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In
physics Physics is the natural science that studies matter, its fundamental constituents, its motion and behavior through space and time, and the related entities of energy and force. "Physical science is that department of knowledge which r ...
, a phonon is a
collective excitation In physics, quasiparticles and collective excitations are closely related emergent phenomena arising when a microscopically complicated system such as a solid behaves as if it contained different weakly interacting particles in vacuum. For ex ...
in a periodic,
elastic Elastic is a word often used to describe or identify certain types of elastomer, elastic used in garments or stretchable fabrics. Elastic may also refer to: Alternative name * Rubber band, ring-shaped band of rubber used to hold objects togeth ...
arrangement of
atom Every atom is composed of a nucleus and one or more electrons bound to the nucleus. The nucleus is made of one or more protons and a number of neutrons. Only the most common variety of hydrogen has no neutrons. Every solid, liquid, gas, and ...
s or
molecule A molecule is a group of two or more atoms held together by attractive forces known as chemical bonds; depending on context, the term may or may not include ions which satisfy this criterion. In quantum physics, organic chemistry, and bioch ...
s in
condensed matter Condensed matter physics is the field of physics that deals with the macroscopic and microscopic physical properties of matter, especially the solid and liquid phases which arise from electromagnetic forces between atoms. More generally, the su ...
, specifically in
solid Solid is one of the State of matter#Four fundamental states, four fundamental states of matter (the others being liquid, gas, and Plasma (physics), plasma). The molecules in a solid are closely packed together and contain the least amount o ...
s and some
liquid A liquid is a nearly incompressible fluid that conforms to the shape of its container but retains a (nearly) constant volume independent of pressure. As such, it is one of the four fundamental states of matter (the others being solid, gas, a ...
s. A type of
quasiparticle In physics, quasiparticles and collective excitations are closely related emergent phenomena arising when a microscopically complicated system such as a solid behaves as if it contained different weakly interacting particles in vacuum. For exam ...
, a phonon is an
excited state In quantum mechanics, an excited state of a system (such as an atom, molecule or nucleus) is any quantum state of the system that has a higher energy than the ground state (that is, more energy than the absolute minimum). Excitation refers to a ...
in the
quantum mechanical Quantum mechanics is a fundamental theory in physics that provides a description of the physical properties of nature at the scale of atoms and subatomic particles. It is the foundation of all quantum physics including quantum chemistry, qua ...
quantization of the modes of vibrations for elastic structures of interacting particles. Phonons can be thought of as quantized
sound waves In physics, sound is a vibration that propagates as an acoustic wave, through a transmission medium such as a gas, liquid or solid. In human physiology and psychology, sound is the ''reception'' of such waves and their ''perception'' by the ...
, similar to
photons A photon () is an elementary particle that is a quantum of the electromagnetic field, including electromagnetic radiation such as light and radio waves, and the force carrier for the electromagnetic force. Photons are massless, so they alway ...
as quantized
light waves Light or visible light is electromagnetic radiation that can be perceived by the human eye. Visible light is usually defined as having wavelengths in the range of 400–700 nanometres (nm), corresponding to frequencies of 750–420 terahe ...
. The study of phonons is an important part of condensed matter physics. They play a major role in many of the physical properties of condensed matter systems, such as
thermal conductivity The thermal conductivity of a material is a measure of its ability to conduct heat. It is commonly denoted by k, \lambda, or \kappa. Heat transfer occurs at a lower rate in materials of low thermal conductivity than in materials of high thermal ...
and
electrical conductivity Electrical resistivity (also called specific electrical resistance or volume resistivity) is a fundamental property of a material that measures how strongly it resists electric current. A low resistivity indicates a material that readily allow ...
, as well as in models of
neutron scattering Neutron scattering, the irregular dispersal of free neutrons by matter, can refer to either the naturally occurring physical process itself or to the man-made experimental techniques that use the natural process for investigating materials. Th ...
and related effects. The concept of phonons was introduced in 1932 by
Soviet The Soviet Union,. officially the Union of Soviet Socialist Republics. (USSR),. was a List of former transcontinental countries#Since 1700, transcontinental country that spanned much of Eurasia from 1922 to 1991. A flagship communist state, ...
physicist
Igor Tamm Igor Yevgenyevich Tamm ( rus, И́горь Евге́ньевич Тамм , p=ˈiɡərʲ jɪvˈɡʲenʲjɪvitɕ ˈtam , a=Ru-Igor Yevgenyevich Tamm.ogg; 8 July 1895 – 12 April 1971) was a Soviet physicist who received the 1958 Nobel Prize in ...
. The name ''phonon'' comes from the
Greek Greek may refer to: Greece Anything of, from, or related to Greece, a country in Southern Europe: *Greeks, an ethnic group. *Greek language, a branch of the Indo-European language family. **Proto-Greek language, the assumed last common ancestor ...
word (), which translates to ''sound'' or ''voice'', because long-wavelength phonons give rise to
sound In physics, sound is a vibration that propagates as an acoustic wave, through a transmission medium such as a gas, liquid or solid. In human physiology and psychology, sound is the ''reception'' of such waves and their ''perception'' by the ...
. The name is analogous to the word ''
photon A photon () is an elementary particle that is a quantum of the electromagnetic field, including electromagnetic radiation such as light and radio waves, and the force carrier for the electromagnetic force. Photons are massless, so they always ...
''.


