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CHAPTER 1

ON THE THEORY OF SUPERFLUIDITY

In the present paper an attempt is made to develop a consistent molecular

theory for the phenomenon of superuidity without any assumptions
regarding the structure of the energy spectrum.
With this goal in mind it is more natural to proceed from the model
of a non-ideal Bose gas with weak interaction between particles. Similar
attempts to account for superuidity with the aid of the phenomenon of
degeneracy of an ideal Bose gas have already been undertaken by L. Tisza and
F. London, but these encountered active criticism. It was noted, for instance,
that Helium II does not resemble an ideal gas at all, since its molecules
strongly interact with each other. By the way, this objection can not be
considered as crucial. Indeed, if the goal is to develop a molecular but not
a phenomenological theory proceeding only from the common microscopic
equations of quantum mechanics, then it is quite clear that any attempts to
evaluate the properties of real liquids are hopeless. A molecular theory of
superuidity can be expected only, at least at the rst stage, to account for
the phenomenon itself proceeding from a simplied model.
In fact, the real objection to the above-mentioned criticism consists in the
fact that, in a degenerate ideal Bose gas, particles in the ground state cannot
behave as superuid ones, since nothing can prevent them from exchanging
momenta with excited particles in collisions and thereby undergoing friction
when moving through the uid.
In the present paper we shall try to overcome this main diculty and
show that under certain conditions in a weakly non-ideal Bose gas the so
called degenerate condensate can move without friction at a suciently low
velocity relative to elementary excitations. It should be emphasized that in
our theory these elementary excitations are a collective eect and cannot be
identied with separate molecules. The necessity of considering collective
3

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elementary excitations instead of individual molecules was rst stressed by

Landau in his well known paper on the theory of superuidity.
Let us consider a system of N identical monoatomic molecules enclosed in a
macroscopic volume V and obeying the Bose statistics. As usual, we suppose
that its Hamiltonian is of the form




H=
T (pi ) +
(|q i q j |)
(iiN )

(1ijN )

where
T (pi ) =

(p )2
|pi |2
i
=
2m
2m
(13)

is the kinetic energy of the i-the molecule and (|q i q j |) is the potential
energy of the pair (i, j).
Then we take advantage of the secondary quantization method to write
the basic equation in the form

2
i

=
+ (|q q j |) (q  )(q  ) dq 
t
2m
where
=

af f (q),

(1)

af f (q).

Here af and af are conjugate operators with the usual commutation relations
af af
af
af = 0,
af af
af
af = f,f


0, f
= f 
=
1, f = f 

and {f (q)} is an orthonormal

complete set of functions.

f (q)f
(q) dq = f,f

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To simplify the problem, hereafter we shall make use of the set of

eigenfunctions of the momentum operator for a single particle
 qf 


1
, qf =
f (q) = 1/2 exp i
f q.
V


(13)

For this set the operator Nf = a af corresponds to the number of particles

with momentum f . For a nite value of the volume V , the vector f is
apparently quantized. For instance, under the usual periodic boundary
conditions
2n

f =
l
1
2
3
where n , n , n are integers and l is the edge length of a cube of volume V .
However, since here we shall deal with thermodynamics, i.e. bulk
properties, we should always imply the limit transition when the walls of
a vessel recede to innity V , N keeping the specic volume
= V /N constant. Therefore, we shall nally proceed to a continuous
spectrum replacing sums of the form


F (f )
f

by the integrals

V
(2
)3

F (f ) df .

Equations (1) are exact equations for the problem of N bodies. To succeed
in studying the motion of the system of molecules under consideration we
should make an approximation based on the assumption that the interaction
energy is small. In accordance with this assumption we shall consider
the potential (r) to be proportional to a small parameter . Which
dimensionless ratio can be taken for will be claried below. Now we only
note that the assumption made corresponds, strictly speaking, to neglect of
the niteness of the molecular radius, since here we do not take into account
the intensive increase of (r) for small r that ensures the impermeability
of the molecules. By the way, as we shall see below, the results which will
be obtained can be generalized to the case when one takes into account that
the radius is nite.
Proceeding to formulating the approximation we note that, if there is
no interaction, i.e. if the parameter exactly equals zero, then at zero

