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Materials Science on CD-ROM User Guide
Introduction to Electrons in Crystals
Version 2.1
Peter Goodhew, University of Liverpool
Andrew Green, MATTER
Assumed Pre-knowledge
Atomic structure in terms of protons, neutrons and electrons, the periodic table, the
concepts of potential and kinetic energy, the idea of electron energy levels, spdf orbital
and KLM shell terminologies (although these are also defined in the glossary and compared
in the module), quantum numbers.
Module Structure
The module covers five topics:
This section is intended to ensure that the terminology is understood. It, and the
other sections, are supported by more than 100 electron-related terms in the MATTER
glossary. The section starts with a consideration of the two principal conventions for
defining the energy of an electron bound to an atom. Potential energy compared to the
vacuum level (defined to be negative) is contrasted with binding energy (defined to be
positive). The concept of localised electrons is introduced, in contrast to the formation
of electron energy bands. The term delocalised is defined in the glossary entry for
localised. The need for the valence and conduction bands is explained very briefly,
but only qualitatively, in terms of the Pauli exclusion principle.

A table shows the comparison between the KLM, spdf and quantum number descriptions of
localised states. This introduces the terminologies commonly used to describe
characteristic X-ray emission and Auger transitions. The selection rules are mentioned
briefly and a simple animation illustrates the forbidden 2s to 1s transition and the
permitted 2p to 1s. The section ends with a comparison of the widely-used but
non-intuitive Ka, Kb convention and
the logical but under-used convention preferred by IUPAC.
After completing this section, the student should be able to explain:
- The conventions for describing the energy levels of localised electrons in terms of
'spdf ' terminology and quantum numbers
- The reason for the formation of energy bands for conduction and valence electrons
- The terminology used to describe core level transitions leading to X-ray and Auger
electron emission.
This section introduces the interaction of high energy electrons with atoms of
aluminium. It is directed towards the use of high-energy electron beams in materials
analysis, for example in electron microscopes and electron spectrometry. Electron
microscopy is covered in a series of companion MATTER modules. Aluminium is chosen for the
simulation because it has electrons in three shells, and therefore allows for a range of
transitions, but is not too complex to simulate on the screen. Plasmon, phonon,
inner-shell and valence electron excitations are considered, and subsequent relaxation to
give Auger electrons and characteristic X-rays are dealt with. The relative frequencies of
each excitation are mentioned and further study in this direction is stimulated by a
question on page E:4. In order that a student can collect sufficient data to comment on
these frequencies a button has been provided on page E:4 which will run 20 interactions
quickly. Each press of this button will accumulate a further set of 20 data. The teacher
should note, and the student should discover, that all the scattering processes occur with
equal probability in the simulation, which is far from the situation in reality. It is
clearly impractical to simulate the real probabilities of occurrence, since some processes
would almost never be seen by the student.

After studying these simulations, the student should be able to:
- List the major inelastic scattering processes for high energy electrons;
- Name (using the IUPAC terminology) the X-rays and Auger electrons emitted after specific
electron transitions.
This section is primarily intended to support the teaching of physical techniques such
as electron microscopy and spectroscopy. The interaction between high energy electrons and
atoms is particularly important in electron microscopy. The material in this section forms
the basis for understanding the use of electron microscopy for elemental analysis.
The treatment begins with the ideas of electron excitation to a higher energy state and
subsequent decay to the lower state. The difference between spontaneous and stimulated
emission is illustrated and the idea of pumping is introduced via a simulation of a
two-state system. The fundamental concepts of population inversion and confinement are
introduced, and stimulated emission is illustrated. The first major simulation in this
section relates to the pumping of a two-state system. The system is pumped as long as the
mouse button is held down, but decays rapidly once pumping is stopped by release of the
button. The student should note the relative occupancies of the two levels.
A system with three states is then simulated, to show that population inversion can be
achieved. The user can change the decay time of the middle energy level in order to
explore the conditions necessary for inversion. A second way of achieving population
inversion by the use of a forward-biased p-n junction is then animated. The idea of
confinement is then incorporated and the section ends with an animation of a semiconductor
heterojunction laser.
After completing this section, the student should be able to:
- Distinguish between spontaneous and stimulated emission;
- Explain the need for population inversion and how this can be achieved either in a
three-state system or in a p-n junction;
- Explain the operation of a double heterojunction semiconductor laser.
The ideal parabolic N(E) curve is developed quantitatively and the concept of effective
mass is introduced from the second differential of the energy-momentum expression. The
appearance of the parabolas for light and heavy electrons and holes is animated and the
student is directed to think about the origin of the energy scale for electrons and holes.
