Lecture 6 Photons, electrons

and other quanta

EECS 598-002 Winter 2006
Nanophotonics and Nano-scale Fabrication
P.C.Ku

From classical to quantum theory

In the beginning of the 20th century, experiments showed:

Particle nature of EM radiation

Wave nature of electrons

In 1927, Heisenberg proposed the uncertainly principle

which later on became the foundation of modern quantum
mechanics (QM):
Not all the physical quantities can be measured at the
same time with however precision we would like. E.g.
the more precisely we measure the position of a
particle, the less precisely we will be able to measure
its momentum.

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

Example: Photoelectric effect

In the experiment, the light shines on a metal and knocks

out the electrons on the metal surface. When we
measured the stopping voltage V0 to counteract the
generated current, we found a cutoff frequency f0. This
can not be explained by the Maxwells equations.

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

Quantum state and operators

In the language of QM, the physics of a particle (or a

system that is comprising of many particles) can be
described by a state (t ) (a vector in Hilbert space).

The physical quantities (measurables) can be obtained by

applying a suitable operator to the state (t ) .
This will yield one of the eigenvalues with probability P
2
given by P( ) = (t ) . The measurement will also change
the system to the new state .
e.g. In coordinate basis:
Position operator
Momentum operator
Total energy operator

K
r
i=
= 22
K

+ V (r )
2m

Hamiltonian

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

Dynamics of quantum states

The evolution of the quantum state obeys the

Schroedinger equation:
d (t )
i=
= H (t )
dt

where H is the Hamiltonian.

For example, an electron in a time-independent potential
V(r) is governed by:
d (t )
= 22
K

+
V
(
r
)

(
t
)
=
i
=
2m

dt

(t ) = E e iEt / =
= 22

K

+ (V ( r ) E ) E = 0
2m

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

Comparison b/w QM and EM

Equation governing QM and EM have lots of mathematical
similarities.
QM
Equation

K
2 2m
E
V
(
r
) ) E = 0

=2

EM
K

E
2 + 2 0 ( 0 + ( r ) 0 ) K = 0
H

K
V ( r )

(r) 0

Eigenstate

K
K
E and H

Eigenvalue

Potential

Wavevector

2m
K
E V (r ) )
2 (
=

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

0 ( r )
6

First analogy: tunneling

( z)

V(z)

z
QM

z
EM

1. Electron experiences reflection and tunneling through

E
the potential barrier. The wavefunction
is
exponential decayed in the barrier.
2. The tunneling probability increases when the width of the
potential barrier decreases.
EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

Slab waveguide vs potential well

( z)

V(z)

z
EM

QM

At a fixed K.E. in the x-y plane,

the kinetic energy of an
electron in the z direction is
quantized.
kz

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

Electrons in crystals

When electron travels in a periodic potential (e.g. in the

crystal), its eigenstate satisfies the Blochs theorem.
K
K ikKrK
( r ) = u ( r )e

K
The Bloch function u ( r ) has the same periodicity as the
crystal lattice.

The spatial symmetry of the crystal lattice with respect to

a fixed point determines the eigenfunctions of the electron.

Because of the periodicity, the energy bandgap exists at

certain k values.

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

Effective mass vs constitutive relation

Similar to the macroscopic version of the Maxwells

equations, we can also derive an effective-mass
equation for electrons traveling in the lattice with the
assumption that the electron interacts weakly with the
lattice.
= 22

K
K
V
(
r
)
V
(
r
)
E

+
+

) E = 0
macroscopic
2m ( crystal

= 22

K

+ Vmacroscopic ( r ) E E = 0
*
2m

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

10

Example of a dispersion relation

Electron in periodic V(r)

EM wave in periodic (r)

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

11

Density of states

Density of states g(E) is the total number of allowed-to-occupy states

with frequencies between and + per unit volume.
g(E) =

1 dN ( E )
V dE

where N ( E ) is the total number of states from 0 to .

