Fundamentals of Plasma Physics 2006

Fundamentals of
Plasma Physics
James D. Callen
University of Wisconsin, Madison
June 28, 2006
PREFACE
Plasma physics is a relatively new branch of physics that became a mature
science over the last half of the 20th century. It builds on the fundamental areas
of classical physics: mechanics, electrodynamics, statistical mechanics, kinetic
theory of gases, and uid mechanics. The distinguishing feature of the plasma
medium is that its properties are determined by the nature of the interactions
between the charged particles in it collective rather than binary and weak
compared to their thermal motions.
The collective but weak interactions in a plasma embody many physical
processes over a wide range of length and time scales: predominantly deter-
ministic particle motion which however may be diusive on long time scales,
internal generation of microscopically irregular but macroscopically smooth elec-
tromagnetic elds, both adiabatic and inertial (or uidlike) plasma responses,
dielectric-medium-type electrical properties, and various ow regimes (laminar,
transitional, shock and turbulent). These processes lead to a wide variety of
interesting collective phenomena, e.g., dielectric shielding of charges, waves in
the medium, transfer of energy from waves to particles (via Landau damping, a
collisionless wave-particle resonance eect), transfer of energy from a distribu-
tion of particles into waves (instabilities), and turbulence in the six-dimensional
(three real plus three velocity space coordinates) phase space.
Increased understanding of plasma physics has both been stimulated by, and
paced, the development of its many important applications, e.g., magnetic and
inertial approaches to fusion, space and astrophysical plasmas, plasma process-
ing of materials, and coherent radiation generation (typically via acceleration of
beams of electrons or ions). Thus, plasma physics has developed in large part
as a branch of applied or engineering physics science with a purpose.
The primary objective of this book is to present and develop the fundamen-
tals and principal applications of plasma physics. The emphasis is on what is
usually called high-temperature plasma physics in which the plasma is nearly
fully ionized and neutral particles have small eects on the plasma behavior.
The level is meant to be suitable for senior undergraduate students through ad-
vanced graduate students and active researchers. Pedagogically, it begins from
an elemental or microscopic description, then uses this to develop macroscopic
models of plasmas, and nally uses these models to discuss practical applica-
tions. A variety of applications of plasma physics are discussed throughout the
text; many others are covered in the problems at the end of each chapter. In con-
cert with the modern trend in the physical sciences, SI (Système International
dUnites) or mks units are used throughout.
This book has evolved primarily from lecture notes developed while teach-
ing various plasma physics courses at the University of Wisconsin-Madison over
more than two decades (19792003) and in part from teaching three years at
Massachusetts Institute of Technology (19691972). My own research and teach-
ing has been predominantly in magnetic fusion research, which has been the
dominant driving force behind the development of the science of plasma physics
over this period. However, because plasma physics has grown into a mature
i
PREFACE ii
science whose principles are broadly applicable, I attempt to develop the fun-
damental concepts in an application-independent manner. In addition, many
dierent types of applications of plasma physics are discussed throughout the
book.
The science of plasma physics draws heavily on many areas of classical
physics and applied mathematics. Typically, not all of these subjects are well
known to the wide variety of students (from physics, engineering physics, elec-
trical engineering, nuclear engineering and other undergraduate curricula) who
begin studies of plasma physics. Also, most of the needed background material
is not readily available in concise, accessible forms. Thus, a number of Ap-
pendices have been written to provide relevant summaries; they give important
supplementary information that is an integral part of this textbook. Finally,
Appendix Z (to be placed on pages inside book covers) provides sets of ba-
sic formulas that are useful throughout the book vector relations, vector
dierentiation operators, physical constants, and key plasma formulas.
This book is designed for teaching plasma physics at a variety of levels.
(It may also serve as a useful reference book for active researchers in plasma
physics.) For example, it could be used as the basis for a two (or more) semester
graduate-level course on plasma physics, at the rate of approximately one chap-
ter section per one hour lecture. However, it could also be used for teaching
a fast-paced, one-semester introductory course on plasma physics by covering
only the sections at the rst of most of the chapters. Intermediate-level subjects
that could be omitted without compromising understanding of later sections are
indicated by an asterisk (*) at the end of the respective section titles. Advanced
material, which is relevant mostly for research purposes, is similarly indicated
by a plus sign (+). Bibliographies at the end of each of the chapters and ap-
pendices provide information on other textbooks and research literature that
should be consulted for further details or supplementary course material. In-
dividual chapters of this book will be made available (in draft form) via my
public web page (http://homepages.cae.wisc.edu/callen) as soon as they
are available.
The large number of problems at the end of each chapter are graduated in
level of diculty commensurate with the various levels and styles of courses that
might be taught from the book. Specically, the levels of the problems are clas-
sied according to their nature and consequent degree of diculty: evaluational
(/), application development (//) and conceptual development (///). Also, the
level of material involved in solving the problem is indicated: basic (no mark),
intermediate (*), or advanced (+).
(Detailed acknowledgements of help by others and assistance in the prepa-
ration of this manuscript will be written later.)
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June 28, 2006
PREFACE
c J.D Callen, Fundamentals of Plasma Physics
iii
Introduction
Plasma is often called the fourth state of matter. The various states of matter
occur as a substance is heated to temperatures above the binding energies for
particular states of matter and thereby undergoes phase transitions. As an
example, consider the states of H
2
0 and its molecular, atomic and elementary
particle constituents at various temperatures, as indicated in Fig. 1. Below
273 K ( 0.0235 eV
1
) it is in a crystalline form known as ice a solid, the
1
Temperatures (and particle energies) in plasma physics are usually quoted in electron
volts, abbreviated eV. The conversion factor from Kelvin to eV is Boltzmanns constant k
B
divided by the electron charge: k
B
/e 1 eV/11,604.4 K.
K
1.1610
4
11.6
1.1610
7
1.1610
10
1.1610
13
273
373
eV
1GeV
1MeV
1keV
1eV
.001eV
Temperature
States
of H
2
O
States of
Matter TypesofPlasmas
nuclear
plasma
fully
ionized
plasma
partially
ionizedgas
liquid
solid
interior of sun
earths magnetosphere
solar corona
solar wind
gas lasers
earths ionosphere
interstellar space
plasma
ice
water
neutral
gas
steam
(H
2
Omolecules)
fusion reactors
fusion experiments
fluorescentlamps,
gaseous electronics
relativistic plasmas
Figure 1: Schematic of states of H
2
O as it is heated. Also shown are the
corresponding states of matter and some of the types of plasmas that can occur
in the various temperature ranges indicated.
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INTRODUCTION
INTRODUCTION iv
rst state of matter, which is a strongly coupled medium (binding energy large
compared to thermal energy). At temperatures between 273 K and 373 K the
crystalline bonds are broken, but large scale molecular structures exist and H
2
0
is called water a liquid, the second state of matter, which is also a strongly
coupled medium. At temperatures above 373 K ( 0.032 eV) the long-scale
molecular structure bonds are broken and the independent H
2
0 molecules form a
gas, which is commonly known as steam. Upon further heating to a temperature
of the order of the molecular binding energy ( 0.3 eV), the molecules dissociate
into independent hydrogen and oxygen atoms. While this is no longer steam,
it is still a gas in which the elemental constituents (H
2
and 0
2
) are electrically
neutral. This third state of matter is a neutral gas, which is a weakly coupled
medium on average, interactions between particles are weak, compared to
their thermal motions.
We nally reach the plasma or fourth state of matter when we heat the gas
to the point where a signicant fraction of the atoms are dissociated (atomic
bonds broken) into negatively charged electrons and positively charged ions to
form an ionized gas. The fraction of the atoms that are dissociated is called
the degree of ionization. The binding energy of the most weakly bound electron
in atoms of all types is typically of the order of the 13.6 eV binding energy of
an electron in the hydrogen atom. As discussed in Section 7 of Appendix A
(Section A.7), when the temperature increases to a signicant fraction ( 0.02
1) of the electron binding energy, collisions between the atoms in their thermal
motion cause a non-negligible fraction of the atoms to become ionized. Electron
temperatures in the few eV range typically produce a partially ionized gas.
An ionized gas is in the plasma state if the charged particle interactions are
predominantly collective rather than just binary. (Binary interaction collisions
are one-at-a-time interactions with other individual charged particles or neutral
atoms and are the dominant ones in neutral gases.) In a plasma the inter-
actions are collective because many charged particles interact simultaneously,
but weakly, through their long-range electromagnetic elds in particular
their Coulomb electric elds. Thus, a plasma is a collective but weakly coupled
medium in which interaction energies are much smaller than thermal energies.
At temperatures above a few eV the ionization becomes essentially complete.
At this point, it is an almost completely ionized gas and it is nearly always in
the plasma state; hence it is then usually called a fully ionized plasma. Further
heating of a collection of such particles would successively break nuclear bonds
( MeV) and quark bonds ( GeV). These result in nuclear and quark-gluon
plasmas, respectively. However, such states are beyond the scope of normal
plasma physics and will not be treated in this book.
The word plasma, which comes from the Greek , means something
molded. It was introduced by Tonks and Langmuir in 1929 to describe the
behavior of the ionized gas in an electrical discharge tube, which they found
could be manipulated by a magnetic eld. While most plasmas can indeed be
manipulated by magnetic elds to some degree, their collective behavior often
resembles that of an electrically charged, shapeless, structureless uid that oozes
about mostly of its own accord, as one might imagine an electrically active
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INTRODUCTION
INTRODUCTION v
lump of jelly would. Thus, the name plasma is only partially appropriate it
expresses a hope but perhaps not always the reality.
Some common types of plasmas are indicated on the right side of Fig. 1. Par-
tially ionized plasmas include various types of gas discharges (uorescent lamps,
gas lasers, arc discharges, plasmas for materials processing) and the earths iono-
sphere. The earths magnetosphere and the solar corona are prominent space
physics examples of nearly fully ionized plasmas. Since most of the vastness of
interstellar space is in the plasma state, it is often said that 99% of the visible
universe is governed by plasma physics. (However, since the interiors of stars are
also in the plasma state, the actual fraction of particles in the visible universe
that are in the plasma state is much closer to unity.)
The most prominent examples of high temperature, essentially fully ionized
plasmas are those in the solar wind and in fusion experiments. The latter
experiments seek to conne plasmas either with magnetic elds or inertially
at temperatures of about 10 keV or greater together with a product of the
plasma density and the plasma connement time of more than 10
20
m
3
s. The
objective of creating such plasmas is to develop an environmentally attractive
new energy source based on the exothermic fusion of light ions. For example,
the fusion of deuterium and tritium (isotopes of hydogen) nuclei produces 17.59
MeV of energy, which is much larger than the 4.65 keV of collision energy that
is required to overcome the Coulomb potential barrier between the charged ions.
In addition to these thermal plasma examples, many types of modern devices
for generating coherent radiation are governed by the collective interactions of
plasma physics: free electron lasers, ion beams, relativistic electron beams, and
gyrotrons.
This book concentrates on the physics of fully ionized, nonrelativistic plas-
mas composed of electrons and ions, which usually means temperatures and
particle energies ranging from about 10 eV to 100 keV. The physics of partially
ionized plasmas, which combines plasma and atomic physics, and chemistry, is
covered only partially through a few examples and problems. Quantum me-
chanical eects are mostly neglected because, while there are various types of
quantum mechanical plasmas, for the plasmas of interest here the most relevant
interaction distances are usually much longer than the de Broglie wavelength.
The fundamental processes in a plasma are governed primarily by classical
physics. The motion and interactions of individual charged particles are de-
scribed by the usual equations of classical mechanics and electrodynamics see
Appendix A. While relativistic eects in mechanics are important for radiative
processes and in very hot, relativistic plasmas where the electron temperature
becomes a signicant fraction of the electron rest mass energy (511 keV), they
can mostly be neglected for the plasmas of interest here.
The distribution of the charged particles in the relevant six-dimensional
phase space (three spatial and three velocity space coordinates) is governed
by a plasma kinetic equation that takes account of the motion of charged parti-
cles in the extant electromagnetic elds, and of the Coulomb collisions between
the charged particles in the plasma. While the velocity distribution of charged
particles in a plasma is often close to the collisional equilibrium Maxwellian dis-
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INTRODUCTION
INTRODUCTION vi
tribution, ordinary statistical mechanics is not usually applicable to plasmas
because collisional relaxation processes in plasmas are quite slow (compared to
various physical processes in plasmas), and because plasmas are often in unsta-
ble and hence strongly nonequilibrium states. In unstable plasmas small per-
turbations grow exponentially in time by transferring energy from the charged
particle distribution into collective motions of the plasma. Non-equilibrium sta-
tistical mechanics descriptions have been developed for some particular plasma
situations; however, it has not been possible to give a general description of
plasmas using this approach.
When the velocity distribution is close to a Maxwellian, it is often sucient
to use uid moment descriptions (e.g., plasma density, momentum, and energy
equations). Then, the description of plasmas becomes analogous to descriptions
of ordinary neutral uids. However, the eects of electromagnetic elds on
the charged particles and the separate (and often dierent) behavior of the
electron and ion components in a plasma make these uid moment descriptions
much more complicated. Nonetheless, plasmas exhibit a rich variety of the
types of phenomena usually associated with neutral uids wave propagation,
instabilities, turbulence, and turbulent transport.
This book is organized broadly as follows. Part I develops descriptions of
the fundamental processes in plasmas collective phenomena, Coulomb col-
lisions, structure of magnetic elds, charged particle motion, and the various
models [kinetic, two-uid, and magnetohydrodynamics (MHD)] that are used
to describe plasmas. Then, Part II discusses the various types of waves that
occur in stable plasmas. Plasma kinetic theory and the Coulomb collision op-
erator, and their applications are discussed in Part III. The plasma transport
processes induced by Coulomb collisions in a stable plasma and their eects on
uid moment descriptions of plasmas, and on plasma connement are discussed
in Part IV. The equilibrium and stability properties of a plasma are developed
in Part V. Finally, Part VI provides an introduction to nonlinear plasma theory,
and to plasma turbulence and the anomalous transport it induces.
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INTRODUCTION
Part I
Fundamental Processes in
Plasmas
1
2
A general denition of a plasma is: plasma is an ionized gas or other medium
in which charged particle interactions are predominantly collective. By an ion-
ized gas we mean that there are signicant numbers of free (unbound)
electrons and electrically charged ions in addition to the neutral atoms and
molecules normally present in a gas. In a neutral gas the particle interactions
are dominated by isolated, distinct two-particle (binary) collisions. In contrast,
in a plasma the charged particles interact simultaneously and hence collectively
with many other nearby charged particles in the plasma. However, the typical
particle interaction energies are small compared to the thermal energies of the
particles. Thus, a plasmas behavior is determined by the collective but weak
interactions between large numbers of nearby charged particles in it.
Charged particles interact collectively in most plasmas through their electro-
magnetic elds. In collective interactions many charged particles interact simul-
taneously because the Coulomb electric eld force induced by each charged
particle is a long range force that decreases as only the reciprocal of the square
of the distance from the charged particle. Thus, a test charged particle expe-
riences the sum of the electric eld forces from many nearby charged particles.
The interaction is collective because the nearby particles also experience and
respond to the electric eld forces from all the other nearby charged particles,
as well as that of the test particle. Hence, a plasma is a highly polarizable
medium. These collective rather than binary charged particle interactions in a
plasma lead to a wide variety of interesting phenomena collective (Debye)
shielding of individual charges, oscillations at the plasma frequency, dielectric
medium responses to perturbations, and wave propagation. Chapter 1 develops
descriptions of these fundamental collective phenomena and their consequences.
Collisions of charged particles in plasmas are quite dierent from normal
neutral particle collisions. Neutral particles move independently along straight-
line trajectories between distinct collision events, which are typically strong,
inelastic events that cause the neutral to be scattered in an approximately ran-
dom direction. In contrast, a charged test particle moving through a plasma
simultaneously experiences (and is deected by) the weak Coulomb electric eld
forces around all the nearby charged particles as it passes by each of them.
Since the electric elds around the individual charged particles are quite weak
and Coulomb collisions are elastic (energy-conserving), they individually lead to
typically only very small deections in the direction of motion of the initial test
particle. Thus, the trajectory of a charged test particle is inuenced by many
simultaneous, small angle deections in its direction of motion, with occasional
larger deections when it passes close to another charged particle. Because
charged particles in an ionized gas are usually essentially randomly distributed
in space, the deections produced by Coulomb collisions are random and lead
to a diusive or random walk (Brownian motion) process in the direction of mo-
tion (or velocity vector) of a charged particle. The properties of the cumulative
eects of many Coulomb collisions on a single charged test particle, including
the eective collision frequency for 90
deection of its velocity vector, and the

net collisional eects on a near Maxwellian distribution of such particles are
developed in Chapter 2.
3
In some of the most important applications of plasma physics a quasi-
stationary magnetic eld permeates the plasma e.g., in magnetic connement
devices for fusion, the solar corona, and in the earths magnetosphere. These
magnetic elds can have quite complicated behavior (e.g., curvature, shear) and
structures (e.g., magnetic islands). Since we will want to investigate the prop-
erties of plasmas imbedded in such magnetic elds, in Chapter 3 we discuss the
general structure (kinematics) of magnetic elds and the mathematical models
(local and global) used to describe them.
Charged particles in plasmas move along trajectories governed by a combi-
nation of inertia (mdv/dt = 0 = x = x
0
+vt straight-line trajectories)
and the acceleration induced by the Lorentz force on the charged particle. The
Lorentz force in turn depends on the electromagnetic elds in the plasma. The
Lorentz force due to an electric eld accelerates positively charged particles in
the electric eld direction, and can trap charged particles in an electric elds
potential well. A quasi-stationary magnetic eld causes a charged particle to
execute a cyclotron or Larmor orbit about a magnetic eld line. If the mag-
netic eld is inhomogeneous or an electric eld is present, there are, in addition,
charged particle drifts in directions perpendicular to the magnetic eld direc-
tion. Since the overall behavior of a plasma is governed by the sum of what all
its constituent charged particles are doing, in Chapter 4 we investigate the tra-
jectories of charged particles moving in various types of electromagnetic elds.
Having established in Chapters 14 the fundamental processes in plasmas
(collective phenomena, Coulomb collisions, magnetic structure, charged particle
motion), in Chapters 5 and 6 we present the most commonly used descriptions
of plasmas kinetic, two-uid, and (one-uid) magnetohydrodynamics (MHD)
and use them to discuss the most fundamental plasma responses to pertur-
bations. Chapter 5 discusses how to obtain the plasma kinetic equation starting
from a microscopic description. Then, various levels of simplied uid moment
descriptions and approximate plasma responses are deduced e.g., inertial
(uidlike) for rapid processes and adiabatic for slow processes. Also, general
conditions for stability against growing collective perturbations of the plasma
are noted there. Chapter 6 discusses the main properties of the MHD model
of plasmas equations, equilibrium, Alfven waves and magnetic reconnection
via the small electrical resistivity in a plasma. This chapter also introduces the
important magnetized plasma parameter , which is the ratio of plasma pres-
sure to magnetic energy density, and discusses some of its eects. Finally, both
these chapters conclude with discussions of the types of plasma models that are
used to describe the behavior of both stable and unstable plasmas on various
time and length scales.
REFERENCES AND SUGGESTED READING
The standard introductory level textbook for plasma physics is
Chen, Introduction to Plasma Physics and Controlled Fusion (1974, 84) [?].
Some recently published plasma physics textbooks that are useful complements
or supplements to this standard introductory textbook and this book are
4
Bittencourt, Fundamentals of Plasma Physics (1986) [?].
Chakraboty, Principles of Plasma Mechanics (1978, 90) [?].
Dendy, Plasma Dynamics (1990) [?].
Golant, Zhilinsky and Sakharov, Fundamentals of Plasma Physics (1980) [?].
Goldston and Rutherford, Introduction to Plasma Physics (1995) [?].
Hazeltine and Waelbroeck, The Framework of Plasma Physics (1998) [?].
Nicholson, Introduction to Plasma Theory (1983) [?].
Nishikawa and Wakatani, Plasma Physics, Basic Theory with Fusion Applica-
tions (1990) [?].
Schmidt, Physics of High Temperature Plasmas (1966, 79) [?].
Some of the early, inuentual textbooks on plasma physics were
Spitzer, Physics of Fully Ionized Gases (1956, 62) [?].
Chandrasekhar, Plasma Physics (1960) [?].
Thompson, An Introduction to Plasma Physics (1962) [?].
Krall and Trivelpiece, Principles Of Plasma Physics (1973) [?].
Longmire, Elementary Plasma Physics (1963) [?].
Arzimovich, Elementary Plasma Physics (1965) [?].
Other textbooks that contain introductory-level discussions of plasma physics
include
Boyd and Sanderson, Plasma Dynamics (1969) [?].
Clemmow and Dougherty, Electrodynamics of Particles and Plasmas (1969) [?].
Hellund, The Plasma State (1961) [?].
Holt and Haskell, Plasma Dynamics (1965) [?].
Ichimaru, Basic Principles of Plasma Physics, A Statistical Approach (1973) [?].
Rosenbluth and Sagdeev, eds., Handbook of Plasma Physics (1983) [?].
Shohet, The Plasma State (1971) [?].
Seshadri, Fundamentals of Plasma Physics (1973) [?].
Tannenbaum, Plasma Physics (1967) [?].
. Useful compendia of plasma physics formulas include:
Book, NRL Plasma Formulary (1977, 1990) [?].
Anders, A Formulary for Plasma Physics (1990) [?].
DRAFT 8:36
August 11, 2003 c J.D Callen, Fundamentals of Plasma Physics
CHAPTER 1. COLLECTIVE PLASMA PHENOMENA 1
Chapter 1
Collective Plasma
Phenomena
The properties of a medium are determined by the microscopic processes in it.
In a plasma the microscopic processes are dominated by collective, rather than
binary, charged particle interactions at least for suciently long length and
time scales.
When two charged particles are very close together they interact through
their Coulomb electric elds as isolated, individual particles. However, as the
distance between the two particles increases beyond the mean particle separa-
tion distance (n
1/3
, in which n is the charged particle density), they interact
simultaneously with many nearby charged particles. This produces a collective
interaction. In this regime the Coulomb force from any given charged parti-
cle causes all the nearby charges to move, thereby electrically polarizing the
medium. In turn, the nearby charges move collectively to reduce or shield
out the electric eld due to any one charged particle, which in the absence of
the shielding decreases as the inverse square of the distance from the particle.
In equilibrium the resultant cloud of polarization charge density around a
charged particle has a collectively determined scale length the Debye shield-
ing length beyond which the electric eld due to any given charged particle is
collectively shielded out. That is, the long range force of the Coulomb electric
eld is actually limited to a distance of order the Debye length in a plasma.
On length scales longer than the Debye length a plasma responds collectively
to a given charge, charge perturbation, or imposed electric eld. The Debye
shielding distance is the maximum scale length over which a plasma can depart
signicantly from charge neutrality. Thus, plasmas, which must be larger than a
Debye length in size, are often said to be quasineutral on average electrically
neutral for scale lengths longer than a Debye length, but dominated by the
charge distribution of the discrete charged particles within a Debye length.
Most plasmas are larger than the Debye shielding distance and hence are not
dominated by boundary eects. However, boundary eects become important
DRAFT 10:26
August 12, 2003 c _J.D Callen, Fundamentals of Plasma Physics
within a few Debye lengths of a material limiter or wall. This boundary region,
which is called the plasma sheath region, is not quasineutral. Material probes
inserted into plasmas, which are called Langmuir probes after their developer
(in the 1920s) Irving Langmuir, can be biased (relative to the plasma) and
draw currents through their surrounding plasma sheath region. Analysis of
the current-voltage characteristics of such probes can be used to determine the
plasma density and electron temperature.
If the charge density in a quasineutral plasma is perturbed, this induces a
change in the electric eld and in the polarization of the plasma. The small
but nite inertia of the charged particles in the plasma cause it to respond
collectively with Debye shielding, and oscillations or waves. When the char-
acteristic frequency of the perturbation is low enough, both the electrons and
the ions can move rapidly compared to the perturbation and their responses are
adiabatic. Then, we obtain the Debye shielding eect discussed in the preceding
paragraphs.
As the characteristic frequency of the perturbations increases, the inertia
of the charged particles becomes important. When the perturbation frequency
exceeds the relevant inertial frequency, we obtain an inertial rather than adi-
abatic response. Because the ions are much more massive than electrons (the
proton mass is 1836 times that of an electron see Section A.8 in Appendix
A), the characteristic inertial frequency is usually much lower for ions than for
electrons in a plasma. For intermediate frequencies between the characteris-
tic electron and ion inertial frequencies electrons respond adiabatically but
ions have an inertial response, and the overall plasma responds to perturbations
via ion acoustic waves that are analogous to sound waves in a neutral uid.
For high frequencies above the electron and ion inertial frequencies both
electrons and ions exhibit inertial responses. Then, the plasma responds by
oscillating at a collectively determined frequency called the plasma frequency.
Such space charge oscillations are sometimes called Langmuir oscillations after
Irving Langmuir who rst investigated them in the 1920s.
In this chapter we derive the fundamental collective processes in a plasma:
Debye shielding, plasma sheath, plasma oscillations, and ion acoustic waves.
For simplicity, in this chapter we consider only unmagnetized plasmas ones
in which there is no equilibrium magnetic eld permeating the plasma. At the
end of the chapter the length and time scales associated with these fundamental
collective processes are used to precisely dene the conditions required for being
in the plasma state. Discussions of applications of these fundamental concepts
to various basic plasma phenomena are interspersed throughout the chapter and
in the problems at the end of the chapter.
1.1 Adiabatic Response; Debye Shielding
To derive the Debye shielding length and illustrate its physical signicance, we
consider the electrostatic potential around a single, test charged particle in
a plasma. The charged particles in the plasma will be considered to be free
DRAFT 10:26
charges in a vacuum. Thus, the electrostatic potential in the plasma can be
determined from
E =
2
=
q
/
0
, Poisson equation, (1.1)
which results from writing the electric eld E in terms of the electrostatic po-
tential, E = , in Gausss law see (??) and (??) Section A.2. The charge
density
q
is composed of two parts: that due to the test charge being consid-
ered and that due to the polarization of the plasma caused by the eect of the
test particle on the other charged particles in the plasma. Considering the test
particle of charge q
t
to be a point charge located at the spatial position x
t
and
hence representable
1
by (x x
t
), the charge density can thus be written as
q
(x) = q
t
(x x
t
) +
pol
(x) (1.2)
in which
pol
is the polarization charge density.
The polarization charge density results from the responses of the other
charged particles in the plasma to the Coulomb electric eld of the test charge.
For slow processes (compared to the inertial time scales to be dened more pre-
cisely in Section 1.4 below), the responses are adiabatic. Then, the density of
charged particles (electrons or ions) with charge
2
q and temperature T in the
presence of an electrostatic potential (x) is given by [see (??) in Section A.3]
n(x) = n
0
e
q(x)/T
, Boltzmann relation (adiabatic response), (1.3)
where n
0
is the average or equilibrium density of these charged particles in the
absence of the potential. The potential energy q of our test particle will be
small compared to its thermal energy, except perhaps quite close to the test
particle. Thus, we expand (1.3) assuming q/T << 1:
n n
0
(1
q
T
+
1
2
q
2
2
T
2
), perturbed adiabatic response. (1.4)
The validity of this expansion will be checked a posteriori at the end of this
section. To obtain the desired polarization charge density
pol
caused by the
eect of the potential on all the charged particles in the plasma, we multiply
(1.4) by the charge q for each species s (s = e, i for electrons, ions) of charged
particles and sum over the species to obtain
pol

s
n
s
q
s
=
s
n
0s
q
2
s
T
s
_
1 +O
_
q
s
T
s
__
(1.5)
in which the big oh O indicates the order of the next term in the series
expansion. In obtaining this result we have used the fact that on average a
1
See Section B.2 in Appendix B for a discussion of the Dirac delta function (x).
2
Throughout this book q will represent the signed charge of a given plasma particle and
e 1.602 10
19
coulomb will represent the magnitude of the elementary charge. Thus, for
electrons we have qe = e, while for ions of charge Z
i
we have q
i
= Z
i
e.
DRAFT 10:26
plasma is electrically quasineutral:
s
n
0s
q
s
= 0, quasineutrality condition. (1.6)
Retaining only the lowest order, linear polarization charge density response
in (1.5), substituting it into (1.2), and using the resultant total charge density
in the Poisson equation (1.1), we obtain
_
2
+
1
2
D
_
=
q
t
0
(x x
t
) (1.7)
in which the 1/
2
D
term is caused by the polarizability of the plasma. Here,
D
is the Debye shielding length:
1
2
D
s
1
2
Ds
s
n
0s
q
2
s
0
T
s
=
1
2
De
+
1
2
Di
=
n
0e
e
2
0
T
e
+
n
0i
Z
2
i
e
2
0
T
i
,
plasma Debye length. (1.8)
In the last expressions we have assumed a plasma composed of electrons with
density n
0e
and only one species of ions with charge Z
i
e and density n
0i
. Note
that for comparable electron and ion temperatures the electron and ion Debye
lengths are comparable. The overall plasma Debye length is obtained from the
sum of the inverse squares of the Debye lengths of the various species of charged
particles in the plasma. For a plasma composed of electrons and protons, which
we will call an electron-proton plasma, the lower temperature component will
give the dominant contribution to the overall plasma Debye length. Numerically,
the electron Debye length is given in SI (mks) units by
De

