Chapter 2

Introduction to second
quantization

2.1 Second quantization in phase space

2.1.1 Classical dynamics in terms of point particles
We consider systems of a large number N of identical particles which interact
via pair potentials V and may be subject to an external field U . The system
is described by the Hamilton function
N N
X p2i X X
H(p, q) = + U (ri ) + V (ri − rj ) (2.1)
i=1
2m i=1 1≤i<j≤N

where p and q are 3N -dimensional vectors of all particle momenta and coordi-
nates, p ≡ {p1 , p2 , . . . pN } and q ≡ {r1 , r2 , . . . rN }. Examples of the external
potentials can be the electrostatic potential of a capacitor, the potential of
an atomic nucleus or the potential an electron feels at a solid surface. The
interaction potentials can arise from gravitational fields, from the Coulomb
interaction of charged particles, the magnetic interaction of currents and so
on. From the hamiltonian (2.1) the equations of motion follow by applying
Hamilton’s equations1 ,
∂H pi
q̇i = = , (2.2)
∂pi m
∂H ∂U X ∂V
ṗi = − =− − , (2.3)
∂qi ∂qi j6=i
∂qi
1
Generalized equations of motion can, of course, also be obtained for non-Hamiltonian
(dissipative) systems

57
58 CHAPTER 2. SECOND QUANTIZATION

which is to be understood as two systems of 3N scalar equations for x1 , y1 , . . . zN

and px1 , py1 , . . . pzN where ∂/∂q ≡ {∂/∂r1 , . . . ∂/∂rN }, and the last equalities
are obtained by inserting the hamiltonian (2.1). The system (2.3) is nothing
but Newton’s equations containing the forces arising from the gradient of the
external potential and the gradient from all pair interactions involving the
given particle, i.e. for any particle i = 1 . . . N
∂U (r1 , . . . rN ) X ∂V (ri − rj )
ṗi = − − . (2.4)
∂ri j6=i
∂ri

Consider, as an example, a system of identical charged particles with charge

ei which may be subject to an external electrostatic potential φext and interact
ei ej
with each other via the Coulomb potential Vc = |ri −r j|
. Then Newton’s equa-
tion (2.4) for particle i contains, on the r.h.s., the gradients of the potential
U = ei φext and of the N − 1 Coulomb potentials involving all other particles.
∂ei φext (ri ) X ∂ ei ej
ṗi = − − , (2.5)
∂ri j6=i
∂r i |ri − rj |

2.1.2 Point particles coupled via classical fields

An alternative way of writing Eq. (2.5) is to describe the particle interaction
not by all pair interactions but to compute the total electric field, E(r, t),
all particles produce in the whole space. The force particle “i” experiences
is then just the Lorentz force, ei E, which is minus the gradient of the total
electrostatic potential φ which is readily identified from the r.h.s. of Eq. (2.5)

∂φ(r, t) 
ṗi = ei E(ri , t) = −ei , (2.6)
∂r r=ri
N
X ej
φ(r, t) = φext (r) + . (2.7)
j=1
|r − rj (t)|

In this case we explicitly know the form of the potential (2.7) but we can also
rewrite this in terms of the Poisson equation which is solved by the potential
(2.7)
N
X
∆φ(r, t) = −4π ej δ[r − rj (t)] = −4πρ(r, t). (2.8)
j=1

φ contains the external potential and the potentials induced by all particles at
a given space point r at time t. When computing the force on a given particle
2.1. SECOND QUANTIZATION IN PHASE SPACE 59

i the potential has to be taken at r = ri (t) and the contribution of particle “i”
to the sum over the particles in Eqs. (2.7, 2.8) has to be excluded (to avoid
selfinteraction). Also, on the r.h.s. we have introduced the charge density ρ of
the system of N point particles.
Considering the formal structure of Eq. (2.6) we notice that the Coulomb
forces between discrete particles have been completely eliminated in favor of a
space dependent function, the electric field. Obviously, this description is read-
ily generalized to the case of time-dependent external potentials and magnetic
fields which yields a coupled set of Newton’s and Maxwell’s equations,
 
1
ṗi = ei E(ri , t) + vi × B(ri , t) , (2.9)
c
1 ∂B(r, t)
divE(r, t) = 4πρ(r, t), ∇ × E(r, t) = − , (2.10)
c ∂t
4π 1 ∂E(r, t)
divB(r, t) = 0, ∇ × B(r, t) = j(r, t) + , (2.11)
c c ∂t
where we introduced P the current density j which, for a system of point particles
is given by j(r, t) = N j=1 ej vj (t)δ[r − rj (t)]. Charge and current density are
determined by the instantaneous phase space trajectories {q(t), p(t)} of all
particles.
The two sets of equations (2.6,2.8) and (2.9,2.10, 2.11) form closed sys-
tems coupling the dynamics of classical charged point particles and a classical
electromagnetic field. This coupling occurs, in the particle equation, via the
Lorentz force and, in the field equations, via charge and current density. The
classical description, therefore, requires knowledge of the N discrete particle
trajectories {q(t), p(t)} and of the two continuous vector fields E(r, t), B(r, t).
Using the electric and magnetic fields, we may rewrite the Hamilton func-
tion (2.1) corresponding to the full system (2.6, 2.10, 2.11)

N N
p2i 1
X X Z
d3 r E2 (r, t) + B2 (r, t)

H= + U (ri ) + (2.12)
i=1
2m i=1 8π

where the integral contains the energy of the electromagnetic field familiar
from standard electrodynamics.

2.1.3 Classical dynamics via particle and Maxwell fields

We have now found two alternative descriptions of the dynamics of interacting
point charges:
60 CHAPTER 2. SECOND QUANTIZATION

1. via the system (2.5), involving only discrete point particles, and

2. via the system (2.9, 2.10, 2.11) which gives a hybrid description in which
the particles are discrete but the fields (or the particle interaction) con-
tinuous.
One may ask if there is third form which contains only continuous field-type
quantities. This would require to represent also the particles by fields. This
is, indeed possible, as we show in this section.
In fact, the right hand sides of Maxwell’s equation already do contain (for-
mally) continuous quantities ρ and j representing the particles. However, they
contain (via the delta functions) only the particle coordinates. It is, therefore,
tempting to consider a symmetric with respect to q and p quantity – the mi-
croscopic phase space density which was introduced by Yuri Klimontovich in
the 1950s [Kli57]

N
X N
X
N (r, p, t) = δ[r − ri (t)]δ[p − pi (t)] ≡ δ[x − xi (t)] (2.13)
i=1 i=1

where we introduced the short notations x ≡ {r, p} and xi (t) ≡ {ri (t), pi (t)}.2
The function N is related to the particle density n(r, t) and it obeys a normal-
ization condition,
Z
d3 p N (r, p, t) = n(r, t), (2.14)
Z
d6 x N (r, p, t) = N (t). (2.15)

If there are no particle sources or sinks, N (t) =const, and there exists a local
conservation law dtd N = 0. From this we obtain the equation of motion of N :
N
dN (r, p, t) ∂N X ∂ ∂ri
= + δ[p − pi (t)] δ[r − ri (t)] +
dt ∂t i=1
∂r ∂t
N
X ∂ ∂pi
δ[r − ri (t)] δ[p − pi (t)] .
i=1
∂p ∂t

Using Newton’s equations (2.5) the time derivatives can be computed after
which the delta functions allow to replace ri → r and pi → p which can be
2
Note that for a vector y = {y1 , y2 , y3 }, δ[y] ≡ δ[y1 ]δ[y2 ]δ[y3 ], so N contains a product
of six scalar delta functions.
2.1. SECOND QUANTIZATION IN PHASE SPACE 61

taken out of the sum. As a result we obtain3

   
∂ ∂ 1 ∂
+ v + e E(r, t) + v × B(r, t) N (r, p, t) = 0. (2.16)
∂t ∂r c ∂p
Thus we have obtained a field description of the particles via the function N
and eliminated (formally) all discrete particle information. The field N also
replaces the charge and current density in Maxwell’s equations (2.10, 2.11) via
the relations [cf. Eq. (2.14)]
Z
ρ(r, t) = e d3 p N (r, p, t), (2.17)
Z
j(r, t) = e d3 p vN (r, p, t). (2.18)

