
Advanced Quantum Mechanics course sequence · Interactive lesson
From the Pauli field to occupation numbers on any basis
Every many-electron calculation in the rest of this unit is written in this language, so we build it once and carefully: why an electron field far below 1 MeV may keep its particle number fixed, and how kets that only count occupations, with √(n + 1) for bosons and a sign string for fermions, reproduce every state QM-II symmetrised.
UAQM-10.01 · Lesson 1 of 9 in this unit. Position is not a completion score.Build the model
Count the particles in each orbital, and let the algebra keep the symmetry.
The key idea
An occupation-number state lists, for an ordered set of orthonormal orbitals, how many identical particles occupy each; a creation operator raises one occupation, with a factor √(n + 1) for bosons and, for fermions, a −1 for each occupied orbital earlier in the order.
Example. With spin-orbitals ordered 1s↑, 1s↓, 2s↑, 2s↓, helium's 1s↑2s↓ determinant is |1, 0, 0, 1⟩ = c†₁c†₄|0⟩. Adding an electron to 2s↑ gives c†₃|1, 0, 0, 1⟩ = −|1, 0, 1, 1⟩: one occupied orbital, 1s↑, precedes 2s↑.
The complete physical model and assumptions
Unit 9's Dirac field makes and removes electron-positron pairs, so electron number alone was not conserved there. Atoms, molecules and solids trade electronvolts to tens of keV, far below the 2mc² = 1.022 MeV a real pair costs, so we drop the pair terms and the positron operators with them, and reduce the four-component field to two components with Unit 6's result: the Pauli field, whose number operator commutes with the Hamiltonian. The plane waves of Unit 9 can then be traded for any orthonormal orbitals. A ket recording only how many particles occupy each orbital holds exactly what QM-II's symmetrised states held, since identical particles carry no other labels. Writing those states with their 1/√N! and defining a creation operator as "add this orbital to the list" derives √(n + 1) for bosons and, for fermions, a factor −1 for every occupied orbital that precedes the new one in a fixed order, which is just the row reordering of a Slater determinant. The derivation never asks which orbitals were chosen, so the anticommutator is δᵢⱼ on every orthonormal basis, and QM-II's determinant is c†₁ c†₂ … c†N|0⟩. The model stops where pairs come back: above 1.022 MeV, at the precision where virtual pairs shift levels, as vacuum polarisation lowers hydrogen's 2S level by about 27 MHz, and, for the two-component form, in the inner shells of heavy atoms, where Zα is no longer small.
1Below 1.022 MeV the electron number is fixed
Work in SI units; four-vectors appear only when recalling Unit 9, with the metric (+, −, −, −). Unit 9's Dirac field holds bₚₛ, which removes an electron, and d†ₚₛ, which creates a positron, so a Hamiltonian built from it has pieces b†d† that make a pair and db that remove one, each linking states at least 2mc² = 1.022 MeV apart. Atoms come nowhere near: ionising hydrogen costs 13.6 eV, 1.33 × 10⁻⁵ of the threshold, and even lead's 1s electrons, bound by 88.0 keV, reach only 0.086. Energy conservation forbids real pairs, and we drop the virtual ones too, the no-pair approximation. What remains commutes with N = Σ b†ₚₛ bₚₛ, so Fock space splits into sectors of fixed electron number, and a neutral atom of nuclear charge Z lives entirely in the sector N = Z. The neglect has a measured price, quoted rather than derived: vacuum polarisation, the leading virtual-pair effect, lowers hydrogen's 2S level by about 27 MHz, 2.6% of the measured 1057.8 MHz Lamb shift.
2The two-component Pauli field, quoted from Unit 6
With the d's gone only positive-energy modes remain, and Unit 6's Foldy-Wouthuysen rotation separates their two large components from two small ones, smaller by about |p|/2mc. That reduction is quoted here, not repeated: the electron field becomes a two-component Pauli field. In a box of volume V with periodic walls the momenta are discrete, bₚₛ is dimensionless with Unit 9's anticommutator, and ψₛ(r) = (1/√V) Σₚ e(ip⋅r/ħ) bₚₛ carries m(−3/2), so ψ†ψ is an electron density in m⁻³ whose integral is N. The free-field limit is exact: each mode has energy √(p²c² + m²c⁴) = mc² + p²/2m − p⁴/(8m³c²) + …, the constant mc²N set aside and the next term Unit 6's kinetic correction. With a potential, Unit 6's spin-orbit and Darwin terms enter as one-body operators. The expansion parameter for a 1s electron is Zα: 0.0073 in hydrogen but 0.60 in lead, where two components stop being adequate although N is still conserved.
