DEPARTMENT OF PHYSICS AND NANOTECHNOLOGY

SRM INSTITUTE OF SCIENCE AND TECHNOLOGY

18PY103J – Physics: Semiconductor Physics

Module-I, Lecture-1 &2

Introduction to Classical Free Electron Theory

& Quantum Free Electron Theory

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18PYB103J Module-I Lecture-1, 2
 Classical Free Electron Theory of Metals

INTRODUCTION:
Materials can be classified into three types based on the conductivity of heat and
electricity.
They are;
1. Conductors (Example : Metals – Copper, Aluminum, Silver, Gold)
2. Semiconductors (Example : Germanium, Silicon)
3. Insulators ( Example : Wood, Mica, Glass)
Electron theory of Metals

The electron theory of metals explains the following :

• Structural, electrical and thermal properties of materials.
• Elasticity, cohesive force and binding in solids.
• Behavior of conductors, semiconductors, insulators etc.
 Classical Free Electron Theory of Metals

In solids, electrons in outer most orbits of atoms determine its electrical properties.
Electron theory is applicable to all solids, both metals and non-metals. In addition,
it explains electrical, thermal, and magnetic properties of solids. The structures and
properties of solids are explained employing their electronic structures by electron
theory of solids. Development of Free Electron Theory: It has been developed in
three main stages.
1. Classical free electron theory (The first theory was developed by Drude and
Lorentz in 1900. According to this theory, metal contains free electrons which
are responsible for the electrical conductivity and electron obeys the laws of
classical mechanics.)
2. Quantum free electron theory (In 1928 Sommerfeld developed the Quantum
free electron theory. The first theory was developed by Drude and Lorentz in
1900. According to Sommerfeld, the free electrons move with a constant
potential and this theory obeys the laws of quantum mechanics)
3. Zone theory (Bloch introduced the band theory in 1928. According to this
theory, electrons move in a periodic potential provided by the lattice. This
theory is Band theory of solids. It gives complete informational study of
electrons.)
 Classical Free Electron Theory of Metals

▪ The Classical free electron theory [Drude and Lorentz]

It is a macroscopic theory, through which free electrons in lattice
and it obeys the laws of classical mechanics. Here the electrons are
assumed to move in a constant potential.
 Classical Free Electron Theory of Metals

The Classical Free Electron Theory [Drude and Lorentz]

▪ According to kinetic theory of gases in a metal, Drude assumed

free electrons are as a gas of electrons.
Drude Theory
This theory initially proposed by Drude in 1900,and it’s the
first theory to explain the electrical conduction in conducting
materials and reveals that free electrons are responsible for the
electrical conduction.
Free electrons
In certain metals especially in Cu, Ag and Al valence
electrons are so weakly attached to the nuclei they can be easily
removed or detached such electrons are called as free electrons.
But all the valence electrons in the metals are not free electrons.
 Classical Free Electron Theory of Metals

Assumption of Classical Free electron Theory

• According to this theory, in metals a large number of free electrons
which move freely through positive ions fixed in lattice of the metal. As
they are responsible for conductivity called as conduction electrons
• This cloud of free electrons are called as electron gas, are treated as
equivalent to gas molecules; the laws of classical kinetic theory of gases
can be applied to them. Therefore these electrons have mean free path (λ),
mean collision time (τ), average speed (v).
[They differ from ordinary gas in two aspects
1. Free electron gas is charged while molecules of ordinary gases are neutral
2. Concentration of electron is > ordinary gas concentration]

• In the absence of the electric field, the kinetic energy associated with an
electron at a temperature T is given by : ½ mvth2 = 3/2 kT, where vth is
the thermal velocity of the electron
 Classical Free Electron Theory of Metals

Lorentz in 1900, suggested that free electrons are treated as perfect gas. He
used Maxwell-Boltzmann statistics to the electron gas with following
assumptions:
• Mutual repulsion between the negatively charged electrons are neglected