A particularly simple form is obtained in the absence of a magnetic field,

in the case of particles interacting by Coulomb potentials, cf. Eqs. (2.6, 2.7)
above. Then, we may use the solution of Poisson’s equation, expressing ρ via
N
ρ(r′ , t)
Z
φ(r, t) = φext (r, t) + dr′
|r − r′ |
eN (r′ , p′ , t)
Z Z
= φext (r, t) + dr′ dp′ . (2.19)
|r − r′ |
With this expression the electrostatic field has been eliminated and the particle
dynamics (2.16) becomes a closed equation for N :
′ ′
   
∂ ∂ ∂ 6 ′ eN (r , p , t) ∂
Z
+v −e φext + d x N (r, p, t) = 0 (2.20)
∂t ∂r ∂r |r − r′ | ∂p

Using the phase space density, all observables of the system can be ex-
pressed in terms of fields. For example, the hamilton function now becomes
p2
Z Z
H = d6 x N (r, p, t) + d6 x U (r)N (r, p, t) +
2m
1
Z
d3 r E2 (r, t) + B2 (r, t) ,

+ (2.21)
8π
We underline that this is an exact equation (as long as a classical descrip-
tion is valid) – no assumptions with respect to the interactions have been
3
To simplify the notation, in the following we consider a one-component system with
identical charges, e1 = . . . eN = e. An extension to multi-component systems is straightfor-
wardly done by introducing a separate function Na , for each component.
62 CHAPTER 2. SECOND QUANTIZATION

made. It is fully equivalent to Newton’s equations (2.6). The discrete nature

of the particles has now vanished – it is hidden in the highly singular phase
space field N . As Newton’s equation, Eq. (2.20) allows for an exact solution
of the particle dynamics, once the initial conditions are precisely known. This
may be the case for a few particles. In contrast, if our goal is to describe the
behavior of a macroscopic particle ensemble any particular initial condition,
and the resulting dynamics have to be regarded as random. However, we will
be interested in statistically reliable predictions so we need to average over a
certain statistical ensemble, e.g. over all possible initial conditions. An en-
semble average of N yields directly the single-particle phase space distribution
hN (r, p, t)i = f (r, p, t), and Eq. (2.20) turns into an equation for the distri-
bution function f , i.e. a kinetic equation. The use of the phase space density
N as starting point for derivation of a kinetic theory of gases and plasmas has
been successfully demonstrated by Klimontovich, for details see his text books
[Kli75, Kli80].

With Eqs. (2.16) and (2.20) we have realized the third picture of coupled
particle electromagnetic field dynamics – in terms of the particle field N and
the electric and magnetic fields. While we have concentrated on charged par-
ticles and Coulomb interaction, the approach may be equally applied to other
interactions, e.g. electrons interaction with lattice vibrations of a solid de-
scribed by the displacement field, see Sec. 2.5.1. Thus the basis for a classical
field theory has been achieved.

Of course, this picture is based on classical physics, i.e. on Newton’s equa-

tions for point particles and Maxwell’s equations for the electromagnetic field.
No quantum effects appear, neither in the description of the particles nor the
field. The classical picture has been questioned only at the end of the 19th
century where the experiments on black body radiation could not be correctly
explained by Maxwell’s theory of the electromagnetic field. The classical ex-
pression for the field energy of an electromagnetic wave which only depends on
the field amplitudes E0 , B0 and, therefore, is a continuous function, cf. hamil-
tonian (2.21), did not reproduce the measured spectral energy density. The
solution which was found by Max Planck indicated that the field energy cannot
depend on the field amplitudes alone. The energy exchange between electro-
magnetic field and matter is even entirely independent of E0 , B0 , instead it
depends on the frequency ω of the wave. Thus the total energy of an electro-
magnetic wave of frequency ω is an integer multiple of an elementary energy,
Wfield (ω) = N ~ω, where ~ is Planck’s constant, i.e. the energy is quantized.
2.2. QUANTUM MECHANICS AND FIRST QUANTIZATION 63

What Planck had discovered in 1900 was the quantization of the electro-
magnetic field 4 . This concept is very different from the quantum mechanical
description of the electron dynamics from which it is, therefore, clearly distin-
guished by the now common notion of “second quantization”. Interestingly,
however, the “first quantization” of the motion of microparticles was intro-
duced only a quarter century later when quantum mechanics was discovered.

2.2 Quantum mechanics and first quantization

Let us briefly recall the main ideas of quantum theory. The essence of quantum
mechanics or “first” quantization is to replace functions by operators, starting
from the coordinate and momentum,

r → r̂ = r,
~ ∂
p → p̂ = ,
i ∂r
where the last equalities refer to the coordinate representation. These opera-
tors are hermitean, r̂† = r̂ and p̂† = p̂, and do not commute

[x̂i , p̂j ] = i~δi,j , (2.22)

which means that coordinate and momentum (the same components) cannot
be measured simultaneously. The minimal uncertainty of such a simultaneous
measurement is given by the Heisenberg relation
~
∆x̂i ∆p̂i ≥ , (2.23)
2

where the standard deviation (“uncertainty”) of an operator  is definied as

s
 2 
∆ =  − hÂi , (2.24)

and the average is computed in a given state |ψi, i.e. hÂi = hψ|Â|ψi. The
general formulation of quantum mechanics describes an arbitrary quantum
system in terms of abstract states |ψi that belong to a Hilbert space (Dirac’s
4
Planck himself regarded the introduction of the energy quantum ~ω only as a formal
mathematical trick and did not question the validity of Maxwell’s field theory. Only half
a century later, when field quantization was systematically derived, the coexistence of the
concepts of energy quanta and electromagnetic waves became understandable, see Sec. 1.5
64 CHAPTER 2. SECOND QUANTIZATION

notation), and operators act on these state returning another Hilbert space
state, Â|ψi = |φi.
The central quantity of classical mechanics – the hamilton function – retains
its functional dependence on coordinate and momentum in quantum mechan-
ics as well (correspondence principle) but becomes an operator depending on
operators, H(r, p) → Ĥ(r̂, p̂). The classical equations of motion – Hamil-
ton’s equations or Newton’s equation (2.4) – are now replaced by a partial
differential equation for the Hamilton operator, the Schrödinger equation

∂
i~ |ψ(t)i = Ĥ|ψ(t)i. (2.25)
∂t

Stationary properties are governed by the stationary Schrödinger equation that

follows from the ansatz5
i
|ψ(t)i = e− ~ Ĥt |ψi.
Ĥ|ψi = E|ψi, (2.26)

The latter is an eigenvalue equation for the Hamilton operator with the eigen-
functions |ψi and corresponding eigenvalues E. “First” quantization is evident
in the case of particle motion in a confining potential U (r), such as an oscil-
lator potential: classical bounded motion transforms, in quantum mechanics,
into a set of eigenstates |ψn i (that are localized as well) that exist only for a
sequence of discrete (quantized) energies En . This example is discussed more
in detail below.

