Lecture One

Introduction to Quantum Mechanics

Particles and waves Particles and waves
Wave Particle Duality
The evolution of microelectronics toward reduced device dimensional
scales has proceeded to a degree that renders conventional models,
approaches, and theories inapplicable. Indeed, for nano-objects it is
frequently the case that the length scales of fundamental physical
processes are comparable with the geometrical size of the device; as
well, the fundamental time scale is of the order of the time parameters of
nanodevice operation. Therefore, on the nanoscale the theories and
models underlying modern nanoelectronics become more complicated,
and rely more and more on basic science.
Generally, in the nanoworld the fundamental laws of physics, which
govern particles and material fields, differ from those macroscopic govern particles and material fields, differ from those macroscopic
physics. Instead of classical mechanics, motion of particles is
determined by the so-called wave mechanics or quantummechanics. An
underlying principle of central importance for nanophysics is the
fundamental concept that all matter including electrons, nuclei,
l t ti fi ld t b h b th d ti l th t i electromagnetic fields, etc., behaves as both waves and particles, that is,
wave-particle duality is a basic characteristic of all matter.
At first glance, wave properties and particle properties are hardly
tibl f th h i l bj t T d t d th ti l compatible for the same physical object. To understand the wave-particle
duality, we briefly review, in the following two sub-sections, the basic
properties of particles and waves known fromclassical physics.
Classical Particles
Change of the momentumin time is defined by the Newton's second law: Change of the momentum in time is defined by the Newtons second law:
f,
p
=
dt
d
(2.1)
dt
where t is time and f is the vector of an external force.
F E (2 1) i f ll h if h li d f h
d
0, i.e., const.
p
p = =
From Eq. (2.1), it follows that if there are no applied force, then
0, .e., co st.
dt
p
This is the so-called momentum conservation law valid for a mechanical
system in the absence of external forces. For simplicity, in classical
mechanics we assume that any particle we consider has a very small mechanics we assume that any particle we consider has a very small
size in comparison with the space where the particle is located. We
refer to such particle as a point particle.
To find the coordinate vector, r, of a point particle one can use the well-
understoodrelationship understoodrelationship,
p
d
,
dt
r
v =
(2.2)
p
dt
with v
p
being the particle velocity.
To obtain the relationship between the velocity, v, momentum, p, and the energy of a
particle, E, one has to calculate the power of the force f (work of the force f on the p p f ( f
particle per unit time). So, we have to multiply left- and right-hand sides of Eq. (2.1) by
v:
f .
d
dt
=
p
v v
The right-hand side of the transformed Eq. (2.1), fv,* is obviously equal to the g q ( ) y q
rate of energy change
,
dE dE
dt dt
| |
=
|
\ .
fv and we obtain the relation:
dE d
=
p
v
(2 3)
, we find how the
.
dt dt
= v
Using the chain rule of function differentiation,
( ) df x
df dx
dt dx dt
=
(2.3)
velocity of the particle is related to its momentum and energy:
dt dx dt
.
dE
d
= v
p
(2.4)
dp
Here the derivative with respect to vector p also gives the vector v with components
, , .
x y z
dE dE dE
v v v
dp dp dp
= = =
x y z
dp dp dp
*The scalar product of two vectors a and b is defined as ab = a
x
b
x
+ a
y
b
y
+ a
z
b
z
.
Let us consider an important case of particle movement in a potential field The Let us consider an important case of particle movement in a potential field. The
force is defined as the derivative of a potential V(r) with respect to the particle
coordinate: Multiplying the left- and right-hand sides of Eq. (2.1) by v,
using the definition of Eq. (2.2) and the chain rule, we find
d V
.
d
f
r
=
g q ( )
( ) ( )
0.
d dU d d
E V
dt d dt dt
+ = + =
p r
v r
r
The value of
( )
E V + r
(2.5)
represents the total energy of the particle. The above calculations tell us that the
total energy of a particle in a potential field does not change during its motion. So,
we come to the energy conservation law.
A point particle moving in the free space can be characterized by a mass p p g p y
m and by the kinetic energy:
2
.
2
E
m
=
p
(2.6)
The latter dependence is frequently called the energy dispersion, where E is the
isotropic function. Fromthe definition of kinetic energy we find
(th l it d th t lli t ) Th N t ' d
m
p
v =
(2.7)
(the velocity and the momentum are collinear vectors.) Then, Newton's second
law (Eq. ( 2.1)) takes its usual form:
2
d r
f
(2 8)
One of the important results following from the classical mechanics is that if we
k th ti l iti d it t ( l it ) t i iti l
2
.
d
m
dt
r
f =
(2.8)
know the particles position, r
0
, and its momentum, p
0
, (or velocity, v
0
) at an initial
moment, t
0
, from Eqs. (2.1) - (2.4) we can find exactly the position and the
momentum(velocity) of the particle at any given moment of time, t.
Equations (2.1) - (2.8) are the equations of classical (deterministic) mechanics.
All variables, like r, p, E, and v are continuous variables. Importantly, |p| can , , p, , p y, |p|
have any values including zero, i.e. p =0 and E =0 are allowed.
For a particle, say an electron, moving inside of a crystal (a metal, a dielectric,
a semiconductor etc ) due to interaction of this particle with the crystal the a semiconductor, etc.) due to interaction of this particle with the crystal, the
energy dispersion is, in general, a more complicated relation.
Classical Waves
We are all familiar with a lot of examples of different waves and wave
processes These include: sound waves in air sea waves elastic waves
Classical Waves
processes. These include: sound waves in air, sea waves, elastic waves
in solids, electromagnetic waves, etc. Generally, in classical physics a
wave motion arises in extended continuous media with an interaction
between the nearest elements of a medium. Such an interaction gives
i t th t f f di t ti ( it ti ) f l t t rise to the transfer of a distortion, (an excitation) from one element to
another and to a propagation of this distortion over the medium. Despite
the differences in the particular nature of waves, wave motion has much
in common for different media. We introduce wave properties by p p y
analyzingthe following simple model.
Let us consider a linear chain of identical atoms.
Let the equilibrium distance between atoms be a. Thus, the equilibrium
position of the n-th atom is z
n
= na, and the displacement of this atom
fromits position is denoted by u
n
. Figure 2.1 depicts such a linear chain
of identical atoms of mass M. The springs represent interatomic forces,
i e interaction between nearest elements of the medium i.e., interaction between nearest elements of the medium.
Classical Waves Classical Waves
n n+1 n+2 n-2 n-1
M
M M M M
z
a
u
n
M
M M
u
n+1
u
n-1
M M
z
n
= na z
n-1
= (n-1)a z
n+1
= (n+1)a z
n+2
= (n+2)a z
n-2
= (n-2)a
Fig 2 1 Linear chain of identical atoms of mass M: u are displacements of atoms Fig. 2.1. Linear chain of identical atoms of mass M: u
n
are displacements of atoms
from their equilibrium positions and the restoring force acting on n-th atom is:
f
n
= - (u
n
u
n+1
) - (u
n
u
n-1
).
Note: Displacements u
n
are not shown to scale.
If the displacements of atoms fromtheir equilibriumpositions are not too
large, the restoring forces in the chain obey Hookes law,
f |
(2 10)
where u is a change of the spring length, is the spring constant, and f is the
force exerted by the spring Now we can apply Eq (2 10) for the total force f
f u | = ,
(2.10)
force exerted by the spring. Now, we can apply Eq. (2.10) for the total force, f
n
,
acting on the n-th atomcoupled with its two nearest neighbors by two springs as
( ) ( ) f u u u u | |
(2 11)
1 1
( ) ( )
n n n n n
f u u u u | |
+
= .
(2.11)
Hence the Newton equation of motion for the n-th atomis Hence, the Newton equation of motion for the n-th atomis
2
1 1
2
(2 )
n
n n n
d u
M u u u
dt
|
+
= . (2.12)
dt
This set of linear differential equations, Eq. (2.12), in principle, describes
wave-like processes. However, we will make a further simplification and
modify this discrete set of equations to obtain one equation describing a
continuous medium. Such a continuous medium with elastic forces
between its elements is obviously a string To make this transformation between its elements is, obviously, a string. To make this transformation
to the continuous case, we shall consider the discrete coordinate to be
continuous, z
n
z , and replace in Eq. (2.12) the finite difference with a
derivative: derivative:
2
1 1 1
2 2
(2 )
and
n n n n n
u u u u u u u
+
c c
.
c c
(2.13)
2 2
a z a z c c
Then we obtain the equation describing the displacement u of a string: Then, we obtain the equation describing the displacement, u, of a string:
2 2
1 1
2 2
0
D D
u u
t z

