What Is the Dirac Equation?
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What is the Dirac equation? M. Burak Erdo˘gan ∗ William R. Green y Ebru Toprak z July 15, 2021 at all times, and hence the model needs to be first or- der in time, [Tha92]. In addition, it should conserve In the early part of the 20th century huge advances the L2 norm of solutions. Dirac combined the quan- were made in theoretical physics that have led to tum mechanical notions of energy and momentum vast mathematical developments and exciting open operators E = i~@t, p = −i~rx with the relativis- 2 2 2 problems. Einstein's development of relativistic the- tic Pythagorean energy relation E = (cp) + (E0) 2 ory in the first decade was followed by Schr¨odinger's where E0 = mc is the rest energy. quantum mechanical theory in 1925. Einstein's the- Inserting the energy and momentum operators into ory could be used to describe bodies moving at great the energy relation leads to a Klein{Gordon equation speeds, while Schr¨odinger'stheory described the evo- 2 2 2 4 lution of very small particles. Both models break −~ tt = (−~ ∆x + m c ) : down when attempting to describe the evolution of The Klein{Gordon equation is second order, and does small particles moving at great speeds. In 1927, Paul not have an L2-conservation law. To remedy these Dirac sought to reconcile these theories and intro- shortcomings, Dirac sought to develop an operator1 duced the Dirac equation to describe relativitistic quantum mechanics. 2 Dm = −ic~α1@x1 − ic~α2@x2 − ic~α3@x3 + mc β Dirac's formulation of a hyperbolic system of par- tial differential equations has provided fundamental which could formally act as a square root of the Klein- 2 2 2 models and insights in a variety of fields from parti- Gordon operator, that is, satisfy Dm = −c ~ ∆ + 2 4 cle physics and quantum field theory to more recent m c . This is possible if the coefficients αj; β are 2 2 applications to nanotechnology, specifically the study 4 × 4 matrices satisfying αj = β = I and the anti- of graphene. commutation relationship (for j 6= k) αjαk = −αkαj; αjβ = −βαj: Dirac Equation Typically the Pauli matrices, To formulate the Dirac equation consistent with a quantum mechanical interpretation, the wave func- 0 −i 0 1 1 0 σ1 = ; σ2 = ; σ3 = ; tion at time t = 0 should determine the wave function i 0 1 0 0 −1 ∗The first author is a professor of mathematics at the Uni- are used to formulate the Dirac system versity of Illinois at Urbana-Champaign. His email address is 3 [email protected]. X yThe second author is an associate professor of mathematics 2 i~ t(x; t) = − ic~ αk@xk + mc β (x; t); (1) at Rose-Hulman Institute of Technology. His email address is k=1 [email protected]. zThe third author is a Hill Assistant Professor at Rutgers 1For concreteness, we only consider the case of three spatial 3 University. Her email address is [email protected]. dimensions, that is when x 2 R . 1 where A model dispersive PDE is the free Schr¨odinger equation: 2 IC 0 0 σi β = ; αi = : 0 −I 2 σ 0 C i i t = −∆ : (3) For notational convenience we choose physical A plane wave of the form (x; t) = exp(ik · x − i!t) units c = = 1, and denote P3 α @ = α · r, ~ k=1 k xk formally solves the equation provided that the \dis- to write the equation as persion relation", ! = jkj2, holds. Writing exp(ik · x − i!t) = exp(ik · (x − kt)), this relationship may be i (x; t) = (−iα · r + mβ) (x; t): (2) t interpreted as saying the speed of the wave is equal By the representation (2), it is clear that the Dirac to the frequency of vibration. operator does not act on a complex-valued wave func- Using Fourier transform techniques, we can repre- tion as the Schr¨odingeroperator does, but rather acts sent the initial data (x; 0) = f(x) as a superposition 4 of plane waves exp(ik · x) for a broad class of ini- on spinor fields. That is the solution to (2) is a C - valued function. tial data. Now, the dispersion relation dictates that In contrast to the Schr¨odingermodel, in which the higher frequency (jkj large) portions of the solution move more quickly than lower frequency portions of free operator H0 = −∆ is non-negative, the free Dirac the solution. A by-product is that a concentrated operator Dm = −iα·r+mβ is unbounded both above initial profile f(x) will spread out, becoming smaller and below. In particular, the spectrum is σ(Dm) = (−∞; −m] [ [m; 1). and smoother in some sense. The smoothing effect is These peculiarities lead to an ambiguity in the more subtle compared to parabolic equations such as physical interpretation of the solution . One inter- the heat equation since the linear evolution preserves 2 pretation is that