2.3 The linear harmonic oscillator and the lad-

der operators
Let us now recall the simplest example of quantum mechanics: one particle in
a one-dimensional harmonic potential U (x) = m2 ω 2 x2 , i.e. in Eq. (2.1), N = 1
and the interaction potentials vanish. We will use this example to introduce
the basic idea of “second quantization”. In writing the potential U (x) we
switched to the coordinate representation where states |ψn i are represented by
functions of the coordinate, ψn (x). At the end we will return to the abstract
notation in terms of Dirac states.
5
Here we assume a time-independent hamiltonian.
2.3. THE LADDER OPERATORS 65

2.3.1 One-dimensional harmonic oscillator

The stationary properties of the harmonic oscillator follow from the stationary
Schrödinger equation (2.26) which now becomes, in coordinate representation
 2
mω 2 2

p̂
Ĥ(x̂, p̂)ψn (x) = + x̂ ψn (x) = En ψn (x), (2.27)
2m 2
d
where x̂ = x and p̂ = ~i dx . We may bring the Hamilton operator to a more
symmetric form by introducing the dimensionless coordinate ξ = x/x0 with
the length scale x0 = [~/mω]1/2 , whereas energies will be measured in units of
d
~ω. Then we can replace dx = x10 dξ
d
and obtain

∂2
 
Ĥ 1 2
= − 2 +ξ . (2.28)
~ω 2 ∂ξ

This quadratic form can be rewritten in terms of a product of two first order
operators a, a† , the “ladder operators”,
 
1 ∂
a = √ +ξ , (2.29)
2 ∂ξ
 
1 ∂
a† = √ − + ξ . (2.30)
2 ∂ξ

Indeed, computing the product

   
† 1 ∂ 1 ∂
N̂ = a a = √ +ξ √ − +ξ (2.31)
2 ∂ξ 2 ∂ξ
2
 
1 ∂
= − 2 + ξ2 − 1 ,
2 ∂ξ

the hamiltonian (2.28) can be written as

Ĥ 1
= N̂ + . (2.32)
~ω 2

It is obvious from (2.32) that N̂ commutes with the hamiltonian,

[Ĥ, N̂ ] = 0, (2.33)

and thus the two have common eigenstates. This way we have transformed the
hamiltonian from a function of the two non-commuting hermitean operators
66 CHAPTER 2. SECOND QUANTIZATION

x̂ and p̂ into a function of the two operators a and a† which are also non-
commuting6 , but not hermitean, instead they are the hermitean conjugate of
each other,

[a, a† ] = 1, (2.34)
(a)† = a† , (2.35)

which is easily verified.

The advantage of the ladder operators is that they allow for a straight-
forward computation of the energy spectrum of Ĥ, using only the properties
(2.31) and (2.34), without need to solve the Schrödinger equation, i.e. avoid-
ing explicit computation of the eigenfunctions ψn (ξ) 7 . This allows us to re-
turn to a representation-independent notation for the eigenstates, ψn → |ni.
The Ponly thing we require is that these states are complete and orthonormal,
1 = n |nihn| and hn|n′ i = δn,n′ .
Now, acting with N̂ on an eigenstate, using Eq. (2.32), we obtain
 
† En 1
N̂ |ni = a a |ni = − |ni = n|ni, ∀n, (2.36)
~ω 2
En 1
n = − ,
~ω 2
where the last line relates the eigenvalues of N̂ and n̂ that correspond to the
common eigenstate |ni. Let us now introduce two new states that are created
by the action of the ladder operators,

a|ni = |ñi,
a† |ni = |n̄i,

where this action is easily computed. In fact, multiplying Eq. (2.36) from the
left by a, we obtain
 
† En 1
aa |ñi = − |ñi.
~ω 2
Using the commutation relation (2.34) this expression becomes
 
† En 3
a a |ñi = − |ñi = (n − 1)|ñi,
~ω 2
6
The appearance of the standard commutator indicates that these operators describe
bosonic excitations.
7
R We will 2 use the previous notation ψ, which means that the normalization is
x0 dξ|ψ(ξ)| =1
2.3. THE LADDER OPERATORS 67

which means the state |ñi is an eigenstate of N̂ [and, therefore, of Ĥ] and has
an energy lower than |ni by ~ω whereas the eigenvalue of N̂ is ñ = n−1. Thus,
the action of the operator a is to switch from an eigen state with eigenvalue
n to one with eigenvalue n − 1. Obviously, this is impossible for the ground
state, i.e. when a acts on |0i, so we have to require

|0̃i = a|0i ≡ 0. (2.37)

When we use this result in Eq. (2.36) for n = 0, the l.h.s. is zero with the con-
sequence that the term in parantheses must vanish. This immediately leads to
the well-known result for the ground state energy: E0 = ~ω/2, corresponding
to the eigenvalue 0 of N̂ .
From this we now obtain the energy spectrum of the excited states: acting
with a† from the left on Eq. (2.36) and using the commutation relation (2.34),
we obtain
 
En 1
N̂ |n̄i = − + 1 |n̄i = n̄|n̄i.
~ω 2

Thus, n̄ is again an eigenstate of N̂ and Ĥ. Further, if the eigenstate |ni

has an energy En , cf. Eq. (2.36), then n̄ has an energy En + ~ω, whereas
the associated eigenvalue of N̂ is n̄ = n + 1. Starting from the ground state
and acting repeatedly with a† we construct the whole spectrum, En , and may
express all eigenfunctions via ψ0 :
 
1
En = ~ω n + , n = 0, 1, 2, . . . (2.38)
2

n
|ni = Cn a† |0i. (2.39)
1
Cn = √ , (2.40)
n!

where the normalization constant Cn will be verified from the properties of a†

below. The above result shows that the eigenvalue of the operator N̂ is just
the quantum number n of the eigenfunction |ni. In other words, since |ni is
obtained by applying a† to the ground state function n times or by “n-fold
excitation”, the operator N̂ is the number operator counting the number of
excitations (above the ground state). Therefore, if we are not interested in the
analytical details of the eigenstates we may use the operator N̂ to count the
number of excitations “contained” in the system. For this reason, the common
notion for the operator a (a† ) is “annihilation” (“creation”) operator of an
excitation. For an illustration, see Fig. 2.3.1.
68 CHAPTER 2. SECOND QUANTIZATION

Figure 2.1: Left: oscillator potential and energy spectrum. The action of the
operators a and a† is illustrated. Right: alternative interpretation: the op-
erators transform between “many-particle” states containing different number
of elementary excitations.

From the eigenvalue problem of N̂ , Eq. (2.36) we may also obtain the
explicit action of the two operators a and a† . Since the operator a transforms
a state into one with quantum number n lower by 1 we have
√
a|ni = n|n − 1i, n = 0, 1, 2, . . . (2.41)

where the prefactor may be understood as an ansatz8 . The correctness is

proven by deriving, from Eq. (2.41), the action of a† and then verifying that
we recover the eigenvalue problem of N̂ , Eq. (2.36). The action of the creation
operator is readily obtained using the property (2.35):
X X
a† |ni = |n̄ihn̄|a† |ni = |n̄i a[hn̄|] |ni
n̄ n̄
X √ √
= |n̄i n̄ hn̄ − 1 |ni = n + 1 |n + 1i. (2.42)
n̄

Inserting these explicit results for a and a† into Eq. (2.36), we immediately
verify the consistency of the choice (2.41). Obviously the oscillator eigenstates
|ni are no eigenstates of the creation and annihilation operators 9 .

Problems:

1. Calculate the explicit form of the ground state wave function by using
Eq. (2.37).
 √
2. Show that the matrix elements of a† are given by n + 1|a† |n = n + 1,

where n = 0, 1, . . . , and are zero otherwise.

√
3. Show that the matrix elements of a are given by hn − 1|a|ni = n, where
n = 0, 1, . . . , and are zero otherwise.

4. Proof relation (2.40).

8
This expression is valid also for n = 0 where the prefactor assures that application of a
to the ground state does not lead to a contradiction.
9
A particular case are Glauber states (coherent states) that are a special superposition
of the oscillator states which are the eigenstate of the operator a.
2.3. THE LADDER OPERATORS 69

2.3.2 Generalization to several uncoupled oscillators

The previous results are directly generalized to a three-dimensional harmonic
oscillator with frequencies ωi , i = 1, 2, 3, which is described by the hamiltonian

3
X
Ĥ = Ĥ(x̂i , p̂i ), (2.43)
i=1

which is the sum of three one-dimensional hamiltonians (2.27) with the po-
tential energy U (x1 , x2 , x3 ) = m2 (ω12 x21 + ω22 x22 + ω32 x23 ). Since [pi , xk ] ∼ δk,i
all three hamiltonians commute and have joint eigenfunction (product states).
The problem reduces to a superposition of three independent one-dimensional
oscillators. Thus we may introduce ladder operators for each component inde-
pendently as in the 1d case before,

 
1 ∂
ai = √ + ξi , (2.44)
2 ∂ξi
 
† 1 ∂
ai = √ − + ξi , [ai , a†k ] = δi,k . (2.45)
2 ∂ξi

Thus the hamiltonian and its eigenfunctions and eigenvalues can be written as

3  
X 1
Ĥ = ~ωi a†i ai +
i=1
2
ai |0i = 0, i = 1, 2, 3
1
ψn1 ,n2 ,n3 = |n1 n2 n3 i = √ (a†1 )n1 (a†2 )n2 (a†3 )n3 |0i (2.46)
n1 !n2 !n3 !
3  
X 1
E = ~ωi ni + .
i=1
2

Here |0i ≡ |000i = |0i|0i|0i denotes the ground state and a general state
|n1 n2 n3 i = |n1 i|n2 i|n3 i contains ni elementary excitations in direction i, cre-
ated by ni times applying operator a†i to the ground state.
Finally, we may consider a more general situation of any number M of
coupled independent linear oscillators and generalize all results by replacing
the dimension 3 → M .
70 CHAPTER 2. SECOND QUANTIZATION

Figure 2.2: Illustration of the one-dimensional chain with nearest neighbor

interaction. The chain is made infinite by connecting particle N + 1 with
particle 1 (periodic boundary conditions).

