Relativistic Electron Theory

The Dirac Equation

Mathematical Physics Project
Karolos POTAMIANOS
Universite Libre de Bruxelles
Abstract
This document is about relativistic quantum mechanics and more
precisely about the relativistic electron theory. It presents the Dirac
equation, a wave equation for massive spin-
1
2
particles. The important
advances in the theory arising from that equation, such as the natural
way it accounts the spin of the electron and its magnetic moment as
well as the existence of the positron, are also discussed.
Contents
1 Introduction 3
2 Postulates of the theory 4
3 The relativistic notation 6
4 Lorentz transformations 6
5 The Dirac wave equation 7
6 The Dirac matrices 9
7 Covariant form of the Dirac wave equation 10
8 Dirac matrices 11
9 Dirac wave functions 12
10 The particle current density 13
11 Invariance under Lorentz transformations 13
12 Magnetic moment of the electron 15
1
CONTENTS 2
13 Solutions of the Dirac equation 16
14 Exactly solvable problems 18
15 The Dirac equation in an electric eld 19
16 The sea of negative energy 20
17 Foldy-Wouthuysen representation 22
18 Conclusion 24
1 INTRODUCTION 3
Acknowledgements
I would like to thank Prof. D. Baye for his remarks on the intermediate
version of this document as well for his courses which allowed me to con-
rm my interest in quantum mechanics and provided the incentive for my
willingness to learn more about relativistic quantum mechanics.
1 Introduction
In 1928, Paul Adrien Maurice Dirac (1902-1984) discovered the relativistic
equation which now bares his name while trying to overcome the diculties
of negative probability densities of the Klein-Gordon equation
1
. For a long
time, it was believed that the Dirac equation was the only valid equation
for massive particles. It was only after Pauli reinterpreted the K-G equation
as a eld theory in 1934 that this belief was shaken. Even now the Dirac
equation has special importance because it describes particles of spin-
1
2
,
which is the case of the electron as well as many of the elementary particles.
In fact, it is a theoretical conjecture that all the elementary particles found
in Nature obeying Fermi statistics have spin-
1
2
([8]).
It is therefore useful to study the Dirac equation, not only from a theo-
retical point of view but also from a practical one as some phenomena like
the

decay (positron emission) can be explained by the Dirac equation, as

well as some of the phenomena were the non-relativistic quantum theory is
unable to explain experimental facts such as the anomalous Zeeman eect.
At rst, this document shall set the postulational basis of the theory,
enouncing the frame in which the relativistic electron theory has been built
in. This will be followed by a brief review of relativistic notations and of
the Lorentz transformations. Then, we will follow Diracs revolutionary way
of thinking which will lead us to the Dirac equation for the free particle, in
absence and presence of an electromagnetic eld. The role of the spin as an
internal degree of freedom and the existence of negative energy particles will
be discussed. The next step is to apply the theory to some simple system
and to see what the solutions of the equation are and how to interpret them.
Finally, a trial for interpretation of the theory will require us to introduce a
new representation, the Foldy-Wouthuysen representation, and to highlight
its main advantages.
1
This equation is derived by inserting the operator substitutions E i
t
, p i
into E
2
= c
2
p
2
+
2
c
4
, the relativistic relation between energy and momentum for a free
particle of mass .
2 POSTULATES OF THE THEORY 4
2 Postulates of the theory
The relativistic electron theory being a quantum mechanical theory, cer-
tain of its postulates are common to general quantum mechanical theories.
However, the relativistic theory is consistent with the special principle of rel-
ativity. The postulates of the theory are listed here and will be followed by
a brief discussion (see [7] for more details). For a more complete discussion,
the reader is referred to the work of Dirac [3].
I. The theory shall be formulated in terms of a eld, quantitatively rep-
resented by an amplitude function , in such way that the statistical
interpretation of quantum phenomena will be valid.
II. The description of physical phenomena in the theory will be based
on an equation of motion describing the development in time of the
system or of the eld amplitude .
III. The superposition principle shall hold, requiring the equation of mo-
tion to be linear in .
IV. The equations of motion must be consistent with the special principle
of relativity
2
. This requires that they may be written in covariant
form.
V. From postulate I, it must be possible to dene a probability density
such that it is positive denite :
0
and that its space integral satises :
_
d
3
x =
_

d
3
x

(1a)
d
dt
_
d
3
x = 0 (1b)
Condition (1a) expresses that is a relativistic invariant and both con-
ditions permit a Lorentz-invariant meaning to a normalization condi-
tion such as
_
d
3
x = 1
2
Since general relativity is required only when dealing with gravitational forces, which
are quite unimportant in atomic phenomena, there is no need to make the theory conform
to general relativity.
2 POSTULATES OF THE THEORY 5
VI. The theory should be consistent with the correspondence principle
and in its non-relativistic limit should reduce to the standard form of
quantum mechanics applicable at low velocities. Furthermore, in its
non-quantum limit, the theory should yield the mechanics of special
relativity.
Postulates I and III appear to be necessary in view of such experimen-
tal facts as scattering and the attendant diraction eects observed in such
phenomena. The -function referred to will be called a wave function. It
will, in general depend on the four space-time coordinates x