c c
A = ,
c c
(2.14)
where
1D
= M / a is the linear density of the string, and
1D
= a is the so-called
elastic modulus of the string. Note, the infinite set of ordinary differential equations,
t z c c
Eq. (2.12), is replaced by a single partial differential equation, Eq. (2.14). Since we
started our derivation for a mechanical system, for which the energy (per the atom)
can be defined, it is instructive to find similar characteristic for the continuous
medium described by Eq. (2.14). Assume for a moment, that the spring under
consideration is of finite large length, L. Then, let us multiply Eq. (2.14) by and
integrate it over the length L:
t
u
c
c
integrate it over the length L:
2 2
1 1
2 2
0
0
L
D D
u u u u
dz
t t z t

(
c c c c
A = .
(
c c c c

}
0
t t z t c c c c

}
Integrating the second termby parts (note: ), we find
the following identity for a unit length of the string:
} }
= vdw wv wdv
g y g g
2 2
1 1 1
0
0
1
0
2 2
L
D D D
z L z
u u u u u u
dz
t L t z L z t z t

= =
(
( A A c c c c c c c
| | | | | | | |
+ = .
(
| | | | (
c c c c c c c
\ . \ . \ . \ .
(

}
To make further conclusions, we define an average of a quantity, A, over a piece
of the string, Z, as . For a long string, the average should not
depend on the length Z of the piece of string Nowas L the latter identity

