
Advanced Quantum Mechanics course sequence · Interactive lesson
Plane-wave spinors u(p, s) and v(p, s) at any momentum
From here to the end of the course every Dirac amplitude, from the Mott cross-section to the hole picture of the positron, is written with these four-component columns. So we build them once and carefully: solve one block for the other, choose a normalisation knowing what it costs, and prove the orthogonality the later units lean on.
UAQM-04.06 · Lesson 6 of 9 in this unit. Position is not a completion score.Build the model
Solve one 2 × 2 block for the other: the lower pair is cσ⋅p/(E + mc²) times the upper.
The key idea
The plane-wave spinors u(p, s) and v(p, s) are the constant four-component columns that make u e(−ipμxμ/ħ) and v e(+ipμxμ/ħ) free solutions of the Dirac equation, of energy +E and −E, with s labelling two independent spin states.
Example. An electron at v = 0.6c along z has cp = 0.75 mc² and E = 1.25 mc², so u(p, ↑) = √(mc)(1.5, 0, 0.5, 0): the lower pair is a third of the upper, u†u = 2.5 mc = 2E/c, and ū u = (2.25 − 0.25) mc = 2 mc.
The complete physical model and assumptions
A free plane wave turns the Dirac equation into a 4 × 4 eigenvalue problem, and in the Dirac representation that problem is two coupled 2 × 2 equations, (E − mc²)uA = cσ⋅p uB and (E + mc²)uB = cσ⋅p uA. For positive energy the second can always be solved, because E + mc² never falls below 2mc², so the upper pair is left free, any two-spinor χₛ, and the lower pair is fixed at cσ⋅p χₛ/(E + mc²). That one line carries the topic. It says two spin states exist at every momentum, derived rather than assumed. It says the lower pair is about v/2c of the upper for a slow electron and equal to it in size for a fast one, so large and small components describe a speed, not the equation. The negative-energy solution, written with e(+ipμxμ/ħ), has energy −E and momentum −p and swaps the roles of the pairs. A normalisation must then be chosen: u†u = 2E/c makes the density grow like E, as a moving density must, keeps ū u = 2mc at every momentum, and survives m → 0. The construction stops at three borders. These are free solutions, and any potential mixes u with v. Their behaviour under boosts is assumed until Unit 5 proves it. And the momentum and spin written on v are names borrowed from the positron of Unit 8, which nothing in this lesson justifies.
1One plane wave, two 2 × 2 blocks
Units are SI with c and ħ kept; xμ = (ct, x), the metric is diag(1, −1, −1, −1), and pμxμ = Et − p⋅x. Put ψ = u e(−ipμxμ/ħ) into iħ∂ψ/∂t = (−iħc α⋅∇ + βmc²)ψ: the derivatives return E and p, leaving Eu = (cα⋅p + βmc²)u. In the Dirac representation, with u = (uA ; uB), this is (E − mc²)uA = cσ⋅p uB and (E + mc²)uB = cσ⋅p uA. Multiply the first by E + mc² and use the second: (E² − m²c⁴)uA = c²(σ⋅p)²uA = c²p²uA, so E = ±√(p²c² + m²c⁴), the Klein-Gordon dispersion recovered. For positive E solve the second block, never the first: E + mc² is at least 2mc², while E − mc² vanishes at rest, where the first block reads 0 = 0. The upper pair is then free, any two-spinor χₛ, and the lower pair is fixed by it. Two independent χₛ give two spin states at every momentum: derived, not assumed.
2How small the small pair is
Because (σ⋅p)² = p², σ⋅p/p is unitary, so |uB|/|uA| = cp/(E + mc²) for either spin. With γ = E/mc² and β = v/c it is √((γ − 1)/(γ + 1)) = γβ/(γ + 1) = β/2 + β³/8 + …: 0.0501 at 0.1c. At 0.6c it is exactly 1/3, and for E ≫ mc² it tends to 1 − mc²/E, so an electron of 45.6 GeV, half the measured Z mass, has pairs equal to 1.1 parts in 10⁵. In rapidity η = artanh β it is tanh(η/2), a half angle Unit 5 traces to spinor boosts. The lower pair's share of the density is (E − mc²)/2E, near v²/4c² when slow. At v = αc, the speed scale of hydrogen, the share is α²/4 = 1.33 × 10⁻⁵. The measured n = 2 fine-structure splitting of hydrogen, 10.969 GHz or 4.54 × 10⁻⁵ eV, is 1.33 × 10⁻⁵ of the 3.40 eV binding energy: relativistic corrections are as small as the lower pair says. That fixes a scale, not the splitting, which Units 6 and 7 compute.
