Nearly-free electron model Created 2026-09-24 Updated 2026-09-24
The nearly-free electron model treats a weak periodic potential by degenerate perturbation theory. At a Bragg crossing, a Fourier coefficient couples the two degenerate plane waves and opens an energy gap of width .
Put . Within the degenerate eigenspace spanned by , the perturbation is
Degenerate perturbation theory diagonalizes this matrix. Its normalized eigenstates have first-order shifts . The coupling to has order , so it cannot affect an energy through order . Therefore
The potential has period , so the first Brillouin zone is . At its boundary the free-particle states
are degenerate, with energy
The relevant Fourier coefficient is supplied by :
The term changes wavevector by two and has no matrix element within this degenerate pair. Thus degenerate perturbation theory gives the matrix
and the two band-edge energies
The nearly-free electron model therefore predicts the lowest band gap
Let . The free states and are degenerate at the Bragg point . Since
degenerate perturbation theory restricts the Hamiltonian near this crossing to
Writing and diagonalizing gives the nearly-free electron dispersion near a one-dimensional band gap
Thus the two continuous bands avoid crossing, and at their separation is
This is the nearly-free electron model. The dispersion relation is the relation between energy and Bloch wavevector.
For the specified potential,
Hence
and all other nonconstant Fourier coefficients vanish. The gaps are therefore
Their centre energies are respectively
The extended-zone sketch consists of the free-particle parabolas shifted upward by , with avoided crossings of these two widths at the listed Bragg points; elsewhere they meet to this order because the corresponding Fourier coefficients vanish.
Figure 1.
Extended-zone nearly-free-electron bands and their two nonzero gaps
. Gray curves are the intersecting free-electron parabolas. Colored avoided crossings show the larger n equals 2 gap at ka over pi equals plus or minus 2 and the smaller n equals 4 gap at plus or minus 4.
The degenerate subspace has ordered basis
Using the ladder actions,
Thus degenerate perturbation theory asks us to diagonalize
Its normalized eigenvectors and first-order energies are
There is no order- admixture from other unperturbed levels.
In fact, preserves , so this two-dimensional eigenspace of is invariant. Directly,
Therefore
for every real , with no omitted higher-order terms. This is exact diagonalization within a degenerate subspace, specifically the resonant two-to-one oscillator coupling.
For , the eigenspaces of energies and are each two-dimensional because is free. Degenerate perturbation theory requires diagonalizing within each space. It is already diagonal in the product basis, with eigenvalues . Therefore the first-order eigenvectors remain
and their energies are , respectively. These are the exact answers, so all higher corrections vanish.
Within each degenerate unperturbed eigenspace of fixed , the perturbation has matrix
Its eigenvectors are and , with first-order shifts and . Thus degenerate perturbation theory gives exactly the states and energies found in part (i); again, all higher corrections vanish because the perturbation commutes with the second-oscillator Hamiltonian and is exactly diagonalized within each degenerate block.