
We knew that the cells and tissues of the human body consist of proteins. The proteins
are larger molecules which are formed by the successive addition of hundreds of amino
acids. When an amino acid is added to another, it makes a bond by transferring the
RNA molecules. The sequence of above arrangements is known as polypeptide chain.
An increase in the sequence will increase the length of the polypeptide chain. The
increased sequence is known as protein. The above process is known as self assembly
which occurs in all living tissues. Thus, the self assembly process at small length scale
is important in biology, but has an analog in nanotechnology.
In nanotechnology, the molecules or atoms at their nano scale length are formed in a
well defined stable and ordered molecular complex systems for different applications.
A weak reversible interaction between the molecules leads to the creation of an ordered
structure at equilibrium during the above process. Generally, the larger molecules,
known as macromolecules, take number of time consuming steps to break and remake
the strong covalent bonds during the organic synthesis process. The above reaction
is carried out under kinetic control systems. The resultant products or a yield is very
small and hence, the recognition or the removal of the error is not possible. The self
assembly is the strategy used for the nano fabrication which involves the design
and synthesis of the desired structures. The synthesis process involves non-covalent
bonding interactions like hydrogen bonds and Van der Waals forces. The above
synthesis is carried out under thermodynamic conditions. One can rectify the errors
to obtain small individual molecules under thermodynamic equilibrium conditions.
  Nanomaterial Synthesis  26.25

It is clear that a regular high perfect structure by way of controlling the growth
materials under equilibrium condition facilitates self assembled structures. Thus, self
assembly of atoms, molecules and nanoparticles leads to the desired structure without
any top-down tool for making. The self-assembly has a number of advantages over
the conventional methods for making nanostructured assemblies. The difficult steps
in nano fabrication are the atomic level modifications of the structures employing the
synthetic chemistry. The development of functional and complex structures in biology
gives strong inspirations. The above method produces defect free nanostructured
materials.
(a) Self-assembly in inorganic materials We know that individual nanoparticles
have exotic physico-chemical properties which are size dependent. Thin films of
the above nanoparticles are required for many practical applications. The important
process towards the novel application of the nanostructured materials are the surface
modifications, assembly, patterning, orientations, and alignment into a functional
network. The self assembly provides an immense technique towards the products of
functionalised nanostructured materials for potential application.
The self assembly of inorganic materials is achieved by the deposition of highly
structured process known as coherent process, i.e., defect or dislocation-free coherent
process. One can produce the quantum dots of germanium (Ge) or silicon (Si)
employing the above process as shown in Fig. 26.24. The germanium and silicon have
roughly 4% lattice mismatch. Employing the hetero epitaxial growth, the germanium is
deposited on the single crystal silicon in a coherent manner. This results in three to four
layer deposition of Ge on Si without any defects or dislocations. The further deposition
of Ge on Si is not accommodated due to the induced lattice strain. The deposition
results in the spontaneous formation of quantum dots or nano sized islands. The size
of the quantum dots is controlled by the growth temperature, and the smoothness of
the surface of the substrate.

Germanium

Substrate

Coherently strained 2D film

Germanium

Substrate

Strain induced island formation

Fig. 26.24 Island formations by the deposition of Ge on Si

One can produce inorganic nanoparticles employing the self-assembly method.

Consider that the silica particles are synthesized by employing the sol-gel method.
26.26 Engineering Physics

The silica particles which are in aqueous form are placed in a glass substrate. The
aqueous medium is evaporated from the substrate. The particles self assemble after
some interval of time due to the weak Van der Waals interaction among the particles.
The particles are allowed to form a uniform two–dimensional structures.
(b) Self-assembly of Nanoparticles in Organic molecules The self assemblies of the
prepared inorganic nanoparticles are assembled on solid substrates employing organic
molecules. The organic molecules which are used in the self assembly process help
the nanoparticles to transfer to the solid substrate by binding with the solid substrate
and attaching with the nanoparticles. The self-assembly of CdS nanoparticles on a
solid substrate is shown in Fig. 26.25.

COO� CDS nano particles

COO�
COO� Oxide layer
Al

COO� COO�

CdS nanoparticles

Fig. 26.25 Self assembly of nanoparticles—organic molecules

The CdS nanoparticles are functionalized with carboxylic group (COO) as shown in
Fig. 26.25. The CdS nanoparticles are transferred into aluminum thin films employing
organic molecules.
(c) Self-assembly using Biological Templates The S-layer extracted from the
bacterial cells has been transferred into the metallic substrates or grids as shown in
Fig. 26.26. The nanoparticle to be assembled on the biological substrate is heated
and hence, the liquid or vapour phase is deposited on the biological substrate. The
substrate is initially treated with cadmium salt followed by Na2S, and results in the
formation of CdS nanoparticles.

(a) (b) (c)

(d) (e)

Fig. 26.26 S-layer lattice—different structures

Similarly, the gold nanoparticles can be embedded on the biological templates as

shown in Fig. 26.27.
  Nanomaterial Synthesis  26.27

Gold nano particle

S-layer
Substrate

Fig. 26.27 S-layer—Assembly of CdS or Au nanoparticles

26.8.3 Self-organisation
Self-organisation method is used for the fabrication of nanomaterials for a variety
of applications like electronic, chemical / biological sensors and membranes. This
method helps in the mass production of products like lithographical tools without
using an expensive technique. One can produce highly ordered nanohole arrays
on several tens of nanometers employing the self organisation method. The highly
ordered nanohole arrays find potential applications such as high density storage
media, high density chemical sensors, nano electronic devices and functional
biochemical membranes. The mechanism for nanohole self-organisation is still at
the infant stage. Even though several methods have been proposed, let us discuss the
highly ordered nanohole array obtained by two-step method anodization proposed
by Masuda and Fukuda.
In the two step anodization method, a high purity aluminium with 0.3 M oxalic
acid solution under a constant voltage of 40 V at 273 K has been used to obtain the
nanohole array. The first anodization was carried out for a period of 160 h. This helped
to obtain an excellent regularity at the bottom of the nanohole. The nanohole regularity
can be increased by increasing the film thickness. A P-C etch solution was proposed
with a mixtures of 35 ml/litre of 85% H2PO4 and 20g/litre CrO3 at 353 K as proposed
by Schwartz and Platter. The above solution is used to etch the first obtained anodic
alumina film. The post etched aluminum surface has a periodic surface roughness
with a regular array of nanohole bottoms. Due to this initial interface, an excellent
regularity is obtained after the second anodic oxidation. The SEM micrograph of the
alumina nanohole array formed by two step oxidation at 40 V using 0.15 M oxalic
acid is shown in Fig. 26.28.

200 nm

Fig. 26.28 Alumina nanohole array – Plan view

26.28 Engineering Physics

The plan view of the alumina nanohole array reveals a trigonal lattice with an
average diameter of 36 nm. One can also enlarge the nanohole array by chemical
etching with diluted phosphoric acid. Hence, the distance between the hole increases
to 90 nm. The cross sectional view of nanoholes formed due to the long anodization
(30 s) is shown in Fig. 26.28. The depth of the nanohole is 220 nm, while the
neighbouring nanoholes are separated by 50 nm thick alumina side wall. The hole
bottom is closed by barrier film of 30 nm thickness.

Porous alumina
200 nm

Al

Fig. 26.29 Alumina nanotubes array—cross-sectional view

The self-organised porous alumina nanohole arrays have been used to fabricate
a variety of nanomaterials. Some of the methods which are used to fabricate
nanostructured materials are etching semiconductor substrate using a porous alumina
film as a mask, pattern transfer using porous alumina as a template, etc. Self-assembly
and self-organisation are important concepts, in both nanotechnology and biology.

26.9 nanotechnoloGy and enVironment

When a new technology emerges, there is more concern about its impact on social
life, health and environment. A common man would like to know the development
of science and technology behind nanotechnology and the impact in social and
environment life. Therefore, the environment protection of nanotechnology is more
essentially required since the atoms or molecules are controlled at the nanoscale length
to develop new systems or products. Thus, the environmental free nanotechnology,
i.e., green nanotechnology has a pivotal role against the environmental issues.
There are few questions which arise immediately. What is the effect on nano-
materials on human bodies, animal or plants when it is inhaled or in contact? Do the
nanomaterials pollute water, air and food? What is the role of nanomaterials on global
climate changes?
In recent years, more work is under progress to investigate the above issues almost
in all countries worldwide. In general, very small tiny particles of the order of less than
0.1 mm will affect the respirator system and other organs. There are a few findings that
the nanoparticles with size around 50 nm can affect the cells. However, the detailed
studies of the nanomaterials and its size-dependent effects on human bodies and animals
  Nanomaterial Synthesis  26.29

are under investigation. It is interesting to note that the nanoparticles like silica are
used to increase the photosynthesis process of the plants and also as a nutrious food.
The nano silica particles along with a suitable solvent are sprinkled on the leaf of the
plant and it cleans the leaf surfaces, which facilitate more photosynthesis. Similarly,
the nano silica particles along with fertilizers are used as a nutrious food to plant to
increase its growth and yields.
We know that the applications of the nanoparticles such as coatings, electronics
industries, fuel storage cells, sensors, drug delivery, implant applications, etc., are due
to the novel physical and chemical properties. Nanoparticles, nanotubes, nanorods,
nanofilters, etc., are manufactured in industry in a highly protected environment
which prevents the nanoparticles from polluting the environment (or) harming the
workers.
It is proven that some of the nanoparticle production processes, like low
temperature synthesis route, will themselves reduce the pollution and environmental
related issues. In automobiles, the nanomaterial is used as a hydrogen storage or
efficient oil filters which reduce the pollution from the vehicles. The development
of new systems or protocols based on the nanostructured materials leads to the
shrinkage of size and hence, the prices. This will help in bringing this technology
product to the poor man also.
Most of the nano sensors are more sensitive than their counterpart bulk sensors and
hence, they are known as smart sensors. These sensors are used to detect and rectify
the problems. For example, water purification filters, detection of toxic ions and gas,
robotic machines, etc., utilize nano sensors for the improved efficiency and remedial
effect.

26.10 propertieS and poSSiBle applicationS

In view of the available different techniques for the synthesis and fabrication of
nanosized particles and nanostructured materials, there is an increasing demand for
potential applications. The nanosized particles at the nanoscale length exhibit exotic
physio-chemical properties as compared to the bulk materials. The properties of the
nanostructured materials mainly depends on the nanostructured induced effects,
namely, size dependent effect and the surface or interface induced effect. The physical
properties mainly depend on the size. Similarly, the surface or interface induced effect
plays a dominant role in chemical processing. Different experimental techniques and
measurement parameters are available to explore the above two effects. Therefore,
the tailoring of the nanosized particles and nanostructured materials is quite important
and needed for the potential applications.

