Wigner measures and effective mass theorems
Annales Henri Lebesgue, Volume 3 (2020), pp. 1049-1089.

Metadata

Keywords Bloch modes, semi-classical analysis on manifolds, Wigner measures, two-microlocal measures, Effective mass theory

Abstract

We study a Schrödinger equation which describes the dynamics of an electron in a crystal in the presence of impurities. We consider the regime of small wave-lengths comparable to the characteristic scale of the crystal. It is well-known that under suitable assumptions on the initial data and for highly oscillating potential, the wave function can be approximated by the solution of a simpler equation, the effective mass equation. Using Floquet–Bloch decomposition, as it is classical in this subject, we establish effective mass equations in a rather general setting. In particular, Bloch bands are allowed to have degenerate critical points, as may occur in dimension strictly larger than one. Our analysis leads to a new type of effective mass equations which are operator-valued and of Heisenberg form and relies on Wigner measure theory and, more precisely, to its applications to the analysis of dispersion effects.


References

[AFKM15] Anantharaman, Nalini; Fermanian Kammerer, Clotilde; Macià, Fabrici Semiclassical completely integrable systems: long-time dynamics and observability via two-microlocal Wigner measures, Am. J. Math., Volume 137 (2015) no. 3, pp. 577-638 | DOI | MR | Zbl

[AG07] Alinhac, Serge; Gérard, Patrick Pseudo-differential operators and the Nash–Moser theorem, Graduate Studies in Mathematics, Volume 82, American Mathematical Society, 2007 (translated from the 1991 French original by Stephen S. Wilson) | MR | Zbl

[ALM16] Anantharaman, Nalini; Léautaud, Matthieu; Macià, Fabricio Winger measures and observability for the Schrödinger equation on the disk, Invent. Math., Volume 206 (2016) no. 2, pp. 485-599 | DOI | Zbl

[AM12] Anantharaman, Nalini; Macià, Fabricio The dynamics of the Schrödinger flow from the point of view of semiclassical measures, Spectral geometry (Proceedings of Symposia in Pure Mathematics) Volume 84, American Mathematical Society, 2012, pp. 93-116 (based on the international conference, Dartmouth, NH, USA, July 19–23, 2010) | DOI | Zbl

[AM14] Anantharaman, Nalini; Macià, Fabrici Semiclassical measures for the Schrödinger equation on the torus, J. Eur. Math. Soc., Volume 16 (2014) no. 6, pp. 1253-1288 | DOI | Zbl

[AP05] Allaire, Grégoire; Piatnitski, Andrey Homogenization of the Schrödinger equation and effective mass theorems, Commun. Math. Phys., Volume 258 (2005) no. 1, pp. 1-22 | DOI | Zbl

[AP06] Allaire, Grégoire; Palombaro, Mariapia Localization for the Schrödinger equation in a locally periodic medium, SIAM J. Math. Anal., Volume 38 (2006) no. 1, pp. 127-142 | DOI | Zbl

[AR12] Anantharaman, Nalini; Rivière, Gabriel Dispersion and controllability for the Schrödinger equation on negatively curved manifolds, Anal. PDE, Volume 5 (2012) no. 2, pp. 313-338 | DOI | Zbl

[BBA11] Barletti, Luigi; Ben Abdallah, Naoufel Quantum transport in crystals: effective mass theorem and k·p Hamiltonians, Commun. Math. Phys., Volume 307 (2011) no. 3, pp. 567-607 | DOI | MR | Zbl

[Blo28] Bloch, Felix Über die Quantenmechanik der Elektronen in Kristallgittern, Z. Phys., Volume 52 (1928), pp. 555-600 | DOI | Zbl

[BLP78] Bensoussan, Alain; Lions, Jacques-Louis; Papanicolaou, George Asymptotic analysis for periodic structures, Studies in Mathematics and its Applications, Volume 5, North-Holland, 1978 | MR | Zbl

[BMP01] Bechouche, Philippe; Mauser, Norbert J.; Poupaud, Frédéric Semiclassical limit for the Schrödinger–Poisson equation in a crystal, Commun. Pure Appl. Math., Volume 54 (2001) no. 7, pp. 851-890 | DOI | Zbl

[CFKM19] Chabu, Victor; Fermanian Kammerer, Clotilde; Macià, Fabricio Semiclassical analysis of dispersion phenomena, Analysis and partial differential equations: perspectives from developing countries (Springer Proceedings in Mathematics & Statistics) Volume 275, springer, 2019, pp. 84-108 | MR | Zbl