and may be a
multi-component wave function (as if the theory is to account spin proper-
ties).
Postulate II implies the existence of an operator equation of the form :
H = i

t
, (2a)
or, switching to a natural unit system by setting = c = 1 (as it will be the
case in this document) :
H = i

t
. (2b)
In connection with postulate IV, the occurrence of the rst time deriva-
tive in the equation of motion implies the space derivatives should also occur
to rst order. The obvious requirement of symmetry in all four space-time
variables is clearly not fullled by the non-relativistic form of the quantum
mechanics. Although the required symmetrical appearance of the four x

in
the equations of motion is not a sucient condition for relativistic covariance
and therefore this covariance must, and will be, demonstrated.
About postulate V, the fact that is positive denite implies we speak
of a particle and not a charge density. It is not clear whether the goal of
being positive denite is attainable in a given theory. We also have to
notice that (1b) is assured if a continuity equation exists and if vanishes
suciently strongly at the boundaries of the system. That is, a particle
current density j must exist such that
j +

t
= 0. (3)
This equation has the usual interpretation that a particle cannot disappear
from a volume of space unless it crosses the surface bounding that volume.
In fact, electrons can actually do this by means of pair annihilation. Thus
creation or destruction of particles and antiparticles contradict the conser-
vation of particles but not the conservation of charge. There is clearly a
contradiction here. However, this diculty, which disappears in a quan-
tized eld theory, raises no real problem in the questions discussed in this
document.
3 THE RELATIVISTIC NOTATION 6
3 The relativistic notation
Before starting on the path toward developing the relativistic wave equation,
a few words on relativistic notation are in order. In relativity all 4-vectors
and their transformations are the most important quantities. The most fun-
damental 4-vector is the one that describes space and time, x

= (t, x, y, z).
Its transformation properties are dened in terms of the invariant quan-
tity s
2
= x

= t
2
x
2
y
2
z
2
. This introduces a second quantity
x

= (t, x, y, z). The 4-vector with the upper index is a contravariant

vector, while that with the lower index is a covariant vector. To transform
between the two types of vectors, we introduce the metric tensor:
g

=
_
_
_
_
1 0 0 0
0 1 0 0
0 0 1 0
0 0 0 1
_
_
_
_
x

= g

(4)
The momentum p, whose components will be written p
1
, p
2
, p
3
, is equal
to the operator
p
r
= i

x
r
(r = 1, 2, 3). (5)
To bring (5) into a relativistic theory, we must rst write it with balanced
suxes, p
r
= i /x
r
(r = 1, 2, 3), and extend it to the complete 4-vector
notation,
p

= i

x

. (6)
We thus have to introduce p
0
, equal to the operator i /x
0
. Since the
last forms a 4-vector when combined with the momenta p
r
, it must have the
physical meaning of the energy of the particle divided by c. We now have
to develop the theory treating the four ps on the same footing, just like the
four xs.
4 Lorentz transformations
The Lorentz group is the group of transformations that preserves the length
s
2
= x

. Some of the continuous transformations that do this are the

ordinary (space) rotations and the boosts or imaginary rotations, which
correspond to passing from one inertial frame to another one moving relative
to the rst.
For example, the homogenous Lorentz transformation to a frame with
5 THE DIRAC WAVE EQUATION 7
velocity v along the x
1
-axis is given by:

=
_
_
_
_
0 0
0 0
0 0 1 0
0 0 0 1
_
_
_
_
x

, (7)
where = 1/
_
1
2
and = v/c = v.
Those transformations, satisfying det = +1, constitute the subgroup
of the proper Lorentz transformations while the transformations satisfying
det = 1 constitute the improper transformation subgroup. The latter
include:
(a) space reections :
ik
=
ik
,
00
= 1,
j0
=
0j
= 0
(b) time reections :
ik
=
ik
,
00
= 1,
j0
=
0j
= 0
(c) as well as any product of a proper transformation with a space or time
reection.
The covariant vector transforms dierently from the contravariant vector
x

where the two dierent transformations are dened by the in-

variance of x

= x

. This imposes the condition that

= 1,
that is they are inverse transformations of each other:

=
_
_
_
_
0 0
0 0
0 0 1 0
0 0 0 1
_
_
_
_
x

(8)
5 The Dirac wave equation
The reasoning followed here is, at least for its rst part, inspired by Diracs
book [3].
Let us consider the case of the motion of an electron in the absence of an
electromagnetic eld, so that the problem is that of the free particle, with
the possible addition of internal degrees of freedom.
The relativistic Hamiltonian provided by the classical mechanics (through
the relation E =
_
p
2
+ m
2
) leads to the wave equation
p
0
(m
2
+ p
2
1
+ p
2
2
+ p
2
3
)
1
2
= 0 (9)
where the ps are interpreted as in (6). This equation is however very un-
satisfactory as it is very unsymmetrical between p
0
and the other ps. We
must therefore search for an other wave equation.
5 THE DIRAC WAVE EQUATION 8
Multiplying (9) on the left by p
0
+(m
2
+p
2
1
+p
2
2
+p
2
3
)
1
2
, we obtain the
equation
p
2
0
m
2
p
2
1
p
2
2
p
2
3
= 0, (10)
which is of a relativistically invariant form. However equation (10) is not
completely equivalent to (9) since every solution of (10) is not solution of
(9), although the converse is true.
At this point, equation (10) is not of the form required by the laws of
the quantum theory on account of its being quadratic in p
0
. We need a wave
equation linear in p
0
and roughly equivalent to (10). In order to transform
in a simple way under Lorentz transformations, we shall try to make that
equation rational and linear in p

, and thus of the form

p
0

1
p
1

2
p
2

3
p
3
m = 0, (11)
in which the s and are independent of the xs and the ps. They therefore
describe some new degree of freedom, belonging to some internal motion in
the electron. In fact, as we shall see, they bring in the spin of the electron.
Multiplying (11) by p
0
+
1
p
1
+
2
p
2
+
3
p
3
+m on the left, we obtain
p
2
0

2
i
p
2
i
+ (
i

j
+
j

i
) p
i
p
j
+ (
i
+
i
) p
i
m +
2
m
2

= 0, (12)
summation being implied over repeated suxes, with the imposed condition
i > j. This is the same as (10) with the s and satisfying

2
i
=
2
= 1 ;
i

j
+
j

i
= 2
ij
;
i
+
i
= 0. (13)
Thus by giving suitable properties to the s and we can make equation
(11) equivalent to (10), in so far as the motion of an electron as a whole is
concerned. We may now assume that
p
0
[ p + m] = 0, (14)
or in the (2b) form,
E = i

t
= [ p + m] = H
D
, (15)
is the correct relativistic equation for the motion of an electron in the absence
of a eld. Taken into account that this equation is not exactly equivalent to
(9), we shall, at the moment, consider only those solutions corresponding to
positive values of p
0
, the negative values not corresponding to any actually
observable motion of an electron. We shall come back to that point later.
To generalize this equation to the case when there is an electromagnetic
eld present, we follow the classical rule of replacing p
0
and p by p
0
qA
0
6 THE DIRAC MATRICES 9
and p qA, A
0
and A being the scalar and vector potentials of the eld at
the place where the particle is. This gives the equation
p
0
qA
0
[ (p qA)] m = 0, (16)
the Hamiltonian of the energy being
H
F
D
= + m + qA
0
(17)
and
= p qA (18)
being the standard kinetic momentum operator in the general case of a
particle with a charge q. For an electron, = p + eA.
6 The Dirac matrices
It is obvious that relations (13) require the s and to be matrices. To
determine the form of the matrices, some conditions need to be imposed :
- The wave function should be a column vector in order that the prob-
ability density be given as

3
. This imposes the condition that the
matrices must be square.
- The Hamiltonian must be hermitian so that its eigenvalues are real.
This forces the four matrices to also be hermitian.
The s and have similar properties to the Pauli matrices (21), which
are 22 matrices. However, so long as we keep working with 22 matrices,
we can get a representation of no more than three anticommuting quantities.
The rank n of those matrices must be even. This can be shown by
observing that for each of the four matrices there is another matrix which
anti-commutes with it. Therefore, if b

is any of the four matrices and b

is
a matrix which anti-commutes with b

, we have
Tr[b

] = Tr[b

b
2

] = Tr[b

] = Tr[b

b
2

] = 0 (19)
since each b
2

= 1 and Tr[AB] = Tr[BA]. Each matrix has thus zero trace.

There exists a representation in which any b

can be brought to diagonal

form, and, since b
2

= 1 and Tr[b

] = 0 are independent of the representation,

we conclude that the eigenvalues of b

in diagonal form are 1 and that there

are as many +1 as -1 eigenvalues. Thus the number of rows and columns
must be even.
3
Notation

denotes the conjugate transpose
7 COVARIANT FORM OF THE DIRAC WAVE EQUATION 10
The minimum possible number for n is 4, and a 4 4 representation
exist. For example,
=
_
0
0
_
, =
_
I
2
0
0 I
2
_
, (20)
where I
2
is a 2 2 unity matrix and represents the three Pauli matrices

