What does the Born-Oppenheimer approximation mean for emergence?

Most philosophical debates about the emergence of molecular structure centre around the issue of irreducibility. Specifically, can the existence of structures be predicted from quantum theory without assuming their existence or invoking classical concepts? I will argue that the answer is yes, contrary to much of the philosophical literature, which relies heavily on the widespread use of the Born-Oppenheimer approximation (BOA) in quantum chemistry calculations. However, the fact that these arguments for irreducibility are weak does not mean that emergence (defined in terms of novelty) is not central to chemistry.

In a previous post, I discussed recent work showing how the BOA is not necessary for quantum chemistry and that molecular structure can be defined independently of it.

However, since the BOA plays a central role in the philosophical arguments, it is worth reviewing what it is and what it does and does not assume or mean.

In 1927, Born and Oppenheimer introduced an approximation to allow the solution of the full quantum equations for electrons interacting with charged nuclei. Without the BOA, much of theoretical chemistry and solid-state physics would be incredibly difficult in practice. The approximation is based on the separation of time and energy scales associated with electronic and nuclear motion. It leads to the concept of potential energy surfaces for electronic states. They define an effective theory for the dynamics of the atomic nuclei in a molecule or solid.

The full Hamiltonian (given earlier) can be denoted by

 

where the first term is the kinetic energy operator for the nuclei. In the Born-Oppenheimer approximation (BOA) the full wavefunction is written as a product of a nuclear wavefunction and an electronic wavefunction.

Substituting this in the eigenvalue equation for the full Hamiltonian leads to separate eigenvalue equations for the electronic and nuclear wavefunctions, assuming terms depending on gradients with respect to R of the electronic terms can be neglected.

 

In the first equation, the nuclear co-ordinates appear as parameters not as operators. This is central to the philosophical debates.

The second equation can be viewed as an effective Hamiltonian for the nuclear degrees of freedom. The function E_e(R) defines the potential energy surface of the molecule. 

In the BOA the nuclear probability distribution defined above is

 

As discussed in the earlier post, the structure of many molecules can be defined in terms of the value of R at which the probability is maximum. 

I make four points about the BOA that are relevant to philosophical debates about whether molecular structure is predictable in a logically consistent manner from quantum theory.

1. The BOA does treat the nuclear degrees of freedom quantum mechanically. They are described by the nuclear wavefunction Phi(R), which is determined by the second eigenvalue equation. Consequently, the BOA does not violate Heisenberg’s uncertainty principle, contrary to some claims in the philosophy literature.

2. The BOA is not ad hoc. Corrections to it can be calculated and have been for many molecules. These corrections are typically small, being of order (me/Mi)^1/2. Exceptions, such as near conical intersections (where the potential energy surfaces for two electronic states touch) are well-known and well-studied.

3. For most small molecules, the results of BOA calculations compare favourably with wave-functions obtained from solutions of the full quantum Hamiltonian. When there are differences, they are largely small quantitative differences. When the differences are qualitative, they have largely been anticipated from knowledge of the limitations of the BOA.

4. The Born-Oppenheimer approximation is an example of a general approach to quantum mechanics problems, discussed by Migdal. Consider a system composed of two subsystems that have dynamics on two vastly different time scales, termed fast and slow. The effects of the fast system on the slow system can be treated by adding a potential energy term to the Hamiltonian operator of the slow system. 

In forthcoming posts, I will discuss quantum justifications for classical descriptions of nuclear dynamics on potential energy surfaces and then discuss philosophers' views about the BOA and molecular structure.

Condensed matter physics is about how order emerges from disorder

 The order of things

Life and the world around us sometimes appears chaotic and random. We may feel this way about traffic, weather, economics, social change, politics, or our personal relationships. Perhaps that is why many yearn for regularity, predictability, order, and stability. Science is a search for patterns and order in the natural world. Condensed matter physics is about how order emerges from disorder.

This chapter explores how different states of matter are associated with different types of ordering of the atoms in the material. The symmetry of the state reflects the type of ordering, i.e., the patterns associated with the state. There is also a rigidity associated with the ordering and the rigidity determines the nature of the deviations from perfect ordering and results in entities such as vortices that are central to the physical properties of the state of matter.

The association of a state of matter with a specific type of ordering is illustrated in Figure 15 by an analogue with the dodgem bumper cars at an amusement park. A quiet day at the park is not much fun as collisions between cars are rare. In other words, there is little correlation between the relative locations and speeds of the cars. In comparison, on a busy day at the park the spatial separation of the cars is small, and their positions and speeds are more correlated with one another than on a quiet day. But, in both cases, there is no ordered arrangement of the cars. In contrast, after the park closes the cars are parked and arranged in an orderly manner. There is a rigidity associated with their spatial arrangement. One car cannot be moved without moving others. These three states of the dodgem cars are an analogue of three states of matter: gas, liquid, and crystal. 