• Potential field due to positive ions within the crystal is assumed to be

constant everywhere.
Electrons motion in the absence of electric field:
• Possess elastic collision
• Net displacement in any direction is zero
• The neglect of electron–electron interaction between collisions is
known as the “independent electron approximation

18PYB103J Module-I Lecture-1

 Classical Free Electron Theory of Metals
Electrons motion in presence of electric field:
1. In presence of electric field the equilibrium condition disturbed
and the free electrons acquire some energy from electric field.
2. The electrons cannot be accelerated indefinitely due to the
collisions of electrons with lattice ions.
3. Drift:
The net movement of electrons due to an applied electric field is
called drift.
4. Drift velocity
In the presence of externally applied electromagnetic fields, the
electrons acquire some amount of energy from the field and are
directed to move towards higher potential. As a result, the electrons
acquire a constant velocity known as Drift velocity Vd.
 Classical Free Electron Theory of Metals

The time ‘τ’ is known as the relaxation time and it is defined as the
time taken by an electron between two successive collisions with
lattice ions. That relaxation time is also called mean free time [or]
collision time.
If v is the total velocity of the electrons due to combined effect of thermal & drift
velocities, then

Electrons are assumed to achieve thermal equilibrium with their

surroundings only through collision. These collisions are assumed to
maintain local thermodynamic equilibrium in a particularly simple
way.

Figure 2 | Trajectory of a conduction electron

 Classical Free Electron Theory of Metals

Electrical conductivity in metals : Electrical conductivity of a metal is the

ability of the metal to allow electrons to flow through it. The expression for
electrical conductivity of a metal is given by

Where n is the number of free electrons/unit volume & τ is the relaxation time.

Mobility of electrons: Mobility is defined as the magnitude of the drift

velocity acquired by the electrons in unit electric field. The expression for the
mobility is

Electrical resistivity : It is the property of the metal and defined as the

reciprocal of electrical conductivity.

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 Classical Free Electron Theory of Metals

Success of classical free electron theory:

(1). It verifies Ohm’s law.

(2). It explains the electrical and thermal conductivities of metals.

(3). It derives Wiedemann – Franz law. (i.e., the relation between

electrical conductivity and thermal conductivity)

(4). It explains optical properties of metals.

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 Classical Free Electron Theory of Metals

Drawbacks of classical free electron theory:

1. It fails to explain the electrical conductivity of semiconductors and
Insulators. Hence, according to classical free electron theory;
bivalent & trivalent metals should posses much higher electrical conductivity than
monovalent metals. This is contrary to the experimental observations that the
monovalent element metals such as copper & silver are more conducting than Zinc
(bivalent) & aluminum (trivalent). Thus the prediction of classical free electron theory
that σ ∝ n does not always hold good.

2. It fails to explain temperature dependence of electrical conductivity. On

the basis of classical free electron theory, the energy of an electron is given by

From definition, mean collision time is inversely proportional to vth

Hence, . But experimentally it has been observed that 12

 Classical Free Electron Theory of Metals

Drawbacks of classical free electron theory:

3. The phenomena such a photoelectric effect, Compton effect and the black
body radiation couldn’t be explained by classical free electron theory.
4. It fails to explain the concept of specific heat of metals.

According to classical free electron theory Cv is independent of temperature, but the

experimental value of Cv is directly proportional to temperature. Hence classical free
electron theory fails to explain Cv.

5. It fails to explain the temperature dependence of paramagnetic

susceptibility and ferromagnetism.

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18PYB103J Module-I Lecture-1
 QUANTUM FREE ELECTRON THEORY
Classical free electron theory could not explain many physical
properties.

In 1928, Sommerfield developed a new theory applying quantum

mechanical concepts and Fermi-Dirac statistics to the free
electrons in the metal. This theory is called quantum free electron
theory.

Classical free electron theory permits all electrons to gain energy

(continuous energy). But quantum free electron theory permits
only a fraction of electrons to gain energy (discrete energy).