_
0
T
e
n
e
e
2
7434
T
e
(eV)
n
e
(m
3
)
m, electron Debye length. (1.9)
The general solution of (1.7) in an innite, homogeneous three-dimensional
plasma geometry
3
is
4
t
(x) =
q
t
e
|xxt|/
D
4
0
[x x
t
[
=
q
t
e
r/
D
4
0
r
, potential around a test particle.
(1.10)
Here, the subscript t indicates this is the particular solution for the potential
around a test charge q
t
in a plasma. That this is the solution can be veried by
substituting it into (1.7), noting that (
2
+ 1/
2
D
)
t
= 0 everywhere except
where r [x x
t
[ 0 and there lim
r0
_
d
3
x
2
= lim
r0
_
_
dS =
3
For one- and two-dimensional geometries see Problems 1.4 and 1.5.
4
Here and throughout this book we write the mks factor {4
0
} in braces; eliminating this
factor yields the corresponding cgs (Gaussian) forms for electrostatic response formulas.
DRAFT 10:26
b
min
n
-1/3
Debye
shielding
Coul
Figure 1.1: Potential

t
around a test particle of charge q
t
in a plasma and
Coulomb potential
Coul
, both as a function of radial distance from the test
particle. The shaded region represents the Debye shielding eect. The charac-
teristic distances are:
D
, Debye shielding distance; n
1/3
e
, mean electron sep-
aration distance; b
cl
min
= q
2
/(4
0
T), classical distance of closest approach
where the e/T << 1 approximation breaks down.
q
t
/
0
. The solution given in (1.10) is also the Green function for the equation
(
2
+ 1/
2
D
) =
free
/
0
see Problem 1.6.
The potential around a test charge in a plasma, (1.10), is graphed in Fig. 1.1.
Close to the test particle (i.e., for r [x x
t
[ <<
D
), the potential is sim-
ply the bare Coulomb potential
Coul
= q
t
/ (4
0
[x x
t
[) around the test
charge q
t
. For separation distances of order the Debye length
D
, the expo-
nential factor in (1.10) becomes signicant. For separations large compared to
the Debye length the potential
t
becomes exponentially small and hence is
shielded out by the polarization cloud surrounding the test charge. Overall,
there is no net charge Q
_
V
d
3
x
q
from the combination of the test charge
and its polarization cloud see Problem 1.7. The dierence between
t
and
the Coulomb potential is due to the collective Debye shielding eect.
We now use the result obtained in (1.10) to check that the expansion (1.4)
was valid. Considering for simplicity a plasma with T
i
>> T
e
[so the electron
Debye length dominates in (1.8)], the ratio of the potential around an electron
test charge to the electron temperature at the mean electron separation distance
of [x x
t
[ = n
1/3
e
can be written as
e
t
T
e
|xxt| =n
1/3
e
=
exp
_
1/
_
n
e
3
De
_
1/3
_
4 (n
e
3
De
)
2/3

1
4 (n
e
3
De
)
2/3
. (1.11)
DRAFT 10:26
For this to be small and validate our expansion in (1.4), we must require
n
e
3
D
>> 1, necessary condition for the plasma state. (1.12)
That is, we must have many charged particles (electrons) within a Debye cube
a cube each side of which is the Debye shielding distance in length.
5
Physi-
cally, (1.12) is a necessary condition for the plasma state because it represents
the requirement that, at the mean interparticle separation distance, collective
interactions of charged particles dominate over binary interactions. The number
of charged particles within a Debye cube (or more often its reciprocal 1/n
e
3
D
)
is called the plasma parameter since it must be large for the medium to be in
the plasma state.
As another check on the validity of the preceding expansion approach, we
next conrm that the electric eld energy in the polarization cloud is small
compared to a typical thermal energy for the test particle the temperature
of that species of particles. The polarization electric eld is determined by the
dierence between the potential
t
around a test charge in the plasma and the
test charges Coulomb potential
Coul
:
E
pol
= (
t
Coul
) = e
r
d
dr
_
q
_
e
r/
D
1
_
4
0
r
_
(1.13)
in which r [x x
t
[ and e
r
r = (x x
t
)/[x x
t
[ is a unit vector in the
r xx
t
direction. The variation of the polarization electric eld as a function
of the distance r away from the test charge is shown in Fig. 1.2.
The energy density associated with this electric eld is
0
[E
pol
[
2
/2. Using a
spherical coordinate system whose origin is at the position of the test charge,
we nd that the total electric eld energy obtained by integrating the energy
density, normalized to the electron temperature (again assuming T
i
>> T
e
for
simplicity) can be written as
1
T
e
_
d
3
x

0
2
[E
pol
[
2
=
4
0
2T
e
_
q
4
0
_
2
_

0
r
2
dr
_
d
dr
_
e
r/
D
1
r
__2
I
8n
e
3
D
. (1.14)
Here, the dimensionless integral I is simplied using x r/
D
and is given by
I
_

0
dx
_
x
d
dx
_
e
x
1
x
__
2
=
_

0
dx
_
e
x
1 e
x
x
_
2
=
_

0
dx
_
e
2x
2
x
_
e
x
e
2x
_
+
(1 e
x
)
2
x
2
_
=
_

0
dxe
2x
=
1
2
5
Since the intrinsic geometry of the polarization cloud around a test charge is spherical,
plasma physicists often use as the appropriate measure the number of charged particles within
a Debye sphere, (4/3)ne
3
D
, which by (1.12) must also be large compared to unity.
DRAFT 10:26
E
r
E
pol
0
Figure 1.2: Coulomb and polarization radial electric elds around a test par-
ticle of charge q in a plasma. Because the plasma polarization acts to shield
out the positive Coulomb electric eld, the polarization electric eld is negative.
The polarization electric eld is nite at the origin, decays smoothly with dis-
tance away from the test charge, and shields out the Coulomb electric eld for
separations larger than the Debye length
D
.
in which in the rst integral form on the second line we have integrated the last
term by parts and cancelled it with the second term, and the nal integral is
evaluated using (??) in Appendix C. From (1.14) we again see that our expansion
approach is valid as long as there are many electrons within a Debye cube (or
sphere), since then the electric eld energy in the polarization cloud around a
test charge is small compared to the typical, thermal energy of a charged particle
in a plasma.
We can also use the concepts developed in the preceding discussion to es-
timate the level of thermal uctuations or noise in a plasma. The thermal
uctuations are caused by the interactions between charged particles through
the electric eld around one particle inuencing the positions of other parti-
cles within approximately a Debye sphere around the original charged particle.
That is, they are caused by correlations between particles, or by electric eld
correlations within the plasma. To calculate these properly requires a plasma
kinetic theory (see Chapter 13). However, the uctuation level can be estimated
as follows.
A relevant measure of the magnitude of the thermal noise in a plasma is the
ratio of the electric eld energy density in the uctuations
0
[
E[
2
/2 to the ther-
mal energy density nT. The polarization electric eld given by (1.13) represents
the correlation electric eld between a test particle at x
t
and an observation
point x. From Fig. 1.2 we see that the polarization electric eld is localized to
within about a Debye length of any given charge, and its magnitude there is
not too dierent from its value at r [x x
t
[ = 0: E
pol
(0) = q/(24
0
2
D
).
Also, we note that all charged particles within about a Debye sphere [namely
DRAFT 10:26
(4/3)n
e
3
D
particles] will contribute to the electric eld uctuations at any
given point. Hence, omitting numerical factors, we deduce that the scaling of
the relative electric eld uctuation energy from two-particle correlations in
a plasma is given by
0
2
[
E[
2
n
e
T
e
_
4
3
n
e
3
D
_
_
0
2
[E
pol
(0)[
2
_
n
e
T
e
1
n
e
3
D
<< 1,
thermal uctuation level. (1.15)
We thus see that, as long as (1.12) is satised, the thermal uctuation level is
small compared to the thermal energy density in the plasma and again our basic
expansion approach is valid. The thermal uctuations occur predominantly at
scale-lengths of order the Debye length or smaller. The appropriate numerical
factor to be used in this formula, and the frequency and wave-number depen-
dence of the thermal uctuations in a plasma, can be obtained from plasma
kinetic theory. They will be discussed and determined in Chapter 13.
1.2 Boundary Conditions; Plasma Sheath
A plasma should be larger than the Debye shielding distance in order not to
be dominated by boundary eects. However, at the edge of a plasma where
it comes into contact with a solid material (e.g., a wall, the earth), boundary
eects become important. The region where the transformation from the plasma
state to the solid state takes place is called the plasma sheath.
The role of a plasma sheath can be understood as follows. First, note that
for comparable electron and ion temperatures the typical electron speed, which
will be taken to be the electron thermal speed v
Te

_
2T
e
/m
e
[see (??) in
Section A.3], is much larger than the typical (thermal) ion speed (v
Te
/v
Ti

_
m
i
/m
e
>
43 >> 1). Since the electrons typically move much faster than
the ions,
6
electrons tend to leave a plasma much more rapidly than ions. This
causes the plasma to become positively charged and build up an equilibrium
electrostatic potential that is large enough [ a few T
e
/e, see (1.23) below]
to reduce the electron loss rate to the ion loss rate so the plasma can be
quasineutral in steady state. The potential variation is mostly localized to the
plasma sheath region, which is of order a few Debye lengths in width because
that is the scale length on which signicant departures from charge neutrality
are allowed in a plasma. Thus, a plasma in contact with a grounded wall will:
charge up positively, and be quasineutral throughout most of the plasma, but
have a positively charged plasma sheath region near the wall.
We now make these concepts more concrete and quantitative by estimating
the properties of a one-dimensional sheath next to a grounded wall using a simple
plasma model. Figure 1.3 shows the specic geometry to be considered along
6
Many people use an analogy to remember that electrons have much larger thermal veloc-
ities than ions: electrons are like fast moving, lightweight ping pong balls while ions are like
slow-moving, more massive billiard balls for equal excitation or thermal energies.
DRAFT 10:26
plasma
sheath
presheath
bulkplsama
ionrich
region
transition quasi-neutralplasma
n
n
0
0
x
s
x
s
n
i
n
e
x
x
Figure 1.3: Behavior of the electrostatic potential and electron and ion densities
in the sheath, presheath (or transition) and bulk plasma regions of a plasma
in contact with a grounded wall. For the case shown T
e
/m
i
V
2
= 0.9. The
sheath parameters determined in the text are
3 T
e
/e and x
S
2
De
.
The long-dash line in the top gure indicates the approximation given in (1.26).
with the behavior of the potential, and electron and ion densities in the plasma
sheath and bulk plasma regions, as well as in the presheath (or transition) region
between them.
The electron density is determined from the Boltzmann relation (1.3):
n
e
(x) = n
exp
_
e [(x)
]
T
e
_
(1.16)
in which (x) indicates the equilibrium potential prole in the plasma, and the
subscript indicates evaluation of the quantities in the bulk plasma region
far from the wall (i.e., beyond the plasma sheath and presheath regions whose
properties we will determine). (In using this equation it is implicitly assumed
that the background electron velocity distribution is Maxwellian.)
For simplicity, we consider an electron-proton plasma with negligible ion
DRAFT 10:26
thermal motion eects (e >> T
i
). The potential variation in and near the
sheath produces an electric eld that increases the ow of ions toward the wall,
which will be assumed to be grounded. The ion ow speed V
i
in the x direction
is governed by conservation of energy for the cold (e >> T
i
) ions:
1
2
m
i
V
2
i
(x) +e(x) = constant =
1
2
m
i
V
2
+e
(1.17)
in which we have allowed for a ow of ions from the bulk of the plasma into the
presheath region so as to ultimately balance the electron ow to the wall. The
ion ow at any given point is given by
V
i
(x) =
_
V
2
+
2e
m
i
[
(x)] =
2e
m
i
_
+
m
i
V
2
2e
(x)
_
.
The spatial change in the ion ow speed causes the ion density to change as
well a high ow speed produces a low ion density. The ion density variation
is governed, in a steady equilibrium, by the continuity or density conservation
equation [see (??) in Appendix A] for the ion density: d(n
i
V
i
)/dx = 0, or
n
i
(x)V
i
(x) = constant. Thus, referencing the ion density to its value n
in the
bulk plasma (x ), it can be written as
n
i
(x) = n
_
1 +
2e [
(x)]
m
i
V
2
_
1/2
. (1.18)
Substituting the electron and ion densities into Poissons equation (1.1), we
obtain the equation that governs the spatial variation of the potential in the
sheath, presheath and plasma regions:
d
2
dx
2
=
e
0
(n
i
n
e
)
=
n
0
_
_
1 +
2e [
(x)]
m
i
V
2
_
1/2
exp
_
e [
(x)]
T
e
_
_
.(1.19)
While numerical solutions of this equation can be obtained, no analytic solution
is available. However, limiting forms of the solution can be obtained near the
wall (x << x
S
) and in the bulk plasma (x >> x
S
). Even though a simple
solution is not available in the transition region, solutions outside this region
can be used to dene the sheath position x
S
and the conditions needed for
proper sheath formation.
In the quasineutral plasma far from the plasma sheath region (x >> x
S
) the
potential (x) is very close to its asymptotic value
. In this region we approx-

imate the electron and ion densities in the limits 2e [
(x)] /m
i
V
2
<<1 and
e [
(x)] /T
e
<<1, respectively:
n
e
(x) n
_
1
e [
(x)]
T
e
+
_
,
n
i
(x) n
_
1
e [
(x)]
m
i
V
2
+
_
.
DRAFT 10:26
Keeping only linear terms in
(x), (1.19) can thus be simplied to

d
2
[
(x)]
dx
2

1
2
De
_
1
T
e
m
i
V
2
_
[
(x)] . (1.20)
Here,
De
is the electron Debye length evaluated at the bulk plasma density n
.
For m
i
V
2
< T
e
the coecient of
(x) on the right would be negative;

this would imply a spatially oscillatory solution that is not physically realis-
tic for the present plasma model, which implicitly assumes that the potential
is a monotonic function of x. Thus, a necessary condition for proper sheath
formation in this model is
[V
[
_
T
e
/m
i
, Bohm sheath criterion. (1.21)
Since this condition need only be satised marginally and the ion ow into
the sheath region typically assumes its minimum value, it is usually sucient
to make this criterion an equality. The Bohm sheath criterion implies that ions
must enter the sheath region suciently rapidly to compensate for the electron
charge leakage through the sheath to the wall. In general, what is required for
proper sheath formation is that, as we move toward the wall, the local charge
density increases as the potential decreases:
q
/ < 0 for all x. Also, since
we will later nd (see Section 1.4) that
_
T
e
/m
i
is the speed of ion acoustic
waves in a plasma (for the plasma model being considered), the Bohm sheath
criterion implies that the ions must enter the presheath region at a supersonic
speed relative to the ion acoustic speed.
As long as the Bohm sheath criterion is satised, solutions of (1.19) will be
well-behaved, and exponentially damped in the presheath region: for x >> x
S
we have
(x) C exp(x/h) where h =

De
(1T
e
/m
i
V
2
)
1/2
and C is
a constant of order
S
. Thus, for this plasma model, in the typical case
where V
is equal to or slightly exceeds

_
T
e
/m
i
, the presheath region where the
potential deviates from
extends only a few Debye lengths into the plasma. In

more comprehensive models for the plasma, and in particular when ion thermal
eects are included, it is found that the presheath region can be larger and the
potential variation in this region is inuenced by the eects of sheath geometry,
local plasma sources, collisions and a magnetic eld (if present). However, the
Bohm sheath criterion given by (1.21) remains unchanged for most physically
relevant situations, as long as the quantity on the right side is interpreted to be
the ion acoustic speed in the plasma model being used.
We next calculate the plasma potential
that the plasma will rise to in

order to hold back the electrons so that their loss rate will be equal to the ion loss
rate from the plasma. The ux of ions to the wall is given by n
i
V
, which
when evaluated at the Bohm sheath criterion value given in (1.21) becomes
n
_
T
e
/m
i
. (The ux is negative because it is in the negative x direction.)
A Maxwellian distribution of electrons will produce (see Section A.3) a random
ux of electrons to the wall on the left side of the plasma of (1/4)n
e
v
e
=
(n
/4) exp(e
/T
e
)
_
8T
e
/m
e
. Thus, the net electrical current density to
DRAFT 10:26
the wall will be given by
J = J
i
J
e
= e(n
i
V
n
e
v
e
)
= en
_
_
T
e
/m
i
(1/4)
_
8T
e
/m
e
exp (e
/T
e
)
_
. (1.22)
Since in a quasineutral plasma equilibrium we must have J = 0, the plasma
potential
is given in this plasma model by
=
T
e
e
ln
_
m
i
2m
e
2.84
T
e
e
3
T
e
e
, plasma potential, (1.23)
where after the inequality we have used the proton to electron mass ratio m
i
/m
e
= 1836. In the original work in this area in 1949, Bohm argued that a potential
drop of T
e
/2e extending over a long distance into the plasma (much further
than where we are calculating) is required to produce the incoming ion speed
V

_
T
e
/m
i
at the sheath edge. In Bohms model the density n
is e
1/2
=
0.61 times smaller than the bulk plasma ion density and thus the ion current
J
i
is smaller by this same factor. For this model, the potential
in (1.23)
increases by 0.5 T
e
/e to 3.34 T
e
/e. Since lots additional physics (see end of
preceding paragraph) needs to be included to precisely determine the plasma
potential for a particular situation, and the plasma potential does not change
too much with these eects, for simplicity we will take the plasma potential
to be approximately 3 T
e
/e.
Finally, we investigate the form of (x) in the sheath region near the wall
(x << x
S
). In this region the potential is much less than
and the electron

density becomes so small relative to the ion density that it can be neglected. The
equation governing the potential in this ion-rich region can thus be simplied
from (1.19) to
d
2
(x)
dx
2

en
0
_
m
i
V
2
/2e
+m
i
V
2
/2e (x)
_
1/2
. (1.24)
This equation can be de-dimensionalized by multiplying through by e/T
e
. Thus,
dening a dimensionless potential variable by
(x)
e
_
+m
i
V
2
/2e (x)
T
e
, (1.25)
the equation can be written as
d
2
dx
2

1
.
in which
De
/(m
i
V
2
/2T
e
)
1/4
.
To integrate this equation we multiply by d/dx and integrate over x us-
ing (d/dx)(d
2
/dx
2
) = (1/2)(d/dx)(d/dx)
2
and dx(d/dx)/
= d/
=
2d
to obtain
DRAFT 10:26
1
2
_
d
dx
_
2
+ constant.
Since both and d/dx are small near x
S
, this equation is approximately valid
for the x < x
S
region if we take the constant in it to be zero. Solving the
resultant equation for d/dx, we obtain
d
dx

2
1/4
=
4
3
d(
3/4
)
2dx
.
Integrating this equation from x = 0 where =
0
(e
+ m
i
V
2
/2)/T
e
to
x where = (x), we obtain
3/4
(x)
3/4
0

3x
2
,
or
(x) (
+m
i
V
2
/2e)[1 (1 x/x
S
)
4/3
]. (1.26)
Here, we have dened
x
S

2
3/4
0
3
=
2
5/4
3
_
T
e
m
i
V
2
_
1/4
_
e
+m
i
V
2
/2
T
e
_
3/4
De
,
sheath thickness. (1.27)
Equation (1.26) is valid in the sheath region near the wall (0 < x << x
S
). We
have identied the scale length in (1.27) with the sheath width x
S
because this
is the distance from the wall at which the potential (x) extrapolates to the
eective plasma potential in the bulk plasma,
+m
i
V
2
/2e.
Using the value for
given in (1.23) and V

_
T
e
/m
i
, the sheath
thickness becomes x
S
2
De
. Thus, as shown in Fig. 1.3, for this model the
plasma charges to a positive potential of a few T
e
/e and is quasineutral up
to the non-neutral plasma sheath region, which extends a few Debye lengths
( 2 x
S
4
De
in Fig. 1.3) from the grounded wall into the plasma region.
1.3 Langmuir Probe Characteristics*
To further illuminate the electrical properties of a static or equilibrium plasma,
we next determine the current that will be drawn out of a probe inserted into an
innite plasma and biased to a voltage or potential
B
. Such probes provided
some of the earliest means of diagnosing plasmas and are called Langmuir probes,
after Irving Langmuir who developed much of the original understanding of
their operation. The specic situation to be considered is sketched in Fig. 1.4.
For simplicity we assume that the probe is small compared to the size of the
plasma and does not signicantly disturb it. The probe will be assumed to
have a metallic (e.g., molybdenum) tip and be electrically connected to the
outside world via an insulated tube through the plasma. Probes of this type are
DRAFT 10:26
plasma
I
Se
I
I

p
B
I
Si
B
Figure 1.4: Schematic of Langmuir probe inserted into a plasma and its idealized
current-voltage characteristics: current I drawn out of the probe as a function
of the bias voltage or potential
B
. The labeled potentials and currents are:
f
, oating potential;
p
, plasma potential; I
Si
, ion saturation current; I
Se
,
electron saturation current.
often used in laboratory plasmas that have modest parameters (T
e
<
10 eV,
n
e
<
10
19
m
3
probes tend to get burned up at higher plasma parameters).
Since the bias potential
B
on the probe will not aect the incoming ion
ow speed V
(for
B
<
), following the discussion leading to (1.22) the ion

current out of the probe will be given by
I
i
= A
S
J
i
= n
e
_
T
e
/m
i
A
S
I
Si
, ion saturation current (I
Si
), (1.28)
where A
S
is the area of the probe plus sheath over which the ions are collected
by the probe. For the electrons we must take account of the bias potential
B
on the probe. The electron current into the probe is given by
I
e
= A
p
J
e
=
_
_
_
n
e
_
T
e
/2m
e
A
p
I
Se
,
B

p
,
n
e
_
T
e
/2m
e
A
p
exp [ e(
p
B
)/T
e
] ,
B
<
p
,
(1.29)
in which A
p
is the area of the probe and
p
is the plasma potential the voltage
at which all electrons heading toward the probe are collected by it. (Whereas
the eective area for ions to be collected by the probe encompasses both the
probe and the sheath, for
B
<
p
the relevant area A
p
for electrons is just the
probe area since only those electrons surmounting the sheath potential make
it to the probe see Fig. 1.3. However, when
B
>
p
the relevant area,
and consequent electron current, grows slightly and roughly linearly with bias
DRAFT 10:26
voltage, which is then attracting electrons and modifying their trajectories in
the vicinity of the probe. In the idealized current-voltage curve in Fig. 1.4 we
have neglected this latter eect.)
The total current I = I
i
+ I
e
drawn to the probe is shown in Fig. 1.4
as a function of the bias voltage or potential
B
. For a large negative bias
the electron current becomes negligible and the current is totally given by the
ion current I
Si
, which is called the ion saturation current. The potential
f
at which the current from the probe vanishes is called the oating potential ,
which is zero for our simple model. However, it is often slightly negative in real
plasmas, unless there is secondary electron emission from the probe, in which
case it can become positive. For potentials larger than the plasma potential
p
all electrons on trajectories that intercept the probe are collected and the
current is given by the electron saturation current I
Se
. Except for dierences
in the charged particle collection geometry (typically cylindrical or spherical
probes versus a planar wall), in the sheath thickness (relative to probe size)
eects and perhaps in secondary electron emission, the dierence between the
plasma and oating potentials is just the naturally positive plasma potential
that we derived in (1.23). That is,
p
3 T
e
/e.
In a real plasma the idealized current-voltage characteristic that is indicated
in Fig. 1.4 gets rounded o and distorted somewhat due to eects such as charged
particle orbit eects in the sheath, probe geometry, secondary electron emission
from the probe and other eects. Indeed, because of the practical importance of
Langmuir probes in measuring plasma parameters in many laboratory plasmas,
as we will discuss in the next paragraph, there is a large literature on the
current-voltage characteristics of various types of probes in real plasmas (see
references and suggested reading at the end of the chapter). Nonetheless, the
basic characteristics are as indicated in Fig. 1.4.
For bias potentials that lie between the oating and plasma potentials, the
current from the probe increases exponentially with bias potential
B
. Thus,
the electron temperature can be deduced from the rate of exponential growth in
the current as the bias potential is increased: T
e
/e (I I
Si
)/(dI/d
B
). Alter-
natively, one can use a double probe to determine the electron temperature
see Problem 1.11. If the electron temperature is known, the plasma ion density
can be estimated from the ion saturation current: n
I
Si
/(eA
S
_
T
e
/M
i
).
Langmuir probes are thus important diagnostics for measuring the plasma den-
sity and electron temperature in laboratory plasmas with modest parameters.
The thickness of the plasma sheath changes as the bias potential
B
is
varied. The derivation of the sheath thickness x
S
given in (1.24) to (1.27) can
be modied to account for the present biased probe situation by replacing the
potential
with
p

B
. Thus, setting m
i
V
2
/T
e
to unity to satisfy the
Bohm sheath criterion (1.21), the sheath thickness around a biased probe in a
plasma is given approximately by
x
S

2
5/4
3
_
p
+ 0.5
B
T
e
/e
_
3/4
De
, sheath thickness. (1.30)
DRAFT 10:26
This formula is valid for e(
p
+0.5
B
) >> T
e
small or negative bias voltages
B

p
. As the bias potential
B
increases toward the plasma potential
p
,
the plasma sheath becomes thinner; it disappears for e(
p
B
)
<
0.5 T
e
.
For large negative bias potentials ([
B
[ >> T
e
/e), the electrical current
density owing through the ion-rich sheath region is limited by space charge
eects and given by the Child-Langmuir law see Problem 1.13. However, tran-
siently the current density can be larger that indicated by the Child-Langmuir
law see Problem 1.14.
1.4 Inertial Response; Plasma Oscillations
In the preceding sections on Debye shielding and its eects we considered the
adiabatic or static response of charged particles and a plasma to the Coulomb
electric eld around a charged particle in the plasma. Next, we discuss the
inertial (or dynamic) response of a plasma. To do this we consider the electric
polarization response of charged particles and a plasma to a small electric eld
perturbation, which may be externally imposed or be collectively generated
within the plasma.
First, we calculate the motion of a charged particle in response to an electric
eld. The velocity v of a charged particle of mass m and charge q subjected
to an electric eld perturbation
7

E(x, t) is governed by Newtons second law
(F = ma) with force q
E:
m
dv
dt
= q

E(x, t). (1.31)
The electric eld perturbation will be assumed to be small enough and su-
ciently slowly varying in space so that nonlinear and translational motion eects
are negligible. Thus, it will be sucient to evaluate the electric eld at the ini-
tial position x
0
and neglect the small variation in the electric eld induced by
the motion x(t) of the charged particle. This approximation will be discussed
further after the next paragraph.
Integrating (1.31) over time, the velocity perturbation v(t) induced by the
electric eld perturbation for a particle with initial velocity v
0
is given by
v(t) v(t) v
0
=
q
m
_
t
0
dt

E[x
(t
), t
]
q
m
_
t
0
dt

E(x
0
, t
). (1.32)
Integrating once more over time, we nd that the motion induced by the electric
eld perturbation becomes
x(t) x(t) (x
0
+v
0
t)
q
m
_
t
0
dt
_
t
0
dt

E(x
0
, t
), inertial response.
(1.33)
7
Perturbations to an equilibrium will be indicated throughout the book by a tilde over
the symbol for the perturbed quantity. Equilibrium quantities will be indicated by 0 (zero)
subscripts.
DRAFT 10:26
Because the response of the particle to the electric eld force is limited by the
inertial force ma = mdv/dt, this is called an inertial response. Note that this
response is inversely proportional to the mass of the charged particle; thus,
the lighter electrons will give the primary inertial response to an electric eld
perturbation in a plasma.
We check our approximation of evaluating the electric eld at the initial
position x
0
by expanding the electric eld in a Taylor series expansion about
the charged particle trajectory given by
E[x(t), t] =