26.10.1 chemical properties

Chemistry plays an important role in creating the as-required nanoscale structures.
The chemical reactions at the nanoscale structures explore the optical and electronic
properties of the nanoscale materials. The chemical reactions are normally governed
by electrons, ionization potentials and electron orbital densities. When a particle
size is reduced from the bulk, the electronic band in the metals becomes narrow,
26.30 Engineering Physics

leading to the transformation of the delocalized electronic states into more localized
molecular bonds. As a result, the ionization potential increases. A catalyst will have
much influence on the variations of geometry and electronic structure of the nanophase
materials. For example, the characterisation of nonconducting oxides supported by
metal catalysts leads to the formation of clusters of platinum, iridium or osmium
with a size less than 1 nm, which are supported by alumina or silica, and they show
electronic properties similar to that found for large crystallites of the metal (bulk
electronic properties). The nanoscale particles exhibit some unusual behaviours, such
as equilibrium vapour pressure, higher chemical potential and solubilities than some
material when they are expressed as large particles. The above information reveals
that the high surface-to-volume ratio, and the change in the geometry and electronic
structure changes the optical and electronic properties of the nanoscale materials due
to chemical reactivity.

26.10.2 mechanical properties

The nanostructured materials offer a wide range of applications for many challenging
problems, in view of their fabrication of a variety of new materials with the required
and fine-tuned strength and ductility. The application of the nanomaterials may be on
both low and high temperatures. Therefore, the mechanical properties of the nanophase
materials both at low and high temperatures are given in brief.
Low Temperature properties We know that the grain refinement leads to an
improvement in the properties of the metals and alloys. For example, a reduction in
grain size lowers the transition temperature in steel from ductile to brittle. A major
interest in the nanophase materials is the change in mechanical properties with the
reduction in grain size. The average grain size and yield stress (sy) are simply related
by the Hall petch relation given below,

k
sy = s0 + (26.5)
d

where s0 is the friction stress, k the constant and d the average grain size.
Similarly, one can write the relation between hardness and grain size as,

k
H = Hi + (26.6)
d
where Hi is the Vickers hardness and k a constant.
The hardness measurements that are carried out in the nanophase materials as a
function of grain size, follow the traditional way and are represented in the form of
Hall petch plots. The observed results show an increase in hardening with continuous
grain refinement, down to the finest grain sizes.
It is interesting to note that, in most of the cases, the rate of hardening with the
increase in the values of 1/ d is less at the nanometer scale than that which occurs at
the conventional grain sizes. Further, the hardness approaches zero with continuous
reduction in the 1/ d values. A typical observation made in nanocrystalline Cu is
shown in Fig. 26.30.
  Nanomaterial Synthesis  26.31

3.0

Vickers microhardness 2.5

2.0

1.5

1.0

0.5

0
0 100 200 300 400 500

1/÷d

Fig. 26.30 Vickers hardness versus 1/ d

The observed hardness measurements on the nanophase materials reveal positive,

zero and negative Hall petch slope due to the change in the structures such as
densification, stress relief, phase transformations, grain sizes with respect to the
preparation and annealing of the samples. A typical observation made in nanocrystalline
Fe is shown in Fig. 26.31.
1100

1000
Hardness (VHN)

900

800
0.34 0.36 0.38 0.40 0.42

1/÷d (nm�5 )

Fig. 26.31 Hall petch plot of hardness for nanocrytalline Fe

26.32 Engineering Physics

High-Temperature properties The nanophase materials are also termed as super

plastic materials, since they exhibit all the common microstructural features of super
plastic materials, such as extensive tensile deformation without cracking or fracture.
Some of the characteristics of super plastic materials are smaller grain size (less than
5 mm), equiaxed grains, high energy grain boundaries and the presence of second
phase. In case of nanophase materials, the occurrence of super plastic temperature
is decreased due to the decrease in grain size, which results in an increase in the
strain rate.

26.10.3 applications
The chemical, physical, electrical, magnetic and mechanical properties of the
nanophase materials show exotic behaviour in the reduced grain size than the bulk
materials. The observed new properties of the nanophase materials lead to several
interesting applications, given as follows.
memories and Electronic Devices The magnetic nanophase materials show a
variety of unusual magnetic behaviours when compared to the bulk materials, which
are mainly due to the surface/interface effect and which include symmetry breaking,
electronic environment charge transfer and magnetic interactions. The magnetisation
and coercivity of the nanophase materials are higher. The Fe, Co and Fe(Co)-B based
particles with a particle size of 7–20 nm possess an effective anisotropy and coercivity
about two orders of magnitude than the bulk materials.
As a result, the nanophase materials are the potential candidates for soft and
permanent magnetic materials which lead to several applications. The special
applications of these materials are nanoelectronic devices such as nanotransistors,
memory devices such as recording heads, magnetic storages, etc. Nanophase materials
are used for the manufacturing of size and weight reduced microstrip patch antennas.
The important properties of these miniaturised antennas are the large bandwidth,
tunability and mechanical flexibility.
Nanophase materials are used for the fabrication of the signal processing elements
such as filters, delay lines, switches, etc. The advantage of using nanomaterials in
the above devices is the reduction in problems such as cross-talk and interference
due to the intrinsic losses in the materials. It is used for the development of robot
electromagnetic sensors to operate in harsh environments.
The typical properties of the nanostructured materials and possible applications
are given in Table 26.3.

table 26.3  Typical properties of nano-structured materials and possibilities 

Property Application
Bulk
Single magnetic domain Magnetic recording
Small mean free path of electrons in a solid Special conductors
Size smaller than wavelength Light or heat absorption, scattering
High and selective optical absorption or Colours, filters, solar absorbers,
metal particles photovoltaics, photographic
material, phototropic material
  Nanomaterial Synthesis  26.33

Property Application
Formation of ultra fine pores due to Molecular filters
superfine agglomeration of particles
Uniform mixture of different kinds of R&D of new materials
superfine particles
Grain size too small for stable dislocation High strength and hardness of
metallic materials
Surface / interface
Large specific surface area Catalysis, sensors
Large surface area, small heat capacity Heat- exchange materials combus-
tion catalysts
Lower sintering temperature Sintering accelerators
Specific interface area, large boundary area Nanostructured materials
Superplastic behaviour of ceramics Ductile ceramics
Cluster coating and metallization Special resistors, temperature sensors
Multi-shell particles Chemical activity of catalysts
Tailored optical elements

26.11 StoraGe
Due to the tiny nature of the nanoparticle, the storage and handling is important.
Normally, nanoparticles are stored in a cooled condition. This will help to avoid
the aggregation of nanoparticles. At room temperature, the mobility and collision
of nanoparticles in a liquid phase is very high and hence, it induces the aggregation
of nanoparticles. Metal nanoparticles are normally stored in a tightly closed vessel
because nanoparticles are highly reactive with atmospheric oxygen. When the
metal nanoparticles are exposed to atmospheric conditions, they convert to their
corresponding metal oxides. For example, iron nanoparticles are normally stored in
ethanol, otherwise they react with oxygen to form iron oxides.
Semiconductor nanoparticles are stored in a dark atmosphere to prevent photo
luminescence. Metal oxide nanoparticles are stored in a closely packed dry vessel
to prevent hydration. For example, CaO nanoparticles react with moisture to form
Ca (OH). Generally, all nanopowders have to be stored in a very compact vessel and
a stress-free condition to avoid surface charges. Similarly, the template nanomaterials
can be stored in a closed container to avoid the peel of the material.
The following are the important points to be considered for the nanomaterials
storage:
• Keep container tightly sealed.
• Store the container which contains nanoparticles in a cool and dry place.
• Ensure good ventilation at the workplace.
• Protect against explosions and fires.
• Do not store together with acids.
• Store away from oxidizing agents.
• Store away from halogens.
• Protect from the humidity and water.
• Nanoparticle containing container can be stored with the above protection in a
clean room with high standard.
26.34 Engineering Physics

Keypoints to remember

• Richard Feynman is considered the father of Nanoscience and technology.

• Nano is equal to one billionth of a metre (1 nm = 1×10-9 m).
• Classification of nanomaterials are zero, one, two and three dimensions.
• Nanostructured materials are prepared by bottom-up and top-down approach.
• Lithography means carving or writing on a stone.
• The material which is sensitive to radiation is known as resist.
• Lithography which is classified based on photon radiations are UV light, laser and
X-ray lithography.
• The classification of lithography based on particle beam radiations are electron
beam, ion beam and neutral beam lithography.
• The de Broglie wavelength of a particle is equal to λ = h/mv, where h is Planck’s
constant, m is the mass of particle and v, the velocity of particle.
• In particle beam lithography, the resolution depends on the mass and velocity of
particles.
• Electron beam lithography is operated in two modes, namely, vector scan and
raster scan methods.
• In the vector scan mode, the electron beam is made to write on a specified region
and during scanning of other regions, the electron beam is put off.
• In raster scanning, the material is scanned by line, but the portions of the sample
are moved at right angles to the beam according to the pattern to be obtained.
• In dip-pen lithography, the AFM tip is used as a pen and the molecules are used as
ink to obtain the required pattern on the substrate.
• The different classifications of vapour phase deposition (VPD) are physical va-
pour deposition (PVD), chemical vapour deposition (CVD) and plasma enhanced
chemical vapour deposition (PECVD).
• Substrates are used to deposit atoms on its surface during the physical vapour
deposition method.
• Erosion is the process of removal of atoms from the target.
• Two different types of sputtering methods are DC voltage and RF voltage.
• The formation of colloidal suspension during the process of formation of
nanomaterials is known as sol.
• The formation of an inorganic network containing a liquid phase is known as
gel.
• Electroplating is the process of coating the metal on the template through electro-
chemical deposition.
• Self-assembly is the process of arrangements of atoms or molecules at the nanoscale
lengths on the surface of a template.
  Nanomaterial Synthesis  26.35

• The coherent process method is used to obtain self-annealed inorganic

nanomaterials through the deposition of highly structured process.
• Self-organisation is the method used for the fabrication of nanomaterials for
applications like sensors and membranes. In this process, the nanohole arrays are
obtained by self-organisation.

one mark question

26.1 The value of one nanometre is equal to______.

26.2 Example for zero dimension nanomaterial is ______.
26.3 ______ process is used to assemble atoms or molecules to form
nanomaterials.
26.4 Nanoparticles are obtained by breaking the bulk solids employing _______
method.
26.5 Mechanical grinding is an example for nanomaterial synthesis
of _______ method.
26.6 In mechanical grinding _______ is used to increase the brittleness of the
powders.
26.7 In mechanical grinding, hard materials are used to synthesis _______
materials.
26.8 An increase in microhardness increases the _______ resistance.
26.9 The carving or writing on a stone is known as _______.
26.10 ______ material is sensitive to radiation.
26.11 Lithography is classified based on the type of radiations, namely, _______
and _______.
26.12 Expand AFM.
26.13 Acronym for SPL
26.14 Expand STM.
26.15 The wavelength of laser beam from KrF is equal to _______.
26.16 _______ is the wavelength emitted by ArF laser source.
26.17 _______ and _______ laser beams are used to obtain the lithography
pattern with a size of 150 nm.
26.18 In particle beam lithography, the resolution depends on larger ______ and
_______.
26.19 The different modes of SPL mechanical method are _______, _______
and _______.
26.20 The AFM tip is treated as _______ and the molecules are treated as
_______ to write the pattern on substrate.
26.21 Expand PVD, CVD and PECVD.
26.22 The sputtering is achieved by _______ and _______ method.
26.23 In CVD, the inert gas like_______, is used as a carrier gas.
26.24 Expand MBE, MOVPE and LPE.
26.25 Molecular beam epitaxy method requires ultra high vacuum. (True/False)
26.36 Engineering Physics

