CMT1

Last updated November 11, 2018
UNIVERSITY COLLEGE LONDON

DEPARTMENT OF PHYSICS AND ASTRONOMY
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PHASM/G048 CONDENSED MATTER THEORY
Prof. Andrew Green and Dr. Frank Krüger
Please send any comments and corrections to [email protected] or

[email protected] Please do not distribute without permission.
These notes are intended as an aid to revision and are a supplement to, not a substitute
for your own notes taken in lectures. They are continually being revised, added to and
corrected.
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Contents
1 From the Harmonic Oscillator to Phonons 5

1.1 The Harmonic Oscillator . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.2 Two Coupled Oscillators . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.3 The Harmonic Chain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.3.1 Diagonalising by Fourier Transform . . . . . . . . . . . . . . . . . . 9
1.3.2 Raising and Lowering Operators . . . . . . . . . . . . . . . . . . . . 13
1.4 The Elastic String . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
1.5 Canonical Quantization [Aside] . . . . . . . . . . . . . . . . . . . . . . . . 19
2 Second Quantization 21
2.1 Identical particles/Many-particle states . . . . . . . . . . . . . . . . . . . . 21
2.2 Many-particle Basis States . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
2.3 Occupation Numbers and Fock Space . . . . . . . . . . . . . . . . . . . . . 23
2.4 Creation and Annihilation Operators . . . . . . . . . . . . . . . . . . . . . 24
2.5 Transformation Between Bases . . . . . . . . . . . . . . . . . . . . . . . . . 26
2.5.1 The Transformation . . . . . . . . . . . . . . . . . . . . . . . . . . 26
2.5.2 Transforming (Anti-)Commutation Relations . . . . . . . . . . . . . 27
2.5.3 Transforming Between x- and p-Bases . . . . . . . . . . . . . . . . . 27
2.6 Single- and Two-Particle Operators . . . . . . . . . . . . . . . . . . . . . . 28
2.6.1 Single-Particle Operators . . . . . . . . . . . . . . . . . . . . . . . . 28
2.6.2 Two-Particle Operators . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.7 Diagonalizing Quantum Hamiltonians . . . . . . . . . . . . . . . . . . . . . 31
2.7.1 Unitary transformations . . . . . . . . . . . . . . . . . . . . . . . . 31
2.7.2 Bogoliubov Transformation . . . . . . . . . . . . . . . . . . . . . . 32
3 The Weakly-Interacting Bose Gas 35

3.1 The Hamiltonian . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
3.2 Mean Field Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
3.3 Landau’s Critical Superfluid Velocity . . . . . . . . . . . . . . . . . . . . . 37
3.4 Superfluid Fraction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
4 Quantum Magnets 39
4.1 The Heisenberg model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
4.2 Holstein-Primakoff transformation . . . . . . . . . . . . . . . . . . . . . . . 41
4.3 The Heisenberg ferromagnet . . . . . . . . . . . . . . . . . . . . . . . . . . 42
4.3.1 The Groundstate . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
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4.3.2 Excitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
4.3.3 Thermal Fluctuations . . . . . . . . . . . . . . . . . . . . . . . . . . 44
4.4 The Heisenberg Anti-ferromagnet . . . . . . . . . . . . . . . . . . . . . . . 45
4.4.1 The Néel state . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
4.4.2 Holstein-Primakoff transformation . . . . . . . . . . . . . . . . . . . 45
4.4.3 Bogoliubov transformation . . . . . . . . . . . . . . . . . . . . . . . 47
4.4.4 Fluctuations of the Antiferromagnet . . . . . . . . . . . . . . . . . 47
4.4.5 Haldane’s Conjecture . . . . . . . . . . . . . . . . . . . . . . . . . . 48
4.4.6 Jordan-Wigner Transformation . . . . . . . . . . . . . . . . . . . . 49
4.4.7 Integer Spin Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
5 The Renormalization Group 53

5.1 The 1d Classical Ising Model . . . . . . . . . . . . . . . . . . . . . . . . . . 53
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Chapter 1
From the Harmonic Oscillator to

Phonons
In this chapter, we start with a review of the harmonic oscillator and its description using
raising and lowering operators. We note in particular how all of its properties - expectations
of operators in arbitrary states or even thermal distributions - can be calculated in terms of
these raising and lowering operators without ever having to write down the wavefunction
explicitly.
Next, we will proceed to couple two such oscillators and then a whole chain. The
latter provides a simple model for quantum oscillations of a lattice - known as phonons. In
working through this problem, we will have introduced the central ideas of quantum field
theory. These will be formulated as a book-keeping tool to describe many-particle quantum
systems in chapter 2 and we will use them throughout the course.
1.1 The Harmonic Oscillator

Consider a quantum particle whose motion is described by the Hamiltonian
p̂2 1
H= + mω 2 x̂2 . (1.1)
2m 2
We solve this by introducing raising and lowering operators
r r
mω p̂ mω p̂ mω 1
H = ~ω x̂ − i x̂ + i − i~ω [x̂, p̂]
2~ mω 2~ mω | 2~ {z mω }
| {z }| {z }
â† â allow for x̂,p̂ not commuting
| {z }
complete square
= ~ω(â† â + 1/2). (1.2)
The constant ~ω/2 is the zero-point energy. It follows directly from the Heisenberg un-
certainty principle, since the classical groundstate is forbidden as it would give perfect
knowledge about both the position and momentum of the operator.
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Commutation Relations:
p̂
p
The definitions of â and â† given above (â/â† = mω/(2~) x̂ ± i mω

) imply the commu-
tation relations
[x̂, p̂] = i~ ⇔ [â, â† ] = 1. (1.3)
The Quantum groundstate is given by
â|0i = 0.
We could in principle express â as a differential operator (in real space, for example) and
solve for a (real space) wavefunction. The beauty of raising and lowering operators is that
we can calculate every single property of the state without ever having to obtain an explicit
representation in this way.
Excitations are created by the action of the raising operator on the groundstate. The state
(â† )n
|ni = √ |0i
n!
is a state that contains n excitations (the action of the number operator n̂ = â† â on this
state is n̂|ni = n|ni). It has energy ~ω(n + 1/2). The action of the raising and lowering
operators on this state are
√
â|ni = n|n − 1i,
√
â† |ni = n + 1|n + 1i.
These follow directly from the commutation relations, Eq.(1.3).

Calculations with Raising and Lowering Operators:
We can calculate all of the observable properties of the harmonic oscillator using the above
relations and without ever having to obtain explicit expressions for the wavefunction. The
following are a few instructive examples:
a) Average in the nth excited state:
hx̂2 i = hn|x̂2 |ni

~
= hn|(â + â† )2 |ni
2mω
~
= hn|(â2 + â† â† + ââ† + â† â)|ni
2mω
Using hn|â2 |ni ∝ hn|n − 2i = 0 and hn|â† â† |ni ∝ hn|n + 2i = 0
~
= hn|(ââ† + â† â)|ni
2mω
Using ââ† = 1 + â† â
~
= hn|(2â† â + 1)|ni
2mω
~
= (n + 1/2)
mω
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b) The partition function :
X
Z = e−βn hn|ni
n
X
= e−β~ω(n+1/2)
n
1
= e−β~ω/2
1 − e−β~ω
NB: The zero point term e−β~ω/2 is usually omitted as it does not contribute to observables.
c) Finite temperature average of the number operator:
P −βn
e hn|n̂|ni
hhn̂ii = Pn −βn
e hn|ni
P n −β~ωn
nn e
=
Z
1
− ~ω ∂β Z
=
Z
1
= β~ω
e −1
= nB (~ω)
d) The finite temperature average of arbitrary operator, hhθ̂ii, follows similarly: i. write the
operator in terms of numer operators n̂ using commutation relations; ii. calculate averages
as above (often this amounts to the replacement n̂ → nB although sometimes a bit more
care is required).
Problems:
Q1. What is hx̂4 i in the nth excited state of the harmonic oscillator?
Q2. What is hhx̂4 ii for a thermal distribution of harmonic oscillators?
1.2 Two Coupled Oscillators

Up to now this has hopefully been revision. Now lets turn to something new. We will
consider a simple problem of two coupled quantum harmonic oscillators. In doing so, we
will see many of the techniques that underpin quantum field theory.
Consider two coupled particles whose motion is described by the Hamiltonian
p̂21 mω 2 2 p̂2 mω 2 2 κ
H= + x̂1 + 2 + x̂ + x̂1 x̂2 , (1.4)
2m 2 2m 2 2 2
which captures the dynamics of the following configuration:
x1 x2
m m
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Sum and Difference Coordinates:
Our physical intuition about this situation suggests two types of periodic motion or normal
modes:
m m m m
symmetric normal mode anti-symmetric normal mode
Accordingly, we make a change of variables to the mean displacement and difference in
displacement;
x̂1 + x̂2 x̂1 − x̂2
X̂ = √ and x̂ = √ ,
2 2
with conjugate momenta
p̂1 + p̂2 p̂1 − p̂2
P̂ = √ and p̂ = √ .
2 2
In the position representation, p̂1 = −i~∂x1 and p̂√
2 = −i~∂x2 . The expressions for the
momenta P̂ and p̂ — in particular the factors of 1/ 2 — follow from these.
Preservation of Commutation Relations:
These definitions imply the commutation relations
[x̂1 , p̂1 ] = [x̂2 , p̂2 ] = i~ ⇔ [X̂, P̂ ] = [x̂, p̂] = i~.
The requirement that the commutation relations take this form — i.e. that their form is
preserved by√our change of variables — can be used to fix the expressions (including the
factors of 1/ 2) for P̂ and p̂.
x̂1 + x̂2 p̂1 + p̂2
[X̂, P̂ ] = [ √ , √ ] = [x̂1 , p̂1 ]/2 + [x̂2 , p̂2 ]/2 + [x̂1 , p̂2 ]/2 + [x̂2 , p̂1 ]/2 = i~.
2 2 | {z } | {z }
=0 =0
x̂1 − x̂2 p̂1 − p̂2

[x̂, p̂] = [ √ , √ ] = [x̂1 , p̂1 ]/2 + [x̂2 , p̂2 ]/2 − [x̂1 , p̂2 ]/2 − [x̂2 , p̂1 ]/2 = i~.
2 2 | {z } | {z }
=0 =0
Substituting into the Hamiltonian( 1.4), we find

1 mω 2 1 mω 2 κ
H = = (P̂ + p̂)2 + (X̂ + x̂)2 + (P̂ − p̂)2 + (X̂ − x̂)2 + (X̂ + x̂)(X̂ − x̂)
4m 4 4m 4 4
2 2
P̂ 1 κ p̂ 1 κ 2

= + mω 2 + X̂ 2 + + mω 2 − x̂
2m 2 2 2m 2 2
We have reduced the motion to two independent harmonic motions with masses 2m and
m/2, and frequencies r
κ
ω± = ω 1 ± .
2mω 2
We may introduce creation and annihilation operators to calculate the properties of this
2-particle system.
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This method of separating — or diagonalising — a Hamiltonian into independent har-
monic oscillators is more general. As we shall see in the next section, it is related to a
Fourier transform for a translationally invarient system; for a 2-site chain, the allowed
Fourier components have wavevector 0 and 2π/2a — we have used a Fourier transform to
diagonalize our Hamiltonian.
Problems:
For the system of two coupled harmonic oscillators described above:
Q1. What is the r.m.s. zero-point fluctuations in the position of the 1st particle?
Q2. What is the thermal expectation of x1 − x2 at temperature T?
Q3. What is the heat capacity (∂T hhĤii) at temperature T?
1.3 The Harmonic Chain

Next, we consider a harmonic chain consisting of quantum particles whose Hamiltonian is
given by the elastic energy due to coupling to nearest neighbours.
xn 1 xn xn+1 xn+2
m m m m
The Hamiltonian is given by
N 2
X p̂ n 1
H= + κ(x̂n − x̂n−1 )2 (1.5)
n=1
2m 2
and we will use periodic boundary conditions corresponding to taking x̂0 = x̂N . Our
solution is going to follow essentially the same steps as we used for two coupled oscillators.
1.3.1 Diagonalising by Fourier Transform

The first step is to reduce the problem to a set of independent harmonic oscillators. We
achieve this by using a discrete Fourier transform. Many problems in physics are transla-
tionally invariant (or can be treated as such) and in these cases the Fourier transform takes
us much of the way towards diagonalising our system.
The Fourier components of the particle displacements are given by
1 X ikna 1 X −ikna
x̂k = √ e x̂n with inverse x̂n = √ e x̂k , (1.6)
N n N k
for the position operators and