3Occupation numbers carry everything physical
First quantisation labels particles: particle 1 in orbital i₁, particle 2 in i₂, and so on. For identical particles symmetrisation erases those labels, and what survives is how many particles sit in each orbital. Choose any orthonormal one-particle set φ₁, φ₂, … (spin-orbitals, for electrons) and fix its order once. The ket |n₁, n₂, …⟩ has nᵢ particles in φᵢ, with nᵢ = 0, 1, 2, … for bosons and 0 or 1 for fermions, and N = n₁ + n₂ + …, while the vacuum |0⟩ has every nᵢ = 0; Fock space is the sum of all the fixed-N sectors. Counting tests the bookkeeping: M orbitals hold C(M, N) fermion states of N particles but C(M + N − 1, N) boson states. Carbon's 2p² configuration has M = 6 spin-orbitals and N = 2, so 15 fermion states, exactly the 9 + 5 + 1 sublevels of the measured ³P, ¹D and ¹S terms, the last two lying 1.26 eV and 2.68 eV above the ground level. Bosons would have given 21 states, and distinguishable particles 36.
4Bosons: the √(n + 1) derived
Write QM-II's symmetrised state with the 1/√N! a Slater determinant carries: |i₁ … iN⟩S = (1/√N!) ΣP P|i₁⟩|i₂⟩ … |iN⟩, summed over all N! permutations P of the particles. Its squared norm counts the permutations that leave the list unchanged, n₁! n₂! …, so the normalised ket is |n₁, n₂, …⟩ = |i₁ … iN⟩S / √(n₁! n₂! …). Define a†ₖ as adding k to the list, |i₁ … iN⟩S → |k i₁ … iN⟩S. Only nₖ! changes, to (nₖ + 1)!, so a†ₖ|…, nₖ, …⟩ = √(nₖ + 1)|…, nₖ + 1, …⟩. The adjoint lowers with √nₖ, a†ₖ aₖ counts nₖ, and aₖ a†ₗ − a†ₗ aₖ = δₖₗ, Unit 9's algebra for scalar modes. For occupations (2, 1, 0), a†₁ gives √3|3, 1, 0⟩: a third boson joins a doubly occupied orbital with three times the probability of joining an empty one. The factor is measured: two photons meeting at a 50:50 beam splitter leave together, each exit with probability |√2/2|² = 1/2, the Hong-Ou-Mandel effect.
5Fermions: the sign is a reordering of rows
Antisymmetrise instead: |i₁ … iN⟩A = (1/√N!) ΣP (−1)P P|i₁⟩ … |iN⟩ is QM-II's Slater determinant, normalised when the orbitals differ and zero when one repeats. Let |n₁, n₂, …⟩ be the determinant with its occupied orbitals listed in the fixed order, and define c†ₖ as adding k as the top row. To restore the order, row k must be swapped past every occupied orbital before it, each swap of two rows flips a determinant's sign, and if k is already occupied two rows coincide. Hence c†ₖ|…, nₖ, …⟩ = (−1)(n₁ + … + nₖ₋₁)(1 − nₖ)|…, nₖ + 1, …⟩, and its adjoint cₖ carries the same sign. Take orbital k before orbital l: c†ₗ sees k occupied only if c†ₖ acted first, so the two orders differ by −1 and c†ₖ c†ₗ = −c†ₗ c†ₖ, with (c†ₖ)² = 0. The same count gives cₖ c†ₗ = −c†ₗ cₖ for k ≠ l, since only one of the two operators sees the other's orbital, and with cₖ c†ₖ + c†ₖ cₖ = (1 − nₖ) + nₖ = 1 the algebra is complete. For example, c†₂|1, 0, 1, 1⟩ = −|1, 1, 1, 1⟩, since one occupied orbital precedes orbital 2.
