On the origin of de Heer eect and

the accuracy of microscopic theories of superconductivity

Yatendra S Jain

Abstract
Origin of the coexistence of ferroelectricity and superconductivity in Nb, V, Ta metal-
lic clusters observed by de Heer and coworkers is identied. A cluster is seen to have
two mutually embedded subsystems: (i) SS(A) comprising all metal ions having strong
inter-ionic bonding and rigid structure, and (ii) SS(B) comprising all conduction electrons
(CEs) which have relative motions and inter-particle collisions (mutual and with ions) in
the normal state of a conductor. Our recently reported microscopic theory concludes that
superconductivity is a basic property of the close packed arrangement of wave packets
(CPA-WP) of CEs which constrains CEs to : (i) move coherently in order of their loca-
tions with no relative motion and inter-particle collision and (ii) keep certain distances
with each other and with metallic ions. All metal ions and CEs assume an additional
collective binding identied as an energy gap E
g
(T) between normal and superconducting
states of the conductor. We nd how these aspects provide for a possibility of the coex-
istence of ferroelectricity and superconductivity, underline the accuracy of our theory of
superconductivity and question the validity of BCS theory even for metallic superconduc-
tors.
Keywords : de Heer eect, superconductivity, metallic clusters, Ferroelectricity.
PACS : 36.40.-c, 73.22.-f, 74.90.+n, 74.20.-z, 77.80.-e, 77.80,Dj,
c by author

Professor of Physics (Retd.), Department of Physics, NEHU, Shillong-793022, India