2.4 Generalization to interacting particles.

Normal modes
The previous examples of independent linear harmonic oscillators are of course
the simplest situations which, however, are of limited interest. In most prob-
lems of many-particle physics the interaction between the particles which was
neglected so far, is of crucial importance. We now discuss how to apply the
formalism of the creation and annihilation operators to interacting systems.

2.4.1 One-dimensional chain and its normal modes

We consider the simplest case of an interacting many-particle system: N iden-
tical classical particles arranged in a linear chain and interacting with their
left and right neighbor via springs with constant k.10 , see Fig. 2.2.

This is the simplest model of interacting particles because each particle is

assumed to be fixed around a certain position xi in space around which it can
perform oscillations with the displacement qi and the associated momentum
pi .11 Then the hamiltonian (2.1) becomes
N  2
pj

X k 2
H(p, q) = + (qj − qj+1 ) . (2.47)
j=1
2m 2

Applying Hamilton’s equations we obtain the system of equations of motion

(2.4)
mq̈j = k (qj+1 − 2qj + qj−1 ) , j = 1...N (2.48)
which have to be supplemented with boundary and initial conditions. In the
following we consider a macroscopic system and will not be interested in ef-
fects of the left and right boundary. This can be achieved by using “peri-
odic” boundary conditions, i.e. periodically repeating the system according to
10
Here we follow the discussion of Huang [Hua98].
11
Such “lattice” models are very popular in theoretical physics because they allow to study
many-body effects in the most simple way. Examples include the Ising model, the Anderson
model or the Hubbard model of condensed matter physics.
2.4. INTERACTING PARTICLES 71

Figure 2.3: Dispersion of the normal modes, Eq. (2.51), of the 1d chain with
periodic boundary conditions.

qj+N (t) = qj (t) for all j [for solutions for the case of a finite system, see Prob-
lem 5]. We start with looking for particular (real) solutions of the following
form12
qj (t) = ei(−ωt+jl) + c.c., (2.49)
which, inserted into the equation of motion, yield for any j

−mω 2 qj + qj∗ = k eil − 2 + e−il qj + qj∗ ,

(2.50)

resulting in the following relation between ω and k (dispersion relation)13 :

l k
ω 2 (l) = ω02 sin2 , ω02 = 4 . (2.51)
2 m
Here ω0 is just the eigenfrequency of a spring with constant k, and the prefactor
2 arises from the fact that each particle interacts with two neighbors. While
the condition (2.51) is independent of the amplitudes qj0 , i.e. of the initial
conditions, we still need to account for the boundary (periodicity) condition.
Inserting it into the solution (2.49) gives the following condition for l, indepen-
dently of ω: l → ln = Nn 2π, where n = 0, ±1, ±2, · · · ± N2 . Thus there exists
a discrete spectrum of N frequencies of modes which can propagate along the
chain (we have to exclude n = 0 since this corresponds to a time-independent
trivial constant displacement),

k nπ N
ωn2 = 4 sin2 , n = ±1, ±2, · · · ± . (2.52)
m N 2
This spectrum is shown in Fig. 2.3. These N solutions are the complete set of
normal modes of the system (2.47), corresponding to its N degrees of freedom.
These are collective modes in which all particles participate, all oscillate with
the same frequency but with a well defined phase which depends on the particle
number. These normal modes are waves running along the chain with a phase
velocity14 cn ∼ ωn /ln .
12
In principle, we could use a prefactor qj0 = q 0 different from one, but by rescaling of
q it can always be eliminated. The key is that the amplitudes of all particles are strictly
coupled.
13
We use the relation 1 − cos x = 2 sin2 x2 .
14
The actual phase velocity is ωn /kn , where the wave number kn = ln /a involves a length
scale a which does not appear in the present discrete model.
72 CHAPTER 2. SECOND QUANTIZATION

Due to the completeness of the system of normal modes, we can expand

any excitation of particle j and the corresponding momentum pj (t) = mq̇j (t)
into a supersposition of normal mode contributions (n 6= 0)

N N
2 2
1 X 1 X
Q0n ei(−ωn t+2π N j ) = √
n
qj (t) = √ e−iωn t Qn (j) (2.53)
N N N N
n=− 2
n=− 2
N N
2 2
1 X 0 i(−ωn t+2π Nn j ) 1 X −iωn t
pj (t) = √ Pn e =√ e Pn (j), (2.54)
N N N N
n=− 2
n=− 2

where Pn0 = −imωn Q0n . Note that the complex conjugate contribution to mode
n is contained in the sum (term −n). Also, qj (t) and pj (t) are real functions.
By computing the complex conjugate qj∗ and equating the result to qj we obtain
the conditions (Q0n )∗ = Q0−n and ω−n = −ω−n . Analogously we obtain for the
momenta (Pn0 )∗ = P−n 0
. To make the notation more compact we introduced
the N -dimensional complex vectors Q ~ n and P~n with the component j being
equal to Qn (j) = Q0n ei2πnj/N and Pn (j) = Pn0 ei2πnj/N . One readily proofs15
that these vectors form an orthogonal system by computing the scalar product
(see problem 5)

N
n+m
~ nQ
~ m = Q0n Q0m
X
Q ei2π N
j
= N Q0n Q0m δn,−m . (2.55)
j=1

Using this property it is now straightforward to compute the hamilton

function in normal mode representation. Consider first the momentum contri-
bution,
N N
N 2 2
1 X
P~n P~m e−i(ωn +ωm )t ,
X X
p2j (t) = (2.56)
j=1
N N N
n=− 2
m=− 2

where the sum over j has been absorbed in the scalar product. Using now the
orthogonality condition (2.55) we immediately simplify

N
X X
p2j (t) = |Pn0 |2 . (2.57)
j=1 n

15
See problem 5
2.4. INTERACTING PARTICLES 73

Analogously, we compute the potential energy

N N
N 2 2
kX k X X
U = [qj (t) − qj+1 (t)]2 = e−i(ωn +ωm )t
2 j=1 2N N N
n=− 2
m=− 2
N
n n m m
X
Q0n Q0m ei2π N j − ei2π N (j+1) ei2π N j − ei2π N (j+1) .
 
×
j=1

The sum over j can again be simplified using the orthogonality condition (2.55),
which allows to replace m by −n,

N
1 X 0 0  i2π n j n m m
Qn Qm e N − ei2π N (j+1) ei2π N j − ei2π N (j+1) =

N j=1
n
m

= 1 − ei2π N 1 − ei2π N Q ~ nQ
~m =
ω2
 
2πn
= 2 1 − cos δn,−m Q0n Q0m = 4 n2 δn,−m |Q0n |2 ,
N ω0

where we have used Eq. (2.51) and the relation 1 − cos x = 2 sin2 x2 . This yields
for the potential energy

k X mωn2
U=
2 n k

and for the total hamilton function

N
2  
X 1 0 2 m 2 02
H(P, Q) = |P | + ωn |Qn | . (2.58)
N
2m n 2
n=− 2

Problem 5: Proof the orthogonality relation (2.55).