the solution couples the evolution the L -based Sobolev norms. Various quantifications of a quantum particle with its anti-particle, namely of this decay and smoothing for linear equations are coupling the evolution of electrons and positrons, useful in the study of nonlinear counterparts. Heuris- [Tha92]. This interpretation predicted the existence tically, for equations with power nonlinearities the of the positron before its discovery in 1932. nonlinear terms become smaller compared to the lin- The unboundedness in both directions creates chal- ear terms due to the decay. lenges in the analysis of perturbations. For non- The best way to measure this spread is to use the linear perturbations, the concentration-compactness Fourier transform techniques to represent the solu- n method fails for Dirac as it relies on the operator be- tion of (3) as a convolution integral. For x 2 R , ing bounded below. Moreover, one can not define the Friedrichs extension for symmetric perturbations Z − n ijx−yj2=4t of Dirac operators since they are not bounded below, (x; t) = (−4πit) 2 e f(y) dy: (4) n [RS79]. R Using (4), one can see the global dispersive estimate The Dirac equation as a dispersive PDE it∆ − n ke fkL1 ≤ Cnjtj 2 kfkL1 : The Dirac equation is an example of a dispersive par- x x tial differential equation. By dispersive, we mean This L1 ! L1 bound reflects the dispersion present equations for which different frequency components in the Schr¨odingerequation, since the sup norm de- of the initial data (wave) propagate with different ve- cays in time as the waves of varying frequencies locities. We can envision the solution as being made spread out in space. These estimates can be used up of wave packets, where the frequency of vibration to obtain Strichartz estimates of the form is directly related to the speed at which the wave it∆ packet moves. ke fk q r ≤ Ckfk 2 ; Lt Lx Lx 2 for admissible exponents q; r ≥ 2, (q; r; n) 6= [EGT19]. See [GM01] for a more thorough discus- 2 1 1 (2; 1; 2), with q = n( 2 − r ): sion of further spectral issues. Strichartz estimates were first obtained by Dispersive estimates discussed in the previous sec- Strichartz via Fourier restriction theory of Stein. tion for (5) do not hold in general if the opera- Later, it was established that they can be obtained tor H has eigenvalues. One can project onto the using L1 ! L1 estimates. These mixed space-time continuous spectrum to recover dispersive estimates, estimates provide another way to quantify the dis- though threshold eigenvalues or resonances (at ener- persive nature of the equation, and are ubiquitous in gies λ = ±m) are known to affect the time decay, the study of nonlinear equations. [EGT19]. One can also measure the dispersion via smooth- One can study the perturbed evolution through ing estimates. Since a wave packet with frequency a generalized eigenfunction expansion, or through k moves with speed ∼ jkj it spends at most ∼ jkj−1 the resolvent operators and functional calculus tech- units of time on a ball of radius one. Averaging in niques. The free resolvent operators are defined by −1 time implies the Kato smoothing estimate R0(z) = (Dm − z) for z 2 C n σ(Dm). Recall- − 1 − 1 it∆ ing that Dm = −iα · r + mβ, and the the anti- khxi 2 (−∆) 4 e fk 2 ≤ CkfkL2 : Lt;x x commutation relations of the Pauli matrices, we see that D2 = −∆ + m, and This estimate can be interpreted to say that on av- m erage the solution is half a derivative smoother than (D − λ)(D + λ) = −∆ + m2 − λ2: the initial data. m m The dispersion in the Dirac equation is weaker than Formally, this leads us to the relationship that in the Schr¨odingerdue to the hyperbolic nature of the equation. Since the square of the free Dirac R (λ) = (D + λ)R (λ2 − m2); (6) 2 2 0 m 0 operator Dm = −∆ + m is a diagonal system of Klein-Gordon operators, there is finite speed of prop- −1 where R0(z) = (−∆ − z) is the Schr¨odingerresol- agation and the large frequency behavior of solutions vent. By Agmon's limiting absorption principle for does not travel arbitrarily fast as in the Schr¨odinger Schr¨odingeroperators, we can define the limiting op- evolution. This leads to weaker time decay and loss erators as z approaches the essential spectrum from of derivatives in dispersive estimates. upper and lower half plane. In the massive case, when m > 0, for jλj close to Linear perturbations m, the dominant contribution of the Dirac resolvent behaves like the Schr¨odingerresolvent. This leads to To account for particle interactions or external elec- − 3 a generic time-decay rate of size jtj 2 in three spa- tromagnetic fields in three dimensions, one perturbs tial dimensions.