On the behavior of an electron in a homogeneous

electrical field according to the relativistic Theory

of Dirac
Fritz Sauter in Munich. With 6 Illustrations.
April 21st, 1931
Abstract
We give the solutions of the Equation of Dirac with the potential
V = vx and discuss their properties. In addition to the solutions in the
non-relativistic calculation, the Dirac solution contains a region in which
the momentum and velocity of the electron have the opposite sign. We
calculate the probability for an electron to change from the regime of
negative momentum to the area of positive momentum. It turns out
that the transition probability takes finite values only if the increase of the
potential over distance of the Compton wavelength becomes comparable
with the rest energy of the electron. The large values of the transition
probability of a potential step of the dimension of the double rest energy
calculated by O. Klein may therefore be understood as limiting values for
an infinitely sharp potential step.

Some time ago, an interesting work was appeared by 0. Klein 1 on the reflection of electrons at a potential step. The calculations followed the relativistic
theory of Dirac showed the following result: If the height of the step P is increased starting from 0, the reflection coefficient R rises from 0 up to the value
1, which is reached at P = E E0 . (E is the relativistic energy of the electron,
E0 is its rest energy.) By further increasing P , R remains 1 until the value
P = E + E0 is reached. Upon a further increase of the height of the potential
step, the value of the reflection coefficient decreases and approaches Ecp
E+cp in the
limit P = . (p = Impulse of the electron before the potential step). Thus,
in the Dirac theory, an electron has a finite probability of going through a very
high, classically totally reflecting, potential step. More surprisingly, the electron
has, after going through the potential step, a velocity (group velocity) pointing
opposite to its momentum.
1 O.

Klein, ZS f. Phys. 53, 157, 1929

The appearance of a negative momentum is not too surprising, after having

learned how to deal with negative energies2 . More remarkable is the large
probability found by O. Klein for the transition from a positive to a negative
momentum. N. Bohr mentioned that this high value is due to a very high
potential step, and that finite transition probabilities are obtained only if the
potential grows by mc2 over a range of the size of the Compton wavelength
h/mc3 .
It is the aim of this paper to verify this explanation by N. Bohr. For this
purpose, the rectangular potential jump AB 0 C 0 D (Fig. 1) of O. Klein will be
replaced by a potential ABCD consisting of two areas (I and III) of a constant
potential and an area of (II) linearly rising potential, corresponding to a constant electric field. We shall calculate the transition probability for an electron
going from area I to area III. For this we first solve the Dirac equation in a homogeneous electrical field. The first three sections deal with finding the solution
and their discussion while in the fourth section deals with the problem of the
transition probability of an electron from positive to negative momentum.

Solution of the Dirac-Gleichung

The potential V is given in the form

V = vx

(1)

and the Diracs equation reads

with the abbreviations

The ansatz
2 Cmp. Theory of Dispersion, like I. Waller (ZS.f.Phys. 61,837,1930 showed, where the
states of negative energy have a special meaning.
3 I want to thank Prof. Heisenberg for this remark

changes (2) into

This equation is rearranged by setting

where 5 anticommutes with 1 , 4 and satisfies 52 = 1. After multiplication

(5) from the left-hand side by 1 , it becomes

We introduce natural units. With

we obtain from (5a)

One could now integrate this equation by introducing for the a particular set
of 4 4 Dirac matrices and for an array of four functions leading to a system
of four differential equations of first order. More conveneintly, however, (10) is
integrated without specializing the 4 . For this we write in the general form

where f and g do not contain any , and is an arbitrary operator constructed

out of the s. If one introduces this ansatz into (10), one can factor out 1+i1 4
and obtains
4 F.

Sauter, ZS. f. Phys. 63,803,1930; 64,295,1930

If one multiplies this equation from the left by 1 i1 4 , one recognizes that
the expressions in the two square brackets must both vanish;

These equations can easily be solved. If F (, , x) denotes the degenerated hypergeometric function, defined by the expansion converging in the entire complex plane

one can write the two solutions of (12) in the form:

Note that

, where the star indicates complex conjugation.