2.4.2 Quantization of the 1d chain

We now quantize the interacting system (2.47) by replacing coordinates and
momenta of all particles by operators

(qi , pi ) → (q̂i , p̂i ) , i = 1, . . . N,

† †
with q̂i = q̂j , p̂i = p̂i , [q̂i , p̂j ] = i~δij . (2.59)
74 CHAPTER 2. SECOND QUANTIZATION

The Hamilton function (2.47) now becomes an operator of the same functional
form (correspondence principle),
N  2
p̂j

X k 2
Ĥ(p̂, q̂) = + (q̂j − q̂j+1 ) ,
j=1
2m 2

and we still use the periodic boundary conditions q̂N +i = q̂i . The normal
modes of the classical system remain normal modes in the quantum case as
well, only the amplitudes Q0n and Pn0 become operators
N
2
1 X
q̂j (t) = √ e−iωn t Q̂n (j) (2.60)
N N
n=− 2
N
2
1 X −iωn t
pj (t) = √ e P̂n (j), (2.61)
N N
n=− 2

where Q̂n (j) = Q̂0n exp{i2πnj/N }, P̂n (j) = P̂n0 exp{i2πnj/N } and P̂n0 =
−imωn Q̂0n .
What remains is to impose the necessary restrictions on the operators Q̂0n
and P̂n0 such that they guarantee the properties (2.59). One readily verifies
that hermiticity of the operators is fulfilled if (Q̂0 )†n = Q̂0−n , (P̂ 0 )†n = P̂−n
0
and
ω−n = −ωn . Next, consider the commutator of q̂i and p̂j and use the normal
mode representations (2.60, 2.61),
1 X X 0 0 −i(ωn +ωm )t i 2π (kn+jm)
[q̂k , p̂j ] = [Q̂ , P̂ ]e e N . (2.62)
N n m n m

A sufficient condition for this expression to be equal i~δk,j is evidently [Q̂0n , P̂m0 ] =
i~δn,−m which is verified separately for the cases k = j and k 6= j. In other
words, the normal mode operators obey the commutation relation
h i
Q̂0n , (P̂m0 )† = i~δn,m , (2.63)

and the hamiltonian becomes, in normal mode representation,

N
2  
X 1 0 2 m 2 02
Ĥ(P̂ , Q̂) = |P̂ | + ωn |Q̂n | . (2.64)
N
2m n 2
n=− 2

This is a superposition of N independent linear harmonic oscillators with the

frequencies ωn given by Eq. (2.52). Applying the results for the superposition
2.4. INTERACTING PARTICLES 75

of oscillators, Sec. 2.3.2, we readily can perform

p mωn the secondNquantization by
N
defining dimensionless coordinates, ξn = ~
Qn , n = − 2 , . . . 2 , n 6= 0,
and introducing the creation and annihilation operators,
 
1 ∂
an = √ + ξn , (2.65)
2 ∂ξn
 
1 ∂
a†n = √ − + ξn , [an , a†k ] = δn,k . (2.66)
2 ∂ξn
Thus the hamiltonian and its eigenfunctions and eigenvalues can be written as
N
2  
X 1
Ĥ = ~ωn a†n an +
2
n=− N
2

N N
an |0i = 0, n=− ,...
2 2
1 
†
m 1  m N
ψm1 ,...mN = |m1 . . . mN i = √ a− N . . . a†N |0i
m1 ! . . . mN ! 2 2

N
2  
X 1
E = ~ωn mn + .
N
2
n=− 2

Here |0i ≡ |0 . . . 0i = |0i . . . |0i [N factors] denotes the ground state and a
general state |m−N/2 . . . mN/2 i = |m−N/2 i . . . |mN/2 i contains mn elementary
excitations of the normal mode n, created by mn times applying operator a†n
to the ground state.

Problem 6: The commutation relation (2.63) which was derived to satisfy

the commutation relations of coordinates and momenta is that of bosons. This
result was independent of whether the particles in the chain are fermions or
bosons. Discuss this seeming contradiction.

2.4.3 Generalization to arbitrary interaction

Of course, the simple 1d chain is a model with a limited range of applicability.
A real system of N interacting particles in 1d will be more difficult, at least by
three issues: first, the pair interaction potential V may have any form. Second,
the interaction, in general, involves not only nearest neighbors, and third, the
effect of the full 3d geometry may be relevant. We, therefore, now return to
76 CHAPTER 2. SECOND QUANTIZATION

the general 3d system of N classical particles (2.1) with the total potential
energy16
N
X X
Utot (q) = U (ri ) + V (ri − rj ), (2.67)
i=1 1≤i<j≤N

leading to Newton’s equations

∂
mr̈i = − Utot (q), i = 1, . . . N. (2.68)
∂ri
Let us consider stationary solutions, where the time derivatives on the l.h.s.
vanish. The system will then be in a stationary state “s′′ corresponding to
(0) (0) (0)
a minimum qs of Utot of depth Us = Utot (qs ) [the classical ground state
corresponds to the deepest minimum]. In the case of weak excitations from the
(0) (0)
minimum, q = qs + ξ, with |ξ| << qs , the potential energy can be expanded
in a Taylor series17
∂ 1
Utot (q) = Us(0) + Utot (q = qs(0) )ξ + ξ T H(s) ξ + ... (2.69)
∂q 2
where all first derivatives are zero, and we limit ourselves to the second order
(harmonic approximation). Here we introduced the 3N × 3N Hesse matrix
(s) 2 (0)
Hij = ∂x∂i ∂xj Utot (q = qs ), where xi , xj = x1 , y1 , . . . zN , and ξ T is the trans-
posed vector (row) of ξ. Thus, for weak excitations, the potential energy
(0)
change ∆Utot = Utot (q) − Us is reduced to an expression which is quadratic
in the displacements ξ, i.e. we are dealing with a system of coupled harmonic
oscillators18
We can easily transform this to a system of uncoupled oscillators by di-
agonalizing the Hesse matrix which can be achieved by solving the eigenvalue
problem (we take the mass out for dimensional reasons)

λn mQn = HQn , n = 1, . . . 3N. (2.70)

Since H is real, symmetric and positive definite19 the eigenvalues √ are real
and positive corresponding to the normal mode frequencies ωn = λn . Fur-
thermore, as a result of the diagonalization, the 3N -dimensional eigenvectors
16
Here we follow the discussion of Ref. [HKL+ 09]
17 (0)
Recall that q, qs and ξ are 3N -dimensional vectors in configuration space.
18
Strictly speaking, from the 3N degrees of freedom, up to three [depending on the sym-
metry of U ] may correspond to rotations of the whole system (around one of the three
coordinate axes, these are center of mass excitations which do not change the particle dis-
tance), and the remaining are oscillations.
19 (0)
qs corresponds to a mininmum, so the local curvature of Utot is positive in all directions
2.4. INTERACTING PARTICLES 77

form
P3N a complete orthogonal system {Qn } with the scalar product Qn Qm ≡
i=1 Qn (i)Qm (i) ∼ δm,n which means that any excitation can be expanded
into a superposition of the eigenvectors (normal modes),
3N
X
q(t) = qs(0) + cn (t)Qn . (2.71)
n=1

The expansion coefficients cn (t) (scalar functions) are the normal coordinates.
Their equation of motion is readily obtained by inserting a Taylor expansion
of the gradient of Utot [analogous to (2.69)] into (2.68),
∂Utot
0 = mq̈ + = mq̈ + H · ξ, (2.72)
∂q
and, using Eq. (2.71) for q̈ and eliminating H with the help of (2.70),
3N
X
c̈n (t) + cn (t)ωn2 Qn .