E(x
0
, t) + ( x +v
0
t)
E [
x0
+ (1.34)
Our approximation is valid as long as the second (and higher order) terms in
this expansion are small compared to the rst term:
( x +v
0
t)
E <<

E. (1.35)
Thus, the electric eld perturbation must vary suciently slowly in space (i.e.,
the gradient scale length [(1/[
E[)
E[
1
must be long compared to the distance
[ x +v
0
t[), be small enough (so the nonlinear term x
E is small compared to
E) and the elapsed time must not be too long. These approximations will be
checked a posteriori at the end of this section.
The inertial motion x of a charged particle in response to the electric eld
perturbation creates an electric dipole moment q x. A uniform density n
0
of such
charged particles leads to an electric polarization density

P = n
0
q x. Summing
over the species of charged particles in the plasma, the total plasma polarization
density becomes
P =
s
n
0s
q
s
x
s
=
0
2
ps
_
t
0
dt
_
t
0
dt

E(t
) (1.36)
in which for each charged species s
2
ps

n
0s
q
2
s
m
s
0
, square of species plasma frequency, (1.37)
is the inertial or plasma frequency for a species s, whose physical signicance
will be discussed below.
Because the ions are so much more massive than the electrons (the ratio of
the proton to electron mass is 1836), they have much more inertia. Thus, their
plasma frequency is much smaller than that for the electrons for example,
for protons
pi
/
pe
=
_
m
e
/m
p
1/43 << 1. Since the electrons give the
dominant contribution to the plasma polarization and have the largest plasma
frequency, we have
2
ps
=
2
pe
+
2
pi

2
pe
. (1.38)
DRAFT 10:26
Numerically, the electron plasma frequency is given by
pe

n
e
e
2
m
e
0
56
_
n
e
(m
3
) rad/sec, radian plasma frequency, (1.39)
or
f
pe

pe
/2 9
_
n
e
(m
3
) Hz, plasma frequency. (1.40)
The plasma polarization in (1.36) causes [see(??) and (??) Section A.2] a po-
larization charge density
pol
given by the negative of the divergence of the
polarization

P:

pol
(
E) =
P =
0
2
ps
_
t
0
dt
_
t
0
dt
E(t
). (1.41)
Now, to calculate the perturbed electric eld

E in a plasma we need to use
Gausss law, which is given in (1.1). For the charge density
q
we imagine that
there are polarization charge densities due to both the electric eld perturbation
we have been considering, and an externally imposed electric eld E
ext
which
satises the same conditions as

E namely condition (1.35). Thus, the relevant
form of Gausss law becomes
E =
1
0

pol
=
2
ps
_
t
0
dt
_
t
0
dt
E(t
) +E
ext
(t
)
_
. (1.42)
This dierential and integral equation in space and time, respectively, can be
reduced to a simpler, completely dierential form by taking its second partial
derivative with respect to time to yield
E
t
2
+
2
ps
_
E+E
ext
_
_
= 0. (1.43)
Using the approximation in (1.38), we thus nd that taking into account the
inertial eects of charged particles (mostly electrons), nontrivial (i.e., nonvan-
ishing) electric eld perturbations satisfying condition (1.35) are governed by
the dierential equation
E
t
2
+
2
pe
E =
2
pe
E
ext
. (1.44)
This is a linear, inhomogeneous dierential equation of the harmonic oscilla-
tor type with frequency
pe
for the perturbed electric eld

E induced by the
externally applied electric eld E
ext
.
The complementary (in the current langauge of mathematics) solutions of
the homogeneous part of this equation are of the form
E
h
= C
c
cos
pe
t +C
s
sin
pe
t, (1.45)
DRAFT 10:26
L
plasma
V(t)
Figure 1.5: Schematic of circuit for imposing an oscillating potential (t) =
0
sin
0
t across a plasma.
where C
c
and C
s
are arbitrary coecient vectors to be xed by the boundary
conditions. These plasma oscillation solutions show that the plasma responds
inertially to electric eld perturbations by oscillating at the electron plasma
frequency
pe
. Externally imposed electric elds will induce perturbations in
the plasma that are combinations of the time dependence of the externally
imposed eld and the electron plasma oscillations.
In the present simple model plasma oscillations are undamped. Collisions
(electron-neutral or Coulomb) damp them at rates proportional to the relevant
collision frequency see Problem 1.18. Also, as we will discuss in Chapter 8,
kinetic eects will lead to evanescence of these oscillations due to wave-particle
resonance eects Landau damping.
To illustrate the plasma responses more concretely, we consider the response
of a plasma to an externally imposed sinusoidal electric eld. (An alternative
illustration for just plasma oscillations is developed in Problem 1.19 using a
one-dimensional plasma slab model.) As shown in Fig. 1.5, the electric eld will
be induced by imposing an oscillating potential (t) =
0
sin
0
t at time t = 0
across plates on opposite sides of a plasma of thickness L (implicitly >>
D
)
in the x direction. For simplicity the plasma will be assumed to be innite in
extent (or at least >> L) in the other two directions so that their eects can
be neglected. Thus, the applied electric eld will be given for t > 0 by
E
ext
=

0
L
e
x
sin
0
t E
0
sin
0
t. (1.46)
The particular solution of (1.44) in response to this externally applied electric
DRAFT 10:26
eld is
E
p
=

2
pe
2
0
2
pe
E
0
sin
0
t. (1.47)
Adding together the homogeneous, particular and externally applied electric
eld components (E =

E+E
ext
=

E
h
+

E
p
+E
ext
) of the solution of (1.44), and
subjecting them to the boundary conditions that E(t = 0) = 0 and dE/dt [
t=0
= dE
ext
/dt [
t=0
=
0
E
0
, we nd C
c
= 0 and C
s
=
_
pe
/
_
2
0
2
pe
_
E
0
.
Hence, the total electric eld E driven by E
ext
is given for t > 0 by
E(t) =

0
pe
2
0
2
pe
E
0
sin
pe
t +

2
pe
2
0
2
pe
E
0
sin
0
t +E
0
sin
0
t
=

0
pe
2
0
2
pe
E
0
sin
pe
t +

2
0
2
0
2
pe
E
0
sin
0
t

E
plasma
sin
pe
t +

E
driven
sin
0
t. (1.48)
The frequency dependences of the net driven response

E
driven
oscillating at
frequency
0
and of the response

E
plasma
oscillating at the plasma frequency
pe
are shown in Fig. 1.6. For
0
much less than the electron inertial or plasma
frequency
pe
, we nd that

E
driven
is of order
2
0
/
2
pe
compared with the
externally applied electric eld E
0
sin
0
t, and hence tends to be small. In
this limit the electrons have little inertia (
0
<<
pe
) and they develop a
strong polarization response that tends to collectively shield out the externally
applied electric eld from the bulk of the plasma. In the opposite limit
2
0
>>
2
pe
, the inertia of the electrons prevents them from responding signicantly,
their polarization response is small, and the externally imposed electric eld
permeates the plasma in this limit E E
ext
since

E << E
ext
. The singularity
at
0
=
pe
indicates that when the driving frequency
0
coincides with the
natural plasma oscillation frequency
pe
the linear response is unbounded. In
Chapters 7 and 8 we will see that collisions or kinetic eects bound this response
and lead to weak damping eects for
0

pe
. Nonlinear eects can also lead
to bounds on this response.
The

E
plasma
response in (1.48), which oscillates at the plasma frequency, is
caused by the electron inertia eects during the initial turn-on of the external
electric eld. Note that it vanishes in both the low and high frequency limits
because for low
0
the excitation is small for the nearly adiabatic (
0
<<
pe
)
turn-on phase, while for high
0
the electron inertial response is small during the
very brief (t 1/
0
<< 1/
pe
) turn-on phase. Like the driven response, the
plasma response becomes unbounded in this simple plasma model for
0

pe
.
Finally, we go back and determine the conditions under which the approxi-
mation (1.35) that we made in calculating the plasma polarization induced by
an electric eld is valid. Referring to the physical situation shown in Fig. 1.5, we
take the gradient scale length of the electric eld perturbation [(1/[
E[)
E[
1
to be of order the spacing L between the plates. We rst estimate the condition
imposed by the particle streaming indicated by the term v
0
t in (1.35). To make
DRAFT 10:26
0
collective
shielding
dielectric
medium
w
pe
w
E
0
Figure 1.6: Frequency dependence of the electric eld components oscillat-
ing at the driven frequency
0
(
E
driven
, solid lines) and the plasma frequency
pe
(
E
plasma
, dashed lines) induced in a plasma by E
ext
= E
0
sin
0
t, as indi-
cated in Fig. 1.5. The driven frequency response is shielded out for
0
<<
pe
;
it approaches the imposed electric eld for
0
>>
pe
. The plasma frequency
response is induced by the process of turning on the external electric eld; it
becomes small when
0
is very dierent from
pe
. The singular behavior for
0

pe
results from driving the system at the natural oscillation frequency of
the plasma, the plasma frequency; it is limited in more complete plasma models
by collisional, kinetic or nonlinear eects.
this estimate we take v
0
to be of order the most probable electron thermal speed
v
Te

_
2T
e
/m
e
[see (??) in Section A.3]. Also, we estimate t by 1/. However,
since the most important plasma eects occur for
pe
(see Fig. 1.6), we
scale to
pe
. Then, since v
Te
/
pe
=

2
De
, the particle streaming part of
(1.35) leads, neglecting numerical factors, to the condition
L >>
De
(
pe
/) . (1.49)
That is, for
pe
the plasma must be large compared to the electron Debye
length.
For validity of the nonlinear condition x
E <<

E we consider a situation
where

E = (
/L) sin t. Then, again neglecting numerical factors, we nd that

to neglect the nonlinearities we must require
e
T
e
<<
L
2
2
De
_

2
2
pe
_
. (1.50)
Since we can anticipate from physical considerations that potential uctuations
are at most of order some modest factor times the electron temperature in a
plasma, the nonlinear criterion is usually well satised as long as the streaming
DRAFT 10:26
criterion in (1.49) is. Hence, our derivation of the plasma polarization is gen-
erally valid for
pe
plasma oscillation phenomena as long as the plasma
under consideration is much larger than the electron Debye length.
We can also use the preceding logic to specify the temporal and spatial
scales on which the inertial response and eects discussed in this section apply
in an innite, homogeneous plasma versus the conditions where the adiabatic
response in the rst section of this chapter apply. (For a general discussion of
inertial and adiabatic responses for a harmonic oscillator see Appendix E.)
For
pe
, as long as the scale length L x of interest is long compared to the
electron Debye length
De
, conditions (1.35), (1.49) and (1.50) are all satised.
Then, the inertial and electron plasma oscillation eects we have discussed are
relevant since >> v
Te
/x, which is the inverse of the time required for a
thermal electron to move a distance x. However, for low frequencies <<
pe
such that x <<
De
(/
pe
), or for scale lengths x <<
De
with
pe
, the
inequality conditions become reversed and the approximations we have used
in this section break down. Then, instead of an inertial response, we obtain
an adiabatic response for << v
Te
/x and the Debye shielding eects we
discussed in the rst section of this chapter. Intermediate situations with x
De
(
pe
/) v
Te
/ must be treated kinetically see Chapter 8.
1.5 Plasma as a Dielectric Medium
In general, any vector eld such as the electric eld perturbation

E is com-
posed of both longitudinal (irrotational,
E ,= 0) and transverse (solenoidal,
E = 0) parts see Section D.5 of Appendix D. From the form of (1.43) it

is clear that we have been discussing the longitudinal component of the electric
eld perturbation. This component is derivable from a potential,

E =
,
and represents the electrostatic component of the electric eld perturbation.
Since we have
E =
2
,= 0, we see from Gausss law (1.1) that these elec-
trostatic perturbation components correspond to charge density perturbations
in the plasma. Thus, the electron plasma oscillations we have been discussing
are electrostatic space charge oscillations in which the longitudinal component
of the electric eld and plasma polarization oscillate out of phase with respect
to each other, i.e.,
2
(
E)/t
2
=
2
pe
E =
2
(
P)/t
2
.
The polarizability of the plasma by an electric eld perturbation can also be
interpreted by considering the plasma to be a dielectric medium. To illustrate
this viewpoint, we note that in a dielectric medium Gausss law becomes [see
(??) in Section A.2]
D =
free
, (1.51)
where
D E (1.52)
is the displacement vector,
free
is the charge density of the free charges (i.e.,
those not contributing to the plasma dielectric), and is the dielectric constant of
DRAFT 10:26
the medium ( =
0
for a vacuum). The electric eld perturbation

E induces the
polarization charge density given in (1.41) and the polarization

P. Comparing
(1.51) with (1.41) and (1.42), we deduce that the perturbed displacement vector
D is related to the polarization

P through [see (??) and (??)]
D =
0
E+

P
0
(1 +
E
)

E

E, (1.53)
with
P
0

E

E (1.54)
in which
E
is the electric susceptibility of the plasma. We have placed hats
over and
E
to emphasize that these quantities are only dened with respect
to temporally (and later spatially) varying electric elds; that is, unlike regu-
lar dielectric media, their static, homogeneous plasma limits are divergent and
hence do not exist (see below).
For the sinusoidal electric eld perturbations of the form

E =

Esin t that
we have been discussing, the polarization density

P given by (1.36) becomes
P =
0
2
ps
E
0

E

E; (1.55)
hence, we have

E
() =
2
ps
2
pe
2
(1.56)
and

I
() =
0
_
1
2
ps
2
_

0
_
1
2
pe
2
_
, inertial dielectric. (1.57)
In obtaining this form of

P we have performed the integrals in (1.36) as in-
denite integrals in time and hence neglected the initial conditions because
in determining dielectric properties of a medium one considers only the time
asymptotic response and neglects the initial transient eects.
The frequency dependence of the inertial dielectric
8

I
() in (1.57), which
represents the inertial response of a plasma, is shown in Fig. 1.7. The fact
that
I
()
0
for >>
pe
shows why the

E
driven
component in (1.48)
approaches the externally applied electric eld in this vacuum limit. Since

I
() is negative for <
pe
, the externally applied electric eld is shielded
8
For media such as water the dielectric response function is nearly constant over most rele-
vant frequency ranges, e.g., for visible light. Hence its properties are characterized by a dielec-
tric constant. However, in plasmas the dielectric response function often varies signicantly
with frequency (and wavenumber k). Thus, in plasmas we will usually try to avoid speaking
of a dielectric constant; instead we will just refer to the plasma dielectric. However, when
the dielectric response function is evaluated for a particular frequency (and wavenumber k),
we will often call it the dielectric constant.
DRAFT 10:26
w
w
pe
0
0
Figure 1.7: Frequency dependence of inertial response plasma dielectric.
out of the plasma or cut o in this frequency range. The vanishing of
I
for
=
pe
indicates that this is a normal mode of oscillation of the plasma, as
is evident from the plasma oscillator equation (1.44) driven electric elds at
frequencies where the dielectric vanishes lead to unbounded resonant responses
in linear theory, as can be inferred from (1.51) and (1.52). Also, since
I
is small
for close to
pe
, the transient plasma frequency response

E
plasma
is largest
in this frequency range. Finally, we note that
I
() is divergent in the 0
or static limit. Thus, the inertial dielectric response of a plasma can only be
dened for temporally varying processes.
Because the polarization of the plasma is 180
out of phase with respect

to the electric eld perturbations for all real , the inertial plasma response is
reactive (i.e., not dissipative) for all frequencies . That there is no dissipation
can be demonstrated explicitly by calculating the average Joule heating

E
J
with

J = n
0
e v over an oscillation period 2/ and showing that it vanishes.
If dissipative eects, such as collisons, are added, they lead to wave damping
through the joule heating they induce in the plasma see Problem 1.18
The energy density of plasma oscillations is composed of two parts: the
vacuum electric eld energy density
0
[
E[
2
/2 and the polarization energy den-
sity w
pol
=
1
2
E =
1
2
0

E
[
E[
2
. For an electric eld perturbation

E
oscillating at frequency the polarization is given in (1.55). Thus, we nd
w
pol
= (
0
/2)(
2
pe
/
2
)[
E[
2
. Hence, the total energy density [see (??)] in an
electrostatic plasma oscillation is given by
w
E

1
2
(
E

D) =

0
2
[
E[
2
+w
pol
=

0
2
_
1 +

2
pe
2
_
[
E[
2
, wave energy density.
(1.58)
For low frequencies ( <<
pe
), for which an externally imposed electric
eld is shielded out of the plasma, the polarization energy density is dominant.
DRAFT 10:26
In contrast, for high frequencies ( >>
pe
) the electron inertia eects cause
the polarization to be small; then, the energy density is predominantly just that
residing in the electric eld perturbation itself. The fact that the energy density
caused by electric eld perturbations can have a signicant (or even dominant,
as occurs for <<
pe
) component due to the polarizability of the plasma is a
very important aspect of plasma oscillations.
1.6 Ion Acoustic Waves
In the preceding sections we have implicitly assumed that the electrons and
ions both exhibit either adiabatic or inertial responses. However, because the
ions are much heavier, they have a much lower inertial or plasma frequency
and, for the typical case where T
e
T
i
, a much lower thermal speed than
electrons. Thus, for a given length scale x there is an intermediate frequency
regime v
Ti
/x << << v
Te
/x in which the ions respond inertially while the
electrons respond adiabatically. We will now determine the equation governing
electric eld perturbations in a plasma in this regime.
The perturbed electron density for an adiabatic ( << v
Te
/x) response
induced by a potential perturbation

of a quasineutral plasma equilibrium
(
s
n
0s
q
s
= 0) is obtained from the perturbed Boltzmann relation (1.4):
n
e
= n
0e
e
T
e
. (1.59)
The perturbed ion density for an inertial ( >> v
Ti
/x) response induced by
an electric eld perturbation

E is obtained from the ion polarization part of the
total plasma charge density given in (1.41):
n
i
=
0
q
i
2
pi
_
t
0
dt
_
t
0
dt
E(t
). (1.60)
The overall perturbed charge density in this intermediate frequency regime is
thus given by

q
0
=
s
n
s
q
s
0
=
2
pi
_
t
0
dt
_
t
0
dt
E(t
)
n
0e
e
2
0
T
e
= +
2
pi
_
t
0
dt
_
t
0
dt
(t
2
De
(1.61)
in which we have specialized to electrostatic perturbations for which

E =
and
E =
2
.
Substituting this perturbed charge density into Poissons equation (1.1), we
obtain
2
De
_

=
2
pi
_
t
0
dt
_
t
0
dt
(t
).
DRAFT 10:26
Or, taking the second partial derivative with respect to time, this yields
2
De
_

2
t
2
=
2
pi
. (1.62)
Considering perturbations whose scale lengths are long compared to the electron
Debye length
_
2
<< 1/
2
De
_
, the equation governing potential perturbations
in the intermediate frequency regime becomes simply
t
2
c
2
S
= 0, ion acoustic wave equation, (1.63)

in which
c
2
S
=
2
pi
2
De
=
T
e
m
i
n
i
q
2
i
n
e
q
2
e
=
Z
i
T
e
m
i
. (1.64)
As indicated in the last equality, for a plasma with a single ion component
n
i
q
2
i
= Z
i
n
e
e
2
so that c
2
S
= Z
i
T
e
/m
i
. The quantity c
S
has the units of a speed
and as we will see below is the speed of ion acoustic (or sound) waves in a
plasma. It is given numerically by
c
S

_
Z
i
T
e
m
i
10
4
Z
i
T
e
(eV)
A
i
m/s, ion acoustic speed, (1.65)
in which A
i
is the atomic mass of the ions in the plasma: A
i
m
i
/m
p
. Here,
we have used the subscript S on c to indicate that these ion acoustic waves
are the natural sound (S) waves that occur in a plasma. The relation of ion
acoustic waves to normal sound waves in a neutral gas are discussed at the last
of this section, and their relation to the sound waves in a magnetohydrodynamic
description of a plasma is discussed in Section 7.2.
Equation (1.63) is a wave equation. In one dimension, say the x direction,
general solutions of it are given by a linear combination of arbitrary functions
f
1
, f
2
of its mathematical characteristics
x c
S
t:
(x, t) = C
1
f
1
(x c
S
t) +C
2
f
2
(x +c
S
t),
where C
1
and C
2
are arbitrary constants to be xed by the boundary conditions.
A point of constant phase in this solution moves at the phase speed V
of the
wave: d
= 0 = dx c
S
dt = V
= dx/dt = c
S
along the mathematical
characteristics x = x
0
c
S
t.
For wave-like equations such as those in (1.62) or (1.63) we usually seek
solutions of the form
(x, t) =

e
i(kxt)
(1.66)
in which

is a constant, k is the (vector) wavenumber and is the frequency
of the wave. Substituting this Ansatz (proposed form) into (1.62), we nd
_
_
k
2
1/
2
De
_ _
2
_
+
2
pi
k
2

= 0.
DRAFT 10:26
k
w
w
pi
Figure 1.8: Dispersion diagram for ion acoustic waves in an electron-proton
plasma with T
e
>> T
i
. For k
Di
<< 1 the ion acoustic waves propagate at
the ion acoustic speed: /k c
S
. The dispersion curve = (k) is shown as
a dashed line for k
Di
>
1 because in this region the ion response is no longer

inertial (kinetic eects become important) and the present analysis becomes
invalid.
For nontrivial solutions with

,= 0, we must have
2
=
k
2
c
2
S
1 +k
2
2
De
=

2
pi
1 + 1/ (k
2
2
De
)
, ion acoustic wave dispersion relation.
(1.67)
This is called a dispersion relation because it givess the dependence of on k
here for electrostatic ion acoustic waves propagating in a plasma.
The dispersion diagram ( versus k) for ion acoustic waves is shown in
Fig. 1.8. For k
2
2
De
<< 1 (long scale lengths compared to the electron Debye
length) we have /k = c
S
the phase speed V
/k of the wave is the

ion acoustic speed c
S
. Since we have assumed that the ions have an inertial
response, taking x 1/k we must have v
Ti
/x kv
Ti
<< kc
s
. This
condition is satised and ion acoustic waves exist in an electron-proton plasma
only if the ion acoustic speed c
S

_
T
e
/m
i
is much larger than the ion thermal
speed v
Ti
=
_
2T
i
/m
i
, which occurs only if T
e
>> 2T
i
. As can be discerned
from (1.67), the wave frequency increases for increasing k
De
and asymptotes
to
pi
for k
De
>> 1. However, to satisfy the required condition for an ion
inertial response we must have kv
Ti
<<
pi
or k
Di
<< 1. We can satisfy
k
De
>> 1 >> k
Di
only if T
e
>> T
i
, which is the same as the condition noted
previously in this paragraph for the existence of ion acoustic waves.
As we discussed in the preceeding section, plasma responses can also be
described terms of the plasma giving a dielectric response . For waves of the
DRAFT 10:26
form given in (1.66) the polarization corresponding to the perturbed charge
density in (1.61) becomes
P =
0
_
2
pi
2
+
1
k
2
2
De
_

E, (1.68)
in which we have used

E = ik
and
E =
2
= k
2
. Using the deni-
tions for the interrelationships between

P,
E
and given in (1.53), (1.54), we
nd that in the intermediate frequency regime we are considering the plasma
dielectric response is given by

S
(k, ) =
0
_
1
2
pi
2
+
1
k
2
2
De
_
, ion acoustic dielectric. (1.69)
Setting this
S
to zero to obtain the normal modes of the plasma readily
yields the dispersion relation for ion acoustic waves given in (1.67). This di-
electric function diverges for either 0 or k 0. Thus, again, the plasma
dielectric is only a meaningful quantity for temporal and spatially varying per-
turbations, i.e., not for an innite, homogeneous equilibrium. Also, since
S
is real for all real k, (i.e.,the electron and ion components of the polariza-
tion are in phase or 180
out of phase with the electric eld perturbation), this

intermediate frequency response is also totally reactive (i.e., not dissipative).
Ion acoustic waves are similar to but somewhat dierent from ordinary sound
waves in a neutral gas. Ordinary sound waves are compressible (
V ,= 0
where

V is the perturbed ow velocity) mass density perturbations induced by
momentum perturbations propagated by the collisionally coupled ow of the
neutral gas molecules or atoms in response to pressure perturbations see
Section A.6. They propagate at a hydrodynamic (H) phase speed given by
c
H
S
=
_
p
n
/
m
=
_
T
n
/m
n
in which = (N + 2)/N is the ratio of the
specic heats, N is the number of degrees of freedom, and p
n
,
m
, T
n
and M
n
are the neutral gas pressure, mass density, temperature and mass, respectively.
In an electron-proton plasma with T
e
>> T
i
, ion acoustic waves propagate via
longitudinal (
E ,= 0) electric eld perturbations, which as we will see in

Section 7.2 also lead to compressible ow perturbations
V ,= 0, in which
the adiabatic electron polarization charge density is balanced by an inertial
ion polarization charge density. Ion acoustic waves propagate at a phase speed
c
S
=
_
T
e
/m
i
with the electron temperature coming from the adiabatic electron
Debye shielding and the ion mass coming from the ion inertia. Thus, the physical
mechanism responsible for ion acoustic wave propagation in a plasma is dierent
from that of sound waves in a neutral gas even though they are both carried by
incompressible ow perturbations collisions couple the atoms or molecules in
a neutral gas whereas the electric eld couples electrons and ions together in a
plasma. The ion acoustic speed in a T
e
>> T
i
plasma does not, like ordinary
sound waves, depend on the ratio of specic heats or dimensionality of the
system because it is a one-demensional electric eld perturbation rather
DRAFT 10:26
than the collisionally-coupled ow in a neutral gas that propagates ion acoustic
waves in a plasma.
1.7 Electromagnetic Waves in Plasmas
In the preceding three sections we explored the properties of longitudinal (elec-
trostatic) electric eld perturbations in an unmagnetized plasma. In this section
we develop the properties of transverse (solenoidal) electric eld perturbations
for which
E ,= 0 but
E = 0 see Sections A.2 and D.5. These types of

perturbations are often referred to as electromagnetic (em) waves in a plasma
and become light waves in the vacuum limit where the plasma eects are negli-
gible.
To investigate electromagnetic waves in a plasma we begin from the two
Maxwell equations that involve time-derivatives [see (??) in Section A.2]:
B =
0
_
J +
0
E
t
_
, Amperes law, (1.70)
E =
B
t
, Faradays law. (1.71)
We combine these equations by taking the partial time derivative of Amperes
law and substitute in B/t from Faradays law to obtain
(E) =
0
J
t
+
1
c
2
2
E
t
2
in which we have used the fact that
0
0
= 1/c
2
, where c is the speed of light
in a vacuum. Since (E) =
2
E ( E), for transverse electric
elds E
t
( E
t
= 0) this can be written as
2
E
t
t
2
c
2
2
E
t
=
1
0
J
t
. (1.72)
This is a wave equation for the transverse electric eld E
t
. The inhomogeneous
term on the right represents the plasma eects. The general Green function
solution of this equation, including the plasma inertial response eects, is de-
veloped in Problem 1.23.
Because electromagnetic waves in a plasma are relatively fast (high fre-
quency) phenomena, we can anticipate that the plasma response will be in-
ertial. Thus, the current perturbation induced by the eect of an electric eld
perturbation

E
t
on the charged particles in a plasma is given by
J =
s
n
0s
q
s
v
s
(1.73)
in which v
s
is the particle velocity perturbation given in (1.32). Taking the
partial derivative of this current with respect to time, we obtain
1
J
t
=
s
n
0s
q
2
s
m
s
E
t
=
2
ps
E
t

2
pe
E
t
. (1.74)
DRAFT 10:26
[This result can also be obtained by considering the plasma to be a dielectric
medium with the inertial dielectric given by (1.57) and calculating the time
derivative of the displacement current and subtracting o the vacuum contribu-
tion: (1/
0
)
2
D
t
/t
2
2
E
t
/t
2
=
2
(
I
/
0
1)
E
t
=
2
pe
E
t
.]
Substituting the resultant inertial plasma response into (1.72), we obtain
E
t
t
2
+
2
pe
E
t
c
2
E
t
= 0. (1.75)
This equation is the same as (1.44), which we obtained for electrostatic (or
longitudinal electric eld) perturbations, except for the presence of the c
2
E
t
term, which leads to light wave solutions for
2
pe
0. Thus, (1.75) embodies
a combination of charged particle inertial (plasma frequency) and light wave
eects in a plasma.
To explore the properties of electromagnetic waves in a plasma we consider
wave solutions of the form
E
t
(x, t) =