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 Quantum Free Electron Theory of Metals

According to Quantum mechanics moving particles has some sort

of wave motion
Then wavelength λ=h/p (De-Broglie wavelength)

To characterize moving particle having wave motion-(ψ)-

wavefunction is introduced

According to quantum theory of free electrons energy of a free

electron is given by

En = n2h2/8mL2 (n is principal quantum number, discrete energy)

• According to quantum theory of free electrons the electrical

conductivity is given by
σ = ne2τ/m
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 Quantum Free Electron Theory of Metals

MERITS OF QUANTUM FREE ELECTRON THEORY

1. It successfully explains the electrical and thermal

conductivity of metals.

2. We can explain the Thermionic phenomenon.

3. Temperature dependence of conductivity of metals can be

explained by this theory.

4. It can explain the specific heat of metals.

5. It explains magnetic susceptibility of metals. 16

 Quantum Free Electron Theory of Metals

DEMERITS OF QUANTUM FREE ELECTRON THEORY

1. It is unable to explain the metallic properties of exhibited by

only certain crystals

1. Failed to give difference of metals/semiconductors/ insulators

3. It is unable to explain why the atomic arrays in metallic crystals

should prefer certain structures only

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DEPARTMENT OF PHYSICS AND NANOTECHNOLOGY
SRM INSTITUTE OF SCIENCE AND TECHNOLOGY
18PYB103J –Semiconductor Physics

LECTURE 3, 4 & 5

Quantum Mechanics, Density of States,

Problems

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18PYB103J Module-I Lecture- 3 , 4 & 5
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Particle in a potential well

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Particle in a potential well

4
Particle in a potential well

5
Particle in a potential well

6
Energy of particle

7
Energy of Particle

8
Particle energy

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Normalization

10
Normalization

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Normalization

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 DENSITY OF STATES

Definition: Density of States Z (E) dE is defined as the number

of available electron states per unit volume in an energy interval
(dE).

To find the number of energy levels in a cubical metal piece and to

find number of electrons that can be filled in a given energy level, let
us construct a sphere of radius ‘n’ in the space.
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18PYB103J Module-I Lecture-2
The sphere is further divided in to many shells and each of this shell
represents a particular combination of quantum numbers (nx, ny, and nz)
and therefore represents a particular energy value.

Let us consider two energy values E and E + dE. The number of energy
states between E and E + dE can be found by finding the number of
energy states between the shells of the radius n and n + dn, from the
origin.

The number of energy states within the sphere of radius n, is = 4/3 π n3

Since nx, ny, and nz will have only positive values, we have to take only
one octant of the sphere (i.e) 1/8 th of the sphere volume.

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18PYB103J Module-I Lecture-2
The number of available energy states within the sphere of radius
n = 1/8 [4/3 π n3]

Similarly the number of available energy states within the sphere of

radius

n + dn = 1/8 [4/3 π (n+dn)3]

The number of available energy states between the shells of radius n
and n + dn (or) between the energy levels

E and E + dE, = 1/8 [4/3 π (n+dn)3- 4/3 π n3 ]

The number of available energy states between the energy interval:

Z(E)dE = 1/8 X 4/3 π [n3+dn3+3n2dn+3dn2n- n3]

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18PYB103J Module-I Lecture-2
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18PYB103J Module-I Lecture-2
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18PYB103J Module-I Lecture-2
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18PYB103J Module-I Lecture-2
DEPARTMENT OF PHYSICS AND NANOTECHNOLOGY
SRM INSTITUTE OF SCIENCE AND TECHNOLOGY
18PYB103J –Semiconductor Physics

Lecture-5

SOLVING PROBLEMS

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18PYB103J Module-I Lecture-4
1. The electrical resistivity of copper at 27⁰ C is 1.72 x 10-8 Ohm m.
Compute its thermal conductivity if the Lorentz number is 2. 26 x 10-8 W
Ohm K-2

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18PYB103J Module-I Lecture-4
2. Calculate the drift velocity of electrons in copper and current density in
wire of diameter 0.16 cm which carries a steady current of 10 A. Given n
= 8.46 × 1028 m–3.