0=m (2.73)
n=1

Due to the orthogonality of the Qn which are non-zero, the solution of this
equation implies that the terms in the parantheses vanish simultaneously for
every n, leading to an equation for a harmonic oscillator with the solution
cn (t) = An cos{ωn t + Bn }, n = 1, . . . 3N, (2.74)
where the coefficients An and Bn depend on the initial conditions. Thus, the
normal coordinates behave as independent linear 1d harmonic oscillators.
In analogy to the coordinates, also the particle momenta, corresponding
to some excitation q(t), can be expanded in terms of normal modes by using
p(t) = mq̇(t). Using the result for cn (t), Eq. (2.74), we have the following
general expansion
3N
X 3N
X
q(t) − qs(0) = An cos{ωn t + Bn }Qn ≡ Qn (t) (2.75)
n=1 n=1
3N
X 3N
X
p(t) = An sin{ωn t + Bn }Pn ≡ Pn (t), (2.76)
n=1 n=1

where the momentum amplitude vector is Pn = −mωn Qn . Finally, we can

transform the Hamilton function into normal mode representation, using the
harmonic expansion (2.69) of the potential energy
N
p2 X p2
i 1X T (s)
H(p, q) = + Utot (q) = Us(0) + + ξ (i)Hij ξ(j). (2.77)
2m i=1
2m 2 i6=j
78 CHAPTER 2. SECOND QUANTIZATION

Eliminating the Hesse matrix with the help of (2.70) and inserting the expan-
sions (2.75) and (2.76) we obtain
3N 
3N X 
X Pn (t)Pn′ (t) m 2
H(p, q) − Us(0) = + ωn δn,n Qn (t)Qn (t)
′ ′

n=1 n′ =1
2m 2
3N  2 
X Pn (t) m 2 2
= + ωn Qn (t) ≡ H(P, Q), (2.78)
n=1
2m 2

where, in the last line, the orthogonality of the eigenvectors has been used.
Thus we have succeeded to diagonalize the hamiltonian of the N -particle
system with arbitrary interaction. Assuming weak excitations from a station-
ary state the hamiltonian can be written as a superposition of 3N normal
modes. This means, we can again apply the results from the case of uncou-
pled harmonic oscillators, Sec. 2.3.2, and immediately perform the “first” and
“second” quantization.

2.4.4 Quantization of the N -particle system

For the first quantization we have to replace the normal mode coordinates and
momenta by operators,
Qn (t) → Q̂n (t) = An cos{ωn t + Bn }Q̂n
Pn (t) → P̂n (t) = An sin{ωn t + Bn }P̂n , (2.79)
leaving the time-dependence of the classical system unchanged. Further we
have to make sure that the standard commutation relations are fulfilled, i.e.
[Q̂n , P̂m ] = i~δn,m . This should follow from the commutation relations of
the original particle coordinates and momenta, [xiα , pjβ ] = i~δi,j δα,β , where
α, β = 1, 2, 3 and i, j = 1, . . . N , see Problem 7. Then, the Hamilton operator
becomes, in normal mode representation
3N
( )
X P̂n2 (t) m 2 2
Ĥ(P̂ , Q̂) = + ωn Q̂n (t) , (2.80)
n=1
2m 2

which allows us to directly introduce the creation and annihilation operators

by introducing ξn = mω~ n Q̂n , n = 1, . . . 3N )
p

 
1 ∂
an = √ + ξn , (2.81)
2 ∂ξn
 
1 ∂
†
an = √ − + ξn , [an , a†k ] = δn,k . (2.82)
2 ∂ξn
2.4. INTERACTING PARTICLES 79

Thus the hamiltonian and its eigenfunctions and eigenvalues can be written as

3N  
X 1
Ĥ = ~ωn a†n an +
n=1
2
an |0i = 0, n = 1, . . . 3N
1
ψn1 ,...n3N = |n1 . . . n3N i = √ (a†1 )n1 . . . (a†3N )n3N |0i
n1 ! . . . n3N !
3N  
X 1
E = ~ωn nn + .
n=1
2

Here |0i ≡ |0 . . . 0i = |0i . . . |0i [3N factors] denotes the ground state and a
general state |n1 . . . n3N i = |n1 i . . . |n3N i contains nn elementary excitations of
the normal mode n, created by nn times applying operator a†n to the ground
state.
In summary, in finding the normal modes of the interacting N -particle sys-
tem the description is reduced to a superposition of independent contributions
from 3N degrees of freedom. Depending on the system dimensionality, these
include (for a three-dimsional system) 3 translations of the center of mass and 3
rotations of the system as a whole around the coordinate axes. The remaining
normal modes correspond to excitations where the particle distances change.
Due to the stability of the stationary state with respect to weak excitations,
these relative excitations are harmonic oscillations which have been quantized.
In other words, we have 3N − 6 phonon modes associated with the correspond-
ing creation and annihilation operators and energy quanta. The frequencies of
the modes are determined by the local curvature of the total potential energy
(the diagonal elements of the Hesse matrix).

Problem 7: Proof the commutation relation [Q̂n , P̂m ] = i~δn,m .

Problem 8: Apply the concept of the eigenvalue problem of the Hesse matrix
to the solution of the normal modes of the 1d chain. Rederive the normal mode
representation of the hamiltonian and check if the time dependencies vanish.
80 CHAPTER 2. SECOND QUANTIZATION

2.5 Continuous systems

2.5.1 Continuum limit of 1d chain
So far we have considered discrete systems containing N point particles. If the
number of particles grows and their spacing becomes small we will eventually
reach a continuous system – the 1d chain becomes a 1d string. We start with
assigning particle i a coordinate xj = ja where j = 0, . . . N , a is the constant
interparticle distance and the total length of the system is l = N a, see Fig.

We again consider a macroscopic system which is now periodically repeated

after length l, i.e. points x = 0 and x = l are identical20 . In the discrete
system we have an equally spaced distribution of masses m of point particles
with a linear mass density ρ = m/a. The interaction between the masses
is characterized by an elastic tension σ = κa where we relabeled the spring
constant by κ. The continuum limit is now performed by simulataneously
increasing the particle number and reducing a but requiring that the density
and the tension remain unchanged,

a, m −→ 0
N, κ −→ ∞
l, ρ, σ = const.

We now consider the central quantity, the displacement of the individual par-
ticles qi (t) which now transforms into a continuous displacement field q(x, t).
Further, with the continuum limit, differences become derivatives and the sum
over the particles is replaced by an integral according to

qj (t) −→ q(x, t)
∂q
qj+1 − qj −→ a
∂x
1 l
X Z
−→ dx.
j
a 0

Instead of the Hamilton function (2.47) we now consider the Lagrange

function which is the difference of kinetic and potential energy, L = T − V ,
20
Thus we have formally introduced N + 1 lattice points but only N are different.
2.5. CONTINUOUS SYSTEMS 81

Figure 2.4: Illustration of the minimal action principle: the physical equa-
tion of motion corresponds to the tractory q(x, t) which minimizes the action,
Eq. (2.85) at fixed initial and final points (ti , 0) and (tf , l).

which in the continuum limit transforms to

N n
X mκ o
L(q, q̇) = (q̇j )2 −
(qj − qj+1 )2
j=1
2 2
( 2 2 )
1 l
 
∂q(x, t) ∂q(x, t)
Z
−→ dx ρ −σ (2.83)
2 0 ∂t ∂x

The advantage of using the Lagrange function which now is a functional of the
displacement field, L = L[q(x, t)], is that there exists a very general method of
finding the corresponding equations of motion – the minimal action principle.

2.5.2 Equation of motion of the 1d string

We now define the one-dimensional Lagrange density L
Z l
L= dx L[q̇(x, t), q ′ (x, t)], (2.84)
0

where Eq. (2.83) shows that Lagrange density of the spring depends only on
two fields – the time derivative q̇ and space derivative q ′ of the displacement
field. The action is defined as the time integral of the Lagrange function
between a fixed initial time ti and final time tf
Z tf Z tf Z l
S= dtL = dt dx L[q̇(x, t), q ′ (x, t)]. (2.85)
ti ti 0

The equation of motion of the 1d string follows from minimizing the action
with respect to the independent variables of L [this “minimal action principle”
will be discussed in detail in Chapter 1, Sec. 1.1], for illustration, see Fig. 2.4,

tf l  
δL δL
Z Z
0 = δS = dt dx δ q̇ + ′ δq ′
ti 0 δ q̇ δq
Z tf Z l
= dt dx {ρq̇ δ q̇ − σq ′ δq ′ } . (2.86)
ti 0
82 CHAPTER 2. SECOND QUANTIZATION