1 X −ikna 1 X ikna
p̂k = √ e p̂n with inverse p̂n = √ e p̂k , (1.7)
N n N k
for the momentum operators. N is the length of the chain, a is the separation of the
particles, k = N2πa mk and mk is an integer taking values from −N/2 to N/2. We could
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have written this in terms of cos and sin rather than taking the real part, but I prefer to
keep things closer to the Fourier transform. Since x̂n is real (or has only real expectations)
x̂k = x̂∗−k . This fixes the number of degrees of freedom to be correct — otherwise there
would appear to be twice as many components of x̂k due to the real and imaginary parts.
Note the opposite sign of wavevector k in the transformations of x̂ and p̂. The reasons for
this will become clear shortly.
The restriction of k to values N2πa mk with mk an integer between −N/2 and N/2 occurs
because a wavevector k 0 = k + 2π/a leads to the same displacements of the particles;
0
eik na = eikna+2πn = eikna . This is known as the first Brillouin zone.
The Hamiltonian expressed in terms of these transformed operators is given by
X p̂k p̂−k
2
H= + 2κ sin (ka/2)x̂k x̂−k . (1.8)
k
2m
Except for the presence of both p̂k and p̂−k (and x̂k and x̂−k ) this a Hamiltonian for one
independent oscillator for each value of k. We can make it look exactly like independent har-
monic oscillators by separating x̂k and p̂k into parts that are symmetric and anti-symmetric
in k;
x̂k + x̂−k x̂k − x̂−k p̂k + p̂−k p̂k − p̂−k
x̂ck = √ and x̂sk = √ , and p̂ck = √ and p̂sk = √ .
2 i 2 2 i 2
As implied by the notation, these are the coefficients of cos(ka) and sin(ka) in a real Fourier
expansion. In terms of these
X p̂σ p̂σ
k k 2 σ σ
H= + 2κ sin (ka/2)x̂k x̂k (1.9)
k>0,σ=c,s
2m
The system has been reduced to a set of independent

p harmonic oscillators with frequencies
given by mωk2 /2 = 2κ sin2 (ka/2)
p or ωk = 2 κ/m sin(ka/2), which in the limit of small
frequencies reduces to ωk ≈ ka κ/m.
Commutation relations:
Just as in the case of the two coupled oscillators, the commutation relations are preserved
by our Fourier transformation;
[x̂n , p̂m ] = i~δn,m ⇔ [x̂p , p̂q ] = i~δp,q
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Details of Fourier Transform
A. Forwards and Backwards Transforms
This can be verified using the identity
1 X ik(n−m)a
δn,m = e
N
k
which is the discrete equivalent

R∞ of the integer representation of the delta
ik(x−y)
function δ(x − y) = −∞ dke /(2π). Substituting into the Fourier
transformed operators, we find
1 X −ikna
x̂n = √ e x̂k
N k
!
1 X −ikna X ikma
= e e x̂m
N m
k
1 X
= e−ik(n−m)a x̂m
N
k,m
1 X
= δn,m x̂m
2 m
= x̂n
We can also verify the relationship between the forward and backward
transforms using the wavevector version of the delta function summation
formula
1 X −i(k−q)na
δk,q+G = e ,
N
k
where G = 2π×integer/a is a reciprocal lattice vector. This extra contri-
bution of G effectively allows us to fold back contributions of wavevectors
outside of the Brillouin zone into the Brillouin zone, since they give the
same displacements. The calculation takes the form
1 X ikna
x̂k = √ e x̂n
N n
!
1 X X
= eikna eiqna x̂q
N n q
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1 X −in(q−k)a
= e x̂q
N k,n
1X
= δq,k x̂q
2 k
= x̂k
B. Fourier transforming the Hamiltonian

The Fourier transformation of the Hamiltonian is most easily achieved by splitting
it into the kinetic and potential energy parts.
i. Kinetic Energy
X p̂2
n
H =
n
2m
! !
1 X 1 X ikna 1 X iqna
= √ e p̂k √ e p̂q
2m n N k N q
| {z }
NB: different dummy variables
1 X 1 X i(k+q)na
= e p̂k p̂q
2m k,q N n
| {z }
=δk,q
1 X
= p̂k p̂−k
2m k
ii. Potential Energy

κX
H = (x̂n − x̂n−1 )2
2 n
! !
κX 1 X −ikna 1 X −iqna
= √ e (1 − eika )x̂k √ e (1 − eiqa )x̂q
2 n N k N q
| {z }
NB: different dummy variables
κ X 1 X −i(k+q)na
= e (1 − eika )(1 − eiqa )x̂k x̂q
2 k,q N n
| {z }
=δk,q
κX
= (1 − eika )(1 − e−ika )x̂k x̂−k
2 k
X
= 2κ sin2 (ka/2)x̂k x̂−k
k
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B. Fourier transforming the commutation relations
The Fourier transform of the commution relations proceeds in a very similar manner
to the Fourier transform of the Hamiltonian
" #
1 X ipna X
−iqma
[x̂p , p̂q ] = e x̂n , e p̂m
N n m
1 X i(pn−qm)a
= e [x̂ , p̂ ]
N | n{z m}
n,m
=i~δn,m
1 X i(p−q)na
= i~ e
N n
= i~δp,q
1.3.2 Raising and Lowering Operators

Just as in the case of a single harmonic oscillator, we can now calculate properties of the
harmonic chain by introducing ladder operators for each k-mode. These create or destroy
quanta of energy in each of the normal modes of oscillation of the harmonic chain. The
resulting Hamiltonian is given by
X
H = ~ωk (â†k âk + 1/2)
k
p
ωk = 2 κ/m sin(ka/2) (1.10)
with
r r
mωk p̂−k † mωk p̂k
âk = x̂k + i , and âk = x̂−k − i . (1.11)
2~ mωk 2~ mωk
Notice the opposite momentum labels in x̂k and p̂−k , and the relative signs of k between
â and â† . This is required to obtain the usual commutation relations for the raising and
lowering operators;
[âk , â†q ] = δk,q (1.12)
Checking the commutation relations

√
m ωk ωq

† p̂−k p̂q
[âk , âq ] = x̂k + i , x̂−q − i
2~ mωk mωq
 
√
m ωk ωq  i i
= [p̂−k , x̂−q ] − [x̂k , p̂q ]

2~ mωk | {z } mωq | {z }

=−i~δk,q =i~δk,q
= δk,q
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Particle Interpretation/Fock Space:
Just as for the harmonic oscillator, armed with these tools we can describe the state of the
harmonic chain in terms of the number of quanta — or occupation number nk — of each
mode k. A general state may be written
Y â†q nq

|ψi = |nq1 , nq2 , nq3 ...i = p |0i,
q
nq !
where |0i is the vacuum state with no quanta in any mode. The collection of all such states
with arbitrary occupations forms a space known as Foch space.
Observables:
One can evaluate the observable properties of the harmonic chain by first translating into
âk and â†k . For example, the mean squared displacement of a particle in the chain at finite
temperature is given by
1 X 2
x̄2 = hhx̂n ii
N n
Fourier transform - allows us to use the properties of independent k-modes
1 X
= hhx̂k x̂−k ii
N k
Express in terms of ladder operators
1 X ~
= hh(âk + â†−k )(â−k + â†k )ii
N k 2mωk
1 X ~
= hh(âk â−k + âk â†k + â†−k â−k + â†−k â†k )ii
N 2mωk | {z }
k
|{z} | {z } | {z }
=0 =â† â+1=n̂k +1 =n̂−k =0
1 X ~
= (hhn̂k ii + hhn̂k ii + 1)
N k 2mωk

1 X ~ 1
= + 1/2 .
N k mωk e~ωk β − 1
Zero-point Energy and Normal ordering:

Just as for the harmonic oscillator, the Hamiltonian for the harmonic chain has a constant
term ~ωk /2 for each wavevector. This implies a minimum energy proportional to N ,
X
HZero-point = ~ωk /2.
k
This energy cannot usually be extracted (except by changing boundary conditions c.f. the
Casimir effect) and so is often ignored in field theory. For an infinite system the zero-point
energy → ∞. In the continuum limit, the situation is even more severe and the energy
density → ∞. This is the first infinity that we have encountered. Quantum field theory
is plagued by them. To deal properly with all of the infinities that occur, one needs the
renormalisation group. We will touch upon this towards the end of the first part of the
course.
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The infinite zero-point energy can be dealt with rather straightforwardly by normal
ordering. The infinite zero-point energy arises from the form of the Hamiltonain H =
P † †
k ~ωk (âk âk + âk âk )/2, when we use the commutation relations to reorder the second term
so that it can be written in terms of number operators. Similar infinities can arise from
interaction terms — terms higher than quadratic order — in Hamiltonians. The trick to
dealing with these is to find a consistent way to ignore them! Basically, we define the
operation of normal ordering to consist of ordering the creation and annihilation operators
so that the creation operators are on the left and the annihilation operators on the right:
: â†k âk + âk â†k := 2â†k âk (1.13)
Applied to quadratic terms, normal ordering essentially ignores zero-point energy. Applied
to interaction terms, it ignores self-interaction of particles that can lead to other unphysical
divergences.
Problems:
Q1. What is the r.m.s. displacement of a mass in the harmonic chain in the groundstate?
Q2. What is the r.m.s. speed of a particle in the harmonic chain in the groundstate?
Q3. What are the r.m.s. displacement and speed at temperature T ?
Q4. What is the heat capacity of the harmonic chain?
1.4 The Elastic String

Let us consider the limit in which the separation of masses in our chain becomes zero while
maintaining a fixed length of chain L and mass density:
N →∞
L = N a fixed
m → 0 such that ρ = m/a fixed
κ → ∞ such that τ = κa fixed
n → x/a position along string, x ∈ [−L/2, L/2]
xn → φ(x)|x=na displacement field
pn → aΠφ (x)|x=na momentum field
X 1Z
lim = dx
a→0
n
a
lim (xn+1 − xn ) = a∂x φ. (1.14)
a→0
With these replacements, the Hamiltonian and Commutations Relations become

Z 2
1 1 2
H = dx Π̂ + τ ∂x φ̂
2 ρ φ
h i
φ̂(x, t), Πφ (y, t) = i~δ(x − y) (1.15)
This field theory is the same as that of the one-dimensional Klein-Gordon model of rela-
tivistic quantum particles. We shall see how the relativistic dispersion arises later. Notice
15
that the commutation relations are expressed at equal times, since the field operators —
the displacement and momentum fields — are presented in the Heisenberg picture.
Heisenberg, Schrödinger and Dirac/Interaction Pictures:

In the Schrödinger picture of quantum mechanics, operators (such as position and
momentum) are fixed and time-dependence is carried by the state or wavefunction.
An alternative picture — due to Heisenberg — is to keep the state fixed in time
and allow the operators to vary. The relationship between these two pictures can be
understood by insisting that physical observables are unaffected by our notation.
R
In the Schrödinger picture dt |ψi = iĤ|ψi ⇒ |ψ(t)i = ei dtĤ |ψ(0)i. We can use this
to deduce the time-dependence of the expectation of an operator Θ̂ as follows:
R R
hΘ̂i(t) = hψ(t)|Θ̂S |ψ(t)i = hψ(0)| e−i dtĤ
Θ̂ ei dtĤ
|ψ(0)i
| {zS }
Θ̂H
The subscripts S and H on Θ̂ indicate R Schrödinger

R and Heisenberg versions respec-
tively. Their relationship is Θ̂H = e−i dtĤ Θ̂S ei dtĤ . The equation of motion for Θ̂H
can be deduced by taking a time derivative of this equation to be
dt Θ̂H = i[Θ̂H , Ĥ]
The Interaction Picture is another alternative (that we will not use in this course)
often used in field theory. This separates the Hamiltonian into bare and interaction
parts, Ĥ0 and ĤI , respectively. The time dependence arising from the bare parts
is carried by the operators and the additional time dependence arising from the
interactions is carried by the states. This embodies the notion that interactions may
cause particles/systems to change their states.
16
Fourier Transform (finite string):
As in the case of the chain, the elastic string is diagonalised by a Fourier transform. Ap-
plying the rules established above for the continuum limit, these are given by
Z Z
1 1
φ̂(k, t) = √ ikx
dxe φ̂(x, t) and Π̂φ (k, t) = √ dxe−ikx Π̂φ (x, t) (1.16)
L L
with k = 2πnk /L and nk an integer in the range [−∞, ∞]. The inverse transforms are
1 X −ikx 1 X ikx
φ̂(x, t) = √ e φ̂(k, t) and Π̂φ (x, t) = √ e Π̂φ (k, t). (1.17)
L k L k
The corresponding Fourier transformed commutation relations are given by

h i
φ̂(p, t), Π̂φ (q, t) = i~δp,q (1.18)
The relationship between the forward and backwards transformations and the transformed
commutation relations can be verified by using the summation/integral representation of
the delta function
∞
1 X ik(x−y)
e = δ(x − y)
L k=−∞
Z L/2
dxe−ix(q−p) = 2πδ(p − q) = Lδp,q . (1.19)
−L/2
As before, I use the slight abuse of notation δp,q to indicate δnp ,nq , where p = 2πnp /L.
Using these rules for the Fourier transformation of the Hamiltoiain can be written