contact : profysjain@gmail.com
1
1. Introduction
A systematic study of small clusters of Niobium (Nb), Vanadium (V) and Tantalum (Ta)
published in a series of papers by de Heer and co-workers [1] concludes that the clusters at low
temperatures assume a state of ferroelectric structure/ spontaneous polarization (P). Whether
this state is assumed also by clusters of other metals is examined by them in similar studies [2,3].
They nd [2] enough reasons to conclude that ferroelectricity and superconductivity coexist in
Nb, V and Ta clusters; it is noted that the range of temperatures (T) over which the clusters
exhibit ferroelectricity matches closely with that of superconducting behavior observed in bulk
Nb, V, and Ta metals. The observation is important because it speaks of a dierence in the
states of CEs in superconducting and normal phases of a metal and the latter phase exhibits
no ferroelectricity.
Several attempts have been made to understand the origin of the eect. While most studies
[4] claim that the observed P has electronic origin, a few [5] conclude that it depends on the
structure of a cluster with |P| being Tindependent. However, since the former inference is
not clearly established and the latter is ruled out by experiments (see Ref. [2, 3]), we need a
systematic analysis of the eect for a better understanding of its origin.
It may be argued that pair correlation among the CEs can have an important link with the
origin of the eect but what is relevant is the position correlation. Thus the Cooper pairs of
CEs which represent the dominant form of momentum correlation in superconducting phase
can not be the origin of the eect. All these observations guide us to identify the said origin
and in the process we nd the reasons for which the observation of the eect questions the
validity of BCS theory [6] even for metallic superconductors. We also nd how the observation
of de Heer eect and similar properties observed in superuid
4
He and superuid
3
He provide
unequivocal support to the accuracy of our theories of superconductivity and superuidity [7,8].
2. Discussion and Analysis
2.1: Clues from the coexistence
Solid is an ideal state for the existence of ferroelectric order because it provides required
structure where particles have rigidly xed positions unaected by their thermal motions. Fer-
roelectric order can exist when (i) oppositely charged ions have xed positions with a structure
and symmetry compatible with P= 0 and/or (ii) the electric dipole moments (ps), presumably
possessed by of all +ve ions, assume preferred orientation in a single direction. On the other
hand, a uid in its normal state has no such rigidity. Its particles have relative motions and
mutual collisions which render a force which opposes their ow and randomly alters their rela-
tive positions and orientations of electric and/or magnetic dipole moments (if they happen to
possess). A normal liquid is, therefore, expected to exhibit viscosity (a resistance to its ow)
and no state of ferroelectric/ magnetic order. This agrees with the experimentally observed
properties of all uids in their normal state even if the uid particles happen to have permanent
electric and/or magnetic dipole moments. Liquid crystals and superuids could be exceptions
to this observation, obviously, because they are not normal uids.
In what follows, the coexistence of: (i) ferroelectricity and superconductivity in metallic
clusters [1], (ii) ferroelectricity and superuidity in He-II (Superuid phase of liquid
4
He) as
2
discovered by Rybalko and coworkers [9] and (iii) magnetic orders and superuidity observed
in three dierent phases of superuid
3
He [10] suggests that the constituent particles in their
superuid/ superconducting state have no relative motions and collisions (mutual as well as
with the lattice in case of superconductors). This, evidently, implies that particles in their
superuid/ superconducting state assume a solid like arrangement with certain amount of
rigidity but without losing their uidity.
2.2 Compatible theory of superconductivity
2.2.1 : BCS theory :
BCS theory [6] attributes superconductivity to the formation of Cooper pairs [bound pairs
of CEs having equal and opposite momenta (k, - k) with k falling around the Fermi wave vector,
k
F
], indicates that such electrons have certain degree of pair correlation in momentum space.
However, the theory reveals nothing about the correlation in real space needed to explain de
Heer eect. This point has been emphasized rightly by Hirsch [4(a)] who analyzes de Heer eect
and other experimental observations of similar nature on metallic superconductors to conclude
that CEs should have a spatial arrangement of certain rigidity. Evidently, the observation of
the eect supports several other studies [11-13] which question the validity of BCS theory even
for metallic superconductors. This point nds a sound foundation from a simple analysis [14]
which, unequivocally, concludes that BCS and BCS type other theories lack potential to provide
a complete, clear and experimentally consistent microscopic understanding of superconductivity
in spite of their mathematical accuracy; this is because the basic premises of these theories have
intrinsic errors [14].
2,2.2 : Jains theory:
Jains rst quantization theories of a SIF (system of interacting fermions) [7] and a SIB (sys-
tem of interacting bosons) [8] have a common framework which concludes that each particle in
these systems behaves as a part or a representative of a pair of particles moving with equal and
opposite momenta (q, -q) with respect to the center of mass of the pair which moves with mo-
mentum K in the laboratory frame. When a SIF/SIB assumes its superuid/superconducting
state, these particles develop a kind of an additional collective binding and they all occupy a
state of (q, -q) bound pair in all the three spaces, viz., the momentum (q), the position (r)
and the phase(). While fermions in a SIF follow Pauli exclusion by occupying states dier-
ent K ranging from K = 0 to K k
F
(Fermi wave vector), bosons in a SIB need no such
restriction and their macroscopically large faction has K = 0. However, independent of their
fermionic/bosonic nature, all particles in a SIF/SIB have single q(= q
o
= /d) [7,8] with d
being the average distance between two nearest atoms in systems like liquid
3
He/
4
He but in
a superconductor it represents the diameter/width of the channel through which CEs have
their ow. These details of superuid/ superconducting state do not change signicantly when
the systems are cooled from T
c
