 “All of modern physics is governed by that

magnificent and thoroughly confusing discipline

called quantum mechanics...It has survived all tests
and there is no reason to believe that there is any
flaw in it….We all know how to use it and how to
apply it to problems; and so we have learned to live
with the fact that nobody can understand it.”
 --Murray Gell-Mann
Lecture 09: Barrier
Penetration
and Tunneling

U(x)
U0
E

0 L x
 Content
 How quantum particles tunnel
 Nuclear Decay
 Solar Fusion
 Tunneling Particles
 Due to “barrier penetration”, the electron density of a metal
actually extends outside the surface of the metal!

x Vo
Work
function 
EF
Occupied levels

x = 0
Assume that the work function (i.e., the energy difference between
the most energetic conduction electrons and the potential barrier
at the surface) of a certain metal is  = 5 eV. Estimate the
distance x outside the surface of the metal at which the electron
probability density drops to 1/1000 of that just inside the metal.
2
 ( x)  2 Kx 1 1  1 
e  x ln    0 .3nm
 (0)
2
1000 2 K  1000 

2 me 2 me 5eV
using K  V 0  E   2   2  11.5 nm 1

2 h2 1.505 eV  nm 2
 Application: Tunneling Microscopy
 Due to the quantum effect of “barrier x Metal
penetration,” the electron density of a tip
material extends beyond its surface:

One can exploit this material STM tip

to measure the
electron density on a ~ 1 nm
material’s surface:
material
STM tip
Real STM tip

http://www.quantum-physics.polytechnique.fr/en/
 Tunneling Through a Barrier (1)

What is the “Transmission U(x)
Coefficient T”, the probability U=Uo
I II III
an incident particle tunnels
through the barrier?

Consider a barrier (II) in the
middle of a very wide infinite U=0
square well. 0 L x

To get an “exact” result describing how quantum particles penetrate
this barrier, we write the proper wavefunction in each of the three
regions shown in Figure:
Region I: ( x )  A sin k x  A cos k x E > U: oscillatory solution
I 1 2
Kx  Kx
Region II:  II ( x )  B1e  B2e E < U: decaying solution

Region III: III ( x )  C 1 sin k x  C 2 cos k x E > U: oscillatory solution


Next we would need to apply the “continuity conditions” for both
 and d/dx at the boundaries x = 0 and x = L to determine the
A, B, and C coefficients.
 Tunneling Through a Barrier (2)
U(x)

In general the tunneling coefficient T can be quite
U0
complicated (due to the contribution of amplitudes
“reflected” off the far side of the barrier). E

0 L x

However, in many situations, the barrier width L is much larger
than the ‘decay length’ 1/K of the penetrating wave; in this case
(KL >> 1) the tunneling coefficient simplifies to:

2 K L E  E  2m
T  Ge where G  16  1   K 2
U 0  E 
U0  U0  
This is nearly the same result as in the “leaky particle” example!
Except for G:
4
• G slightly modifies the 3
transmission probability 2
G

• G arises from the fact 1

that the amplitude at 0
x = 0 is not a maximum 0 0.25 0.5 0.75 1

E/U0
 Tunneling Through a Barrier (3)
U(x)
2 KL
T  Ge U0
E
E  E  2m
where G  16  1   K U 0  E 
U0  U0   2
0 L x
 By far the dominant effect is the decaying exponential*:
 2 KL
T e

T depends on the energy below the barrier (U0-E) and on
the barrier width L. 0.6
T E=2/3 U0
 The plot illustrates how the transmission 0.4
coefficient T changes as a function of 0.2
E=1/3 U0
barrier width L, for two different values of
the particle energy. 0
0.5 0.75 1 1.25 1.5
L
 Example: Barrier Tunneling in an STM
 Let’s consider a simple problem:
U(x)
An electron with a total energy of E=6 eV U0
approaches a potential barrier with a E
height of Uo = 12 eV. If the width of the metal STM tip
barrier is L=0.18 nm, what is the 0 L air x
probability that the electron will tunnel
gap
through the barrier?
 Example: Barrier Tunneling in an STM
 Let’s consider a simple problem:
U(x)
An electron with a total energy of E=6 eV U0
approaches a potential barrier with a E
height of Uo = 12 eV. If the width of the metal STM tip
barrier is L=0.18 nm, what is the 0 L air x
probability that the electron will tunnel
gap
through the barrier?
2 KL E  E  1 1
T  Ge G  16
U0
1    16  1    4
 U0  2 2
2 me 2 me 6 eV
K U 0  E   2 U 0  E   2  12.6 nm 1

2 h2 1.505 eV-nm 2
 2 (12.6 )( 0.18 )
T  4e  4(0.011)  4.3%
Question: What will T be if we double the width of the gap?
 exercise 1
Consider a particle tunneling through a barrier. U(x)
1. Which of the following will increase the U0
likelihood of tunneling? E

a. decrease the height of the barrier

0 L x
b. decrease the width of the barrier
c. decrease the mass of the particle

2. What is the energy of the particles that have successfully “escaped”?

a. < initial energy
b. = initial energy
c. > initial energy
 exercise 1
Consider a particle tunneling through a barrier. U(x)
1. Which of the following will increase the U0
likelihood of tunneling? E

a. decrease the height of the barrier

0 L x
b. decrease the width of the barrier
c. decrease the mass of the particle Reducing m or U0
 2 KL will reduce K
T e
2. What is the energy of the particles that have successfully “escaped”?
a. < initial energy
b. = initial energy
c. > initial energy

Although the amplitude of the wave is smaller after the

barrier, no energy is lost in the tunneling process.
 Tunneling and Radioactivity
In large atoms (e.g., Uranium), the nucleus
nucleus can be unstable to the emission
of an alpha particle (2p + 2n), which is U(x)
a 4He nucleus. This form of
radioactivity is a tunneling process,
involving transmission of a 4He nucleus
from a low-energy valley through a A B C B A
barrier to a lower energy outside.
0 L

The “trapped” particle tunnels
through region B out to region A.
 The particle will not return.