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temperature we could put N0 = N, Nf = 0, (f
= 0). However, in the

considered case of a small and weakly excited states of the gas, these
relations are satised approximately in the sense that the major part of
the molecules possess momenta close to zero. Of course, the choice of zero
momentum as a limit value for particles in the ground state corresponds to a
specic choice of framework, namely, one in which the condensate is at rest.
The above speculations are the basis for the following method for
approximate solution of Equation (1):
1) In view of the fact that N0 = a0 a0 is quite large compared with unity,
the expression
a0 a0 a0 a0 = 1
must be small compared with a0 and a0 themselves. Therefore, we consider
a0 and a0 as ordinary numbersa neglecting their non-commutativity.
2) Putting
 fq
1

a0
= + , =
af exp i


V
V (f =0)
we consider as a so called correction term of the rst order and in
Equation (1) we neglect terms beginning with a quadratic in , which
corresponds to taking into account the weak excitations.
We then obtain basic approximate equations in the form



2
N0

N0
=
+
0 +
(|q q  |)(q  ) dq 
i

t
2m
V
V


a20
+
(|q q  |)(q  ) dq ,
V
a0 N0
=
0 a0 ,
(2)
i

t
V
where


0 = (|q|) dq.
To proceed from the operator wave function to the creation and annihilation
operators af and af we use the Fourier expansion
i

1



f (q q ) (f ).
(|q q |) =
exp
(3)
V


f
a

A similar remark was used by Dirac in his monograph Foundation of Quantum

Mechanics at the end of Section 3 named Waves and Bose-Einstein particles.

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Due to the radial symmetry of the potential, the coecients of the expansion


 fq
(f ) = (|q|) exp i
dq


depend on upon the length |f | of the vector f . We substitute Equation (1)
into Equation (2) to obtain
i



N0
a2
af
= T (f ) + E0 +
(f ) af + 0 (f )af ,
t
V
V
E0 =

If we put
af = exp

N0
0 .
V


E 
0
t bf , a0 = exp
b,
i

i

E

(4)

we can also write



N0
b2
bf
= T (f ) +
(f ) bf + (f )bf ,
i

t
V
V


2
bf
N0
(b )
i

=
(f )bf + T (f ) +
(f ) bf .
t
V
V

(5)

On solving this system of two equations with constant coecients, we see

that the dependence of the operators bf and bf on time is expressed by a
linear combination of exponents of the form
 E(f ) 
exp
i

where


1/2
N0
E(f ) = 2T (f ) (f ) + T 2 (f )
.
V
Now we note that if


(0) = (|q|) dq > 0,

(6)

(7)

then in the considered case of suciently small the expression in

Equation (6) under the square root sign is positive. Thus. the operators bf
and bf turn out to be periodic functions of time. If, conversely, the
inequality (0) < 0 holds, then for small momenta this expression is negative,
and therefore the quantity E(f ) becomes complex. Consequently, the

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N. N. BOGOLUBOV

operators bf and bf contain a real exponential increasing with time, so that

the states with small Nf turn out to be unstable.
To ensure stability of weakly excited states, we shall consider below only
such types of interactions among the molecules for which the inequality (7)
is valid. It is interesting to note that inequality (7) is simply the condition
for thermodynamic stability of a gas at absolute zero. Indeed, at zero
temperature the free energy coincides with the internal energy, while the
leading term in the expression of the internal energy is


N2
E=
(|q|) dq,
2V
since the correction terms, for instance, the average kinetic energy, are
proportional to higher powers of . Hence, the pressure p is given by




2
N2
E
(|q|) dq =
(|q|) dq
=
p=
V
2V 2
2m2
where = Nm/V is the mass density of the gas. Therefore, inequality (7)
is equivalent to the condition of thermodynamic stability
p
> 0.

Note, nally, that since here we take into account only the leading terms,
we can write with the same degree of accuracy

1/2  |f |2 (f ) |f |4 1/2
N
E(f ) = 2T (f ) (f ) + T 2 (f )
+
=
,
(6 )
V
m
4m2
instead of Equation (6). Thus, for small momentab
 (0) 1/2
 p 1/2
E(f ) =
|f |(1 + . . .) =
|f |(1 + . . .)
m

(8)

where . . . denotes terms vanishing together with f .