to T = 0 at which, each system assumes its ground state. In
what follows superuidity/ superconductivity is, basically, a property of the ground state of
the system.
The most relevant conclusion of our theories [7,8], that can be applied to understand the
origin of de Heer eect, proclaims that superconductivity/ superuidity is related to the close
packed arrangement of the wave packets (CPA-WP) of the constituent particles of a SIF/SIB.
3
Arrangements of particles in the normal and superuid states of a uid as depicted in Fig.1(A)
and Fig.1(B) can help in having a better perception of CPA-WP. For the same purpose, similar
arrangements of CEs in their normal and superconducting states are shown, respectively in
Fig.1(C) and Fig.1(D).
The CPA-WP keeps each particle at identically equal distance from its nearest neighbours;
in a superconductor, it also keeps each CE at equal distance from the surrounding +ve ions.
Although, particles in CPA-WP have no possibility for their relative motions and mutual colli-
sions for their close packing, but the system retains its uidity and they can move coherently in
order of their locations. As such CPA-WP oers no reason for particles to encounter any force
that opposes their coherent (in-order) ow and disturbs their relative positions and/or relative
orientation of their dipoles. Evidently, the uid would not only ow without resistance/viscosity
(the basic character of its superconducting/ superuid state but it can also sustain a state of
electrical/magnetic order, if it is attained for the want of minimum free energy. In other words,
the conclusion of Jains theory [7], that CEs in their superconducting state have a CPA-WP is
compatible with the coexistence of ferroelectricity and superconductivity.
For providing a better perception of additional collective binding of particles (as stated
above in this section) in their CPA-WP, we depict situations of normal and superuid/ super-
conducting states of a SIF/SIB in Fig.2. While particles in the former state move randomly
on a surface of constant ve potential (say V
o
representing the binding of a particle with
remaining N 1 particles) with random distribution in rspace (Fig.2(A)), the same in latter
state have their CPA-WP with the said potential surface going down to (V
o
+ E
g
(T)/N)
(Fig.2(B)). Note that particles in both situations can move from their positions for the at-
ness of respective potential surfaces. However, in the former case, they can move randomly
with dierent momenta leading to their relative motions and mutual collisions, in the latter
case, they are restricted to move coherently (in order of their locations) with identically equal
momenta and keeping constant separation in r and spaces. The fact that particles in su-
peruid/ superconducting state represent an ordered state is consistent with their lower energy
(Fig.2(B)) in comparison to their disorder in normal state (Fig.2(A)).
2.3. Origin of de Heer eect
A metallic conductor (bulk or cluster) can be identied to have two mutually embedded
subsystems, SS(A) and SS(B). While SS(A), comprising metal ions with their rigidly xed
positions, has a solid structure, SS(B) comprising CEs represents a uid which can move through
narrow channels in SS(A). However, while the structure of SS(A) does not change signicantly
when the conductor becomes superconductor, SS(B) moves from the state of uid to CPA-WP
of CEs with an additional collective binding between SS(A) and SS(B) which provides desired
rigidity to CPA-WP (a synonym of superconducting state).
The CPA-WP resembles with a solid in certain respects. However, to appreciate its possible
relation with the origin of de Heer eect, we need to understand its basic dierences with a
solid as given below.
(A). While particles in a solid have rigidly xed positions for the dominance of their long
range inter-particle attraction over their short range repulsion, the CPA-WP of particles in
their superuid/ superconducting state is a consequence of the dominance of their zero-point
4
repulsion f
o
(a result of their short range repulsion combined with their manifestation as WPs
of size /2, -resulting from wave particle duality) over their weak attraction f
a
[7,8]. While
this attraction among CEs of superconductors arises indirectly through mechanically strained
lattice, the same among the atoms in system like liquids
4
He and
3
He comes from their natural
attraction.
(B). While a solid has rigidity of its structure against large energy disturbances, CPA-WP of
superuid/ superconducting state has rigidity only against low energy perturbations [7, 8].
(C). Particles in CPA-WP keep equal distance with their nearest neighbors [cf., Fig.1(B) and
Fig.1(D)] and do not have rigidly xed positions. Consequently, they retain uidity is spite of
their close packing.
In what follows CPA-WP of CEs holds key to understand the origin of de Heer eect, since
it provides CEs a well dened stable arrangement compatible with the structure of +ve ions.
The entire system appears to be similar to an ionic crystal where ve ions are replaced by CEs
but with a dierence that CEs can move in order of their locations without any change in their
relative positions if they are subjected to a small perturbation which makes them move. This
arrangement can, obviously, attain ferroelectricity the way it is assumed by several ionic crystals
for the demand of minimum free energy. This can happen either due to relative positions of
+ve ions and CEs, or by alignment of the electric dipoles of metal ions (if they have nite p)
in a preferred direction, or by a combination of both processes. As such, it is not surprising
that a superconducting cluster exhibits de Heer eect.
Since ferroelectricity and superconductivity can exist only when CEs assume their CPA-WP
followed by their collective binding with SS(A) which provides desired stability to CPA-WP
against thermal motions at all T T
c
, ferroelectric order may appear only in a superconductor,
not in a normal conductor. Further, since CPA-WP is the ground state (T = 0) conguration,
it is unlikely that ferroelectricity occurs at a T < T
c
if it does not occur at T = T
c
. This means
that T
G
(the T below which a cluster is observed to have ferroelectricity) is equal to T
c
. In what
follows, the dependence of T
G
with increasing N can be understood by analysing how the states
of valence electrons of a metal atom change with increasing N and how some of these electrons
occupy free electron states described by plane waves, -as they do in a normal conductor.
The valence electrons in a single atom occupy well dened quantum states (not matching