∂
We now change the order of differentiation and variation, δ q̇ = ∂t δq and δq ′ =
∂
∂x
δq and perform partial integrations with respect to t in the first term and x
in the second term of (2.86)
Z tf Z l
0=− dt dx {ρq̈ − σq ′′ } δq, (2.87)
ti 0

where the boundary values vanish because one requires that the variation
δq(x, t) are zero at the border of the integration region, δq(0, t) = δq(l, t) ≡ 0.
Since this equation has to be fulfilled for any fluctuation δq(x, t) the term in
the parantheses has to vanish which yields the equation of motion of the 1d
string
∂ 2 q(x, t) 2
r
2 ∂ q(x, t) σ κ
r
2
−c 2
= 0, with c = =a . (2.88)
∂t ∂x ρ m
This is a linear wave equation for the displacement field, and we introduced
the phase velocity, i.e. the sound speed c. The solution of this equation can
be written as
q(x, t) = q0 ei(kx−ωt) + c.c., (2.89)
which, inserted into Eq. (2.88), yields the dispersion relation
ω(k) = c · k, (2.90)
i.e., the displacement of the string performs a wave motion with linear disper-
sion – we observe an acoustic wave where the wave number k is continuous.
It is now interesting to compare this result with the behavior of the original
discrete N −particle system. There the oscillation frequencies ωn were given
by Eq. (2.52), and the wave numbers are discrete21 kn = 2πn/N a with n =
±1, · · · ± N/2, and the maximum wave number is kmax = π/a. Obviously, the
discrete system does not have a linear dispersion, but we may consider the
small k limit and expand the sin to first order:
2
c2 akn

2 κ  πn 2
ωn ≈ 4 =4 2 = ckn , (2.91)
m N a 2
i.e. for small k the discrete system has exactly the same dispersion as the con-
tinuous system. The comparison with the discrete system also gives a hint at
the existence of an upper limit for the wave number in the continuous system.
In fact, k cannot be larger than π/amin where amin is the minimal distance
of neighboring particles in the “continuous medium”. The two dispersions are
shown in Fig. 2.5.
21
The wave number follows from the mode numbers ln by dividing by a
2.5. CONTINUOUS SYSTEMS 83

Figure 2.5: Dispersion of the normal modes of the discrete 1D chain and of
the associated continuous system – the 1D string. The dispersions agree for
small k up to a kmax=π/a .

One may, of course, ask whether a continuum model has its own right of ex-
istence, without being a limit of a discrete system. In other words, this would
correspond to a system with an infinite particle number and, correspondingly,
an infinite number M of normal modes. While we have not yet discussed how
to quantize continuum systems it is immediately clear that there should be
problems if the number of modes is unlimited. In fact, the total energy con-
tains a zero point contribution for each mode which, with M going to infinity,
will diverge. This problem does not occur for any realistic system because the
particle number is always finite (though, possibly large). But a pure contin-
uum model will be only physically relevant if such divergencies are avoided.
The solution is found by co-called “renormalization” procedures where a max-
imum k-value (a cut-off) is introduced. This maybe not easy to derive for any
specific field theory, however, based on the information from discrete systems,
such a cut-off can always be motivated by choosing a physically relevant par-
ticle number, as we have seen in this chapter.

Thus we have succeeded to perform the continuum limit of the 1d chain

– the 1d string and derive and solve its equation of motion. The solution is
a continuum of acoustic waves which are the normal modes of the medium
which replace the discrete normal modes of the linear chain. Now the ques-
tion remains how to perform a quantization of the continuous system, how to
introduce creation and annihilation operators. To this end we have to develop
a more general formalism which is called canonical quatization and which will
be discussed in the next chapter.
84 CHAPTER 2. SECOND QUANTIZATION

2.6 Solutions of Problems

1. A simple equation for ψ0 is readily obtained by inserting the definition
of a into Eq. (2.37),

0 = ψ0′ (ξ) + ξψ0 (ξ), (2.92)

2
with the solution
R∞ ψ0 (ξ) = C0 e−ξ /2 , where C0 follows from the normal-
ization x0 −∞ dξψ02 = 1, with the result C0 = (π 1/2 /x0 )−1/2 , where the
phase is arbitrary and chosen to be zero.

2. Proof: Using hψ|a† = a|ψi and Eq. (2.40), direct computation yields
1
ψn+1 |a† |ψn = p ψ0 |an+1 a† (a† )n |ψ0 .



n!(n + 1)!
√
The final result n + 1 is obtained by induction, starting with n = 0.

3. This problem reduces to the previous one by applying hermitean conju-

gation ∗ √
hψn−1 |a|ψn i = ψn |a† |ψn−1 = n

Chapter 3

Fermions and bosons

We now turn to the quantum statistical description of many-particle systems.

The indistinguishability of microparticles leads to a number of far-reaching
consequences for the behavior of particle ensembles. Among them are the
symmetry properties of the wave function. As we will see there exist only two
different symmetries leading to either Bose or Fermi-Dirac statistics.
Consider a single nonrelativistic quantum particle described by the hamil-
tonian ĥ. The stationary eigenvalue problem is given by the Schrödinger equa-
tion
ĥ|φi i = ǫi |φi i, i = 1, 2, . . . (3.1)
where the eigenvalues of the hamiltonian are ordered, ǫ1 < ǫ2 < ǫ3 . . . . The
associated single-particle orbitals φi form a complete orthonormal set of states
in the single-particle Hilbert space1

hφi |φj i = δi,j ,

∞
X
|φi ihφi | = 1. (3.2)
i=1

3.1 Spin statistics theorem

We now consider the quantum mechanical state |Ψi of N identical particles
which is characterized by a set of N quantum numbers j1 , j2 , ..., jN , meaning
that particle i is in single-particle state |φji i. The states |Ψi are elements of the
N -particle Hilbert space which we define as the direct product of single-particle
1
The eigenvalues are assumed non-degenerate. Also, the extension to the case of a con-
tinuous basis is straightforward.

85
86 CHAPTER 3. FERMIONS AND BOSONS

Figure 3.1: Example of the occupation of single-particle orbitals by 3 particles.

Exchange of identical particles (right) cannot change the measurable physical
properties, such as the occupation probability.

Hilbert spaces, HN = H1 ⊗ H1 ⊗ H1 ⊗ . . . (N factors), and are eigenstates of

the total hamiltonian Ĥ,
Ĥ|Ψ{j} i = E{j} |Ψ{j} i, {j} = {j1 , j2 , . . . } (3.3)
The explicit structure of the N −particle states is not important now and will
be discussed later2 .
Since the particles are assumed indistinguishable it is clear that all physical
observables cannot depend upon which of the particles occupies which single
particle state, as long as all occupied orbitals, i.e. the set j, remain unchainged.
In other words, exchanging two particles k and l (exchanging their orbitals,
jk ↔ jl ) in the state |Ψi may not change the probability density, cf. Fig. 3.1.
The mathematical formulation of this statement is based on the permutation
operator Pkl with the action
Pkl |Ψ{j} i = Pkl |Ψj1 ,...,jk ,...jl ,...,jN i =
= |Ψj1 ,...,jl ,...jk ,...,jN i ≡ |Ψ′{j} i, ∀k, l = 1, . . . N, (3.4)
where we have to require
hΨ′{j} |Ψ′{j} i = hΨ{j} |Ψ{j} i. (3.5)

Indistinguishability of particles requires Pkl Ĥ = Ĥ and [Pkl , Ĥ] = 0, i.e. Pkl

and Ĥ have common eigenstates. This means Pkl obeys the eigenvalue problem
Pkl |Ψ{j} i = λkl |Ψ{j} i = |Ψ′{j} i. (3.6)
2
In this section we assume that the particles do not interact with each other. The
generalization to interacting particles will be discussed in Sec. 3.2.5.
3.2. N -PARTICLE WAVE FUNCTIONS 87

Obviously, Pkl† = Pkl , so the eigenvalue λkl is real. Then, from Eqs. (3.5) and
(3.6) immediately follows

λ2kl = λ2 = 1, ∀k, l = 1, . . . N, (3.7)

with the two possible solutions: λ = 1 and λ = −1. From Eq. (3.6) it follows
that, for λ = 1, the wave function |Ψi is symmetric under particle exchange
whereas, for λ = −1, it changes sign (i.e., it is “anti-symmetric”).
This result was obtained for an arbitrary pair of particles and we may
expect that it is straightforwardly extended to systems with more than two
particles. Experience shows that, in nature, there exist only two classes of
microparticles – one which has a totally symmetric wave function with re-
spect to exchange of any particle pair whereas, for the other, the wave func-
tion is antisymmetric. The first case describes particles with Bose-Einstein
statistics (“bosons”) and the second, particles obeying Fermi-Dirac statistics
(“fermions”)3 .
The one-to-one correspondence of (anti-)symmetric states with bosons (fer-
mions) is the content of the spin-statistics theorem. It was first proven by Fierz
[Fie39] and Pauli [Pau40] within relativistic quantum field theory. Require-
ments include 1.) Lorentz invariance and relativistic causality, 2.) positivity
of the energies of all particles and 3.) positive definiteness of the norm of all
states.