1
=
_
0 1
1 0
_
,
2
=
_
0 i
i 0
_
,
3
=
_
1 0
0 1
_
. (21)
If we consider the direct matrix product between two matrices operating
in dierent spaces, we can write all the Dirac matrices previously dened as
a direct product of two 2 2 matrices : one operating in the Dirac space
referring to the four areas of the 4 4 matrices and the other operating
in the Pauli space referring to the four elements within each of these four
areas. Thus

j
=
1

j
, =
3
I
2
(22)
where the three matrices operating in Dirac space

1
=
_
0 1
1 0
_
,
2
=
_
0 i
i 0
_
,
3
=
_
1 0
0 1
_
(23)
form, with I
2
, a complete set like I
2
,
1
,
2
,
3
. Since it is to be understood
that the direct product is always implied for matrices operating in dierent
spaces, the symbol can be omitted.
7 Covariant form of the Dirac wave equation
Although being in Hamiltonian form the Dirac equation given above (15)
doesnt include time and space coordinates in a symmetric manner. To
transform the equation, we rst need rewriting it using the usual operator
substitutions (i.e. E i/t, p i) before multiplying its both sides
by on the left:
[i + m] = i

t
[i + m] = i

t
(24)
We can now introduce the Dirac matrices

= (, ) and rewrite
the Dirac equation as :
[i

m] = 0 (

= /x

), (25)
which puts both time and position coordinates on an equal footing.
8 DIRAC MATRICES 11
8 Dirac matrices
We now consider the complete set of matrices which can be constructed
from the four

matrices dened in the previous section by multiplications.

There are 16 dierent matrices
A
which can be formed this way. Those can
be classied into ve groups (as done in [7]):
- Group S. This consists of a single matrix, the identity matrix. It can
be formed by at least four ways : (

)
2
= 1.
- Group V. These are just the four

matrices.
- Group T. These are the six matrices formed by the relation
i

( ,= ),
the phase factor i being taken to have in all cases (
A
)
2
= 1
- Group P. This is the single matrix formed by multiplying all four

5
=
0

3
.
- Group A. These are the four possible products formed by products of
three

:
i

( ,= ,= ).
These can be written using the
5
matrix in the form i
5

.
The designation group used above does not mean that these 16 ma-
trices form a group in the technical sense. Nevertheless, this set does form
a mathematical entity : a Cliord algebra.
Proceeding from the rules in (13), some relations can be derived for the
matrices :
- Multiplying
i
+
i
= 0 by from the left, we get :
(
i
) + (
i
) =
0

i
+
i

0
= 0. (26)
- Now taking
i

j
+
j

i
= 2
ij
and multiplying it from both sides by
, we get, using the anti-commutation relation :
(
i
)(
j
) + (
j
)(
i
) = 2
ij

i

j
+
j

i
= 2
ij
. (27)
- Putting the previous two equations together yields:

= 2g

(28)
9 DIRAC WAVE FUNCTIONS 12
- The hermiticity of the

matrices can be derived in a similar manner,

as the s and are hermitian. This is obviously the case for
0
= .
The other components are given by:
(
i
)

= (
i
)

= (
i
) =
i
(29)
and these components are shown to be anti-hermitian.
For more information about the matrices, the reader is referred to [8]
and [7].
9 Dirac wave functions
Each wave function is a 4-component vector with 4 rows and 1 column
(r, t) =
_
_
_
_

1
(r, t)

2
(r, t)

3
(r, t)

4
(r, t)
_
_
_
_
=
_

l
_
(30)
where
u
and
l
refer to upper and lower and are each two component
spinors. The spin of the electron requires the wave function to have two
components
4
. The fact our theory gives four is due to our wave equation
(11) having twice as many solutions as it ought to have, half of them corre-
sponding to states of negative energy (p
0
< 0).
Looking at how operators act on the four-component wave functions, we
may for example calculate

2
=
_
i
l
i
u
_
(31)
or
=
1
=
_

u
_
. (32)
So the matrices operating in the Dirac space act on
u
and
l
while the
matrices operating in Pauli space act on the two components in
u
(
1
,
2
)
and in
l
(
3
,
4
). The four-component will be called a spinor (or four-
spinor).
The Dirac matrices from section 6, like
3
, with zero elements in the
upper right and lower left quadrants are called even in the Dirac sense;
those, like
1
and
2
, with zeroes in the upper left and lower right quadrants
are called odd. Even Dirac matrices couple
u
with
u
and
l
with
l
while odd ones couple
u
and
l
. This will, as we shall see, have some
consequences.
4
In fact, the appearance of a multi-component wave function is characteristic of the
existence of a non-vanishing spin [7].
10 THE PARTICLE CURRENT DENSITY 13
10 The particle current density
With the Dirac equation (15) and a wave function of the form of a 4-
component vector (30), we can have a look at the associated probability
current. Taking (15) multiplied on the left by

and substracting with its

adjoint multiplied on the right by :

i

t
=

(i + m), (33a)
(i

t

) = (i

+ m

), (33b)
resulting in
i

t
(

) = i (

), (34)
which is the continuity equation (3), expressing the conservation of proba-
bility density if we dene it the usual way, i.e. as
= j
0
=