A one-dimensional wave-in-a-box argument is used, with the de Broglie equation, to develop
the concept of the quantised state. This is generalised to three dimensions without a
rigorous treatment of the mathematics and the idea of the Fermi sphere is introduced
qualitatively.
A simple geometrical k-space argument is used to derive the ideal density of states
parabola. The distinction between an electron and an electron state (capable of containing
two electrons) needs to be kept clearly in mind here. The filling of the lowest energy
states is illustrated, leading to the concept of the Fermi energy Ef. The
effect of temperature is illustrated in a simplified manner on the next screen, which
refers to the glossary for a short treatment of Fermi-Dirac statistics.
The importance of diffraction in creating band gaps and zone boundaries is now
introduced qualitatively. The first and second Brillouin zones for a simple cubic material
are shown and the filling of the Fermi sphere within these zones is simulated. Overlap of
states into the second zone is shown as the e/a ratio is increased. On the next screen the
bending of the ideal parabola at zone boundaries is shown and interpreted in terms of
diffraction and a change in effective mass. Its effect on the creation of a band gap is
illustrated.
The section ends with a few selected band diagrams and DOS curves to illustrate the
non-ideally-free nature of real materials. Band diagrams for Si and GaAs are used to show
the conventional [100] and [111] plotting method. Density of states curves for g-brass and chromium are displayed to show the difference between a
nearly-ideal metal and a complex transition metal.
After completing this section, the student should be familiar with:
- Simple parabolic energy-momentum diagrams (E-k curves);
- The concept of effective mass;
- The Fermi sphere;
- The ideal parabolic N(E) vs E curve;
- The effect of diffraction leading to zone boundaries and band gaps;
- The conventional presentation of band diagrams for Si and GaAs;
- The reasons for the non-parabolic appearance of DOS curves for transition metals and
brass.
Conduction in metals and semiconductors is covered at an introductory level.
The section starts by considering carriers and the first screen contains reminders
about the nature of electrons and holes and their relationship to band diagrams. The
difference between thermal motion and drift (accounting for conduction) is then treated
quantitatively. A simulation shows the effect of drift superimposed on the thermal motion
of a single electron. The idea of scattering, leading to constant resistivity, is then
introduced and the effect of temperature is considered briefly.
The free electron wave model is then used to introduce the idea that scattering can be
much reduced in a crystalline array of scatterers. Note that no mention has been made, up
to this point, of the nature of the scatterers. A simulation shows that scattering will be
strong either if the wavelength of the electron is not the same as the spacing of the
scatterers or if the scatterers are not distributed periodically.
The nature of the scatterers is introduced via Matthiessens rule and the student
is asked to consider the types of possible scatterer. Following this, the relationship
between electrical and thermal conductivity is touched on briefly and the Wiedermann-Franz
law is stated.
The treatment now moves on specifically to semiconductors and the simultaneous movement
of electrons and holes. The student is led to the conclusion hat the product of n and p
should be constant (at a given temperature). Finally the effect of temperature on the
conductivity of a semiconductor is treated and the effective densities of states in the
conduction and valance bands are presented.
After completing this section, the student should understand:
- The difference between thermal and drift velocities of carriers
- The reasons for the low resistivity of perfect crystals, and constant resistivity in
terms of electron scattering
- The existence of many scattering mechanisms in crystals, the effect of which can be
added using Mattheissen's Rule
- The Wiedermann - Franz Law
- The nature of current carriers in semiconductors and the concept of mobility
- The semiconductor equation np = constant and its independence of doping.
The student is referred to the following resources in this module:
Jones, I.P., Chemical Microanalysis using Electron Beams, Institute of
Materials, 1992
Goodhew, P.J. and Humphreys, F.J., Electron Microscopy and Analysis, 2nd
Edition, Taylor & Francis, 1988
Reed, S.J.B., Electron Microprobe Analysis, Cambridge University Press, 1975
Solymar, L. and Walsh, D., Lectures on the Electrical Properties of Materials,
Oxford Science Pubs. 4th Ed 1988
Sze, S.M., Semiconductor Devices: Physics and Technology, John Wiley, 1985
Cottrell, A.H., Introduction to the Modern Theory of Metals, Institute of
Metals, 1988
Reed-Hill, R.E., Physical Metallurgy Principles, 2nd Edition, van Nostrand, 1973
Rosenberg, H.M., The Solid State, Oxford Physics Series, 1978 or later
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