E
t
e
i(kxt)
. (1.76)
Substituting this Ansatz (proposed form) for

E
t
into (1.75) yields
_
2
+
2
pe
+k
2
c
2
_

E
t
= 0.
Nontrivial (
E
t
,= 0) solutions are possible for electromagnetic waves that satisfy
2
=
2
pe
+c
2
k
2
, or k =
_
2
pe
/ c, em wave dispersion relation.
(1.77)
This dispersion relation is plotted in Fig. 1.9. Since for these waves /k is
greater than the speed of light and hence, for a nonrelativistic plasma, the ther-
mal speeds of both the ions and electrons, it was valid for us to use the inertial
response that we utilized in (1.74). In the short wavelength limit (k >> c/
pe
)
the inertial plasma eects become negligible and we have regular light waves
with ck. For longer wavelengths (k
<

pe
/c), but still high enough fre-
quency so that >
pe
, the waves have the dispersion characteristics shown
in Fig. 1.9. For
pe
/c >> k, the waves become electromagnetic plasma oscilla-
tions with
pe
. For <
pe
, the wavenumber k becomes imaginary; this
indicates that transverse electric eld perturbations are spatially evanescent in
this regime. In the limit <<
pe
we have k i
pe
/c.
To make the properties of electromagnetic waves in a plasma more concrete,
we consider the propagation of electromagnetic waves from a vacuum into a
plasma. As shown in Fig. 1.10, we consider a situation in which the innite
half-space where x > 0 is lled with plasma while the innite half-space where
x < 0 is a vacuum. A wave of frequency is launched from x = in the +x
direction toward the plasma and is incident (I) on the plasma at x = 0. It will
DRAFT 10:26
k
w
w
pe
c
Figure 1.9: Dispersion diagram for electromagnetic waves in a plasma. For
kc <<
pe
the waves become electromagnetic plasma oscillations with
pe
.
For kc >>
pe
the waves become ordinary light waves with ck.
be taken to be of the form:
incident wave:

E
t
=

E
I
e
ik
I
xit
,

E
I
=

E
I
e
y
,
k
I
= k
0
e
x
, k
0
= /c (1.78)
in which for simplicity we have assumed that the incident wave has linear po-
larization in the y direction.
In general, part of this wave will be transmitted into the plasma at the
vacuum-plasma interface at x = 0. We take the transmitted (T) wave to be of
the form
transmitted wave:

E
t
=

E
T
e
ik
T
xit
,

E
T
=

E
T
e
y
,
k
T
= k
T
e
x
, k
T
=
_
2
pe
/ c (1.79)
in which the polarization has again been taken to be in the y direction because
the presence of the plasma does not change the wave polarization. In addition,
part of the wave will be reected; we take the reected (R) wave to be of the
form
reected wave:

E
t
=

E
R
e
ik
R
xit
,

E
R
=

E
R
e
y
,
k
R
= k
0
e
x
, k
0
= /c. (1.80)
The magnetic eld accompanying each of these waves is obtained from Fara-
days law (1.71) for wave solutions of the form (1.76): i
B = ik
E
t
=

B
z
=
e
z
(ke
y
)

E
y
/ = k

E
y
/. The boundary conditions at the vacuum-plasma
interface (x = 0) are that the electric eld

E
y
and magnetic eld

B
z
must be
DRAFT 10:26
k
I
k
R
k
T
k
I
k
R
VacuumRegion PlasmaRegion
x=0
w<<w
pe
w>>w
pe
Figure 1.10: Propagation of an incident (I) electromagnetic wave from a vacuum
into a plasma. For >>
pe
the wave is transmitted (T) into the plasma with
little reection (R); the wavenumber k is reduced from /c in the vacuum to
(
2

2
pe
)
1/2
/c in the plasma. For <<
pe
the wave is mostly reected
from the plasma; the part that does penetrate into the plasma is exponentially
evanescent in the electromagnetic skin depth distance c/
pe
.
DRAFT 10:26
continuous there. They lead to the two conditions
E
I
+

E
R
=

E
T
,
(k
0
/)
_
E
I

E
R
_
= (k
T
/)

E
T
.
Solving these equations for the relative magnitudes of the transmitted and re-
ected waves, we nd
transmitted:

E
T
E
I
=
2k
0
k
0
+k
T
=
2
+
_
2
pe
,
reected:

E
R
E
I
=
k
0
k
T
k
0
+k
T
=

_
2
pe
+
_
2
pe
.
The properties of the transmitted and reected electromagnetic waves are
shown in Fig. 1.10 for two extreme limits: >>
pe
and <<
pe
. For very
high frequencies ( >>
pe
) the incident electromagnetic is transmitted into the
plasma with very little reection and only a slight reduction in the wavenumber
k. As the frequency of the incident wave is decreased, the wavenumber decreases
to k
T

_
2
pe
/c. At the point where =
pe
, the transmitted wave has
k
T
= 0 and becomes just an electromagnetic plasma oscillation. For <
pe
the wavenumber becomes imaginary, k
T
= i
_
2
pe
2
/c. The plus sign is
the physically relevant solution since it leads to evanescence (spatial decay not
due to a dissipative process) in space for x > 0. In the limit <<
pe
the
incident wave is mostly reected and the small component of the wave that is
transmitted into the plasma is given by
E
t

E
T
exp[x/(c/
pe
) it], <<
pe
. (1.81)
This electric eld perturbation is exponentially evanescent in the distance
e
given by
e
c/
pe
, electromagnetic skin depth. (1.82)
Thus, for >
pe
electromagnetic waves are partially reected at the
vacuum-plasma interface and propagate into plasmas with some reduction in
the wavenumber k. However, for <
pe
the plasma (and in particular the
electron) inertial response to an electromagnetic wave causes the wave to be
mostly reected at the vacuum-plasma interface and prevents the wave from
penetrating into a plasma more than a distance of about c/
_
2
pe
2
, which
becomes just the electromagnetic skin depth c/
pe
in the limit <<
pe
.
A major diagnostic application of the properties of electromagnetic waves in
a plasma is their use in a microwave interferometer to determine the density of
DRAFT 10:26
microwave
source
phase
detector
plasma
referenceleg
attenuator
L
x
0
Figure 1.11: Schematic illustration of a microwave interferometer. The electro-
magnetic wave passing through the plasma has a smaller wavenumber (longer
wavelength) than the wave passing through vacuum in the reference leg. Thus,
there is a phase shift between the two signals arriving at the detector.
a plasma see Fig. 1.11. The dierence in the phase between the wave that
passes through a reference vacuum leg versus the wave that passes through a
leg with a plasma in it is given by
=
_
L
0
dx[k
I
k
T
(x)] =
_
L
0
dx
_
_

_
2
pe
(x)
c
_
_
.
In the limit >>
pe
this becomes simply

_
L
0
dx
2
pe
(x)
2c
=
e
2
2m
e
0
c
_
L
0
dx n
e
(x). (1.83)
Since the square of the electron plasma frequency is proportional to the local
plasma density, the measurement of this phase shift determines the line integral
of the electron density in the plasma. For example, microwave interferometers
with frequencies in the 50 200 GHz range are commonly used to measure the
line-average density n
e
(1/L)
_
L
0
dxn
e
(x) of plasmas with electron densities
in the 10
18
10
20
m
3
range. For some other applications in which the properties
of electromagnetic waves in plasmas are important see Problems 1.271.29.
DRAFT 10:26
1.8 Plasma Denition and Responses
Now that we have elucidated the basic length (Debye length
D
) and time
(plasma period 1/
pe
) scales for collective phenomena in plasmas, we can specify
quantitatively the criteria that must be satised for matter to exist in the plasma
state. As we discussed in the introduction to this chapter, a general criterion for
the existence of a plasma is that charged particle interactions be predominantly
collective rather than binary in the medium. For this general criterion to be
satised, we must require that it be satised in charged-particle interactions, as
well on the relevant length and time scales for collective phenomena:
1. n
3
D
>> 1. The number of charged particles within a Debye cube (or
sphere) must be large so that: a) collective interactions dominate over
binary interactions at the mean interparticle separation distance; b) the
energy density embodied in the polarization electric eld around a given
charged particle is small compared to a typical particles kinetic energy;
and c) the thermal noise level is small see (1.11), (1.14) and (1.15),
respectively.
2. L >>
D
. The spatial extent of a collection of charged particles must
be large compared to the collective interaction scale length for plasmas,
the Debye length
D
, so that: a) the collective interactions are dominated
by bulk plasma rather than boundary eects; and b) inertial eects are
determined locally see (1.27) and Fig. 1.3, and (1.49), respectively.
3.
pe
>>
en
. The collective inertial response frequency in a plasma, the
electron plasma frequency
pe
, must be large compared to the electron-
neutral collision frequency
en
, so that the fundamental inertial responses,
the electrostatic electron plasma oscillations in (1.45) and the plasma os-
cillation eects on electromagnetic waves in (1.75), are not damped by
dissipative neutral particle collision eects.
While we have derived the basic collective phenomena in an unmagnetized
plasma, the same physical phenomena occur in magnetized plasmas (primar-
ily along the magnetic eld direction); hence these criteria for the existence of
the plasma state apply to magnetized plasmas as well.
Among the three criteria for existence of the plasma state, the rst one,
the requirement that there are many charged particles in a Debye cube, is the
necessary condition and the most critical. After this fundamental criterion is
satised, the second and third criteria are just checks (sucient conditions)
that the behavior of the medium will be dominated by collective plasma phe-
nomena on the basic plasma length and time scales. The fundamental plasma
parameter, the number of charged particles in a Debye cube, depends on the
plasma temperature and charged-particle density, i.e., n
3
D
T
3/2
/n
1/2
. Thus,
as shown in Fig. 1.12, we can exhibit the various types of plasmas that occur in
nature by showing where they lie relative to lines of constant n
3
D
in a plot of
electron temperature versus electron plasma density. As shown in this gure,
DRAFT 10:26
ElectronDensity(m
-3
)
PlasmaFrequencyf
pe
(Hz)
10
0
10
5
10
10
10
15
10
20
10
25
10
30
10
35
10
-2
1
10
2
10
4
10
6
10
2
10
4
10
6
10
8
10
10
10
12
10
14
10
16
10
18
T
e
m
p
e
r
a
t
u
r
e
(
e
V
)
i
n
t
e
r
s
t
e
l
l
a
r
g
l
o
w
d
i
s
c
h
a
r
g
e
s
f
l
a
m
e
s
e
a
r
t
h
s
m
a
g
n
e
t
o
-
s
p
h
e
r
e
i
n
t
e
r
p
l
a
n
e
t
a
r
y
i
o
n
o
-
s
p
h
e
r
e
a
l
k
a
l
i
m
e
t
a
l
p
l
a
s
m
a
s
m
a
g
n
e
t
i
c
c
o
n
f
i
n
e
m
e
n
t
e
x
p
e
r
i
m
e
n
t
s
m
a
g
n
e
t
i
c
f
u
s
i
o
n
partially
ionized
10
-11
m
10
10
=10
4
m
10
5
10
0
s
o
l
a
r
a
t
m
o
s
p
h
e
r
e
M
H
D
g
e
n
e
r
a
t
o
r
s
s
o
l
a
r
c
o
r
o
n
a
10
1
m 10
-2
m 10
-5
m 10
-8
m
i
n
e
r
t
i
a
l
c
o
n
f
i
n
e
m
e
n
t
e
x
p
e
r
i
m
e
n
t
s
i
n
e
r
t
i
a
l
f
u
s
i
o
n
Figure 1.12: Ranges of electron temperature and density for various types of lab-
oratory and extraterrestial plasmas. Also shown are the characteristic plasma
parameters: electron Debye length
De
(constant along the dashed lines), num-
ber of charged particles in a Debye cube n
e
3
De
(constant along solid lines), and
electron plasma frequency
pe
(constant along vertical lines). Also indicated is
the electron temperature range below which the medium is not fully ionized,
which is determined from the Saha equation [see Section A.7 and in particular
(??) and (??)].
DRAFT 10:26
the plasma state spans an enormous parameter range 26 orders of magnitude
in density and 7 orders of magnitude in temperature!
Almost all plasmas are electrically quasineutral (i.e.,
q
=

s
n
s
q
s
0) on
length scales longer than the Debye length
D
. (Notable exceptions are the
electron-rich, non-neutral magnetized plasmas see references listed below.)
On length scales shorter than a Debye length the local charge density and po-
tentials are dominated by the eects of the discrete charged particles. However,
on length scales longer than the Debye length the collective, plasma polariza-
tion eects dominate and the plasma is quasineutral. The use of a quasineutral
approximation for scale lengths longer than a Debye length is often called the
plasma approximation.
Slow processes ( << v
T
/x kv
T
) in a plasma are governed by the adia-
batic response, as discussed in Section 1.1. Fast processes ( >> v
T
/x kv
T
)
are governed by the inertial response, as discussed in Section 1.4. Because
the electron thermal speed is usually much greater than the ion thermal speed
(v
Te

_
m
i
/m
e
v
Ti
43 v
Ti
>> v
Ti
for T
e
T
i
), the electrons and ions in
a plasma can respond dierently to perturbations for kv
Ti
<< << kv
Te
electrons respond adiabatically while the ions respond inertially, as discussed in
Section 1.4.
The response of the plasma to electric eld perturbations leads to polariza-
tion of the plasma, and hence to a dielectric response for the plasma medium.
The plasma responses in the various frequency regimes can be summarized in
terms of the density and dielectric responses to small (i.e., linearizable) wavelike
perturbations of the form exp (ik xit) in an innite, homogeneous electron-
ion plasma as follows:
Adiabatic (A) electrons and ions: kv
Ti
, kv
Te
; Debye shielding;
n
A

q
T
n
0
;
A
(k, )
0
_
1 +
1
k
2
_
1
2
De
+
1
2
Di
__
. (1.84)
Adiabatic electrons, inertial ions: kv
Ti
kv
Te
; ion acoustic waves;
n
eA

e
T
e
n
0e
,
Z
i
e n
iI
2
pi
E;
S
(k, )
0
_
1 +
1
k
2
2
De
2
pi
2
_
.
(1.85)
Inertial (I) electrons and ions: kv
Ti
, kv
Te
; plasma oscillations;
q
s
n
sI
2
ps
E;
I
(k, )
_
1
2
pe
2
pi
2
_
. (1.86)
As can be seen from these various responses, a plasma is an electrically ac-
tive medium with a frequency- and wavenumber-dependent polarizability and
dielectric response function. As discussed before, these responses are only ap-
plicable for spatially and temporally varying perturbations they all diverge
for , k 0.
DRAFT 10:26
Within the approximations employed in this chapter, all the basic phenom-
ena in plasmas that we have discussed are reactive with no dissipation. Dissi-
pation would be caused by polarization components that are 90
out of phase
with the electric eld perturbations, which for exp (ik x it) perturbations
would be indicated by an imaginary part of the dielectric .
Implicitly, we have been considering the plasma to be collisionless. Pre-
suming collisions with neutrals are negligible (
p
>>
n
), there are two types
of eects that lead to evanescence of waves in a plasma Coulomb collisions,
which will be discussed in Chapter 2, and wave-particle resonance eects (Lan-
dau damping), which will be discussed in Chapter 8. Since the thermal noise
uctuation energy induced by two-particle correlations (or Coulomb collisions)
in a plasma is only a small fraction 1/
_
n
3
D
_
<< 1 of the thermal energy in
a plasma, we can anticipate that the average Coulomb collision frequency will
also be small:
p
/
_
n
3
D
_
<<
p
. Cumulative small-angle Coulomb colli-
sions enhance the Coulomb collision rate by a factor of order ln
_
n
3
D
_
see
Chapter 2 but do not change the basic conclusion that the Coulomb collision
rate is slow in a plasma as long as n
3
D
>> 1. The wave-particle resonance
eects will be largest when kv
T
, i.e., when the wave phase speed /k is
of order the most probable thermal speed v
T

_
2T/m of one of the species
of charged particles in a plasma. Thus, wave-particle resonance eects will lead
to evanescence of waves (Landau damping) for /k v
Ti
or v
Te
. These wave
phase speeds and corresponding frequencies are between the frequency ranges
we have considered in this chapter and require a kinetic plasma description.
Wave-particle resonance eects and Landau damping are discussed in Chapter
8, and in particular in Section 8.2.
Discussions of plasma sheath and Langmuir probe theory can be found in
D. Bohm in Characteristics of Electrical Discharges in Magnetic Fields, A.
Guthrie and R.K. Wakerling, eds. (1949) [?].
F.F. Chen, Electrical Probes, in Plasma Diagnostic Techniques, R.H. Huddle-
stone and S.L. Leonard, eds. (1965), Chapt. 4 [?].
L. Schott and R.L.F. Boyd in Plasma Diagnostics, W. Lochte-Holtgreven, ed.
(1968) [?].
J.D. Swift and M.J.R. Schwar, Electric Probes for Plasma Diagnostics (1971)
[?].
P.M. Chung, L. Talbot and K.J. Touryan, Electric Probes in Stationary and
Flowing Plasmas (1975) [?].
P.C. Stangeby, The Plasma Sheath, in Physics of Plasma-Wall Interactions
in Controlled Fusion, D.E. Post and R. Behrisch, eds. (1985), Vol. 131, p. 41
[?].
Hutchinson, Principles of Plasma Diagnostics (1987), Chapt. 3 [?].
N. Hershkowitz, How Langmuir Probes Work, in Plasma Diagnostics, O. Au-
ciello and D.L. Flamm, eds., (1990) [?].
DRAFT 10:26
Recent books that discuss the various types of plasmas indicated in Fig. 1.12,
some of which are beyond the scope of this book, include
Magnetically conned plasmas for controlled fusion:
Rose and Clark, Jr., Plasmas and Controlled Fusion (1961) [?].
Miyamoto, Plasma Physics for Nuclear Fusion (1980) [?].
Miyamoto, Fundamentals of Plasma Physics and Controlled Fusion (1997) [?].
Stacey, Fusion Plasma Analysis (1981) [?].
Teller, ed., Fusion (1981), Vol. I, Parts A & B [?].
Nishikawa and Wakatani, Plasma Physics, Basic Theory with Fusion Applica-
tions (1990) [?].
Hazeltine and Meiss, Plasma Connement (1992) [?].
White, Theory of Tokamak Plasmas (1989) [?].
Goldston and Rutherford, Introduction to Plasma Physics (1995) [?].
Laser-produced plasmas for inertial connement fusion:
Kruer, The Physics of Laser Plasma Interactions (1988) [?].
Lindl, Inertial Connement Fusion (1995) [?].
Space plasmas:
Parks, Physics of Space Plasmas, An Introduction (1991) [?].
Gombosi, Physics of the Space Environment (1998) [?].
Cosmic plasmas:
Alfven and F althammer, Cosmical Electrodynamics, Fundamental Principles
(1963) [?].
Parker, Cosmical Magnetic Fields, Their Origin And Their Activity (1979) [?].
Sturrock, Plasma Physics, An introduction to the theory of astrophysical, geo-
physical, and laboratory plasmas (1994) [?].
Choudhuri, The Physics of Fluids and Plasmas, An Introduction for Astrophysi-
cists (1998) [?].
Partially ionized plasmas and plasma processing:
Chapman, Glow Discharge Processes (1980) [?].
Lieberman and Lichtenberg, Principles of Plasma Discharges and Materials Pro-
cessing (1994) [?].
Nonneutral plasmas:
Davidson, Physics of Nonneutral Plasmas (1990) [?].
Marshall, Free Electron Lasers (1985) [?].
DRAFT 10:26
PROBLEMS
1.1 Evaluate the scale lengths b
cl
min
, n
1/3
e and De for an electron-proton plasma
in a typical small-scale magnetic connement experiment (e.g., a university-
based tokamak) with ne = 2 10
19
m
3
, Te = Ti = 300 eV. Compare them
to the Bohr radius, de Broglie wavelength, and the classical electron radius
re = e
2
/({40}mec
2
). Discuss the physical signicance of each of these scale
lengths. Over what length scale will collective eects occur in such a plasma? /
1.2 Calculate the plasma parameter n
3
D
for the plasma described in the preceding
problem. Estimate the eective temperature for thermal noise in such a plasma.
Compare this thermal noise temperature to normal room temperature. /
1.3 Consider a hypothetical situation in which all the electrons in a homogeneous
and quasineutral but bounded plasma are displaced a small distance x in the ex
direction. Show that in the bulk of the plasma the electric eld is unchanged,
but that in a layer of width x at the plasma edge there is an electric eld.
How large a displacement x induces a maximum potential change equal to the
electron temperature in the plasma? Compare this length to the electron Debye
length De and discuss why such a comparison is relevant. //
1.4 Determine the one-dimensional potential distribution in a plasma around an
innite sheet charge with a one-dimensional surface test charge density given
by q = t(x xt). ///
1.5 Show that for a two-dimensional situation of an appropriately modied form of
(1.7) the potential around a line charge in a plasma is given by
t(x) = (2t/{40})K0(|x xt|/D)
in which t is the line charge density (coulombs/m) for a line charge of innite
length placed at x = xt and K0 is the modied Bessel function of the second
kind of order zero. ///
1.6 Show that the potential given by (1.10) is the Green function for the adiabatic
(Debye shielding) response to a free charge density
free
(x) in an innite, homo-
geneous plasma, and thus that the general potential solution is given by
(x) =
_
d
3
x

free
(x
) exp(|x x
|/D)
{40} |x x
|
.
Discuss the physical scale lengths over which this Greens function solution is
valid. Compare this result to the corresponding potential induced by a charge
density in vacuum given in (??). ///
1.7 Show that the combination of the charge of a test particle and the polarization
charge density it induces produces a vanishing net charge Q in the plasma. //
1.8 A spherical spacecraft orbiting the earth in a geostationary orbit nds itself
immersed in a plasma that typically has an electron density of about 10
6
m
3
and temperature of about 100 eV. Sketch the spatial variation of the electric
potential around the spacecraft, indicating the magnitudes of the potential and
spatial scale lengths involved. To what potential does the spacecraft charge up
relative to its surroundings? /
DRAFT 10:26
1.9 A spherical probe 3 mm in diameter is inserted into a fully ionized electron-
proton plasma generated by microwave heating power applied to a hydrogen gas
and has ne = 10
15
m
3
, Te = 10 eV, Ti = 1 eV. What is the Debye length in
such a plasma? Is it large or small compared to the probe size? If the probe is
biased to 10 V, how much current would it draw? /*
1.10 It is proposed to put a wire screen into the plasma described in the preceding
problem and bias it so as to exclude plasma from the region behind the screen.
Taking account of sheath eects, how closely spaced must the screen wires be
so as to block a substantial fraction of the plasma? To what potential should
the probe be biased? /*
1.11 The electron temperature in low energy density plasmas can be measured with a
double probe a single assembly with two identical but dierentially biased
Langmuir probes that electrically oats and draws no net current from the
plasma. Show that the current owing between the two probes is given by
I = 2 I
Si tanh (e/2Te)
in which is the potential dierence (voltage) between the two probes. //*
1.12 The static electrical admittance Y (inverse of impedance Z) of a sheath is
given by I/B. At what bias potential B should this partial derivative
be evaluated? Show that the sheath admittance is given approximately by
Y I/(Te/e). Up to what frequency will this estimate be valid? //*
1.13 For large negative wall potentials (|W| >> Te/e) applied between two grids
in a planar diode the electrical current is limited by space charge eects. De-
rive the Child-Langmuir law for this limiting current for a grid separation d as
follows. First, using (1.27) show that when the sheath thickness xS d and
W, the ion speed V that corresponds to the space-charge-limited ion
ow at the sheath edge can be written in terms of the wall potential W and
the grid separation d. Then, show that the (ion) current density into the sheath
region between the grids is given by
J =
4
9
_
2e
mi
0|W|
3/2
d
2
= (neeVW)
_
4
9
__
2
D
d
2
_
in which VW (2e|W|/mi)
1/2
is the ion speed at the wall, and D =
(0|W|/nee)
1/2
is an eective Debye length. //*
1.14 In the Plasma Source Ion Implantation (PSII) technique [J.R. Conrad, J.L.
Radtke, R.A. Dodd, F.J. Worzola, N.C. Tran, J. Appl. Phys. 62, 4591 (1987)],
the target to be bombarded is inserted into a plasma with parameters ne
10
9
cm
3
and Te 2 eV, and a natural sheath is allowed to form around it.
Then, the target is rapidly biased to a very large ( 30 kV) negative potential
B. This expels the lighter electrons from the region around the object, which
in turn causes an ion matrix to be formed there. On what time scales are
the electrons expelled, and the new sheath formed? What is the approximate
maximum energy and current density of the ions bombarding the target before
the new sheath forms? Compare this current density to that given by the Child-
Langmuir law discussed in the preceding problem. Finally, estimate the uence
(ions/cm
2
) per pulse and the number of pulses required to inject an atomic
monolayer of ions in the target. ///*
DRAFT 10:26
1.15 Consider an impure laboratory plasma composed of a number of dierent types
of ions: protons with np = 3 10
19
m
3
, fully ionized carbon ions with 10% of
the proton density and iron ions that are 23 times ionized (Lithium-like charge
states) with 1% of the proton density. What is the electron density and the
overall plasma frequency in this plasma? Also, what is the dielectric constant
for 90 GHz electrostatic uctuations in this plasma? /
1.16 Consider electrostatic plasma oscillations in an electron-positron plasma, such
as could occur in interstellar space, with n
e
= n
e
+ = 10
6
m
3
. What is the
plasma frequency for such oscillations? Assume the electrons and positrons have
temperatures of 100 eV and that the cross-section for an annihilation interaction
between them is given by times the square of the classical electron radius
re = e
2
/({40}mec
2
), i.e., an r
2
e
. What is their annihilation reaction
rate? Compare this annihilation rate to the plasma frequency. /
1.17 Consider a situation where an oscillating potential is applied across two plates
on either side of a plasma such as that described in Problem 1.9. Assume the
plates are separated by 10 cm and that the potential oscillates at 100 kHz.
What is the dielectric constant for these oscillations? What is the ratio of
the energy density in the plasma polarization uctuations to that in the electric
eld uctuations? /
1.18 Calculate the weak dissipation induced by Coulomb collisions ( <<
pe) of
pe electrostatic oscillations in a plasma as follows. Add a collisional dynamical
friction force mev [cf., (??)] to (1.31) and show that for

E =

Esin t the
perturbed velocity of electrons is then given for t >> 1/ by
v
e
E
me
[cos t (/) sin t].
Next, calculate the average of the Joule heating in the plasma by the oscillations
over an oscillation period 2/, i.e.,
Et. Finally, use a wave energy balance

equation [cf., (??)] to show that
1
wEt
wEt
t
=
Et
wEt

2
1 +
2
/
2
pe
in which wEt is the average of the electrostatic wave energy density in the
plasma over an oscillation period. ///
1.19 Consider a hypothetical situation in which all the electrons in a thin slab are
displaced a small distance x0 in the ex direction. Show that the electric eld
induced by this displacement is given by E = (n0e/0) x ex in the region where
the electrons are displaced. Then, show from Newtons second law that this
force causes the position of the slab of displaced electrons to oscillate at the
electron plasma frequency. //
1.20 Taking account of plasma sheath eects, sketch the spatial variation of the
potential (x) between the plates of a capacitor lled with plasma assuming
the capacitor has a potential 3 T
e/e applied across it. Next, consider a
case where an oscillating potential = 0 sin t is applied across the plasma
capacitor with 0 = 10 Te/e and = pe/10. If the capacitor plate separation
is L (>> D), how large is the electric eld component oscillating at frequency
in the body of the plasma? //
DRAFT 10:26
1.21 Show that for a one-dimensional wave perturbation in a plasma with

E(x, t) =
Eex sin(kx t) the nonlinear terms in (1.31) are negligible in (1.32) when the
wave-induced velocity jitter in the particle motion, vjitter q

E/m, is small
compared to the wave phase speed /k, or alternatively when k xjitter << 1. //
1.22 Consider the propagation of ion acoustic waves in a typical hollow cathode arc
discharge composed of electrons and doubly charged Argon ions with ne = 10
19
m
3
, Te = 10 eV, Ti = 1 eV. Discuss why the conditions for propagation of
ion acoustic waves are satised in this plasma. What is the ion acoustic speed
in this plasma? Compare it to the speed of sound in air at the earths surface.
With what wavelength and phase speed will externally imposed waves with a
frequency of 100 MHz propagate in this plasma? /
1.23 Show that the transverse electric eld

Et induced by a small free current J
free
in a plasma is governed by the equation
_