26.26 The high vacuum required in the reaction chamber is not less than _______
m bar.
26.27 Expand CAR.
26.28 Expand BFM.
26.29 Expand RHEED and LEED.
26.30 Expand AES and MBES.
26.31 Gold nanoparticles are synthesised by the reaction of _______ acid.
26.32 The chemical reaction taking place in the sol gel process is _______
and _______.
26.33 The process of coating a metal on template is known as _______.
26.34 The Hall petch relation is equal to
k2 k
a) sy = s0 + b) sy = s0 +
d d
k2 k
c) sy = s0 + d) sy = s0 +
2d 2d
26.35 The relation between hardness and grain size is
k k
a) H = Hi - b) H = Hi +
d 2d
k k
c) H = Hi + d) H = Hi +
d 3d

Key
26.1 10-9 m. 26.2 Quantum dots
26.3 Bottom up 26.4 Top down
26.5 Top down 26.6 Cryogenic liquids
26.7 Softer 26.8 Grinding
26.9 Lithography 26.10 Resist
26.11 Photons, particle beams 26.12 Atomic force microscopy
26.13 Scanning probe lithography 26.14 Scanning tunneling microscope
26.15 248 nm 26.16 193 nm
26.17 KrF, ArF 26.18 Mass, particle velocity
26.19 Scratching, pick-up, 26.20 Pen, ink
pick-down
26.21 Physical vapour deposition, 26.22 dc voltage, RF voltage
chemical vapour deposition,
plasma enhanced chemical
vapour deposition
26.23 Ar or Ne 26.24 Molecular beam epitaxy,
Metal organic vapour phase epi-
taxy and Liquid phase epitaxy
26.25 True 26.26 10-11
26.27 Continuous azimutal rotation 26.28 Beam flux monitor
26.29 Reflection high energy electron diffraction, Low energy electron diffraction
26.30 Auger electron spectroscopy and modulated beam mass spectroscopy
  Nanomaterial Synthesis  26.37

26.31 Chloroauric 26.32 Hydrolysis, Condensation

26.33 Electroplating 26.34 b)
26.35 c)

Short questions

26.1 What is meant by nano?

26.2 Explain Feynman,s statement.
26.3 What are the classifications of nanomaterials?
26.4 What is the dimension of quanter dot
26.5 What is the grain size range of nanostructure materials?
26.6 How the nano materials are clarrified?
26.7 Explain the difference between top-down and bottom-up approach needed
for nano synthesis.
26.8 Compare the relative merits of chemical, physical, biological and hybrid
methods for the preparation of nanomaterials.
26.9 What is the principle behind mechanical milling?
26.10 Explain the principle behind lithography.
26.11 Mention the different types of lithography.
26.12 What is meant by photolithography?
26.13 How to pattern in dip-pin lithography?
26.14 Compare the relative merits of the usage of photons and particles in
lithography.
26.15 Explain the principle behind vapour phase deposition.
26.16 What is meant by chemical vapour deposition?
26.17 What is meant by sputtering?
26.18 Explain the difference between glow discharge and RF sputtering.
26.19 What is meant by plasma enhanced CVD?
26.20 What is the difference between MBE and MOVPE?
26.21 Explain the principle behind MOVPE.
26.22 What is meant by bubblers?
26.23 Explain why MOVPE mehot does not require vacce is sample chapter.
26.24 Mention the applications of MOVPE meet over the methods.
26.25 How is LPE used to obtain nanowire or nanorods?
26.26 What is meant by colloids?
26.27 How is the template used to obtain nanowire or nanorods?
26.28 Explain the difference between self-assembly and self-organizations.
26.29 What is meant by nanosafety?
26.30 How can we store the nanoparticles?
26.31 Why do nanostructured particles find potential applications?
26.32 What is meant by surface induced effect?
26.33 How are nanostructured particles used for health applications?
26.34 What is the relation between properties and applications of nanoparticles?
26.38 Engineering Physics

descriptive questions

26.1 Describe with neat sketch how the nanoparticles are prepared employing
the top-down methods, namely, milling and lithography.
26.2 Explain with suitable diagram, the synthesis of nanostructured materials
using PVD and also reveal the applications by comparing with PECVD.
26.3 What is meant by MBE? Explain with neat sketch the principle, working
and synthesis of nanoparticles using MBE, MOVPE and LPE.
26.4 How is the chemical method different from physical method of synthesis
of nanoparticles? Explain the synthesis of nanoparticles using colloids and
sol gel method.
26.5 Explain with suitable example, the synthesis of nanostructured materials
employing self-assembly, self-organisation and template-based methods.
26.6 Discuss in detail how the mechanical and magnetic properties of nanoma-
terials vary with particle size.
26.7 Describe a technique to synthesize nanophase materials. Discuss their
applications in various fields.
 Chapter

Nanodevices
27

OBJECTIVES
• To discuss the importance of nanostructured materials such as nanomagnets, nano
semiconducting and carbon nanotubes
• To understand the structure of nanomagnets and its properties such as GMR, CMR,
TMR, etc.
• To explore the possible applications of nanomagnetic materials such as data storage
devices
• To study the features of nanostructured semiconducting materials and their device
applications
• To discuss the role of the organic semiconducting materials and their
applications
• To study the preparation, methods, properties and applications of carbon
nanotubes
27.1
i Even though magnetism is one of the oldest and fascinating fields of
n science, nanomagnetism is the forefront field in the nanotechnology
t revolution. The invention of nanoscale phenomenon and the magnetic
structures have opened up new materials and technologies. The modern
r technological devices like electrical power generators, transformers,
o electrical motors, computers, sound and video reproduction systems,
d MEMS and NEMS, etc., depend on the magnetism and magnetic materials.
u The microstructural and magnetic properties are the important features to
be considered for a nanomagnetic materials. The above features depend
c
on the particle size distributions, chemical compositions, crystal defects,
t etc. Nanomagnetism is the study of the ferromagnetic behaviour, when
i their domains are geometrically restricted in atleast one dimension.
o The nanomagnetic materials find potential applications in technology
n and industries like the generation and distribution of electrical power,
biomedical applications, sensors and computers.

In this section, the principles of nanomagnetism, synthesis of nanomagnetic

materials, properties and their applications are given in brief.
27.2 Engineering Physics

27.2 nanomagnets
We know that the magnetic materials are different categories, namely, diamagnetic,
paramagnetic, ferromagnetic, anti-ferromagnetic and ferrimagnetic materials.
The diamagnetism is the fundamental property of atoms or molecules. There is
no permanent dipole moment for diamagnetic materials. The dipoles are oriented
such that the resultant dipole moment tends to be zero. When an external field is
applied, the individual dipoles are related and produce an induced dipole moment.
This induced dipole opposes the applied field. Due to the magnetic interaction
between any two dipoles, they try to align themselves. However, even at small
thermal agitation at room temperature, it disturbs the alignment. Thus, the dipoles
are randomly oriented in such a way that the resultant dipole moment is zero. In
case of paramagnetic materials, the magnetic dipoles are randomly oriented. On the
other hand, in ferromagnetic materials, the magnetic dipoles are equal and aligned
parallel to each other. When a small amount of external magnetic field is applied,
a large value of magnetisation is produced. The ferromagnetic material exhibits
permanent magnetic dipole and hence, it produces a spontaneous magnetisation.
The details of anti- ferromagnetic and ferric magnetic materials are given in detail
in Chapter 20.
Generally, the ferromagnetic materials exhibit hysteresis curve as shown in Fig.
27.1. We know that remanence or retentivity is the remaining magnetisation when the
field is reduced to zero from the saturation field. The coercivity is the field required
to bring magnetisation to zero from resonance.

Bsat
Br
Retentivity

–Hc
H

Coercivity

Fig. 27.1 Hysteresis loop

We know that a ferromagnetic material consists of tiny individual magnetic

domains. A schematic representation of the single and multi-domain ferromagnetic
particles is shown in Fig. 27.2. The magnetic moments of all the components of
atoms or molecules are pointing in the same directions. When an external magnetic
 Nanodevices 27.3

field is applied, the magnetic domains align themselves and the net resultant
magnetic moment is zero. Depending on the direction of the magnetisation by
an applied field, there are two types of magnetic materials, namely, soft and hard
magnetic materials. The soft magnetic materials exhibit low coercivity and high
retentivity, while the hard magnetic materials exhibit high coercivity and low
retentivity.
The study of the behaviour of the ferromagnetic materials when the domains are
aligned in one dimension is known as nanomagnetism. The magnetic properties of the
materials are explained based on the magnetic dipole, which is at the nanoscale length.
The nanomagnetism is not a new invention, rather it is the production of magnetic
materials under controlled condition. Nanomagnets have been synthesised in different
sizes, shapes and materials. The different forms of nanomagnets are zero, 1D and 2D
dimension, while the shapes are dots, pillars, disks, rods, chains, etc.

(a) Single-domain (b) Multi-domain

Fig. 27.2 Ferromagnetic particles- magnetic domain

27.3 classifications of nanomagnetic

materials
Nanomagnetic materials are classified in the following ways based on the process
method:
(i) Particulate
(ii) Geometrical, and
(iii) Layered
Let us discuss the above nanomagnets in the following sections in detail:

27.3.1 Particulate nanomagnets

Particulate nanomagnets are granular solids with one or more phases having magnetic
properties. Particulate nanomagnets are generally prepared employing the rapid
27.4 Engineering Physics

solidification process technique. In rapid solidification, the materials which are in the
molten state (melt) are rapidly transferred into the cold block. The rate of cooling is
in the order of 10 K s–1 and hence, nanophase materials are produced. Generally, one
can produce the nanophase materials employing two different methods using the rapid
solid technique. In the first method, the amorphous phase material is obtained using
the rapid solidification. Then, the material is subjected into necessary heat treatment
to obtain the nanostructure. However, in the second method, the molten melt is first
transferred into the block and then it is cooled slowly to obtain the nanostructures.
During the above process, the nanomagnetic materials properties can be changed
from softest (i.e., low coercivity and anisotropy) to the hard magnetic state (i.e., high
coercively and anisotropy).
The properties of the nanostructured materials depend on the interplay between
the exchange and anisotropy energies. The existence of the exchange forces causes
the magnetic moments of the neighbouring grains to lie parallel to each other by
overcoming the intrinsic properties of the individual grains. A schematic representation
of the nanostructured soft ferromagnet is shown in Fig. 27.3. The small magnetic
grains are represented by a square while the direction of magnetisation in each grain
is shown by a arrows. The direction of magnetisation depends on the exchange length
and is given by,

A
Lex = (27.1)
K1
where A is the exchange stiffness and K1 the anisotropy constant.