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18PYB103J Module-I Lecture-4
3. Find the lowest energy of an electron confined in one dimensional
potential box separated by distance 0.1 nm.

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18PYB103J Module-I Lecture-4
4. An electron is bound in one dimensional infinite well of width 1 x 10-10m.
Find the energy value in the ground state, first and second excited states.

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18PYB103J Module-I Lecture-4
5. Find the least energy of an electron moving in one-dimensional
potential box (infinite height) of width 0.05nm.

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18PYB103J Module-I Lecture-4
DEPARTMENT OF PHYSICS AND NANOTECHNOLOGY
SRM INSTITUTE OF SCIENCE AND TECHNOLOGY
18PYB103J –Semiconductor Physics

Lecture 6

KRONING PENNEY MODEL

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18PYB103J Module-I Lecture-3
2
Energy bands in solids

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18PYB103J Module-I Lecture-3
4
 5
18PYB103J Module-I Lecture-3
 Bound States in atoms

Electrons in isolated atoms occupy discrete

allowed energy levels: E0, E1, E2 etc. .

The potential energy of an electron a

distance r from a positively charge
nucleus of charge q is

Bound and free states

in solids

6
 Bloch Theorem
• Most of the semiconductors are in crystalline
form, i.e the atoms are arranged in periodic
manner.
• The motion of electron in a crystal is governed by
the laws of quantum mechanics.
• If we have one electron and one proton system
like hydrogen atom it is easy to solve
Schrodinger equation.
• But in solid there are large number of atoms and
electrons present, so its very difficult to solve the
Schrodinger equation.
• If we consider a one dimensional periodic lattice
and the potential energy (PE) of a moving
electron depends on its position inside the lattice,
but the PE is said to be periodic in nature by F.
Bloch, and the probability of finding a electron is
also periodic, the wave-function associated with
electron is also periodic in nature.
• Since the probability of finding electron is equal
to |Ψ|2 7
 Schrödinger’s one-Dimensional time independent wave equation

𝑑2 𝛹 2𝑚
+ 𝐸 − 𝑉 Ψ = 0 ------(1)
𝑑𝑥 2 ћ2
Bloch postulated that the potential (V) inside the crystal is periodic, so V can be written as V(x) for
one dimensional lattice.
Again the periodic potential V(x) can be written as by means of lattice constant V(x+a)
i.e V(x) = V (x+a)--------(2)
Bloch also postulated that the wave function of en electron moving in a periodic lattice is periodic and
which is given as
𝝍𝒌 𝒙 = 𝒆𝒊𝒌𝒙 𝒖𝒌 (𝒙)---------(3), where 𝑢𝑘 𝑥 = 𝑢𝑘 (𝑥 + 𝑎) (periodicity of crystal)
If we substitute the eqs 2 & 3 in eq 1 one can get the solution for the Schrödinger’s time independent equation by
Numerical and analytical methods
𝑑2 𝛹 2𝑚
+ 2 𝐸 − 𝑉 𝑥 𝜓𝑘 𝑥 = 0
𝑑𝑥 2ћ
From the above equation if we plot energy Eigen values vs wave vector K will give the E-K diagram
So the energy Eigen values are periodic in k space

8
Kroning Penney model :

➢ According to Kroning and Penney the electrons move in a

periodic square well potential.

➢ This potential is produced by the positive ions (ionized atoms) in

the lattice.

➢ The potential is zero near to the nucleus of positive ions and

maximum between the adjacent nuclei. The variation of potential
is shown in figure.

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18PYB103J Module-I Lecture-3
It is not easy to solve Schrödinger’s equation with these potentials.
So, Kroning and Penney approximated these potentials inside the
crystal to the shape of rectangular steps as shown in Fig. (c). This
model is called Kroning-Penney model of potentials.