Figure 15. A dodgem car analogue for the three states of matter: crystal, liquid, and gas. The only ordered arrangement is for the crystal (car park after hours) and this is associated with a specific symmetry and rigidity. The liquid and gas (busy and quiet day) only differ in density and the amount of correlation between the positions of the different atoms (dodgem cars).

In the dodgem car analogue, there are other possible types of ordering. In some amusement parks there is a track, and the cars are meant to all go in the same direction. The symmetry between clockwise and anti-clockwise of the track is then broken.  In the car park, Figure 15 shows cars that are symmetrical with respect to front and back. However, real cars have a front and back, and so can be parked either front first or back first. Hence, several types of ordering are possible: all cars park back first, all cars park front first, cars are front first or back first at random, alternating patterns of front first and back first as one goes along a row, alternating rows of front first and back first, and so on. These different types of ordering in the car park all have analogues in different solid states of matter.

Liquid crystals involve unique types of ordering. These materials are composed of elongated organic molecules, such as those shown in Figure 16. At high temperatures the material is in a liquid state and the orientations and positions of the molecules are random. The liquid has both continuous translational and rotational symmetry. At low temperatures the molecules form a solid crystal without the continuous translational and rotational symmetry of the liquid state. As the crystal is heated the temperature increases and there is a phase transition to the liquid crystal state, in which all the molecules point in the same direction, but their positions are random. Hence, the liquid crystal state has the continuous translational symmetry of the liquid, but not its continuous rotational symmetry, like the crystal. As the temperature increases further there is a transition to the liquid state (Figure 16). In terms of the dodgem car analogue the liquid crystal state is similar to when cars park in a field all pointing in the same direction but there are no grid lines, and their positions are then random.

The existence of a state in between a liquid and crystal was first proposed in 1888 by botanist and chemist Friedrich Reinitzer who was doing research on cholesterol at the Institute for Plant Physiology in Prague. He performed a heating experiment similar to that described in Figure 4. Instead of one melting transition he observed transitions at two distinct temperatures. 

Figure 16. Liquid crystals. (a) An example of the type of elongate organic molecule found in these materials. Each molecule can be represented by an oval shape. (b) In the nematic liquid crystal state, the molecules tend to point in the same direction, but their positions are random. 

There are multiple alternative orderings for liquid crystals with names such as nematic, smectic, chiral nematic, discotic, and chlorestic. In the smectic phase molecules form layers of oriented molecules. The character of the liquid crystal state can be detected by shining polarised light on the material. Liquid crystal displays (LCDs) in electronic devices use the property that an electric field can orient the molecules, and this changes the interaction of the material with polarised light.

For solid crystals the nature of the ordering and the symmetry associated with a specific crystal structure is clear once the spatial arrangements of the atoms in the crystal are determined, such as by X-ray diffraction. For other states of matter, such as superconductors, superfluids, and antiferromagnets, the nature of the ordering and the symmetry is often not apparent and has only been determined with significant scientific insight. 

An extract from "The order of things," chapter 4 in Condensed Matter Physics: A Very Short Introduction.

The emergence of molecular structure from quantum theory

Most debates about the emergence of molecular structure centre around the issue of irreducibility. Specifically, can the existence of molecular structures be predicted from quantum theory without assuming their existence or invoking classical concepts?

Consider a molecule that contains Ne electrons and Nn atomic nuclei (ions). The full quantum-mechanical Hamiltonian for the system is 

where e is the electronic charge, rj is the position of the j-th electron, Zi  and Mi are the charge and mass, respectively, of the i’th ion with position co-ordinate Rj. This is the Hamiltonian that Laughlin and Pines dubbed “The Theory of Everything” because if the solution (i.e., eigenstates and eigenvalues of the Hamiltonian operator) could be found it would describe almost all of chemistry and materials science.

This Hamiltonian treats the electrons and nuclei on an equal footing. 

For isomers, the Hamiltonian is identical. However, as will be discussed in a later post, that does not preclude solutions to the Hamiltonian that can describe isomers. 

The Hamiltonian has global translational and rotational symmetry, where all the particles undergo the same rotation or translation. In contrast, molecular structures may have discrete rotational symmetries. However, this is not necessarily a problem, as an eigenstate of a quantum problem can transform according to a non-trivial irreducible representation of the symmetry. For example, except the s-orbitals all the orbitals of the hydrogen atom are spatially anisotropic.