Lex

Fig. 27.3 Nanostructured soft ferromagnet

It is clear from the Fig. 27.3. that the direction of magnetisation changes from nano
grains to nano grains. When the local anisotropy is very strong, the magnetisation is
well aligned, while for weak anisotropy it leads to a change in magnetisation with
respect to the direction. The spin alignment of the nanomagnetic materials for weak
and strong local anisotropy energy in interaction with the exchange energy is shown in
Fig. 27.4. Thus, the direction of magnetisation changes gradually by overcoming the
local anisotropy. The resultant exchange length which exists in nanomagnets reveals
the soft nanophase magnetic nature.
 Nanodevices 27.5

Local Lex
easy axes

Lex
Exchange
coupled
Strong anisotropy energy
Lex

M(x)

Distance, (x)

Fig. 27.4 Nanomagnets—exchange length

Some of the examples for the particulate nanomagnets are Fe73.5 B9Si13.5 Nb3Cu,
Nd2 Fe14B, CaCrTa, etc.
Advanced nanomagnetic materials are used for manufacturing the devices like
cordless power tools and miniaturised earphones on portable audio devices. Similarly,
high-efficiency electromotors are under progress employing nanomagnets. In order
to store more energy, a high energy product (BH)max nanomagnet is required, which
facilitates to meet the required applications. The microstructure and the hysteresis
loop of the Nd2Fe14B and FeCu or CoCu doped Nd2F14B nanomagmetic is shown in
Fig. 27.5. The highest value of energy product required for NdFeB type nanomagnet
is 450 KJ m-3.
B

3D coupled system (BH )max

Nd2Fe14B
Nd2Fe14B
Fe
Fe/Nd2Fe14B
(a) Microstructure (b) Hysteresis loop

Fig. 27.5 Nano granular solidas—Nd2 Fe14B

A nanoparticulate magnetic film is grown on a suitable seeding layer as shown

in Fig. 27.6. The seeding layer with close pakced direction is first grown with small
grain size using CoCr. The functional layer i.e., CoCrTa is grown over the textured
seed layer. The functionalised layer is grown with nanostructured phase. These films
are used for recording media.
27.6 Engineering Physics

CoCrTa
nanostructured film

CoCr columnar base layer

Fig. 27.6 CoCrTa nanostructures on CoCr base layer

27.3.2 geometrical nanomagnets

In nanotechnology, the self-assembly is one of the techniques used to obtain the
nanostructured materials on a base layer. For example, in lithography, a mask is
formed on a polymer resist. A pattern of magnetic islands is retained after etching or
lift off. Similarly, nanoparticles can be self-assembled on a template which consists of
base materials. When nanoparticles are self-assembled through surfactant and ligand
structures, it covers larger area. The ligand lengths control the spacing between the
nanoparticles. The energy products of self assembled nanoparticles are very high.
The self assembled nano permanent magnets find potential applications in micro and
nano electro mechanical systems (MEMS and NEMS) and data storages. In view
of the existence of excellent nano scale magnetic properties, these are geometrical
permanent nanomagnetic materials.
In geometrical permanent nanomagnetic materials, the shape anisotropy is such
that it produces the hard magnetic properties. The magnetic particles are elongated
perpendicular to the direction of the applied field and a normal structure along the
direction of the field. Due to the shape anisotropy, the geometrical nanomagnets like
Alnico are not important as that of NdFeB nanomagnets. Recently, the nanomagnetic
materials are coated with biological macromolecules by nano encapsulation for drug
delivery and cancer treatments. Thus, the nanomagnetic materials are used for smart
diagnostic systems.

27.4 magneto resistances

Magneto resistance is the property of a material to change the value of its electrical
resistances under the influence of an external magnetic field. This effect is called
Ordinary Magneto Resistance (OMR). It was first discovered by William Thomson
in 1856. He failed to lower the electrical resistance beyond 5%. In recent years,
the electrical resistance has been reduced beyond 5% employing new materials,
namely, Giant Magneto Resistance (GMR), Colossal Magneto Resistance (CMR),
and by changing the sample magnetisation in magnitude or direction known as
 Nanodevices 27.7

Tunneling Magneto Resistance (TMR). With the development of nanomagnetic

materials with granular solids or multilayer, the electrical resistivity has been
reduced considerably. In the following section, a brief description about the above
three effects are given.

27.4.1 ordinary magneto resistance

The effects of Ordinary Magneto Resistance (OMR) in a material can be explained
by considering the corbino disc. The corbino disc consists of a conducting annual
with perfectly conducting rims as shown in Fig. 27.7. The battery drives a current
between the rims in the absence of an external magnetic field. When a magnetic field
is applied, the Lorenz force drives a circular component of current. Thus, it increases
the resistance between the inner and outer rims. The increase in resistance due to the
magnetic field is known as magneto resistance.

Ip

I0

ri
ro

– +

Fig. 27.7 Magneto resistance

27.4.2 giant magneto resistance

Giant Magneto Resistance (GMR) is the phenomena in which a significant change
(>5%) in electrical resistance occurs due to the change in magnetisation direction
or magnitude. The new class of materials which exhibits GMR consists of normal
metal and ferromagnetic layers. The general structure of the GMR is shown in Fig.
27.8. The electrical conductivity depends on the orientation of the magnetic field
applied to the GMR materials. One can apply the external current in two different
ways. i.e., current is parallel to the plane of layers (CIP) or current is perpendicular
to the plane of layers (CPP) as shown in Fig. 27.8. In CIP mode, the materials will
have high resistivity, while in CPP mode, they have low resistivity. Hence, CIP
geometry of the GMR offers higher resistance than CPP geometry. Some of the
GMR materials which exhibit this property are transition metals (example, iron)
and noble metals (example, silver).
27.8 Engineering Physics

Applied
field
direction
Applied
field Ferro magnetic
direction layer
Ferro-
magnetic
Normal metal layer
Normal metal

(a) CIP in plane (b) CPP current in perpendicular plane

Fig. 27.8 Giant magneto resistance

27.4.3 tunneling magneto resistance

Tunneling Magneto Resistance (TMR) is an another form of magneto resistance device
which relies on electron tunneling through oxide barrier between two ferromagnets.
The schematic structure of a spin valve is shown in Fig. 27.9. The layer 1 is the
antiferromagnetic layer, i.e., FeMn, while the layer 2 is the pinned soft magnetic layer,
i.e., NiFe. The third layer, a copper spacer layer separates the pinned soft magnetic
layer 2 and the free soft magnetic layer 4 (i.e., NiFe). Thus, the two ferromagnetic
layers 2 and 4 are separated by an insulating tunnel barrier. When the spin flip scattering
length is greater than the barrier width, the electrons will tunnel across the barrier.
Therefore, when a large density of states is available on both sides of the barrier, it
gives a low resistance across the barrier.

NiFe layer

Tunnel barrier
4

3 NiFe layer

2 FeMn layer

Fig. 27.9 Structure of a spin value

Recently, very thin insulating layer has been used as a tunnel barrier between the
two ferromagnets. Generally, the insulating layers are fabricated by growing an Al
layer first and thus oxidising the same into Al2O3. Therefore, by growing a suitable
oxide layer which is antiferromagnetic, one can destroy the spin polarisation. The
transistion metal oxides are used for the formation of tunnel functions, which gives the
high transistion temperatures. The overall resistance of the TMR device is much higher
 Nanodevices 27.9

than GMR. Further, the two magnetic materials in TMR are not coupled magnetically
and hence, the junction remains in one configuration. The TMR materials are good
candidate for Magnetic Random Access Memory (MRAM).

27.5 Probing nanomagnetic materials

We know that scanning electron microscopes (SEM) are used to obtain the topology
of the solid samples. Nanomagnetic materials play an important role in scanning
probe microscope. In atomic force microscope (AFM), a tip is used either in contact or
noncontact mode to obtain the topographical information of the sample. In non contact
mode, the AFM tip is not in contact with the sample, while in contact mode, the tip is in
contact with the sample. A magnetic force microscope (MFM), which is an analog to AFM,
consists of the tip coated with soft or hard (i.e., FeBBic or CoCr) magnetic materials.
In contact mode MFM, the tip scan takes a line scan to obtain topographical
information and thus, rescan the sample. Thus, it gives a complete magnetic contrast
of the sample. When the magnetic top is in contact with the sample, the Van der
Waals forces dominate over the magnetic forces, and this results in the patterning of
the topography of the sample. When the tip is at far distance, a magnetic interaction
between the tip dipole moment and the stray field from the sample are obtained. The
principle of working of MFM is shown in Fig. 27.10.
An external magnetic field is used to magnetise the sample which gives rise to
stray fields above the sample plane in the vertically upward direction. The tip coated
with the magnetic materials is magnetised in the downward direction. As a result,
the tip will notice an attraction at A and repulsion at B leading to a contrast magnetic
topographical image of the sample. The MFM images are used to study the magnetic
tracks and data bits of the sample.
Si cantilever

Etched Si tip coated with magnetic material

A B A B

Fig. 27.10 Magnetic force microscope—principle

27.6 nanomagnetism in technology

Some of the application of nanomagnetism in technology are given below:
(a) Storage The most important application of nanomagnetism is in memory
technology. The advent of nanomagnetism in memory technology leads to cost reduction
with the development of ever faster, more compact and less power consuming memory
systems with greater storage capacity. The benefit of nanotechnology results in decrease
27.10 Engineering Physics

in physical size of each bit leading to an increase in storage density. One can generate a
new generation magnetic hard disk employing the nanomagnets wherein the size of data
bit has been reduced to less than 300 nm ¥ 15 nm from the original 10 mm ¥ 0.7 mm. A
schematic representation of the nanomagnetic materials which demonstrate the storage
capacity on a nano bit of different surface area is shown in Fig. 27.11. Very recently, it
was demonstrated by IBM computers that the nanomagnetic compact disc (nano CD)
can store data equivalent to 1000 CD’s capacity (i.e, 700 MB ¥ 1000 = 700 GB).