1
( )
Z
Z
A Adz =
}
2 2
1 1 D D
u u A c c
| | | |
depend on the length, Z, of the piece of string. Nowas L , the latter identity
will be satisfied, if the value
(2 15)
1 1
1
2 2
D D
D
u u
h
t z
A c c
| | | |
= +
| |
c c
\ . \ .
is independent on time, i.e., , and the value h
1D
is conserved. In fact, the
1
0
D
h
t
c
c
=
(2.15)
first termin the right-hand side of Eq. (2.15) is, obviously, the density of kinetic
energy over the length of the string, while the second term is the elastic
(potential) energy. Thus, h
1D
has the meaning of the energy density for our one-
di i l ti di A t d th d it i d dimensional continuous medium. As expected, the energy density is conserved,
if external forces are absent.
Our one-dimensional" analysis, which assumes the atoms can move
only along a single direction z, can be generalized to a three-
dimensional elastic medium. Now the displacement becomes a three-
dimensional vector u and, instead of Eq. (2.14), we obtain
2 2 2 2
u u u u | | c c c c
with r = {x, y, z} being the vector coordinate and being the three-dimensional"
2 2 2 2
0
u u u u
t x y z

| | c c c c
A + + =
|
c c c c
\ .
(2.16)
with r {x, y, z} being the vector coordinate and being the three dimensional
density, i.e., the mass of unit volume of the medium; is the elastic modulus of
the medium. Since it was introduced as a single elastic modulus, independent
on direction, Eq. (2.16) is valid for an isotropic medium. The energy density of a
three-dimensional elastic mediumis:
2 2
u u
h
c A c
| | | |
= + .
| |
(2 17)
2 2 r
h
t
+ .
| |
c c
\ . \ .
Here, the bar denotes an average over a small volume
(2.17)
( )
__
1
,
V
V A AdV
V
A
| |
| A =
|
A
\ .
}
and:
\ .
and:
. u
r
u
div =
c
c
+
c
c
+
c
c

c
c
z
u
y
u
x
u
z
y
x
Fi ll it E (2 16) i th t d d f f th
2 2 2 2
2
0
u u u u | | c c c c
|
Finally, we can rewrite Eq. (2.16) in the standard form of the wave
equation:
(2 18)
2
2 2 2 2
0 s
t x y z
+ + = ,
|
c c c c
\ .
where we introduce new parameter s, the meaning of which will be clarified
(2.18)
s = A/ .
below. For our model:
(2.19)
Although we derived Eq. (2.18) for a particular model of the elastic medium, the
equation can be applied to describe a wide class of physical vector fields as
exemplified by u(x, y, z) - the displacement field associated with a wave in an
elastic medium. If the characteristic of a wave field is a scalar value, say w, in
Eq. (2.18) we should simply substitute u w to describe the case of a scalar
physical field.
Now we will analyze solutions to Eq. (2.18) for some cases where the
solutions are particularly simple In many cases such solutions are solutions are particularly simple. In many cases, such solutions are
associated with wave-like processes. We may look for solutions of the
form:
( ) cos( ) sin( ) u r A qr B qr t t t e e = +
(2 20)
( ) cos( ) sin( ) u r A qr B qr t t t e e , = + ,
(2.20)
where A and B are arbitrary vectors, and q are unknown parameters: is
known as the angular frequency of the wave and q is called the wavevector.
Substituting such a formfor u(t,r) into Eq. (2.18):
2 2 2 2
2
0
u u u u
s
| |
c c c c
+ +
|
we easily find that Eq. (2.20) is a solution of Eq. (2.18), if
2
= sq
2
. The relationship
2 2 2 2
0 s
t x y z
+ + = ,
|
c c c c
\ .
between and q =| q | is called the dispersion relation:
q s e = , , .
(2.21)
Importantly, there is no limitation to the wavevector q: a solution can be found for
any q. This is valid only for infinitely extended media, for which the wavevector can
be a continuous" vector.
Because both terms in Eq. (2.20) behave similarly, we can discuss
basic properties of these solutions based on the example of sinusoidal"
waves: waves:
( ) sin( ) u r B qr t t e , = .
The argument of the sine function is the phase of the wave, = qr - t ,
and B is the amplitude of the wave Let the coordinate r be given then
(2.22)
and B is the amplitude of the wave. Let the coordinate r be given, then
we obtain a function that oscillates in time with an angular velocity, .
The frequency defines the rate of phase changing with time t (radians
per unit time). The period of time associated with a single oscillation is
T = 2/. Accordingly, T is known as the period. If the time t is fixed,
Eq. (2.22) represents a function that oscillates as the coordinate
changes. These oscillations are characterized by the wavevector, q, (or
wavenumber q) The wavevector defines the rate at which the phase wavenumber, q). The wavevector defines the rate at which the phase
changes with the coordinate (radians per unit length). One can introduce
the spatial period to represent the distance for which u undergoes an
oscillationof one cycle. It is called the wavelength
2 q t = / .
The relationship between the time period and the spatial period is
defined by Eq. (2.21):
(2.23)
2
s Ts
t