6Any orthonormal basis, and the determinant as c†₁ … c†N|0⟩
Neither derivation asked what the orbitals are, only that they are orthonormal and ordered. So cᵢ c†ⱼ + c†ⱼ cᵢ = δᵢⱼ holds for plane waves, where it is Unit 9's algebra for bₚₛ, for hydrogenic orbitals, and for the Hartree-Fock orbitals this unit will compute. Orthonormality matters. A determinant is linear in each row, so creating a general one-particle state g gives c†(g) = Σₖ ⟨k|g⟩ c†ₖ, and the anticommutator of c(f) with c†(g) is the overlap ⟨f|g⟩. For two hydrogen 1s orbitals 1.4 a₀ apart that overlap is 0.753, not 0, which is why such orbitals are orthogonalised before use; topic 10.02 develops the change of basis. The order is a convention: renumbering the orbitals multiplies each ket by a fixed ±1, which changes the signs of individual matrix elements but no probability or energy. Building QM-II's determinant row by row gives c†₁ c†₂ … c†N|0⟩ = |1 2 … N⟩A, and N = 1 returns c†ᵢ|0⟩ = |φᵢ⟩, the one-particle limit, with no sign left to track.
Key equations
Read the units, assumptions and limits before substituting.
Pair threshold
2mc² = 1.022 MeV = 1.637 × 10⁻¹³ J
Derived from energy conservation: below it no real pair can form, so Unit 9's d operators drop out and N = Σ b†b commutes with H. Virtual pairs are neglected.
m = 9.109 × 10⁻³¹ kg, c = 2.998 × 10⁸ m s⁻¹; measured as the two 511 keV photons of positron annihilation at restThe Pauli field in a box
ψₛ(r) = (1/√V) Σₚ e(ip⋅r/ħ) bₚₛ, s = ↑, ↓
Quoted from Unit 6: Unit 9's field with d† dropped and the small components removed. ψ†ψ is the electron density in m⁻³, and its integral over the box is N.
ψ in m(−3/2); V the box volume in m³; p in kg m s⁻¹, discrete in the box; bₚₛ dimensionless, with Unit 9's anticommutatorBoson creation
a†ₖ |…, nₖ, …⟩ = √(nₖ + 1) |…, nₖ + 1, …⟩
Derived from QM-II's symmetrised state with its 1/√N!, whose squared norm is n₁! n₂! …; the n + 1 that appears in rates is Bose enhancement.
nₖ = 0, 1, 2, … bosons in orbital k of any orthonormal set; aₖ lowers with √nₖ; the operators are dimensionlessFermion creation and its sign string
c†ₖ |…, nₖ, …⟩ = (−1)(n₁ + n₂ + … + nₖ₋₁) (1 − nₖ) |…, nₖ + 1, …⟩
Derived: c†ₖ adds orbital k as the top row of the Slater determinant, which must pass one row for each occupied earlier orbital. The factor 1 − nₖ is the Pauli principle.
nⱼ = 0 or 1, in an orbital order fixed once; cₖ has the same sign, with nₖ in place of 1 − nₖ and nₖ − 1 in place of nₖ + 1The anticommutator on any orthonormal basis
cᵢ c†ⱼ + c†ⱼ cᵢ = δᵢⱼ
Derived from the sign rule without saying what the orbitals are, so the algebra Unit 9 found for plane waves holds for hydrogenic, Hartree-Fock or any other orbitals.
i, j label orthonormal spin-orbitals, δᵢⱼ = 1 or 0; for non-orthogonal orbitals the right side becomes the overlap ⟨i|j⟩QM-II's Slater determinant in Fock space
⟨x₁, …, xN|c†₁ c†₂ … c†N|0⟩ = (1/√N!) det[φᵢ(xⱼ)]
Derived by building the determinant one row per operator. Reversing two operators flips the sign, and N = 1 gives c†ᵢ|0⟩ = |φᵢ⟩, the one-particle limit.
xⱼ = (rⱼ, sⱼ) for electron j; φᵢ in m(−3/2), so the amplitude carries m(−3N/2); |0⟩ holds no electronsInteractive lab
Predict first. Explore the model. Compare the result.
Explore the model
Try this. Keep s = 5, so orbitals 1 and 3 are filled, and step k through 2, 4 and 5: c†₂ gives −1 behind one ring, c†₄ and c†₅ give +1 behind two. Then set the operator to 1 and remove the electron in orbital 3: one ring, −1 again, while the boson factor is √1 = 1. Bosons never take a sign; adding one to an orbital that already holds one gives √2.
Live results
- OCCUPIED BEFORE k
- 1
- FERMION COEFFICIENT
- -1
- BOSON FACTOR, SAME nₖ
- 1.000
- PARTICLES IN STATE, N
- 2
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. Pattern s = n₁ + 2n₂ + 4n₃ + 8n₄ + 16n₅: 5; Orbital acted on, k: 2; Operator: 0 = c†ₖ, 1 = cₖ: 0
This experiment is kept only while this page is open. It does not change saved course progress.