, (35)
and the probability current as
j =

. (36)
The postulated property of (1b) is automatically valid with H her-
mitian and with (35), which is obviously positive denite. For, if (35) is
assumed, we have
_

t
d
3
x = i
_
_

H (H)

_
d
3
x = 0 (37)
by virtue of H

= H.
Thus with the wave equation dened and the form of the wave function
known, (35) allows us to specify the current density j implied by postulate
V.
We now have the constancy of the total probability of nding the electron
at any point of space (37). We have now apparently solved the problem of
nding a relativistic generalization of the Schrodinger equation.
11 Invariance under Lorentz transformations
From the previous section, it seems like we have our relativistic generaliza-
tion completed. But we must still verify the invariance of the Dirac equation
under Lorentz transformations.
11 INVARIANCE UNDER LORENTZ TRANSFORMATIONS 14
As in the preceding section we derived the continuity equation using
and , we will for this section use the matrices which appear in the
covariant form of the equation.
Starting with the covariant form of the Dirac equation (25) from section
7, we will show (as in [8]) that the Dirac equation is form invariant under
an inhomogeneous Lorentz transformation
x

= x + a (38)
if we dene

(x

) = S() (x) = S() (

1
(x

a)), (39)
where S() is a 4 4 matrix operating on the components of satisfying
S
1
()

S() =

. (40)
As

=
x

, (41)
the Dirac equation
[i

m] (x) = 0 (42)
can be re-expressed in the form
_
i

S
1
x

mS
1
_

(x

) = 0, (43)
provided that the matrices remain unaltered under Lorentz transforma-
tion.
Multiplying (43) by S on the left yields
_
iS(

)S
1

(x

) = 0, (44)
which is the same as (42) provided that S satises (40).
Theorem Fundamental Pauli theorem [7] If two sets of matrices

and

obey the commutation rules (28), then there must exist a non-singular
matrix S which connects the two sets according to

S = S

. (45)
The fundamental theorem of Pauli guarantees the existence of a non-
singular S. In fact, the condition (40) uniquely determines S up to a factor([8]).
We now know the Dirac wave equation is form invariant under any
Lorentz transformation. The equation now fullls the main requirements
for being a relativistic generalization of the Schrodinger equation.
12 MAGNETIC MOMENT OF THE ELECTRON 15
12 Magnetic moment of the electron
As we have dened the frame we will be working in, we will use this basis
to highlight some of the advances the theory brought in. Following Dirac
in [3], we will start with one of the biggest success of Diracs theory: the
theoretical explanation of the electron having a magnetic moment.
Suppose we put the electron in a magnetic eld B = A. The
Hamiltonian (17) determines the equation of motion. From it, we get for
the electron
(H
F
D
+ eA
0
)
2
= ( + m)
2
= ( )
2
+ m
2
=
2
+ m
2
+ e B, (46)
as, using the relation
( B)( C) = (B C) + i[ (B C)] (47)
and introducing the spin matrix
= I
2
= (
1
I
2
) =
_
0
0
_
(48)
to make a distinction with the 2 2 Pauli matrices,
( )
2
=
2
+ i ( ) =
2
+ e B, (49)
with = ieA = ie B.
In the non-relativistic limit, i.e. for an electron moving slowly, with a
small momentum, we may expect an Hamiltonian of the form m+H
1
, where
H
1
is small compared to m. Putting this Hamiltonian for H
F
D
in (46) and
neglecting H
2
1
and other terms involving e
2
, we get, on dividing by 2m,
H
1
+ eA
0
=
1
2m
(
2
+ e B). (50)
The Hamiltonian given by this last equation is the same as the classical
Hamiltonian for a slow electron, except for his last term,
e
2m
B,
which may be considered as an additional potential energy which a slow elec-
tron has. This extra energy can be interpreted as arising from the electron
having a magnetic moment
=
e
2m
, (51)
13 SOLUTIONS OF THE DIRAC EQUATION 16
which implies that the g-factor of the electron is 2, which is very nearly the
case.
It is remarkable to notice that the Uhlenbeck-Goudsmit hypothesis,
which is that the observed spectral features on the anomalous Zeeman eect
are matched by assigning to the electron a magnetic moment given in terms
of the operator = e/m s, where s =
1
2
, emerges from the Dirac theory.
This discussion suggests that the relativistic particle has a intrinsic an-
gular momentum 1/2, so that the total angular momentum is
J = L+
1
2
, L = r p. (52)
The Hamiltonian from (15) commutes with the total angular momentum
[J, H] = [L, H] +
1
2
[, H] = ip ip = 0, (53)
which can be obtained using =
1
2i
. This veries the rotational
invariance of the Dirac equation.
13 Solutions of the Dirac equation
The Dirac equation admits of plane wave solutions of the form
(x) = e
ipr
u(p) (54)
where u(p) is a four-component spinor which satises the equation
( p m) u(p) = (

m) u(p) = 0. (55)
Equation (55) is a system of four linear homogenous equations for the
components u