In the following, the series expansion (14) will often be replaced by an integral representation. Consider the function

Due to (13), it has the expansion

4

Here we insert for 1/( + 1) the known integral representation

where integration contour is runs around t = 0 in the direction of the positive

real axis to infinity. The sum over can be carried out and yields

One gets a symmetric form by the transformation

this yields5

The integration path can be seen from Fig. 2. The arguments of s i/2 go from
0 to 2.

By introducing into (14), we obtain the integral representations for the

solutions
5 The integral representation of W. Gordon (Ann.d. Phys. (5) 2, 1031, 1929) is inconvenient
for the following calculations.

One verifies easily, that these expressions satisfy the equations (12). The absolute sign of || is necessary, to have the symmetry of the functions f and g
with respect to = 0, implied by (14), and to ensure the continuity of the wave
function at this point.6

Expansion of f and g for large k

For the physical application the knowledge of the function f and g is required.
The sum expansion of (14) using (13) converges only for very small values of
and k, where we may consider only the first two terms in the sum. This
development is unsuitable for larger values of and k.
Let us estimate the order of magnitude of k, which we can write as [see (6)
and (9)]

If the momentum components in the y- and z- direction are small compared

to E0 /c, then k depends only on the value of the potential rise. By using the
numerical values and expressing v/e in Volt/cm

one recognizes that even for the highest experimentally possible electrostatic
fields of some millions of Volt/cm k is some orders of magnitude greater than 1.
Only for practically never reachable extreme high fields of 1016 Volts/cm will k
be comparably to 1. In the following we shall deal with the case k  1.
To have a fast convergence, we expand f and g in powers of inverse powers
of k which is possible using the Debye Saddle Point Method. The functions in
(17) have the generic form
6 Note

that = 0 is a singular point in the integral representation (16a).

where G(s) changes slowly changing compared to the first two factors of the
integrand. With the abbreviation

F can be written as

This integral is evaluated by seeking a saddle-point at which the integrand has

the sharpest possible maximum, then changing the integration contour to run
through this point, and expanding the integrand around it. The result is a
quickly converging sum which one can truncate after the first term.
The position of the saddle points are obtained by solving

With these two points

These lie , on the real or imaginary axis, depending on whether || is smaller or

larger than k
The points || = k play mathematically a special role. One verifies easily
that they are also physically special. Due to (6), (8) and (9), they are positions
satisfying the condition

i.e. at these points disappears (classically speaking) the momentum component

px in the field direction. The points represent the turning points of the classic
path in the regime || > k. The regime || < k is classically forbidden.
For the calculation of (18a), we still must specify the contour of integration
near the saddle points. As it is well known, the contour is placed with advantage
7

so that the real part of the exponent R(h) decreases as quickly as possible,
meaning that the imaginary part of h(s) remains constant. By writing s = +i ,
this gives the condition

and thus the equation

We treat the two cases || < k and || > k separately:

1. || < k The saddle point is on the real axis. The integration paths are
given by

Its path is shown in Fig. 3. (The real axis || = 0 is also a branch of the
integration path) The arrows mean decreasment of the real part of h, that is
increasing the integrand. A suitable integration path, which transforms steadily
into the integration path of Fig. 2, can be recieved by going from + straightly
to s2 , from there on the curve drawn in a positive manner over s1 around the
two branch points i/2 around and again from s2 to +. (compare the dotted
curve in Fig. 3, which is drawn for clarity besides the true integration paths.
The straight parts of the integration path run on different Riemann sheets).

The integrand takes the maximum value at the position7

7 The

prime at the root indicates that the positive value is to be used

the expansion of h(s) in this saddle point is

Due to the fixing about the arguments of s i/2 made above one gets

where Arc sin and Arc cos indicate the main values of the cyclical metric functions (between 0 and /2).
For the calculation of F one must expand besides eh(s) also G(s) for powers
of s s1 and integrate by parts. We want to confine ourselves to the first
sum member. (The sum expands with increasing powers of 1/( 2 ), it therefore
converges very quickly at sufficiently large 2 > 1). G(s) can be factored in
front of the integral as constant and it is valid

The integration path can in the same approximation being replaced by its tangent in the saddle point. Then the integration is carried out from s1 + i
straight to s1 i. Yielding