e
= = .
y q ( )
(2.24)
The waveforms of Eqs. (2.20) and (2.22) are often referred to as
traveling plane waves. Indeed, their phase changes in a single
direction along the wavevector q and surfaces of constant phase are
planes. Thus, in the case of a plane wave in a three-dimensional
medium, the wave parameters do not depend on the two coordinates medium, the wave parameters do not depend on the two coordinates
perpendicular to q. A traveling wave is illustrated in Fig. 2.2, where this
wave is shown at two different moments of time. Now, we can clarify
the meaning of parameter Let the wavevector be directed along the the meaning of parameter s. Let the wavevector be directed along the z
direction. Then, the wave phase is . So, we can
conclude that a given magnitude of the phase moves with the
( )
q
qz t q z t
e
| e = =
velocity , i.e., the parameter in the wave equation (2.18) is the
phase velocity of the traveling wave.
q
s
e
=
u
u
= 2 /q
B
-
4
-
/q
B
4

4
-
-

z
B
0
z
0
4

B
4 4
Fig 2 2 Propagating wave u = B sin (qz t) At time t = 0 the wave u = B sin (qz t) at the
-B
(a) t = 0
(b) t = T/4
-B
Fig. 2.2. Propagating wave u = B sin (qz-t). At time t = 0 the wave u = B sin (qz - t) at the
point z = -/4 has displacement u = B sin (- /2 ) = -B.
At time t = T/4 we have t = (2/T ) (T/4) = /2.
The same displacement will be at the point z = 0 :
u = B sin (qz - t) = B sin (- /2) = -B .
The average of u
2
(t,r) can be expressed via B as , where we use
the formulae . According to Eq.(2.15), the
amplitude relates to the wave energy density Indeed we note that:
2 2
1
2
[sin( )] [cos( )] qr qr t t e e = =
2
2
2
B
u =
amplitude relates to the wave energy density. Indeed, we note that:
2 2
2
2 2 2 2
[cos( )] [cos( )]
2 2 2
B
t q t
t

e e e
c A c
| | | |
(
+ = + A
| |

c c
\ . \ .
u u
qr qr
r 2 2 2 t c c
\ . \ .
r
2 2 2 2 2 2 2
2
2 2 2 2 2 2 2
B q B B e e e
e
| | | | A
= + = + = .
| |
\ . \ .
In obtaining this result, we have taken into account that
Thus, we obtain h =
2
B
2
/ 2. Importantly, the energy density for the traveling
l i i d d t f th di t d it i ti l t
2
If 0
. ,

e A
= = s and
s
q
2
2
2
plane waves is independent of the coordinate and it is proportional to
2
. If =0,
there is no wave and there is no energy associated with it. Note, for the
waveforms with sin(qr t) and cos(qr t) averaging over a small volume of the
di i i l t t i th i d f ill ti mediumis equivalent to averaging over the period of oscillations.
For traveling waves, often, one introduces also the wave intensity,
which is the density of the energy flux. This energy flux represents the
energy transferred by the wave per unit time through a unit cross-
section perpendicular to q. The intensity is a vector directed along q
with the absolute value
2 2
2
s B
I s h
e
= = .
(2.25)
2
Besides the waveformof sin(qr t) and cos(qr t) a traveling wave can be
presented in a complex form
(cos ( ) / 2, sin ( ) / 2 ) :
ix ix ix ix
x e e x e e i

= + =
( ) qr
u A
i t
e
e
= ,
(2.26)
where the amplitude A is generally a complex quantity. Indeed, Eq. (2.26) is a
solution to the wave equation. For some cases, it is convenient to operate with
such a complex waveform. However, one should remember that true physical
quantities always have real values.
Now we consider the important wave phenomenon, which is known as
wave interference. Suppose two sinusoidal waves of the same
frequency propagate from different sources through the medium The frequency propagate from different sources through the medium. The
sources of the waves are generally at different locations, so the waves
reach a point of observation r, in general, with different phase shifts