1 X 1 κ 2
H= √ Π̂φ (k)Π̂φ (−k) + k φ̂(k)φ̂(−k) .
L k 2ρ 2
p
Notice that the mode frequenciesp become ω = k κ/ρ — i.e. a linear, relativistic disper-
sion with effective speed of light κ/ρ.
Fourier Transform (infinite string):
In the case of the infinite chain, these transformations become
Z ∞ Z ∞
φ̂(k, t) = ikx
dxe φ̂(x, t) and Π̂φ (k, t) = dxe−ikx Π̂φ (x, t) (1.20)
−∞ −∞
The inverse transforms are

Z ∞ Z ∞
dk −ikx dk ikx
φ̂(x, t) = e φ̂(k, t) and Π̂φ (x, t) = e Π̂φ (k, t). (1.21)
−∞ 2π −∞ 2π
The corresponding Fourier transformed commutation relations are given by

h i
φ̂(p, t), Π̂φ (q, t) = i~δ(p, q) (1.22)
17
The relationship between the forward and backwards transformations and the transformed
commutation relations can be verified by using the summation/integral representation of
the delta function
Z ∞
dk ik(x−y)
e = δ(x − y)
−∞ 2π
Z ∞
dxe−ix(q−p) = 2πδ(p − q). (1.23)
−∞
Notice that I have made a choice here about where I put the factors of 2π from the integral
representation of the δ-function. The conventional physics choice is as above, so that
wavevector integrals always come with a factor of 1/2π.
The Hamiltonian takes the same relativistic form as the finite string, with the discrete
summation over wavevectors becoming an integral;
Z
dk 1 κ 2
H= Π̂φ (k)Π̂φ (−k) + k φ̂(k)φ̂(−k) .
2π 2ρ 2
Problems:
Q1. Verify the k-space commutation relations of the finite-length elastic string.
Q2. Verify the k-space Hamiltonian of the finite-length elastic string.
Q3. Verify the k-space commutation relations of the infinite elastic string.
Q4. Verify the k-space Hamiltonian of the infinite elastic string.
18
1.5 Canonical Quantization [Aside]
Some of you may be doing a quantum field theory course, where the idea of field operators
is introduced by canonical quantization. This aside is given to show the connection between
what we are doing here and that approach. It isn’t an examinable part of the course, but
hopefully will serve to give you greater insight about the connections between the things
that you are learning.
Single harmonic Oscillator
The classical Lagrangian for the harmonic oscillator is given by
mẋ2 1
L= − mω 2 x2 /2
2 2
and from it we can obtain the both the momentum conjugate to x — px = ∂L/∂ ẋ and the
Hamiltonian
p2 1
H = ẋpx − L = x + mω 2 x2 .
2m 2
Canonical quantization imposes commutation relations between conjugate fields — in this
case the position and momentum;
[x̂, p̂] = i~.
Quantum Elastic Rope

For the quantum elastic rope, the Lagrangian is given by
Z
1 2 1 2
L = dx ρφ̇(x) − κ(∂x φ(x))
2 2
from which w obtain the conjugate momentum Πφ (x, t) = δL/δ φ̇(x, t) = ρφ̇(x, t) and
Hamiltonian Z Z
1 2 1 2
H = dxφ̇Πφ − L = dx Π − κ(∂x φ(x))
2ρ φ 2
Quantization involves imposing canonical commutation relations
h i
φ̂(x, t), Π̂φ (y, t) = i~δ(x − y)
.
Complex Quantum Elastic Rope
The displacement field in the cases above was chosen to be along the chain/rope. In
fact, the model of transverse fluctuations takes precisely the same form. If we allow for
transverse fluctuations in both transverse directions of the rope, we can encode this by
allowing the real-space displacement field φ(x, t) to be complex — the real and imaginary
parts describing the different components of the transverse displacement. The Langrangian
in this case is precisely that obtained for the Klein-Gordon field;
Z
1 ˙ 1
L = dx ρφ̄(x)φ̇(x) − κ(∂x φ̄(x))(∂x φ(x)) (1.24)
2 2
19
from which w obtain the conjugate momentum Πφ (x, t) = δL/δ φ̇(x, t) = ρφ̄(x, ˙ t) and
Π̄φ̄ = δL/δ¯˙φ(x, t) = ρφ̇(x, t) and Hamiltonian
Z Z
1 1
H = dx φ̇Πφ +¯˙φΠ̄φ − L = dx Π̄φ Πφ − κ(∂x φ̄(x))(∂x φ(x))
2ρ 2
Quantization involves imposing canonical commutation relations

h i
φ̂(x, t), Π̂φ (y, t) = i~δ(x − y).
Of course, in the case of the elastic rope, the fields that we are quantizing correspond to
displacements and momenta and we are simply imposing the commutation relations [x̂, p̂] =
i~. In the case of the Klein-Gordon model, the situation is somewhat different. The Euler-
Lagrange equations arising from Eq.(1.24) are the Klein-Gordon equation, φ̈−d2x φ = 0. This
is a relativistic analogue of the Schrödinger equation obtained from energy conservation,
where first quantization (changing x and p to operators and imposing [x̂, p̂] = i~ ) has
been used already identifying the energy with a derivative with respect to time and the
momentum with a derivative with respect to position. Changing the Klein-Gordon field
into a field operator is therefore a second quantization step. The insight is that one of
the quanta of this field operator will have a wavefunction that obeys the Klein-Gordon
equation. This is at first a difficult concept to appreciate. In the next section we shall see
how the idea of second quantization can be alternatively introduced as a book keeping tool
to keep track of many-body wavefunctions. This effectively leads to the same construction
as obtained by this second quantization trick, and essentially provides a justification for it.
20
Chapter 2
Second Quantization
In the first chapter, we saw how creation and annihilation operators are a very convenient
way of ealing with systems of many harmonic oscillators — armed with their commutation
relations, we can calculate observable properties without ever having to write down a
wavefunction. The idea of second quantization — and field theory in general — is to use
this machinary to study many-body quantum systems1 . The essence is to interpret the
creation of a quantum of energy by the operation of â† as the creation of a particle of a
quantum matter field;
â†k − Creates a particle with momentum k i.e. in a plane wave state

â†x − Creates a particle at the point x i.e. in a delta-function wavefunction state at x.
2.1 Identical particles/Many-particle states

Many-body quantum mechanics in general — and theoretical condensed matter in par-
ticular — is concerned with the collective quantum behaviour of many identical quantum
particles (for example electrons or phonons in a solid). In this chapter, we will review the
formalism required to describe such systems. Consider a classical system of N identical
particles. This might have a Hamiltonian
N N
X p2i X X
H= + V (xi − xj ) + U (xi ).
i=1
2m i i,j>i i=1
This is (first) quantized by taking the position and momentum variables to be operators
satisfying commutation relations
[x̂i , p̂j ] = i~δi,j ,
where i and j are particle labels.
Solution for Non-interacting, Distinguishable Particles
When V (xi − xj ) ≡ 0 and the particles are distinguishable, the Schrödinger equation is
1
For relativistic systems — such as particles described by the Klein-Gordon equation — it is essential,
since the energy density and hence particle number depend upon the inertial frame of reference.
21
separable. The solution is a product of single-particle solutions;
ψ(x1 , x2 , ...xN ) = ψα1 (x1 )ψα2 (x2 ) ... ψαN (xN )e−iEt/~
ψα (x) single particle state with energy Eα
E = Eα1 + Eα2 ... EαN total energy (2.1)
Identical Particles and Exchange

Invariance of observable properties under the exchange of indistinguishable particles places
important constraints upon the wavefunction. Let us define the permutation operator as
follows: P̂ij permutes particles i and j so that
P̂ij ψ(x1 , ... xi ... xj ... xn ) = ψ(x1 , ... xj ... xi ... xn ).
For indistinguishable particles, P̂ij should not change the results of measurements, i.e.
expectations of operators are the same. Let us consider explicitly the expectation of an
operator Θ̂ and the action of P̂ij upon it.
hψ|Θ̂|ψi invariant under |ψi → eiΦ |ψi

P̂ij P̂ji = 1
⇒ P̂ij ψ(x1 , ... xi ... xj ... xn ) = ±ψ(x1 , ... xj ... xi ... xn )
+ Bosons
− Fermions
We will see presently the effects that this has upon our construction of many-particle
wavefunctions.
2.2 Many-particle Basis States

In order to describe our many body system, we require a suitable set of basis states that
satisfy the symmetry or anti-symmetry identified above. Let us start with a complete,
orthonormal set of single-particle basis states, ψα (x). From these, we can construct a many
particle state as follows:
X
ψ(x1 , , xN ) = N (±)P ψα1 (x1 ) ... ψαN (xN ) (2.2)
P
(±) for bosons/fermions
P = order of permutation
{α1 , α2 , ... αN } some permutation of state labels
N Normalization (2.3)
Note that here we sum over ALL permutations. Some other texts (such as that of Prof
Chalker) sum over distinct permutations — i.e. if some of the labels are the same then
swapping them isn’t counted. Permutations are divided into even and odd depending upon
the number of pairwise swaps that are required to perform them. An even number gives
an even permutation and an odd number gives an odd permutation.
22
Normalization
Z
1 = dxi ...dxN |ψ(x1 , ... xN )|2 (2.4)
XX Z Z
∗
= |N | 2
(±)Pα +Pβ
dx1 ψα1 (x1 )ψβ1 (x1 ) ... dxN ψα∗ N (xN )ψβN (xN(2.5)
)
Pα Pβ | {z } | {z }
=δα1 ,β1 =δαN ,βN
X
= |N |2 (±)2Pα = |N |2 N ! (2.6)
Pα
From which we deduce that N = √1N ! .

NB in the case where permutations are restricted to distinct permutations, the sum
over permutations is different and the the result is 1 = |N |2 N !/(n1 !n2 !...), where ni
is the number of times that a distinct single particle state ψαi appears in the state.
ni ! gives the permutations of these.
Slater Determinants and Permantents

The wavefunction for fermions may be written in the following form:

ψα1 (x1 ) ... ... ψα1 (xN )

1 ψα2 (x1 ) ... ... ...
ψ(x1 xN ) = √ . (2.7)
N! ... ... ... ...