Let us now agree to take any square root we encounter with a positive
sign. Then for small momenta
E(f ) = c|f |(1 + . . .)

(9)

If we write the corresponding frequency E(f )/
and take the limit
0, f /h = k, we
obtain the classical A.A. Vlasov formula for the dependence of frequency on wave number.
b

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where c is the velocity of sound at zero temperature. Conversely, for

suciently large momenta one can expand E(f ) in powers of and write
E(f ) =

|f |2 1
+ (f ) + . . . .
2m

Since the quantity (f ) vanishes with increasing |f |, for suciently large

momenta the energy E(f ) approaches the kinetic energy of a single
molecule T (f ).
Let us now return to Equation (5) and introduce new mutually conjugate
operators f and f instead of bf and bf by the relations
1/2


,
f = bf Lf bf 1 |Lf |2
1/2


,
(10)
f = bf Lf bf 1 |Lf |2
where Lf are numbers dened as follows

N0
V b2 
Lf = 2
E(f ) T (f )
(f ) .
N0 (f )
V
We have

2 

2
N0
E(f ) + T (f ) +
(f )
(f )
,
|Lf | =
V
V


1
N0
(f )
.
1 |Lf |2 = 2E(f ) E(f ) + T (f ) +
V
N

(11)

If we reverse Equations (10), we nd

1/2



2
bf = f + Lf f 1 |Lf |
,


1/2


bf = f + Lf f 1 |Lf |2
.

(12)

We substitute these relations into Equations (5) to obtain

f
f
= E(f )f , i

= E(f )f .
(13)
t
t
It is not dicult to check directly that the new operators satisfy the same
commutation relations as the operators af and af do
i

f f
f
f = 0,

f f
f
f = f,f
.

(14)

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This implies that the excited states of the considered system of molecule
can be thought of as an ideal gas of so called elementary excitations,
or quasiparticles, with energies depending on momenta according the
formula E = E(f ). Just as the molecules have been described by the
operators af and af , these quasiparticles are described by the operators f
and f , and therefore they obey the Bose statistics. The operator
nf = f f
represents the number of quasiparticles with momentum f .
The above remark will be absolutely clear when we consider the total
energy
H = Hkin + Hpot
where
Hkin
Hpot

=
(q)(q) dq,
2m

1
=
(|q q  |) (q) (q  )(q)(q  ) dq dq 
2


 f (q q  ) 
1

=
(f ) exp i
(q) (q  )(q)(q  ) dq dq  .
2V f

For the kinetic energy we have

T (f )af af =
T (f )bf bf .
Hkin =
f

We calculate the potential energy in accordance with the accepted

approximation. Namely, in the expression
 a

0

(q) (q )(q)(q ) = + (q)

V
 a
 a

 a
0
0
0 + (q  ) + (q) + (q  )
V
V
V

we omit the terms beginning with the cubic in and . Then we have
1 N2 N


b2

0
0
+
Hpot =0
bf bf +
(f )bf bf
2 V
V f =0
2V f =0

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11

N0

(b )2

(f )bf bf +
(f )bf bf .
+
2V f =0
V f =0
Since the following relations hold here




bf bf =
Nf = N N0 ,
f =0

f =0

in the accepted approximation we have

1 N02 N0

1 N2
+
,
bf bf =
2 V
V f =0
2 V
and therefore
H=

N0
b2

(b )2

0 +
(f )bf bf +
(f )bf bf
2V
2V f =0
2V f =0


N0

+
(f )bf bf +
T (f )bf bf .
V f =0
f

We express the operators bf and bf in terms of the operators f and f to

nd nally


E(f )nf , nf = f f ,
(15)
H = H0 +
f =0

where


1
1 N2
N0
+ 0
(f )
E(f ) T (f )
H0 =
2 V
2
N
f =0



V
1 N2
N0
+
(f
)
df .
=
E(f
)