2
pe
c
2
_

Et
1
c
2
Et
t
2
= 0
J
free
t
.
Then, show that a Greens function solution of this equation in an innite,
homogeneous plasma which satises this equation is
Et =
0
4
_
d
3
x
_
J
free
(x
, t
)/t
|x x
|
exp
_
|x x
|
c/pe
__
ret
in which the square bracket [ ]ret means that the time t
is to be evaluated at
the retarded time t
= t |x x
|/c. ///
1.24 Use the solution in the preceding problem to calculate the transverse electric
eld

Et caused by the current qtv[x x(t)] produced by a nonrelativistic test
particle moving along the trajectory x = x(t) in a plasma. Show that this
transverse electric eld points in the direction of test particle motion. Also,
show that for |x x(t)| < D its magnitude is of order v
2
/c
2
<< 1 compared
to the longitudinal electric eld produced by the electrostatic potential t in
(1.10). ///
1.25 Plot the wave dispersion diagrams for electrostatic ion acoustic waves and elec-
tromagnetic plasma waves (i.e., Figs. 1.8 and 1.9) in the plasma described in
Problem 1.22 on a single versus k diagram with approximately linear scales.
Indicate in which regions of this diagram adiabatic and inertial responses for
the electrons and ions are applicable. /
1.26 A 140 GHz microwave interferometer set up across a 30 cm thick column of
plasma measures a phase shift of 240
. What is the line-average plasma

density in the column? /
1.27 Amateur radio operators routinely communicate via shortwave radio over long
distances around the earth. Since communication by direct line of sight is not
possible because of the curvature of the earths surface, the waves must be re-
ected from the ionosphere above the earths surface. What frequency range
corresponds to the 10 to 40 meter free space wavelength range used by ama-
teur radio operators for these communications? What is the minimum electron
density and height of the ionosphere above the earths surface for single-bounce
communications over the approximately 6000 km from the United States to
Western Europe? /
DRAFT 10:26
1.28 During reentry of satellites into the earths upper atmosphere, microwave com-
munications in the 300 MHz frequency range are blacked out by the plasma
formed in the heated air around the satellite. How high must the plasma den-
sity be around the satellite and how thick must the plasma be to cause the
communications blackout? /
1.29 In one type of inertial fusion experiment, intense light from a laser is shined on
a frozen hydrogen pellet. As the laser light is absorbed it heats up the pellet
and produces a plasma on its surface. Light from a Neodynium glass laser ( =
1.06 m) is ultimately observed to be reected from the pellet. How high must
the density of free electrons be in the plasma around the pellet? Compare
this density to the original solid density of the pellet. How thick must the layer
of free electrons be to reect (or refract) the light waves? Compare this length
to a typical pellet radius of 3 mm. /
1.30 In plasma processing of materials for the semiconductor industry an inert, low
pressure gas is partially ionized by radiofrequency waves in a vacuum chamber.
Consider a case where the initial gas is Argon at a pressure of 10
4
mm Hg (a
760 mm column of mercury corresponds to atmospheric pressure), the electron
density is 10
7
cm
3
, the electron temperature is 3 eV and the temperature of the
singly charged Argon ions is 0.1 eV. What is the degree of ionization in this gas?
Estimate the electron-neutral collision frequency en using an electron-neutral
cross-section of 10
3
a
2
0
where a0 is the Bohr radius. Does this medium satisfy
all the criteria for being a plasma? How large must it be to satisfy the length
criterion? /
1.31 An oscillating potential of 3 volts at a frequency of 1 MHz is applied to a probe
inserted into the plasma described in Problem 1.9. Over what distance ranges
from the probe can adiabatic or inertial responses be used for the electrons and
for the ions in this plasma? /
1.32 What is the dielectric constant for externally imposed waves with a frequency
of 1 MHz and a wavelength of 5 cm in the plasma described in problem 1.9?
What would the dielectric constant be if the wavelength was increased to 500
cm? /
DRAFT 10:26
CHAPTER 2. COULOMB COLLISIONS 1
Chapter 2
Coulomb Collisions
The characteristics and eects of Coulomb collisions between charged particles
in a plasma are very dierent from those of the more commonly understood
collisions of neutral particles. The fundamental dierences can be illustrated by
examining trajectories of neutral and charged particles as they move through a
partially ionized gas. As shown in Fig. 2.1, neutral particles move along straight-
line trajectories between distinct collision events. Collisions occur when neutral
atoms or molecules come within about an atomic radius (of order 1

A= 10
10
m
see Section A.7) of another particle (a neutral or a charged particle) and the
electric eld force associated with the atomic potential (of order eV) is operative;
the resultant strong, typically inelastic, collision causes the initial neutral to
be scattered in an approximately random direction.
In contrast, as a charged test particle moves through an ionized gas it
simultaneously experiences the weak Coulomb electric eld forces surrounding
all the nearby charged particles, and its direction of motion is deected as it
passes by each of them, with the closest encounters producing the largest de-
ections see Fig. 2.2. As was discussed in Section 1.1, the Coulomb potential
(and hence electric eld) around any particular background charged particle in
a plasma is collectively shielded out at distances beyond a Debye length. Thus,
the only background particles that exert a signicant force on the test parti-
cles motion are those within about a Debye length of its trajectory. However,
since plasmas usually have a very large number of particles within a Debye
sphere [ (4/3) n
3
D
>> 1 ], even in traversing only a Debye length the test
particles motion is inuenced by a very large number of background particles.
The Coulomb electric eld forces produced by individual background particles
are small and can be assumed to be experienced randomly by the test parti-
cle as it passes close to individual background particles as indicated in the
electron trajectory shown in Fig. 2.2. The eect of many successive, elastic
Coulomb collisions of a test particle with background charged particles leads
to a random walk (Brownian motion) process. Thus, the eects of the many
cumulative small-angle, elastic Coulomb collisions are diusion of the test parti-
cles direction of motion (at constant energy in the center-of-momentum frame)
DRAFT 20:46
July 22, 2006 c _J.D Callen, Fundamentals of Plasma Physics
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Figure 2.1: The trajectory of a neutral particle in a partially ionized gas exhibits
straight-line motion between abrupt atomic collisions. In this and the next
gure, the (assumed stationary) random positions of background particles in
the partially ionized plasma are indicated as follows: neutral particles (circles),
electrons (minus signs) and ions (plus signs). The typical distance between
neutral particle collisions is called the collision mean free path.
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Figure 2.2: The trajectory of a test charged particle (electron) in a partially
ionized gas exhibits continuous small-angle deections or scatterings of its di-
rection of motion. The largest deections occur when it passes close to another
charged particle. The collision length of a charged particle in a plasma is de-
ned to be the average distance it moves in being deected through one radian.
DRAFT 20:46
and consequently deceleration of the test particles initial, directed velocity. Ex-
ploration of these Coulomb collision eects is the main subject of this chapter.
Because electrons have less inertia and typically have larger speeds than
ions, their collision rates are usually the largest in plasmas. Thus, we rst
consider the momentum loss and velocity-space diusion of a test electron as it
moves through a plasma. Electron collisions are initially investigated using the
Lorentz (simplest) collision model in which their collisions are assumed to occur
only with a background of stationary ions. Next, since the collisional eects
decrease as electron speed increases, we determine the energy (usually on the
high energy tail of a Maxwellian distribution) at which electrons run away in
response to an electric eld; also, the plasma electrical resistivity is determined
by balancing the average collisional deceleration of an entire owing electron
species against the electron acceleration induced by an electric eld. Then,
we discuss the various Coulomb collisional processes (momentum loss, velocity
space diusion and energy exchange, and their time scales) that occur between
electrons and ions in a plasma. The chapter concludes with sections that develop
a more complete model of Coulomb collision eects, both on test particles and
on an entire plasma species, that takes into account collisions with all types of
background charged particles that are also in motion. Finally, applications of
this more complete model to the evolution of the velocity of any type of test
particle and to the thermalization of a fast ion in a plasma are discussed.
2.1 Lorentz Collision Model
To illustrate Coulomb collision eects, we rst consider the momentum loss and
velocity diusion of a test electron moving through a randomly distributed back-
ground of plasma ions that have charge Z
i
e and are stationary. (The particles in
the background that are being collided with are sometimes called eld particles.)
The background plasma electrons, which must be present for quasineutrality,
will be neglected except insofar as they provide Debye shielding of the Coulomb
potentials around the background ions. However, the test electron can be
thought of as being just one particular electron in the plasma. This simplest and
most fundamental model of collisional processes in a plasma is called the Lorentz
collision model . It provides a reasonably accurate description of electron-ion col-
lisional processes and, in the limit Z
i
>> 1 where electron-electron collisional
eects become negligible (see Table 2.1 in Section 2.9), for electron Coulomb
collision processes as a whole.
The electron test particle velocity v will be assumed to be large compared to
the change v due to any individual Coulomb interaction with an ion. Hence,
the test electron will be only slightly deected from its straight-line trajectory
during a single collision. Figure 2.3 shows a convenient geometry for describing
the Coulomb collision process.
1
In the rest frame of the electron, the background
1
The geometry shown in Fig. 2.3 and the pedagogical approach we use for exploring
Coulomb collision processes follows that developed in Chapter 13 of Jackson, Classical Elec-
trodynamics, 1st and 2nd Editions (1962, 1975).
DRAFT 20:46
electron
ion
bcos
bsin
b
y
z
x
vt
v
Figure 2.3: Geometry for considering the Coulomb collision of an electron having
charge q
e
= e with an ion of charge q
i
= Z
i
e. The ion is placed at the origin
of the coordinate system, which in the electron rest frame is moving in the e
z
direction at the electron speed v. The electron passes the ion at an impact
parameter distance b at the closest point, which occurs at t = 0.
ion, which we place at the origin of the coordinate system, is seen to be moving
with a velocity v e
z
along a straight-line trajectory x(t) = vt e
z
. The electron
is instantaneously at the position
x = b (e
x
cos +e
y
sin ) + vt e
z
, [x[ =
_
b
2
+ v
2
t
2
_
1/2
, (2.1)
in which b is known as the impact parameter. It is the distance of closest
approach, which by assumption will occur at time t = 0. The electrostatic
potential around the ion is the Coulomb potential (x) = Z
i
e/(4
0
[x[).
Thus, the electric eld force experienced by the test electron with charge q
e
= e
at its position x is
F = q
e
E = (e)
_
Z
i
e
4
0
[x[
_
=
Z
i
e
2
x
4
0
[x[
3
. (2.2)
Next, we calculate the momentum impulse m
e
v on the test electron as it
passes the background ion. Integrating Newtons second law (mdv/dt = F)
over time from long before (t ) to long after (t +) the Coulomb
collision that takes place during the time t where [t[ t b/v, we see that
DRAFT 20:46
a single electron-ion Coulomb collision induces:
m
e
v =
_

dt q
e
E =
_

dt
Z
i
e
2
x
4
0
[x[
3
. (2.3)
Using the specication of x in (2.1), we nd
v
=
Z
i
e
2
b
4
0
m
e
(e
x
cos +e
y
sin )
_

dt
(b
2
+ v
2
t
2
)
3/2
=
2Z
i
e
2
4
0
m
e
b v
(e
x
cos +e
y
sin ) . (2.4)
(This expression is relativistically correct if m
e
is replaced by the relativistic
mass m
e
= m
e
/
_
1 v
2
/c
2
.) Note that the perturbation of the electron ve-
locity is in a direction perpendicular to its direction of motion. There is no
component along the direction of particle motion (e
z
direction), at least in this
rst order where the particle trajectory is the unperturbed one because the z
component of the Coulomb force is an odd function of z or t. Hence, to this rst
or lowest order there is no momentum loss by the particle. Rather, a typical
electron is only deected by a small angle v
/v << 1 in velocity space.

Using a typical impact parameter b n
1/3
e
, the average inter-particle spacing
in the plasma, and a typical electron speed v v
Te
, the typical deection angle
is 1/[4(n
e
3
D
)
2/3
] << 1.
Since the background ion is at rest in the Lorentz collision model, electron
energy is conserved during the elastic Coulomb collision process. Thus, we have
m
e
[v[
2
/2 = m
e
[v +v[
2
/2 = m([v[
2
+2v v +v v), from which we nd
that the component of v parallel to v can be determined from
v v =
1
2
v v
1
2
v
, (2.5)
as indicated in Fig. 2.4. That is, because of electron energy conservation, the
reduction in electron velocity along its direction of motion is given by half of
the negative of the square of the perpendicular () deection. The net velocity
change along the e
z
or parallel (|) direction of electron motion induced by a
single Coulomb collision with a background ion is thus (v v v v
)
v

1
2v
v
=
2Z
2
i
e
4
4
0
2
m
2
e
b
2
v
3
. (2.6)
Note that while v
is a rst order quantity in terms of the weak Coulomb

electric eld between the two particles given in (2.2), v
is a second order
quantity, as evidenced by the square of the 4
0
factor in the denominator.
The result in (2.6) can also be obtained directly by integrating the Coulomb
electric eld force along a perturbed (by the Coulomb collision) trajectory rather
than the straight-line electron trajectory that was assumed in the preceding
analysis see Problem 2.5.
DRAFT 20:46
constant
energy
surface
v+v
v
v
v
v
|
Figure 2.4: Change in electron velocity vector from v before the Coulomb colli-
sion to v + v afterward. The change takes place at constant electron energy,
which means constant radius in this diagram, and hence results in v
< 0.
Next, we take account of the entire background distribution of ions, assum-
ing that electron collisions with individual ions are statistically random and
thus that their eects can be summed independently. For a density n
i
of ions,
adopting a cylindrical geometry in which the radius is b and the azimuthal an-
gle is , the number of ions passed by the electron per unit time is n
i
_
d
3
x/dt
= n
i
(dz/dt)
_
dA = n
i
v
_
d
_
b db (cf., Fig. 2.2). Hence, the net or ensemble
average
2
Coulomb collisional force in the direction of electron motion is
F
) m
e
v
)
t
= n
i
v
_
2
0
d
_

0
b db m
e
v
=
4 n
i
Z
2
i
e
4
4
0
2
m
e
v
2
_
db
b
. (2.7)
Here, t is a typical interaction time for individual Coloumb collisions (t
b/v 1/[
pe
(n
e
3
D
)
1/3
]), which is short compared to the time for the test
electron to traverse a Debye sphere (
De
/v
De
/v
Te
1/
pe
). It is also
certainly short compared to the time scale on which the test particle velocity
v changes signicantly due to Coulomb collisions [t << 1/, where is the
collision frequency dened in (2.14) below].
The integral over the impact parameter b in (2.7) is divergent at both its
upper and lower limits:
_
0
d b/b = ln(/0) ?! We restrict its range of in-
2
In an ensemble average one averages over an innite number of similar plasmas (realiza-
tions) that have the same number of particles and macroscopic parameters (e.g., density n,
temperature T) but whose particle positions vary randomly from one realization to the next.
DRAFT 20:46
tegration through physical considerations that can be more rigorously justied
by detailed analyses. The maximum impact parameter will be taken to be
the Debye length since the Coulomb electric eld force decays exponentially in
space from the value given in (2.2) for distances larger than the Debye length
(cf., Fig. ??):
b
max
=
D
. (2.8)
To estimate the minimum impact parameter b
min
, we note that when the
Coulomb potential energy q
e
q
i
/(4
0
[x[) becomes as large as the electron
kinetic energy m
e
v
2
/2: v
becomes comparable to [v
[, the scattering angle

becomes 90
o
[see (??) in Appendix A.1], and our weak interaction approximation
breaks down. Hence, we determine a classical minimum impact parameter by
[v
[ = [v
[, which yields
b
cl
min
=
Z
i
e
2
4
0
(m
e
v
2
)

Z
i
e
2
4
0
(3T
e
)
=
Z
i
12n
e
2
De
4.810
10
Z
i
T
e
(eV)
m.
(2.9)
Here, we have approximated m
e
v
2
/2 by 3 T
e
/2, which is appropriate for a ther-
mal electron in a Maxwellian distribution [cf., (??) in Appendix A.4].
Quantum mechanical eects become important when they could induce scat-
tering through an angle of 90
o
, which occurs [for wave scattering processes
see (??) in Appendix A.7]) when the distance of closest approach b is less
than half the radian de Broglie wavelength
h
/2 h/mv = h/(2mv). This
physical process yields a quantum-mechanical minimum impact parameter
3
(for
v v
Te

_
2T
e
/m
e
)
b
qm
min

h
2m
e
v

h
4m
e
v
Te
1.110
10
1
T
1/2
e
(eV)
m. (2.10)
The relevant minimum impact parameter b
min
is the maximum of classical
and quantum-mechanical minimum impact parameters. Quantum-mechanical
eects dominate for T
e
>
20 Z
2
i
eV. With these specications of the limits of
integration, the impact parameter integral in (2.7) can be written as
ln
_
bmax
bmin
db
b
= ln
_

D
b
min
_
, b
min
= max
_
b
cl
min
, b
qm
min
_
,
Coulomb logarithm. (2.11)
It is called the Coulomb logarithm because it represents the sum or cumulative
eects of all Coulomb collisions within a Debye sphere for impact parameters
ranging from b
min
to
D
.
3
In Chapter 13 of Jacksons Classical Electrodynamics the factor of 2 is omitted in the
denition of the quantum-mechanical minimum impact parameter, but then the argument
of the Coulomb logarithm in (2.11) is multiplied by a factor of 2 when quantum-mechanical
eects dominate.
DRAFT 20:46
To determine the relative magnitude and scaling of Coulomb collision eects,
it is convenient to assume classical eects determine the minimum impact pa-
rameter. When classical eects dominate (b
min
= b
cl
min
), the Coulomb logarithm
becomes
ln
cl
ln
_

D
b
cl
min
_
ln
_
12 n
e
3
De
Z
i
_
. (2.12)
Since the denition of a plasma (cf., Section 1.8) requires that n
e
3
De
>>>> 1,
plasmas have ln
cl
>> 1. For example, typical magnetic fusion experiments in
laboratory plasmas have n
3
D
10
6
, and hence ln 17.
Having dened the impact parameter integral in (2.7), the total Coulomb
collisional force on a test electron along its direction of motion thus becomes
m
e
dv
dt
= F
) = m
e
v
)
t
=
_
4n
i
Z
2
i
e
4
4
0
2
m
2
e
v
3
ln
_
m
e
v
= m
e
v
. (2.13)
The Coulomb collisional drag force in the last form of this equation is called the
dynamical friction force because it is proportional to the test particle velocity.
Here, we have dened a net momentum loss or slowing down
4
Coulomb collision
frequency for a particle of speed v in the Lorentz collision model:
(v)
4 n
e
Z
i
e
4
ln
4
0
2
m
2
e
v
3

pe
ln (12 n
e
3
De
/Z
i
)
4 n
e
3
De
/Z
i
_
T
e
m
e
v
2
_
3/2
,
Lorentz collision frequency. (2.14)
In this denition we have taken into account the condition for quasineutrality in
a plasma: n
e
= Z
i
n
i
. Note from the last form in (2.14) that the electron collision
frequency is smaller than the electron plasma frequency by a very large factor
[ 1/(n
e
3
De
), which is by denition a small number in a plasma]. The Lorentz
collision frequency can also be shown to be given by (v) = n
i
m
v in which
m
= 4 (b
cl
min
)
2
ln is a momentum transfer cross-section see Problems 2.6,
2.7. It can also be deduced from the Langevin equation in which the stochastic
force is due to Coulomb collisions see Problem 2.8.
For classical hard collisions with b < b
cl
min
, the maximum parallel mo-
mentum transfer is given by max(v
) = 2v. The collision frequency for hard

collisions can be estimated using a cross section of
hard
(b
cl
min
)
2
:
hard
=
n
i
hard
max(v
) 2n
i
v(b
cl
min
)
2
, which is smaller than the collision frequency
in (2.14) by a factor of 1/(2 ln ) << 1. Thus, the net Coulomb collision fric-
tional force is dominated by the cumulative small angle collisions with impact
parameters b ranging between b
min
and
D
that are embodied in the ln integral
in (2.11). That is, the Coulomb logarithm represents the degree to which cumu-
lative small-angle collisions dominate over hard collisions for Coulomb collision
processes in plasmas.
4
Note that in the Lorentz collision model there is no energy transfer and only loss of
directed momentum see Problem 2.4. It is thus unfortunate and rather misleading that
the Lorentz collision frequency is often called a slowing down frequency in plasma physics.
DRAFT 20:46
Detailed treatments of the physical phenomena of hard collisions for b b
min
(see Problems 2.7, 2.24) and of the Debye shielding process (see Chapter 13) for
b
>
b
max
=
D
yield order unity corrections to the ln ln (b
max
/b
min
) factor
in (2.14). However, because these corrections are small and quite complicated,
it is customary to neglect them in most plasma physics calculations. Thus,
the Coulomb collision momentum loss frequency given in (2.14) and the other
Coulomb collision processes calculated in this chapter should be assumed to be
accurate to within factors of order 1/(ln ) 5 10%; evaluation of Coulomb
collision processes and their eects to greater accuracy is unwarranted.
Finally, we use our result for the Coulomb collision frictional force F
) on a
single electron to calculate the net frictional force on a drifting Maxwellian dis-
tribution of electrons owing slowly (compared to their thermal speed) through
a background of xed, immobile ions. For a small net ow speed V
in the e
z
direction, the appropriate ow-shifted Maxwellian distribution for electrons is
5
f
Me
(v) = n
e
_
m
e
2T
e
_
3/2
exp
_
m
e
[v V
e
z
[
2
2T
e
_
n
e
_
m
e
2T
e
_
3/2
e
mev
2
/2Te
_
1 +
m
e
v
T
e
+
_
=
n
e
e
v
2
/v
2
Te
3/2
v
3
Te
_
1 +
2 v
v
2
Te
+
_
, (2.15)
in which in the last form we have used the convenient denition of the electron
thermal speed v
Te

_
2T
e
/m
e
. Multiplying (2.13) by this distribution and
integrating over the relevant spherical velocity space (v
v = v cos ), the
Maxwellian-average (indicated by a bar over F
) of the Coulomb collisional

frictional force density on the drifting electron uid becomes
n
e
)
_
d
3
v f
Me
(v) F
)

_
2
0
d
_
1
1
d
_

0
v
2
dv (v) m
e
v
2vV
v
2
Te
n
e
e
v
2
/v
2
Te
3/2
v
3
Te
=
e
m
e
n
e
V
. (2.16)
Here, we have dened the Maxwellian-averaged electron-ion collision frequency
e

4
3
(v
Te
) =
4
2 n
i
Z
2
i
e
4
ln
4
0
2
3 m
1/2
e
T
3/2
e
510
11
n
e
Z
i
[T
e
(eV)]
3/2
_
ln
17
_
s
1
,
fundamental electron collision frequency. (2.17)
This is the average momentum relaxation rate for the slowly owing Maxwellian
distribution of electrons. Since many transport processes arise from collisional
5
Here, and throughout this text, a capital letter V (V) will indicate the average ow speed
(velocity) of an entire species of particles while a small letter v (v) will indicate the speed
(velocity) of a particular particle, or a particular position in velocity space.
DRAFT 20:46
relaxations of ows in a plasma, this average or reference electron collision
frequency is often the fundamental collision frequency that arises in the
plasma electrical conductivity (see Section 2.3 below) and plasma transport
studies (cf., Problem 2.10).
Since a typical, thermal electron moves at the thermal speed v
Te
, it is con-
venient to dene the characteristic length scale over which the momentum in a
owing distribution of electrons is damped away by
e

v
Te
e
1.210
16
[T
e
(eV)]
2
n
e
Z
i
_
17
ln
_
, electron collision length. (2.18)
Note that (in contrast to neutral particle collisions) it is not appropriate to
call this length a collision mean free path because a very large number
of random small-angle Coulomb collisions deect particles velocities and cause
the net momentum loss over this length scale. [The total number of collisions
involved is of order n
3
D
as a test electron traverses a Debye length times a
factor of
e
/
D
n
3
D
/ ln , or of order (n
3
D
)
2
/ ln >>>>>> 1.] For the
relevant length and time scales in some typical plasmas, see Problems 2.12.3
2.2 Diusive Properties of Coulomb Collisions
The Coulomb collision process causes more than just momentum loss by the elec-
trons. As indicated in Fig. 2.4, the dominant collisional process in individual
collisions is deection of the test particle velocity in a random direction per-
pendicular to the original direction of motion. The net perpendicular Coulomb
collision force dened analogously to the net parallel force in (2.7) vanishes:
F
) m
v
)
t
= n
i
v
_
2
0
d
_
bmax
bmin
b db m
e
v
= 0.
While the ensemble average perpendicular force vanishes, because of the ran-
domness of the impact angle , velocity-space deections caused by Coulomb
collisions do have an eect in the perpendicular direction. Namely, they lead to
diusion of the test particle velocity v in directions perpendicular to v. For a
general discussion of diusive processes see Appendix A.5.
The temporal evolution of the velocity of a test particle as it undergoes ran-
dom Coulomb collisions with background ions is illustrated in Fig. 2.5. While for
long times (many Coulomb collisions) the average of the perpendicular velocity
component v
x
vanishes (v
x
) = 0), its square and the reduction of the velocity
component in the original direction of motion increase approximately linearly
with time v
2
x
) (v
2
x
)/t) t [see (??) in Appendix A.5] and v
0
v
z

(v
)/t) t. The fact that the average of v

2
x
increases linearly with time while
the average of v
x
vanishes indicates a diusive process for the x (perpendicular)
component of the test particle velocity see Appendix A.5. Because there
is no preferred direction in the plane perpendicular to the original direction of
DRAFT 20:46
Figure 2.5: Temporal evolution of v
x
, v
2
x
and v
z
components of the test particle
velocity as it undergoes random Coulomb collisions with background ions. Note
that for times long compared to an individual Coulomb collision time the average
of v
x
vanishes, but v
2
x
and v
0
v
z
increase approximately linearly with time t.
DRAFT 20:46
motion, we obtain v
2
x
) = v
2
y
) = v
2
)/2 = (1/2)(v
2
)/t) t; hence there is

velocity diusion equally in both the x and y directions.
To mathematically describe the diusion in velocity space, we calculate the
mean square deection of the test electron as it moves through the background
ions by the same ensemble-averaging procedure as that used in obtaining the
average parallel force in (2.7). We obtain
v
2
)
t
n
i
v
_
2
0
d
_
bmax
bmin
b db v
=
8 n
i
Z
2
i
e
4
4
0
2
m
2
v
ln = 2 v
2
.
(2.19)
Thus, as can be inferred from (2.5), and from Figs. 2.4 and 2.5, in the Lorentz
scattering model the rate of velocity diusion (v
2
)/v
2
t) for the test electron
is twice the rate of momentum loss (v
)/vt). Note that for the collisional

process being considered the velocity diusion takes place at constant energy
and in directions perpendicular to the test particle velocity v; there is no speed
(energy) diusion in the Lorentz collision model because the background parti-
cles (ions here) are assumed to be immobile and hence to not exchange energy
with the test electron.
In the spherical velocity space we are using, the pitch-angle through which
the random scattering, deections and diusion take place is dened by sin
v
/v =
_
v
2
x
+ v
2
y
/v. Since the Coulomb collision process is a random walk or
diusion process (in pitch-angle), the time required to diuse the test particle
velocity vector through a small angle v
/v << 1 is much less than the

Lorentz collision model (momentum loss) time 1/, which is eectively the time
scale for scattering through 90
see Problem 2.12 for a specic example.