The energies of electrons can be known by solving Schrödinger’s

wave equation in such a lattice. The Schrödinger time-independent
wave equation for the motion of an electron along X-direction is
given by:

The energies and wave functions of electrons associated with this

model can be calculated by solving time-independent one-dimensional
Schrödinger’s wave equations for the two regions I and II as shown in
Fig 18PYB103J Module-I Lecture-3
10
The Schrödinger’s equations are:
for 0<x<a.............(2)

for -b<x<0.............(3)

We define two real quantities (say) α and β such that:

for 0<x<a

for -b<x<0

The total wave function is therefore of the form

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18PYB103J Module-I Lecture-3
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 DEPARTMENT OF PHYSICS AND NANOTECHNOLOGY
SRM INSTITUTE OF SCIENCE AND TECHNOLOGY
18PYB103J –Semiconductor Physics

Lecture 7

E-K DIAGRAM
&
DIRECT AND INDIRECT BANDGAP SEMICONDUCTORS

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18PYB103J Module-I Lecture 7
 E-K Diagram

E-K Diagram

➢ The conventional band diagram shows the band gap energy only
➢ To know more about electrical and optical properties of
semiconductor material, we need to know about the E-K diagram. C.B
➢ An E-K diagram shows characteristics of particular semiconductor Eg
material
➢ It shows the relationship between energy and momentum of V.B
available states for electron in the crystal
➢ K being the momentum and E as the energy. From a mathematical
point of view K is the wave vector
➢ The E-K diagram of semiconductor is obtained by solving the
Schrodinger’s equation.
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18PYB103J Module-I Lecture 7
 Bloch Theorem

• Most of the semiconductors are in crystalline form, i.e

the atoms are arranged in periodic manner.
• The motion of electron in a crystal is governed by the
laws of quantum mechanics.
• If we have one electron and one proton system like
hydrogen atom it is easy to solve Schrodinger
equation.
• But in solid there are large number of atoms and
electrons present, so its very difficult to solve the
Schrodinger equation.
• If we consider a one dimensional periodic lattice and
the potential energy (PE) of a moving electron depends
on its position inside the lattice, but the PE is said to be
periodic in nature by F. Bloch, and the probability of
finding a electron is also periodic, the wave-function
associated with electron is also periodic in nature.

• Since the probability of finding electron is equal to |Ψ|2

3
18PYB103J Module-I Lecture 7
 Schrödinger’s one-Dimensional time independent wave equation

𝑑2 𝛹 2𝑚
+ 𝐸 − 𝑉 Ψ = 0 ------(1)
𝑑𝑥 2 ћ2
Bloch postulated that the potential (V) inside the crystal is periodic, so V can be written as V(x) for
one dimensional lattice.
Again the periodic potential V(x) can be written as by means of lattice constant V(x+a)
i.e V(x) = V (x+a)--------(2)
Bloch also postulated that the wave function of en electron moving in a periodic lattice is periodic and
which is given as
𝝍𝒌 𝒙 = 𝒆𝒊𝒌𝒙 𝒖𝒌 (𝒙)---------(3), where 𝑢𝑘 𝑥 = 𝑢𝑘 (𝑥 + 𝑎) (periodicity of crystal)
If we substitute the eqs 2 & 3 in eq 1 one can get the solution for the Schrödinger’s time independent equation by
Numerical and analytical methods
𝑑2𝛹 2𝑚
+ 2 𝐸 − 𝑉 𝑥 𝜓𝑘 𝑥 = 0
𝑑𝑥 2 ћ
From the above equation if we plot energy Eigen values vs wave vector K will give the E-K diagram
So the energy Eigen values are periodic in k space
4
18PYB103J Module-I Lecture 7
5
There are three types of E-K diagram

▪ Periodic zone
▪ Extended zone
▪ Reduced zone

Periodic zone scheme:

The periodic repetition of allowed energy

values corresponding to each allowed band,
which is obtained by the periodic repetition of
π π
the region of - < k < through whole k-space.
𝑎 𝑎
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18PYB103J Module-I Lecture 7
Extended Zone Scheme:

In this scheme, different bands are drawn in different

zones. In k- space.
𝑛π
A discontinuities is obtained at K=± where n = ± 1, ±
𝑎
2,…
π π
For k = - to is first Brillouin zone
𝑎 𝑎
π 2π π 2π
For k = - to - and to is second Brillouin
𝑎 𝑎 𝑎 𝑎
zone
The discontinuities in the curve is due to Braggs law of
reflection
𝑛π
at the edges of allowed bands (i.e) K=±
𝑎

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18PYB103J Module-I Lecture 7
Reduced zone scheme :

➢ In this scheme the first Brillouin zone is shown

since the E-K diagram is periodic, it is sufficient to
restrict to first zone in the reduced scheme.

➢ If we know the energy values of first zone

with respect to K then we know every where because
energy Eigen values are periodic
➢ In many of optoelectronic text books the reduce zone
scheme is shown

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18PYB103J Module-I Lecture 7
 9
18PYB103J Module-I Lecture 7
What are the significance of E-K diagram
➢ No theoretical study, experimentation and technological application can
take place without E-K diagram.
➢ This diagram indicates the band gap Eg which is the difference in energy
between top of the valance band and bottom of the conduction band
➢ This diagram demonstrate electron (hole) mobility
➢ This diagram explains electron (hole) effective mass
➢ This diagram indicate how the electron states are equally spaced in K-
Space
➢ This diagram clearly shows direct vs indirect band gap
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18PYB103J Module-I Lecture 7
 Direct and Indirect band gap semiconductors
• We know the relation between energy and wave
number for an one dimensional lattice. In real crystals
the E – K relationship is much more complicated.
• In crystals the interatomic distances and internal
potential energy distribution vary with direction of the
crystal.
• Hence the E – K relationship and energy band
formation depends on the orientation of the electron
wave vector to the crystallographic axes.
• In few crystals like GaAs, the maximum of the valence
band occurs at the same value of K as the minimum of
the conduction band.
• This is called direct band gap semiconductor .
18PYB103J Module-I Lecture 7
11
 Direct and Indirect band gap semiconductors

• In few semiconductors like Si the maximum of the valence band does not always occur at
the same K values the maximum of the conduction band. This we call indirect band gap
semiconductor.

• In direct band gap semiconductors the direction of motion of an electron during a

transition across the energy gap, remains unchanged.

• Hence the efficiency of transition of charge carriers across the band gap is more in direct
band gap than in indirect band gap semiconductors.
 We know
P=ℏk

A direct recombination occurs with the release of energy equals to energy difference between two levels such as Eg .
The probability of radiative recombination is high and hence direct bandgap semiconductors are used in optical sources

Due to relative difference in momentum , first the momentum is conserved by release of energy only after both the
Momentum align themselves. The probability of radiative recombination is comparatively low.
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18PYB103J Module-I Lecture 7
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18PYB103J Module-I Lecture 7
 15
18PYB103J Module-I Lecture 7
Heavy mass → Slower movement, larger transit time
Mobility of Carrier is inversely proportional to effective mass or i.e. proportional to curvature
DEPARTMENT OF PHYSICS AND NANOTECHNOLOGY
SRM INSTITUTE OF SCIENCE AND TECHNOLOGY
18PYB103J –Semiconductor Physics

Concept of phonons
Concept of Brillouin Zone (1D)
Lecture 8

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18PYB103J Module-I Lecture 8
 CONCEPT OF PHONONS

• Any solid crystal consists of atoms bound into a specific repeating three-
dimensional spatial pattern called a lattice.
• Here the atoms behave as if they are connected by tiny springs, their own
thermal energy or outside forces make the lattice vibrate.
• This generates mechanical waves that carry heat and sound through the
material.
• A packet of these waves can travel throughout the crystal with a
definite energy and momentum, so in quantum mechanical terms the waves
can be treated as a particle, called a phonon.
• A phonon is a definite discrete unit or quantum of vibrational mechanical
energy, just as a photon is a quantum of electromagnetic or light energy.
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18PYB103J Module-I Lecture 8
Concept of Phonons

18PYB103J Module-I Lecture 8

Phonon:
❖ A photon is the smallest unit of light. Similarly, for sound, the smallest unit is called
phonon. In a lattice structure, vibrations are created by atoms. The quantization of lattice
vibration is called phonon.