This result is valid until the root in the denominator is greater or is comparable
with 1 since in the development (20a) this root appears in the denominators.
The case || k must be treated separately. Here the two saddle points come
closer to the coordinate origin and one expands with advantage starting from
|| = k. Since we dont need this expansion in the following, its derivation may
be suppressed for brevity. The result is

valid for | 2 k 2 |  1.
2. || > k. The saddle points are on
q the imaginary axis. The integration
2
path is yielded by 1,2 = 0, 1,2 = 1/2 1 k2

(Fig. 4, the arrows have the same meaning as in Fig. 3)

A useable integration path can by recieved in the following way: Coming from
+, going around the branchpoint +i/2 in a positive manner, over the saddle
point s1 and again to + back; then over the second saddle point s2 around
the branchpoint i/2 again in a positive manner around to + (see the dotted
curve in Fig. 4). This integration path can be transformed into this of Fig. 2
smoothly if the path s1 and s2 are on the same Riemann sheet.
To get F one has to add the contributions of the integral in the surroundings
of the two saddle points.

(The upper sign refers to s1 , the lower to s2 ). For h(s) one receives the expansion

10

The interation paths cross themselfs at the saddle points the imaginary axis by
45, we put in the surroundings of the first and second saddle point

So in the considered approximation the integrations can be carried from t =

to t = +. The result is

This expansion is in powers of k12 , therefore converges for arbitrary values of

sufficiently quickly, so that one can use the first approximation. It loses like in
the first case its validity at the approach of || to k where we have to use the
expansion (20b) in the limiting case.
By putting (20a) and (20c) into (17), one gets

11

q
2
here w is the abbreviation 1 k2 . The corresponding expansion for the second
solution system we receive from this due to the relations (15):
f2 = g1 , g2 = f1

Discussions of the solutions

The functions f and g may be examined. Taken from (14), they are symmetric
or antisymmetric with respect to the point = 0. One of them is even the
other one is odd. The functions are retrieved by the expansions (21) and (22).
They are like a oscillation function with variable frequency and amplitude for
< k and > +k, indicated schematically in Fig. 5. (The functions are
fundamentally complex,

Fig. 5 therefore only serves for a raw orientation). In the middle area its absolute
amount decreases from the point = k on approximated by a power of e until
a value of 1 or 0 [compare (14)] and rises then exponentially again.
It must be noticed that this exponential decreasement until the point =
0 only is caused by the special choice of our solution systems. If we use a
integration path where the second saddle point

in Fig. 3 provides the essential contribution to the integrand, we would receive

an exponential increasment in the functions to zero. Such an integration path
is given e.g. by a loop coming like in Fig. 2 from positive real infinity going
around only one of the two branchpoints. A suitable linear combination of
our two solution systems must therefore give the mentioned increasement. The
dotted curve in Fig. 5 shall indicate this possibility schematically.
Comparing these relationships with those of the not relativistic wave mechanics: The Schroedinger equation for the one-dimensional problem is8 :
8 In

the following we set py = pz = 0. Then due to (6) and (9) k =

12

q
p
2
x/vE0 =
mc2
hcv

By the ansatz (E=non-relativistic energy)

one gets, by introducing for x the new variable

for the differential equation

Its solution is

if Zp (x) is an arbitrary solution of the Bessel differential equation

The function is presented in Fig. 6 schematically: For negative values of the

argument of Z1/3 is real, therefore the functions are periodical. The argument
for positive is complex, appears to be overlapping of one exponentially rising
and a branch falling exponentially (for splitting of Z1/3 into the two Hankel
(1)
(2)
functions H1/3 and H1/3 ).
To carry out the transition from the relativistic to the non-relativistic case
we take into account, that
+ E0
E=E
= k
The coordinate system of Fig. 5 is therefore moved to the left by k compared to
Fig. 6, the point = 0 of Fig. 6 corresponds to the point A( = k) in Fig. 5.