From (2.19) we can infer that collisional scattering through an angle << 1
(but must be greater than the for any individual Coulomb interaction so
a diusive description applies) occurs in a time [see Fig. 2.5 and (??)]
t (v
/v)
2
/
2
/ << 1/, time to diuse through << 1. (2.20)
As time progresses, a test particles pitch-angle in velocity space is randomly
deected or scattered. Thus, over time the pitch-angle of a test particle assumes
a probability distribution whose width is given by
_
2
)
t.
For the Lorentz collision model the probability distribution of a test particle
with an initial velocity v
0
[i.e., f(v, t = 0) (v v
0
)] can be shown (see
Section 11.2) to be given for short times by
f
t
(v, , t)
(v v
0
)
2v
2
0
_
e
2
/2t
t
_
=
(v v
0
)
2v
2
0
_
e
v
2
/(2v
2
t)
t
_
for t << 1.
(2.21)
This distribution function is normalized so it represents one test particle: i.e.,
_
d
3
vf
t
= 1. The delta function in speed, (v v
0
), represents the fact that
DRAFT 20:46
the test particle speed stays constant at the initial speed [v
0
[ v
0
because
the test particle energy (speed) is constant in the Lorentz collision model. The
factor e
2
/2t
/(t) represents the diusion in pitch-angle that takes place in
a time t; it indicates that f
t
is reduced by a factor of e
1/2
0.61 for diusion
over a pitch-angle of << 1 in the short time t
2
/ indicated in (2.20). The
velocity-space diusion properties of Coulomb collision processes are explored
in greater detail in Chapter 11.
The dynamical friction and diusion coecients for the Lorentz collision
model can be written in a coordinate-independent, vectorial form as follows.
First, note that the parallel or z direction here is dened to be in the initial
electron velocity direction: e
z
v/v. Thus, we can write the dynamical friction
force coecient due to Coulomb collisions in the form
v)
t
=
v
)
t
e
z
= (v) v. (2.22)
Similarly, because velocity diusion occurs equally in all directions perpendicu-
lar to v, we have v
2
x
)/t = v
2
y
)/t = (1/2)v
2
)/t; hence the (second

rank tensor) diusion coecient can be written as
v v)
t
=
1
2
v
2
)
t
(e
x
e
x
+e
y
e
y
) = (v) (v
2
I vv), (2.23)
in which I is the identity tensor [see (??) in Appendix D.7]. These forms for
v)/t and v v)/t will be useful in Section 11.1 where we will develop
a Lorentz Coulomb collision operator for use in plasma kinetic theory.
2.3 Runaway Electrons and Plasma Resistivity
Next, we consider the combined eects of a macroscopic electric eld E and the
dynamical friction due to Coulomb collisions on test electrons in a plasma. Using
the dynamical friction force given in (2.13) using the vectorial form indicated
in (2.22), Newtons second law for this situation can be written in the form
m
e
dv
dt
= q
e
E m
e
v. (2.24)
The electric eld may be externally imposed, or arise from a collective response
in the plasma. The electric eld E, which we take to be in the e
z
direc-
tion accelerates electrons (q
e
= e) in the E or +e
z
direction; Coulomb
collisions exert a dynamical friction force that opposes this acceleration. In
a more complete Coulomb collision model that includes electron-electron col-
lisions (see Section 2.7 below), the Lorentz collision frequency gets replaced
by a slowing down (subscript S) electron (momentum relaxation) collision
frequency
e
S
=
e/e
S
+
e/i
S
, in which
e/e
S
and
e/i
S
are the momentum loss rates
for electron-electron and electron-ion collisions, which will be derived explictly
DRAFT 20:46
below, in Section 2.9. For electron-ion collisions, since electron speeds are typ-
ically much greater than the ion thermal speed and little energy is transferred
during the collisions because of the large disparity in masses, the ions are es-
sentially immobile during the Coulomb collision process. Thus, the Lorentz
collision model is applicable and the relevant electron-ion collision frequency is
simply the Lorentz collision frequency:
e/i
S
= (v), as given in (2.14). Electron-
electron collisions are in general more complicated because during collisions
both particles are in motion and energy is transferred. With these simplica-
tions and adaptations, the equation governing the velocity of a single electron
in the e
z
direction, (2.24) can be rewritten in the more precise one-dimensional
form
m
e
dv
dt
= (e)(E) (
e/e
S
+
e/i
S
) m
e
v
= eE
e
S
m
e
v
. (2.25)
We rst consider the combined electric eld and Coulomb collision eects
on energetic test electrons in the high energy tail of a Maxwellian distribution.
For these energetic test electrons the background electrons can be considered
at rest and the electron-electron momentum loss collision frequency is simply
e/e
S
= 2 (v)/Z
i
(see Table 2.1) the factor of two comes from the inverse
dependence on the reduced electron rest mass [see (2.55) below] and the 1/Z
i
factor eliminates the dependence on the ion Z
i
in the Lorentz model collision
frequency. The total momentum loss collision frequency for these energetic
electrons can thus be written as
e
S
= (1 + 2/Z
i
) (v) = (1 + 2/Z
i
) (v
Te
) v
3
Te
/v
3
, for v >> v
Te
. (2.26)
Here, the unity multiplicative factor (on ) represents electron-ion collisions and
the 2/Z
i
factor represents electron-electron collisions. In the limit Z
i
>> 2 this
overall electron momentum relaxation rate becomes simply the Lorentz model
collision frequency and electron-electron collision eects are negligible.
The dynamical friction force
e
S
(v) m
e
v
in (2.25) with the

e
S
given in (2.26)
decreases as v
2
for electrons in the high energy tail of a Maxwellian distribu-
tion. The dependence of the electric eld and dynamical friction forces on the
speed v of a tail electron are illustrated in Fig. 2.6. As indicated, when the
electric eld force exceeds the dynamical friction force, electrons are freely ac-
celerated by the electric eld. Such electrons are called runaway electrons. The
energy range for which runaway electrons occur is determined by eE >
e
S
m
e
v:
m
e
v
2
2 T
e
> (2 + Z
i
)
E
D
[E[
, (2.27)
where
E
D

2n
e
e
3
ln
4
0
2
T
e
=
e (
1
2
ln )
4
0
2
De
=
m
e
v
Te
(v
Te
)
eZ
i
, Dreicer eld (2.28)
DRAFT 20:46
Force
v
e[E[
runaway
electrons
Figure 2.6: Relative strengths of the electric eld e[E[ and dynamical friction
e
S
(v) m
e
v forces on an electron as a function of the electron speed v. Runaway
electrons occur when the electric eld force exceeds the dynamical friction force.
is a critical electric eld strength, called the Dreicer eld.
6
For weak electric
elds ([E[ << E
D
), the energy at which electron runaways occur is far out
on the high energy tail of the Maxwellian electron distribution and only an
exponentially small fraction of electrons run away see Problem 2.13. [For
relativistic electron energies the dynamical friction decreases less rapidly than
1/v
2
and no runaways are produced for a weak electric eld satisfying [E[/E
D
<
2 T
e
/(m
e
c
2
) see Problem 2.14.] High Z
i
ions increase the energy for electron
runaway relative to that for protons because they increase the frictional drag
due to Coulomb collisions. Note also from the middle form of the critical electric
eld dened in (2.28) that its magnitude is roughly (to within a factor of
1
2
ln
10) what is required to substantially distort the Coulomb electric eld around a
given ion [cf., (2.2)] at distances of order the Debye length. Alternatively, it can
be seen from the last form in (2.28) that the Dreicer eld is approximately the
electric eld strength at which typical, thermal energy electrons with v v
Te
in a Maxwellian distribution become runaways see Problem 2.15 for a more
precise estimate. Thus, when the electric eld is larger than the Dreicer eld,
the entire distribution of electrons responds primarily to the electric eld and
collisional eects are small.
For weak electric elds [E[ << E
D
, most plasma electrons will be only
slightly accelerated by the E eld before Coulomb collisions relax the momentum
they gain. However, the velocity distribution of electrons will acquire a net ow
velocity V
e
in response to the E eld. Since the more massive ions have much
more inertia and are accelerated less by the electric eld, they acquire a much
6
H. Dreicer, Proceedings of the Second United Nations International Conference on the
Peaceful Use of Atomic Energy (United Nations, Geneva, 1958), Vol. 31, p. 57. See also,
Phys. Rev. 115, 238 (1959).
DRAFT 20:46
smaller [by a factor (m
e
/m
i
)
1/2 <
1/43 << 1] ow, which can be neglected.

Thus, the electron ow in response to the electric eld will correspond to an
electric current owing in the plasma. The proportionality constant between
the current and electric eld is the plasma electrical conductivity, which we will
now determine.
For electrons with a ow-shifted Maxwellian distribution as in (2.15) that
have a ow velocity V
e
relative to the ions (V
e
z
V
e
V
i
), the average (over
the Maxwellian distribution) frictional force is given in (2.16). Adding electric
eld force and electron inertia eects yields the electron momentum density
equation
m
e
n
e
dV
e
dt
= en
e
Em
e
n
e
e
(V
e
V
i
), (2.29)
in which
e
is the fundamental electron collision frequency dened in (2.17). In
equilibrium (t >> 1/
e
, d/dt 0) we obtain the current induced by an electric
eld:
J = n
e
e(V
e
V
i
) =
0
E, Ohms law (2.30)
in which
0
=
n
e
e
2
m
e
, reference (subscript 0) plasma electrical conductivity,

(2.31)
where is the plasma resistivity. The electron collision frequency that enters
this formula is
e
, which is the (electron-ion) Lorentz collision frequency (2.14)
averaged over a owing Maxwellian distribution of electrons given in (2.17). (In
this analysis the electron Coulomb collision frequency is assumed to be much
greater than the electron-neutral collision frequency. See Problems 2.19, 2.20
for situations where this assumption is not valid and the electrical conductivity
is modied.) Note also that since n
e
/
e
T
3/2
e
, the electrical conductivity in a
plasma increases as T
3/2
e
an inverse dependence compared to solid conductors
whose electrical conductivity decreases with temperature. The conductivity in
plasmas increases with electron temperature because the noise level [see (??)]
and collision frequency [see (2.17)] decrease with increasing electron temperature
and Debye length. For some perspectives on the magnitude and eects of the
electrical conductivity in plasmas, see Problems 2.162.18.
In a more complete, kinetic analysis with the Lorentz collision model (see
Section 11.4), the electric eld distorts the electron distribution function more
than indicated by the simple ow eect in (2.15). Specically, we can infer
from (2.25) and (2.26) that higher energy electrons receive larger momentum
input from the electric eld because the Coulomb collision dynamical friction
force decreases as v
2
. Thus, the current is carried mainly by higher energy
(v 2 v
Te
), lower collisionality electrons than is embodied in the simple ow-
shifted Maxwellian distribution. Since the collision frequency decreases as 1/v
3
,
DRAFT 20:46
the Maxwellian-averaged collision frequency is reduced (see Section 11.4), by
a factor of 3/32 0.2945
e
; thus the electrical conductivity in a kinetic
Lorentz model is increased relative to that given in (2.31) by the factor 1/
e
.
Electron-electron collisions are momentum conserving for the electron dis-
tribution function as a whole. Thus, they do not contribute directly to the
momentum loss process or plasma electrical conductivity. However, in a kinetic
description the electric eld distorts the electron distribution function away
from a ow-shifted Maxwellian. Then, electron-electron collisions have an indi-
rect eect of reducing the net ow (and electrical conductivity) in response to
an electric eld as they try to force the electron distribution to be close to a
Maxwellian. Details of this process will be discussed in Section 12.3.
The net result of these kinetic and electron-electron eects, which is obtained
from a complete, kinetic analysis that was rst solved numerically by Spitzer
and H arm,
7
is that the eective electron collision frequency is reduced by a
generalized factor
e
. Thus, the electrical conductivity becomes
Sp
=
n
e
e
2
m
e
e
=

0
e
, Spitzer electrical conductivity. (2.32)
The generalized factor
e
ranges from 0.5129 for Z
i
= 1 to 3/32 0.2945
for Z
i
(Lorentz kinetic model). A later analytic uid moment analysis
8
has shown that this factor can be approximated to three signicant gures (see
Section 12.3), which is much more accuracy than warranted by the intrinsic
accuracy ( 1/ ln
<
10%) of the Coulomb collision operator, by
e

1 + 1.198Z
i
+ 0.222Z
2
i
1 + 2.966Z
i
+ 0.753Z
2
i
. (2.33)
2.4 Eects of Coulomb Collisions
So far we have concentrated on the electron momentum relaxation eects of
Coulomb collisions using a Lorentz collision model. In this section we discuss
phenomenologically more general Coulomb collision eects on electrons as well
as the collisonal eects on ions, and between ions and electrons. A complete,
rigorous treatment of Coulomb collision eects begins in Section 2.6.
The Lorentz collision model takes into account electron-ion collisions but
neglects electron-electron collisions. However, these two collisional processes
occur on approximately the same time scale, at least for ions with a Z
i
that is
not too large. As indicated in the preceding section, electron-electron collisions
tend to relax the electron velocity distribution toward a Maxwellian distribution
function. They do so on approximately the fundamental electron collision time
scale 1/
e
. However, as indicated in (2.25) and (2.26), the collisional relaxation
of electrons in the high energy tail of the distribution is slower. The character-
istic time for tail electrons to equilibrate toward a Maxwellian distribution is
7
L. Spitzer and R. Harm, Phys. Rev. 89, 977 (1953).
8
S.P. Hirshman, Phys. Fluids 20, 589 (1977).
DRAFT 20:46
(v/v
Te
)
3
/
e
for v >> v
Te
. (For an application where this eect is impor-
tant see Problem 2.21.) In contrast, all electrons with v
<
v
Te
relax toward a
Maxwellian distribution on the same time scale as the bulk (see Section 2.7 and
Problem 2.32): 1/
e
.
As indicated in (2.16) and (2.29), the net Coulomb collisional force density
on a Maxwellian distribution of electrons owing relative to the ions is
R
e
m
e
n
e
e
(V
e
V
i
) =
n
e
e J
, collisional friction force density.

(2.34)
This is the electron force density that was introduced in the electron uid mo-
mentum balance given in (2.29). Note also from a temporal solution of (2.29)
that the electron ow (momentum) will relax exponentially to its equilibrium
value at the rate
e
, i.e., on the electron time scale
e
= 1/
e
. Because Coulomb
collisions are momentum conserving, any momentum lost from the electrons
must be gained by the ions. Thus, the Coulomb collisional force density on ions
is given by
R
i
= R
e
. (2.35)
Ion-ion collisions are analogous to electron-electron collisions and compli-
cated during Coulomb collisions both particles are in motion and energy is
exchanged between them. Nonetheless, considering a Lorentz-type model for
ion-ion collisions using the framework developed in Section 2.1, it is easy to
see that the appropriate ion collision frequency should scale inversely with the
square of the ion mass and the cube of the ion speed. A detailed analysis (see
Sections 2.62.10) of the eects of ion-ion collisions yields a owing-Maxwellian-
averaged ion collision frequency given by
i
=
4
n
i
Z
4
i
e
4
ln
4
0
2
3 m
1/2
i
T
3/2
i
=
_
m
e
m
i
_
1/2
_
T
e
T
i
_
3/2
Z
2
i
2

e
,
fundamental ion collision frequency. (2.36)
The

2 factor (in the denominator at the end of the second formula) en-
ters because of the combined eects of the reduced mass [see (2.55) below]
and the motion of both particles during ion-ion collisions. Note that for an
electron-proton (Z
i
= 1) plasma with T
e
T
i
the ion collision frequency is
smaller than the electron collision frequency by a square root of the mass ratio:
i
/
e
(m
e
/2m
i
)
1/2 <
1/60 << 1. Because of their very disparate masses,

ion-electron collisional eects are typically smaller than ion-ion collisional ef-
fects by a factor of (m
e
/m
i
)
1/2 <
1/43 << 1; hence they are negligible for ion

collisional eects. As for electrons, ion collisions drive the velocity distribu-
tion of ions toward a Maxwellian distribution on the ion collisional time scale
i
= 1/
i
(2m
i
/m
e
)
1/2
/
e
>> 1/
e
. In addition, like electrons, ions in the
high energy tail of the distribution relax toward a Maxwellian distribution more
slowly: (v/v
Ti
)
3
/
i
for v >> v
Ti
.
DRAFT 20:46
We now determine the small energy transfer from electrons to ions during
Coulomb collisions, which we have heretofore neglected. Momentum is con-
served during a Coulomb collision. Thus, if an electron acquires an impulse
m
e
v
e
during a electron-ion collision, the ion acquires an impulse determined
from momentum conservation:
m
e
v
e
+ m
i
v
i
= 0 = v
i
= (m
e
/m
i
) v
e
.
The energy exchange from electrons to ions initially at rest during a Coulomb
collision will thus be
m
i
2
v
i
v
i
=
m
i
2
_
m
e
m
i
_
2
v
e
v
e

_
m
e
m
i
_
m
e
2
v
2
.
The net energy exchange from a test electron moving through the backgound
stationary ions can thus be evaluated using (2.19):
m
i
2
v
i
v
i
)
t
=
_
m
e
m
i
_
m
e
v
2
(v). (2.37)
Note that this energy exchange rate is smaller than the basic Lorentz collision
frequency by a factor of m
e
/m
i
<
10
3
<< 1 because lightweight electrons
transfer very little energy to the massive ions in Coulomb collisions.
Integrating this last result over a Maxwellian distribution of the electrons,
the Maxwellian-averaged rate of energy () density transfer from electrons to
initially stationary background ions (
e/i
in Section 2.10) becomes

_
d
3
v f
Me
m
i
2
v
i
v
i
)
t

e/i
n
e
T
e
= 3
m
e
m
i
e
n
e
T
e
.
A more complete analysis (see Section 2.10) shows that if the background ions
have a Maxwellian velocity distribution (instead of being stationary and immo-
bile as they are in the Lorentz model) T
e
T
e
T
i
in this formula, as would be
expected physically. Thus, the rate of ion energy density increase from Coulomb
collisions with electrons is
Q
i

e/i
n
e
(T
e
T
i
) = 3
m
e
m
i
e
n
e
(T
e
T
i
), ion collisional heating density.
(2.38)
In the absence of other eects, the equation governing ion temperature evolution
becomes
3
2
n
i
dT
i
dt
= Q
i
= 3
m
e
m
i
e
n
e
(T
e
T
i
). (2.39)
Here, (3/2)(n
i
dT
i
/dt) represents the rate of increase of ion internal energy in the
plasma. From (2.39) we see that for a constant electron temperature the charac-
teristic time scale on which Coulomb collisions equilibrate the ion temperature
DRAFT 20:46
to the electron temperature is
ie
= 3/(2
e/i
) = (m
i
/2m
e
)/
e
>
10
3
/
e
>>
1/
e
. (For a more precise determination of the temporal evolution of the colli-
sional equilibration of the electron and ion temperatures in a plasma, see Prob-
lem 2.23.)
Because energy is conserved in the elastic Coulomb collisions, energy gained
by the ions is lost from the electrons. In addition, the electrons are heated by the
work they do per unit time in owing relative to the ions against the collisional
friction force density R
e
given in (2.34). Thus, the total electron heating due
to Coulomb collisions is given by
Q
e
= (V
e
V
i
) R
e
Q
i
= J
2
/ Q
i
. (2.40)
In the absence of other eects and using 1/ = , the electron temperature
evolution equation becomes
3
2
n
e
dT
e
dt
= Q
e
= J
2
Q
i
. (2.41)
In these equations J
2
is the joule or ohmic heating induced by a current density
J owing in a plasma with resistivity . Because the plasma resistivity scales
as T
3/2
e
, for a constant current density the joule heating rate of a plasma
decreases as it is heated. Thus, joule heating becomes less eective as the
electron temperature increases. Note also that despite the complexity of the
dependence of
e
on T
e
, the characteristic time scale for Coulomb collisional
relaxation of the electron temperature to its equilibrium value is roughly the
same as the ion temperature equilibration time scale
ie
.
2.5 Numerical Example of Collisional Eects*
In order to illustrate the evaluation of and numerical values for these various
collisional processes, we will work them out for a particular plasma example.
The plasma example will be chosen to be typical of laboratory experiments
for magnetic fusion studies, but the plasma will be assumed to be innite and
uniform, and in equilibrium so there will not be any spatial or temporal
inhomogeneity eects. For the plasma electrons we assume an electron density
n
e
= 210
19
m
3
and electron temperature T
e
= 1 keV. For these parameters
the electron plasma period [inverse of electron plasma frequency from (??)] is
1/
pe
= 1/[56(210
19
)
1/2
] 410
12
s
1
, the electron Debye length from (??)
is
De
= 7434 [10
3
/(210
19
)]
1/2
5.310
5
m, and the number of electrons in
an electron Debye cube is n
e
3
De
310
6
. These parameters clearly satisfy the
criterion n
e
3
De
>> 1 for the plasma state.
The ions in laboratory plasmas often include impurities in addition to the
desired hydrogenic species. We will take into account an impurity species to
show how the various plasma collision rates presented in the preceding sections
need to be modied to take into account multiple species of ions, and in partic-
ular impurities. For our example laboratory plasma we will assume a dominant
DRAFT 20:46
deuterium (atomic weight A
D
= 2, charge Z
D
= 1) ion species with relative
density n
D
/n
e
= 0.64 and fully ionized carbon (A
C
= 12, Z
C
= 6) impurities
with a relative density of n
C
/n
e
= 0.06. Note that even though the carbon ion
density is only 6% of the electron density the carbon ions supply 36% of the ion
charge needed for charge neutrality:

i
n
i
Z
i
= [0.64 +(0.06)(6)]n
e
= n
e
. Both
the deuterium and carbon ion temperatures will be assumed to be 0.5 keV.
In order to calculate the ln factor for the fundamental electron collision rate
we rst need to determine the maximum and minimum collisional impact pa-
rameters b
max
and b
min
. The maximum impact parameter is the overall plasma
Debye length in the plasma which is dened in (??). For our multi-species
plasma the Debye length can be calculated from the electron Debye length by
taking out common factors in the ratio of
D
to
De
:
D

De
_
s
n
s
n
e
T
e
T
s
Z
2
s
_
1/2
, (2.42)
which for our plasma yields
D
=
De
/[1 + (0.64)(2) + (0.06)(2)(6
2
)]
1/2
De
/2.6 210
5
m. Classical and quantum mechanical minimum impact
parameters for electron-deuteron collisions in this plasma are estimated from
(2.9) and (2.10): b
cl
min
= 4.810
10
/10
3
= 1.410
12
m and b
qm
min
= 1.1
10
10
/(10
3
)
1/2
= 3.510
12
m. Since the quantum mechanical impact pa-
rameter is larger, we use it for b
min
and thus have ln ln (
D
/b
qm
min
)
ln [(210
5
)/(3.510
12
)] ln (5.710
6
) 16. Since the Coulomb collision fre-
quency is only accurate to order 1/ ln 1/16 0.06, in the following we will
give numerical values to only about 6% accuracy; more accuracy is unwarranted
and misleading.
In calculating the electron collision frequency we need to take account of all
the ion species. From (2.17) we see that the electron-ion collision frequency is
proportional to n
i
Z
2
i
. Thus, for impure plasmas it is convenient to dene
Z
e

i
n
i
Z
2
i
i
n
i
Z
i
=
i
n
i
Z
2
i
n
e
, eective ion charge, (2.43)
in which the sum is over all ion species in the plasma. Hereafter in this section
we will designate the main ions with a subscript i and the impurities with a
subscript Z. For our example plasma we obtain Z
e
(n
i
Z
2
i
+ n
Z
Z
2
Z
)/n
e
=
0.64(1
2
) + (0.06)(6
2
) = 2.8. The overall electron collision frequency
e
dened
in (2.17) for an electron-ion plasma can be written for an impure plasma in
terms of the electron-deuterium (dominant ion with Z
i
= 1) collision frequency

e/Zi=1
S
(in the notation used in Section 2.10) as
e
= Z
e

e/Zi=1
S
, in which

e/Zi=1
S

e
Z
e
=
4
2 n
e
e
4
ln
4
0
2
3 m
1/2
e
T
3/2
e
510
11
n
e
[T
e
(eV)]
3/2
_
ln
17
_
s
1
. (2.44)
For our example plasma
e/Zi=1
S
(510
11
)(210
19
)(16/17)/(10
3
)
3/2
3
10
4
s
1
, which gives
e
= (2.8)(310
4
) 8.410
4
. Hence, for our example
DRAFT 20:46
plasma the time scale on which the electron distribution becomes a Maxwellian
and electron ows come into equilibrium is
e
1/
e
12 s. The distance
typical electrons travel in this time is the electron collision length (2.18)
e

v
Te
/
e
, which is about 230 m for our plasma. Finally, the reference electrical
resistivity calculated from (2.31) is about 1.510
7
m. For impure plasmas
it is appropriate to replace the Z
i
in (2.33) by Z
e
, which then yields
e
0.4
for Z
e
2.8. Thus, the Spitzer electrical resistivity for our example plasma is
610
8
m. For reference, the resistivity of copper at room temperature is
about 1.710
8
m, a factor of about 3.5 smaller.
To calculate the ion collision frequency for the dominant ions (subscript i)
in an impure plasma we need to include both their self-collisions and their colli-
sions with impurities (subscript Z). Since the masses of impurity ions are rather
disparate from the dominant ions (m
i
<< m
Z
A
D
<< A
C
for our exam-
ple plasma), the

2 rest mass factor is not appropriate for collisions between
dominant ions and impurities. Thus, the appropriate collision frequency for the
dominant ions in an impure plasma becomes
i
= f
i

i/i
S
(2.45)
with

i/i
S

4
n
i
Z
4
i
e
4
ln
4
0
2
3 m
1/2
i
T
3/2
i
=
_
n
i
Z
4
i
n
e
__
m
e
m
i
_
1/2
_
T
e
T
i
_
3/2

e/Zi=1
S
2
, (2.46)
f
i
1 +
2
_
n
Z
Z
2
Z
n
i
Z
2
i
__
m
i
m
Z
_
1/2
, ion collisions impurity factor. (2.47)
For multiple impurity species (Z) one just sums the second term in f
i
over
them. For our example plasma f
i
= 1 +
2 [(0.06)(6
2
)/0.64](2/12)
1/2
3, and
i
3(0.64)(1/3672)
1/2
2
3/2
(310
4
)/
2 1.910
3
s
1
. Thus, the ions will
relax toward a Maxwellian distribution and their equilibrium ow on the ion
collisional time scale
i
= 1/
i
530 s. The ion collision length dened by
i
= v
Ti
/
i
is about 120 m for our plasma, which is about a factor of two less
than the electron collision length
e
.
Finally, we calculate the longest time scale process ion-electron energy
exchange. We must again take account of impurities in the calculation. Here,
since an electron-ion mass ratio is involved, we obtain

e/i
= f
ie
_
3
m
e
m
i
__
n
i
Z
2
i
n
e
_

e/Zi=1
S
(2.48)
in which the relevant factor to include impurity eects is
f
ie
= 1 +
_
n
Z
Z
2
Z
n
i
Z
2
i
__
m
i
m
Z
_
, ion-electron energy exchange impurity factor.
(2.49)
Again, for multiple impurity species (Z) one just sums the second term in f
ie
over them. For our example plasma f
ie
= 1 + [(0.06)(6
2
)/(0.64)](2/12)
DRAFT 20:46
1.6. In the presence of impurities the time scale for ion-electron temperature
equilibration becomes [see discussion after (2.39)]
ie
3/(2
e/i
), which for
our plasma is
ie
= (3672/2)/[(1.6)(0.64)(310
4
)] 60 ms.
In summary, the electron, ion and ion-electron collision times in our example
plasma are
e
:
i
:
ie
12 : 530 : 60 000 s. Their ratios are in rough
accord with their anticipated mass ratio scalings of 1 : (m
i
/m
e
)
1/2
: m
i
/m
e
=
1 : 61 : 3672. Note also that even the electron (shortest) of these collisional time
scales are much much longer (by a factor n
e
3
De
310
6
>> 1) than the
plasma oscillation period 1/
pe
410
6
s.
Implicit in the preceding analysis is the assumption that no other physical
processes operate on the charged particles in the plasma on these character-
istic collision time (
e

ie
10 10
4
s) or length (
e
,
i
>
100 m)
scales. In practice, in most plasmas many other processes (for example, tem-
poral variations, gyromotion in magnetic elds, and spatial inhomogeneities)
vary more rapidly than one or more of these collisional eects and modify or
impede the collisional processes. Such combined collision and geometric eects
will be discussed later, particularly in Part IV: Transport. Note, however, that
even in the limit of very short time scales (compared to
e
) Coulomb collision
eects are not insignicant; as indicated by (2.20), in a time t they diusively
spread the velocity vectors of charged particles in a plasma through a pitch-angle
v
/v (t)
1/2
. This velocity diusion eect is important in smoothing out
sharp gradients in velocity space and leads to collisional boundary layers in
otherwise collisionless plasmas. Thus, Coulomb collisions will often play a
signicant role even in collisionless plasmas. In fact, as we will see in later
chapters, Coulomb collisions provide the fundamental irreversibility (entropy-
producing dissipative mechanisms) in plasmas.
2.6 Collisions with a Moving Background+
The most general Coulomb collision processes are those where a test particle
species (s) collides with an arbitrary background species (s
) of plasma par-
ticles that are in motion, which we now consider. The test particle charge,
mass, position and velocity vectors will be taken to be q
s
, m
s
, x and v while the
corresponding quantities for the background particles will be indicated by the
corresponding primed quantities: q
s
, m
s
, x
and v
. The background particles

will be assumed to have an arbitrary velocity distribution given by f
s
(v
).
The procedure we follow to determine the Coulomb collision processes for
this general case follows that used in the Lorentz collision model except that
now the basic interaction is most conveniently calculated in a center-of-mass (or
really -momentum) frame. To develop the equations of motion in a center-of-
momentum frame, we rst note that the equations of motion of the interacting
test and background particles are given by
m
s
dv
dt
= q
s
E(x) =
q
s
q
s
4
0
x x
[x x
[
3
, (2.50)
DRAFT 20:46
m
s
dv
dt
= q
s
E(x
) =
q
s
q
s
4
0
x
[x
x[
3
. (2.51)
Note that the forces in these equations are equal and opposite because of the
conservative nature of the Coulomb force. Dening the center-of-momentum
position R and velocity U vectors as
R =
m
s
x + m
s
x
m
s
+ m
s
, U =
m
s
v + m
s
v
m
s
+ m
s
, (2.52)
and the corresponding relative position r and velocity u vectors
r = x x
, u = v v
, (2.53)
we nd the equations of motion in (2.50), (2.51) become
dU
dt
= 0, m
ss
du
dt
=
q
s
q
s
r
4
0
[r[
3
, (2.54)
in which m
ss
is dened by
m
ss

m
s
m
s
m
s
+ m
s
, reduced mass. (2.55)