3The other block gives v(p, s)
For the negative branch write ψ = v e(+ipμxμ/ħ) with E positive. Now iħ∂/∂t returns −E and −iħ∇ returns −p, so the equation is −Ev = (−cα⋅p + βmc²)v, with blocks (E + mc²)vA = cσ⋅p vB and (E − mc²)vB = cσ⋅p vA. The factor that never vanishes now multiplies the upper pair, so the lower pair is free: vB = ηₛ and vA = cσ⋅p ηₛ/(E + mc²). Nothing else changes: v is u with the roles of the pairs exchanged, and at p = 0 it reduces to √(2mc)(0 ; ηₛ), the negative-energy rest spinors of the last lesson. The labels need care. The wave carries momentum −p and energy −E, so v(p, s) is an eigenvector of H(−p), not of H(p). With the usual choice ηₛ = −iσy χₛ*, which sends (1, 0) to (0, 1), v(0, ↑) has Σz = −1. Writing p and s on v records the momentum and spin a positron will have, a convention justified only in Unit 8.
4Fixing the normalisation, and what the choice costs
Any multiple of a solution is a solution, so normalisation is a decision. With u = N(χₛ ; cσ⋅p χₛ/(E + mc²)), u†u = N²[1 + c²p²/(E + mc²)²] = 2EN²/(E + mc²), since c²p² = (E − mc²)(E + mc²). Choosing u†u = 2E/c gives N = √((E + mc²)/c), and then ū u = |uA|² − |uB|² = 2mc at every p; with c = 1 the same choice reads u†u = 2E and ū u = 2m. Why E: a box holding one particle, seen moving, is contracted by γ = E/mc², so its density is γ times larger. The current agrees: c u†αu = 2pc, so flux over density is pc²/E, the particle's velocity, and (c u†u, c u†αu) = 2c(E/c, p) is a multiple of the four-momentum, covariance being assumed until Unit 5. Other choices rescale u by a constant k and every bilinear by k²: ū u = 1 takes k² = 1/(2mc) and has no m → 0 limit; u†u = 1 takes k² = c/2E, and Unit 5 will show that this u is no longer the boosted rest spinor. The factor returns wherever states are counted: one particle in a volume V is u e(−ipμxμ/ħ)/√(2EV/c).
5Orthogonality inside each pair and across them
Inside the u pair, u†(p, s)u(p, s′) = N²χₛ†[1 + c²(σ⋅p)²/(E + mc²)²]χₛ′, and (σ⋅p)² = p² turns the bracket into a number, so orthonormal χ↑, χ↓ give (2E/c)δₛₛ′; the same lines give v†v = (2E/c)δₛₛ′, ū u = 2mc δₛₛ′ and v̄ v = −2mc δₛₛ′. Across the pairs, ū(p, s)v(p, s′) = [N²c/(E + mc²)][χₛ†σ⋅p ηₛ′ − (σ⋅p χₛ)†ηₛ′], and σ⋅p is Hermitian, so the bracket vanishes for every s, s′, p and every choice of η: derived. The unbarred product adds the two terms instead: u†(p, s)v(p, s′) = 2χₛ†(σ⋅p)ηₛ′, which is 0.90 mc for spin up at cp = (0.45, 0, 0.60) mc². The orthogonality the spectral theorem guarantees is between eigenvectors of one Hermitian H(p), and those are u(p, s) and v(−p, s′), whose † product is zero. So u(p, ↑), u(p, ↓), v(−p, ↑) and v(−p, ↓) form an orthogonal basis of the four-component space, and the two u's alone span only half of it.