13

For the transition to the non-relativistic case meaning the limit k , that
is E0 and k . By this transition the positions O and B of Fig. 5,
having the abscisses k and 2k related to the non relativistic system with A as
an origin, to positiv infinity. The right half of Fig. 5 therefore vanishs and the
left half is streched from to + from which the function path of Fig. 5
apparently arises.
While the area < 0 is therefore corresponding to the scope of the Schroedinger
Wave Functions the area > 0 has no non-relativistic analogon. This area is
indicated, as proved soon, by a wave mechanical vector of the momentum is
contrary directional to the velocity.
In the Theory of Dirac the three-dimensional velocity uv corresponds to the
operator ic ( = 1, 2, 3). One gets the wave mechanical expectation value of
this operator in the form

one means the adjoint wave function, which suffices equation

Here

To get a relation between the size given by (23) [ux ] and the expectation value
[px ] of the momentum in the field direction, we multiply the equation (2) from
4 1 , equation (2a) from the right with 1 4 and adding them;
the left with
we get

At infinitely sharply certain momentum in the y and z direction the elements

with y and z disappear [the dependency of y and z given by (4) vanishes in
4 1 2,3 ]. Since we look at a stationary state of
the quadratic expression
the energy E, one can carry out the time differentiations and one gets
14

The second term can be written due to (23)

For the interpretation of the first expression we take into account, that the
h
momentum operator in the Theory of Dirac is given by 2i
4 x ; the first
term of (24) represents therefore the symmetrisized expectation value of the
momentum [px ], multiplied by the factor 2i/h. (24) therefore can be written

This equation therefore means, that for E > vx (or because of (8) for < 0) the
momentum and velocity have the same sign, while they are judged oppositely
for E < vx (or > 0) as it had to be proved. One takes into account by
the way that (25) represents the wave mechanical translation of the relativistic
connection between the momentum and the velocity
mux
px = q
2
1 uc2
because

For the application in the next chapter the value of the velocity [ux ] in dependence of f and g will be calculated. Therefore we introduce for resulting from
(4) and (11) the expression:

is given by
it is seen easily, that the corresponding expression for

15

 4 one gets
By setting up the density

is a constant operator. In analogy one gets

[ux ] is also spatially constantly, as one can prove due to (12). This already
results from the divergence condition for the current S = e[u ], because we
look at a stationary condition, where the current components are constant in
the y and z direction (flat wave).
One most simply calculates the value of (28) due to this constancy for the
position = 0. By combining the general functions as a linear combination
from the partial functions 1 and 2 , say

one simply proves due to (14)

since f1 (0) = g2 (0) = 1, f2 (0) = g1 (0) = 0. The currents resulting from the
two partial solutions 1 and 2 combine without interference to the complete
current in the xdirection.

Transition of an electron through a contra directional field

We turn to the problem specified in the introduction of calculating the probability for an electron going from the area of positive momentum to the area
of negative momentum9 . For this purpose we look at the potential path represented into Fig. 1 by the line ABCD:

9 By positive and negative momentum it is understood, that the momentum and velocity are parallel resp. anti-parallel. In the first case the kinetic energy is positiv, in the
latter case negativ

16

We must now solve the Equation of Dirac in the three cases separatly and then
attach the three wave functions to each other in the points x1 and x2 steadily.
The integration can be carried out in all three cases according to the same
method, then the connection is made easier.
We make the ansatz

where 5 is given by (6) and (7). By introducing a new variable as above

one obtains for f and g, exactly as in the first section, the equations

k is defined by (9), 1 and 2 result from (8) by the introduction of the values
x1 and x2 instead of x. For the solutions for the second equation pair (33) we
write using of the two constants and in the form (29a), in which f1 , g1 and
f2 , g2 are given by (14). For the first and third area one gets of course flat waves
of the form eiq1,2 in which q1 and q2 are given by the equations10

One calculates (33). For the coefficient ratio the solutions arise with the arbitrary constants a and b

v = 1 apply to the area I, v = 2 for area III.

We receive a steady connection of the wave functions in x1 and x2 , resp. 1
and 2 if we attach the functions f and g to each other one by one. This leads
to the equations
10 q

depends with the usual momentum p through the relation q =

due to | | > k and we set q > 0.