❖Atoms were considered as rigid, with atoms stuck in their lattice. In reality, atoms can be
considered as simple harmonic oscillators. The harmonic oscillator has a ground state energy
and an associated vibrational mode even at 0 ° K.

❖It is named phonons because at high energy levels long wavelength phonons give rise to
sound. According to quantum mechanics, similar particles have wave nature, waves must
also have particle nature. So, phonon is also treated as quasi particle. Similar to particles,
these waves can carry throughout the crystal, heat, energy and momentum.
18PYB103J Module-I Lecture 8
Phonon:

18PYB103J Module-I Lecture 8

❖In solid state physics, the elementary particles are electrons and phonons. The
arrangement of the electrons will help determine material's electrical properties whereas
the speed of sound through material and heat required to change its temperature is given by
phonons. Another important application of phonons is in the field of superconductivity,
where the electrical resistance of certain materials become zero near absolute zero.

❖In ordinary crystals, there is a loss of energy as heat as the electrons collide with
impurities. But in superconductors, at low temperatures, they tend to attract slightly
because of phonons. Now the movement occur as a coherent group thus minimizing energy
loss.

❖Phonons also have important application in detectors like Cryogenic Dark Matter Search,
which aim to detect even the slightest vibration in a crystal lattice caused by even a single
phonon.
18PYB103J Module-I Lecture 8
Comparison between Phonons and Photons

18PYB103J Module-I Lecture 8

 Concept of Brillouin zone
Primitive lattice cell and Wigner-Seitz cell
Crystal is a three dimensional periodic array of atoms. Crystal lattice is the geometrical pattern
of the crystal, where all the atom sites are represented by the geometrical points.
The crystal lattice can also be defined by three fundamental translation vectors: a1 , a2 , a3 are
said to be the primitive vector, and they can form the primitive unit cell.
Primitive cell has the smallest volume.
Wigner-Seitz cell:

The procedure is: (1) draw

lines to connect a given
lattice points to all nearby
lattice points; (2) at the
midpoint and normal to
these lines, draw new
lines or planes. The
smallest volume enclosed
in this way is a primitive
unit cell, and also called
the Wigner-Seitz primitive
cell. 18PYB103J Module-I Lecture 8
 Concept of Brillouin zone
Reciprocal lattices
✓ Every crystal structure has two lattices associated with it, the crystal lattice and the reciprocal
lattice.
✓ A diffraction pattern of a crystal is the map of the reciprocal lattice of the crystal and a
microscope structure is the map of the crystal structure.
✓ If a1 , a2 , a3 are the axis vectors of the real or direct lattice, and b1 , b2 , b3 are the axis
vectors of the reciprocal lattice, they are related by the following equations:
 Concept of Brillouin zone
▪The different Brillouin zones correspond to primitive cells of a different type that come up
in the theory of electronic levels in a periodic potential.

▪The first Brillouin zone is considered as the Wigner-Seitz (WS) primitive cell in the
reciprocal lattice. In other words, the first Brillouin zone is a geometrical construction to
the WS primitive cell in the k-space.