6Three checks: dimensions, limits and a measured mass
Dimensions: u†u = 2E/c is a momentum, so each entry of u carries √(kg m s⁻¹), and cp/(E + mc²) is a pure number, as the ratio of two parts of one column must be. With the measured electron mass, mₑc² = 0.51099895 MeV, the unit √(mc) used in the figure is 1.653 × 10⁻¹¹ √(kg m s⁻¹). The rest limit: p → 0 returns √(2mc)(χₛ ; 0) and √(2mc)(0 ; ηₛ), the four rest spinors of the last lesson, with u†u = 2mc. The slow limit: uA → √(2mc)χₛ, a Pauli spinor whose density divided by 2mc is the one Quantum Mechanics II normalised to 1, and uB → (σ⋅p/2mc)uA, the small component Unit 6 eliminates to find g = 2. The massless limit: |uA| = |uB| and ū u = 0, while u†u = 2E/c stays finite, so the 2E/c convention has a massless limit where ū u = 1 has none; it is the limit Unit 5 reaches through the massless Weyl equations.
Key equations
Read the units, assumptions and limits before substituting.
Positive-energy spinor
u(p, s) = √((E + mc²)/c) (χₛcσ⋅p χₛ/(E + mc²))
Derived by solving the lower 2 × 2 block, whose factor E + mc² ≥ 2mc² never vanishes. At p = 0 it is √(2mc)(χₛ ; 0), the rest spinor.
χₛ: two-spinor with χₛ†χₛ = 1; E = +√(p²c² + m²c⁴) in J; p in kg m s⁻¹; m in kg; u in √(kg m s⁻¹)Negative-energy spinor
v(p, s) = √((E + mc²)/c) (cσ⋅p ηₛ/(E + mc²)ηₛ)
Derived from the other block, where the never-vanishing factor now multiplies the upper pair, so the lower pair is the free one.
Multiplies e(+ipμxμ/ħ): energy −E, momentum −p. ηₛ = −iσy χₛ*, a label convention; v in √(kg m s⁻¹)Size of the lower pair
|uB|/|uA| = cp/(E + mc²) = √((γ − 1)/(γ + 1))
Derived from (σ⋅p)² = p², so it holds for either spin. It is exactly 1/3 at 0.6c, and equals tanh(η/2) for rapidity η, a half angle Unit 5 explains.
p = |p| in kg m s⁻¹; γ = E/mc², dimensionless; about v/2c for v ≪ c, about 1 − mc²/E for E ≫ mc²Density normalisation
u†(p, s) u(p, s′) = (2E/c) δₛₛ′
Chosen, then shown to hold at every p using c²p² = (E − mc²)(E + mc²). The density grows like E, as a moving box holding one particle contracts by γ.
E/c in kg m s⁻¹; v†(p, s) v(p, s′) is the same; δₛₛ′ = 1 for s = s′ and 0 otherwiseInvariant norm
ū(p, s) u(p, s′) = 2mc δₛₛ′, with ū = u†γ⁰
Derived: γ⁰ subtracts the lower pair, and |uA|² − |uB|² = 2mc at any p. At m = 0 it vanishes, which is why the norm is fixed on u†u instead.
mc in kg m s⁻¹; γ⁰ = β = diag(1, 1, −1, −1); for v the sign flips: v̄(p, s) v(p, s′) = −2mc δₛₛ′Orthogonality across the pairs
ū(p, s) v(p, s′) = 0 for every s and s′
Derived: σ⋅p is Hermitian, so the two cross terms cancel for any η. Traces and spin sums later rely on this barred relation, not on u†v.
Same p; bilinears in kg m s⁻¹. Unbarred, u†(p, s) v(p, s′) = 2χₛ†(σ⋅p)ηₛ′, in general nonzero; u†(p, s) v(−p, s′) = 0Interactive lab
Predict first. Explore the model. Compare the result.
Explore the model
Try this. Drag cp/mc² from 0 to 4: the solid lower pair grows from nothing to 0.78 of the upper entry, u†u climbs with E, and ū u holds at 2. Then sweep θ: σ⋅p moves the lower pair of u between entries 3 and 4, and the open v bars do the same with the pairs swapped.
Live results
- SPEED v/c
- 0.600
- LOWER/UPPER RATIO
- 0.333
- LOW-SPEED GUESS v/2c
- 0.300
- LOWER-PAIR SHARE OF u†u
- 10.0 %
Results follow this lesson’s model and assumptions. Displayed values are rounded.
Predict → change one variable → check
Plan a change before running it. Every other input stays at the saved baseline.
Saved baseline. Momentum cp/mc²: 0.75; Angle θ of p from the z-axis: 37 °
This experiment is kept only while this page is open. It does not change saved course progress.