Catch the common trap
Fermion operators on different orbitals act on different things, so it seems they should commute, as spin operators on different atoms do. They anticommute, and the sign string is why: once kets stop carrying particle labels, the string is the only place the antisymmetry of the wavefunction is stored. Make c†ₖ and c†ₗ commute while keeping (c†ₖ)² = 0 and you have hard-core bosons, whose two-particle states are symmetric. For helium's 1s2s states built from |1, 0, 0, 1⟩ and |0, 1, 1, 0⟩, the spatial symmetries attached to singlet and triplet would then swap, and the theory would put the singlet below the triplet, against the measured order, 2³S lying 0.796 eV below 2¹S. Exclusion, c†² = 0, is not the same as antisymmetry.
Practice & worked examples
3 authored examples. Make an attempt, then reveal the reasoning one step at a time.
EasyExample 1
Decide whether a number-conserving Pauli field can describe each case by comparing the energy in play with 2mc²: (a) ionising hydrogen, 13.6 eV; (b) lead's 1s electrons, bound by 88.0 keV; (c) a 1.332 MeV gamma ray from cobalt-60 absorbed in lead. Where pairs are possible, find the kinetic energy the pair can share.
Sketch your answer or reasoning, then compare it with the authored solution. Your writing is not automatically graded or saved.
0 of 4 steps revealed.
- The threshold is 2mc² = 2 × 0.511 MeV = 1.022 MeV, the energy of the two 511 keV photons seen when a positron annihilates at rest.
- (a) 13.6 eV ÷ (1.022 × 10⁶ eV) = 1.33 × 10⁻⁵. No real pair can form, electron number is conserved, and with Zα = 0.0073 the two-component reduction is excellent.
- (b) 88.0 keV ÷ 1022 keV = 0.0861. Still no real pair, so N is conserved. But Zα = 82/137.0 = 0.598, so (Zα)² = 0.358 and the (v/c)² expansion behind the Pauli field is poor: lead's inner shells need a four-component, no-pair treatment, not a two-component field.
- (c) 1.332 MeV ÷ 1.022 MeV = 1.30, above threshold. In the Coulomb field of a nucleus, which takes up the recoil momentum, the photon can create an electron-positron pair, so electron number is not fixed. The pair shares 1.332 MeV − 1.022 MeV = 0.310 MeV of kinetic energy, nuclear recoil neglected.
Answer. (a) Pauli field fine, ratio 1.33 × 10⁻⁵; (b) N conserved, ratio 0.0861, but (Zα)² = 0.358 calls for four components; (c) ratio 1.30, pairs possible with 0.310 MeV to share, so no fixed-N description.
MediumExample 2
Three spin-orbitals are ordered 1, 2, 3. Using only the sign rule, (a) write c†₃c†₁|0⟩ as an occupation ket and as a determinant; (b) check that c†₁c†₃ + c†₃c†₁ gives zero on |0, 1, 0⟩, that c₁c†₃ + c†₃c₁ gives zero on |1, 0, 0⟩, and that c₂c†₂ + c†₂c₂ leaves |1, 0, 1⟩ unchanged; (c) compare c†₃c₁ acting on |1, 1, 0⟩ and on |1, 0, 0⟩.
Sketch your answer or reasoning, then compare it with the authored solution. Your writing is not automatically graded or saved.
0 of 5 steps revealed.
- (a) c†₁|0⟩ = |1, 0, 0⟩, nothing preceding orbital 1. Then c†₃ meets one occupied orbital before it, so c†₃c†₁|0⟩ = −|1, 0, 1⟩. As a determinant, row 3 above row 1 gives (1/√2)[φ₃(x₁)φ₁(x₂) − φ₁(x₁)φ₃(x₂)], which is −1 times the standard-order determinant of orbitals 1 and 3.
- (b) On |0, 1, 0⟩: c†₃ finds orbital 2 occupied, giving −|0, 1, 1⟩, and c†₁ then gives −|1, 1, 1⟩. In the other order c†₁ gives +|1, 1, 0⟩, and c†₃ then finds two occupied orbitals, giving +|1, 1, 1⟩. The sum is zero.
- On |1, 0, 0⟩: c†₃ gives −|1, 0, 1⟩ and c₁ then gives −|0, 0, 1⟩; c₁ first gives |0, 0, 0⟩ and c†₃ then gives +|0, 0, 1⟩. The sum vanishes, as δ₁₃ = 0 requires.