with plane wave states of a free electron) which can be identied as localized super-currents in
orbits of microscopic size ( the size of an atom). To certain approximation, it is true with
small clusters having N = 2 (diatomic molecule) or N = 3 (tri-atomic molecule), etc. where
these super-current-orbits are observed at T >> T
c
of bulk metal. Evidently, T
G
should fall with
increasing N as observed experimentally. Starting with small clusters (N 2), it is also noted
that the size of localised super-current-orbits increases with growing N. As shown in Fig.3,
while the said super-current-orbits in a single atom represent orbits of valence electrons moving
around a single +ve ion, in a cluster of N atoms, they represent orbits going around N +ve ions
with increasing distortions which can be attributed, basically, to the overlap of the said orbits
in a single atom (Fig.3). Evidently, super-current-orbits have increased size, -from microscopic
size in atoms/ molecules to macroscopic size in bulk. Because electrons follow Pauli exclusion
principle, increase in N also leads to corresponding increase in number of energy levels occupied
5
Table 1: Some useful data about Niobium (Nb), Vanadium (V), Tantalum (Ta)
Atom Atomic electronic State Magnetic Ref.
Number(A) conguration notation moment()
93
Nb 41 [Argon atom]+
6
D
1/2
+6.1075 [17]
4s
2
4p
6
4d
4
5s
1
51
V 23 [Neon atom]+
4
F
3/2
+5.1574 [17]
3s
2
3p
6
3d
3
4s
2
181
Ta 73 [Krypton atom]+
4
F
3/2
+2.370 [17]
5s
2
5p
6
5d
3
6s
2
by the valence electrons with decrease in their separation due to increase in the dimensions of
the cluster. Further since the increase in the dimensions enhances the possibility for the cluster
to sustain collective thermal motions (phonons) of low Q
ph
(wave vector)/low E
ph
(energy) in
SS(A), chances, -that these motions disturb the super-current orbits to an extent that several
electrons behave like free electrons, also increase and the cluster behaves as a normal conductor.
This means that T
c
too decreases with increasing N as found experimentally.
While this analysis unequivocally concludes that ferroelectricity can exist with supercon-
ductivity, it is, as usual, dicult to predict whether the clusters of a given metal element would
or would not show ferroelectricity. It, however, appears that clusters of Nb, V and Ta type
metals are more likely to show ferroelectricity with superconductivity because their ions have
reasonably large amount of magnetic moment () and unpaired electrons with partially lled
inner core where electrons occupy multipolar p and d shells as given in Table 1. If this kind
of reasoning is followed further, it may be argued that de Heer eect may not be observed
in clusters of elements such as alkali metals, Li, Na, K, Rb, Cs because their inner core has
completely lled orbits which are not expected to have any electric multipole moments unless
the said cores are distorted. However, it should be noted that ferroelectricity and superuidity
coexist in He-II [9] in spite of the fact that He atoms too have a completely lled electron orbit
expected to have zero values of all multipolar moments. Evidently, a denite prediction for
the observation of the eect should be possible if this qualitative account is used to develop its
mathematical theory.
4. Agreement with other experiments
4.1 : Stark eect of roton transition in He-II
The observation of the coexistence of ferroelectricity and superconductivity in Nb, V and Ta
clusters is not an exclusive case where spontaneous polarization exists with superuid state of a
many body system. A detailed experimental study [9] of linear stark eect of a roton (a quasi-
particle excitation), unequivocally, establishes the coexistence of non zero P and superuidity
in superuid
4
He (He-II) with each atom found to have a permanent electrical dipole moment
|p| = 2.8x10
34
SI. Analyzing this observation we established [15] that this is possible only
if the electrical dipoles of all
4
He atoms are supported to have their orientation in a single
direction in spite of the uidity and thermal motions of He-II and this is made possible by the
formation of CPA-WP of
4
He atoms in He-II.
6
4.2 : Magnetic orders in Superuid
3
He
Our analysis is further corroborated by another experimental observation [10]. Accordingly,
superuid
3
He is known to exhibit three dierent phases, viz., : (i) the isotropic B-phase where
orbital (L) and spin (S) angular momenta of each atom have xed angle, (ii) anisotropic A-
phase where L and S are aligned separately in specic directions even in the absence of external
magnetic eld (B), and (iii) anisotropic A
1
phase where L and S are separately aligned in
specic directions with S || B. It is clear that these magnetic orders can not explained if we
believe that particles in superuid
3
He too have relative momenta and collisions which do not
let L and S (or associated magnetic moments) remain aligned in preferred direction(s). It is
only possible if
3
He atoms have an orderly arrangement which retains the uidity of the system
but does not allow their relative motions and mutual collisions. This evidently provides very
strong experimental foundation to CPA-WP concluded by our theory of a SIF [7]. Contrary to
this inference, we nd that the fact that all atoms are part and parcel of the specic order of
their L and S in a given phase of superuid
3
He, can not be explained in terms of the limited
number of atoms which occupy states of energy close to Fermi level and form Cooper pairs,
believed to be responsible for superuidity in accordance with the BCS theory. Evidently,
a theory of liquid
3
He similar to BCS theory of superconductivity, which presumes particles
to have random motions and random distribution in their position space (even in superuid
state), does not have desired potential to nd an atomic arrangement which sustains an order,
symmetry and structure of L and S as revealed by experiments.
4.3 : Predicting Ferroelectricity in Superuid
3
He
To the best of our knowledge, superuid
3
He has not been explored for the existence of
its state of spontaneous polarization, However, we note that
4
He and
3
He atoms have exactly
identical set of electrical charges (2 protons and 2 electrons) which indicates that V (r
ij
) (inter-
atomic potential), -expected to control p of
3
He atoms and the possibility of P = 0 in superuid
3
He, does not dier from V (r
ij
) in He-II. Since ferroelectricity exists in He-II, superuid
3
He
too can be expected to have ferroelectricity at a level of small domains of small size, viz., of the
order of the coherence length 10
2