In a potential well:
N (E) =

E '< E

= 2

g ( E ') f ( E ')dE ' = f ( k ')

k'

( k )
d

K
f ( k ')dk ' = 2

k '< k

( k )
d

A( k ') f ( k ')dk '

k '< k

dk
1 2 A( k ) dk
1
g ( En ) =
=
2
A
(
k
)

d
dE
V ( k ) dE
2
3 dim A( k ) = 4 k 2

2 dim A( k ) = 2 k
d =
1 dim A( k ) = 1

0 dim A( k ) = ( k kn )
EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

12

Density of states (cont.)

For electrons, E = = 2 k 2 / 2m. For EM waves (photons), E = = = =ck .
Note k can be discrete due to quantization.
For electrons:

dk
m
= 2 (d>0) ; g ( E ) = g ( En )
dE = k
n

3/ 2

1 2m
3
dim
(
)
=
g
E
E

2
2
2 =

m
2 dim g ( E ) = 2 ( E En )

= n
d =
1/ 2

1 m
1
1 dim g ( E ) = 2
2 = n En

0 dim g ( E ) = 2 ( E E )
n
n

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

13

Density of states for electrons

g(E) = Density of states

3D
g(E)

2D
g(E)

Eg

wire

sheet

bulk

1D
g(E)

Eg

dot

0D
g(E)

Eg

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

Eg

E
14

Occupation probability

In thermal equilibrium, fermions (e.g. electrons) satisfy the

Fermi-Dirac statistics (two fermions cannot stay in the
same state):
f (E) =

1
exp [( E E F ) / k BT ] + 1

In thermal equilibrium, bosons (e.g. photons) satisfy the

Bose-Einstein statistics:
f (E) =

1
exp [( E E F ) / k BT ] 1

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

15

From single-particle to many-particle system

So far we have considered only the quantization of a

single particle, namely the electron. This procedure
(namely the uncertainly principle) applies to all particles
that are governed by Newtons Laws classically.

Similarly, we can also treat a multi-particle system as a

whole and quantize the system at once. To treat the
system classically, we can imagine the position and
momentum of each particle form a field. The moving of a
particle w.r.t. its equilibrium position looks like a
perturbation of the field, i.e. wave.

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

16

Number operator
N = a + a
a + n = n + 1 n + 1

Creation operator

a n = n n 1

Annihilation operator

H = = ( a + a + 1/ 2)

Hamiltonian operator

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

17

Photons

Similar to the quantization of a many-particle system, EM

wave can be thought as a perturbation of the EM field in
space-time.
Quantization of the EM field photons

K K
D i ( rK , t ), B j ( rK ', t ) = i= ijk
r ')
(

xk

Properties of photons

Mass = 0
Charge = 0
Energy = h = =
Momentum = =k

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

18

When do we need concepts of photons?

When do we need to treat the EM wave as photons?

When the momentum of each photon is comparable to that of the

material upon which it impinge.
When the number of photons involved in the interaction is very
small.

Examples:

Photoelectric effect
Spontaneous emission

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

19

Density of states for photons in 3D

dk 1
=
d c
N ( ) =

g ( ') f ( ')d ' = f ( k ')

'<

= 2

k'

3
( k ) k '<k

K
f ( k ')dk ' = 2

3
( k ) k '<k

4 k '2 f ( k ')dk '

2
k dk
= 2 3
g ( ) =
d c
2

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

20

Other quanta

Phonon
Plasmon
Surface plasmon

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

21

Classification of quanta

Mass

Charge

Electrons carry one unit of negative charge

Photons dont carry charges.

Spin

Mass of the electron = 9.1E-31 kg

Mass of the photon = 0

Spin = 1/2 (electrons), 3/2, 5/2, = fermions

Spin = 0, 1 (photons), 2, = bosons. E.g. Excitons can carry
integer spins.

Dispersion relation

Particularly useful for quasi particles

EECS 598-002 Nanophotonics and Nanoscale Fabrication by P.C.Ku

22