ψα (x1 ) ... ... ψαN (xN )
N
The minus signs (−)P required for fermions are taken care of by the minus signs coming
from the determinant. Note that the determinant is zero if any two or more of the single-
particle states are the same. The determinant — known as a Slater determinant — therefore
properly encodes the Pauli principle. An ordering convention is needed to fix the overall
sign of the wavefunction. For bosons, we may construct a similar representation in terms of
a permanent. This is essentially the same object as a determinant but without the minus
signs.
2.3 Occupation Numbers and Fock Space

The states that we identified as many-particle basis states can be specified completely by
the number of particles in each single-particle basis state. These are usually denoted
|n1 , n2 , ...i,
where ni is the number of quanta/particles in the state i. ni takes values 0, 1 for fermions
and values 0, 1, 2, ..., ∞ for bosons. This notation assumes: i. a particular identification of
single-particle states. In condensed matter, we typically use either momentum or plane wave
states, or an orthonormal set of states constructed from orbitals on particular atoms, i.e
position states (known as Wanier states); ii. that the states are appropriately symmetrized
or anti-symmetrized for bosons or fermions, respectively.
23
Fock Space: is the set of states with all possible combinations of the occupation numbers.
The Vacuum State: is the state in which none of the particle states are occupied. It is
written as |0i and normalized h0|0i = 1.
Comparison with the Harmonic Oscillator:
This structure is very similar to that of the eigenstates of the harmonic oscillator and
harmonic chain considered previously. In the case of the harmonic chain, for example, a
generic eigenstate could be written |nk1 , nk2 , ...i describing a state with nki quanta in the
kith wavevector mode. These modes are bosons and are given the name phonons when
applied to vibrational modes of a crystal lattice. We have been using Fock space all along
to describe the harmonic oscillator and its derivatives.
2.4 Creation and Annihilation Operators

Since the structure of Fock space discussed above is so reminiscent of of the state space
of the harmonic oscillator, it is natural to expect that we can also find operators that are
the analogue of the ladder/creation and annihilation operators. These operators will allow
us to navigate Fock space and, moreover, to calculate properties of our many-body system
without ever having to write down its wavefunction.
The basic notion is to identify creation operators ĉ†a that create a particle in the single-
particle state |ψa i. We will then manipulate the resulting states to determine the properties
of the operators ĉ†a . A many-particle state can be constructed from the action of many such
operators,
ĉ†a1 ... ĉ†aN |0i = (n1 !n2 ! ...)1/2 |n1 , n2 , ...i. (2.8)
This corresponds to a state described by the real-space, many-body wavefunction
1 X
ψ(x1 , ...xN ) = hx1 , ...|(ĉ†1 )n1 ... (ĉ†N )nN |0i = √ (±1)P ψa1 (x1 ) ... ψaN (xN ) (2.9)
N! P
Hermitian Conjugation and Annihilation of the Vacuum

By definition, annihilation operators are given by the Hermitian conjugate of the creation
operators. Their action on the vacuum is as follows:
ĉ†q |0i = 0 and h0|ĉ†a = 0.
24
Proof As for the harmonic oscillator
ĉ†a |0i state with one particle in|ψa i

Normalization ⇒ h0|ĉa ĉ†a |0i = 1
⇒ h0| = h0|ĉa ĉ†a and |0i = ĉa ĉ†a |0i
General state |φi other than the vacuum
⇒ ĉ†a |φi has more than one particle
⇒ h0|ĉa ĉ†a |φi = 0
⇒ |0i = ĉa (ĉ†a |0i) = ĉa |na = 1i
Also h0|ĉ†a |φi = 0 = hφ|ĉa |0i
⇒ h0|ĉ†a = ĉa |0i = 0
Commutation and Anti-commutation

Considering the action of the permutation operator on a two-particle state, we have
ĉ†a ĉ†b |0i = ±ĉ†b ĉ†a |0i
for bosons and fermions, respectively. This implies that

h i
† †
ĉa , ĉb = 0 = ĉ†a ĉ†b − ĉ†b ĉ†a Bosons (2.10)
n o
ĉ†a , ĉ†b = 0 = ĉ†a ĉ†b + ĉ†b ĉ†a Fermions (2.11)
and (after Hermitian conjugation)
[ĉa , ĉb ] = 0 Bosons (2.12)

{ĉa , ĉb } = 0 Fermions (2.13)
In order to reproduce the values of inner products of our general multi-particle state,
Eq.(2.9), we must take2
h i
ĉa , ĉ†b = δab Bosons (2.14)
n o
ĉa , ĉ†b = δab Fermions (2.15)
Number Operators The action of the creation operators on Fock space is determined by the
normalization of Eq.(2.8), which implies
√
ĉ†l |n1 , n2 , ... nl , ...i = (±)n1 + ...+nl−1 nl + 1|n1 , n2 , ... nl + 1, ...i
The negative signs in the fermionic case come from commuting ĉ†l through all of the creation
operators to the left. Note also that for fermions (ĉ†l )2 = 0 which implies that the right
For example, consider the norm of the state |n1 i = ĉ†1 |0i. This is given by 1 = hn1 |n2 i = h0|ĉ1 ĉ†1 |0i =
2
±h0|ĉ†1 ĉ1 |0i + h0|0i.
25
hand side of the above expression is zero when nl = 1. The action of the annihilation
operators can be considered similarly and we find
√
ĉl |n1 , n2 , ... nl , ...i = (±)n1 + ...+nl−1 nl |n1 , n2 , ... nl − 1, ...i
This is zero for both bosons and fermions if nl = 0. That is, ĉl annihilates a state propor-
tional to the vacuum of the orbital l.
From these results, we deduce that
ĉ†l ĉl |n1 , n2 , ... nl , ...i = nl |n1 , n2 , ... nl , ...i.
2.5 Transformation Between Bases

It is often useful to address different physical questions with reference to different single
particle bases (such as the position and momentum bases). We need then to understand
how to transform our creation and annihilation operators between such bases. We have
already seen an example of this for the harmonic chain. Let us think about this more
generally for a moment.
2.5.1 The Transformation

Consider two orthonormal sets of basis functions {|χa i} and {|ψa i}. The transformation
between them is acheived as follows3 :
X
|χa i = Uab |ψb i (2.16)
b
Uab = hψb |χa i (2.17)
The transformation is unitary (U U † = 1), as can be seen from the following simple calcu-
lation:
†
X X
Uab Ubc = hψb |χa i(hψb |χc i)† = hχc |ψb ihψb | χa i = hχc |χa i = δac .
| {z }
b b 1
Next, let us determine the corresponding transformation rule for the creation and annihi-
lation operators.
ĉ†a creates a particle in |ψa i,

dˆ†a creates a particle in |χa i.
From the relationship between the orbitals, (2.17), we deduce that

X X
dˆ†a = Uab ĉ†b and by Hermitian conjugation dâ = ĉb (U † )ba (2.18)
b b
3
NB. the transformation matrix used here is the transpose of that used by Prof Chalker in his notes
26
2.5.2 Transforming (Anti-)Commutation Relations
Both commutation and anticommutation relations are preserved by this transformation4
Bosonic Commutation Relations:
h i Xh i X h i X
dâ , dˆ†b = ĉc (U † )ca , Ubd dˆ†d = Ubd (U † )ca ĉc , ĉ†d = Ubc (U † )ca = δab
cd cd | {z } c
=δcd
Fermionic Anti-Commutation Relations:

n o Xn o X n o X
dâ , dˆ†b = ĉc (U † )ca , Ubd dˆ†d = Ubd (U † )ca ĉc , ĉ†d = Ubc (U † )ca = δab
cd cd | {z } c
=δcd
The invariance of the commutations relations between position and wavevector basis that
we noted in the case of the harmonic chain is just a special case of the invariance under
general unitary transformations noted here.
2.5.3 Transforming Between x- and p-Bases

The position and momentum basis are often the most convenient for the calculation of
physical observables in translationally invariant systems. It turns out that the transfor-
mation of states between these bases is simply a Fourier transform. The commutation
relations [x̂, p̂] = i~ imply that the momentum operator is given by i~∂x in real space 5 and
the following overlap between position and momentum eigenstates:
eix.k
hx|ki = √ = Uk,x .
2π~
Using (2.18) the transformation from a position space creation operator to a momentum
space one is given by
e−ix.k †
Z
ˆ†
dk = dk √ ĉx .
2π~
The condition that the transformation be unitary simply reduces to the integral represen-
tation of the δ-function;
ei(k−q).x
Z Z
†
dxUk,x Ux,q = dx = δ(k − q)/~.
2π~
4
An alternative notation uses [A, B]− = [A, B] and [A, B]+ = {A, B}. Using this the equations look
identical with the usual ± indicating where bosonic and fermionic versions differ
5
and that the position operator is given by −i~∂k in momentum space
27
Normalization of Momentum States and Fourier Transform Conventions
Fourier transformations and transformations between position and momentum bases have
various factors of 2π (and ~) flying around. The easiest way to remember these is to keep
a factor of 1/(2π~) for each momentum in the measure.
Discrete:
1 X −ik.x † 1 X ik.x †
ĉ†k = √ e ĉx ĉ†x = √ e ĉk x = a(nx , ny , nz ) k = 2π(l, m, n)/a
N x N k
Continuous, Finite Length:

Z
† 1 1 X ik.x †
ĉk = √ dxe−ik.x ĉ†x ĉ†x = √ e ĉk k = 2π(l, m, n)/a
V V k
Continuous, Infinite Length:

Z Z
dk ik.x †
ĉ†k = dxe −ik.x
ĉ†x ĉ†x = e ĉk
2π~
The astute will notice a slight difference compared with the previous page. This is because
momentum states can be defined with 2 different normalizations. On the previous page
V
hx|xi = V and hk|ki =
2π~
whereas on this page we have used
hx|xi = V and hk|ki = V.
The point is that one cannot really talk about a plane wave state for a single particle as
the prefactor would go to zero (the probability density would be spread out uniformly over
the whole of space). Instead, one defines the state to have a certain density of particles per
unit volume and one must decide what that density is.
2.6 Single- and Two-Particle Operators

2.6.1 Single-Particle Operators
We are going to build up gradually to a way of writing general single particle operators in
a second quantised form - i.e. in terms of creation and annihilation operators.
Kinetic Energy
The classical kinetic energy for a collection of N particles takes the form
N
X p̂2i
HKE =
i=1
2mi
28
i.e. the sum of the kinetic energy of each particle. The way in which we write this in
second quantized form is to use the number operator in the momentum basis to count the
number of particles with each momentum;
X (~k)2
ĤKE = n̂k .
k
2m
The expectation of this in a momentum Fock state |nk1 , nk1 , ...i reduces to
X (~k)2
hĤKE i = hnk1 , nk1 , ...| n̂k |nk1 , nk1 , ...i
k | 2m {z }
when k=ki ⇒n̂k |nk i=nk |nk i
N
X (~ki )2
= nki hnk1 , nk1 , ...|nk1 , nk1 , ...i
i,1
2m
N
X (~ki )2
= nki
i=1
2m
General Case:
In general, an operator Θ̂ can be expressed in second quantized form by using the number
operator in the eigenbasis of Θ̂.
Assume Θ̂ has eigenstates |ψα i and eigenvalues Θα such that
Θ̂|ψα i = Θα |ψα i, or Θα = hψα |Θ̂|ψα i.
The first quantized expectation for an N particle system is given by

N
X
hΘ̂i = Θαi .
i=1
Following the same procedure as for the kinetic energy, this can be written
X X
Θ̂ = Θα n̂α = Θα ĉ†α ĉα .
α α
General Case in Arbitrary Basis:

Of course, we may wish to write our operator Θ̂ in a basis other than its eigenbasis. Using
creation and annihilation operators in an arbitrary basis, it can be written as
X
Θ̂ = hψa |Θ̂|ψb iĉ†a ĉb . (2.19)
ab
29
This can be shown as follows:
• Relate bases by Uαa = hψa |ψα i, which implies ĉ†α = Uαb ĉ†b and ĉα = Ubα†
ĉb from
† † †
our definition in Eq.(2.18) or alternatively ĉa = Uaα ĉα and ĉa = ĉα Uαa .
• Substitute in general expression

X
†
Θ̂ = hψa |Θ̂|ψb iUaα Uβb ĉ†α ĉβ
abαβ
X
†
= Uaα hψa |Θ̂|ψb iUβb ĉ†α ĉβ
abαβ
X
= hψα |ψa ihψa | Θ̂ |ψb ihψb |ψβ i ĉ†α ĉβ
|P {z } |P {z }
abαβ
a |ψa ihψa |=1 b |ψb ihψb |=1
X
= hψα |Θ̂|ψβ i ĉ†α ĉβ
| {z }
αβ
Θ̂|ψβ i=Θβ |ψβ i
X
= Θβ hψα |ψβ i ĉ†α ĉβ
| {z }
αβ
δαβ
X
= Θα ĉ†α ĉα
α
2.6.2 Two-Particle Operators