▪In a direct lattice, the procedure of drawing a WS cell is as follows:

▪Draw lines to connect a given lattice points to all nearby lattice points.
i) Draw lines to connect a given lattice points to all nearby lattice points.
ii) Draw new lines or plane at the mid point and normal to the lines in(i) .
iii) The smallest volume enclosed in this way is the WS primitive cell.
18PYB103J Module-I Lecture 8
18PYB103J Module-I Lecture 8
Construction of a Wigner-Seitz cell in the reciprocal lattice (called first Brillouin zone):
To construct the first Brillouin zone, we need to find the link between the incident beam
(like electron or neutron or photon beam) of wave vector k and the reciprocal lattice
vector G . This relation may be found as

[for example, an x-ray beam in the crystal will be diffracted if its wave vector k has the
magnitude and direction required by this latter relation].

18PYB103J Module-I Lecture 8

Thus the procedure to build up the first Brillouin zone is as follows
(see figure 30):

i) Select a vector G from the origin to a reciprocal lattice point.

ii) Construct a plane normal to the vector G at its mid point. This
plane forms a part of the zone boundary.
iii) The diffracted beam will be in the direction k -G .
iv) Thus the Brillouin construction exhibits all the wave vectors k
which can be Bragg-reflected by the crystal.
Important note:
A wave whose wave vector drawn from the origin terminates
on any of the planes will satisfy the condition of diffraction.
Such planes are the perpendicular bisectors of the reciprocal
vectors.

18PYB103J Module-I Lecture 8

Remarks:

- The planes divide the Fourier space of the crystal into fragments as shown for a square
lattice.
- The central square is a primitive cell of the reciprocal lattice. It is a Wigner-Seitz cell
of the reciprocal lattice (called the first Brillouin zone).
- The first Brillouin zone is the smallest volume entirely enclosed by the planes.

18PYB103J Module-I Lecture 8

18PYB103J Module-I Lecture 8
First Brillouin zone is determined
by:
• Select lattice point and draw a line
segment to all neighbouring lattice
points (blue).
• Draw center normal planes (black,
dotted). In 2D they are lines.
• The bounded area closest to the
selected point is 1. Brillouin zone
(orange).
• The next area (going over one line
only) is 2. Brillouin zone (green).
18PYB103J Module-I Lecture 8
18PYB103J Module-I Lecture 8
 Conclusion:
Wigner-Seitz cell: smallest possible primitive cell, which consist of one lattice
point and all the surrounding space closer to it than to any other point. The
construction of the W-S cell in the reciprocal lattice delivers the first Brillouin
zone (important for diffraction)

The importance of Brillouin zone:

The Brillouin zones are used to describe and analyze the electron energy in the band
energy structure of crystals.

18PYB103J Module-I Lecture 8

Extended Zone Scheme:

In this scheme, different bands are drawn in different

zones. In k- space.
𝑛π
A discontinuities is obtained at K=± where n = ± 1, ±
𝑎
2,…
π π
For k = - to is first Brillouin zone
𝑎 𝑎
π 2π π 2π
For k = - to - and to is second Brillouin
𝑎 𝑎 𝑎 𝑎
zone
The discontinuities in the curve is due to Braggs law of
reflection
𝑛π
at the edges of allowed bands (i.e) K=±
𝑎

19
18PYB103J Module-I Lecture 7
Reduced zone scheme :

➢ In this scheme the first Brillouin zone is shown

since the E-K diagram is periodic, it is sufficient to
restrict to first zone in the reduced scheme.

➢ If we know the energy values of first zone

with respect to K then we know every where because
energy Eigen values are periodic
➢ In many of optoelectronic text books the reduce zone
scheme is shown

20
18PYB103J Module-I Lecture 7
What are the significance of E-K diagram
➢ No theoretical study, experimentation and technological application can
take place without E-K diagram.
➢ This diagram indicates the band gap Eg which is the difference in energy
between top of the valance band and bottom of the conduction band
➢ This diagram demonstrate electron (hole) mobility
➢ This diagram explains electron (hole) effective mass
➢ This diagram indicate how the electron states are equally spaced in K-
Space
➢ This diagram clearly shows direct vs indirect band gap
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18PYB103J Module-I Lecture 7
Heavy mass → Slower movement, larger transit time
Mobility of Carrier is inversely proportional to effective mass or i.e. proportional to curvature