Definition

A phonon is the
quantum mechanical Quantum mechanics is a fundamental theory in physics that provides a description of the physical properties of nature at the scale of atoms and subatomic particles. It is the foundation of all quantum physics including quantum chemistry, qua ...
description of an elementary
vibration Vibration is a mechanical phenomenon whereby oscillations occur about an equilibrium point. The word comes from Latin ''vibrationem'' ("shaking, brandishing"). The oscillations may be periodic function, periodic, such as the motion of a pendulum ...
al motion in which a
lattice Lattice may refer to: Arts and design * Latticework, an ornamental criss-crossed framework, an arrangement of crossing laths or other thin strips of material * Lattice (music), an organized grid model of pitch ratios * Lattice (pastry), an orna ...
of atoms or molecules uniformly oscillates at a single
frequency Frequency is the number of occurrences of a repeating event per unit of time. It is also occasionally referred to as ''temporal frequency'' for clarity, and is distinct from ''angular frequency''. Frequency is measured in hertz (Hz) which is eq ...
. In
classical mechanics Classical mechanics is a physical theory describing the motion of macroscopic objects, from projectiles to parts of machinery, and astronomical objects, such as spacecraft, planets, stars, and galaxies. For objects governed by classical ...
this designates a
normal mode A normal mode of a dynamical system is a pattern of motion in which all parts of the system move sinusoidally with the same frequency and with a fixed phase relation. The free motion described by the normal modes takes place at fixed frequencies. ...
of vibration. Normal modes are important because any arbitrary lattice vibration can be considered to be a superposition of these ''elementary'' vibration modes (cf.
Fourier analysis In mathematics, Fourier analysis () is the study of the way general functions may be represented or approximated by sums of simpler trigonometric functions. Fourier analysis grew from the study of Fourier series, and is named after Josep ...
). While normal modes are wave-like phenomena in classical mechanics, phonons have particle-like properties too, in a way related to the
wave–particle duality Wave–particle duality is the concept in quantum mechanics that every particle or quantum entity may be described as either a particle or a wave. It expresses the inability of the classical concepts "particle" or "wave" to fully describe the ...
of quantum mechanics.


Lattice dynamics

The equations in this section do not use
axiom An axiom, postulate, or assumption is a statement that is taken to be true, to serve as a premise or starting point for further reasoning and arguments. The word comes from the Ancient Greek word (), meaning 'that which is thought worthy or f ...
s of quantum mechanics but instead use relations for which there exists a direct correspondence in classical mechanics. For example: a rigid regular,
crystalline A crystal or crystalline solid is a solid material whose constituents (such as atoms, molecules, or ions) are arranged in a highly ordered microscopic structure, forming a crystal lattice that extends in all directions. In addition, macrosc ...
(not
amorphous In condensed matter physics and materials science, an amorphous solid (or non-crystalline solid, glassy solid) is a solid that lacks the long-range order that is characteristic of a crystal. Etymology The term comes from the Greek ''a'' ("wi ...
) lattice is composed of ''N'' particles. These particles may be atoms or molecules. ''N'' is a large number, say of the order of 1023, or on the order of the
Avogadro number The Avogadro constant, commonly denoted or , is the proportionality factor that relates the number of constituent particles (usually molecules, atoms or ions) in a sample with the amount of substance in that sample. It is an SI defining co ...
for a typical sample of a solid. Since the lattice is rigid, the atoms must be exerting
force In physics, a force is an influence that can change the motion of an object. A force can cause an object with mass to change its velocity (e.g. moving from a state of rest), i.e., to accelerate. Force can also be described intuitively as a p ...
s on one another to keep each atom near its equilibrium position. These forces may be
Van der Waals force In molecular physics, the van der Waals force is a distance-dependent interaction between atoms or molecules. Unlike ionic or covalent bonds, these attractions do not result from a chemical electronic bond; they are comparatively weak and th ...
s,
covalent bond A covalent bond is a chemical bond that involves the sharing of electrons to form electron pairs between atoms. These electron pairs are known as shared pairs or bonding pairs. The stable balance of attractive and repulsive forces between atoms ...
s,
electrostatic attraction Coulomb's inverse-square law, or simply Coulomb's law, is an experimental law of physics that quantifies the amount of force between two stationary, electrically charged particles. The electric force between charged bodies at rest is convention ...
s, and others, all of which are ultimately due to the
electric Electricity is the set of physical phenomena associated with the presence and motion of matter that has a property of electric charge. Electricity is related to magnetism, both being part of the phenomenon of electromagnetism, as described by ...
force.
Magnetic Magnetism is the class of physical attributes that are mediated by a magnetic field, which refers to the capacity to induce attractive and repulsive phenomena in other entities. Electric currents and the magnetic moments of elementary particle ...
and
gravitational In physics, gravity () is a fundamental interaction which causes mutual attraction between all things with mass or energy. Gravity is, by far, the weakest of the four fundamental interactions, approximately 1038 times weaker than the strong ...
forces are generally negligible. The forces between each pair of atoms may be characterized by a
potential energy In physics, potential energy is the energy held by an object because of its position relative to other objects, stresses within itself, its electric charge, or other factors. Common types of potential energy include the gravitational potentia ...
function ''V'' that depends on the distance of separation of the atoms. The potential energy of the entire lattice is the sum of all pairwise potential energies multiplied by a factor of 1/2 to compensate for double counting: :\frac12\sum_ V\left(r_i - r_j\right) where ''ri'' is the
position Position often refers to: * Position (geometry), the spatial location (rather than orientation) of an entity * Position, a job or occupation Position may also refer to: Games and recreation * Position (poker), location relative to the dealer * ...
of the ''i''th atom, and ''V'' is the
potential energy In physics, potential energy is the energy held by an object because of its position relative to other objects, stresses within itself, its electric charge, or other factors. Common types of potential energy include the gravitational potentia ...
between two atoms. It is difficult to solve this
many-body problem The many-body problem is a general name for a vast category of physical problems pertaining to the properties of microscopic systems made of many interacting particles. ''Microscopic'' here implies that quantum mechanics has to be used to provid ...
explicitly in either classical or quantum mechanics. In order to simplify the task, two important
approximation An approximation is anything that is intentionally similar but not exactly equality (mathematics), equal to something else. Etymology and usage The word ''approximation'' is derived from Latin ''approximatus'', from ''proximus'' meaning ''very ...
s are usually imposed. First, the sum is only performed over neighboring atoms. Although the electric forces in real solids extend to infinity, this approximation is still valid because the fields produced by distant atoms are effectively screened. Secondly, the potentials ''V'' are treated as harmonic potentials. This is permissible as long as the atoms remain close to their equilibrium positions. Formally, this is accomplished by Taylor expanding ''V'' about its equilibrium value to quadratic order, giving ''V'' proportional to the displacement ''x''2 and the elastic force simply proportional to ''x''. The error in ignoring higher order terms remains small if ''x'' remains close to the equilibrium position. The resulting lattice may be visualized as a system of balls connected by springs. The following figure shows a cubic lattice, which is a good model for many types of crystalline solid. Other lattices include a linear chain, which is a very simple lattice which we will shortly use for modeling phonons. (For other common lattices, see
crystal structure In crystallography, crystal structure is a description of the ordered arrangement of atoms, ions or molecules in a crystal, crystalline material. Ordered structures occur from the intrinsic nature of the constituent particles to form symmetric pat ...
.) : The potential energy of the lattice may now be written as :\sum_ \tfrac12 m \omega^2 \left(R_i - R_j\right)^2. Here, ''ω'' is the
natural frequency Natural frequency, also known as eigenfrequency, is the frequency at which a system tends to oscillate in the absence of any driving force. The motion pattern of a system oscillating at its natural frequency is called the normal mode (if all par ...
of the harmonic potentials, which are assumed to be the same since the lattice is regular. ''Ri'' is the position coordinate of the ''i''th atom, which we now measure from its equilibrium position. The sum over nearest neighbors is denoted (nn).