17

p
x/vcp . q is real,

Here we set

due to (14) and use (15). The system of equations (36) for the regulation of
the six values a , b , , is still undetermined; to the mathematical continuity
terms a physical condition has to be added which fixes the behavior of the wave
function in the infinity.
The probability that an electron breaks from area I with a positive momentum to area III with a negative momentum is to be calculated. So we must
consider an incident particle current from the left, which partly goes through
the area II and enters into area III (from left to right), partly reflected at the
separation areas at x1 and x2 and representing a back-moving current in the
area I. The solution must be chosen in a manner, that only a current runs from
left to right in III in the direction and no-one in the reversed direction. The
current component in the x-direction for a wave function represented by the
expression (32) was found (equation (28)) in the third section. Applied to the
represented by (35) flat wave yields

the particle density is given (to 27).

For = 1 we get because of 1 < q1 an incoming current of the strength

and a reflected current

for = 2 due to 2 > q2

18

the desired outgoing current, during the incoming current must vanish in this
area. One obtains therefor for the physical condition a2 = 0.
The transmission coefficient is to be calculated to

The refelction coefficient is given resp. to

where R + D = 1. By setting a2 = 0 into (36b), the dissolving of these two

equations for and .
F2 F2 G2 G2 = 1
See (37) and (13)

By going with these two expression into (36a) and solving for a1 and b1 , one
gets

For simplicity we assume symmetrical relations to the point = 0:

This results in
19

Now we use the in section 2 given expansion (22) for F0 and G0 ;

11

Valid is

The result is

Due to (38) and (39) one gets the transmission and reflection coefficient

11 By

the use of the expansions (22), which only applies to case that || is not too near to k,
for || k one has to applicate sums of the form (20b), the validity of the result is restricted to
the cases of high velocity of the electron running in and out. For small velocitys the problem
is less interesting, since Kleins paradoxon disappears due to (45) or (46).

20

This result is correct except for higher order members in kl2 and was derived
under the prerequisite k 2 >> 1.
So it was shown, that for all electrical fields with k 2 >> 1, practically for
all productable fields, the transmission coefficient is insignificantly small so that
practically all electrons are reflected; Transitions into the area of a negative
momentum are therefor rare. 12
The value of the transmission coefficient D depends due to (41) in the case
of high electron velocity and symmetrical potential in first approximation only
on the field strength, therefore only on the rising of the potential. For D one
gets only then finite values if k 2 becomes of the order of magnitude 1. In this
case the field strengths correspond to 1016 Volts/cm. The position k 2 1 has
its special physical meaning; in this case

This is with the assumption of N. Bohr indicated in the introduction in agreement that only then there are finite probabilities for the transition of an electron
h
to the area with a negative momentum if the potential increasment v mc
on a
h
distance of a Compton Wavelength mc is of the range of the rest energy.
Of course it is impossible to produce fields of this strength experimentally.
Perhaps one could remember, however, that such fields can inside an atom
appear under certain circumstances; this one would get approximated in a pure
Coulomb Field by a critical position given (by 43)

distance from the strength center; also after the Gamow Model of the nucleus
like such high fields should exist in the atom. It would be inappropriately, to
draw any conclusions on the behavior of an electron too close to the nucleus,
because the Theory of Dirac looses its validity in the surrounding of the nucleus.
We want to complete the picture by looking at the case treated by 0. Klein
of a potential step, that is the limiting case at infinitely high potential rise. The
calculation can then be carried out, that the wave functions valid for the areas
I and III are be connected directly to each other. To come to Kleins names,
one must set
12 This result is independent of the above acceptance of symmetrical conditions. In general
the final formulae become very confusedly.

21

where P gives the height of the potential step, E the energy before the transition
through the opposite field and p and p are the momentums before and after the
transition. One then gets after simple calculation, which shall not be carried
out of brevity:

One gets the formulae given in the introduction from this for the limiting case
of a very high potential jump (P )

To get the analogon to the case of symmetrical potential course treated above
one must set 1 = 2 and therefore P = 2E and gets with that

It is important to me to thank Professor A. Sommerfeld for his interest in the

execution of these examinations very well. Furthermore my gratitude is due to
the Austrian German science help for the granting of a Stipendium.

22