Two-body operators — such as the interaction potential — depend upon the coordinates
of a pair of particles. The first quantized form of the matrix elements of such an operator
are given by Z
Θlmpq = dx1 dx2 ψl∗ (x1 )ψm
∗
(x2 )Θ(x1 , x2 )ψp (x2 )ψq (x1 )
Using the properly (anti) symmetrized wavefunctions for (fermions) bosons, the expectation
values of Θ̂ are
Z
1
hΘ̂i = dx1 dx2 √ (ψl∗ (x1 )ψm∗
(x2 ) ± ψl∗ (x2 )ψm
∗
(x1 ))
2
1
× (Θ(x1 , x2 ) + Θ(x2 , x1 )) √ (ψp (x2 )ψq (x1 ) ± ψp (x1 )ψq (x2 ))
2
= (Θlmpq + Θmlqp ) ± (Θlmqp + Θmlpq )
This same expression can be recovered from the second quantized form
X
Θ̂ = Θlmpq ĉ†l ĉ†m ĉp ĉq
lmpq
Taking the expectation with the second quantized form of the same states
X
hΘ̂i = h0|ĉl ĉm Θ̂ĉ†p ĉ†q |0i = Θabcd h0|ĉl ĉm ĉ†a ĉ†b ĉc ĉd ĉ†p ĉ†q |0i = (Θlmpq + Θmlqp ) ± (Θlmqp + Θmlpq )
| {z } | {z }
abcd
(δlb δam ±δal δbm ) (δdp δcq ±δdq δcp )
30
Origin of minus signs
The minus signs here arise for fermions as terms anticommute if they have different
labels
ĉc ĉd ĉ†p ĉ†q |0i = −ĉd ĉc ĉ†p ĉ†q |0i = ĉd ĉ†p ĉc ĉ†q |0i = ĉd ĉ† ĉc ĉ† |0i
|{z}p |{z}q
when p=d⇒1−ĉ†p ĉp when c=q⇒1−ĉ†c ĉc
ĉc ĉd ĉ†p ĉ†q |0i = −ĉc ĉ†p ĉd ĉ†q |0i = − ĉc ĉ†p ĉd ĉ† |0i
|{z} |{z}q
when p=c⇒1−ĉ†p ĉp when d=q⇒1−ĉ†d ĉd
2.7 Diagonalizing Quantum Hamiltonians

The aim in using second quantization techniques is to reduce the expectation values that
we are interested in — as far as possible — to number operators. As we saw in the case
of the harmonic oscillator, it is then a simple matter to calculate the physical properties.
Single particle operators can always be written in this form. Higher order many-particle
operators can be expanded in terms of single-particle operators using mean-field theory
and perturbative extensions (not part of this course).
2.7.1 Unitary transformations

Hamiltonians that conserve particle number can always be written
X
Ĥ = Hij â†i âj .
ij
For Ĥ to be Hermitian, Hij must be a Hermitian matrix, implying i. that it has real
eigenvalues and ii. that it can be diagonalized by a unitary transformation to a new basis.
Let α̂i† = Uij â†j be a creation operator in such a basis ⇒ â†j = Uji† α̂i† . Substituting into Ĥ,
!
X X X X X
Ĥ = Hij â†i âj = Hij Uik α̂k† α̂l Ulj† = Hij Uik Ulj† α̂k† α̂l = l α̂l† α̂l
ij ijkl kl ij l
| {z }
(U T HU ∗ )kl −diagonal
Solving a problem defined by a particular Ĥ amounts to finding the unitary rotation that
diagonalizes it. As we saw for the harmonic chain, often a Fourier transform forms one
part of this. In the following, we will see a number of example where there is a residual
diagonalization required - often of just a 2 × 2 or 4 × 4 matrix.
31
2.7.2 Bogoliubov Transformation
There are lots of physical systems for which a mean-field treatment leads to terms in the
Hamiltonian that are bilinear in creation or annihilation operators;
H = 1 ĉ†1 ĉ1 + 2 ĉ†2 ĉ2 + λĉ†1 ĉ†2 + λ∗ ĉ1 ĉ2 .
These terms are present in Bose condensates (the subject of the next chapter), super-
fluids, superconductors and anti-ferromagnets (a topic touched upon in Chapter 4). A
Hamiltonian with such terms does not preserve particle number — the groundstate is a
superposition of different numbers of particles, which occurs physically by the system ex-
changing particles with the condensate or environment. A unitary transformation cannot
be used to diagonalize these Hamiltonians. Instead, one must use a Bogoliubov transfor-
mation. This takes a slightly different form for bosons and fermions. The procedure is very
similar in the two cases with some additional negative signs in the latter case.
Bosonic Bogoliubov
The bosonic form of the Bogoliubov transformation is used for example for Bose condensates
and anti-ferromagnets. After a Fourier transform, the Hamiltonian takes the following form
(usually with additional momentum dependence of each term that we suppress here):
Ĥ = (ĉ†1 ĉ1 + ĉ†2 ĉ2 ) + λ(ĉ†1 ĉ†2 + ĉ2 ĉ1 ).
This is diagonalized by a transformation of the form
ĉ†1 = udˆ†1 + v dˆ2 , ĉ†2 = udˆ†2 + v dˆ1 . (2.20)
There are various ways of going through the algebra to show this and to fix the coefficients
of u and v in terms of and λ. Here is the way that I always do it
• Introduce a matrix form

  
λ 0 0 ĉ1
1 †  λ 0 0   †
ĉ , ĉ2 , ĉ†2 , ĉ1    ĉ2

Ĥ = − (2.21)
2 1  0 0 λ   ĉ2 
0 0 λ ĉ†1
The − term arises because the ĉĉ† terms are in the opposite order in half of the
terms as written in this matrix form.
• The Bogoliubov transformation can be written in the form

    ˆ 
ĉ1 u v 0 0 d1
 ĉ†2   v u 0 0   dˆ†2 

 =  (2.22)
 ĉ2   0 0 u v    dˆ2 

ĉ† 0 0 v u dˆ†
| {z1 } | {z } | {z1 }
ĉ M
dˆ
The spinors ĉ and dˆ on the left hand right hand sides are referred to as Nambu spinors
32
• Preserving the commutation relation (which, remember, happens automatically with
unitary transformations) requires
[ĉ1 , ĉ†1 ] = [udˆ1 + v dˆ†2 , udˆ†1 + +v dˆ2 ]

= u2 [dˆ1 , dˆ†1 ] +uv [dˆ1 , dˆ2 ] +uv [dˆ†2 , dˆ†1 ] −v 2 [dˆ2 , dˆ†2 ]
| {z } | {z } | {z } | {z }
=1 =0 =0 =1
= u2 − v 2
= 1
• Using u2 − v 2 = 1 we can identify the inverse of M as

 
u −v 0 0
−v u 0 0 
M −1 = 


 0 0 u −v 
0 0 −v u
so that we can write the transformation, using the Nambu spinor notation, as
ˆ ĉ† = dˆ† M ⇔ dˆ = M −1 ĉ dˆ† = ĉ† M −1
ĉ = M d,
• Next we insert resolutions of the identities M M −1 = 1 and M −1 M = 1 between the

spinors and the Hamiltonian matrix as follows:
 
λ 0 0
1 † −1  λ 0 0  M M −1 ĉ −

Ĥ = ĉ| M M
2 {z }  0 0 λ  | {z }
dˆ† dˆ
0 0 λ
| {z }
H0
• The final task is to write out the components of H 0 and choose u and v so that the
off-diagonal elements are zero. We only need to focus on the 2 × 2 block

u v λ u v [u2 + v 2 ] + 2λuv 2uv + λ[u2 + v 2 ]
=
v u λ v u 2uv + λ[u2 + v 2 ] [u2 + v 2 ] + 2λuv
• This can be solved by identifying u = cosh θ and v = sinh θ (so that u2 − v 2 = 1)

and using the double angle formula for sinh θ and cosh θ to get u2 + v 2 = cosh 2θ and
2uv = sinh 2θ. Finally setting −λ/ = tanh 2θ, we obtain

H = ˜ dˆ†1 dˆ1 + dˆ†2 dˆ2 − + ˜
√
˜ = 2 − λ2
33
Fermionic Bogoliubov
This is used for example for superconductivity and superfluidity of fermions (e.g. in 3 He).
The steps are very similar to those for bosons, but crucially, negative signs from the anti-
commutation of fermionic operators changes things somewhat. The Hamiltonian takes the
same form as before, with the following Nambu spinor representation:
  
λ 0 0 ĉ1
1 † †
 λ − 0 0   ĉ†2 
Ĥ = ĉ , ĉ2 , ĉ2 , ĉ1     +
2 1 0 0 −λ   ĉ2 
0 0 −λ − ĉ†1
The opposite signs obtained for fermions are highlighted in red. These arise directly from
the commutation relations, e.g. λĉ1 ĉ2 = −λĉ2 ĉ1 leads to the opposite sign for some of the
λ terms. Similarly ĉ†1 ĉ1 = (1 − ĉ1 ĉ†1 ) leads to a + rather than − at the end.
• This is diagonalised by a Bogoliubov transformation of the form
    ˆ 
ĉ1 u v 0 0 d1
 ĉ†2   −v u 0 0   dˆ†2 

 =  (2.23)
 ĉ2   0 0 u −v   dˆ2  

† †
ĉ1 0 0 v u ˆ
d1
The manipulations from here are rather similar
• The anti-commutation relations must be preserved by the fermionic Bogoliubov trans-
formation. This implies that
{ĉ† , ĉ1 } = {udˆ† + v dˆ2 , udˆ1 + v dˆ† } = u2 {dˆ† , d}
1 1 2 1
ˆ + v 2 {dˆ2 , dˆ† } = u2 + v 2 = 1,
2
which suggests taking u = cos θ and v = sin θ.

• Clearly M −1 = M T allowing us to diagonalize the Hamiltonian as follows:
 
λ 0 0
1 †  λ − 0 0 
M MT 
Ĥ = ĉ|{z}  M M −1 ĉ +
2  0 0 −λ  | {z }
dˆ† dˆ
0 0 −λ −
| {z }
H0
• As in the bosonic case, the final task is to write out the components of H 0 and choose
u and v so that the off-diagonal elements are zero. We only need to focus on the 2 × 2
block

u −v λ u v [u2 −v 2 ]−2λuv 2uv + λ[u2 −v 2 ]
=
v u λ − −v u 2uv + λ[u2 −v 2 ] −[u2 −v 2 ] + 2λuv
√
which leads to the conditions tan 2θ = −λ/ and ˜ = cos 2θ− sin 2θλ = 2 +λ2
• The resulting Hamiltonian is

ˆ †ˆ ˆ†ˆ
H = ˜ d1 d1 + d2 d2 +−˜
√
˜ = 2 +λ2
34
Chapter 3
The Weakly-Interacting Bose Gas
Superfluidity was first observed in liquid helium below about 2.1K. Similar phenomena - at
least the phenomenon of Bose condensation - have since been observed in ultra-cold atomic
gases and quantum magnets. After the rather formal interlude of the previous chapter, we
now poses the analytical tools to describe Bose condensation in detail.
3.1 The Hamiltonian

The Hamiltonian for the weakly interacting Bose gas contains a kinetic term describing the
motion of non-relativistic bosons in free space and a point repulsion between them (i.e the
particles excert no force upon one another until they are immediately adjacent and then
they repel).
X ~2 k2 U X † †
H = HKE + Hint = ĉ†k ĉk + ĉ ĉ ĉq ĉk+p−q
k
2m 2V k,p,q k p
To understand the form of the repulsive interaction, we first note that it can be written in
first quantized form as
UX
Hint = δ(xi − xj )
2 i6=j
by which we imply that it is diagonal in the position basis and given by the product of the
densities at two different points. In second quantized form, in the position basis, then we
have Z
U
Hint = dxdy δ(x − y)n̂(x)n̂(y),
2
35
where n̂(x) = ĉ†x ĉx is the number operator at the point x. Substituting Fourier expansions
for the position-basis creation and annihilation operators
Z Z
U dk dp dq dl ix.(k−p)+iy.(q−l) † †
Hint = dxdy δ(x − y) e ĉk ĉp ĉq ĉl
2 (2π)d (2π)d (2π)d (2π)d
Z Z
U dk dp dq dl
= dxeix.(k−p+q−l) ĉ†k ĉp ĉ†q ĉl
2 (2π)d (2π)d (2π)d (2π)d
| {z }
=(2π)d δ(k−p+q−l)
Z
U dk dp dq † †
= ĉ ĉp ĉ ĉk−p+q
2 (2π)d (2π)d (2π)d k q
Notice that the momenta of the ingoing bosons that are annihilated matches that of the
outgoing, created bosons. This can be represented by a Feynman diagram:
p k q pk +
k qq kp+ q p
p k q k+q p
p k q k+q p
3.2 Mean Field Theory