3.2 Symmetric and antisymmetric N -particle

wave functions
We now explicitly construct the N -particle wave function of a system of many
fermions or bosons. For two particles occupying the orbitals |φj1 i and |φj2 i,
respectively, there are two possible wave functions: |Ψj1 ,j2 i and |Ψj2 ,j1 i which
follow from one another by applying the permutation operator P12 . Since both
wave functions represent the same physical state it is reasonable to eliminate
this ambiguity by constructing a new wave function as a suitable linear com-
bination of the two,

|Ψj1 ,j2 i± = C12 {|Ψj1 ,j2 i + A12 P12 |Ψj1 ,j2 i} , (3.8)

with an arbitrary complex coefficient A12 . Using the eigenvalue property of

the permutation operator, Eq. (3.6), we require that this wave function has
3
Fictitious systems with mixed statistics have been investigated by various authors, e.g.
[MG64, MG65] and obey “parastatistics”. For a text book discussion, see Ref. [Sch], p. 6.
88 CHAPTER 3. FERMIONS AND BOSONS

the proper symmetry,

P12 |Ψj1 ,j2 i± = ±|Ψj1 ,j2 i± . (3.9)

The explicit form of the coefficients in Eq. (3.8) is obtained by acting on

this equation with the permutation operator and equating this to ±|Ψj1 ,j2 i± ,
2
according to Eq. (3.9), and using P12 = 1̂,

P12 |Ψj1 ,j2 i± = C12 |Ψj2 ,j1 i + A12 P12

2

|Ψj1 ,j2 i =
= C12 {±A12 |Ψj2 ,j1 i ± |Ψj1 ,j2 i} ,

the requirement A12 = λ, whereas normalization of |Ψj1 ,j2 i±

which leads to √
yields C12 = 1/ 2. The final result is

1
|Ψj1 ,j2 i± = √ {|Ψj1 ,j2 i ± P12 |Ψj1 ,j2 i} ≡ Λ±
12 |Ψj1 ,j2 i (3.10)
2

where,
1
Λ±12 = √ {1 ± P12 }, (3.11)
2
denotes the (anti-)symmetrization operator of two particles which is a linear
combination of the identity operator and the pair permutation operator.
The extension of this result to 3 fermions or bosons is straightforward. For
3 particles (1, 2, 3) there exist 6 = 3! permutations: three pair permutations,
(2, 1, 3), (3, 2, 1), (1, 3, 2), that are obtained by acting with the permuation op-
erators P12 , P13 , P23 , respectively on the initial configuration. Further, there
are two permutations involving all three particles, i.e. (3, 1, 2), (2, 3, 1), which
are obtained by applying the operators P13 P12 and P23 P12 , respectively. Thus,
the three-particle (anti-)symmetrization operator has the form
1
Λ±
123 = √ {1 ± P12 ± P13 ± P23 + P13 P12 + P23 P12 }, (3.12)
3!
where we took into account the necessary sign change in the case of fermions
resulting for any pair permutation.
This result is generalized to N particles where there exists a total of N !
permutations, according to4

|Ψ{j} i± = Λ±
1...N |Ψ{j} i,
(3.13)
4
This result applies only to fermions. For bosons the prefactor has to be corrected, cf.
Eq. (3.25).
3.2. N -PARTICLE WAVE FUNCTIONS 89

with the definition of the (anti-)symmetrization operator of N particles,

1 X
Λ±
1...N = √ sign(P )P̂ (3.14)
N ! P ǫSN

where the sum is over all possible permutations P̂ which are elements of the
permutation group SN . Each permutation P has the parity, sign(P ) = (±1)Np ,
which is equal to the number Np of successive pair permuations into which P̂
can be decomposed (cf. the example N = 3 above). Below we will construct
the (anti-)symmetric state |Ψ{j} i± explicitly. But before this we consider an
alternative and very efficient notation which is based on the occupation number
formalism.
The properties of the (anti-)symmetrization operators Λ± 1...N are analyzed
in Problem 1, see Sec. 3.7.

3.2.1 Occupation number representation

The original N -particle state |Ψ{j} i contained clear information about which
particle occupies which state. Of course this is unphysical, as it is in conflict
with the indistinguishability of particles. With the construction of the sym-
metric or anti-symmetric N -particle state |Ψ{j} i± this information about the
identity of particles is eliminated, an the only information which remained is
how many particles np occupy single-particle orbital |φp i. We thus may use a
different notation for the state |Ψ{j} i± in terms of the occupation numbers np
of the single-particle orbitals,

|Ψ{j} i± = |n1 n2 . . . i ≡ |{n}i, np = 0, 1, 2, . . . , p = 1, 2, . . . (3.15)

Here {n} denotes the total set of occupation numbers of all single-particle
orbitals. Since this is the complete information about the N -particle system
these states form a complete system which is orthonormal by construction of
the (anti-)symmetrization operators,

h{n}|{n′ }i = δ{n},{n′ } = δn1 ,n′1 δn2 ,n′2 . . .

X
|{n}ih{n}| = 1. (3.16)
{n}

The nice feature of this representation is that it is equally applicable to

fermions and bosons. The only difference between the two lies in the possible
values of the occupation numbers, as we will see in the next two sections.
90 CHAPTER 3. FERMIONS AND BOSONS

3.2.2 Fock space

In Sec. 3.1 we have introduced the N -particle Hilbert space HN . In the fol-
lowing we will need either totally symmetric or totally anti-symmetric states
+ −
which form the sub-spaces HN and HN of the Hilbert space. Furthermore,
below we will develop the formalism of second quantization by defining cre-
ation and annihilation operators acting on symmetric or anti-symmetric states.
Obviously, the action of these operators will give rise to a state with N + 1
or N − 1 particles. Thus, we have to introduce, in addition, a more gen-
eral space containing states with different particle numbers: We define the
symmetric (anti-symmetric) Fock space F ± as the direct sum of symmetric
±
(anti-symmetric) Hilbert spaces HN with particle numbers N = 0, 1, 2, . . . ,

F + = H0 ∪ H1+ ∪ H2+ ∪ . . . ,
F − = H0 ∪ H1− ∪ H2− ∪ . . . . (3.17)

Here, we included the vacuum state |0i = |0, 0, . . . i which is the state without
particles which belongs to both Fock spaces.

3.2.3 Many-fermion wave function

Let us return to the case of two particles, Eq. (3.10), and consider the case
j1 = j2 . Due to the minus sign in front of P12 , we immediately conclude that
|Ψj1 ,j1 i− ≡ 0. This state is not normalizable and thus cannot be physically
realized. In other words, two fermions cannot occupy the same single-particle
orbital – this is the Pauli principle which has far-reaching consequences for the
behavior of fermions.
We now construct the explicit form of the anti-symmetric wave function.
This is particularly simple if the particles are non-interacting. Then, the total
hamiltonian is additive5 ,
XN
Ĥ = ĥi , (3.18)
i=1

and all hamiltonians commute, [ĥi , ĥj ] = 0, for all i and j. Then all par-
ticles have common eigenstates, and the total wave function (prior to anti-
symmetrization) has the form of a product

|Ψ{j} i = |Ψj1 ,j2 ,...jN i = |φj1 (1)i|φj2 (2)i . . . |φjN (N )i

5
This is an example of an observable of single-particle type which will be discussed more
in detail in Sec. 3.3.1.