1
(r) and
2
(r):
1 1 1 2 2 2
( ) sin( ( )) ( ) sin( ( )) u r B r u r B r t t t t e e , = + , , = + .
(2.27)
The resulting wave field is . In experiments, instead of
1 2
( ) ( ) ( ) u r u r u r t t t , = , + ,
the wave amplitude, it is the intensity of the wave that is measured in many
cases. The intensity is proportional to . Straightforward calculation of the
___gives us:
2
u
2
u
| |
( )
2 2
2
1 2 1 2 1 2
1
2 cos ( ) ( )
2
u B B r r B B = + + .
(2.28)
In deriving Eq. (2.28), we have used the identity:
1 1
sin sin cos( ) cos( )
2 2
x y x y x y = + ;
( )
1 1
i ( ( )) i ( ( )) ( ( ) ( )) 2 ( ) ( ) t t t + + + + +
i.e.,
and the fact that the average of is equal to 0.
( )
1 2 1 2 1 2
sin( ( ))sin( ( )) cos( ( ) ( )) cos 2 ( ) ( )
2 2
t t t r r r r r r e e e + + = + + +
1 2
cos(2 ( ) ( )) t r r e + +
The intensity of the resulting wave consists of three contributions: the
termrelated to the wave coming fromthe first source, the termrelated to
the wave from the second source, and an additional term. This third
contribution describes the effect of wave interference. It depends
critically on the wave phase difference.
The interference contribution can be positive (constructive interference The interference contribution can be positive (constructive interference
at when or negative (destructive
interference at when ). Importantly,
( )
1 2 2 2
t t
< <
( )
1 2
cos 0) >
( )
3
1 2 2 2
t t
< <
( )
1 2
cos 0 <
the interference effect can be observed only for waves with the same
frequency (otherwise the averaging leads to zero interference
contribution).
The waves of Eq. (2.27) with time-independent phase shift are also
known as coherent waves. If waves are characterized by a phase
shift which jitters randomly in time the waves are incoherent ( ) shift , which jitters randomly in time, the waves are incoherent
and no interference effect occurs.
1 2
( )
Screen
I
n
t
e
r
S
1
r
f
e
r
e
n
S
0
S
2
1
Light
n
c
e

pp
i
c
t
u
rr
e
Fig. 2.3. Double-slit experiment: S
1
and S
2
form double slit.
Classical Waves
The wave, analyzed before, travels along the vector q. Using the
wavevector -q at the same frequency , we obtain another wave
t li i th it di ti A bi ti f th i l
e
traveling in the opposite direction. A combination of these waves is also
a solution to the wave equation:
( ) sin( ) sin( ) u r B qr B qr t t t e e = + + ( ) sin( ) sin( ) u r B qr B qr t t t e e
+
, = + + ,
where again B
+
and B
-
are arbitrary constant vectors. The two waves
can also be interpreted as incident and reflected waves. p
An important case is that of a wave propagating between two reflecting
walls placed at z = 0 and z = L. The waves depend on a single
coordinate z :
If the walls are rigid there are no displacements at the walls, so we
h ld th b d diti f th t 0 d
( ) sin( ) sin( ). u B B t z qz t qz t e e
+
, = + +
should use the boundary conditions for the waves at z=0 and
z=L : .
( 0) ( ) 0 u u z z L = = = =
From the boundary condition at z = 0, we find , thus 0 B B
+
=
| |
The boundary condition at z = L can be satisfied if and only if sin qL = 0.
The latter requires the so-called quantization" of the wavevector q
| |
( ) sin( ) sin( ) 2 sin cos . t z qz t qz t qz t u B B e e e
+ +
, = + + =
The latter requires the so-called quantization of the wavevector q,
qL=n or:
1 2 3
n
q q n n
L
t
= = , = , , , ... (2.29)
where q
n
is called the wavenumber.
That is, there exist only waves of a special form:
L
i B
at discrete values of the wavevector q
n
and frequency
n
= sq
n
.
Thi i t t l f i k t di
sin cos u B
n n
q z t e =
(2.30)
This important class of waves is known as standing waves.
For standing waves, a strictly integer number of half-waves may be put
between the reflecting walls: .
2
L n

=
1 1
2 2
sin sin 2 sin ( ) cos ( ) x y x y x y + = +
2
Note:

L













( ) 1 (b) 2 ( ) 3
Fig. 2.4. Quantization of oscillations in the form of standing waves. Shaded area is a
standing-wave pattern. Solid lines show amplitudes of oscillations at an instant moment



(a) n = 1 (b) n = 2 (c) n = 3
of time.
Only waves with integer half-wavelengths exist: L = or .
The longest possible wave (n = 1) corresponds to
,
2

n
2L
n
=
=2L
when a half-wave fits between the reflecting walls.
Note: for demonstration purposes the amplitudes are not shown to scale
The energy density of the standing waves is
2 2
h /
It is independent of coordinate, as found for the traveling plane wave.
Obviously the energy flux is nowzero
2 2
4.
n n
h B e = /
Obviously, the energy flux is nowzero.
It is important to stress again the difference between traveling waves
with arbitrary and continuous values of q including q 0, hence ,
in an infinite media and standing waves with quantized (or discrete)
values of q
n
with the minimumwavenumber
/
1
. q L t = /
Th f ith th d f ti t ll i l The waveforms with the sine and cosine functions are actually, a simple
specific example of a more general class of wave fields. Indeed, due to
the linear character of the wave equation, a sumof an arbitrary number
of partial solutions is also a solution of the equation This property of of partial solutions is also a solution of the equation. This property of
waves satisfying linear wave equations is known as the superposition
principle. According to this principle, we may write solution of a wave
equationin the general (complex) formas: equationin the general (complex) formas:
( )
( )
qr
q
q
u r A
q
i t
t e
e
, = .