At the end of Chapter 2, we learnt how to diagonalize a quadratic, second quantized Hamil-
tonian. In the present case, however, the interaction is quartic in creation and annihilation
operators. Based upon our knowledge of the non-interacting Bose gas, we can develop a
leading-order approximation that reduces the Hamiltonian to quadratic form.
Non-interacting Bose Gas: All particles in k = 0 state.
Interacting Bose Gas:
Assume macroscopic occupation of the k = 0 state; hĉ†0 ĉ0 i = N0 . A number of steps follow
from this
√
• Replace ĉ0 by a c-number (commuting number rather than operator) ĉo → N0 .
• Expand H in powers of N0
U N02 U N0 X †
Hint = + 4ĉk ĉk + ĉ†k ĉ†−k + ĉk ĉ−k + O(1)
2V 2V k6=0
• The total number of particles N can be expressed as

X †
N = N0 + ĉk ĉk
k6=0
36
• Substitute back and retain quadratic terms
UN2 UN X † † †

Hint = + 2ĉk ĉk + ĉk ĉ−k + ĉk ĉ−k
2V 2V k6=0
• Adding to the non-interacting part of the Hamiltonian

U ρ2 X
2 2
~k † Uρ † †
H=V + + U ρ ĉk ĉk + (ĉ ĉ + ĉk ĉ−k ) (3.1)
2 k6=0
2m 2 k −k
• This has precisely the same form as the Hamiltonian considered in 2.7.2. It can be
diagonalised with a Bogoliubov transformation resulting in a diagonal Hamiltonian
0
~2 k2
X
† †
H = k (α̂k α̂k + α̂−k α̂−k ) + k − ,
k6=0
2m
" 2 #1/2
~2 k2
k = + U ρ − (U ρ)2 (3.2)
2m
where 0 indicates that the summation be carried out wit kx > 0 say and the point
P
k = 0 excluded.
3.3 Landau’s Critical Superfluid Velocity

The dispersion of excitation found above has different behaviour at large and small mo-
menta;
~ 2 k2 ~2 k2

k ∼ large |k| such that >> U ρ
2m 2m
r
Uρ
∼ |k| small |k|
m
The latter dependence at low |k| is responsible for the superfluid properties as can be seen
by the following argument due to Landau:
Consider a superfluid of total mass M and velocity v. The only way that friction can arise
is by exciting some of the k 6= 0 modes that we have revealed above. Suppose producing
one such mode reduces the bulk velocity to v − ∆v.
Conservation of Momentum:
M v = M v − M ∆v + ~k
Conservation of Energy:
1 1
M v2 = M (v − ∆v)2 + k
2 2
Together which imply
~k.v = k
The quantity v.k takes different values depending upon the relative direction of v and k
and is maximum for k parallel to v.
37
✏k
v.k
|k|
If |v| < k /(~|k| for all k, then no bosons are excited and there is no friction. This implies
a critical velocity for superfluid flow

k
vc = min . (3.3)
k ~|k|
p
From our previous results k ≈ U ρ/m~k so that the critical velocity is given by
r
Uρ
vc = .
m
The finite interaction crucially changes the properties of the Bose system allowing the
possibility of superfluidity.
3.4 Superfluid Fraction

The Hamiltonian is diagonalized by a Bogoliubov transformation from the original Base
operators ĉk to new ones α̂k with dispersion k given by Eq.(3.2). Since the Hamiltonian
for the latter is diagonal, we can easily write an expression for the occupation of these
modes at finite temperature in terms of the Bose distribution function
1
hα̂k† α̂k i = nB (k ) = .
eβk − 1
This can be used to calculate thermodynamic properties of the Bose gas, such as the
superfluid density; X †
ρ0 = ρ − hĉk ĉk i. (3.4)
k6=0
The trick is to use the form of the Bogoliubov transformation to write the expectation
in Eq.(3.4) in terms of the α̂ operators. The solution to this is the subject of one of the
problem sets.
38
Chapter 4
Quantum Magnets
In this chapter, we will use the language of second quantization to discuss properties of
quantum magnets — magnets in which atoms in a lattice have unpaired electron spins that
may interact with the spins on other sites. We will focus upon insulating magnets in which
the electrons that carry the spins are fixed in a give atomic orbital, as opposed to itinerant,
where they would be free to hop around.
Despite the apparent simplicity of this set up, the collective quantum behaviour of such
systems is incredibly rich. Just about every phenomenon of modern quantum physics is
revealed by these systems — they provide the first example of topology in quantum physics
(through the Haldane conjecture that we will discuss later) and a magnetic model (due to
Kitaev) is the basis of some of the most widely studied quantum error correcting codes.
The prototypical model of this behaviour is deceptively simple. The complications are all
down to emergent collective behaviour.
4.1 The Heisenberg model

The Heisenberg model is the simplest model of quantum magnetic behaviour. Its Hamil-
tonian is given by X
Ĥ = Jij Ŝi · Ŝj , (4.1)
hiji
where i, j are the sites of some lattice, it e.g. 2d sqare or triangular, 3d cubic etc. hi, ji
indicates a sum over neighbouring sites. Jij are exchange interactions between 2 spins
on the sites i and j. Negative couplings favour parallel spins and ferromagnetic ordering,
positive couplings favour anti-ferromagnetic couplings.
Commutation Relations: The spin operators obey commutation relations
h i
µ
Ŝi , Ŝj = i~µνλ Ŝiλ δij
ν
The consequences of these are not trivial and render the sate-space and dynamics consider-
ably more complicated than that of bosons. Classically, spin/angular momentum is a vector
of any length in any direction. Quantum mechanics restricts the length and direction:
39
Quantum Numbers: The total spin operator and h its projection
i onto a particular axis (say
2 z
the z-axis) form a commuting set of operators Ŝ , Ŝ = 0 with which we may associate
quantum numbers
Ŝ2 |S, mi = ~2 S(S + 1)|S, mi

Ŝ z |S, mi = ~m|S, mi (4.2)
where m ∈ {−S, −(S − 1), ...S} i.e. a tower of 2S + 1 states. As you will recall from
previous quantum mecahnics courses, this can be derived by constructing ladder operators
Ŝ ± + Ŝx ± iŜy (4.3)
that move states up and down this tower of states:

p
Ŝ ± |S, mi = ~ (S ∓ m)(S ± +1)|S, m ± 1i
Ŝ + |S, Si = 0
Ŝ − |S, −Si = 0 (4.4)
This algebra is actually very hard to deal with in general for systems of interacting spins.
Notice, though, that the top and the bottom of the tower of states look rather like the
bosonic state space. If the physics is such that these states dominate the behaviour, then
we can make approximations that map our Hamiltonian based upon spin operators to one
based upon bosonic operators.
40
Origin of the Heisenberg Model
Various different mechanisms collected together under the heading "exchange" con-
tribute to the interaction between spins in the Heisenberg model
a) Direct Exchange:
This leads to anti-ferromagnetic coupling and ultimately has the same origin as
Hund’s rul in atoms (though it has the opposite effect). Consider two neighbour-
ing sites:
Symmetric spins
⇒ antisymmetric spatial wavefunctiona ⇒ Node at x1 − x2 = 0 ⇒ Lower Coulomb
anti-symmetric spins
⇒ symmetric spatial wavefunction ⇒ no node in wavefunction ⇒ Higher Coulomb
This is also called potential exchange, because it relies upon the difference in potential
energy between 2 configurations.
b) Super/Kinetic Exchange:
This type of exchange is driven by virtual hopping between lattice sites. This spreads
the electronic wavefunction and so lowers its kinetic energy.
Symmetric spins
⇒ Pauli exclusion forbids double occupancy and there is no virtual hopping.
anti-symmetric spins
⇒ Virtual hopping allowed ⇒ wavefunction spreads and lowers kinetic energy
[Anderson, PhyS. Rev. 79, 350 (1950)]
a
Electrons are fermions
4.2 Holstein-Primakoff transformation

The non-trivial commutation relations of the spin operators make them tricky to deal with.
Bosonic operators are much easier and the Holstein-Primakoff transformation allows a way
to swap between the two.
Ŝ z = S − b̂† b̂
!1/2
√ b̂† b̂
Ŝ + = 2S 1− b̂
2S
!1/2
√ b̂† b̂
Ŝ − = 2S b̂† 1− (4.5)
2S
41
One can easily check1 that the bosonic hcommutation
i relations [b̂, b̂† ] = 1 reproduce the
spin commutation relations in the form Ŝ + , Ŝ − = 2Ŝ z . Identifying our boson operator
per site of the lattice, the fact that spin operators on different sites commute is readily
accommodated by the similar commutation of bosonic operators on different sites.
Approximate Form:
In the limit that the expectations of Ŝ z on each site are near to S, there are very few
excitations in the bosonic representation. In this case, the mapping may be reduced to
Ŝ z = S − b̂† b̂
√
Ŝ + = 2S b̂
−
√
Ŝ = 2S b̂† (4.6)
which amounts to turning the bosonic tower of states upside down and matching it with
the top of the tower of spin states. In physical situations in which only a few bosons are
excited, i.e. hb̂† b̂i 1, the fact that the bosonic tower of states does not terminate does not
show up. We shall see now how this approximation allows us to calculate certain properties
of magnetic systems.
4.3 The Heisenberg ferromagnet

Consider an insultating magnet in which all of the nearest neighbour interactions are fer-
romagnetic, i.e. in which J < 0.
4.3.1 The Groundstate

The groundstate is such that all of the spins are aligned — say in the z-directions — so
that Ŝxz |S, Si = ~S|S, Si on each site and
O
|ψGroundstate i = |S, Si
x
This state is an eigenstate of the Heisenberg model. To see this, we write the Heisenberg
model in the form
X Xh i
Ĥ = −J Ŝx · Ŝy = −J Ŝxz Ŝyz + (Ŝx+ Ŝy− + Ŝx− Ŝy+ )/2
hx,yi hx,yi
so that X
Ĥ|ψGroundstate i = −J S 2 |ψGroundstate i,
hx,yi
where we have used the fact that Ŝ + |S, Si = 0.

1
And you should!!
42
4.3.2 Excitations
Excitations about this groundstate can be found using the approximate form of the Holstein
Primakoff transformation Eq(4.5), after which the Hamiltonian reduces to
X X
H = −J S 2 − JS b̂†x b̂y + b̂†y b̂x − b̂†x b̂x − b̂†y b̂y
hx,yi hx,yi
N N
and the groundstate x |S, Si becomes the vacumm state of the bosons |0i.
Our task now is to diagonalize this Hamiltonian. Because the system is translationally
invariant, the first step towards this (actually the only step in this case) is to Fourier
transform. Let us do this for the simple cubic lattice, taking the Fourier transform relations
1 X −ik·x 1 X ik·x
b̂x = √ e b̂k b̂k = √ e b̂x
N k N x
where N is the total number of sites in the lattice, k = 2π(n, m, l)/L with n,m and l
integers and L the size of the lattice. With these definitions, we find
1 JS X X ix·(k−q) id·q
H = − JS 2 N z − e [e − 1]b̂†k b̂q
2 N x,d k,q
1 JS X X id·k
= − JS 2 N z − [e − 1]b̂†k b̂k
2 N k d
where d is the displacement between adjacent lattice sites and z is the coordination number
of a site of the lattice. We may summarize this result in 3d as
1 X †
H = − JS 2 N z + k b̂k b̂k
|2 {z } k
const
k = 2J [3 − cos(akx ) − cos(aky ) − cos(akz )] .
We have reduce our description of the excitations to that of a bosonic, harmonic osicllator-
like mode. Notice that since the ferromagnet is an eigenstate of the Hamiltonian, there
are no zero-point fluctuations. This is quite a special case. The bosonic modes have low
energy dispersion
k ∼ JSk2 .
These modes are gapless — their energy goes to zero as |k| does. This is because they
are Goldstone modes; they arise because the spin rotational symmetry of the Hamiltonian
is broken by the groundstate — it costs zero energy to rotate between these groundstates
and this coresponds to precisely the k = 0 limit of the excitations described here. The fact
that the dispersion is quadratic (and not linear as for phonons) as |k| → 0 is because time
reversal symmetry is broken (remember that angular momentum and hence spin reverse
sign under time-reversal).
43
4.3.3 Thermal Fluctuations
The breaking of rotational symmetry by the ferromagnetic state can be quantified by an
order parameter - the magnetization. The free energy of the system may in fact be ex-
panded as a function of this order parameter. This powerful technique — known as a
Ginzburg-Landau expansion — can reveal key generic properties of thermodynamic phases
and transitions between them. Here we shall satisfy ourselves by considering the effect of
thermal fluctuations upon the magnetization of our system.
The magnetization per site (assuming polarization in the z-direction)is given by
1 X z
M= hS i.
N x x
Using the Holstein-Primakoff transformation, Eq.(4.5) this can be written in terms of the
bosonic operators as
1 X
M = hS − b̂†x b̂x i
N x
1 X X i(k−q)·x †
= S− 2 e hb̂k b̂q i
N x k,q
1 X †
= S− hb̂ b̂k i,
N k k
where we have also Fourier transformed as our Hamiltonian is diagonal in momentum

space. This latter fact, combined with the fact that there are not a fixed number of bosons
results in the expectation hb̂†k b̂k i begin given by the Bose distribution. The magnetisation
is therefore given by
1 X 1
∆M =
N k e −1 β k
Taking the continuum limit