From the rst relation in (2.54) we see that the center-of-momentum velocity
U is constant throughout the collisional interaction of the particles.
The equation describing the force on the relative velocity u v v
in
(2.54) is analogous to that in (2.2) for the Lorentz collision model. Adopting
a coordinate system analogous to that in Fig. 2.3 in which v is replaced by
u [v v
[, we readily nd that the change u in a single Coulomb collision

interaction between a test particle (s) and background particle (s
) is
u
=
1
m
ss
dt
q
s
q
s
r
4
0
r
3
=
2q
s
q
s
4
0
m
ss
bu
(e
x
cos +e
y
sin ) . (2.56)
Since the total energy is constant in the center-of-momentum frame for an elas-
tic Coulomb collision, using a geometry analogous to that in Fig. 2.4, with v
replaced by the relative velocity u, and relations (2.5), (2.6), we obtain
u u =
1
2
u u
1
2
u
= u
=
2q
2
s
q
2
s
4
0
2
m
2
ss
b
2
u
3
.
(2.57)
Next, we want to determine the dynamical friction and diusion coecients
v)
s/s
and v v)
s/s
for test particles s colliding with background particles

s
. To do so we must relate v to the relative u determined above. Utilizing

the momentum conservation relations arising from U = constant in (2.52) with
v v +v, v
+v
and u u+u from before to after the collision,

we nd
v
=
m
s
m
s
v, v =
m
ss
m
s
u. (2.58)
DRAFT 20:46
Then, taking account of the velocity distribution f
s
(v
) of the background par-

ticles, we dene the average vectorial dynamical friction and tensorial velocity
diusion coecients to be
v)
s/s
t

_
d
3
v
f
s
(v
) u
_
d
_
b db
m
ss
m
s
u, (2.59)
v v)
s/s
t

_
d
3
v
f
s
(v
) u
_
d
_
b db
m
2
ss
m
2
s
uu. (2.60)
Using (2.56) and (2.57), the integrations in (2.59) and (2.60) can be per-
formed with a specication of the impact parameter integral in (2.11) general-
ized to a test particle (s) colliding with a moving background (s
) as follows:
ln
ss

_
bmax
bmin
db
b
= ln
_

D
b
min
_
, b
min
= max
_
b
cl
min
, b
qm
min
_
(2.61)
in which
b
cl
min

q
s
q
s
4
0
m
ss
u
2
, b
qm
min
=
h
4m
ss
_
u
2
. (2.62)
The u
2
indicates an average of u
2
over the distribution of background particles;
an appropriate typical value for this quantity is given in (2.113) below. In what
follows we will implicitly assume that ln
ss
is independent of v
so that it can be
brought outside the v
integration in equations (2.59) and (2.60); retaining the

ln inside the v
integration would only yield negligible (additional) corrections

of order 1/ ln to the results we obtain below.
Thus, performing the integrations in (2.59) and (2.60) utilizing the impact
parameter integral in (2.61) and the facts that
u
v
=
u
u
,

v
1
u
=
u
u
3
,

2
u
vv
=
u
2
I uu
u
3
=
1
u
(e
x
e
x
+e
y
e
y
) , (2.63)
for our present velocity space coordinate system we obtain (for an alternate
derivation using the Rutherford dierential scattering cross section see Prob-
lem 2.24):
v)
s/s
t
=
m
s
m
ss
ss
_
d
3
v
f
s
(v
)
u
u
3

ss
H
s
(v)
v
, (2.64)
v v)
s/s
t
=
ss
_
d
3
v
f
s
(v
)
u
2
I uu
u
3

ss
2
G
s
(v)
vv
, (2.65)
in which
ss

4q
2
s
q
2
s
ln
ss
4
0
2
m
2
s
, (2.66)
G
s
(v)
_
d
3
v
f
s
(v
) [v v
[, (2.67)
H
s
(v)
m
s
m
ss
_
d
3
v
f
s
(v
)
[v v
[
=
_
1 +
m
s
m
s
__
d
3
v
f
s
(v
)
[v v
[
. (2.68)
DRAFT 20:46
The G and H functions are formally similar to the electrostatic potential due to
a distributed charge density for which Poissons equation
2
=
q
(x)/
0
has
the solution (x) =
_
d
3
x

q
(x
)/(4
0
[x x
[). They are called Rosenbluth

potentials
9
. Using the facts that
2
v
1
u

_

v

v
_
1
u
= 4 (u) = 4 (v v
), (2.69)
2
v
u =

v

u
v
=

v

_
u
u
_
=
2
u
, (2.70)
the Rosenbluth potentials can be shown to satisfy the relations
2
v
H
s
(v) = 4 (1 + m
s
/m
s
)f
s
(v),
2
v
G
s
(v) = 2 H
s
(v)/(1 + m
s
/m
s
),
2
v
2
v
G
s
(v) = 8f
s
(v).
(2.71)
Note that since the second of these equations shows that H
s
is proportional to
a Laplacian velocity space derivative of G
s
, the Rosenbluth potential G
s
is the
fundamental one from which all needed quantities can be derived.
From the analogy of the rst of the forms in (2.71) to electrostatics and
the denition of v)/t in (2.64) in terms of the Rosenbluth potential H
s
,
we see that the dynamical friction v)/t tries to relax the test particle ve-
locity to the centroid of the velocity distribution of the background particles
f
s
(v) see Problems 2.25 and 2.26. However, the velocity space diusion
v v)/t causes the velocity distribution of the test particles to maintain a
thermal spread comparable to that of the background particles. The dynamical
balance between these two collisional processes on an entire distribution of test
particles determines their collisional distribution function see Chapter 11.
Finally, using (2.63) and vector identities from Appendix D.3, we note that
v

_
u
2
I uu
u
3
_
=
_

v
1
u
_
I
_

v
1
u
3
_
uu
1
u
3
v
uu = 2
u
u
. (2.72)
Thus, we nd that for Coulomb collisions the dynamical friction and velocity
diusion coecients are related by the important relation
v)
s/s
t
=
m
s
2m
ss
v

v v)
s/s
t
=
_
1 + m
s
/m
s
2
_

v

v v)
s/s
t
.
(2.73)
The total collisional eects on a test particle due to Coulomb collisions with
all types of background particles are obtained by simply adding the contributions
from each species of background particles:
v)
s
t
=
v)
s/s
t
,
v v)
s
t
=
v v)
s/s
t
. (2.74)
9
M.N. Rosenbluth, W. MacDonald and D. Judd, Phys. Rev. 107, 1 (1957).
DRAFT 20:46
Note also that the combination of this summation of species eects and, more
importantly, of the fact that the Rosenbluth potentials are integrals over the
background distribution functions, means that the dynamical friction and ve-
locity diusion coecients are not sensitively dependent on detailed features of
f
s
(v). (Recall the analogous weak dependence of an electrostatic potential to
the distribution of charges inside a surface.) Thus, evaluation of the Rosen-
bluth potentials for Maxwellian background distributions will be useful both
in describing test particle collisional processes in Maxwellian plasmas and in
other plasmas of interest where the distribution functions are reasonably close
to Maxwellians.
2.7 Collisions with a Maxwellian Background+
Specic test particle collisional eects due to dynamical friction and velocity
diusion can be worked out in the rest frame of the background particles for an
isotropic Maxwellian velocity distribution of the background particles:
f
Ms
(v) = n
s
_
m
s
2T
s
_
3/2
e
m
s
v
2
/2T
s
=
n
s
e
v
2
/v
2
Ts
3/2
v
3
Ts
. (2.75)
Here, we have dened a typical thermal speed
v
Ts
(2T
s
/m
s
)
1/2
. (2.76)
Note that this speed is not the average speed [see (??) in Appendix A.4] for
a Maxwellian distribution, which is (8T
s
/m
s
)
1/2
; however, it is the most
probable speed [see (??) in Appendix A.4] and it is mathematically convenient.
For a Maxwellian velocity distribution the Rosenbluth potential G
s
(v) de-
ned in (2.67) can be evaluated in a spherical coordinate system in the relative
velocity space u = v v
as follows:
G
s
(v)
_
d
3
v
f
s
(v
) [v v
[ =
_
d
3
u f
s
(u +v) u
=
n
s
3/2
v
3
Ts
_

0
2u
2
du
_
1
1
d(cos ) ue
(v
2
+u
2
+2uv cos )/v
2
Ts
=
n
s
v
2
Ts
v
_

0
u
2
du
v
3
Ts
_
e
(v+u)
2
/v
2
Ts
e
(vu)
2
/v
2
Ts
_
=
n
s
v
Ts
x
1
_
4
x
_

x
dy ye
y
2
2
_

x
0
dy (y
2
+ x)e
y
2
_
=
n
s
v
Ts
x
2
_
2
x
_

x
dy ye
y
2
+
_

x
0
dy y
2
e
y
2
+ x
_

x
0
dy e
y
2
_
(2.77)
in which

x v/v
Ts
. The integrals in the last forms of (2.77) are related
to the error function or probability integral (cf., Problem 2.27), but are most
DRAFT 20:46
conveniently written in terms of
(x)
2
_
x
0
dt
t e
t
, Maxwell integral, (2.78)
which has the properties

d
dx
=
2
xe
x
, +
=
2
_

x
0
dy e
y
2
erf (
x). (2.79)
Physically, the Maxwell integral is the normalized integral of a Maxwellian ve-
locity distribution out to a sphere of radius v. Utilizing these denitions, we
nd that the Rosenbluth potential G
s
(v) for a Maxwellian distribution of back-
ground particles can be written as
G
s
(v) = n
s
v
Ts
x
[(x + 1)
(x) + (x + 1/2)(x)] , (2.80)

in which
x x
s/s
=
m
s
v
2
2 T
s
=
v
2
v
2
Ts
, relative speed parameter. (2.81)

The important parameter x
s/s
is the square of the ratio of the test particle

speed to the thermal speed of the background particles of species s
.
Thus, for an isotropic Maxwellian velocity distribution of background parti-
cles the Rosenbluth potential G
s
(v)=G
s
(v); that is, it depends only on the test
particle speed v, not its velocity v. Then, as can be shown from (2.65), v v)
is a diagonal tensor with elements v
2
x
) = v
2
y
) = v
2
)/2 and v
2
). Fur-
ther, it can be shown that v) is in the e
z
or v direction. [These properties
are valid for any distribution function for which the Rosenbluth potential G
s
depends only on the test particle speed v.] Substituting the Rosenbluth poten-
tial in (2.80) into (2.64) and (2.65), and utilizing (2.71) or (2.73), we nd that
the relevant dynamical friction and velocity diusion coecients are given by
v
)
s/s
t
=
ss
m
s
2m
ss
v
_
1
v
2
v
_
v
2
G
s
v
__
=
_
m
s
m
ss
(x)
_
s/s
0
v, (2.82)
v
2
)
s/s
t
=
ss
2
v
G
s
v
= 2
_
(x)
_
1
1
2x
_
+
(x)
_
s/s
0
v
2
, (2.83)
v
2
)
s/s
t
=
ss
2
G
s
v
2
=
_
(x)
x
_
s/s
0
v
2
. (2.84)
Note that in contrast to the Lorentz collision model, we now nd v
2
) ,= 0
because the background particles are of nite mass and in motion, and hence
can exchange energy with the test particle during a Coulomb collision. The net
rate of change of the test particle energy, which is given by (m/2)v
2
)/t
DRAFT 20:46
(m/2)(v +v) (v +v) v
2
)/t, can be determined from these coecients
as well:
v
2
)
s/s
t
= 2v
v
)
s/s
t
+
v
2
)
s/s
t
+
v
2
)
s/s
t
= 2 [(m
s
/m
s
)(x)
(x)]
s/s
0
v
2
. (2.85)
The fundamental collision frequency for all these processes is
s/s
0
(v)
n
s

ss
v
3
=
4 n
s
q
2
s
q
2
s
4
0
2
m
2
s
v
3
ln
ss
, reference collision frequency,
(6.610
11
s
1
)
n
s
Z
2
s
Z
2
s
(m
s
/m
e
)
1/2
(E
s
/eV)
3/2
_
ln
ss
17
_
, (2.86)
which is a straightforward generalization of the collision frequency (v) derived
for the Lorentz collision model in (2.14):
e/i
0
= (v) =
e
(3
/4)v
3
Te
/v
3
.
These dynamical friction and velocity diusion coecients can be used to
elucidate the rates at which the various Coulomb collision processes aect the
test particle velocity. Thus, we dene the rates for momentum loss or slowing
down (
S
), perpendicular diusion (
), parallel or speed diusion (
) and
energy loss (
) resulting from collisions of a test particle s on a Maxwellian

velocity distribution of background particles s
as follows:
10
d
dt
(m
s
v) =
s/s
S
m
s
v m
s
v)
s/s
t
, momentum loss,
d
dt
[v v[
2
=
s/s
v
2
v
2
)
s/s
t
, perpendicular diusion,
d
dt
[v v[
2
=
s/s
v
2
v
2
)
s/s
t
, parallel diusion,
d
dt

s
=
s/s

s

m
s
2
v
2
)
s/s
t
, energy loss.
(2.87)
Here, m
s
v is the test particle momentum, v is its average velocity [see (2.97) and
(2.104) below for a detailed specication of v], [vv[
2
and [vv[
2
indicate the
diusional spread of the test particle velocity in directions perpendicular and
parallel to its direction of motion, and
s
m
s
v
2
/2 is the test particle energy.
From the denitions in (2.85) through (2.87) we see that
is not an inde-
pendent quantity:
= 2
S
. (2.88)
10
For an alternative representation of these various collisional processes using the notation
and functions Chandrasekhar introduced for stellar collisions see Problem 2.27.
DRAFT 20:46
Figure 2.7: Coulomb collisional eects on the velocity of a test particle: mo-
mentum loss or slowing down (
S
), angular or perpendicular (
) and speed
or parallel (
) diusion of the original test particle velocity. The contours

shown are lines of e
1
0.37 probability (see Section 2.10) at the short times
(t
1
, t
2
, t
3
) = (0.002, 0.02, 0.2)/
for an energetic electron (m

e
v
2
/2T
e
= 10) in
an electron-proton plasma for which
1/40,
1/2.
From (2.82)(2.88), we nd the relevant frequencies for collisions of a test par-
ticle (species s) with a Maxwellian background (species s
) are
s/s
S
=
__
1 +
m
s
m
s
s/s
0
, momentum loss, slowing down (2.89)
s/s
= 2
_
+

2x
_
s/s
0
, perpendicular, pitch-angle diusion, (2.90)
s/s
=
_
x
_
s/s
0
, parallel, speed diusion, (2.91)
s/s
= 2
_
m
s
m
s
s/s
0
= 2
s/s
S

s/s

s/s
, energy loss. (2.92)

The total eects due to a test particles collisions will all species of background
particles are obtained by summing over s
as indicated in (2.74); for example,
s
S

s

s/s
S
. The overall eects of Coulomb collisions in slowing down and
diusing the test particle velocity are indicated schematically in Fig. 2.7.
Equations (2.81)(2.92) provide a very complete and useful description of
the evolution of the velocity of a test particle of species s suering Coulomb
collisions with Maxwellian background particles s
see Problems 2.282.33

DRAFT 20:46
for some illustrative applications of them. In addition, as discussed in the next
section, they can be used to develop a Monte Carlo scattering operator for
numerical studies of the eects of Coulomb collisions on the velocity of a test
particle. Finally, as we did for the Lorentz collision model [cf., (2.22), (2.23)],
we write the dynamical friction and velocity diusion coecients for Coulomb
collisions of test particles of species s with a species s
of Maxwellian background
particles in coordinate-independent vectorial forms:
v)
s/s
t
=
s/s
S
v, dynamical friction, (2.93)
v v)
s/s
t
=
1
2

s/s
(v
2
I vv) +
s/s
vv, velocity diusion. (2.94)

2.8 Evolution of Test Particle Velocity+
To further illustrate the Coulomb collision eects, we examine the collisional
evolution of the velocity of a test particle for short times where the velocity
changes are small. The test particle will be assumed to be colliding with a
plasma whose components have Maxwellian distributions. Thus, the results of
the previous section will be applicable.
A test particle of species s will be taken to have an initial velocity v
0
in the
e
z
or parallel direction (cf., Figs. 2.4 and 2.7). Integrating the rst equation
of (2.87) over a short time t >> t (for validity of the dynamical friction and
velocity diusion coecients), we nd that the mean parallel or e
z
component
of the test particle velocity after a time t is
v
= v
0
(1
S
t),
S
=
s
S

s/s
S
(v
0
). (2.95)
This result is valid for
S
t << 1 and indicates the monotonic decrease in test
particle momentum due to Coulomb collisons. Similarly, the test particle energy
after a short time t can be obtained directly by integrating the last equation of
(2.87) over time:
1
2
mv
2
=
1
2
mv
2
0
(1
t),
=
s
s/s
(v
0
). (2.96)
Thus, the average test particle speed v, which will be used below, is dened by
v
_
v
2
v
0
(1
t/2). (2.97)
Similar to (2.95), these formulas are only valid for
t << 1.
The angular (perpendicular) velocity and speed (parallel) diusion processes
in velocity space indicated by
and
have to be treated dierently. Because

these Coulomb collision eects are random in character and diusive, they lead
to a Gaussian probability distribution P(vv) of the velocity about the average
DRAFT 20:46
(slowing down) test particle speed v. Since the diusion results from purely
random processes, we can anticipate (and will derive in Chapter 11) that this
probability distribution will be Gaussian and of the form:
P(v v) =
1
2 v
2
_
e
2
/2
2
__
e
(vv)
2
/2
2
_
. (2.98)
Here,
2
[arcsin
1
(v
/v
0
)]
2
(v
2
x
+ v
2
y
)/v
2
0
and v is dened in (2.97). Note
that since in the limit
0 the last term in braces becomes (v v) [see (??)

and (??) in Appendix B.2], this probability distribution reduces to the short
time Lorentz model test particle distribution given in (2.21) for
t.
Taking velocity-space averages of various quantities A(v) over this probabil-
ity distribution [ A
_
0
2v
2
dv
_
0
sin d P(v v) A(v)], we nd that while
the average of the diusive deections vanish [v
x
= v
y
= 0, v
= 0], the
diusive spreads in the perpendicular and parallel (to v
0
) directions are
v
2
v
2
v
2
= v
2
x
+ v
2
y
= 2
2
v
2
0
, (v
)
2
=
2
. (2.99)
To determine the probability variances
and
for the diusive Coulomb

collisional processes, we integrate the middle two equations in (2.87) over a short
time t, and obtain (keeping only rst order terms in t << 1)
v
2
= (
t) v
2
0
,
=
s
s/s
(v
0
), (2.100)
(v
)
2
= (
t) v
2
0
,
=
s
s/s
(v
0
). (2.101)
Comparing (2.99), (2.100) and (2.101), we see that for Coulomb collisions
=
_
t/2,
=
_
t v
0
. (2.102)
The relative collisional spreads (half-widths in velocity space to points where
the probability distribution drops to e
1/2
0.61 of its peak value) of the test
particle velocity in the directions perpendicular and parallel (i.e., for speed or
energy diusion) relative to its initial velocity v
0
are given by
v
/v
0

=
_
t/2, v/v
0

/v
0
=
_
t. (2.103)
Note that in comparing the perpendicular diusion factor in (2.98) for which
=
_
t/2 with the perpendicular diusion in the Lorentz model as given in

(2.21), we need to realize that
= 2 and hence that
t for the Lorentz

collision model. These formulas indicate that, even for very high temperature
plasmas with n
3
D
>> 1 where the Coulomb collision rates are very slow, only
a short time is required to diuse the test particle velocity through a small
[v[ << [v
0
[. For example, as indicated in (2.20), the time required to diuse a
particles velocity through a small angle v
/v
0
<< 1 is only t 2
2
/
<<
1/
[or, t
2
/ << 1/ for the Lorentz collision model]. Thus, because of the
DRAFT 20:46
diusive nature of Coulomb collisions, it takes much less time to scatter through
an angle << 1 in velocity space than it does to scatter through 90
( 1).
The various diusive collisional eects are illustrated in Fig. 2.7. There, the
contours shown indicate where the probability distribution P in (2.98) is equal
to e
1
0.37 of its peak value for
t = 0.002, 0.02, 0.2, for a typical set of test

particle parameters.
The change in the average energy mv
2
/2 can also be obtained using (2.95),
(2.99) and (2.102). This procedure yields, correct to rst order in t << 1,
1
2
mv
2
=
1
2
m
_
v
2
+ v
2
_
=
1
2
m
_
v
2
+ 2(v
)v
+ (v
)
2
+ v
2
1
2
m[v
2
0
(1 2
S
t) +
2
+ 2
2
] =
1
2
mv
2
0
[1 (2
S

)t].
This result is the same as (2.96) because of the relation between the various
collisional processes given in (2.88).
The formulas developed in this section also provide a basis for a probablistic
(Monte Carlo) numerical approach for inclusion of Coulomb collision eects in
other plasma processes such as single particle trajectories. Thus far we have
found that after a short time t a test particles velocity and speed decrease
according to (2.95) and (2.97). However, the test particle also acquires a diusive
spread in the perpendicular and parallel directions as given by (2.98) with the
spreads (variances) dened in (2.102). Further, the velocity space latitudinal
angle [cf., (2.1)] is completely randomized by successive individual Coulomb
collisions for time scales t >> t. Hence, dening a random variable
to be evenly distributed between 0 and 1, and independent random variables
1
,
2
sampled from a normal probability distribution [i.e., Gaussian such as
indicated in the
part of (2.98)] with zero mean and a mean square of unity

(i.e.,
1
=
2
= 0 but
2
1
=
2
2
= 1), we nd that the total velocity vector v after
a short time t (t << 1) can be written as
v = v
0
(1
t/2)
_
e
z
( 1 +
1
_
t ) +[
2
[
_
t/2 (e
x
cos 2 +e
y
sin 2)
_
.
(2.104)
In the Lorentz collision model where
= 0 and
= 0, this result simpies to

v = v
0
_
e
z
+[
2
[
_
t/2 (e
x
cos 2 +e
y
sin 2)
_
, Lorentz collision model.
(2.105)
Either of these forms can be used to develop a Monte Carlo algorithm for ad-
vancing the test particle velocity v taking into account the Coulomb collision
dynamical friction and velocity space diusion eects.
Since (2.104) implies a change in the velocity of the test particle, in or-
der to preserve the momentum and energy conserving properties of the elastic
Coulomb collision process, the velocity of the background particles must also
change, at least on average. Hence, in order to develop a complete Monte Carlo-
based Coulomb collision operator we should consider simultaneously both a test
DRAFT 20:46
and a background particle. Then, the change in velocity v v v
0
for the
test particle is determined from (2.104), and that for the background particle is
given by v
= (m
s
/m
s
)v see (2.58).
2.9 Test Particle Collision Rates+
We now consider the various Coulomb collision eects on typical electrons and
ions in a plasma. For simplicity the plasma will be assumed to be composed of
electrons and only one species of ions with charge q
i
= Z
i
e, and to have equal
electron and ion temperatures, with both species of particles having Maxwellian
velocity distributions. Thus, the formulas derived in the Section 2.7 will apply.
For illustrative purposes we consider collisional eects on a test electron
and a test ion in the plasma, each having speeds equal to the thermal or most
probable speeds for their respective species:
v
e
= v
Te
, v
i
= v
Ti
. (2.106)
Then, the reference collision frequencies
s/s
0
for electron-ion (e/i), electron-
electron (e/e), ion-ion (i/i) and ion-electron (i/e) collisions are simply related:
e/i
0
= Z
i
e/e
0
,
i/i
0
= Z
2
i
_
m
e
/m
i

e/i
0
,
i/e
0
= Z
i
_
m
e
/m
i

e/i
0
, (2.107)
in which we have neglected the small dierences in ln
ss
for diering s and
s
and made use of the quasineutrality condition n

e
= n
i
Z
i
. Further, since
the ratio of ion to electron mass is very large (1836 for protons), we nd that
the relative speed parameters x
s/s
dened in (2.81) for the various collisional

processes are given by
x
e/i
=
m
i
m
e
>> 1, x
e/e
= 1, x
i/i
= 1, x
i/e
=
m
e
m
i
<< 1. (2.108)
Thus, we will need both small and large argument expansions of the Maxwell
integral (x) and its derivative
(x), as well as evaluation of them at the

particular value of unity.
The behavior of (x) and other functions of interest are sketched in Fig. 2.8.
For x = 1, we have = 0.4276,
= 0.4151 and +
/2x = 0.6289. Small

and large argument expansions of interest in evaluating
S
,
, and
are:
x << 1
(x) (4 x
3/2
/ 3
)(1 3x/5 + 3x
2
/14 ),
= (2
xe
x
/
) (2 x
1/2
/
)(1 x + x
2
/2 ),
+
/2x (4 x
1/2
/ 3
)(1 x/5 + 3x
2
/70 ),
(2.109)
DRAFT 20:46
Figure 2.8: Maxwell integral (x) and related functions.
x >> 1
(x) 1 (2
xe
x
/
)(1 + 1/2x 1/4x

2
+ ),
(x) = 2
xe
x
/
,
+
/2x 1 1/2x + (e
x
/
x
3/2
)(1 1/x + ).
(2.110)
Using only the lowest order of these approximations in (2.89)(2.92), we nd
the relationships between various collisional processes listed in Table 2.1. The
rates are all referred to the electron-ion collision frequency
e/i
0
, which is the
same as the Lorentz collision frequency in (2.14). The
e/i
S
and
e/i
components
of the rst (e/i) column are the same as those given by the Lorentz collision
model [cf., (2.13) and (2.19)]. All the other electron processes indicated in the
table arise from the nite mass ratio between the electrons and ions, and the fact
that the background particles are in motion. Note that in this general collision
model the electron-ion parallel (speed) diusion (
e/i
) and energy loss (

e/i
)
are of order m
e
/m
i
<< 1 compared to the Lorentz collision model processes
because of the ineciency of energy transfer in collisions of particles with very
disparate masses.
From Table 2.1 we see that the various collisional processes naturally split
into three groups of rates:
e/i
0
, Z
2
i
_
m
e
/m
i
e/i
0
, and Z
i
(m
e
/m
i
)
e/i
0
. The
fastest of these rates is the Lorentz collision rate; however, all the electron-
electron collisional processes also occur at roughly the same rate and so should
also be taken into account in investigations of electron collisional processes. (The
electron-electron collision processes are small in a plasma where the ions all have
high charge states Z
i
>> 1 since then
e/i
0
= Z
i
e/e
0
>>
e/e
0
.) Physically, on
this fastest time scale of 1/
e/i
0
, electron momentum is relaxed by collisions
DRAFT 20:46
Table 2.1: Relative Coulomb collision rates for thermal speed test electrons and
ions with charge Z
i
in a Maxwellian plasma with T
e
= T
i
.
e/i e/e i/i i/e
slowing
down
s/s
S
/
e/i
0
1
0.86
Z
i
0.86Z
2
i
_
m
e
m
i
0.75Z
i
m
e
m
i
perpendicular
diusion
s/s
/
e/i
0
2
1.26
Z
i
1.26Z
2
i
_
m
e
m
i
1.50Z
i
m
e
m
i
speed
diusion
s/s
/
e/i
0
m
e
m
i
0.43
Z
i
0.43Z
2
i
_
m
e
m
i
0.75Z
i
m
e
m
i
energy
loss
s/s
/
e/i
0
2
m
e
m
i
0.03
Z
i
0.03Z
2
i
_
m
e
m
i
0.75Z
i
m
e
m
i
on both electrons and ions, and the electrons relax within themselves through
all the processes. The electron-electron collisions relax the electrons toward a
Maxwellian distribution (see Chapter 11). On the next lower rate or longer
time scale by a factor of order
_
m
i
/m
e
>
43 >> 1 ion-ion collisions

relax the ions toward a Maxwellian distribution. Finally, on the longest time
scale, which is a factor of about m
i
/m
e
>
1836 >> 1 slower than 1/

e/i
0
, there
is energy transfer between the electrons and ions, and ion momentum loss to the
electrons. [The energy loss rate
i/e
is negative here because we are evaluating

it for a test particle whose energy mv
2
/2 = T is less than the average particle
energy in the plasma, mv
2
/2 = 3 T/2 see (??) in Appendix A.4].
2.10 Plasma Collision Rates+
Next, we consider the overall collisional relaxtion rates for the entire electron and
ion species of charged particles in a plasma. First, we consider the temperature
equilibration rate for a Maxwellian distribution of test particles of species s
colliding with a Maxwellian distribution of background particles s
. Multiplying
the test particle energy loss equation dened in the last line of (2.87) by an
isotropic Maxwellian velocity distribution of test particles s in the form given
in (2.75) and using the rst property of given in (2.79) to integrate the
contribution to the
s/s
dened in (2.92) by parts once, we nd