Lattice waves

Due to the connections between atoms, the displacement of one or more atoms from their equilibrium positions gives rise to a set of vibration
wave In physics, mathematics, and related fields, a wave is a propagating dynamic disturbance (change from equilibrium) of one or more quantities. Waves can be periodic, in which case those quantities oscillate repeatedly about an equilibrium (res ...
s propagating through the lattice. One such wave is shown in the figure to the right. The
amplitude The amplitude of a periodic variable is a measure of its change in a single period (such as time or spatial period). The amplitude of a non-periodic signal is its magnitude compared with a reference value. There are various definitions of amplit ...
of the wave is given by the displacements of the atoms from their equilibrium positions. The
wavelength In physics, the wavelength is the spatial period of a periodic wave—the distance over which the wave's shape repeats. It is the distance between consecutive corresponding points of the same phase on the wave, such as two adjacent crests, tro ...
''λ'' is marked. There is a minimum possible wavelength, given by twice the equilibrium separation ''a'' between atoms. Any wavelength shorter than this can be mapped onto a wavelength longer than 2''a'', due to the periodicity of the lattice. This can be thought as one consequence of
Nyquist–Shannon sampling theorem The Nyquist–Shannon sampling theorem is a theorem in the field of signal processing which serves as a fundamental bridge between continuous-time signals and discrete-time signals. It establishes a sufficient condition for a sample rate that pe ...
, the lattice points being viewed as the "sampling points" of a continuous wave. Not every possible lattice vibration has a well-defined wavelength and frequency. However, the
normal mode A normal mode of a dynamical system is a pattern of motion in which all parts of the system move sinusoidally with the same frequency and with a fixed phase relation. The free motion described by the normal modes takes place at fixed frequencies. ...
s do possess well-defined wavelengths and
frequencies Frequency is the number of occurrences of a repeating event per unit of time. It is also occasionally referred to as ''temporal frequency'' for clarity, and is distinct from ''angular frequency''. Frequency is measured in hertz (Hz) which is eq ...
.


One-dimensional lattice

In order to simplify the analysis needed for a 3-dimensional lattice of atoms, it is convenient to model a 1-dimensional lattice or linear chain. This model is complex enough to display the salient features of phonons.


Classical treatment

The forces between the atoms are assumed to be linear and nearest-neighbour, and they are represented by an elastic spring. Each atom is assumed to be a point particle and the nucleus and electrons move in step (
adiabatic theorem The adiabatic theorem is a concept in quantum mechanics. Its original form, due to Max Born and Vladimir Fock (1928), was stated as follows: :''A physical system remains in its instantaneous eigenstate if a given perturbation is acting on it sl ...
): ::::::::''n'' − 1 ''n'' ''n'' + 1 ← ''a'' → ···o++++++o++++++o++++++o++++++o++++++o++++++o++++++o++++++o++++++o··· ::::::::→→→→→→ ::::::::''u''''n'' − 1''un'u''''n'' + 1 where labels the th atom out of a total of , is the distance between atoms when the chain is in equilibrium, and the displacement of the th atom from its equilibrium position. If ''C'' is the elastic constant of the spring and the mass of the atom, then the equation of motion of the th atom is :-2Cu_n + C\left(u_ + u_\right) = m\frac . This is a set of coupled equations. Since the solutions are expected to be oscillatory, new coordinates are defined by a
discrete Fourier transform In mathematics, the discrete Fourier transform (DFT) converts a finite sequence of equally-spaced samples of a function into a same-length sequence of equally-spaced samples of the discrete-time Fourier transform (DTFT), which is a complex- ...
, in order to decouple them. Put :u_n = \sum_^N Q_k e^. Here, corresponds and devolves to the continuous variable of scalar field theory. The are known as the ''normal coordinates'', continuum field modes . Substitution into the equation of motion produces the following ''decoupled equations'' (this requires a significant manipulation using the orthonormality and completeness relations of the discrete Fourier transform), : 2C(\cos )Q_k = m\frac. These are the equations for decoupled
harmonic oscillators In classical mechanics, a harmonic oscillator is a system that, when displaced from its equilibrium position, experiences a restoring force ''F'' proportional to the displacement ''x'': \vec F = -k \vec x, where ''k'' is a positive constan ...
which have the solution :Q_k=A_ke^;\qquad \omega_k=\sqrt. Each normal coordinate ''Qk'' represents an independent vibrational mode of the lattice with wavenumber , which is known as a
normal mode A normal mode of a dynamical system is a pattern of motion in which all parts of the system move sinusoidally with the same frequency and with a fixed phase relation. The free motion described by the normal modes takes place at fixed frequencies. ...
. The second equation, for , is known as the
dispersion relation In the physical sciences and electrical engineering, dispersion relations describe the effect of dispersion on the properties of waves in a medium. A dispersion relation relates the wavelength or wavenumber of a wave to its frequency. Given the d ...
between the
angular frequency In physics, angular frequency "''ω''" (also referred to by the terms angular speed, circular frequency, orbital frequency, radian frequency, and pulsatance) is a scalar measure of rotation rate. It refers to the angular displacement per unit tim ...
and the
wavenumber In the physical sciences, the wavenumber (also wave number or repetency) is the ''spatial frequency'' of a wave, measured in cycles per unit distance (ordinary wavenumber) or radians per unit distance (angular wavenumber). It is analogous to temp ...
. In the
continuum limit In mathematical physics and mathematics, the continuum limit or scaling limit of a lattice model (physics), lattice model refers to its behaviour in the limit as the lattice spacing goes to zero. It is often useful to use lattice models to approxi ...
, →0, →∞, with held fixed, → , a scalar field, and \omega(k) \propto k a. This amounts to classical free
scalar field theory In theoretical physics, scalar field theory can refer to a relativistically invariant classical or quantum theory of scalar fields. A scalar field is invariant under any Lorentz transformation. The only fundamental scalar quantum field that has b ...
, an assembly of independent oscillators.