The magnitude of the part left in
C decays exponentially in time.
[If you look at any one radioactive nucleus, you see it
decay at some particular random time. An ensemble of
many nuclei is needed to see the exponential decay.]
 -Radiation: Example 1
Consider a very simple model of -radiation:
Assume the alpha particle (m = 6.64 x 10-27 kg) is trapped in the nucleus of a Polonium-212 atom (Z = 84), which presents
a square barrier of width L = 9.4 x 10-15 m (9.4 fermi) and height Uo = 26 MeV. What is the tunneling probability for an
alpha particle with energy ~ 9 MeV each time the particle hits the barrier? What is the approximate lifetime of the 212Po?
 -Radiation: Example 1
Consider a very simple model of -radiation:
Assume the alpha particle (m = 6.64 x 10-27 kg) is trapped in
the nucleus of a Polonium-212 atom (Z = 84), which presents a
square barrier of width L = 9.4 x 10-15 m (9.4 fermi) and
height Uo = 26 MeV. What is the tunneling probability for an
alpha particle with energy ~ 9 MeV each time the particle hits
the barrier? What is the approximate lifetime of the 212Po?
[For this order of magnitude calculation you may neglect G.]
 2 KL 2m
T e K
 2  0
U  E

2  6.64  10 27 kg
  17  10 6 eV  1.6  10 19 J / eV   1.8  1015 m 1
1.05 10 J  s
34 2

 
T  exp  2  9.4  10  15 m   1.8  1015 m 1   2  10 15
The particle makes about 1021 attempts at the barrier per second
(~nuclear diameter/velocity), so the probability of escape is about
2 x 106 per second. Decay time for an -particle is about
(2 x 106 s-1)-1 = 0.5 x 10-6 seconds = 0.5 μs.
 -Radiation: Example 2
Consider a very simple model of -radiation:
Assume the alpha particle (m = 6.64 x 10-27 kg) is trapped in the nucleus of a Uranium-235 atom (Z = 92), which presents a square
barrier of width L ~ 21 x 10-15 m (21 fermi) and height Uo = 28 MeV. What is the tunneling probability for an alpha particle with
energy ~4.5 MeV each time the particle hits the barrier? What is the approximate lifetime of the 235U? [For this order of magnitude
calculation you may neglect G.]
 -Radiation: Example 2
Consider a very simple model of -radiation:
Assume the alpha particle (m = 6.64 x 10-27 kg) is trapped in
the nucleus of a Uranium-235 atom (Z = 92), which presents a
square barrier of width L ~ 21 x 10-15 m (21 fermi) and height
Uo = 28 MeV. What is the tunneling probability for an alpha
particle with energy ~4.5 MeV each time the particle hits the
barrier? What is the approximate lifetime of the 235U? [For
this order of magnitude calculation you may neglect G.]
2m
2  0
 2 KL K U  E
T e 
2  6.64  10 27 kg
  23.5  10 6
eV  1.6  10 19
J / eV   2.1  1015
m 1

1.05  10 J  s
34 2

 
T  exp  2   21  10  15 m    2.1  10 15 m  1   5  10  39
The particle makes about 1021 attempts at the barrier per second
(~velocity/nuclear diameter), so the probability of escape is about
5 x 10-18 per second. Decay time for an -particle is about
(5 x 10-18 s-1)-1 = 2 x 1017 seconds ~ 1010 yrs!
 The sun!
The solar nuclear fusion process starts when
two protons fuse together (they eventually
become a helium nucleus, which fuses with
another one, releasing two energetic protons).

The temperature of the sun is some 1015 K.

This corresponds to an average kinetic energy:
3/2 kBT = 3 x 10-16 J (kB = Boltzman’s constant)

How much energy would they need classically to “touch” (approach to a

distance the size of the nucleus, ~1 fm)?
They are both charged, and therefore repel each other:
U(r) = (1/4)xe2/r = (9x109)x(1.6x10-19 C)2/10-15 m = 2 x 10-13 J

Thus, classically, the protons in the sun do not have enough energy to
overcome their coulomb repulsion.
How do they fuse then? By tunneling through the coulomb barrier!
 Example Problem
Suppose an electron of KE = 0.1 eV approaches a barrier. a) What is the
wavelength of this electron? b) For what barrier height will it have a 50%
chance of penetrating 1 nm into the forbidden region? What about 1 m?

Solution:
a) In the allowed region: Use the De Broglie relation, p = h/and the kinetic
E = h2/2m2 = 1.505eVnm2/2 energy E = p2/2m.
= 0.1 eV (for an electron)
 = 3.9 nm

U is the unknown barrier height and E = 0.1 eV.

b) In the forbidden region: The 2 in e-2KL results from probability being ||2.
K = (2m(U-E)) / 
e-2KL = 1/2
Note that all that really matters is U-E. You can
U = E + ( ln2/2L)2 / 2m also use h2/2m = 1.505eVnm2 for an electron.
= 0.1 eV + 7.410-22 J L = 1 nm.
= 0.105 eV

L = 1 m. Penetration by a significant distance isn’t

or = 0.1 eV + 7.410 J
-28

= 0.100000005 eV possible unless the energy is nearly allowed.