[CS12] Carles, Rémi; Sparber, Christof Semiclassical wave packet dynamics in Schrödinger equations with periodic potentials, Discrete Contin. Dyn. Syst., Volume 17 (2012) no. 3, pp. 759-774 | Zbl

[CV71] Calderón, Alberto-P.; Vaillancourt, Rémi On the boundedness of pseudo-differential operators, J. Math. Soc. Japan, Volume 23 (1971), pp. 374-378 | DOI | MR

[DGR06] Dimassi, Mouez; Guillot, Jean-Claude; Ralston, James Gaussian beam construction for adiabatic perturbations, Math. Phys. Anal. Geom., Volume 9 (2006) no. 3, pp. 187-201 | DOI | MR

[DS99] Dimassi, Mouez; Sjöstrand, Johannes Spectral asymptotics in the semi-classical limit, London Mathematical Society Lecture Note Series, Volume 268, Cambridge University Press, 1999 | MR | Zbl

[FK95] Fermanian Kammerer, Clotilde Équation de la chaleur et Mesures semi-classiques (1995) (Ph. D. Thesis)

[FK00] Fermanian Kammerer, Clotilde Mesures semi-classiques 2-microlocales, C. R. Math. Acad. Sci. Paris, Volume 331 (2000) no. 7, pp. 515-518 | DOI | MR | Zbl

[FK05] Fermanian Kammerer, Clotilde Analyse à deux échelles d’une suite bornée de L 2 sur une sous-variété du cotangent, C. R. Math. Acad. Sci. Paris, Volume 340 (2005) no. 4, pp. 269-274 | DOI | MR | Zbl

[FK14] Fermanian Kammerer, Clotilde Opérateurs pseudo-différentiels semi-classiques, Chaos en mécanique quantique. Journées mathématiques X-UPS 2014, Éditions de l’École polytechnique, 2014, pp. 53-100 | Zbl

[Flo83] Floquet, Gaston Sur les équations différentielles linéaires à coefficients périodiques, Ann. Sci. Éc. Norm. Supér., Volume 12 (1883), pp. 47-88 | DOI | Numdam | Zbl

[Fol89] Folland, Gerald B. Harmonic analysis in phase space, Annals of Mathematics Studies, Volume 122, Princeton University Press, 1989 | MR | Zbl

[GL93] Gérard, Patrick; Leichtnam, Éric Ergodic properties of eigenfunctions for the Dirichlet problem, Duke Math. J., Volume 71 (1993) no. 2, pp. 559-607 | MR | Zbl

[GMMP97] Gérard, Patrick; Markowich, Peter A.; Mauser, Norbert J.; Poupaud, Frédéric Homogenization limits and Wigner transforms, Commun. Pure Appl. Math., Volume 50 (1997) no. 4, pp. 323-379 | DOI | MR | Zbl

[GMS91] Gérard, Christian; Martinez, André; Sjöstrand, Johannes A mathematical approach to the effective Hamiltonian in perturbed periodic problems, Commun. Math. Phys., Volume 142 (1991) no. 2, pp. 217-244 | DOI | MR

[Gér91a] Gérard, Patrick Mesures semi-classiques et ondes de Bloch, Séminaire Équations aux dérivées partielles (Polytechnique) (1991), Exp. No. XVI, 19 pages | Numdam | Zbl

[Gér91b] Gérard, Patrick Microlocal defect measures, Commun. Partial Differ. Equations, Volume 16 (1991) no. 11, pp. 1761-1794 | DOI | MR | Zbl

[Hir94] Hirsch, Morris W. Differential topology, Graduate Texts in Mathematics, Volume 33, Springer, 1994 (corrected reprint of the 1976 original.) | MR

[HST01] Hövermann, Frank; Spohn, Herbert; Teufel, Stefan Semiclassical limit for the Schrödinger equation with a short scale periodic potential, Commun. Math. Phys., Volume 215 (2001) no. 3, pp. 609-629 | DOI | Zbl

[HW11] Hoefer, Mark A.; Weinstein, Michael I. Defect modes and homogenization of periodic Schrödinger operators, SIAM J. Math. Anal., Volume 43 (2011) no. 2, pp. 971-996 | DOI | Zbl

[Kuc01] Kuchment, Peter The mathematics of photonic crystals, Mathematical modeling in optical science. Proceedings of a minisymposium on optics at SIAM’s annual meeting, Stanford Univ., Palo Alto, CA, USA, 1997 (Frontiers in Applied Mathematics) Volume 22, Society for Industrial and Applied Mathematics, 2001, pp. 207-272 | MR | Zbl