Z
1 1
= dd k β
Ω BZ e k −1
Ω is the Brillouin zone volume, and k ∼ SJk2
Z √T /SJ d−1
k dk
= T
SJk 2
 0 √
T /SJ
 T k1 0 √ d=1



T /SJ
∼ T [log[k]] d=2
 √ 0
T /SJ


 T [k] d=3
0
The integral diverges at low k — called an IR (infra-red) divergence — in one and two
dimensions. It converges in three dimensions so that ∆M ∼ T 3/2 . The divergence in d = 1
and 2 shows that fluctuations overwhelm antiferromagnetic order - an illustration of the
Mermin-Wagner theorem that a continuous symmetry cannot be broken in d ≤ 2 at finite
temperature.
44
4.4 The Heisenberg Anti-ferromagnet
Next we shall consider the anti-ferromagnetic Heisenberg model on a bi-partite lattice
X Xh i
H=J Ŝx · Ŝy = J Ŝxz Ŝyz + (Ŝx+ Ŝy− + Ŝx− Ŝy+ )/2 . (4.7)
hx,yi hx,yi
A bi-partite lattice is one whose sites can be divided into two sets such that sites on one
set are only nearest neighbours in the other. The square, cubic and hypercubic lattice are
examples.
4.4.1 The Néel state

At the classical level, the Hamiltonian is minimised when the spins on the different sub-
lattices are anti-parallel. This is known as the Néel state. On the square lattice it takes
the form
.
O
|ψNeél i = |S, ±Si,
x
where the two different signs occur for the different sub-lattices. Unlike the ferromagnet,
this is not an eigenstate of the Hamiltonian. This is demonstrated by the action of the
Ŝx+ Ŝy− terms. In the case of the ferromagnet, such terms always give zero as on one of the
sites Ŝ + |S, Si = 0. In the anti-ferromagnetic case, however, such terms are not zero —
they generate quantum fluctuations away from the classical Néel state.
4.4.2 Holstein-Primakoff transformation

To study these quantum fluctuations away from the Néel state we use the Holstein-Primakoff
transformation. The transformation must be applied slightly differently on the two sub-
lattices.
A sub-lattice |S, Si:
Ŝ z = S − â† â
√
Ŝ + = 2Sâ
−
√
Ŝ = 2Sâ†
45
B sub-lattice |S, Si:
Ŝ z = â† â − S
√
Ŝ + = 2Sâ†
√
Ŝ − = 2Sâ
This amounts to matching the bosonic tower of states to the spin tower of states from the
bottom up in one case and from the top down in the other:
A sitesA sites
B sitesB sites
|S, Si
|0i |1i |2i
|0i |1i |2i
|0i |1i |2i
|S, Si
|S, Si
|0i |1i |2i

|0i |1i |2i
|S, Si
|0i |1i |2i
.
Substituting these transformations into the Heisenberg Hamiltonian, we find

X X
S 2 + JS â†x âx + â†y ây + â†x â†y + âx ây .

H = −J
hx,yi hx,yi
The easiest way to proceed now is to introduce a coordinate z that runs over all of the
lattice sites and a coordinate d that runs over nearest neighbour vectors. With these, the
Hamiltonian can be written
JS 2 N z JS X h † † †
i
H=− + 2âz âz + âz âz+d + âz âz+d ,
2 2 z,d
which after Fourier transform becomes

JS 2 N z JSz X h † i
H=− + âk âk + â†−k â−k + γk â†k â†−k + âk â−k ,
2 2 k
1
where2 γk =
P
z d cos(k · d). This may be written in matrix form as
JS(S + 1)N z JSz X † 1 γ â

k k
H=− + âk , â−k
2 2 k γk 1 â†−k
1 1
2
eik·d =
P P
Note that since d takes pairs of values on the hypercubic lattice, γk = z d z d cos(k · d)
46
An alternativ approach — used in John Chalker’s notes, for example — is to rotate
the spins on the B sub-lattice
S z → −S z , S x → −S x , Sy → Sy
which preserves the commutation relations. The Hamiltonian then becomes

Xh i
H = −J Ŝxz Ŝyz + (Ŝx+ Ŝy+ + Ŝx− Ŝy− )/2
hxyi
and the Holstein-Primakov transformation can be used in the same form for each
sub-lattice.
4.4.3 Bogoliubov transformation

Evidently the Fourier transform alone is not enough to diagonalize the Hamiltonian. The
anomalous terms such as âk â−k require us to use a Bogoliubov transfromation as developed
in section 2.7.2. The result is.
1 X †
H = − JS(S + 1)N z + k α̂k α̂k + 1/2
2 k
with q
k = JSz 1 − γk2 ∼ |k| at small k
and the Bogoliubov transformation given by

âk uk vk α̂k uk = cosh(θk )
† = † tanh(2θk ) = −γk
â−k vk u k α̂−k v k = − sinh(θk )
Notice that the low-frequency dispersion is linear, unlike the ferromagnet. This is because
the Néel state does not break time-reversal symmetry in a macroscopic sense (time-reversal
simply swaps the sublattices).
4.4.4 Fluctuations of the Antiferromagnet

As we have already noted, the classical Néel state is not an eigenstate of the anti-ferromagnetic
Heisenberg model. This has several consequences. Firstly, it leads to a zero-point contribu-
tion to the energy. These zero-point fluctuations also reduce the sub-lattice magnetization
even at zero temperature.
The average (staggered) magnetization per site is given by
1 X † 1 X †
S − ∆S = S − hâz âz i = S − hâ âk i.
N z N k k
47
Since the Hamiltonian is diagonal in terms of α̂ and α̂† , we must re-write the magnetization
in terms of them
1 X
S − ∆S = S − h(uk α̂k† + vk α̂−k )(uk α̂k + vk α̂−k†
)i
N k
 
1 X 2 † †
= S− uk hα̂k α̂k i + vk2 hα̂−k α̂−k †
i + uk vk (hα̂k† α̂−k i + hα̂−k α̂k i)
N k | {z } | {z }
=0 =0
1 X 2 † †

= S− uk hα̂k α̂k i + vk2 hα̂−k α̂−k i + vk2
N k
At zero temperature, the number of bosons is zero. The constant, zero-point term is still
present, however;
1 X 2
∆S = v
N k k
Z " #
1 1
= dk p −1
2Ω BZ 1 − γk2
At small |k|, γk ∼ 1 − |k|2 /z
Z
1
= dk k d−2
4zΩ
This integral is infra-red convergent for d ≥ 2, but logarithmically divergent in 1d (it always
converges in the ultra-violet because of the cut-off at the Brillouin zone edge). Cutting the
integral explicitly with π/a at the Brillouin zone boundary and at π/L for a system of size
L, we find
Z π/a
1 1
∆S ∼ dk/k ∼ log(L/a).
2π π/L 2π
The quantum fluctuations diverge as L increases such that the sublattice magnetization
1
→ 0 when S = 2π log(L/a). Rearranging, we may say that the lengthscale at which this
occurs is given by ξ ∼ ae2πS is approximately the correlation length in the one-dimensional
system. This result also demonstrates that the effects of quantum fluctuations are most
dramatic for small S.
4.4.5 Haldane’s Conjecture

Whilst the analysis given above is qualitatively correct for half-integer spins, it misses some
key physics for integer spins. The distinction was first realised by Duncan Haldane [Phys.
Rev. Lett 50, 1153 (1983)] who, by considering topological effects of quantum spins known
as instantons, was able to argue that whilst 1/2 integer spin anti-ferromagnets are gapless,
integer spin anti-ferromagnets have a gap to the first excitation above the groundstate.
The following two sections consider briefly two different ways of studying the properties of
integer and 1/2-integer spin chains. The details are not examinable per se (though one of
the problems sets contains an example of the use of the Jordan-Wigner transformation).
48
4.4.6 Jordan-Wigner Transformation
A spin 1/2 has two states. Since fermionic creation and annihilation operators also have
two states, it is tempting to try to construct a fermionic representation. It is natural to
identify
z
Ŝm = ĉ†m ĉm − 1/2, with Ŝm
+
∝ ĉ†m Ŝm
−
∝ ĉm .
−
However, although on a given site everything works fine (for example {Ŝm +
, Ŝm } = {ĉm , ĉ†m } =
1 ), there is a problem for pairs of spins on different sites. Spin operators at different sites
commute, but fermion operators on different sites anti-commute.
This is fixed by the Jordan-Wigner transformation:3
Y
+
Ŝm = ĉ†m (1 − 2n̂l )
l<m
Y
−
Ŝm = (1 − 2n̂l )ĉm
l<m
z
Ŝm = n̂m − 1/2 (4.8)
Q
The strings, l<m (1 − 2n̂l ), lead to additional negative factors that cancel those from the
anti-commutation of fermionic operators:
ĉ†m (1 − 2n̂m ) = −(1 − 2n̂m )ĉ†m

ĉm (1 − 2n̂m ) = −(1 − 2n̂m )ĉm
These expressions can be checked by evaluating the expectation between two fermionic
Fock states.
XY anti-ferromagnet
Let us apply this method to the Hamiltonian
X 1
+ − − + z z
H=J (Ŝ Ŝ + Ŝm Ŝn+1 ) + ∆Ŝn Ŝn+1 .
n
2 n n+1
For ∆ = 1 this is the Heisenberg model, and for ∆ = 0 it is an XY model. It turns out
that we can solve the problem in the latter case. Using the Jordan-Wigner transformation,
the Hamiltonian reduces to
J X †
(ĉn ĉn+1 + ĉ†n+1 ĉn ) + 2∆(ĉ†n ĉn − 1/2)(ĉ†n+1 ĉn+1 − 1/2)

H=
2 n | {z } | {z }
fermionic hopping interaction
For ∆ = 0 this reduces to a model of non-interacting fermions hopping along the 1d line.
A Fourier transform completes the diagonalisation of the problem, giving
X
H= J cos(ak)ĉ†k ĉk
k
3 +
= ĉ†m exp[iπ l<m (1 − 2n̂l ) and Ŝm
+
P P
NB: one may also write this as Ŝm = exp[−iπ l<m (1 − 2n̂l )ĉm
as can be verified by considering the action on fermionic Fock states.
49
We have reduced the problem to one of non-interacting fermions with dispersion (k) =
cos(ak). Up to now, diagonalization has reduced our problems to non-interacting bosons
whose groundstate consists of the absence of bosons. In the non-interacting fermion case,
the groundstate is given by a filled fermi sea — fermion states with (k) < 0 are occupied
and those with (k) > 0 are empty.
✏(k)
Brillouin Zone
States Occupied in groundstate

States Occupied in groundstate .
Spin Correlations:
In the same way as the properties of a bosonic system or the fluctuations of the anti-
ferromagnet after the Holstein-Primakoff transformation can be calculated by writing op-
erators in terms of the bosons, so in the present case, we can calculate properties of the
XY anti-ferromagnet by writing operators in terms of the fermion operators. Let us focus
upon the correlations of the the z-component of spin in two different places4 .