100 Gb/in2 500 Gb/in2 1 Tb/in2 10 Tb/in2

nano bit

8 nm
80 nm 36 nm 25 nm
40 nm

Fig. 27.11 Storage capacity—nanomagnets

(b) Recording Head During the magnetic recording, a change in the direction of
magnetisation is stored in the storage medium. The data stored on the magnetic bit is
sensed by a magnetic read/ write head based on the magnetoresistive effect. Thus, the
storage media requires a very high coercive force and saturation magnetisation, while
the read/ write head requires high data rates with high permeability. These constraints
are overcomed by nanomagnetic materials particularly GMR materials.
We know that GMR nanomagnets are used as recording head. In GMR, the material
size required per bit has been dramatically reduced in addition to the reduction in the
memory access time from milliseconds to nanoseconds. Due to the shrinkage in the
dimension of the GMR materials, the signal to noise ratio is reduced considerably.
(c) High Power Magnets We know that a decrease in grain size and an increase in
surface area of the grains leads to an increase in coercivity and saturation magnetisation
reduces. This in turn increases the magnetic strength of the materials. Hence,
nanomagnetic materials possess fascinating magnetic properties giving rise to potential
applications like quiter submarines, automobile alternators, power generators, ultra
sensitive analytical instruments, etc.,
(d) High Sensitive Sensors Sensors are used to measure the change in parameters
like electrical resistivity, chemical activity, magnetic permeability, thermal conductivity,
capacitance, etc. All the parameters depend on the microstructure, i.e., grain size of the
materials used for sensors. Thus, the sensors are very sensitive to the change in the above
parameters. For example, when a sensor notices a change in environment either in chemical
or physical or mechanical parameters, it is detected by the sensors. These characteristic
changes on the sensors are exploited suitably and measured. For example, sensor which
is made up of zirconium oxide is used to detect the presence of carbon monoxide, known
 Nanodevices 27.11

as carbon dioxide sensor. When the sensor environment detects the carbon monoxide, the
oxygen atoms in zirconium oxide react with the carbon in carbon monoxide and reduce it
to zirconium oxide. The above chemical reaction changes to sensors characteristics, i.e.,
conductance/resistance and capacitance of the sensors. The change in the conductance or
resistance is used to explore the presence of carbon monoxide employing suitable electric
devices. Thus, the sensitivity of the sensors depend on the nano grain size and the surface
area of the nano grains. The potential applications of sensors are used to detect smoke,
the performance of automobile engine, and ice on aircraft wings, etc.
(e) Biomedical Nanomagnetic materials find wide application in biomedicine.
Nanomagnetic particles with size ranges from 10 to 500 nm have been used as contrast
agents to obtain the magnetic resonance imaging (MRI). These nanomagnetic materials
have been coated along with suitable chemically neutral materials to prevent the
reaction with body fluids. Other important applications of nanomagnetic materials are
drug-delivery. The nanomagnetic materials are first laced with drug molecules. The
drug molecules coated nanoparticles travel into different organs. The nanoparticles
are steered by means of external magnetic field gradients to reach the desired parts of
the human body. This technique is known as targeted drug delivery technique which
finds applications like cancer treatment. The schematic representation of the creation
of a viral nanosensor is shown in Fig. 27.12. The magnetic nanoparticles are covered
with antibodies. These particles are injected into the body, which in turn interact with
the body fluid or tissue. The nanoparticles coated with antibodies bind to the Virus
and create the clusters as shown in Fig. 27.12. These clusters are identified when the
body is scanned through MRI or NMR scans.

(a) Magnetic nanoparticles (b) Viruses in body (c) Nanoparticle bind to viruses,
Covered with antibodies fluid on tissue creating clusters visible on a
MRI or NMR scan

Fig. 27.12 Viral nanosensor

In view of the excellent magnetic properties, the nanomagnetic particles show
potential application in different areas like storage, sound record / reading heads,
biomedical, sensors and electronic industries. Thus, the opportunities as well as the
challenges in nanomagnetic materials are every increasing.

27.7 APPLICATIONS OF SEMICONDUCTOR

NANOSTRUCTURES AND DEVICES
The applications of nanostructured materials and particles are ever increasing in almost
all areas of technology and industries. The semiconductor nanostructured materials
are useful for the development of organic semiconductor products. The nanostructured
semiconductors are used to produce the devices like injection lasers, quantum cascade
27.12 Engineering Physics

lasers, optical memories, electronic applications and coulomb blockade devices.

Similarly, the other products which are developed are organic field effect transistors,
organic light emitting devices, organic photovoltaics, organic photoconductors and
laser printers.
In this chapter, the future applications of semiconductor nanostructured materials
and devices are discussed in brief.

27.8 APPLICATIONS OF SEMICONDUCTOR

NANOSTRUCTURE
The practical applications of semiconductor nanostructures are discussed and
demonstrated briefly.

27.8.1 Injection Lasers

Semiconductor injection laser system is used to convert electrical energy into light
energy with high efficiency. It has a long period of operating lifetimes. Generally,
injection lasers are used in data transmission, storage, printing and medicine. A
laser is an optical oscillator and its working is based on the principle of population
inversion. The population inversion is achieved in a forward biased p-i-n structure
where large number of electrons and holes are injected into the intrinsic region. Thus,
it creates a sufficient density of electrons and holes. The required gain is achieved by
the injection of current. The gain is proportional to the density of the occupied states
and it will increase with increase in carrier density. When a nanostructured material
is used in the emitting region of a laser, it leads to significant improvements in its
performance. The limitation of the semiconductor lasers, at are overcome employing
a nanostructured semiconductor by the modification of the density of the states with
a nanostructure. The electron and hole distribution in the conduction and valence
bands of a bulk semiconductor laser at absolute zero and non-zero temperature is
shown in Fig. 27.13.
Energy

Gain Gain
Eg
gth gth

(a) Absolute temperature (b) Non-zero temperature

Fig. 27.13 Bulk semiconductor laser

 Nanodevices 27.13

When the energies are low, the density of the state increases with respect to the
higher energies. Thus, it reduces the threshold current and its sensitivity with increase
in temperature. The energy of the carrier remains same at all temperatures in quantum
dot as it consists of both only electron and hole states. Therefore, there is no state
available for excitation. In such a case, it emits laser with very low and temperature
insensitive threshold current.
The potential applications of nanostructures have been undertaken after the
theoretical analysis of ideal systems. The dependence of current density with
variation in the gain for different nanostructured dimensionalities and the temperature
dependence of threshold current are given in Fig. 27.14.
The nanostructured materials with different dimensionalities reveal an increase in
current as shown in Fig. 27.14a. It is also evident from Fig. 27.14b, that the threshold
current of different nanostructure dimensionalities depends on temperature. The
temperature dependence on the threshold current density of a semiconductor laser is
given as,

Jth = J°th exp (T/To), (27.2)

where J°th is the threshold current density at 0°C, and To a parameter which determines
the temperature sensitivity.

10 000 Quantum dot 1.8 Quantum dot

Normalised threshold current

Quantum 1.6 Quantum

1000 wire wire
Quantum 1.4 Quantum
Gain (cm–1)

well well
100 1.2

Bulk 1.0 Bulk

10
1.8

1.6
10 100 1000 10 000 –40 –20 –0 –20 –40 –60
Current density (A cm–2) Temperature (°C)
(a) Gain Vs current density (b) Threshold current
Vs temperature

Fig. 27.14 Variation of gain and threshold current—injection laser

From Fig. 27.14b, it is clear that as the dimensionality decreases from bulk to
quantum dots, the threshold current density decreases. For example, the threshold
current densities of 1050, 380, 140 and 45 A cm–2 have been obtained for bulk, quantum
wells, quantum wire and quantum dot respectively. The quantum dot laser has been
made based on self assembled dots. These lasers offer number of advantages like
low threshold current density, high temperature stability, high maximum modulation
frequency, etc. Similarly, the quantum wire laser has been fabricated with limited
27.14 Engineering Physics

performance. A typical InAs quantum dot laser operates at the telecommunication

band of 1.3 µm with a prospect for device operation at 1.55 µm band. In recent years,
the data storage devices like CD/DVD and fiber optic data transmission are produced
employing semiconductor laser band quantum wells. The self assembled quantum
dots are used for the laser productions.

27.8.2 Quantum Cascade Laser

Conventional semiconductor lasers are based on interband transition which emits
electromagnetic radiation through the recombination of electron hole pairs and are
called as bipolar. In bulk semiconductor crystals, the two energy bands are separated
by an energy band gap in which there are no permitted states available for electrons
to occupy. Interband transitions emit a single photon during the recombination of an
electron and hole respectively from the conduction and the valence band. In this laser,
the spectral range changes from the near infrared to the violet, i.e., from 2.0 to 0.4
mm. It is more difficult to obtain a laser in the operating range of region between 2
to 100 mm due to the small band gap energy.
Quantum cascade laser, a new type of semiconductor laser has been developed,
which emits in the infrared region of the electromagnetic spectrum. Quantum cascade
lasers are intraband unipolar devices. The laser emission is achieved employing
intraband transition in a repeated stack of semiconductor superlattices. In quantum
cascade structures, electrons undergo intraband transition between confined quantum
well conduction band states and hence, photons are emitted. A typical band structure
of a quantum cascade laser is shown in Fig. 27.15. Quantum cascade lasers are
typically based upon a three level system. However, in a unipolar quantum cascade
laser, the electron which undergoes an intraband transition emits photon in one period
of the super lattice. Then, the emitted photons can tunnel into the next period of the
structure which results in the emission of another photon. Thus, the process of a
single electron causes the emission of multiple photons when it travels through the
quantum cascade laser structure. Hence, this laser is named as cascade laser. The
gain provided by a single stage is not sufficient to overcome the losses. Therefore,
the electrons are cascaded down with multiple stages of the cascade structure to over
come the losses.

B
Minigap
3

2
1 Miniband

Superlattice Active Superlattice

region

Fig. 27.15 Quantum cascade laser-band structure

 Nanodevices 27.15

The wavelength of laser emission ranges from 3.5 to 106 µm has been obtained
employing number of quantum cascade lasers. A continuous room temperature
operation has been demonstrated at 6 and 9.1 µm, while the laser operations are
under pulsed mode. When the laser is operated continuously at room temperature, it
generates heat to the large threshold current densities. Due to this in-efficiency, the
electrons are being wasted and get excited out from the upper lasing state.
The high optical power output, tuning range and room temperature operation makes
quantum cascade lasers as a useful one for spectroscopic applications such as gas
monitoring pollutants monitoring in atmosphere, free space communication systems
and medical diagnostics such as breath analyses.

27.8.3 Optical Memories

In recent years, quantum dots are used as a high density memory system to store the
charges. One can use both optical and electrical reading/writing to store and restore
the charges. Thus, it provides a solid evidence to replace the electronic random access
memory (RAM) used in the present day computers. The multiple dot self-assembled
quantum dots layer increases the storage density area to tenfold as that of the self-
assembled quantum dots storage area of 1×1011 cm–2. For memory applications, the
homogeneous broadening of the quantum dots facilitate to store very high energy and
also turned to the laser light for emission energy.
One can use an alternate scheme of type II quantum dots, i.e., GaSb dots grown
on GaAS as shown in Fig. 27.16. It consist of one carrier, i.e., positive charge, which
repels the fraction of hole from a two dimensional hole gas (2DHG) which is parallel
to the quantum dot layer.
Blocking
barrier
Contact

+++
QDS
2DHG

Fig. 27.16 Quantum dot memory device-band structure

The band structure of InAs self-assembled quantum dots memory device is shown in
Fig. 27.16. When an electric field is applied, the electrons escape from the dots while
the holes are prevented from the escape due to the large barrier placed to the left of the
dot as shown in Fig. 27.16. It is possible to store charge in the dots for more than 8 h
at a temperature of 145 K. At higher temperature, the storage time decreases, where
the holes may be thermally excited out of the dots. The homogeneous broadening of
the dot transition appears to prevent the optical writing to individual dots due to the
thermal excitation and temperature influence.
27.16 Engineering Physics

27.8.4 Impact of a Nanotechnology on Conventional

Electronics
According to Moore’s law, which states that the power calculation has been increased
in the revolution of information, the development of transistors in an integrated circuit
or microprocessor has been increased tremendously. When an electron and a hole are
trapped in a quantum dot, a recombination radiation is possible within a time scale of
less than 1 ns. This is too short when compared with any practical memory systems.
The necessary electrons and holes are created in quantum dots by optical excitation.
100 000 000

10 000 000
Transistor number

1 000 000

100 000

10 000

1000
1970 1980 1990 2000
Year
Fig. 27.17 Moore’s law- Growth of transistors

The doubling in the number of transistors in a microprocessor for a span of

every 26 month is shown in Fig. 27.17. At the same time, it also demonstrates the
reduction in component size. It is clear from Fig. 27.17 that the increase in the
transistors number increases the operating frequency of the microprocessor from
1 MHz to 3 GHz. It is evident from the Moore’s law that the transistors are soon entering
into the nano scale. At present, the fabrication and operation of the electronic components
will be scaled down from larger sizes to nano scale size. Moore’s law will continue for
the next two decades with the inclusion of application of nanotechnology concepts.