(2.31)
Here, the summation is taken over the wavevectors q.
In addition,
q
relates to q through the dispersion relation
q
= sq.
The amplitudes of waves contributing to u depend in general on the The amplitudes of waves contributing to u depend, in general, on the
wavevectors.
The superposition principle is the basis for many important
phenomena including interference formation of standing waves phenomena, including interference, formation of standing waves,
and diffraction.
Electromagnetic waves in free space. One of the most important
examples of waves is that of electromagnetic waves, i.e., oscillating
electromagnetic fields These fields are responsible for the most basic electromagnetic fields. These fields are responsible for the most basic
properties of the matter fromthe nanoworld to the scale of the universe,
and they are exploited for a number of technologies critically important
for modern society The fundamentals and applications of for modern society. The fundamentals and applications of
electromagnetic fields constitute a separate and extremely important
field of science.
Electromagnetic waves are joint electric and magnetic fields which
oscillate in both space and time. In the simplest homogeneous case,
b th th l t i fi ld F d th ti fi ld H d b th both the electric field F and the magnetic field H are governed by the
wave equation, where one should replace u F or H and s c, where
c is the velocity of light in free space and = qc. The wave equation, for
example, for the electric field reads as p ,
2 2 2 2
2
2 2 2 2
0. c
t x y z
F F F F | | c c c c
+ + =
|
c c c c
\ .
(2.32)
Now, one can write the electric field in the formof a plane wave
F(r,t) = bF
0
sin(qr t),
where F
0
= bF
0
and F
0
is the amplitude of the electric field and b is the
vector of the polarization of the wave; b denotes the direction of F(r,t).
The parameters q and have the same meaning as earlier: the The parameters q and have the same meaning as earlier: the
wavevector and the angular frequency of the wave.
Alternatively, it is possible to use a complex formof the plane wave:
( )
( )
qr t
F r b
i
t i F e
e
=
(2 33)
0
( ) F r b t i F e , = ,
but only the real part of this formula has physical meaning. The same
kind of equation may be written for the magnetic field, H.
(2.33)
F
x
F
H
y
Direction of
z
propagation
Fig. 2.5. The plot of electric, F, and magnetic, H, fields as function of z at time t = 0.
I f th t F i l di l t th t if i fi d In free space, the vector F is always perpendicular to q, so that if q is fixed,
the electric field has, in general, two possible polarizations of the
electromagnetic wave that correspond to the two orthogonal directions
di l t perpendicular to q.
The magnetic field vector H is, in turn, perpendicular to both q and F.
The same equations for a free space are valid for a homogeneous or
nearly homogeneous dielectric medium, with only the
l t h i th di l t i t t f th di
/
replacement , where is the dielectric constant of the medium:
(2 34)
c c c /

2 2 2 2 2
0
F F F F c | | c c c c
+ +
|

(2.34)
2 2 2 2
0
t x y z c
+ + = ,
|
c c c c
\ .

Since > 1, the light velocity in a dielectric mediumis less than that of
free space.

The frequency, , and wavevector, q, are related through the dispersion

relation:

.
c
q e = , ,
The energy of the wave can be characterized by the density of the
electromagnetic energy, which is defined as
where represents the time average of the and is the
(2.35)
2 2
0 0 0
1
( )
2
F W t F c c c c = = ,

0

0

2
( ) t F
2
( ) t F

where represents the time average of the and is the
permittivity of free space, F/m (1 F = 1 C/V). We can
define the intensity of the wave as the energy flux through the unit area
perpendicular to the wavevector q:
12
0
8 851 10 c

= .
0
( ) t F
2
( ) t F

0
p p q
(2.36)
2
0 0
2
c
I F c c = .

The above description is associated with the classical description of the

electromagnetic fields.
In summary the wave motion occurs in an extended medium and In summary, the wave motion occurs in an extended medium and
waves themselves are always delocalized physical entities that
generally extend over large distances.
Wave-particle duality
In this Section we will study how any physical object may behave In this Section we will study how any physical object may behave
simultaneously as a particle and a wave. To better understand this so-
called wave-particle duality, we use a two-way road: from waves to
particles and fromparticles to waves.
From Waves to particles
Lets us consider briefly basic quantumconcepts related to wave fields.
According to Max Planck and Albert Einstein, electromagnetic waves
interacting with matter can be emitted and absorbed in discrete energy
portions (quanta) - photons.
E e = ,
J is the so called reduced Plancks constant;
The energy of a photon, E, is proportional to the frequency of the wave:
(2.39)
34
10 06 1

= Js is the so-called reduced Plancks constant;
is called simply Plancks constant.
Each photon, like a particle, has a momentum
2 h t =
34
10 06 . 1

p q = ,
where q is the wavevector. (Equation (2.40) is formulated for photons in
free space.)
(2.40)
p )
Apparently, the direction of the momentumvector, p, coincides with the
direction of propagation of the wave. For each of the two possible
polarizations of the radiation, one introduces appropriate characteristics p , pp p
of photons: each polarization of light, b, is related to a certain photon.
Thus, a photon can be labeled by two indices, q and b.
Equation representing the energy of the quantum, may be
readily generalized for electromagnetic waves in a dielectric medium
E e = ,
y g g
with the dielectric constant
(2.41)
c
q e = .

It is very important that different quanta of an electromagnetic field do

not interact with each other as reflected by the linear character of the

field in free space.