The electrons are identical particles and so have permutation symmetry. They are fermions with spin-1/2 and so any eigenstate must be antisymmetric under the exchange of two electrons. The energies associated with this exchange are crucial to the formation of chemical bonds and the stability of molecular structures.

If two or more atoms in the molecule are identical, then any exact eigenstate must be consistent with permutation symmetry. If a nucleus is composed of an even (odd) number of nucleons, then it is a boson (fermion) with integer (half-integer) spin, and eigenstates must be symmetric (antisymmetric) under exchange of identical nuclei. However, the corresponding exchange energies are relatively small (because the quantum delocalisation of the nuclei is small) and consequently most practical calculations of the eigenstates do not make this requirement of the eigenstates. Nevertheless, if the electrons and nuclei are treated on equal footing, this should be done. Although this is challenging, it has been done recently, as discussed below. 

Full quantum solutions of the Hamiltonian

In most computational quantum chemistry, the Hamiltonian is solved in the Born-Oppenheimer approximation, which will be introduced and discussed later. This is a source of some confusion and contention in philosophical discussions about the emergence of molecular structure.

Due to advances in methodology and computational power over the past few decades, it has become possible in practise to solve the full quantum Hamiltonian for small molecules. There are three levels of complication associated with this: quantum nuclear motion, rotational symmetry, and some nuclei being identical particles. There are also two challenges: first, finding the eigenstates and second, deducing the molecular structure from the eigenstates.

To begin, I consider the simplest case and ignore the complications associated with rotational symmetry or identical nuclei. This provides some insight and undermines some objections in the philosophical literature.

The ground state eigenfunction can be written as

where r and R are 3Ne and 3Na -dimensional vectors, respectively. Note that this function will have a complicated structure as it will depend on the spin states of all the electrons, denoted by s.

A probability distribution (reduced density matrix) for the positions of the nuclei is given by

where the sum is over all the electron spin degrees of freedom.

For many molecules, but not all, this probability distribution will have a unique global maximum at the coordinates R_0. This set of coordinates defines the geometry of the molecular structure. The physics underlying the existence of well-defined maxima is that the mass of the nuclei is much larger than the mass of the electrons, and as a result, the zero-point motions of the nuclei are much smaller than the separation of the nuclei in the molecular structure.

Note that the nuclear probability distribution is regularly measured in scattering experiments (using X-rays, neutrons, or electrons), and its maxima are used to determine the structures of molecules and crystals. The Debye-Waller factor is a measure of the width of the probability distribution. At low temperatures, it is determined by quantum zero-point motion. In other words, it is well established experimentally that classical molecular structures are an approximation to a fluctuating quantum structure.

Not every molecule will have a probability distribution with a unique maximum. An example is ammonia. As discussed further below, it has two maxima; each represents an umbrella geometry, and they are related by an inversion symmetry. The ground state wavefunction of the whole system is a superposition of two quantum states, each being associated with one of the two umbrella geometries, and the electronic and nuclear degrees of freedom are entangled with one another.

A general quantum definition of molecular structure

Lang et al. have recently overcome the challenges mentioned above to determine molecular structure in a manner that treats the electrons and nuclei on an equal footing with regard to quantum theory. They have considered both rotational symmetry and nuclear permutation symmetry and given a general definition of molecular structure involving nuclear probability densities calculated from the full wavefunction. They have explicitly performed these calculations for D3+, (where D is deuterium). The result is that the molecule has the same triangular structure that is observed experimentally and calculated using the Born-Oppenheimer approximation. This work is significant because it explicitly shows that molecular structure can be predicted in practice, not just in principle, from quantum theory.

In a forthcoming post, I will discuss the Born-Oppenheimer approximation and some of the confusion associated with it.

Symmetry matters in condensed matter physics

 Snowflakes form incredibly diverse structures, seen when they condense onto a plate of glass. Every snowflake is different. On the other hand, every snowflake is the same. They are all composed of ice, a solid state of water. Every snowflake is composed of units that have a six-fold symmetry (Figure 8). Every snowflake is composed solely of water molecules. This paradox of the particular and the universal is at the heart of condensed matter physics. Although diversity prevails anything is not possible. No snowflake has five-fold symmetry. Snowflakes have enchanted scientists for a long time. The astronomer Johannes Kepler studied them and in 1611 wrote a small book about them as a gift for his patron. Kepler suggested snowflakes provided clues to deeper questions about the composition of matter. Today, Kenneth Libbrecht, a physicist at Caltech, has spent most of his career studying snowflakes and has produced beautiful volumes of photographs of them.

