Quantum Transport:

Atom to Transistor

Prof. Supriyo Datta

ECE 659
Purdue University

04.23.2003

Lecture 37: Phonons, emission & Absorption

Ref. Chapter 10.2 & 10.4

Network for Computational Nanotechnology

 00:00
Introduction

• In the first part of this lecture we discuss
intraband transitions. Up till now we have
covered only interband transitions
Transitions
• Interband transitions are a lot
like atomic transitions
• Intraband transitions,
otherwise known as Cerenkov
radiation, can occur with both
phonons and photons

E • Intraband transitions could

take picoseconds whereas
intraband interband transitions usually
take nanoseconds
interband

v
k
 Silicon Interband 00:50
Transitions

• However, silicon interband • From the diagram on the left one can see
transitions take as long as a that for emission,
millisecond v v v
kf = k − β
and absorption
Interband Silicon Transitions
v v v
kf = k + β
v
where the photon wave v vector β required
E is very large. Since β is often very small
for light the coupling between non-vertical
transitions is weak and hence τ is large

• Note: vertical transitions are not

interband transition
permitted in silicon because there is not
any empty state available in the valence
band if the electron is to drop vertically.
v
k
 05:30
Intraband Formalism

• Just as with interband transitions, intraband transition lifetimes are defined as:

[( ) )]
Æ Emission
(
v v v v
Γ=h τ =∑
2
v
N β + 1 2π K δ ε ( k ) − ε ( k − β ) − h ω ( β )
v
β

Γ = h τ = ∑ [(N )2π K δ (ε ( k ) − ε ( k + β ) + h ω ( β ) )]
Æ Absorption v v v 2 v
v
v β
β
• Importantly, for intraband
v transitions the final state retains the
v initial
v state
v wave
() ( )
v v v
function. Therefore, k f = k ± β and for emission we requireε k − ε k − β − hw β = 0 ( )
() ( )
v v v v
likewise for absorption ε k − ε k + β − hw β = 0 ( )
() ( )
v v v v
ε k − ε k − β − hw(β ) = 0 ⇒ (k + β 2 − 2kβ cosθ ) − hc β = 0
h2 2 h2 2
k −
2m 2m v r v r
(k − β ) ⋅ (k − β )

hc β + hβ 2

∴ cos θ = 2m = c +β
h 2 kβ hk m 2k
m
 13:28
Coupling

• So, we need to have va phonon or • Note: for phonons cs is usually

photon with direction
v β and an electron used in place of c (Velocity of
with direction k sound instead of velocity of light)

• The term cos θ gives the

v
β Cerenkov cone for phonons
/photons, this effect is exactly the
v same as the sonic boom produced
θ k by jets

• We can work out the same result

• Inspecting the equality for absorption, only a sign change
cosθ = c +β results
hk m 2k
we see that since cos θ ≤ 1 emission is
only possible if the electron velocity,
ħk/m, exceeds the photon/phonon
velocity c
 20:52
Phonons

• Next: An introduction to phonons H2 Harmonic Oscillator

and their dispersion curves
m m
• Basic Definition: phonons are the
lattice vibrations (sound) which H H
propagate through a solid or Å Req Æ
molecule
• Similar to a classical harmonic
• For example, hydrogen molecules
osscilator this mass-spring system has
vibrate about an equilibrium bond
a resonant frequency defined by
distance, Req, with an intensity
proportional to temperature much
like a spring mass system ω= K M
with discrete energies. We define
phonons as the quantized energy
exchanged between vibrating masses
 23:00
1-Dimensional Lattice

• We can make a similar extension • Now, assuming sine or cosine

to the infinite 1-D lattice producing a solutions to the equation we can write
d 2U m (t )
mass-spring structure of the form
2
= −ω 2
Um
ÅaÆ dt
or

Um-1(t) Um(t) Um+1(t) − ω 2Um = K m (U m+1 − 2Um + U m−1 )

where m is the mass of each atom • The above translates easily into matrix
and Um(t) is the displacement of the form:
mth atom from equilibrium its
equilibrium position. ⎧U1 ⎫ ⎡ 2 −1 −1⎤⎧U1 ⎫
• Thus, according to Newton’s law ⎪U ⎪ ⎢−1 2 −1 ⎥⎪U ⎪
2⎪ 2⎪ K⎢ ⎥ ⎪ 2⎪
the force exerted on the mth atom is ω⎨ ⎬ = ⎨ ⎬
U
⎪ 3⎪ m ⎢ −1 O O ⎥ ⎪U3 ⎪
d 2Um ⎪⎩ M ⎪⎭ ⎢ ⎥⎪ ⎪
m 2 = K (Um+1 −Um ) − K (Um −Um−1 ) ⎣− 1 O ⎦⎩ M ⎭
dt
 28:37
1-D Dispersion Relation

• Likewise, taking • This gives rise to a dispersion relation which

advantage of matrix v looks like…
β
periodicity, for phonon we
may use the ansatz ω

U m = U 0 e ± iβ a
such that

ω 2 = 2k m (1 − cos βa )
v
β

( )
= 2 2k
m
sin ⎛⎜ β a ⎞⎟
2

⎝ 2⎠
-π/a π/a

∴ ω = 2 k m sin ⎛⎜ β a ⎞⎟ … and around the origin the curve is often

⎝ 2⎠ approximated linearly by the relation
k
ω= aβ
m
 32:40
Optical Phonons

• In semiconductors another phonon Acoustic ω

ω vs. β branch often occurs, and Optical
otherwise known as optical phonons. Branches
This results when two types of atoms, v
β
and hence two different masses,
exist in a unit cell. For example, -π/a -π/a
GaAs:
• Acoustic phonons propagate in one
direction
Ga As Ga As
• In the dispersion relation we denote Ga As Ga
the upper branch “optical branch” Æ Æ acoustic phonon Æ Æ
(has nothing to do with light) and the
• Optical phonons “squeeze” or “push”
lower branch “acoustic branch”. The
two atoms together
reason we call the upper one optical
is because if you shine light on the
solid you can excite this branch. Ga As
Æ optical phonon Å
 38:00
Closing Comments

v
The electric field, E , of a photon is uniform on an atomic scale +ve v -ve
E →
and induces opposite force on the +ve and -ve bonding pair
Ga As

Physical intuition on the flatness of the upper branch & strong

dependence of lower branch on β
Let’s ask ourselves why does the frequency generally go up with β? Frequency goes up as
the spring gets stiffer is a certain deformation is caused. β is like the wavelength. When you
have a 1-D series of atoms and you excite the first one, if the wavelength is relatively large,
the first atom moves a lot, the second moves by almost the same amount, the third moves
almost the same and so on. So the spring itself is not distorted a lot. However, for shorter
wavelengths the displacement in the atom 1 and atom 2 is considerably different such that
the spring feels a lot stiffer and so for short wavelengths the frequency goes up. This does
not happen for the optical branch. It doesn’t matter if the wavelength is lone or short. Within a
unit cell, the two atoms move opposite to each other and that’s what determines the stiffness
(they are moving against each other, it’s very stiff anyway). For short or long wavelength the
spring is distorted. So ω-β curve for the optical branch tends to be relatively flat.
The final coupling constant for any phonon as found in Γ is a product of the phonon strain and
the induced deformation potential. The deformation potential is the actual shift in the
conduction band of a solid due to the passage of a phonon. It is derived experimentally