Quantum treatment

A one-dimensional quantum mechanical harmonic chain consists of ''N'' identical atoms. This is the simplest quantum mechanical model of a lattice that allows phonons to arise from it. The formalism for this model is readily generalizable to two and three dimensions. In some contrast to the previous section, the positions of the masses are not denoted by ''ui'', but, instead, by ''x''1, ''x''2…, as measured from their equilibrium positions (i.e. ''xi'' = 0 if particle ''i'' is at its equilibrium position.) In two or more dimensions, the ''xi'' are vector quantities. The
Hamiltonian Hamiltonian may refer to: * Hamiltonian mechanics, a function that represents the total energy of a system * Hamiltonian (quantum mechanics), an operator corresponding to the total energy of that system ** Dyall Hamiltonian, a modified Hamiltonian ...
for this system is :\mathcal = \sum_^N \frac + \frac m\omega^2 \sum_ \left(x_i - x_j\right)^2 where ''m'' is the mass of each atom (assuming it is equal for all), and ''xi'' and ''pi'' are the position and
momentum In Newtonian mechanics, momentum (more specifically linear momentum or translational momentum) is the product of the mass and velocity of an object. It is a vector quantity, possessing a magnitude and a direction. If is an object's mass an ...
operators, respectively, for the ''i''th atom and the sum is made over the nearest neighbors (nn). However one expects that in a lattice there could also appear waves that behave like particles. It is customary to deal with
wave In physics, mathematics, and related fields, a wave is a propagating dynamic disturbance (change from equilibrium) of one or more quantities. Waves can be periodic, in which case those quantities oscillate repeatedly about an equilibrium (res ...
s in
Fourier space In physics, electronics, control systems engineering, and statistics, the frequency domain refers to the analysis of mathematical functions or signals with respect to frequency, rather than time. Put simply, a time-domain graph shows how a s ...
which uses
normal modes A normal mode of a dynamical system is a pattern of motion in which all parts of the system move sinusoidally with the same frequency and with a fixed phase relation. The free motion described by the normal modes takes place at fixed frequencies. ...
of the
wavevector In physics, a wave vector (or wavevector) is a vector used in describing a wave, with a typical unit being cycle per metre. It has a magnitude and direction. Its magnitude is the wavenumber of the wave (inversely proportional to the wavelength), ...
as variables instead coordinates of particles. The number of normal modes is same as the number of particles. However, the
Fourier space In physics, electronics, control systems engineering, and statistics, the frequency domain refers to the analysis of mathematical functions or signals with respect to frequency, rather than time. Put simply, a time-domain graph shows how a s ...
is very useful given the
periodicity Periodicity or periodic may refer to: Mathematics * Bott periodicity theorem, addresses Bott periodicity: a modulo-8 recurrence relation in the homotopy groups of classical groups * Periodic function, a function whose output contains values tha ...
of the system. A set of ''N'' "normal coordinates" ''Qk'' may be introduced, defined as the
discrete Fourier transform In mathematics, the discrete Fourier transform (DFT) converts a finite sequence of equally-spaced samples of a function into a same-length sequence of equally-spaced samples of the discrete-time Fourier transform (DTFT), which is a complex- ...
s of the ''xk'' and ''N'' "conjugate momenta" ''Πk'' defined as the Fourier transforms of the ''pk'': :\begin Q_k &= \frac\sqrt \sum_ e^ x_l \\ \Pi_ &= \frac\sqrt \sum_ e^ p_l. \end The quantity ''kn'' turns out to be the
wavenumber In the physical sciences, the wavenumber (also wave number or repetency) is the ''spatial frequency'' of a wave, measured in cycles per unit distance (ordinary wavenumber) or radians per unit distance (angular wavenumber). It is analogous to temp ...
of the phonon, i.e. 2 divided by the
wavelength In physics, the wavelength is the spatial period of a periodic wave—the distance over which the wave's shape repeats. It is the distance between consecutive corresponding points of the same phase on the wave, such as two adjacent crests, tro ...
. This choice retains the desired commutation relations in either real space or wavevector space : \begin \left _l , p_m \right=i\hbar\delta_ \\ \left Q_k , \Pi_ \right&=\fracN \sum_ e^ e^ \left _l , p_m \right\\ &= \fracN \sum_ e^ = i\hbar\delta_ \\ \left Q_k , Q_ \right&= \left \Pi_k , \Pi_ \right= 0 \end From the general result : \begin \sum_x_l x_&=\fracN\sum_Q_k Q_\sum_ e^e^= \sum_Q_k Q_e^ \\ \sum_^2 &= \sum_\Pi_k \Pi_ \end The potential energy term is : \tfrac12 m \omega^2 \sum_ \left(x_j - x_\right)^2= \tfrac12 m\omega^2\sum_Q_k Q_(2-e^-e^)= \tfrac12 \sum_m^2Q_k Q_ where :\omega_k = \sqrt = 2\omega\left, \sin\frac2\ The Hamiltonian may be written in wavevector space as :\mathcal = \frac\sum_k \left( \Pi_k\Pi_ + m^2 \omega_k^2 Q_k Q_ \right) The couplings between the position variables have been transformed away; if the ''Q'' and ''Π'' were
Hermitian {{Short description, none Numerous things are named after the French mathematician Charles Hermite (1822–1901): Hermite * Cubic Hermite spline, a type of third-degree spline * Gauss–Hermite quadrature, an extension of Gaussian quadrature m ...
(which they are not), the transformed Hamiltonian would describe ''N'' uncoupled harmonic oscillators. The form of the quantization depends on the choice of boundary conditions; for simplicity, ''periodic'' boundary conditions are imposed, defining the (''N'' + 1)th atom as equivalent to the first atom. Physically, this corresponds to joining the chain at its ends. The resulting quantization is :k=k_n = \frac \quad \mbox n = 0, \pm1, \pm2, \ldots \pm \frac2 .\ The upper bound to ''n'' comes from the minimum wavelength, which is twice the lattice spacing ''a'', as discussed above. The harmonic oscillator eigenvalues or energy levels for the mode ''ωk'' are: :E_n = \left(\tfrac12+n\right)\hbar\omega_k \qquad n=0,1,2,3 \ldots The levels are evenly spaced at: :\tfrac12\hbar\omega , \ \tfrac32\hbar\omega ,\ \tfrac52\hbar\omega \ \cdots where ''ħω'' is the
zero-point energy Zero-point energy (ZPE) is the lowest possible energy that a quantum mechanical system may have. Unlike in classical mechanics, quantum systems constantly Quantum fluctuation, fluctuate in their lowest energy state as described by the Heisen ...
of a
quantum harmonic oscillator 量子調和振動子 は、 古典調和振動子 の 量子力学 類似物です。任意の滑らかな ポテンシャル は通常、安定した 平衡点 の近くで 調和ポテンシャル として近似できるため、最 ...
. An exact amount of
energy In physics, energy (from Ancient Greek: ἐνέργεια, ''enérgeia'', “activity”) is the quantitative property that is transferred to a body or to a physical system, recognizable in the performance of work and in the form of heat a ...
''ħω'' must be supplied to the harmonic oscillator lattice to push it to the next energy level. In comparison to the
photon A photon () is an elementary particle that is a quantum of the electromagnetic field, including electromagnetic radiation such as light and radio waves, and the force carrier for the electromagnetic force. Photons are massless, so they always ...
case when the
electromagnetic field An electromagnetic field (also EM field or EMF) is a classical (i.e. non-quantum) field produced by (stationary or moving) electric charges. It is the field described by classical electrodynamics (a classical field theory) and is the classical c ...
is quantized, the quantum of vibrational energy is called a phonon. All quantum systems show wavelike and particlelike properties simultaneously. The particle-like properties of the phonon are best understood using the methods of
second quantization Second quantization, also referred to as occupation number representation, is a formalism used to describe and analyze quantum many-body systems. In quantum field theory, it is known as canonical quantization, in which the fields (typically as t ...
and operator techniques described later.