Gate Poly-Si

Source
Drain

n-type
SiO2 SiO2
p-type

Lgate

Fig. 27.18  Metal oxide semiconductor field effect transistor

 Nanodevices 27.17

The metal oxide semiconductor field effect transistor (MOSFET) is used in

microprocessor as shown in Fig. 27.18. The current is carried out between the drain
and source contacts by the free carriers, either electrons or holes respectively, in the
n-type (NMOS) or p-type (PMOS) device in the channel. A gate which is placed above
the channel is the third contact. The flow of current between the gate and the channel is
prevented by a thin SiO2 insulating layer. Current conduction occurs between the source
and the drain. One can obtained the basic switching action of the transistor by changing
the gate voltage. The insulating SiO2 is used to isolate from the neighboring devices. It
is also used to reduce the size of the switching voltage. The metal gate of a MOSFET is
replaced by polysilicon. A reduction in the gate length reduces the MOSFET size and
hence, one can reduce the gate length if Moore’s law holds until 2018. One can use the
lithographic process to reduce the size of a given wavelength. The immersion lithography
technique is used to decrease the size of the MOSFET. According to International Road
map for semiconductors 2003, a microprocessor will contain approximately 9 billion
transistors with 10 nm gate lengths at an operating frequency of 28 GHz.

27.8.5 Coulomb Blockade Devices

The schematic diagram of the structure of Coulomb blockade oscillations for a
small bias voltage applied between the left and right reservoir is shown in
Fig. 27.19. The applied gate voltage controls the current flow of the reservoir as
indicated in Fig. 27.19.
N+1

eV

Fig. 27.19 Coulomb blockade oscillations – Quantum dot

This is similar to the transistor action. The transfer of current between the reservoir takes
place due to the transport of one electron and the quantum dot. Therefore, the Coulomb
blockade device is known as single electron transistor device. It is used to increase the
resistance at a small bias voltage which comprises of at least one low capacitance tunnel
junction. Further, it provides the possibility to be used as a single electron memory
cell. A simple way of writing is the transfer of an additional electron. Then, it leads to a
modification in the gate voltage due to the presence of additional electrons.
Coulomb blockade effects can be observed in any conducting system of suitably
small size. However, silicon-based devices are required for good compatibility with
existing electronics. Once can notice the Coulomb blockade when the charging energy
is greater than the thermal energy. The silicon based devices with dot size of 10 nm
operate at room temperature. The devices which are fabricated well below the size
using the lithography can be used to operate at low temperatures. The devices fabricated
using the above techniques have been successfully applied for memory operations.
27.18 Engineering Physics

27.9 ORgANIC SEMICONDUCTOR MATERIALS

DEVICES
Some of the synthetic metals which are used as organic semiconductor materials
are polyacetylene (PA), polydiocatylene (PDA), polyaniline (PANi) and poly (3, 4–
ethylene dioxythiophene (PEDOT). These materials are organic semiconductors in
their pristine state. The above synthetic metals become quasi-metallic when a dopant
is added. In order to obtain a highly conductive PEDOT/ PSS complex, PEDOT is
acid doped with polystyrene sulfuric acid (PSS).

27.9.1 Organic Field Effect Transistors

The organic field effect transistors (FET) are used to produce low performance
integrated circuits based on organic materials. One can fabricate low cost and better
quality devices, by employing the organic materials.
A schematic representation of a FET with bottom-gate architecture is shown in
Fig. 27.20. A drain or source-drain voltage VD is applied between the source (S)
and the drain (D). The applied voltage drives a current through the semiconducting
transistor channel. When a mobile charge carrier present in the channel gives the drain
current ID, the carriers are extracted from the source by a gate voltage VG into the
semiconducting channel. The above carriers do not reach the metal gate since the gate
dielectric is an insulator, i.e., dielectric material. Hence, it forms an accumulation layer
at the channel-insulator surface. When a potential VG is applied, the semiconductor
channel gets doped and it is reversed quickly when VG is switched off. Hence, FET is
known as an electronic switch. One can switch on the OFET by applying VD and VG
of equal polarity opposite to the sign of the mobile carriers. Therefore, OFETs can
easily determine the type of carrier in a material. When a positive VG is applied, the
transistor is switched on by VD and hence, the carriers are negative, i.e., electrons.
Similarly, when a negative VG, is applied, the carriers are positive, i.e. holes. The high
work function metals such as PEDOT/ PSS are used to minimise the injection barriers
from source to the semiconductor for hole channel semiconductors. Similarly, the low
work function metals, such as Ca, are used for the electron channel semiconductor.

VD

Source (metal) Drain (metal) Semiconductor

channel
Gate insulator
Gate (metal)
Substrate

VG

Fig. 27.20 FET with bottom gate architecture

 Nanodevices 27.19

The logic circuits require large number of transistors which are obtained based on the
principle of inverter. For example, a simple inverter is formed by using two FETs.

27.9.2 Organic Light Emitting Devices

We know that CRT are bulky and consume large amount of energy. On the other
hand, LCDs are passive devices which require backlighting and also suffer from poor
viewing angle. All the drawbacks of LCDs and CRTs are overcome employing the
organic light emitting devices (OLED).
During fluorescence, excitons are created by the absorption of light before
fluorescing, while in electroluminescence, excitons are created by electron and hole
polaron capture. The injected polarons migrate towards each other to form excitons
through the electrodes. These excitons decay to emit the light source. The basic
architecture of an organic light emitting device is shown in Fig. 27.21.
Electric drive circuit

Cathode
Organic
semiconductor

Anode

Substrate

Light out

Fig. 27.21 OLED architecture

The bipolar carrier injection can induce the excitons in a semiconductor. The
electrons and holes are injected into semiconductor regime through the electrodes
which are connected to an electric circuit. The negative electrode known as cathode
induces electrons while the positive electrode known as anode induce holes into
semiconductors. The combination of anode and cathode produce electrons hole, i.e,
polarons. In OLEDS, high work function anode and a low work function cathode are
used as polar injector electrodes. Thus, different metal electrodes are used as source
and drain electrodes. One can use the forward and a reverse bias for OLED operations.
For example, electrodes like ITO anode and magnesium cathode are used as injectors
for OLED. It is very difficult to achieve ohmic, i.e., (barrier free) injection at both
electrodes, which is the breakthrough towards the efficient organic energy level
devices.
Organic were successfully used to generate barrier free injection which consists of
hole transporting layer (HTL) and an electron-transporting layer (ETL). This double
transporting layer has the necessary band gap (2.5 eV) for the free conduction of
electrons and holes from electrodes to organic semiconductor and it can reduce the
barrier resistance and band gab energy in organic semiconductors. The energy level
diagram of the double layer device using an ITO anode and a magnesium cathode is
shown in Fig. 27.22.
27.20 Engineering Physics

Vacuum level

2.7

3.2
3.7
2.5 eV Mg
4.7 2.5 eV
ITO
5.2
Energy (eV) 5.7

Fig. 27.22 Energy level diagram—double layer device

Exciton Formations We know that electron and hole polarons injected into the
device combine into excitons which emits light. In order to form the exciton in a
multilayer, it has to overcome an internal barrier at the HTL-ETL interface. Thus, to
form the excitons it requires certain amount of energy. The exciton binding energy
(Eb) lies between 0.1 – 0.3 eV. The formation of exciton requires certain amount of
energy in the form of binding energy which is given by,

hEL =
(s s / s T )
hPL (27.3)
ss / sT + 3
where ss and sT are the polaron capture cross-sections for singlet and triplet exciton
formulation, respectively. Thus, one can maximise the amount of light generated
from the excitons by an appropriate selection of materials with high luminescence
quantum yield.
In organic semiconductor, these radioactive decays are under in chain process.
Energy (Ef) is required to transfer the polarons and excitons though the hole of
semiconductor regime. When the binding energy Eb is less than polarons transfer
energy, the semiconductor emits light weakly. On the other hand, if Ef > Eb, the
semiconductor forms excitons and hence, it emits the light simultaneously. In order
to remove the unwanted non-emissive excitons in OLED and hence to improve
the efficiency, there are several methods used. Some of the most ideal methods are
singlet excitons formation, use of dendrons with a conjugated core surrounded by
non-conjugated dendrimers, etc.

27.9.3 Organic Photovoltaic

Reverse electro luminescence is the basic mechanism for photovoltaics. When a
semiconductor absorbs photons, it leads to the production of a exciton. Thus, the
exciton is separated into electron and hole polarons. The separated electrons and
hole polarons are migrated into opposite electrodes through an external load circuit.
In order to achieve exciton separation, the internal field available in a semiconductor
should overcome the electron hole coulomb interaction.
A schematic representation of the formation of a conventional inorganic
photovoltaic semiconductor device is shown in Fig. 27.23. It consist of a thick
 Nanodevices 27.21

n-doped layer above which there is a thin semi-transparent p-doped inorganic

semiconductor. Thus, a rectifying p-n junction is formed between p- and n- layer. As
a result, the depletion layer is formed with a few charge carriers resulting in a high
resistivity and internal field. When a light is incident on the photovoltaic device, an
exciton is created due to the absorption of photons at the p-n junction. Due to the
existence of strong internal field, the carriers will recombine through the external load
R, when it is smaller than the depletion layer.
Light

p
Load
R

Fig. 27.23 Inorganic semiconductor photovoltaic diode

The I/V characteristic of the photovoltaic diode under dark and light illumination
is shown in Fig. 27.24. V is positive during the forward bias and current flows from p
to n, and when it is negative, then a current flows from n to p. When p and n terminals
are shortened (R = 0), and the diode is exposed to illumination, a current will flow
due to the photo generated carriers. The above short circuit current will be moved
downwards when compared with current under forward bias.
Reverse bias I Forward bias

Dark UOC U

ISC
Illuminated Working point

Fig. 27.24 Characteristics of p-n junctions with and without illuminations

One can obtain the power of the photovoltaic cell from the area of the shaded
portion. For a particular voltage, the power delivered by the cell is maximum, which
27.22 Engineering Physics

can be obtained from the fill factor. The fill factor is an important characteristic of
a photovoltaic cell. The efficiency of photovoltaic cell is calculated from the ratio
between number of carriers generated and the number of photons absorbed.
Pout
hp = (27.4)
Pin
The main problem in case of organic semiconductor diodes is the short diffusion
lengths. The excitons are separated into carriers only when they are created near the
p-n interface, i.e., at a diffusion radius of nearly 5 nm. The excitons produced further
away from the interface will recombine only under fluorescence but will not provide
any current. This is the only problem in inorganic semiconductors. One can overcome
the problem of these short diffusion lengths by using organic semiconductors.