, for which non trivial solution exist only if

det(

m) = (p
2
0
p
2
m
2
)
2
= 0. (56)
Solutions therefore only exist if p
2
0
= p
2
+m
2
, i.e. only if p
0
=
_
p
2
+ m
2
.
Let u
+
(p) be a solution for p
0
= E(p) = +
_
p
2
+ m
2
so that u
+
(p)
satises the Dirac equation
( p + m) u
+
(p) = E(p) u
+
(p). (57)
Using the decomposition of the wave function in Dirac space, like in the
second relation of (30), we may write
u
+
=
_
u
u
u
l
_
,
13 SOLUTIONS OF THE DIRAC EQUATION 17
where u
u
and u
l
have two components each, and, adopting the representation
(20) for and , we nd that u
u
and u
l
obey the following equations:
( p) u
l
+ mu
u
= E(p) u
u
(58a)
( p) u
u
mu
l
= E(p) u
l
. (58b)
Since E(p) + m ,= 0,
u
l
=
p
E(p) + m
u
u
(59)
and substituting this value back into (58a), we nd
(
( p)
2
E(p) + m
+ m) u
u
= E(p) u
u
. (60)
Using (47), ( p)
2
= p
2
and
p
2
E(p) + m
=
E
2
(p) m
2
E(p) + m
= E(p) m,
we get equation (60) is identically satised. There are therefore two lin-
early independent positive energy solutions for each momentum p, which
correspond, for example, to choosing u
u
equal to
_
1
0
_
or
_
0
1
_
,
which are respectively equal to
+1/2
and
1/2
when using Paulis spinor
notation.
This can also be seen using the operators and some of their properties.
The Hamiltonian operator H
D
= p + m commutes with the hermitian
operator
s(p) =
p
[p[
, (61)
where is dened by (48).
s(p) is the helicity operator, or helicity of the particle, and physically
corresponds to the spin of the particle parallel to the direction of motion.
The solutions can therefore be chosen as simultaneous eigenfunctions of H
14 EXACTLY SOLVABLE PROBLEMS 18
and s(p). Since s
2
(p) = 1, the eigenvalues of s(p) are 1. The solutions
can therefore be classied according to the eigenvalues +1 or 1.
A similar classication can be made for the negative energy solutions for
which p
0
=
_
p
2
+ m
2
and where, for a given momentum, there are again
two linearly independent solutions.
So, for a given four-momentum p, there are four linearly independent
solutions of the Dirac equation. These are characterized by p
0
= E(p)
and s(p) = 1.
As an example, we may explicit two linearly independent solutions for
positive energy and momentum p :
u
(u)
+
(p) =

E(p) + m
2E(p)
_

+1/2
p
E(p)+m

+1/2
_
(62a)
u
(l)
+
(p) =

E(p) + m
2E(p)
_

1/2
p
E(p)+m

1/2
_
, (62b)
where the normalization constant is determined by the requirement that
u

u = 1.
In the non-relativistic limit (v 1 p = mv and E(p) m)
5
, the com-
ponents u
l
of a positive energy solution are of order v times u
u
and therefore
small. For a negative energy particle, it is the two upper components of the
wave function who will be small.
14 Exactly solvable problems
There are only few problems for which the Dirac equation can be solved
exactly ([8]). Some of them are, in (3+1)-dimensional space-time :
- The Coulomb potential.
- The case of a homogeneous magnetic eld extending over all space.
- The eld of an electromagnetic plane wave.
- The so-called Dirac oscillator, which is a relativistic extension of the
oscillator problem.
In (2+1)-dimensional space-time, we may cite the Dirac oscillator.
5
As we are in natural units for quantum mechanics, i.e. = c = 1.
15 THE DIRAC EQUATION IN AN ELECTRIC FIELD 19
15 The Dirac equation in an electric eld
As in [6], we are starting with the Dirac Hamiltonian in the presence of a
led (17), we may, as we did in section 13, express the Dirac equation as
two coupled equations with time independent solutions u
u
, u
l
:
[ ]u
l
+ [mqA
0
]u
u
= Eu
u
(63a)
[ ]u
u
[mqA
0
]u
l
= Eu
l
. (63b)
From those, we get by substitution
( )
1
E + mqA
0
( )u
u
+ qA
0
u
u
= (E m)u
u
. (64)
Now we will assume A = 0, E = E

+ m and that
1
E

+ 2mqA
0

1
2m
[1
E

qA
0
2m
]. (65)
We thus have

1
2m
[1
E

qA
0
2m
]()
2
u
u

q
4m
2
(A
0
)(u
u
)+qA
0
u
u
= E

u
u
. (66)
Using the relation (47) and assuming that A
0
(r) is spherically symmetric,
we get, as the orbital momentum operator L = r p and the Pauli spin
operator s =
1
2
:
[
1
2m