T
(f
)

2 V
2(2
)3
N

(16)

Thus, the total energy of non-ideal gas under consideration consists of

the energy of the ground state H0 and the sum of individuals energies of
separate quasiparticles. The quasiparticles do not, apparently, interact with
each other and form an ideal Bose gas.
It is easy to see that the absence of interaction between the quasiparticles
is due to the approximation used, where the terms beginning with a cubic
in f and f have been omitted. Therefore, the result obtained is relevant

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only for weakly excited states. Had we taken into account either the omitted
cubic terms in the expression for energy or, respectively, the quadratic terms
in Equations (13) as a small perturbation, we would nd a weak interaction
between quasiparticles which is responsible for approaching the state of
statistical equilibrium in the system.
Proceeding to a study of the state of
statistical equilibrium, we prove that
the total momentum of quasiparticles f f nf is conserved. With this aim
in view we consider the components of the total momentum of the system of
molecules. We have









(q) 

dq
=
pi = (q) i

f
a
a
=
f bf bf ,
f
f

q
f
f
(1iN )

and hence, due to transformation formulae (12), we see that

pi

f

(1iN )

(f + Lf f )(f + Lf f
)
f
.
1 |Lf |2

But in view of the fact that Lf and Lf are invariant with regard to the
replacement of f by f, we can write


f

f

L
Lf f f
f f f
f
=
f
= 0,
1 |Lf |2
1 |Lf |2
f

2

|Lf |2 (f


|Lf |2 f f
f 1)

|Lf |
f
=
f
=

f
,
2
2 f f
1 |Lf |2
1

|L
|
1

|L
|
f
f
f
f

and therefore

pi =

f nf .

(1iN )

Thus, the total momentum of the system of molecules is equal to that of

the system of quasiparticles. Since the total momentum of the system of
molecule is conserved, the sum


f nf
f

is really an integral of motion.

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13

It is easy to see that the total number of quasiparticles
f nf is not
conserved. They can be created and annihilated. Therefore, with the aid
of the usual reasoning we see that in the state of statistical equilibrium the
average occupation numbers nf (f
= 0) are given by
1

 E(f ) f u 
1
nf = A exp
,

A = 1,

(17)

where is the temperature and u is an arbitrary vector. By the way, the

length of this vector must be limited from above. Indeed, since the average
occupation numbers must be positive, for all f
= 0 the following inequality
must hold
E(f ) > f u
which yield the inequality
E(f ) > |f | |u|.
But by virtue of the properties of the function E(f ) established above, the
ratio
E(f )/|f |
is a continuous positive function of |f | which takes the value c > 0 at |f | = 0
and grows with |f |/2m as |f | . Therefore, the ratio considered has a
strictly positive minimum value. Thus, the condition for positivity of the
numbers nf is equivalent to the inequality


|u| min E(f )/|f | .
(18)
If for small momenta the function E(f ) had decreased in proportion to the
square root of the momentum but no to the momentum itself, as the kinetic
energy of a molecule does, the right hand side of the inequality obtained
would be equal to zero and zero would be the only possible value for u.
However, in the case considered the u may be arbitrary, the only restriction
being that its length must be suciently short.
Note that formula (17) describes a distribution of momenta of
quasiparticles in the gas such that it moves as an entity with the velocity u.
First we have chosen a framework such that in the ground state the
condensate, i.e. the system of molecules, is at rest. Had we proceeded
to a framework in which in the ground state the gas of quasiparticles is
at rest, we would, conversely, observe the motion of the condensate with

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N. N. BOGOLUBOV

velocity u. Since this relative motion is stationary motion in the state of

statistical equilibrium in the absence of external elds, we see that it is not
accompanied by friction and is, therefore, the phenomenon of superuidity.c
We have already seen that at small momenta the energy of the
quasiparticle is approximately equal to c|f | where c is the velocity of sound.
Therefore, at small momenta the quasiparticle is nothing but a phonon.
With increasing momentum when the kinetic energy T (f ) becomes large
in comparison with the coupling energy of the molecule, the energy of the
quasiparticle transforms continuously into the individual energy T (f ) of the
molecule.
Thus, it is not possible to speak of the subdivision of the quasiparticles
into two dierent sorts, phonons and rotons.
Now we consider the distribution of momenta in a system of molecules
for the state of statistical equilibrium. We introduce a function w(f ) by
requiring that Nw(f ) df is the average number of particles with momenta
from the elementary volume df in the momentum space. This function is,
obviously, normalized in the sense that


w(f ) df = 1.
(19)
Now let F (f ) be an arbitrary continuous function of momentum. Then
the average value of the dynamical variable


F (pi )
(iiN )

is

N F (f )w(f ) df .