A of its atoms [11]. We hope that this prediction comes

true when suitable experiments are performed.
5. Conclusion
The observation of de Heer eect has been qualitatively explained in terms CPA-WP of CEs
that comes into existence with the onset of superconductivity [7]. The eect renders a strong
experimental evidence in favour of the formation of the CPA-WP of CEs in the superconducting
state as concluded in [7]. Similar experimental evidence found in support of CPA-WP of atoms
in the superuid states of liquids
3
He [9] and
4
He [10], underlines CPA-WP as common factor
of quantum uidity of a SIF/SIB. This study predicts the existence of ferroelectric order in
Superuid
3
He. While de Heer eect unequivocally supports the accuracy of our theory of
superconductivity [7], at the same time it undoubtedly questions the validity of BCS theory
even for metallic superconductors.
Acknowledgment : I am thankful to Dr Ramiro Moro for sending me a pdf le of his unpublished
paper on clusters.
7
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8
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He-II and the existence of p = 0 condensate, Current Science, 101, 769 (2011).
(b) Following experimental results of Rybalko, each
4
He atom seems to have an electric
dipole moment p = 2.8x10
34
SI units. Using atomic polarizability () of
4
He atom to be
2.1x10
41
SI units and p = E
in
, we can obtain p = 2.8x10
34
if E
in
= 1.3x10
7
SI. As
shown in [15(a)], a simple classical model shows that E
in
can be of the order of 10
5
SI
which is smaller by a factor of 10
2
.
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9

Fig.1 : Schematic representation of an important dierence of : (A) disorderly arrangement of

particles in normal uid state and (B) orderly arrangement in superuid state of a SIB (such
as liquid
4
He) or a SIF (such as liquid
3
He). Similar arrangement of CEs, -constrained to move
in narrow channels in the lattice, are shown in (C) for normal state and (D) superconducting
state (upper part for high density of CEs and lower part for low density). Wave packets have
small size in normal state due to high energy of particles at higher T and largest possible size
in superuid/superconducting state; the size remains nearly constant at all T T
c
(see Ref,
[7], [8] and [17] which conclude the formation of CPA-WP in superuid and superconducting
states. The red dotted line symbolizes the presence of lattice distortion in the superconducting
state.
10
Eg[T)/N
E = 0 surIace
E

Fig.2 : Locations of at potential surfaces for the movement of quantum particles : (A) normal
state and (B) superuid/ superconducting state. These surfaces fall below E = 0 surface,
respectively, by V
o
and V
o
+ E
g
(T)/N where v
o
is per particle collective binding in normal
state, while E
g
(T)/N is the additional collective binding per particle when particles form
CPA-WP (see Section 2.2.2 and [7,8]). Eective size of particles shown by larger size circle in (B)
in comparison to that in (A) underlines the fact that particles in superuid/ superconducting
state behave as wave packets of size /2 [7,8].
11

Fig.3 : Smaller clusters of a metal where each atom contributes 5 electrons (depicted by nearly
dot size circles) to conduction band. In N = 1, representing an atom these electrons can
be visualised to form localized microscopic size super-current-orbits around +ve ion center
depicted by blue circle. However, with increasing N, these orbits have increase in their size
with increasing regions of distortions which can be identied with the overlap of orbits (red
circles) of single atom just for the perception. Although, real clusters are 3D objects, we opted
to depict 2D pictures for an ease of perception.
12