Three-dimensional lattice

This may be generalized to a three-dimensional lattice. The wavenumber ''k'' is replaced by a three-dimensional
wavevector In physics, a wave vector (or wavevector) is a vector used in describing a wave, with a typical unit being cycle per metre. It has a magnitude and direction. Its magnitude is the wavenumber of the wave (inversely proportional to the wavelength), ...
k. Furthermore, each k is now associated with three normal coordinates. The new indices ''s'' = 1, 2, 3 label the polarization of the phonons. In the one-dimensional model, the atoms were restricted to moving along the line, so the phonons corresponded to
longitudinal wave Longitudinal waves are waves in which the vibration of the medium is parallel ("along") to the direction the wave travels and displacement of the medium is in the same (or opposite) direction of the wave propagation. Mechanical longitudinal waves ...
s. In three dimensions, vibration is not restricted to the direction of propagation, and can also occur in the perpendicular planes, like
transverse wave In physics, a transverse wave is a wave whose oscillations are perpendicular to the direction of the wave's advance. This is in contrast to a longitudinal wave which travels in the direction of its oscillations. Water waves are an example of t ...
s. This gives rise to the additional normal coordinates, which, as the form of the Hamiltonian indicates, we may view as independent species of phonons.


Dispersion relation

For a one-dimensional alternating array of two types of ion or atom of mass ''m''1, ''m''2 repeated periodically at a distance ''a'', connected by springs of spring constant ''K'', two modes of vibration result: :\omega_\pm^2 = K\left(\frac +\frac\right) \pm K \sqrt , where ''k'' is the wavevector of the vibration related to its wavelength by k = \tfrac. The connection between frequency and wavevector, ''ω'' = ''ω''(''k''), is known as a
dispersion relation In the physical sciences and electrical engineering, dispersion relations describe the effect of dispersion on the properties of waves in a medium. A dispersion relation relates the wavelength or wavenumber of a wave to its frequency. Given the d ...
. The plus sign results in the so-called ''optical'' mode, and the minus sign to the ''acoustic'' mode. In the optical mode two adjacent different atoms move against each other, while in the acoustic mode they move together. The speed of propagation of an acoustic phonon, which is also the
speed of sound The speed of sound is the distance travelled per unit of time by a sound wave as it propagates through an elastic medium. At , the speed of sound in air is about , or one kilometre in or one mile in . It depends strongly on temperature as w ...
in the lattice, is given by the slope of the acoustic dispersion relation, (see
group velocity The group velocity of a wave is the velocity with which the overall envelope shape of the wave's amplitudes—known as the ''modulation'' or ''envelope'' of the wave—propagates through space. For example, if a stone is thrown into the middl ...
.) At low values of ''k'' (i.e. long wavelengths), the dispersion relation is almost linear, and the speed of sound is approximately ''ωa'', independent of the phonon frequency. As a result, packets of phonons with different (but long) wavelengths can propagate for large distances across the lattice without breaking apart. This is the reason that sound propagates through solids without significant distortion. This behavior fails at large values of ''k'', i.e. short wavelengths, due to the microscopic details of the lattice. For a crystal that has at least two atoms in its primitive cell, the dispersion relations exhibit two types of phonons, namely, optical and acoustic modes corresponding to the upper blue and lower red curve in the diagram, respectively. The vertical axis is the energy or frequency of phonon, while the horizontal axis is the
wavevector In physics, a wave vector (or wavevector) is a vector used in describing a wave, with a typical unit being cycle per metre. It has a magnitude and direction. Its magnitude is the wavenumber of the wave (inversely proportional to the wavelength), ...
. The boundaries at − and are those of the first
Brillouin zone In mathematics and solid state physics, the first Brillouin zone is a uniquely defined primitive cell in reciprocal space. In the same way the Bravais lattice is divided up into Wigner–Seitz cells in the real lattice, the reciprocal lattice i ...
. A crystal with ''N'' ≥ 2 different atoms in the primitive cell exhibits three acoustic modes: one longitudinal acoustic mode and two transverse acoustic modes. The number of optical modes is 3''N'' – 3. The lower figure shows the dispersion relations for several phonon modes in
GaAs Gallium arsenide (GaAs) is a III-V direct band gap semiconductor with a zinc blende crystal structure. Gallium arsenide is used in the manufacture of devices such as microwave frequency integrated circuits, monolithic microwave integrated circui ...
as a function of wavevector k in the principal directions of its Brillouin zone. Many phonon dispersion curves have been measured by
inelastic neutron scattering Neutron scattering, the irregular dispersal of free neutrons by matter, can refer to either the naturally occurring physical process itself or to the man-made experimental techniques that use the natural process for investigating materials. Th ...
. The physics of sound in
fluid In physics, a fluid is a liquid, gas, or other material that continuously deforms (''flows'') under an applied shear stress, or external force. They have zero shear modulus, or, in simpler terms, are substances which cannot resist any shear ...
s differs from the physics of sound in solids, although both are density waves: sound waves in fluids only have longitudinal components, whereas sound waves in solids have longitudinal and transverse components. This is because fluids cannot support
shear stress Shear stress, often denoted by (Greek: tau), is the component of stress coplanar with a material cross section. It arises from the shear force, the component of force vector parallel to the material cross section. ''Normal stress'', on the ot ...
es (but see
viscoelastic In materials science and continuum mechanics, viscoelasticity is the property of materials that exhibit both viscous and elastic characteristics when undergoing deformation. Viscous materials, like water, resist shear flow and strain linearly wi ...
fluids, which only apply to high frequencies).