(20)

If we take a framework in which the condensate moves with velocity u, it is not dicult
to see that the energy of the considered system of molecules is


H=
E(f ) f u nf + H0 + M u2 /2.
c

In view of Landaus speculations from the above mentioned paper this expression makes
the property of superuidity obvious. Indeed the appearance of elementary excitations is
energetically unfavorable, since it is accomplished by increase of energy.

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On the other hand, this average is equal to




V
F (f )N f =
F (f )N f df .
(2
)3

page 15

15

(21)

Thus, if we compare Equations (20) and (21), we nd

w(f ) =

Nf =
b bf .
3
(2
)
(2
)3 f

Then expressing the operators bf and bf in terms of f and f we obtain

1
V 

1 |Lf |2 (f + Lf f )(f + Lf f
)
3
(2
)

n
f + |Lf |2 (
nf + 1)
=
,
3
(2
)
1 |Lf |2

w(f ) =

(22)

where in view of Equation (17)

1
  E(f ) f u 
1
nf = exp
.

(23)

The obtained expression (22) for the probability density is valid only
for f
= 0. Therefore due to the normalization condition (19), the general
expression for the probability density for the molecule momenta is

n
f + |Lf |2 (
nf + 1)
w(f) = C(f ) +
(2
)3
1 |Lf |2

(24)

where C(f ) is the Dirac delta-function and C is the number determined by

the equality


nf + 1)

n
f + |Lf |2 (
df .
(25)
C =1
(2
)3
1 |Lf |2
The value of C is, obviously, equal to N0 /N, since CN is the average number
of molecules with zero momentum.
In the formulae obtained, on the basis of Equation (11) we have
2
N
0
(f
)
2
|Lf |
V
=

,
2
N0
1 |Lf |
2E(f ) E(f ) + T (f ) +
(f )
V

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N. N. BOGOLUBOV
N0
E(f ) + T (f ) +
(f )
1
V
,
=
1 |Lf |2
2E(f )

(26)

and consequently at zero temperature the momentum probability density is

w(f ) = C(f ) +

(2
)3

N

(f )

2

V


N0
2E(f ) E(f ) + T (f ) +
(f )
V

where

1C =

(2
)3

N

(f )

2

V
 df .

N0
(f )
2E(f ) E(f ) + T (f ) +
V

(27)

Thus, at zero temperature as well, only a part of the molecules possess

exactly zero momentum. The rest are continuously distributed over the whole
spectrum of momenta.
In view of above remarks, the approximate method used is applicable
only while the following inequality holds
(N N0 ) = 1 C  1.
Therefore, to ensure the smallness of the integral (27), the interaction
between the molecules should be suciently small.
Now let us determine how the smallness of the interaction should be
understood. We put
r
(r) = m F
r0
where F () is a function such that it and its derivatives take values of the
order of unity for 1 and vanish rapidly for . Then we have
(f ) = m r03

 |f |r 
0

where (x) is a function taking values of 1 for x 1 and vanishing rapidly

as x .