2
+qA
0
+
1
2m
[
E

qA
0
2m
]
2
+
q
2m
2
1
r
dA
0
dr
Ls
q
4m
2
dA
0
dr

r
]u
u
= E

u
u
,
(67)
knowing that
A
0
(r) =
1
r
dA
0
dr
r
A
0
u
u
=
dA
0
dr
u
u
r
i [A
0
u
u
] = 2
1
r
dA
0
dr
L s
Let us now look at equation (67) more closely:
- The rst and second term are in the non-relativistic Hamiltonian for
a particle of mass m and charge q in a central potential A
0
(r).
- The third term is a relativistic correction to the kinetic energy opera-
tor. It can be written
1
2m
[
E

qA
0
2m
]
2

p
4
8m
3
, (68)
as E

qA
0
p
2
/2m.
16 THE SEA OF NEGATIVE ENERGY 20
- The fourth term is the spin-orbit interaction.
- The fth in non-Hermitian. C.G. Darwin showed [2] it could be written
as
q
8m
2

2
A
0
(r), (69)
which is
4
8m
2
(
Ze
2
4
0
)(r) (70)
for a Coulomb potential. This term only aects the s-states. It comes
from the fact that, in quantum mechanics, the electrons wavefunction
is spread out. In the nonrelativistic limit, the electron therefore feels
the electric eld of the proton over a nite volume of approximate
radius given by the Compton wavelength of the electron, /mc ([8]).
The Dirac equation can be solved exactly for the hydrogen atom. The
energy eigenvalues are given by ([8]) :
E
D
nj
= m1 + (
Z
n j 1/2 +
_
(j + 1/2) Z
2

1/2
, (71)
where =
e
2
4c

1
137
. If we expand, we get
E
D
nj
= m
_
1
(Z)
2
2n
2
+
(Z)
4
(6j + 3 8n)
8(2j + 1)n
4
+ O(Z)
6
_
, (72)
which leads to
E
nj
= E
D
nj
m = E
(0)
n
_
1 +
(Z)
2
(6j + 3 8n)
4(2j + 1)n
2
+ O(Z)
4
_
, (73)
where
E
(0)
n
=
m(Z)
2
2n
2
(74)
are the eigenvalues obtained with the non-relativistic Schrodinger equation.
16 The sea of negative energy
We have noted that the Dirac equation admits of negative energy solutions.
Their interpretation presented a great deal of diculty for some time; as
for example the fact a negative energy particle would be accelerated in the
opposite direction of the external force.
In a classical theory, the negative energy states cause no trouble because
no transition between positive and negative energy states occur. Therefore,
if a particle occupies a positive energy state at any time, it will never appear
16 THE SEA OF NEGATIVE ENERGY 21
in a negative energy state. The anomalous negative energy states are then
eliminated as a result of initial conditions stipulating that no such state oc-
curred in the past. In a quantum theory, this device is no longer admissible,
as spontaneous emission of radiation can occur as long as a state of lower
energy is unoccupied and as long as conservation of angular and linear mo-
menta can be fullled. These conservation principles can always be fullled
under appropriate conditions. There is nothing to prevent an electron from
radiating energy in making a transition to lower and lower states. ([7])
In 1930, Dirac resolved the diculties of interpretation by suggesting his
so-called hole theory which he formulated as follows ([3]) :
Assume that nearly all the negative energy states are occupied, with one
electron in each state in accordance with the exclusion principle of Pauli.
The exclusion principle makes it impossible for positive energy electrons
to make transition to negative energy states unless they are emptied by
some means. Such an unoccupied negative energy state will now appear as
something with positive energy, since to make it disappear, i.e. to ll it up,
we should have to add an electron with negative energy. We assume that
these unoccupied negative-energy states are the positrons. The hole would
have a charge opposite of that of the positive energy particle. The positron
was experimentally discovered in 1932 by Carl D. Anderson [1]. It has the
same spin operator as the electron but has opposite energy, momentum and
angular momentum operators. Therefore it has also the opposite helicity,
which is well known as an experimental result in beta decay [7].
Dirac also suggested there has to be a distribution of electrons of innite
density everywhere in the world and that a perfect vacuum is a region where
all the states of positive energy are unoccupied and all those of negative
energy are occupied. However, this innite distribution doesnt contribute
to the electric eld, as, of course, Maxwells equation in a perfect vacuum,
E = 0, must be valid. Thus only departures from the distribution in a
vacuum will contribute to the electric density. There will be a contribution
e for each occupied state of positive energy and a contribution +e for each
unoccupied state of negative energy.
The exclusion principle will operate to prevent a positive-energy electron
ordinarily from making transitions to states of negative energy. It will still
be possible, however, for such an electron to drop into an unoccupied state
of negative energy. In this case we should have an electron and a positron
disappearing simultaneously, their energy being emitted in the form of ra-
diation. The converse process would consist in the creation of an electron
and a positron from electromagnetic radiation.
17 FOLDY-WOUTHUYSEN REPRESENTATION 22
Although the prediction of the positron is a brilliant success of Diracs
theory, some questions still arise. With a completely lled negative energy
sea, the theory can no longer be a single-particle theory. The treatment
of problems of electrodynamics is complicated by the requisite elaborate
structure of the vacuum. However, the eects of the crowded vacuum on
the mass and charge of a Dirac particle is to change them to new values,
which must be identied with the observed mass and charge.
17 Foldy-Wouthuysen representation
The Dirac equation in the form described above does not lend itself easily
to a simple interpretation. Let us consider for example the operator
x = i [H
D
, x] = , (75)
which we would like to call the velocity operator. Since
2
i
= 1, the absolute
magnitude of the velocity in any given direction is always 1, which is, since
we have set c = = 1, the speed of light. This is, of course, not physically
reasonable.
From this example, we have to conclude that there must exist another
representation of the Dirac equation in which the physical interpretation
is more transparent. This can also be inferred from the fact that the two
independent states associated with each value of the momentum of a positive
energy Dirac particle, which correspond to the two possible directions of the
spin, have, according to quantum mechanics, to be represented by exactly
two vectors in Hilbert space ([8]). There exist therefore a redundancy in the
representation of those vectors.
This problem was solved in 1950 by Foldy and Wouthuysen ([4]) who
noticed that the main reason for this redundancy is the presence of odd
operators, i.e., as has been said before, an operator which connects upper
and lower components of the wave function. If it were possible to perform
a canonical transformation on the Hamiltonian H
D
and bring it to a form
free of odd operators, it would be possible to represent the solutions by
two-component spinors.
The suggested transformation,
e
iS
=