Interpretation of phonons using second quantization techniques

The above-derived Hamiltonian may look like a classical Hamiltonian function, but if it is interpreted as an operator, then it describes a
quantum field theory In theoretical physics, quantum field theory (QFT) is a theoretical framework that combines classical field theory, special relativity, and quantum mechanics. QFT is used in particle physics to construct physical models of subatomic particles and ...
of non-interacting
boson In particle physics, a boson ( ) is a subatomic particle whose spin quantum number has an integer value (0,1,2 ...). Bosons form one of the two fundamental classes of subatomic particle, the other being fermions, which have odd half-integer s ...
s. The
second quantization Second quantization, also referred to as occupation number representation, is a formalism used to describe and analyze quantum many-body systems. In quantum field theory, it is known as canonical quantization, in which the fields (typically as t ...
technique, similar to the
ladder operator In linear algebra (and its application to quantum mechanics), a raising or lowering operator (collectively known as ladder operators) is an operator that increases or decreases the eigenvalue of another operator. In quantum mechanics, the raisin ...
method used for quantum harmonic oscillators, is a means of extracting energy
eigenvalues In linear algebra, an eigenvector () or characteristic vector of a linear transformation is a nonzero vector that changes at most by a scalar factor when that linear transformation is applied to it. The corresponding eigenvalue, often denoted b ...
without directly solving the differential equations. Given the Hamiltonian, \mathcal, as well as the conjugate position, Q_k, and conjugate momentum \Pi_ defined in the quantum treatment section above, we can define
creation and annihilation operators Creation operators and annihilation operators are mathematical operators that have widespread applications in quantum mechanics, notably in the study of quantum harmonic oscillators and many-particle systems. An annihilation operator (usually ...
: :b_k=\sqrt\frac\left(Q_k+\frac\Pi_\right)   and   ^\dagger=\sqrt\frac\left(Q_-\frac\Pi_\right) The following commutators can be easily obtained by substituting in the
canonical commutation relation In quantum mechanics, the canonical commutation relation is the fundamental relation between canonical conjugate quantities (quantities which are related by definition such that one is the Fourier transform of another). For example, hat x,\hat p ...
: :\left _k , ^\dagger \right= \delta_ ,\quad \Big _k , b_ \Big= \left \dagger , ^\dagger \right= 0 Using this, the operators ''bk'' and ''bk'' can be inverted to redefine the conjugate position and momentum as: :Q_k=\sqrt\left(^\dagger+b_\right)   and   \Pi_k=i\sqrt\left(^\dagger-b_\right) Directly substituting these definitions for Q_k and \Pi_k into the wavevector space Hamiltonian, as it is defined above, and simplifying then results in the Hamiltonian taking the form: :\mathcal =\sum_k \hbar\omega_k \left(^\dagger b_k+\tfrac12\right) This is known as the second quantization technique, also known as the occupation number formulation, where ''nk'' = ''bk''''bk'' is the occupation number. This can be seen to be a sum of N independent oscillator Hamiltonians, each with a unique wave vector, and compatible with the methods used for the quantum harmonic oscillator (note that ''nk'' is
hermitian {{Short description, none Numerous things are named after the French mathematician Charles Hermite (1822–1901): Hermite * Cubic Hermite spline, a type of third-degree spline * Gauss–Hermite quadrature, an extension of Gaussian quadrature m ...
). When a Hamiltonian can be written as a sum of commuting sub-Hamiltonians, the energy eigenstates will be given by the products of eigenstates of each of the separate sub-Hamiltonians. The corresponding
energy In physics, energy (from Ancient Greek: ἐνέργεια, ''enérgeia'', “activity”) is the quantitative property that is transferred to a body or to a physical system, recognizable in the performance of work and in the form of heat a ...
spectrum A spectrum (plural ''spectra'' or ''spectrums'') is a condition that is not limited to a specific set of values but can vary, without gaps, across a continuum. The word was first used scientifically in optics to describe the rainbow of colors i ...
is then given by the sum of the individual eigenvalues of the sub-Hamiltonians. As with the quantum harmonic oscillator, one can show that ''bk'' and ''bk'' respectively create and destroy a single field excitation, a phonon, with an energy of ''ħωk''. Three important properties of phonons may be deduced from this technique. First, phonons are
boson In particle physics, a boson ( ) is a subatomic particle whose spin quantum number has an integer value (0,1,2 ...). Bosons form one of the two fundamental classes of subatomic particle, the other being fermions, which have odd half-integer s ...
s, since any number of identical excitations can be created by repeated application of the creation operator ''bk''. Second, each phonon is a "collective mode" caused by the motion of every atom in the lattice. This may be seen from the fact that the creation and annihilation operators, defined here in momentum space, contains sums over the position and momentum operators of every atom when written in position space (See
position and momentum space In physics and geometry, there are two closely related vector spaces, usually three-dimensional but in general of any finite dimension. Position space (also real space or coordinate space) is the set of all '' position vectors'' r in space, and ...
). Finally, using the ''position–position correlation function'', it can be shown that phonons act as waves of lattice displacement. This technique is readily generalized to three dimensions, where the Hamiltonian takes the form: :\mathcal = \sum_k \sum_^3 \hbar \, \omega_ \left( ^\dagger b_ + \tfrac12 \right). Which can be interpreted as the sum of 3N independent oscillator Hamiltonians, one for each wave vector and polarization.