27.10 CARBON NANOTUBES

The unique nature of the carbon bond in organic molecules of life leads to interesting
nanostructures particularly, carbon nanotubes (CNT). One of the more interesting
nanostructures with huge potential applications is the carbon nanotube. The main
interest in CNT is due to the existence of exotic properties like very low specific
resistivities in metallic carbon nanotubes and high hole mobilities for semiconducting
nanotubes. The carbon nanotubes are formed by rolling the graphite (or graphene)
sheet into tubes with the bonds at the end of the sheet. These bonds are used to close
the tube. Generally, the carbon nanotubes are formed in the range of 2 to 10 nm in
diameter and a length of 100 mm.
Let us discuss briefly the different types, synthesis, properties and applications of
CNT in detail in the following sections.

27.11 TyPES OF CARBON NANOTUBES

One can obtain the carbon nanotube by folding the graphite sheet as shown in Fig.
27.25. During the folding of the graphite sheet, concentric cylinders can be formed as
a nanotube. These concentric nanotubes are known as multi-wall carbon nanotubes
(MWCNT). The MWCNT walls are separated by a small distance of 0.3 nm. The
MWCNT is the most common and easily formed. One can obtain the single wall
carbon nanotubes (SWCNT) under specified conditions.
Folding Folding

(a) Rolling of carbon sheet

 Nanodevices 27.23

Single wall (SW) Multi wall (MW)

(b) Carbon nanotubes

Fig. 27.25 Schematic representation of carbon nanotubes

Even though the carbon nanotubes are not formed by rolling the graphite sheets,
one can explain the different structures of CNT by considering the way in which
the graphite sheet might be rolled into tubes. In order to explain the three different
structures of CNT, let us consider the structure of graphite sheet as shown in
Fig. 27.26.
T

(n, o)

a1 ( Ch )

a2
(n, m)

Fig. 27.26 Graphite sheet with various directions and cells

When the graphite sheet shown in Fig. 27.26, is rolled up about an axis T, the CNT
is formed. The circumferential vector is at right angles to T. By rolling the graphite
sheet about the T vector at different orientations, three different CNT structures can
be obtained. When the vector T is parallel to the C—C bonds of the carbon hexagons,
a structure known as armchair structure is obtained. By rolling the graphite sheet at
different orientation about a T vector, the zigzag and chiral structures are obtained.
In both cases, the T vector is not parallel to C—C bonds. The arrangement of carbon
atoms in three different structures are different and are shown in Fig. 27.27.

(a) Arm chair structure

27.24 Engineering Physics

(b) Zigzag structure

(c) Chiral structure

Fig. 27.27 Structure of CNT

During the formation of CNT, it gets capped at both ends with hemispheres of
fullerenes. One end of the SWCNT consists of metal particles which reveal the catalytic
role of the metal particles for the formation of CNT. In addition to the above three
types, there are many other CNT shapes like ropes, springs, conical shapes, bamboo
structures, etc.

27.12 SyNThESIS OF CARBON NANOTUBES

Carbon nanotubes are synthesized by three different methods, namely, laser
evaporation, carbon arc and chemical vapour deposition. Even though different
methods are available for the synthesis of CNT, the laser ablation and chemical
vapour deposition methods have been optimised for the good quality of CNT and
an increased yield. A brief discussion on the synthesis of CNT employing the
electric arc discharge, chemical vapour deposition and laser ablation are given in
the following section.
(i) Electric Arc Discharge The electric arc discharge experimental arrangements
used to produce the carbon nanotubes are shown in Fig. 27.28. The graphite rods with
a diameter of 5 to 20 mm have been used as electrodes. The two electrodes are fixed
in the discharge chamber by separating them at a distance of 1 mm. The discharge
chamber is evacuated and filled with helium gas at a pressure of 500 torr, which
helps in forming the CNT. A potential of 20–25 volts is applied across the electrodes.
The central region of the chamber reaches temperature in the order of 3273 K. The
necessary cooling arrangements have been made to control the temperature inside
the chamber.
 Nanodevices 27.25

Gas inlet

� +

To vacuum

Fig. 27.28 Electric arc discharge CNT

When the potential is applied to the electrodes, the carbon atoms are ejected from
the positive electrodes while the nanotubes are formed on the negative electrodes.
Thus, the nanotubes are aligned in the correct direction between the two electrodes.
Due to the formation of the nanotubes, the length of the positive electrode decreases
and hence, carbon dioxide is formed on the electrode. By incorporating a small amount
of cobalt or nickel or iron, as a catalyst in the central regions of the positive electrode,
one can produce single wall carbon nanotubes. On the other hand, if no catalysts are
used, it produces multiwall carbon nanotubes. The electric arc method can produce
the nanotubes of diameter 0.7 to 5 nm with a length of few micrometers.
(ii) Chemical Vapour Deposition The chemical vapour deposition (CVD) is used
to produce large quantity of nanotubes. The experimental set-up used for synthesising
the CNT by CVD is shown in Fig. 27.29. During this process, the hydrocarbon gas is
decomposed at certain conditions. A high temperature vacuum furnace with a provision
to maintain the inert atmosphere inside the furnace is used for producing the nanotubes.
The solid substrate which contains catalyst like cobalt, nickel and iron is kept inside the
furnace. The gas like methane is passed into the furnace which is kept at 1373 K and
hence, the decomposition of the methane gas takes place. The decomposition of the gas
produces carbon atoms and is allowed to condense on a cooler substrate which contains the
catalyst. The catalyst plays a dominant role in forming the nanotubes. The above process is
continuous and hence, it produces the nanotubes continuously. The purity of the nanotubes
produced by this method is very high as compared to other methods. As the method is a
continuous one, the same can be scaled up for mass productions of nanotubes.

Substrate C2H2
Furnace
N2

Vacuum
pump

Fig. 27.29 Chemical vapour deposition- CNT

(iii) Laser Ablation The experimental arrangement used for the synthesis of CNT
employing the laser ablation is shown in Fig. 27.30. A quartz tube which contains the
graphite target is kept inside the high temperature muffle furnace. The quartz tube is
filled with argon gas and heated to 1473 K. A water cooled copper collector is fitted
at the other end of the tube as shown in Fig. 27.30. The target materials graphite
27.26 Engineering Physics

contains small amount of nickel and cobalt as a catalyst to nucleate the formation of
nanotubes. When an intense pulse of laser beam is incident on the target, it evaporates
the carbon from the graphite. The evaporated carbon atoms are sweped from the higher
temperature argon gas to the colder copper collector. When the carbon atoms reach
the colder copper, it condenses into nanotubes. The nanotubes of 10–20 nm diameter
and 100 mm long can be produced by this method.
Graphite target

500 Torr Ar

Nd: YAG Laser

Water cooled
1200°C furnace collector

Fig. 27.30 Laser ablation- CNT

27.13 PROPERTIES OF CNT

Generally, the CNTs are produced both in metallic and semiconducting nature during the
process. The final product consists of two-thirds with semiconducting and one-third with
metallic property. The semiconducting or metallic property of the CNT depends on the
diameter and chirality, i.e., the nature of the rolling of the tube with respect to the vector
T. The metallic CNT will have the armchair structure, while the semiconducting tubes
will have the chiral structure. The dependence of the energy gap of the semiconducting
chiral CNT on the reciprocal of the diameter is shown in Fig. 27.31. It is evident that
there is a decrease in the band gap with increase in diameter of CNT.

1.4

1.2

1
Energy gap (eV)

0.8

0.6

0.4

0.2

0
0 1 2 3 4 5 6
100/D (1/A)

Fig. 27.31 Energy gap versus reciprocal of diameter of chiral CNT

 Nanodevices 27.27

(i) Electrical Properties The electronic structure of CNT is obtained using STM.
During this measurement, the STM tip is fixed just above the CNT. The tunneling
current I is measured during the change in the applied voltage V between the tip and
the sample. From the above measurements, the conductance of the nanotubes is
G = I /V (27.5)
The above measured conductance G reveals the local electronic density of states. One
can obtain information about the energy gap in a semiconducting material by drawing
a plot between (dI / dV) and (I/V ).
(ii) Magnetic Property CNT exhibits the magneto resistance phenomenon similar
to that of bulk materials. The CNT display the magneto resistive effects at low
temperature, i.e., the resistance of the CNT is changed by the application of dc
magnetic field. The magnetic field dependence of the charge in resistance DR to
their resistance in zero magnetic fields at 2.3 and 0.35 K of nanotubes are shown in
Fig. 27.32. The observed magneto resistance effect is negative. This is due to the
decrease in resistance with increase in magnetic field. The decrease in resistance
results in an increase in conductance G (~-1/R). The above effect can be explained by
considering the applications of dc field to the nanotubes. When a = magnetic field is
applied to the nanotubes, the conduction electron acquires a new energy level known
as Landan level. This energy level lies very close to the Fermi level. As a result, more
states are available for electrons to increase their energy and hence, the conducting
property.

�0.05
2.3 K

�0.1
DR/Ro

�0.15

�0.2
0.35 K

�0.25

�0.3
0 2 4 6 8 10 12 14
Magnetic field (Tesla)

Fig. 27.32 CNT-Magneto resistance effect

(iii) Vibration Properties Similar to carbon dioxide, the atoms in a molecules

(or) nanoparticles can vibrate back and forth. Each molecules can have a set of
vibrational motions known as normal mode of vibrations. The different modes of
vibrational motion are determined from the symmetry of the molecule. There are two
normal modes of vibration which exist in CNT, as shown in Fig. 27.33. In the first
27.28 Engineering Physics

mode marked as A1g, the diameter of the CNT moves in and out at a frequency of
165 cm–1. In the second mode, known as E2g, the squashing of the tube takes place in
one direction while the expansion takes place in the perpendicular direction. Thus, it
oscillates between a sphere and an ellipse at a frequency of 17 cm–1. The frequency of
the vibration modes depends on the diameter of the nanotube. Thus, one can determine
the radius of the nanotube from the frequency dependent radius of the tube.

E2g 17 cm–1

A1g 165 cm–1

Fig. 27.33 CNT—Vibrational properties

(iv) Mechanical Properties The CNT are very strong, that is, they are about
10 times stronger than steel. Let us consider that one end of a thin wire is nailed to
the roof of a room while a weight W is attached to the other end. The stress acting on
the wire is given by
S=W/A (27.6)
where A is the cross-sectional area of the wire.
The strain of the wire is given by the amount of stretch DL of the wire of length L,
S = DL/ L (27.7)
where L is the length of the wire before attaching the weight.
We known that stress is proportional to strain
S = Ee (27.8)
where E is the proportionality constant and is equal to LW/ A DL, known as Young’s
modulus.
The Young’s modulus of the material is used to characterise the elastic flexibility.
For example, the larger the value of Young’s modulus, the lesser is the flexibility.
The Young’s modulus of the carbon nanotube is in the range from 1.28 to 1.8 Tpa
(1Tpa~ 107 atm), while for steel is 0.21 Tpa. It means that the CNT is 10 times
stronger than that of steel. The mechanical property of SWCNT and MWCNT makes
the nanotubes a different material from other conventional materials.