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17

If in equation (27) we proceed to dimensionless variables and reduce the

three-dimensional integral to a one-dimensional one, we nd
N N0

1
= 3
N
r0 (2)2
where

2 (x)x dx
(x){x(x) + x2 + (x)}

(28)


1/2
(x) = x2 + 2(x)
,
=


2 1 r 3

2 1
r03 N0
0
m

.
m
V
2mr02

2mr02

It is not dicult to see that for small the integral in the right-hand side of

Equation (28) is of the order of and the condition for applicability of the
method considered is given by the inequality


 1,
/r03 3/2  1,
that is

r03

2
m 
,

2mr02

 r 3 1/3
0

2
m 
.
2mr02

(29)

For temperatures dierent from zero, similar consideration of the general

formula (24) will result in an auxiliary condition for the weakness of the
interaction requiring that the temperature should be low compared with the
temperature of the -point.
We see that the condition for the smallness of interaction in the form of
expression (29) automatically excludes the possibility for taking into account
short-range repulsive forces, since for that it would be necessary to consider
intensive growth of the function (r) as r . However, it is not dicult
to modify the results obtained here in order to extend them over the more
realistic case of a gas of low density with molecules of a nite radius.
Indeed, in our nal formulae, the potential (r) enters only the expression


 fq
(f ) = (|q|) exp i
dq
(30)


proportional to the amplitude of the Born probability of pair collision. Since
at low density the interaction between molecules is mainly realized via pair

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N. N. BOGOLUBOV

collisions, expression (30) should be replacedd by an expression proportional

to the amplitude of the exact probability of pair collision. In other words,
we should put


(f ) =

(|f |)(q, f ) dq,

(31)

where (q, f ) is the solution of the Schrodinger equation for the relative
motion of a pair of molecules



2
+ (|q|) E = 0
m

which behaves like exp{if q/
} at innity.

The replacement of Equation (30) by Equation (31) in the expression for
E(f ) will result in formulae valid for gases of low density. Therefore, the
condition for existence of superuidity (0) > 0 will be written, for instance,
in the form


(|f |)(|q|) dq > 0
(32)
where (|q|) is the spherically symmetric solution of the equation

2
+ (|q|) = 0
m

approaching unity at innity.

In order to connect the inequality (32) with the condition for the
thermodynamic stability, as this has been done above, we calculate the
leading term in the expansion of the gas free energy at zero temperature
in powers of density. Since at zero temperature the free energy coincides
with the internal energy, we have the following expression for the energy per
molecule


1
E = T +
(|q|)g(|q|) dq
(33)
2
where T is the average kinetic energy of a molecule, g(r) is the molecular
distribution function, approaching unity as r .
On the other hand, but the virial theorem, the pressure can be
determined from the formula


2 1
(34)
p = T
 (|q|) |q| g(|q|) dq.
3
6
d

I was kindly informed of this important fact by L.D. Landau.

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SOME SELECTED WORKS

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19

Now note that the leading term in the expression of the molecular distribution
function at zero temperature in powers of the density is, obviously, equal
to 2 (|q|). Therefore, omitting in Equations (33) and (34) the terms
proportional to the square root of the density, we nd


1

E =T =
(|q|)2 (|q|) dq,
2


2 1
p = T
 (|q|)2 (|q|) dq.
3
6
Then, taking into account that
p =

we obtain the equation for determining the leading term in the expression
for T . After calculations we nd


(0)
1
(0)
, p=
.
E =
(|q|)(|q|) dq =
2
2
2 2
Thus, in the considered case of a gas of low density, the condition for
the existence of superuidity (32) is equivalent to the usual condition for
thermodynamic stability of a gas at zero temperature, i.e.,
p
< 0.

As an example, let us consider a model where the molecules are ideal

rigid spheres of diameter r0 , so that
(r) = +,

r < r0 ,

(r) = +o,

r > r0 .

After simple calculations we nd

(0) = 4

2 r0
.
m

If we suppose that there is weak attraction between spheres and put

(r) = +,

r < r0 ,

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N. N. BOGOLUBOV
(r) = 0 (r) < 0,

r > r0 ,

where is a small parameter, we obtain, up to the terms of the order of 2 ,

2 r0
+ 4
(0) = 4
m

r 2 (r) dr.

r0

Thus, in this model the appearance of superuidity is due to the relationship

between the repulsion and attraction forces. The repulsion forces promote
superuidity, while the attraction forces hinder it.
Finally, it should be emphasized that it is apparently possible to proceed
to consideration of realistic uids in the frame of the theory developed
here, if such semi-phenomenological concepts as the free energy for weakly
nonequilibrium states is used.

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