Figure 8. A snowflake shows a six-fold symmetry, just like a hexagon. The snowflake appears identical when it is rotated by an angle of sixty degrees about an axis passing through its centre and perpendicular to the page.

Condensed matter physicists ask several questions about snowflakes. What is the reason for the six-fold symmetry of the snowflake? What is the connection between the macroscopic properties of snowflakes and the properties of the underlying microscopic constituents, molecules of H2O? How is the diversity of snowflake shapes possible? Is there a phase diagram that defines the external conditions under which the different shapes form?

There is a long history in art, architecture, philosophy, and science, of associating symmetry with beauty and perfection. The ancient Greek philosopher Plato was a proponent of this view. He studied a particular class of solid shapes: cube, tetrahedron, octahedron, icosahedron, and dodecahedron. Plato identified the first four shapes with the four “elements”: earth, wind, fire, and water, respectively, and the fifth with the heavens. Each of these solid shapes is highly symmetric. Every face of a Platonic solid is the same shape (square, triangle, pentagon,...) and each of those shapes has edges of equal length. 

Like Plato, Kepler believed that “God is a geometer” and that God’s creation should reflect the perfection of God. These convictions led Kepler to propose in 1597 that the orbits of the planets around the Sun were circular and that the Platonic solids determined the relative size of the orbits. Later this model for the solar system was shown not to be true. In fact, Kepler himself became famous because he showed that the planets moved in elliptical, not circular orbits. Nevertheless, Kepler’s model was the beginning of a long history of successfully relating physical laws to symmetry and geometry.

A key discovery in physics from the past century is that symmetry is central to understanding a wide range of physical phenomena, whether colliding billiard balls, the allowed energies of an atom, the fundamental forces of nature, or different states of matter. Symmetries determine what is physically possible. For example, that energy cannot be created or destroyed is a consequence of the fact that physical laws do not change with time.

In this Chapter I explore three key ideas. First, transitions between different states of matter are associated with changes in symmetry. Thus, symmetry provides a criterion for specifying the qualitative difference between distinct states of matter. Second, for a specific state of matter the relevant symmetry constrains what is physically possible. Third, symmetry is central to making connections between the macroscopic and microscopic properties of a state of matter. The next chapter will explore how symmetry is associated with the type of ordering that occurs in a state of matter.

An extract from Chapter 3, Condensed Matter Physics: A Very Short Introduction

Are chemical isomers emergent?

In discussions of emergence, particularly in chemistry, isomers are often given as an example of an emergent phenomenon. In Anderson's original "More is Different" article, he discussed the chirality of sugar molecules as an example of symmetry breaking. More recently, isomers (and the associated concept of molecular structure) are invoked to justify contentious claims about strong emergence and downward causality.

Here, I explain what isomers are and consider whether they are emergent in the sense of novelty, i.e., they have properties that are qualitatively different from their constituents.

In a later post, I hope to address the more general and knotty problems of molecular structure and the Born-Oppenheimer approximation.

Structural isomers

These occur when a specific collection of atoms (chemical formula) can have more than one molecular structure. An example, shown below, is C3H4.

Each structure has different chemical and physical properties. Aggregates of each molecule can have different properties such as boiling and melting points.

Some isomers are more stable than others. They may be able to interconvert, but sometimes not on laboratory time scales.

From the point of view of a ground state potential energy surface, the different isomer structures correspond to different local minima on the surface.

Stereoisomers

The simplest example is HFClBr. There are two stable structures shown below. They are related by a chiral (mirror) symmetry. They differ physically in that they rotate the plane of polarisation of incident light in opposite directions. 

The isomers, known as enantiomers, have the same ground state energy. In terms of a potential energy surface, they correspond to two different minima and are separated by a high-energy barrier. In principle, the two forms can quantum-tunnel between each other.

Chemically, the two isomers differ in how they react with other chiral molecules.

Chirality is central to molecular biology. Proteins are made of amino acids, and in nature they all have the L-form. Most forms of DNA involve double helices with right-handed chirality. 

The chirality of drug molecules matters, as tragically found with thalidomide in the 1950s. 

Emergence?

The constituent components of these molecules can be viewed as electrons and atomic nuclei. Alternatively, the components could be viewed as the atoms they are made of. In both cases, the parts of the system do not have the structure and properties that the system does. The atoms, nuclei, and electrons all have spherical symmetry, whereas the molecules do not. Another argument is that since the isomers are qualitatively different from one another, at least one of them must be qualitatively different from the components. Hence, these molecular structures can be viewed as emergent.

However, this goes against the view that we generally associate emergence with systems with many interacting parts. If we take two massive particles interacting by gravity, they can form a stable orbit. Neither particle has this property, but we don't generally claim that such orbits are emergent.