27.14 APPLICATIONS
The potential applications of CNTs are increasing more than the other materials due to their
unusual properties like electrical, magnetic and mechanical. The applications of nanotubes
include battery electrodes, electronic devices, etc. Even though CNT has diversified
potential applications, few applications are given in detail in the following sections.
 Nanodevices 27.29

(i) Field Emission and Shielding Consider that a small amount of electric field
is applied parallel to the axis of a nanotube. As a result, it emits electrons at a very
high rate from the ends of the tube. This emission is known as field emission. The
electron emission of carbon nanotubes are used in electronic industries like flat panel
display. The nanotubes in the form of thin film are placed over control electronics
with a phosphorous coated glass plate at the top. The nanotubes are used for electron
emission effect in vacuum lamps. The resultant lights are much brighter than the
conventional light. The nanotubes used electron emission products are long level and
more efficient in terms of performance.
(ii) Computers Due to the miniaturisation of the computers, there is an increasing
demand in increasing the number of switches in a chip. The metal wires with small
diameters are used to do the interconnections between the computers and switches. A
decrease in the diameter of a wire in turn increases the resistance and hence, the wire
generates heat due to the flow of current. The carbon nanotubes with a diameter 2 nm
can carry large current without any heating. Thus, the CNT are used as connectors in
computer industries. The electrical current made using the CNT in field effect transistor
(FET) is shown in Fig. 27.34.
Carbon nanotube

Source Drain
(gold) (gold)

Insulating layer (silicon dioxide)

Gate (silicon substrate)

Fig. 27.34 FET made from carbon nanotubes

Similarly, the CNT is used as switching device in computers. The schematic
representation of the concept of switching device using CNT is shown in Fig. 27.35.
Electrode
Carbon nanotube

Open switch Closed switch Insulator

Fig. 27.35 Computer switching device using CNT

27.30 Engineering Physics

(iii) Fuel Cells Carbon nanotubes have been used as a storage device in battery,
fuel cells, etc. In case of batteries, lithium is used as a charge carrier. The lithium
can be stored in a carbon nanotube. One electron atom requires six carbons in the
nanotube. Similarly, one can also store hydrogen in the carbon nanotube. The schematic
representation of the electro chemical experimental cell is used to inject the hydrogen
atom into the carbon nanotube is shown in Fig. 27.36. The electro chemical cell consists
of an electrolytic solution of KOH. The negative electrode is made up of single wall
carbon nanotubes (SWCNT) paper, while the positive electrode consist of Ni(OH)2.
When a potential is applied between the electrodes, the water of the electrode is
decomposed into positive hydrogen ions (H+). The hydrogen ion is attracted towards
the negative MWCNT electrode. The existence of hydrogen on the CNT can be
studied by measuring the intensity of the Raman active vibration before and after
the electrochemical process. The development of fuel cells by storing hydrogen on
SWCNT can be used as an alternative source of energy for future automobile.
Charger

CNT negative Positive electrode

electrode
6 M KOH electrolyte, H2O

Fig. 27.36 Fuel cells-CNT

(iv) Other Applications In addition to the above applications, the CNT finds wide
potential in industries. The chemical sensors are made using CNT to detect various
gases like NO2. CNT is used as a catalyst for enhancing the chemical reactions. For
example, cadmium sulphide (CdS) crystals are formed inside the CNT due to the
reaction of hydrogen sulfide gas (H2S) at a temperature of 673 K.

Keypoints to Remember

• In diamagnetic materials, there is no permanent dipole.

• Retentivity is the remaining magnetisation when the magnetic filed is reduced to
zero from saturation field.
• Coercivity is the field required to bring magnetisation to zero from resonance.
 Nanodevices 27.31

• Nanomagnetism is the study of the behaviour of ferromagnetic material when the

domains are aligned in one dimension.
• Particulate nanomagnets are granular solids with one or more phases having mag-
netic properties.
• Ordinary Magneto Resistance (OMR) is the property of a material to change the
value of its electrical resistance under the influence of an external magnetic field.
• Tunneling magneto resistance (TMR) is the process of changing the sample mag-
netism in magnitude or direction.
• GMR is the phenomena in which a significant change (>5%) in electrical resis-
tance occurs due to change in magnetisation direction or magnitude.
• TMR is a magneto resistance device which relies on electron tunneling through
oxide barrier between two ferromagnets.
• Targeted drug delivery technique is the process of sterring of nanoparticles by
means of external magnetic field gradients to reach the desired parts of the human
body.
• Injection laser is a semiconductor laser used to convert electrical energy into light
energy with high efficiency.
• Quantum cascade laser is a new semiconductor laser which emits light in the in-
frared region of electromagnetic spectrum.
• Carbon nanotubes (CNT) are formed by rolling the graphite sheet into tubes with
bonds at the end of sheet.
• CNT are two types, namely Single Wall Carbon NanoTube (SWCNT) and Multi
Wall Carbon NanoTube (MWCNT).
• Structure of CNT are three types, namely, chair, zigzag and chiral structures.
• Electron arc discharge, chemical vapour deposition and laser ablation are the
methods used to synthesise CNT.
• Semiconducting CNT takes chiral structures, while metallic CNT takes armchair
structures.
• Field emission is the process of emitting electrons at a very high rate from the
ends of CNT when a small amount of electric field is applied to parallel to the
axis of nanotube.

Objectives Questions

27.1 There is no permanent dipole in diamagnetic materials. (True / False)

27.2 The different forms of nanomagnetes are _______, _________, and
_______.
27.3 Particulate nanomagnetes are prepared employing _______ method.
27.4 Examples for particulate nanomagnets are ______, ______ and _____.
27.5 Expand MEMS and NEMS.
27.6 Expand OMR and TMR.
27.32 Engineering Physics

27.7 Expand GMR and CMR.

27.8 In GMR materials, the change in the electrical resistance is _________.
27.9 Expand CIP and CPP.
27.10 Expand MRAM.
27.11 Expand MFM.
27.12 Acronym for MRI.
27.13 Nanomagnetic materials is used as a ________.
27.14 Expand NMR.
27.15 Injection laser convert the electrical energy into _________ energy.
27.16 The threshold current density of a semiconductor laser is _____.
a) J th = J th exp (T1 / T0 ) b) J = J th0 exp (T1 / T0 )

(
c) J th = J 0 exp T1 / T0 ) 0
(
d) J th = J th exp T1 / T0 )
27.17 Quantum cascade laser emits light in the region______.
a) ultraviolet b) visible
c) infrared d) far a infrared
27.18 Expand RAM
27.19 According to Moore’s law, the transistors are entering into nanoscale very
soon. (True / False)
27.20 Expand MOSFET.
27.21 Expand OFET.
27.22 Expand CRT and LCD.
27.23 Acronym for OLED.
27.24 Expand HTL and ETL.
27.25 The efficiency of photovoltaic cell is equal to ________.
27.26 Expand CNT.
27.27 Expand SWCNT and MWCNT.
27.28 The following are the structure of CNT.
a) Chiral, zigzag b) chiral and armchair
c) chiral, zigzag, SWCNT d) chiral, zigzag and armchair.
27.29 Catalyst are required to produce multiwall carbon nanotube. (True/False).
27.30 The catalyst used for the MWCNT is ______ or _______.
27.31 Metallic CNT takes ________ structures.
27.32 Semiconductors CNT takes ___________ structures.
27.33 The conductance of the nanotube is equal to G = ______.
27.34 CNT are ________ time stronger than steel.
27.35 CNT’s are used for electron emission effect in vacuum lamps. (True/False)

KEy
27.1 True 27.2 zero, 1D, 2D
27.3 rapid solidification 27.4 Fe73.5BaSi13.5 Nb3Cu, Nd2Fe14B,
CaCrTa
27.5 Micro Electro Mechanical 27.6 Ordinary Magneto Resistance,
Systems, Nano Electro Tunneling Magneto Resistance.
Mechanical Systems.
27.7 Giant Magneto Resistance, 27.8 > 5%
Colossal Magneto Resistance
 Nanodevices 27.33

27.9 Current is Parallel to Plane, 27.10 Magnetic Random Access Memory

Current is Perpendicular to
plane
27.11 Magnetic Force Microscope 27.12 Magnetic Resource Imaging.
27.13 contrast 27.14 Nuclear Magnetic Resonance
27.15 light 27.16 d)
27.17 c) 27.18 Random Access Memory
27.19 True 27.20 Metal Oxide Semiconductor Field
Effect Transition
27.21 Organic Field Effect 27.22 Cathode Ray Tube,
Transition Liquid Crystal Display
27.23 Organic Light Emitting 27.24 Hole Transporting Layer,
Diode Electron Transporting Layer
27.25 Pout / Pin 27.26 Carbon Nano Tube
27.27 Single Wall Carbon Nano 27.28 d)
Tube, Multi Wall Carbon
Nano Tube
27.29 True 27.30 cobalt, nickel
27.31 armchair 27.32 chiral
27.33 I /V 27.34 10
27.35 True

Short Questions

27.1. Explain ordinary magneto resistance effect.

27.2. What is GMR?
27.3. Distinguish between GMR and CMR.
27.4. Mention the applications of GMR materials.
27.5. What is meant by TMR?
27.6. What is meant by probing nanomagnetic materials?
27.7. What is meant by sensor?
27.8. Mention few applications of nanomagnetic materials.
27.9. What is meant by carbon nanotubes?
27.10. Differentiate multiwalled and single walled carbon nanotubes.
27.11. Explain the different structure of CNT.
27.12. What is meant by electric arc discharge?
27.13. How the CNT is produced employing CVD?
27.14. Define laser ablation.
27.15. What is meant by magnetosensitive effects?
27.16. Mention the various application of CNT.
27.17. What is meant by injection laser?
27.18. Explain Quantum dot laser.
27.19. Explain the principle behind the quantum cascade laser.
27.20. What is meant by optical memory?
27.34 Engineering Physics

27.21. How do you correlate the Moore’s law with nanotechnology?

27.22. Explain single electron memory cell.
27.23. What is meant by Field effect transistor?
27.24. How the organic light emitting diodes overcomes the drawback of LCDs
and CRTs?
27.25. Explain the principle of organic photovoltaic.

Descriptive Questions

27.1. What are the classifications of nanomagnetic materials? Explain the different
nanomagnetic materials with suitable illustrations.
27.2. What is the relationship between bulk magnetic and nano magnetic materials?
Explain the various applications of nanomagnetic materials with suitable
examples.
27.3. Describe with neat sketch how the CNT are synthesized by different
methods. Explain the important properties of CNT.
27.4. Explain the different structures of CNT with suitable diagram. How the
CNT are used in industries for potential applications?
27.5. Describe with neat sketch the applications of semiconductor nano-
structured devices.
27.6. Explain with neat sketch the principle, working and applications of OFET,
OLED and organic photovoltaic.
27.7. Discuss the construction and working of organic solar cell.
27.8. What is electro chemical deposition? Explain how this technique is used
in templating growth with necessary diagram.