(76a)
H e
iS
H
D
e
iS
= H

D
, (76b)
with S of the form
S = (
i
2m
) p(
[p[
m
), (77)
17 FOLDY-WOUTHUYSEN REPRESENTATION 23
being a real function to be determined such that H

is free of odd operators,

leads to a new position operator
X = e
iS
xe
iS
= x + i

2E(p)
i
( p) p + i [ p] [p[
2E(p) (E(p) + m) [p[
(78)
and to a new spin operator, called the main spin operator,

M
=
i(p)
E(p)

p ( p)
E(p) (E(p) + m)
, (79)
where
= e
iS

M
e
iS
=
1
2i
() (80)
is the spin operator dened by (48).
The complete reasoning can be followed in the original article [4] as well
as in [8].
Here are some of the consequences of this canonical transformation:
- In this representation, positive and negative energy states are sepa-
rately represented by two-component wave functions.
- Position and spin operators dier from the conventional representa-
tion.
- The components of the time derivative of the new position operator
all commute and have for eigenvalues all values between 1 and +1,
i.e. between c and +c in non-reduced units.
- The new spin operator is now a constant of the motion, which was not
the case before.
- It is these new operators rather than the conventional ones which pass
over into the position and spin operators in the Pauli theory in the
non-relativistic limit.
The Foldy-Wouthuysen representation is particulary useful for the dis-
cussion of the non-relativistic limit of the Dirac equation, since the operators
representing physical quantities are in one-to-one correspondence with the
operators of the Pauli theory. There exists also another limit which is of
a considerable interest, namely the ultrarelativistic, where the mass of the
particle can be neglected in comparison with its kinetic energy. Such a form
of the Dirac equation is obtained by choosing an appropriate (see [8] for
more details).
18 CONCLUSION 24
18 Conclusion
In this document, we have built up a part of the Dirac theory. We have
used it in the case of an electron in a magnetic and a electric eld. However,
only a small part of the potential of the theory has been discussed. This
theory has been the subject of many studies, articles and books and is still
today an important eld of research in quantum mechanics, as it provides a
practical way to study relativistic problems.
The interested reader is referred to the references for further readings in
the incredible world of relativistic quantum mechanics, which is a gate to
Quantum Electrodynamics (QED) and Quantum Chromodynamics (QCD).
REFERENCES 25
References
[1] C. D. Anderson, Phys. Rev., 43 (1933), p. 491.
[2] C. G. Darwin, Proc. Roy. Soc (London), A118 (1928), p. 654.
[3] P. Dirac, The Principles of Quantum Mechanics, 4th edition, Oxford
University Press, Ely House, London W.1, 1958.
[4] L. L. Foldy and S. A. Wouthuysen, On the dirac theory of spin 1/2
particles and its non-relativistic limit, Physical Review, 71 (1950), p. 29.
[5] W. Greiner, Relativistic Quantum Mechanics - Wave Equations,
Springer-Verlag, New York, 1990.
[6] D. Ritchie, Advanced quantum physics lectures 2004/5. Semiconductor
Physics Group, University of Cambridge
http://www.sp.phy.cam.ac.uk/dar11/pdf/.
[7] M. Rose, Relativistic Electron Theory, John Wiley & Sons, Inc., New
York, 1961.
[8] S. Schweber, An Introduction to Relativistic Quantum Field Theory,
Row, Peterson and Company, Elmsford, New York, 1961.