[I am grateful to a commenter on an old post who pointed this out].

Isomers illustrate the diversity of forms often associated with emergence.

There are subtleties associated with the stability of enantiomers and the associated breaking of chiral symmetry. This is similar to the issue of ammonia having a stable pyramidal structure. (Also discussed by Anderson in "More is Different"). An isolated molecule in a vacuum will have no chirality. The ground state is a quantum superposition of both enantiomers. However, in the laboratory, the interaction of each molecule with its environment, such as other molecules, leads to decoherence that prevents quantum tunnelling. In that case, there are an infinite number of degrees of freedom associated with the environment, and they are crucial for the emergence of enantiomers.

How many states of matter are there?

Diamond and graphite are distinct solid states of carbon. They have qualitatively different physical properties, at both the microscopic and the macroscopic scale. Condensed matter physics is all about states of matter. In science classes at school, you were probably taught that there are only three states of matter: solid, liquid, and gas. Like other things you were told in school, this is incorrect. There are endless, unlimited, distinct states of matter. 

Consider the “liquid crystals” that are the basis of LCDs (Liquid Crystal Displays) in the screens of televisions, computers, and smartphones. How can something be both a liquid and a crystal? A liquid crystal is a distinct state of matter. Solids can be found in many different states. We have already seen that there are two different solid states of carbon: graphite and diamond. In everyday life ice means simply solid water. But there are in fact eighteen different solid states of water, depending on the temperature of the water and the pressure that is applied to the ice. In each of these eighteen states there is a unique spatial arrangement of the water molecules and there are qualitative differences in the physical properties of the different solid states. Welcome to the world of condensed matter...

Extract from Chapter 1, Condensed Matter Physics: A Very Short Introduction

Classifying objects, people, and societies requires making qualitative distinctions. One book is easy to understand, and another is hard. One person is kind, and another is mean. One society is egalitarian, and another is not. Justifying such qualitative distinctions is hard. Not everyone will agree. Are there definitive criteria to justify a particular quality? Some claim they can quantify qualities such as these but that is contentious. In contrast, in condensed matter physics it is possible to give objective criteria that distinguish different states of matter. A state can only exist under specific external conditions, including defined ranges of parameters such as temperature and pressure. This chapter describes the clear signatures of transitions between different states that are observed as these parameters are varied. Some of the many known states of matter will be introduced including superconductors, superfluids, and magnets. On the way we will learn about “dry ice”, how to convert graphite into diamond, and how freeze-dried food is made.

Abrupt changes in properties

If you put some ice cubes in one empty glass and water in another, the ice does not change its shape, whereas water takes the shape of the glass. Solids are rigid and liquids are not. The distinct change from one state to another can be detected by observing an abrupt change or discontinuity in physical properties. For example, ice (solid water) has a different density to liquid water. This is evident because ice floats. The solid state of water has a lower density than the liquid state. To put it another way, water expands when it freezes. That’s why water pipes can burst if they freeze in cold weather.

A transition between two distinct states of matter is an example of a tipping point: a small change in a system variable can produce large changes in the system. For example, changing the temperature of water from +1 °C to -1 °C can produce a qualitative change in the system's properties. The water changes from liquid to solid. Tipping points occur in a wide range of physical, biological, and social systems. Examples include a stock market crash, the outbreak of an epidemic, and the operation of a room thermostat. Tipping points show that quantitative differences can become qualitative differences.

Extract from Chapter 2, Condensed Matter Physics: A Very Short Introduction

What is condensed matter physics?

 Every day we encounter a diversity of materials: liquids, glass, ceramics, metals, crystals, magnets, plastics, semiconductors, foams, … These materials look and feel different from one another. Their physical properties vary significantly: are they soft and squishy or hard and rigid? Shiny, black, or colourful? Do they absorb heat easily? Do they conduct electricity? The distinct physical properties of different materials are central to their use in technologies around us: smartphones, alloys, semiconductor chips, computer memories, cooking pots, magnets in MRI machines, LEDs in solid state lighting, and fibre optic cables. Consequently, the science of materials attracts researchers in a wide range of disciplines: physics, chemistry, biology, mathematics, and the varieties of engineering (electrical, chemical, mechanical, material…). But why do different materials have different physical properties? 

There are more than one hundred different types of atoms, or chemical elements, in the universe. Any material is composed of a specific collection of different atoms, and they are arranged in a particular spatial pattern within the material. A central question is: 

How are the physical properties of a material related to the properties of the atoms from which the material is made?

Extract from Chapter 1, Condensed Matter Physics: A Very Short Introduction