Acoustic and optical phonons

Solids with more than one atom in the smallest unit cell exhibit two types of phonons: acoustic phonons and optical phonons. Acoustic phonons are coherent movements of atoms of the lattice out of their equilibrium positions. If the displacement is in the direction of propagation, then in some areas the atoms will be closer, in others farther apart, as in a sound wave in air (hence the name acoustic). Displacement perpendicular to the propagation direction is comparable to waves on a string. If the wavelength of acoustic phonons goes to infinity, this corresponds to a simple displacement of the whole crystal, and this costs zero deformation energy. Acoustic phonons exhibit a linear relationship between frequency and phonon wave-vector for long wavelengths. The frequencies of acoustic phonons tend to zero with longer wavelength. Longitudinal and transverse acoustic phonons are often abbreviated as LA and TA phonons, respectively. Optical phonons are out-of-phase movements of the atoms in the lattice, one atom moving to the left, and its neighbor to the right. This occurs if the lattice basis consists of two or more atoms. They are called ''optical'' because in ionic crystals, such as sodium chloride, fluctuations in displacement create an electrical polarization that couples to the electromagnetic field. Hence, they can be excited by infrared radiation, the electric field of the light will move every positive sodium ion in the direction of the field, and every negative chloride ion in the other direction, causing the crystal to vibrate. Optical phonons have a non-zero frequency at the
Brillouin zone In mathematics and solid state physics, the first Brillouin zone is a uniquely defined primitive cell in reciprocal space. In the same way the Bravais lattice is divided up into Wigner–Seitz cells in the real lattice, the reciprocal lattice i ...
center and show no dispersion near that long wavelength limit. This is because they correspond to a mode of vibration where positive and negative ions at adjacent lattice sites swing against each other, creating a time-varying electrical dipole moment. Optical phonons that interact in this way with light are called ''infrared active''. Optical phonons that are ''Raman active'' can also interact indirectly with light, through Raman scattering. Optical phonons are often abbreviated as LO and TO phonons, for the longitudinal and transverse modes respectively; the splitting between LO and TO frequencies is often described accurately by the Lyddane–Sachs–Teller relation. When measuring optical phonon energy experimentally, optical phonon frequencies are sometimes given in spectroscopic
wavenumber In the physical sciences, the wavenumber (also wave number or repetency) is the ''spatial frequency'' of a wave, measured in cycles per unit distance (ordinary wavenumber) or radians per unit distance (angular wavenumber). It is analogous to temp ...
notation, where the symbol ''ω'' represents ordinary frequency (not angular frequency), and is expressed in units of Centimetre, cm−1. The value is obtained by dividing the frequency by the speed of light in vacuum. In other words, the wave-number in cm−1 units corresponds to the inverse of the
wavelength In physics, the wavelength is the spatial period of a periodic wave—the distance over which the wave's shape repeats. It is the distance between consecutive corresponding points of the same phase on the wave, such as two adjacent crests, tro ...
of a
photon A photon () is an elementary particle that is a quantum of the electromagnetic field, including electromagnetic radiation such as light and radio waves, and the force carrier for the electromagnetic force. Photons are massless, so they always ...
in vacuum that has the same frequency as the measured phonon.


Crystal momentum

By analogy to
photon A photon () is an elementary particle that is a quantum of the electromagnetic field, including electromagnetic radiation such as light and radio waves, and the force carrier for the electromagnetic force. Photons are massless, so they always ...
s and De Broglie wavelength, matter waves, phonons have been treated with wavevector ''k'' as though it has a
momentum In Newtonian mechanics, momentum (more specifically linear momentum or translational momentum) is the product of the mass and velocity of an object. It is a vector quantity, possessing a magnitude and a direction. If is an object's mass an ...
''ħk''; however, this is not strictly correct, because ''ħk'' is not actually a physical momentum; it is called the ''crystal momentum'' or ''pseudomomentum''. This is because ''k'' is only determined up to addition of constant vectors (the reciprocal lattice, reciprocal lattice vectors and integer multiples thereof). For example, in the one-dimensional model, the normal coordinates ''Q'' and ''Π'' are defined so that :Q_k \stackrel Q_ ;\quad \Pi_k \stackrel \Pi_ where :K = \frac for any integer ''n''. A phonon with wavenumber ''k'' is thus equivalent to an infinite family of phonons with wavenumbers ''k'' ± , ''k'' ± , and so forth. Physically, the reciprocal lattice vectors act as additional chunks of momentum which the lattice can impart to the phonon. Bloch electrons obey a similar set of restrictions. It is usually convenient to consider phonon wavevectors ''k'' which have the smallest magnitude , ''k'', in their "family". The set of all such wavevectors defines the ''first
Brillouin zone In mathematics and solid state physics, the first Brillouin zone is a uniquely defined primitive cell in reciprocal space. In the same way the Bravais lattice is divided up into Wigner–Seitz cells in the real lattice, the reciprocal lattice i ...
''. Additional Brillouin zones may be defined as copies of the first zone, shifted by some reciprocal lattice vector.