An interaction between these modes is possible only in special media.
Such media are called nonlinear optical media Such media are called nonlinear optical media.
In a quantum theory instead of the wave intensity one introduces the In a quantum theory, instead of the wave intensity one introduces the
number of quanta (or photons), N
q,b
. If each of the quanta transfers the
energy , then the intensity, defined as the energy flux density, is
e
where V is volume and N
q,b
/V is the density of quanta with wavevector q.
Because the quantumpicture has to coincide with the classical picture
,
q b
I cN V e
,
= /
Because the quantumpicture has to coincide with the classical picture
for a large number of photons, one can match the latter relationship and
f l i l i i F hi i i i ibl fi d h
2
0 0
2
c
I F c c =

0

for classical intensity. From this comparison, it is possible to find the

relationship between the classical amplitude of the electric field, F
0
, and
the number of quanta
(2.42)
0
0
2
q b
N
F
V
e
c c
,
= .

Our discussion of the relationship between electromagnetic waves and Our discussion of the relationship between electromagnetic waves and
photons provides an example of the wave-particle duality that is
ubiquitous in quantumphysics. A comparison of different characteristics
of electromagnetic fields in the classical and quantuminterpretations is of electromagnetic fields in the classical and quantuminterpretations is
given in the Table 2.1.
Table 2.1. Comparison between classical and quantum quantities.
Classical quantity Corresponding quantum quantity
Density of optical energy Number of photons
W
N WV e = /
Density of optical energy, Number of photons,
Optical intensity, Photonflux density,
Total optical power, Photon flux,
W q b
N WV e
,
= /
( ) r I ( ) r I e /
P P N c
q b
e / = p p , ,
q,b
For a wave of small intensity (small number of photons, N
q,b
) the
quantum description is more suitable, while for a substantial intensity
(large N
q,b
) a classical wave interpretation may be used.
From particles to waves
Consider a particle, say an electron. On the basis of classical
mechanics one can attempt to characterize it by a mass and by a mechanics one can attempt to characterize it by a mass, m, and by a
vector representing the momentum, p. In classical physics we can know
with certainty that a particle is at a certain position in space, r. Froma
q ant m mechanical point of ie a particle is characteri ed b the quantum mechanical point of view, a particle is characterized by the
wavefunction, (r). Frequently, quantum mechanics is referred to as
wave mechanics. The wavefunction is, in general, distributed in space.
Th i t f th f ti i th t th l i
2
( ) d , , The main property of the wavefunction is that the value gives
the probability of finding a particle inside of a small volume dr around
point r. Thus, the wavefunction, , may be interpreted as the probability
lit d di t th b bilit d it f fi di ti l
2
( ) r r d , ,
amplitude corresponding to the probability density for finding a particle
at a particular point of space, r. That is, there is a direct analogue
between and the square of the electromagnetic wave amplitude
hi h d t i th h t d it di d i l
2
, ,
2
F , ,
which determines the photon density, as discussed previously.
2
0
, F , ,
Probabilistic behavior is one of the key features of quantummechanics;
thus, a word of explanation is necessary to define what is meant by
probability in this context. To understand probability in a quantum
mechanical context, it is convenient to have in mind the following
situation.
Imagine an ensemble of similarly prepared systems By similarly Imagine an ensemble of similarly prepared systems. By similarly
prepared we mean identical systems as far as any physical
measurement is concerned. Now, if a measurement is made on one of
the systems to determine whether a particle is in a particular volume
element, the result will be definite: either a particle is there, or it is not.
When the same measurements are made on a large number of similarly
prepared systems, the number of times a particle is found in the fixed
volume is taken as a measure of the probability of finding a particle in volume is taken as a measure of the probability of finding a particle in
the elementary volume.
For the simplest case of a particle in free space, the wavefunction has
the formof a plane wave, as introduced previously:
where is the phase, k is the wavevector of the particle, A is
the amplitude of the wave, and is the angular frequency associated
kr t | = O
( )
( )
kr
r
i i t
t Ae Ae
| O
+ , = = ,
(2.43)
t e a p tude o t e a e, a d s t e a gua eque cy assoc ated
with the energy of the particle.
The wavevector, or more precisely its magnitude, wavenumber, k = | k |, p y g | |
is related to the wavelength of a particle, :
2t
= .
(2.44)
k
According to the de Broglie relationship, the momentumof a particle is
related to a wavelength associated with the particle through the
equation
2
p
t
= .