Catch the common trap
The tempting reading of v(p, s) is a negative-energy electron with momentum p and spin s. The energy −E is right, but both labels are wrong for the solution as written. Its wave e(+ipμxμ/ħ) gives −iħ∇ the eigenvalue −p and iħ∂/∂t the eigenvalue −E, so the solution carries momentum −p, and v(p, s) is an eigenvector of H(−p), not of H(p); that is why u†(p, s)v(p, s′) need not vanish. With ηₛ = −iσy χₛ*, v(0, ↑) has Σz = −1, so its spin is reversed as well. The labels p and s are the momentum and spin of the positron that Unit 8 builds by removing such a state from the filled sea, and until then they are only names. Read the physics off the operators, −iħ∇ on the wave and Σ on the spinor, never off the labels.
Practice & worked examples
3 authored examples. Make an attempt, then reveal the reasoning one step at a time.
EasyExample 1
An electron leaves a 100 kV electron-microscope gun with kinetic energy K = 100 keV, moving along +z with spin up. Build u(p, ↑) in units of √(mc), compare the lower-to-upper ratio with the low-speed estimate v/2c, and find the share of u†u in the lower pair. Take mₑc² = 511.0 keV.
Sketch your answer or reasoning, then compare it with the authored solution. Your writing is not automatically graded or saved.
0 of 6 steps revealed.
- E = K + mc² = 611.0 keV, so γ = E/mc² = 1.1957. Then cp = √(E² − m²c⁴) = √(K(K + 2mc²)) = √(100 × 1122.0) keV = 335.0 keV, and v/c = cp/E = 0.5482.
- With p along z and χ↑ = (1, 0), σ⋅p χ↑ = p(1, 0), so u = √((E + mc²)/c)(1, 0, r, 0) with r = cp/(E + mc²) = 335.0/1122.0 = 0.2985.
- In units of √(mc), √((E + mc²)/c) = √(γ + 1) = 1.4818 and the lower entry is r√(γ + 1) = √(γ − 1) = 0.4424, so u(p, ↑) = √(mc)(1.4818, 0, 0.4424, 0).
- The exact ratio r exceeds the low-speed estimate v/2c = 0.2741 by 8.9%, because r = (v/2c) × 2γ/(γ + 1) and 2γ/(γ + 1) = 1.089 here.
- Norms: u†u = (2.1957 + 0.1957) mc = 2.3914 mc = 2γmc = 2E/c, and ū u = (2.1957 − 0.1957) mc = 2.000 mc. The lower share is 0.1957/2.3914 = 0.0818, which is K/2E = 100/1222.0.
- Dimensions: mc = 2.731 × 10⁻²² kg m s⁻¹, so u†u = 6.531 × 10⁻²² kg m s⁻¹, a momentum, as 2E/c must be.
Answer. u(p, ↑) = √(mc)(1.482, 0, 0.442, 0) at v = 0.548c. The lower pair is 0.299 of the upper, against v/2c = 0.274, and holds 8.2% of u†u = 2E/c = 6.53 × 10⁻²² kg m s⁻¹.
MediumExample 2
An electron has cp = (0.45, 0, 0.60) mc². In units of √(mc), build u(p, ↑) from χ↑ = (1, 0) and v(p, ↑) from η↑ = (0, 1). Check that u solves the equation with energy +E, verify the four norms, and evaluate ū v, u†v and u†(p, ↑)v(−p, ↑).
Sketch your answer or reasoning, then compare it with the authored solution. Your writing is not automatically graded or saved.
0 of 6 steps revealed.
- |cp| = 0.75 mc², so E = √(0.75² + 1) mc² = 1.25 mc² (v = 0.6c), E + mc² = 2.25 mc² and √((E + mc²)/c) = 1.5√(mc). The matrix cσ⋅p/(E + mc²) has rows (0.60, 0.45) and (0.45, −0.60), divided by 2.25.
- u: the lower pair is (0.60, 0.45)/2.25 = (0.2667, 0.2), so u(p, ↑) = √(mc)(1.5, 0, 0.4, 0.3). With H = cα⋅p + βmc², the upper rows give (1.5 + 0.60 × 0.4 + 0.45 × 0.3, 0) = (1.875, 0) and the lower rows (0.60 × 1.5 − 0.4, 0.45 × 1.5 − 0.3) = (0.5, 0.375), both 1.25 times the spinor: Hu = Eu.