- On |1, 0, 1⟩: c†₂ gives −|1, 1, 1⟩, orbital 1 preceding it, and c₂ then gives (−1)(−1)|1, 0, 1⟩ = +|1, 0, 1⟩. Acting first, c₂ gives zero, since orbital 2 is empty. So the state comes back unchanged, as δ₂₂ = 1 requires.
- (c) c†₃c₁|1, 1, 0⟩ = c†₃|0, 1, 0⟩ = −|0, 1, 1⟩, whereas c†₃c₁|1, 0, 0⟩ = c†₃|0, 0, 0⟩ = +|0, 0, 1⟩. The same transfer from orbital 1 to orbital 3 carries −1 when orbital 2 is filled: a spectator electron sets the sign of the matrix element.
Answer. c†₃c†₁|0⟩ = −|1, 0, 1⟩; both cross anticommutators vanish on their test states and c₂c†₂ + c†₂c₂ acts as 1 on |1, 0, 1⟩; c†₃c₁ gives −|0, 1, 1⟩ with orbital 2 filled and +|0, 0, 1⟩ without.
HardExample 3
Order helium's four lowest spin-orbitals as 1 = 1s↑, 2 = 1s↓, 3 = 2s↑, 4 = 2s↓. (a) Count the two-electron states in this basis. (b) From |1, 0, 0, 1⟩ and |0, 1, 1, 0⟩ build the two MS = 0 states of 1s2s with definite spatial symmetry. (c) Show how reversing one operator pair swaps them, and use the measured 2³S and 2¹S energies, 19.820 eV and 20.616 eV above the ground state, to say which is lower and by how much.
Sketch your answer or reasoning, then compare it with the authored solution. Your writing is not automatically graded or saved.
0 of 5 steps revealed.
- Excitation energies near 20 eV are 2 × 10⁻⁵ of 2mc², so N = 2 is fixed. Two electrons in four spin-orbitals give C(4, 2) = 6 kets: |1, 1, 0, 0⟩ (1s²), |0, 0, 1, 1⟩ (2s²), and four from 1s2s, namely |1, 0, 1, 0⟩ with MS = +1, |0, 1, 0, 1⟩ with MS = −1, and |1, 0, 0, 1⟩ and |0, 1, 1, 0⟩ with MS = 0.
- Write a = 1s, b = 2s, and ↑↓ for electron 1 up and electron 2 down. Then |1, 0, 0, 1⟩ = c†₁c†₄|0⟩ = (1/√2)[a(1)b(2)↑↓ − b(1)a(2)↓↑] and |0, 1, 1, 0⟩ = c†₂c†₃|0⟩ = (1/√2)[a(1)b(2)↓↑ − b(1)a(2)↑↓], each with sign +1, since no occupied orbital precedes the one being filled.
- The difference over √2 is [a(1)b(2) + b(1)a(2)]/√2 times (↑↓ − ↓↑)/√2: symmetric in space with the spin singlet, the 2¹S. The sum over √2 is [a(1)b(2) − b(1)a(2)]/√2 times (↑↓ + ↓↑)/√2: antisymmetric in space with the MS = 0 triplet, partner of |1, 0, 1, 0⟩ and |0, 1, 0, 1⟩ in the 2³S.
- The trap: writing each pair spin-up first makes the second term c†₃c†₂|0⟩, which is −|0, 1, 1, 0⟩ because orbital 2 now precedes orbital 3. Then (c†₁c†₄ − c†₃c†₂)|0⟩/√2 is the triplet, not the singlet: one reversed pair of operators swaps the labels.
- Measured: 20.616 eV − 19.820 eV = 0.796 eV, with 2³S lower. Its spatial factor vanishes when the electrons meet, which reduces their repulsion, the exchange effect QM-II described. So (|1, 0, 0, 1⟩ + |0, 1, 1, 0⟩)/√2 is the lower MS = 0 state.
Answer. 6 states. 2¹S = (|1, 0, 0, 1⟩ − |0, 1, 1, 0⟩)/√2 and 2³S (MS = 0) = (|1, 0, 0, 1⟩ + |0, 1, 1, 0⟩)/√2, the triplet lower by 0.796 eV; reversing one operator pair flips the relative sign and swaps them.
Quick check
Select an answer and explain it before checking.
Review & continue
An occupation-number state lists, for an ordered set of orthonormal orbitals, how many identical particles occupy each; a creation operator raises one occupation, with a factor √(n + 1) for bosons and, for fermions, a −1 for each occupied orbital earlier in the order.
- 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.