(2.45)
p
From Eqs. (2.44) and (2.45) we obtain a relation between the
wavenumber k and momentumof a particle p: or in the vector
p k
wavenumber, k, and momentumof a particle, p: , or in the vector
form,
p k =
p k = .
(2.46)
This relationship coincides exactly with for quantization of
electromagnetic waves. This simplest case demonstrates the way in
which one may attribute to a particle both particle-like and wave-like
p q =
y p p
properties.
Within the plane wave description of a free particle, it follows from
Eq. (2.43), that there is an equal probability of finding a particle in any
point of space: point of space:
2 2
( ) ( ) ( ) r r r t t t A const
-
, + , , = + , + , =, , = ,
where is a complex conjugate of ( ) r t
-
+ ,
( ). r t + ,
This result appears to be in contradiction with the classical description
of a particle. J ust as for the previously-discussed case of
electromagnetic fields, this contradiction can be resolved by introducing
the uncertainty principle This principle has the form of conditions the uncertainty principle. This principle has the form of conditions
restricting the range of coordinates and the range of momenta, that can
be measured simultaneously for a particle. Uncertainties in the
quantities p and r have to satisfy the following inequalities:
x y z
p x h p y h p z h A A > , A A > , A A > .
(2.47)
Thus, if a particle is localized in a space region of width x, the
uncertainty in the x - component of its momentum, p
x
, will be greater u ce ta ty t e x co po e t o ts o e tu , p
x
, be g eate
than or equal to . The particle described by the wavefunction of
has a certain momentum , but is completely
delocalizedin space.
( ) h x / A
p k = ( ) r
i
t Ae
|
+ , =
Note that the phase of the wave in depends on time. The
angular frequency of the oscillations of this phase is related to the
|
( ) r
i
t Ae
|
+ , =
angular frequency of the oscillations of this phase is related to the
energy of the particle, E, through . The latter again coincides
exactly with the energy of the wave quanta introduced earlier for waves.
This kind of phase temporal dependence remains valid for any
l t d t ti diti i l di th t f t t
E O /
iEt
e
/

complex systemunder stationary conditions including that of constant
external fields.
Another important fact is that the superposition principle discussed
previously for classical waves, is valid for particle waves. Thus, typical p y , p , yp
wave phenomena like interference, diffraction, etc. should be observed
for particles. One of the requirements necessary to observe these
effects is coherence of the waves participating in the superposition. In
particle language this means first of all that particles should be particle language this means, first of all, that particles should be
monoenergetic. Indeed, direct experiments with monoenergetic
electrons have proved interference and diffraction of the electron waves.
Since the famous 1927 Davisson-Germer experiment on diffraction of
electrons by a metal crystal, numerous experiments have been done
confirming the wave nature of particles. Recent experiments (1989) by
Akira Tonomura with diffraction of electrons repeated a double-slit
experiment with light; see Fig 2 7 In these experiments direct experiment with light; see Fig. 2.7. In these experiments, direct
confirmation of wave-like properties of electrons was obtained.
(a)
(1) (2)
(b) (b)
Fig. 2.7. Tonomuras experiment: (a) Schematics of a double-slit experiment; (b) Build-
up of interference fringes at different periods of time: (1) picture on a monitor after 10
l d d (2) 200 l (3) 6000 l d (4) 140000 l
(4) (3)
electrons were detected; (2) 200 electrons; (3) 6000 electrons; and (4) 140000 electrons.
Electrons were emitted at 10 per second. From
(http://www.hqrd.hitachi.co.jp/global/doubleslit.cfm) [Video]
The experimental setup of Tonomuras experiment is presented in The experimental setup of Tonomuras experiment is presented in
Fig. 2.7.a. It consists of: (i) an electron gun that emits electrons one by
one with high velocity; (ii) an electron biprism (electron splitter); (iii) a
register of diffracted electrons; and (iv) a CCD (couple-charged device)
camera that show the registered electrons. Ten electrons per second
were emitted by the source. During the first several minutes, the picture y g , p
on the CCD screen reflected chaotic distribution of electrons. Gradually
the build-up of registered electrons gave the interference pattern
characteristic for experiments of diffraction of light in two-slit experiment.
Hidden
To estimate the particle wavelength and to understand the
consequences of the uncertainty principle let us assume that a free consequences of the uncertainty principle, let us assume that a free
electron moves with a velocity of about 10
7
cm/s. The mass of free
electron is thus,
28
0
9 11 10 g; m

= .
21 1 6 1
9 10 8 7 10 k

/
and the de Broglie wavelength of a free electron,
21 1 6 1
0 0 0 0
9 10 g cms , 8 7 10 cm p m v k p = = = / = .
7
0 0
2 7 2 10 cm 72 ? k t

= / = . =
If we need to measure both the position and the momentum of the
electron, and we impose the limit of 10 % accuracy on the value of its
momentum, i.e.,
we cannot predict the position of this electron with an accuracy greater
than
22 1 5 1
0 0
9 10 g cm s and 8 7 10 cm , p k

A = A = .
than
This last value is as much as ten times (!) greater than the wavelength
f th l t
6
0 0
2 7 2 10 cm 720 ? x h p k t

A = /A = /A = . =
of the electron.
According to our estimates, we see that electron wavelengths have very
small values. For material particle with a larger mass, the wavelength is
even smaller. That is why in most cases of ordinary life, we do not
observe wave-like behavior of particles. As we will learn later, the
wavelength of the electron in solids is ten or even a hundred times
larger than in vacuum, i.e., up to 100 = 10 nm and even 100 nm. This is
why for an electron in nanoelectronics, wave-like physical properties are
its key attributes and they determine the basic properties of this
nanoworld.