[Kuc04] Kuchment, Peter On some spectral problems of mathematical physics, Partial differential equations and inverse problems. Proceedings of the Pan-American Advanced Studies Institute on partial differential equations, nonlinear analysis and inverse problems, Santiago, Chile, January 6–18, 2003 (Contemporary Mathematics) Volume 362, American Mathematical Society, 2004, pp. 241-276 | MR | Zbl

[Kuc16] Kuchment, Peter An overview of periodic elliptic operators, Bull. Am. Math. Soc., Volume 53 (2016) no. 3, pp. 343-414 | DOI | MR | Zbl

[Lew17] Lewin, Mathieu Éléments de théorie spectrale: le Laplacien sur un ouvert borné, 2017 (class notes, Master. CEntre de REcherche en MAthématiques de la DEcision, Université Paris Dauphine, France)

[LK55] Luttinger, Joachim Mazdak; Kohn, Walter Motion of electrons and holes in perturbed periodic fields, Phys. Rev., II. Ser., Volume 97 (1955), pp. 869-883

[LP93] Lions, Pierre-Louis; Paul, Thierry Sur les mesures de Wigner, Rev. Mat. Iberoam., Volume 9 (1993) no. 3, pp. 553-618 | DOI | MR | Zbl

[Mac09] Macià, Fabricio Semiclassical measures and the Schrödinger flow on Riemannian manifolds, Nonlinearity, Volume 22 (2009) no. 5, pp. 1003-1020 | DOI | MR | Zbl

[Mac10] Macià, Fabricio High-frequency propagation for the Schrödinger equation on the torus, J. Funct. Anal., Volume 258 (2010) no. 3, pp. 933-955 | DOI | Zbl

[Mac11] Macià, Fabricio The Schrödinger flow on a compact manifold: High-frequency dynamics and dispersion, Modern Aspects of the Theory of Partial Differential Equations (Operator Theory: Advances and Application) Volume 216, Birkhäuser, 2011, pp. 275-289 | DOI | MR | Zbl

[Mac15] Macià, Fabricio High-frequency dynamics for the Schrödinger equation, with applications to dispersion and observability, Nonlinear optical and atomic systems. At the interface of physics and mathematics (Lecture Notes in Mathematics) Volume 2146, Springer, 2015, pp. 275-335 (based on lecture notes given at the 2013 Painlevé-CEMPI-PhLAM thematic semester) | DOI | MR | Zbl

[Mar02] Martinez, André An introduction to semiclassical and microlocal analysis, Universitext, Springer, 2002 | Zbl

[MR16] Macià, Fabricio; Rivière, Gabriel Concentration and non-concentration for the Schrödinger evolution on Zoll manifolds, Commun. Math. Phys., Volume 345 (2016) no. 3, pp. 1019-1054 | DOI | Zbl

[MR18] Macià, Fabricio; Rivière, Gabriel Two-microlocal regularity of quasimodes on the torus, Anal. PDE, Volume 11 (2018) no. 8, pp. 2111-2136 | DOI | MR | Zbl

[Out87] Outassourt, Abderrahim Comportement semi-classique pour l’opérateur de Schrödinger à potentiel périodique, J. Funct. Anal., Volume 72 (1987) no. 1, pp. 65-93 | DOI | MR

[PR96] Poupaud, Frédéric; Ringhofer, Christian Semi-classical limits in a crystal with exterior potentials and effective mass theorems, Commun. Partial Differ. Equations, Volume 21 (1996) no. 11-12, pp. 1897-1918 | DOI | MR | Zbl

[PST03] Panati, Gianluca; Spohn, Herbert; Teufel, Stefan Effective dynamics for Bloch electrons: Peierls substitution and beyond, Commun. Math. Phys., Volume 242 (2003) no. 3, pp. 547-578 | DOI | MR | Zbl

[RS78] Reed, Michael; Simon, Barry Methods of modern mathematical physics. IV. Analysis of operators, Academic Press Inc., 1978 | Zbl

[Wil78] Wilcox, Calvin H. Theory of Bloch waves, J. Anal. Math., Volume 33 (1978), pp. 146-167 | DOI | MR | Zbl

[Zwo12] Zworski, Maciej Semiclassical analysis, Graduate Studies in Mathematics, Volume 138, American Mathematical Society, 2012 | MR | Zbl