Thermodynamics

The thermodynamics, thermodynamic properties of a solid are directly related to its phonon structure. The entire set of all possible phonons that are described by the phonon dispersion relations combine in what is known as the phonon density of states which determines the heat capacity of a crystal. By the nature of this distribution, the heat capacity is dominated by the high-frequency part of the distribution, while thermal conductivity is primarily the result of the low-frequency region. At absolute zero temperature, a crystal lattice lies in its ground state, and contains no phonons. A lattice at a nonzero temperature has an energy that is not constant, but fluctuates randomly about some Arithmetic mean, mean value. These energy fluctuations are caused by random lattice vibrations, which can be viewed as a gas of phonons. Because these phonons are generated by the temperature of the lattice, they are sometimes designated thermal phonons. Thermal phonons can be created and destroyed by random energy fluctuations. In the language of statistical mechanics this means that the chemical potential for adding a phonon is zero. This behavior is an extension of the harmonic potential into the anharmonic regime. The behavior of thermal phonons is similar to the photon gas produced by an electromagnetic cavity, wherein photons may be emitted or absorbed by the cavity walls. This similarity is not coincidental, for it turns out that the electromagnetic field behaves like a set of harmonic oscillators, giving rise to Black-body radiation. Both gases obey the Bose–Einstein statistics: in thermal equilibrium and within the harmonic regime, the probability of finding phonons or photons in a given state with a given angular frequency is: :n\left(\omega_\right) = \frac where ''ω''''k'',''s'' is the frequency of the phonons (or photons) in the state, ''k''B is the Boltzmann constant, and ''T'' is the temperature.


Phonon tunneling

Phonons have been shown to exhibit Quantum tunneling behavior (or ''phonon tunneling'') where, across gaps up to a nanometer wide, heat can flow via phonons that "tunnel" between two materials. This type of heat transfer works between distances too large for Thermal conduction, conduction to occur but too small for thermal radiation, radiation to occur and therefore cannot be explained by classical heat transfer models.


Operator formalism

The phonon Hamiltonian is given by :\mathcal = \tfrac12 \sum_\alpha\left(p_\alpha^2 + \omega^2_\alpha q_\alpha^2 - \hbar\omega_\alpha\right) In terms of the
creation and annihilation operators Creation operators and annihilation operators are mathematical operators that have widespread applications in quantum mechanics, notably in the study of quantum harmonic oscillators and many-particle systems. An annihilation operator (usually ...
, these are given by :\mathcal = \sum_\alpha\hbar\omega_\alpha ^\dagger a_\alpha Here, in expressing the
Hamiltonian Hamiltonian may refer to: * Hamiltonian mechanics, a function that represents the total energy of a system * Hamiltonian (quantum mechanics), an operator corresponding to the total energy of that system ** Dyall Hamiltonian, a modified Hamiltonian ...
in operator formalism, we have not taken into account the ''ħωq'' term as, given a Linear continuum, continuum or Bravais lattice, infinite lattice, the ''ħωq'' terms will add up yielding an Singularity (mathematics), infinite term. Hence, it is "Renormalization, renormalized" by setting the factor of ''ħωq'' to 0, arguing that the difference in energy is what we measure and not the absolute value of it. Hence, the ''ħωq'' factor is absent in the operator formalized expression for the
Hamiltonian Hamiltonian may refer to: * Hamiltonian mechanics, a function that represents the total energy of a system * Hamiltonian (quantum mechanics), an operator corresponding to the total energy of that system ** Dyall Hamiltonian, a modified Hamiltonian ...
. The ground state, also called the "vacuum state", is the state composed of no phonons. Hence, the energy of the ground state is 0. When a system is in the state , we say there are ''nα'' phonons of type ''α'', where ''nα'' is the occupation number of the phonons. The energy of a single phonon of type ''α'' is given by ''ħωq'' and the total energy of a general phonon system is given by ''n''1''ħω''1 + ''n''2''ħω''2 +…. As there are no cross terms (e.g. ''n''1''ħω''2), the phonons are said to be non-interacting. The action of the creation and annihilation operators is given by: :^\dagger\Big, n_1\ldots n_n_\alpha n_\ldots\Big\rangle = \sqrt\Big, n_1\ldots,n_, (n_\alpha+1), n_\ldots\Big\rangle and, :a_\alpha\Big, n_1\ldots n_n_\alpha n_\ldots\Big\rangle = \sqrt\Big, n_1\ldots,n_,(n_\alpha-1),n_,\ldots\Big\rangle The creation operator, ''aα'' creates a phonon of type ''α'' while ''aα'' annihilates one. Hence, they are respectively the creation and annihilation operators for phonons. Analogous to the
quantum harmonic oscillator 量子調和振動子 は、 古典調和振動子 の 量子力学 類似物です。任意の滑らかな ポテンシャル は通常、安定した 平衡点 の近くで 調和ポテンシャル として近似できるため、最 ...
case, we can define particle number operator as :N = \sum_\alpha ^\dagger a_\alpha. The number operator commutes with a string of products of the creation and annihilation operators if and only if the number of creation operators is equal to number of annihilation operators. It can be shown that phonons are symmetric under exchange (i.e.  = ), so therefore they are considered bosons.


Nonlinearity

As well as
photons A photon () is an elementary particle that is a quantum of the electromagnetic field, including electromagnetic radiation such as light and radio waves, and the force carrier for the electromagnetic force. Photons are massless, so they alway ...
, phonons can interact via parametric down conversion and form squeezed coherent states.


Predicted properties

Recent research has shown that phonons and rotons may have a non-negligible mass and be affected by gravity just as standard particles are. In particular, phonons are predicted to have a kind of negative mass and negative gravity. This can be explained by how phonons are known to travel faster in denser materials. Because the part of a material pointing towards a gravitational source is closer to the object, it becomes denser on that end. From this, it is predicted that phonons would deflect away as it detects the difference in densities, exhibiting the qualities of a negative gravitational field. Although the effect would be too small to measure, it is possible that future equipment could lead to successful results. Phonons have also been predicted to play a key role in superconduction, superconductivity in materials and the prediction of superconductive compounds.Enamul Haque and M. Anwar Hossain. (2018)
First-principles prediction of phonon-mediated superconductivity in XBC (X= Mg, Ca, Sr, Ba)
Arviv.org, Retrieved November 27, 2018
In 2019, researchers were able to isolate individual phonons without destroying them for the first time.


See also

* Boson * Brillouin scattering * Fracton * Linear elasticity * Mechanical wave * Phonon scattering * Carrier scattering * Acoustic metamaterials#Phononic crystal, Phononic crystal * Rayleigh wave * Relativistic heat conduction * Rigid unit modes * SASER * Second sound * Surface acoustic wave * Surface phonon * Thermal conductivity * Vibration


References


External links

*
Explained: Phonons
MIT News, 2010.

* Phonons in a One Dimensional Microfluidic Crysta

an

with movies i

{{Authority control Quasiparticles Bosons 1932 introductions Subatomic particles with spin 0