- v: the upper pair is (0.45, −0.60)/2.25 = (0.2, −0.2667), so v(p, ↑) = √(mc)(0.3, −0.4, 0, 1.5).
- Norms in units of mc: u†u = 2.25 + 0.16 + 0.09 = 2.50 = 2E/c and ū u = 2.25 − 0.25 = 2.00; v†v = 2.50 and v̄ v = 0.25 − 2.25 = −2.00.
- Across: ū v = (1.5)(0.3) + 0 − 0 − (0.3)(1.5) = 0, but u†v = 0.45 + 0.45 = 0.90 mc, which is 2χ↑†(σ⋅p)η↑ = 2pₓ.
- v(−p, ↑) = √(mc)(−0.3, 0.4, 0, 1.5) gives u†(p, ↑)v(−p, ↑) = −0.45 + 0.45 = 0, and the same row check gives H(p)v(−p, ↑) = −1.25 mc² v(−p, ↑): it is the −E eigenvector of H(p).
Answer. u(p, ↑) = √(mc)(1.5, 0, 0.4, 0.3) and v(p, ↑) = √(mc)(0.3, −0.4, 0, 1.5). u†u = v†v = 2.50 mc, ū u = 2.00 mc, v̄ v = −2.00 mc and ū v = 0, while u†v = 0.90 mc and u†(p)v(−p) = 0.
HardExample 3
A naive model puts a fast electron's Pauli spinor in the upper pair only: w = (1, 0, 0, 0) times e(ipz/ħ), for kinetic energy K = 1.00 MeV along +z. Expand w in the eigenvectors of H(p), find the fraction of its norm on the positive-energy branch, check it against ⟨H⟩ computed directly, and find its limits as K → 0 and K → ∞. Take mₑc² = 0.5110 MeV.
Sketch your answer or reasoning, then compare it with the authored solution. Your writing is not automatically graded or saved.
0 of 6 steps revealed.
- E = K + mc² = 1.511 MeV and cp = √(K(K + 2mc²)) = 1.422 MeV, so r = cp/(E + mc²) = 1.422/2.022 = 0.7032, and v = 0.941c.
- For p along z, σ⋅p = pσz. H(p) has u(p, ↑) = N(1, 0, r, 0) and u(p, ↓) = N(0, 1, 0, −r) at +E, and v(−p, ↑) = N(0, r, 0, 1) and v(−p, ↓) = N(r, 0, −1, 0) at −E, built from η↑ = (0, 1) and η↓ = (−1, 0). All four have norm 2E/c and are mutually orthogonal, so they are a basis.
- Only two overlaps survive: u(p, ↑)†w = N and v(−p, ↓)†w = Nr. Dividing each squared overlap by the norm 2E/c, with N² = (E + mc²)/c, gives f₊ = (E + mc²)/2E = 0.669 and f₋ = r²(E + mc²)/2E = (E − mc²)/2E = 0.331, which sum to 1.
- Check: ⟨H⟩ = w†(cα⋅p + βmc²)w = mc², because α only links the upper pair to the lower and w has no lower pair. The expansion gives E(f₊ − f₋) = 1.511 MeV × 0.3382 = 0.511 MeV. They agree.
- The negative-energy part is v(−p, ↓), yet Σz acting on (r, 0, −1, 0) returns +1 times it: as a solution it has spin up, and the ↓ is the positron's label from the ηₛ convention.
- Limits: f₋ = K/2E → 0 as K → 0, where w becomes the rest spinor, and f₋ → 1/2 as K → ∞. At 1.00 MeV a third of the naive spinor lies on the negative-energy branch.
Answer. f₊ = (E + mc²)/2E = 0.669 and f₋ = (E − mc²)/2E = 0.331, all of it in v(−p, ↓). ⟨H⟩ = E(f₊ − f₋) = 0.511 MeV = mc², as computed directly. f₋ → 0 as K → 0 and f₋ → 1/2 as K → ∞.
Quick check
Select an answer and explain it before checking.
Review & continue
The plane-wave spinors u(p, s) and v(p, s) are the constant four-component columns that make u e(−ipμxμ/ħ) and v e(+ipμxμ/ħ) free solutions of the Dirac equation, of energy +E and −E, with s labelling two independent spin states.
- Explain the relationship without looking at the equation.
- Check a sign, a unit and a model assumption in your working.
- Return to the lab or worked example if a step is still unclear.