1 X z z 1 X † † 1 † † 1
hŜy Ŝy+x i = hĉy ĉy ĉy+x ĉy+x i − hĉy ĉy + ĉy+x ĉy+x i +
N y N y 2 4
 
 
 1 X 1 X 1
= 
N2 hĉ†k1 ĉk2 ĉ†k3 ĉk4 ieix(k4 −k1 ) δ(k1 − k2 + k3 − k4 ) − hn̂k i + 
 k1 ,k2 ,k3 ,k4
N k 4

| {z }
N/2
There are two sets of contributions to this correlator: i. k1 = k2 and k3 = k4 with both
4
Other correlators can be calculates, but involve strings between the points being correlated and so are
a little more complicated
50
electronic states occupied - cancels −1/4. ii. k1 = k4 occupied k2 = k3 unoccupied
1 X z z 1 X †
hŜy Ŝy+x i = 2
hĉk1 ĉk2 ĉ†k2 ĉk1 i eix(k2 −k1 )
N y N k ,k | {z }
1 2
hĉ†k ĉk1 ihĉ†k ĉk2 i
1 2
1 X
= 2
nF (k1 ) (1 − nF (k2 )) eix(k2 −k1 )
N k ,k
1 2
Z π Z π
1
= dk1 dk2 nF (k1 ) (1 − nF (k2 )) eix(k2 −k1 )
(2π)2 −π −π
Z π Z π
1
= + dk1 dk2 (1 − nF (k2 )) eix(k2 −k1 )
(2π)2 −π
Z π Z−ππ
1
− dk1 dk2 (1 − nF (k1 )) (1 − nF (k2 )) eix(k2 −k1 )
(2π)2 −π −π
Z π Z π/2 Z π/2 Z π/2
1 −ixk1 ixk2 1 −ixk1
= + 2
dk1 e dk2 e − 2
dk1 e dk2 eixk2
(2π) −π −π/2 (2π) −π/2 −π/2
Z π
1 −ixk1 2 sin(xπ/2) 1 2 sin(xπ/2) 2 sin(xπ/2)
= + dk1 e −
(2π)2 −π x (2π)2 x x
| {z }| {z }
=2π when x→0 ≈2πδ(x)
1
= δ(x) − 2 2 sin2 (πx/2a)
π x
where we have used the zero temperature limit in the last step so that n(k) = 1 for
π/2 < k < π and −π < k < −π/2 and zero otherwise. The resulting power-law decay 1/x2
is very different from the Néel state.
Excitations:
The above calcuation shows that correlations in the groundstate of the 1d anti-ferromagnet
are very different from the Néel state. The excitations are also very different from the
spinwave excitations of the Néel state found in higher dimensions. The excitations at a
given wavevector q involve exciting a fermion from an occupied state to an unoccupied
state — a particle-hole pair.
✏(k) ✏(k)
k k
For a given wavevector q the energy can be distributed in a range of ways between the
particle and hole, giving a range of energies for each q.
51
Excitation Energy k
.
This characteristic dispersion of energy is very different from the sharply defined disper-
sion of spinwaves. It is frequently observed in neutron scattering experiments on one-
dimensional magnets.
4.4.7 Integer Spin Case

In the above, we were able to discuss the properties of the spin 1/2 chain by considering
the simplified, XY spin chain. Similarly, a simplified version of the spin 1 chain enables us
to appreciate some of its properties. This is known as the AKLT (after Affleck, Kennedy,
Lieb and Tasaki). The Hamiltonian is given by
Xh i
H= J1 Ŝn · Ŝn+1 + J2 (Ŝn · Ŝn+1 )2
n
and is solved by a cunning trick — the spin 1 on each site is considered to be constructed
from the triplet sector of 2 spin 1/2. It turns out that the groundstate of this model can
be constructed by putting two of these fractional spins on neighbouring sites into a singlet
state. This can be illustrated schematically as
" # " # " #

S = 1 on site
| "#i singlet correlation
| #"i | "#i | #"i
p
| "#i + | #"i 2
p
2 .
The gap to the first excitation above the groundstate can be understood as the energy
required to break the singlet correlation between sites.
Notice that there are unpaired spins 1/2 at the ends of the chain. This is the first example
of a topological edge state. The study of such states is an extremely active area of current
research, in part because of their possible use in quantum information processing.
52
Chapter 5
The Renormalization Group
The ideas of thermodynamics — developed by the Victorians intent upon optimising steam
engines — provide some of the most fundamental notions of science. Indeed, it is not too
much of a stretch to argue that they form a meta-theory of physics. All of the develop-
ments of theoretical physics since this — quantum mechanics, special and general relativity,
string theory, information theory etc — must obey the laws and constraints imposed by
thermodynamics. The last piece of the story of thermodynamics was provided by a set of
ideas known as the renormalisation group, first developed by Wilson and Fisher This is
really a collection of methods that embody the question,
" How does the behaviour of a system change when viewed on different length or timescales?"
Addressing this allowed a complete classification of classical phase transitions and was
essential in resolving the thorny issue of infinities in quantum field theory.
5.1 The 1d Classical Ising Model

In order to give a feel for the renormalization group, we will consider a simple model that
can be solved exactly — the 1d Ising model. This is model of classical spins σn = ±1 whose
Hamiltonian is given by X
H= (−Jσn σn+1 − hσn ) . (5.1)
n
For reasons that will become apparent in a moment, we consider N spins, where N is
an integer power of 2. The partition function for this model (from which all physical
observables can be calculated) is given by
X
Z= e−βH . (5.2)
{σn }
The fundamental question of the renormalisation group is to ask how this model behaves
on different length scales. In order to do this, as a first step, we will carry out the sum over
53
spins on every other site. Summing over spins on odd sites we find
X P
Z = eβ n (Jσn σn+1 +hσn )
{σn }
" #
X X X
= e|βh(σ0{z
+σN )/2
} exp β [J(σ2m σ2m+1 + σ2m+1 σ2m+2 ) + hσ2m+1 + h(σ2m + σ2m−2 )/2]
{σ2m } {σ2m+1 } See note m
 β[J(σ +σ 
2m+2 )+h]
X e 2m
= eβh(σ0 +σN )/2 . . .  +  eβh(σ2m +σ2m+2 )/2 . . .

{σ2m } e−β[J(σ2m +σ2m+2 )+h]
NB: the spins at the ends enter differently. We ignore this in what follows as we are
interested in the thermodynamic limit. It turns out after summing over the odd spins, the
partition function over the even spins takes the same form (up to an overall constant factor
that doesnt change the physics) with modified constants.
We can find the modified constants as follows:
• Compare
0 0
Ceβ (J σ2m σ2m+2 +h(σ2m +σ2m+2 )/2) = eβ(h/2+J)(σ2m +σ2m+2 )+βh + eβ(h/2−J)(σ2m +σ2m+2 )−βh
• This must be true for all σ2m and σ2m+2 . Comparing explicit expressions for different
values of σ2m and σ2m+2
0 0 0
σ2m = σ2m+2 = 1 Ceβ (J +h ) = e2β(J+h) + e−2βJ (5.3)
0 0 0
σ2m = σ2m+2 = −1 Ceβ (J −h ) = e−2βJ + e2β(J−h) (5.4)
0 0
σ2m = −σ2m+2 = 1 Ce−β J = eβh + e−βh (5.5)
• Solving for C, β 0 J 0 and β 0 h0
0 0 e2β(J+h) + e−2βJ
(5.3)/(5.4) e2β h =
e−2βJ + e2β(J−h)
e2β(J+h) + e−2βJ e−2βJ + e2β(J−h)

0 0
(5.3)(5.4)/(5.5)2 e4β h =
(eβh + e−βh )2
2
(5.3)(5.4)(5.5)2 C 4 = e2β(J+h) + e−2βJ e−2βJ + e2β(J−h) eβh + e−βh

• Or alternatively, in terms of x = e−4βJ , y = e−2βh and z = C −4
x(1 + y)2
x0 =
(x + y)(1 + xy)
y(x + y)
y0 =
1 + xy
z 2 xy 2
z0 = (5.6)
(x + y)(1 + xy)(1 + y)2
54
The equations (5.6) are known as the RG flow equations. They tell us how the parame-
ters of the Hamiltonian change under our RG transformation (the particular transformation
used here is known as decimation). Notice that in this case, the equations for x and y are
independent of z so we can study the renormalization in the xy-plane only.
Fixed Points:
Fixed points are an important concept in using the renormalisation group. They represent
sets of parameters or Hamiltonians that do not change under renormalisation. The physics
is then said to be scale invariant and typically falls into classes of universal behaviour that
are independent of minor short-distance variations in the starting Hamiltonian. To find
the fixed points, we take x = x0 and y = y 0 . The solutions are
(x∗ , y ∗ ) = (1, 0 ≤ y ∗ ≤ 1) line of fixed points with T → ∞

= (0, 1) fixed point with h = 0, T = 0
= (0, 0) fixed point with h = ∞, T = 0 (5.7)
The flow to these fixed points can be represented diagrammatically as follows:
ferromagnetic fixed point

ferromagnetic fixed point
paramagnetic line
y x
y x
The results presented here were first derived in a seminal paper of Nelson and Fisher Ann
Phys 91, 226(1975).
55

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1 From the Harmonic Oscillator to Phonons 5

3 The Weakly-Interacting Bose Gas 35

5 The Renormalization Group 53

From the Harmonic Oscillator to

1.1 The Harmonic Oscillator

The Quantum groundstate is given by

These follow directly from the commutation relations, Eq.(1.3).

hx̂2 i = hn|x̂2 |ni

1.2 Two Coupled Oscillators

[x̂1 , p̂1 ] = [x̂2 , p̂2 ] = i~ ⇔ [X̂, P̂ ] = [x̂, p̂] = i~.

x̂1 − x̂2 p̂1 − p̂2

Substituting into the Hamiltonian( 1.4), we find

1.3 The Harmonic Chain

1.3.1 Diagonalising by Fourier Transform

for the position operators and

The system has been reduced to a set of independent

[x̂n , p̂m ] = i~δn,m ⇔ [x̂p , p̂q ] = i~δp,q

which is the discrete equivalent

B. Fourier transforming the Hamiltonian

ii. Potential Energy

1.3.2 Raising and Lowering Operators

[âk , â†q ] = δk,q (1.12)

Checking the commutation relations

Zero-point Energy and Normal ordering:

: â†k âk + âk â†k := 2â†k âk (1.13)

1.4 The Elastic String

With these replacements, the Hamiltonian and Commutations Relations become

Heisenberg, Schrödinger and Dirac/Interaction Pictures:

The subscripts S and H on Θ̂ indicate R Schrödinger

dt Θ̂H = i[Θ̂H , Ĥ]

The corresponding Fourier transformed commutation relations are given by

The inverse transforms are

The corresponding Fourier transformed commutation relations are given by

Quantum Elastic Rope

Quantization involves imposing canonical commutation relations

â†k − Creates a particle with momentum k i.e. in a plane wave state

2.1 Identical particles/Many-particle states

Identical Particles and Exchange

P̂ij ψ(x1 , ... xi ... xj ... xn ) = ψ(x1 , ... xj ... xi ... xn ).

hψ|Θ̂|ψi invariant under |ψi → eiΦ |ψi

2.2 Many-particle Basis States

From which we deduce that N = √1N ! .

Slater Determinants and Permantents

2.3 Occupation Numbers and Fock Space

2.4 Creation and Annihilation Operators

Hermitian Conjugation and Annihilation of the Vacuum

ĉ†q |0i = 0 and h0|ĉ†a = 0.

ĉ†a |0i state with one particle in|ψa i

Commutation and Anti-commutation

ĉ†a ĉ†b |0i = ±ĉ†b ĉ†a |0i

for bosons and fermions, respectively. This implies that

and (after Hermitian conjugation)

[ĉa , ĉb ] = 0 Bosons (2.12)

±h0|ĉ†1 ĉ1 |0i + h0|0i.

ĉ†l ĉl |n1 , n2 , ... nl , ...i = nl |n1 , n2 , ... nl , ...i.

2.5 Transformation Between Bases

2.5.1 The Transformation

ĉ†a creates a particle in |ψa i,

From the relationship between the orbitals, (2.17), we deduce that

Fermionic Anti-Commutation Relations:

2.5.3 Transforming Between x- and p-Bases

Continuous, Finite Length:

Continuous, Infinite Length:

hx|xi = V and hk|ki = V.

2.6 Single- and Two-Particle Operators

Θ̂|ψα i = Θα |ψα i, or Θα = hψα |Θ̂|ψα i.

The first quantized expectation for an N particle system is given by

General Case in Arbitrary Basis:

• Substitute in general expression

2.6.2 Two-Particle Operators

2.7 Diagonalizing Quantum Hamiltonians

2.7.1 Unitary transformations

H = 1 ĉ†1 ĉ1 + 2 ĉ†2 ĉ2 + λĉ†1 ĉ†2 + λ∗ ĉ1 ĉ2 .

H = 1 ĉ†1 ĉ1 + 2 ĉ†2 ĉ2 + λĉ†1 ĉ†2 + λ∗ ĉ1 ĉ2 .

Ĥ = (ĉ†1 ĉ1 + ĉ†2 ĉ2 ) + λ(ĉ†1 ĉ†2 + ĉ2 ĉ1 ).

JS(S + 1)N z JSz X † 1 γ â