3
2
n
s
dT
s
dt
=
s/s
n
s
(T
s
T
s
), (2.111)
where
DRAFT 20:46
n
s

s/s
= n
s
m
s
m
s
_
4

s/s
0
(v
Tss
)
_
= n
s

s
/s
=
4
4 n
s
n
s
q
2
s
q
2
s
ln
ss
4
0
2
m
s
m
s
v
3
Tss
,
(2.112)
is the average energy density exchange rate between the species. Here,
v
Tss
[2(T
s
/m
s
+ T
s
/m
s
)]
1/2
=
_
v
2
Ts
+ v
2
Ts
(2.113)
is the appropriate mean thermal velocity for a combination of test and back-
ground particles, both with Maxwellian distributions. From the equality of
n
s

s/s
and n
s

s
/s
, it is obvious that
n
s
dT
s
dt
= n
s
dT
s
dt
, (2.114)
as required by energy conservation energy lost from the test particle species is
gained by the (dissimilar) background species with which it suers Coulomb col-
lisions. For a couple of applications of these temperature equilibration formulas
see Problems 2.35 and 2.36.
For typical electron-ion plasmas where m
e
<< m
i
and T
e
is not too dierent
from T
i
so that T
e
/m
e
>> T
i
/m
i
(v
Te
>> v
Ti
), (2.111) becomes [cf., (2.38)]
3
2
n
e
dT
e
dt
=
e/i
n
e
(T
e
T
i
) = 3
m
e
m
i
n
e
e
(T
e
T
i
) Q
i
. (2.115)
In the next to last expression we have used the fundamental
e
dened in (2.17).
The relevant formula for the electron-ion energy transfer rate
e/i
in a plasma
with impurities (see Problem 2.39) was given previously in (2.48) and (2.49).
Finally, we calculate the momentum relaxation rate for two Maxwellian dis-
tributions of particles that are drifting (owing) slowly relative to each other
with velocity V V
s
V
s
, assuming [V[ << v
Tss
. In the rest frame of the
background particles (s
), the drifting test particle (s) distribution function can

be written as in (2.15):
f
s
(v) = n
s
_
m
s
2T
s
_
3/2
exp
_
m
s
[v V[
2
2T
s
_
n
s
e
v
2
/v
2
Ts
3/2
v
3
Ts
_
1 +
2 v V
v
2
Ts
+
_
. (2.116)
Multiplying the momentum loss rate formula in the rst line of (2.87) by this
distribution function and integrating over velocity space, again integrating once
by parts and using the rst relation in (2.79), we nd
m
s
n
s
dV
s
dt
=
s/s
S
m
s
n
s
(V
s
V
s
), (2.117)
where
DRAFT 20:46
m
s
n
s

s/s
S
= m
s
n
s
_
4
3
m
s
m
ss
s/s
0
(v
Tss
)
_
=
4
3
4 n
s
n
s
q
2
s
q
2
s
ln
ss
4
0
2
m
ss
v
3
Tss
(2.118)
is the average momentum density exchange rate between the s and s
species of
particles, and v
Tss
is the average thermal velocity dened in (2.113). From the
symmetric form of m
s
n
s

s/s
S
in terms of the species labels s and s
, it is clear
that the momentum lost from the s species is gained by the s
species and thus

momentum is conserved in the Coulomb collisional interactions between the two
species of particles: m
s
n
s
dV
s
/dt = m
s
n
s
dV
s
/dt.
Specializing again to an electron-ion plasma and assuming as usual that
v
Te
>> v
Ti
, we nd that (2.117) and (2.118) reduce to [cf., (2.34)]
m
e
n
e
dV
e
dt
= m
e
n
e
e
(V
e
V
i
) R
e
, (2.119)
where
e
=
e/i
S
=
4
3

e/i
0
(v
Te
) =
4
2 n
e
Z
i
e
4
ln
4
0
2
3 m
1/2
e
T
3/2
e
e
. (2.120)
This electron momentum relaxation rate is the same as that obtained in (2.17)
for the Lorentz collision model and shows that the fundamental Maxwellian-
averaged electron-ion collision frequency
e
is in fact
e/i
S
. Electron-electron
collisions do not contribute to the momentum relaxation process because they
are momentum conserving for the electron species as a whole. Note also that
the collisional momentum relaxation process acts on the dierence between the
electron and ion ow velocities. Thus, the net eect of Coulomb collisions is to
relax the electron ow to the ion ow velocity. Finally, the relevant formula for
the electron-ion collisional slowing down rate
e/i
S
in a plasma with impurities
is just
e
= Z
e

e/Zi=1
S
[see (2.44) and Problem 2.37].
For the slightly ctitious case of two ion species with charge q
i
= Z
i
e that
have equal temperatures but are drifting relative to each other with velocity V,
the ion momentum relaxation rate is given by
m
i
n
i
dV
dt
= m
i
n
i
i
V, (2.121)
where [cf., (2.36)]
i
=
i/i
S
=
4
n
i
Z
4
i
e
4
ln
4
0
2
3 m
1/2
i
T
3/2
i
i
. (2.122)
As can be anticipated from the
i/i
S
entry in Table 2.1, this momentum relaxation
rate is a factor of order Z
2
i
_
m
e
/m
i
slower than that for electrons. Also, the
ion-electron collisional eects due to
i/e
S
have been neglected in the average ion
momentum loss rate because they are a factor of order
_
m
e
/m
i
smaller than
the ion-ion collisional eects. The numerical factor in (2.122) is
2 smaller than
DRAFT 20:46
that in (2.120) because of the rest mass and average thermal velocity factors
for this equal mass case. Finally, the relevant formula for the ion-ion collisional
slowing down rate
i/i
S
in a plasma with impurities (see Problem 2.38) was
given in (2.45).
2.11 Fast Ion Thermalization+
In attempting to heat plasmas one often introduces fast ions (through ab-
sorption of energetic neutrals, from radiofrequency wave heating, or directly as
energetic charged fusion products such as particles), which have speeds in-
termediate between the ion and electron thermal speeds. These fast ions heat
the plasma by transferring their energy to the background plasma electrons and
ions during the Coulomb collision slowing down process. This collisional fast
ion slowing down and energy transfer process will now be considered in detail.
For simplicity we consider an electron-hydrogenic (proton, deuteron or triton
m
i
= 1, 2 or 3 but Z
i
= 1) background plasma in which both species have
a Maxwellian velocity distribution. The electron and ion temperatures will be
assumed to be unequal, but comparable in magnitude. The fast or test ion
will be allowed to have a mass (m
f
) and charge (q
f
= Z
f
e) dierent from
the background ions. Because the fast ion speed is intermediate between the
electron and ion thermal speeds, the relative speed parameters in (2.81) for the
fast ion-ion (f/i) and fast ion-electron (f/e) collisions are given by
x
f/i
=
m
i
v
2
2T
i
=
v
2
v
2
Ti
>> 1, x
f/e
=
m
e
v
2
2T
e
=
v
2
v
2
Te
<< 1, (2.123)
in which v is the fast ion speed. From (2.86) we see that the reference collision
frequencies
f/s
0
are equal for the electron-hydrogenic ion background plasma:
f/i
0
=
f/e
0
. (2.124)
Using the approximations (2.123) in (2.109) and (2.110), we nd that the
fast ion transfers energy to the plasma electrons and ions at the rates dened
in (2.92), which are given to lowest signicant order by
f/i
2
m
f
m
i
f/i
0
, (2.125)
f/e
2
m
f
m
e
4 (x
f/e
)
3/2
3

f/e
0
= 2
m
f
m
e
4
3
v
3
v
3
Te
f/e
0
. (2.126)
From the denition of
f/s
0
in (2.86) we see that it depends on v
3
. Thus,
f/i
also depends on v
3
. However,
f/e
is independent of the fast ion speed v

because the appropriate relative speed for fast ion-electron collisions when the
fast ion speed v is slower than v
Te
is the electron thermal speed.
Adding together the fast ion energy losses via collisions with background
plasma ions and electrons, the total fast ion energy loss rate becomes
DRAFT 20:46
d
dt
=
_
f/e
+
f/i
_
, (2.127)
in which
= m
f
v
2
/2 (2.128)
is the instantaneous fast ion energy. Since
f/e
is independent of the fast ion

energy, it is convenient to dene a characteristic fast ion slowing down time in
terms of it:
S

2
f/e
f/e
S
=
m
f
m
e
4
0
2
3 m
1/2
e
T
3/2
e
(4
2) n
e
Z
2
f
e
4
ln
=
_
m
f
m
e
_
1
e
, (2.129)
fast ion slowing down time. (2.130)
Here, the approximate equality to 1/
f/e
S
follows because for m
f
/m
e
>> 1 the
fast ions are not signicantly scattered by the electrons; thus, they lose energy
to the plasma electrons at twice the rate they lose momentum to them.
The rate of transfer of fast ion energy to plasma ions can be referenced to
the transfer rate to the electrons in terms of a critical energy
c
m
f
v
2
c
/2 as
follows:
f/i
f/e
=
_
_
3/2
=
v
3
c
v
3
, (2.131)
where
c

m
f
v
2
c
2
= T
e
_
3
4
_
m
f
m
e
m
f
m
i
_
2/3
15 T
e
_
m
f
m
1/3
p
m
2/3
i
_
(2.132)
in which m
p
is the proton mass. (For the appropriate modications when mul-
tiple species of ions are present, see Problems 2.40 and 2.50.) In terms of this
critical energy, (2.127) can be written as
d
dt
=
2
S
_
1 +
_
_
3/2
_
. (2.133)
The fast ion energy transfer rates as a function of energy are illustrated in Fig.
2.9. For fast ion energies greater than
c
the energy transfer is primarily to
electrons, while for <
c
it is primarily to ions.
Since (2.133) applies for all fast ion speeds between the electron and ion
thermal speeds, it will be valid for all fast ion energies during the thermalization
process. Thus, its solution will give the fast ion energy as a function of time as it
transfers its energy to the background plasma. To solve (2.133) it is convenient
to convert it to an equation for the fast ion speed v
_
2 /m
f
, for which it
becomes
dv
dt
=
v
S
_
1 +
v
3
c
v
3
_
, (2.134)
DRAFT 20:46
Figure 2.9: Fast ion energy transfer rate versus energy . The energy transfer
is primarily to electrons for >
c
, but to ions for <
c
.
v
c

2
c
m
f
=
_
3
4
m
e
m
i
_
1/3
v
Te
. (2.135)
Multiplying (2.134) by v
2
and integrating over time from t = 0 where the initial
fast ion speed will be taken to be v
0
to the current time t where it has speed v
(assumed > v
Ti
), we obtain
t =

S
3
ln
_
v
3
0
+ v
3
c
v
3
+ v
3
c
_
, (2.136)
or
v
3
(t) = (v
3
0
+ v
3
c
) e
3t/
S
v
3
c
. (2.137)
The fast ion energy (t) = m
f
v
2
(t)/2 during the slowing down process can be
readily obtained from this last result.
The decay of the fast ion energy with time is illustrated in Fig. 2.10. Note
that for initial energies much greater than the critical energy
c
the fast ion
energy decays exponentially in time at a rate 2/
S
=
f/e
due to collisions with

electrons, as is apparent from (2.133). However, when the fast ion energy drops
below
c
the energy transfer is predominantly to the ions and the fast ion energy
decays much faster than exponentially. The total lifetime for thermalization
(i.e., to v v
Ti
<< v
c
) of the fast ion into the background plasma ions is
f
(
S
/3) ln [1 + (
0
/
c
)
3/2
] = (
S
/3) ln [1 + v
3
0
/v
3
c
]. (2.138)
A couple of applications of these fast ion slowing down eects and formulas are
developed in Problems 2.41 and 2.42.
DRAFT 20:46
E/E
c
t/
s
0 0.5 1
.1
.3
1
3
10
Figure 2.10: Decay of fast ion energy versus time during thermalization into
a background plasma for various initial ratios of to the critical energy
c
.
Next, we calculate the fraction of the fast ion energy transferred to the
background plasma electrons and ions over the entire fast ion slowing down
process. Since in many plasma situations the fast ions are also susceptible to
other, direct loss processes such as charge-exchange, we introduce a probability
exp(t/
cx
) that the fast ion will remain in the plasma for a time t against
charge-exchange losses at rate 1/
cx
. Then, the fraction G
e
of the total fast
ion energy
0
m
f
v
2
0
/2 transferred to the electrons during the thermalization
process is given by
G
e

1
0
_

f
0
dt
_
d
dt
_

f/e
e
t/cx
f/e
+
f/i
=
2
v
2
0
_
v0
0
v
3
v dv
v
3
+ v
3
c
_
v
3
+ v
3
c
v
3
0
+ v
3
c
_
S
/3cx
. (2.139)
Similarly, the fraction G
i
of fast ion energy transferred to the ions is (for the
simpler case where
cx
, see also the form given in Problem 2.43)
G
i

1
0
_

f
0
dt
_
d
dt
_

f/i
e
t/cx
f/e
+
f/i
=
2
v
2
0
_
v0
0
v
3
c
v dv
v
3
+ v
3
c
_
v
3
+ v
3
c
v
3
0
+ v
3
c
_
S
/3cx
. (2.140)
The fraction of fast ion energy lost due to charge-exchange is 1 G
i
G
e
.
However, a portion of this energy may be absorbed in the plasma if some of the
fast neutrals produced by charge-exchange are reabsorbed before they leave the
plasma.
The fractions G
e
, G
i
of fast ion energy transferred to plasma electrons and
ions during the thermalization process as a function of
0
/
c
is illustrated in
Fig. 2.11. Note that the integrated fractions G
i
, G
e
become equal for
0
<
2
c
,
which is signicantly larger than the value of
0

c
where the instantaneous
energy transfer rates are equal recall Fig. 2.9. Also, charge-exchange losses
become signicant for
S
/
cx
>
1, and can greatly diminish the fast ion energy

DRAFT 20:46
0.1 0.2 0.5 1 2 5 10
0
0.2
0.4
0.6
0.8
1
0
1
3
10
0
1
3
10
cx
____
=
electrons
ions
E
o
/E
c
G
i
,G
e
Figure 2.11: Fraction of the fast ion energy
0
transferred to background plasma
electrons (G
e
) and ions (G
i
) as a function of the ratio of the initial energy
0
to the critical energy
c
. The variation with
S
/
cx
indicates the inuence of
direct fast ion losses (at rate 1/
cx
) during the thermalization process.
transfer to the plasma for
S
/
cx
>> 1. For some typical applications of fast
ion slowing down and energy transfer processes and their eects on plasmas,
see Problems 2.442.47. One key result for fusion experiments is that for 3.52
keV alpha particles slowing down in a T
e
10 keV deuterium-tritium plasma
for which
c
330 keV we obtain
0
/
c
10 and hence (from Fig. 2.11) the
alpha particle deposits over 80% of its energy in the plasma electrons.
In addition to energy loss, the fast ions experience perpendicular and parallel
diusion in velocity space during their thermalization. The relative importance
of the various Coulomb collision processes on the fast ion for the conditions
given in (2.123) are indicated in Table 2.2. From this table we see that for
>>
c
the momentum and energy losses by the fast ions to the electrons
are the dominant processes because then the velocity space diusion eects
indicated by
are small. However, for <

c
the fast ions lose energy
primarily to the background ions and their perpendicular or angular diusion
rate in velocity space becomes equal to their energy loss rate. For some typical
applications of fast ion scattering processes and their eects on plasmas, see
Problems 2.482.50.
The energy or speed diusion process indicated by
is negligible until the

fast ion energy is reduced to approximately the ion temperature in the back-
ground plasma. Since the energy diusion process is thus negligible during the
fast ion thermalization process, and the perpendicular diusion has no eect
on the energy transfer rates, our characterization of the fast ion slowing down
process as one of a monotonic decrease in the fast ion energy is a reasonably
accurate one. A kinetic description that allows for pitch-angle () scattering
along with the fast ion energy loss process is developed in Section 11.4.
DRAFT 20:46
Table 2.2: Relative Coulomb collision rates for fast ions with v
Ti
<< v << v
Te
slowing down in a plasma with Maxwellian electrons and ions (
c
15 T
e
).
f/i f/e
slowing
down
f/s
S
/
f/e
0
_
1 +
m
f
m
i
_
m
f
m
e
4
3
_
v
v
Te
_
3
=
_

c
_
3/2
perpendicular
diusion
f/s
/
f/e
0
2
8
3
_
v
v
Te
_
<< 1
speed
diusion
f/s
/
f/e
0
T
i
m
f
v
2
/2
<< 1
4
3
_
v
v
Te
_
<< 1
energy
loss
f/s
/
f/e
0
2
m
f
m
i
m
f
m
e
8
3
_
v
v
Te
_
3
= 2
_

c
_
3/2
The basic Coulomb collision processes were rst worked out in the analogous con-
text (see Problem 2.9) of the gravitational interaction of stars:
Chandrasekhar, Principles of Stellar Dynamics (1942).
S. Chandrasekhar, Rev. Mod. Phys. 15, 1 (1943).
A comprehensive application to Coulomb collisions in a plasma was rst presented in
Spitzer, Physics of Fully Ionized Gases (1962).
The most general development of the dynamical friction and velocity diusion coe-
cients for a plasma in terms of the Rosenbluth potentials originated in the paper
M.N. Rosenbluth, W. MacDonald and D. Judd, Phys. Rev. 107, 1 (1957).
The most comprehensive treatments of the Coulomb collision eects on test particles
in a plasma are found in
B.A. Trubnikov, Particle Interactions in a Fully Ionized Plasma, in Reviews of
Plasma Physics, M.A. Leontovich, ed. (Consultants Bureau, New York, 1965),
Vol. I, p. 105.
D.V. Sivukhin, Coulomb Collisions in a Fully Ionized Plasma, in Reviews of
Plasma Physics, M.A. Leontovich, ed. (Consultants Bureau, New York, 1966),
Vol. IV, p. 93.
A brief, but very useful summary of the important Coulomb collision formulas in this
chapter is given in
Book, NRL Plasma Formulary (1990), p. 31.
A book devoted almost entirely to the subject of Coulomb collision eects in a plasma
in which numerous examples are worked out is
Shkarofsky, Johnston and Bachynski, The Particle Kinetics of Plasmas (1966).
DRAFT 20:46
Also, most books on plasma physics have chapters devoted to discussions of Coulomb
collision eects. Among the most descriptive and useful are those in
Spitzer, Physics of Fully Ionized Gases (1962), Chapter 5
Rose and Clark, Plasmas and Controlled Fusion (1961), Chapter 8.
Schmidt, Physics of High Temperature Plasmas (1979), Chapter 11.
Krall and Trivelpiece, Principles of Plasma Physics (1973), Chapter 6.
Golant, Zhilinsky and Sakharov, Fundamentals of Plasma Physics (1980), Chap-
ter 2.
The original theory of runaway electrons was developed in
H. Dreicer, Proceedings of the Second United Nations International Conference
on the Peaceful Use of Atomic Energy (United Nations, Geneva, 1958), Vol. 31,
p. 57. See also, Phys. Rev. 115, 238 (1959).
The thermalization of a fast ion in a Maxwellian plasma was rst developed in
D.J. Sigmar and G. Joyce, Nuclear Fusion 11, 447 (1971).
T.H. Stix, Plasma Physics 14, 367 (1972).
Inclusion of charge-exchange loss and geometry eects on neutral-beam-injected fast
ions are discussed in
J.D. Callen, R.J. Colchin, R.H. Fowler, D.G. McAlees and J.A. Rome, Neutral
Beam Injection into Tokamaks, Plasma Physics and Controlled Nuclear Fusion
Research 1974 (IAEA, Vienna, 1975), Vol. I, p. 645.
The Monte Carlo computational approach to including Coulomb collisional eects has
been developed primarily in the context of investigating transport processes in
R. Shanny, J.M. Dawson and J.M. Greene, Phys. Fluids 10, 1281 (1967).
K.T. Tsang, Y. Matsuda and H. Okuda, Phys. Fluids 18, 1282 (1975).
T. Takizuka and H. Abe, J. Comput. Phys. 25, 205 (1977).
A.H. Boozer and G. Kuo-Petravic, Phys. Fluids 24, 851 (1981).
PROBLEMS
2.1 Consider the length scales relevant for electron Coulomb collision processes in a
typical university-scale magnetic fusion plasma experiment that has ne = 210
13
cm
3
and Te = Ti = 1 keV. Calculate: a) the distance of closest approach bmin;
b) the average interparticle spacing; c) the maximum interaction distance bmax;
and d) the average collision length e = vTe/e for electrons in this plasma.
What is the ratio of each of these lengths to the mean interparticle spacing? /
2.2 Consider the length scales relevant for electron Coulomb collision processes in
a laser-produced electron-proton plasma that has ne = 10
29
m
3
and Te = Ti
= 1 keV. Calculate: a) the distance of closest approach bmin; b) the average
interparticle spacing; c) the maximum interaction distance bmax; and d) the
average collision length e = vTe/e for electrons in this plasma. What is the
ratio of each of these lengths to the mean interparticle spacing? /
2.3 Estimate the time scales relevant for electron Coulomb collision processes in the
earths ionosphere at a point where ne = 10
12
m
3
, Te = 1 eV. For simplicity,
use a Lorentz collision model and assume the ions have Zi = 1 and Ti Te.
Calculate the times for: a) a typical Coulomb interaction at the average inter-
particle spacing; b) an electron to traverse the Debye shielding cloud; and c) the
average electron collision time e = 1/e. How long (or short) are each of these
times compared to the plasma period
1
pe
? /
DRAFT 20:46
2.4 Consider the slowing down of an electron using the Lorentz collison model. a)
Show that an electron with an initial velocity v0 loses momentum exponentially
in time at a decay rate given by (v0). b) What is the electron energy after its
momentum is totally depleted? c) Calculate the distance the electron travels
in its original direction of motion while losing its momentum. d) Evaluate
the momentum decay rate and distance the electron travels for a plasma with
Zi = 5, ne = 10
19
m
3
, Te = Ti = 100 eV, and an initial electron test particle
energy of 1 keV. [Hint: Be careful to distinguish between an electrons velocity
(a directional, vector quantity) and its speed (a scalar quantity).] //
2.5 In Section 2.1 we derived the momentum impulse v for a single Coulomb
collision in the Lorentz collision model by integrating me(dv/dt) = qeE over an
unperturbed straight-line trajectory to determine v
and then used v
/2v. Show that the result for v
given in (2.6) can be obtained

directly by integrating E[x(t)] along a perturbed electron trajectory x(t) = x+ x
that includes the rst order eects x due to the E eld of the ion on the electron
trajectory. [Hint: First calculate the perturbed velocity v, and then make use
of the fact that
v
= ez
qe
me
_

dt E(x + x) =
qe
me
_

dt ez
_
E(x) + x
E
x
x
+
_
=
e
me
_

dt v
_
t
dt
Ez(t
) =
Zie
2
|40mev
_

dt v
t
(b
2
+v
2
t
2
)
3/2
.] ///
2.6 Show that the Lorentz collision frequency can be derived from the Rutherford
dierential scattering cross-section d/d given in (??) in Appendix A.1 and
Problem 2.24 as follows. a) First, show that for the Lorentz collision model
the scattering angle is given for typical small-angle Coulomb collisions by
2Zie
2
/(|40mv
2
b) = 2b
cl
min
/b, and that the dierential scattering cross-
section is d/d = [(b db d)/(dd cos )[ (b/)[db/d[ = 4(b
cl
min
)
2
/
4
. b)
Then, determine the eective cross-section for momentum transfer m, which is
dened by
m
_
d (d/d) (1 cos ).
In performing this integral discuss the maximum, minimum scattering angles
max, min in terms of the bmin, bmax interaction distances. c) Finally, show
that = ni mv yields the Lorentz model collision frequency given in (2.14).
///
2.7 Use the full Rutherford dierential scattering cross-section and the procedure
outlined in the preceding problem to give an alternative derivation of the Lorenz
collision frequency that takes into account classical hard, or large angle colli-
sions; i.e., do not initially assume << 1. ///
2.8 The Lorentz collision frequency can also be determined from the Langevin
equation
me
dv
dt
= me v + F(t)
in which me v is the dynamical friction force, and F(t) is a stochastic force,
which for Coulomb collisions is that given by (2.2). a) Assuming is constant in
DRAFT 20:46
time, use an integrating factor e
t
in solving the Langevin equation to determine
the particle velocity v(t) after its initialization to v0 at t = 0. b) Next, calculate
the ensemble average of the electron kinetic energy as a function of time, and
show that it yields
v
2
(t)) v
2
0
e
2t
+
1 e
2t
2
_

d
F(0) F())
m
2
e
.
c) Show that for times long compared to the duration of individual Coulomb
collisions but short compared to the momentum loss collision time (b/v <<
t << 1/), the electron kinetic energy is constant through terms of order t
when

1
2m
2
e
v
2
_

d F(0) F()).
Thus, is proportional to the autocorrelation function of the Coulomb colli-
sion force F. d) Next, show that for Coulomb collisions between electrons
and a stationary background of randomly distributed ions this formula yields
the Lorentz collision frequency given by (2.14). e) Finally, making use of the
equilibrium (t ) statistical mechanics (thermodynamics) property that for
random (Brownian) motion due to a stochastic force F the ensemble-average
kinetic energy mev
2
)/2 of a particle is Te/2, note that this last result yields
=
me
2 Te
_

d
F(0) F())
m
2
e
, uctuation-dissipation theorem,
which is also related to Nyquists theorem for noise in electrical circuits. [Hints:
a) Here, f) ni
_
d
3
xf = ni
_
dz
_
b db
_
2
0
df; b) The electron position
for an ion at x = zez at time t = 0 is x = b(ex cos +ey sin ) (z vt)ez.] ///
2.9 Consider cumulative small-angle collisional interactions of a test star of mass Mt
and velocity v in a galaxy for which the gravitational force between it and groups
of eld stars with density n
f
and mass M
f
is given by [cf., (??) in Appendix A.6]
FG = GMtM
f
(xt x
f
)/[xt x
f
[
3
an attractive inverse square law force
like that for Coulomb collisions of oppositely charged particles. a) Develop a
model for collisions of this test star with other, background stars and show that
the reference gravitational collision frequency analogous to (2.14) is
G =
4G
2
n
f
M
2
f
v
3
ln
_
D0u
2
G(Mt +M
f
)
_
,
where bmax is taken to be D0, the mean distance between stars ( n
1/3
f
) and
bmin has been taken to be the minimum interaction distance given by an expres-
sion analogous to that implied by (2.9). b) Estimate the time in (years) for the
velocity of our sun to scatter through 90
, assuming that our sun is a typical

star in our galaxy which has a mass of 210
30
kg, a velocity of 20 km/s and a
mean separation from other stars in our galaxy of 1 parsec ( 310
13
km). c)
Will you be concerned about this scattering process in your lifetime? ///
2.10 Estimate the diusion coecient D for a Ficks law representation ( = Dn)
of the particle ux due to electron-ion Coulomb collision eects in an inho-
mogeneous plasma as follows. For simplicity, use a Lorentz collision model and
DRAFT 20:46
assume the electrons have a density gradient but no temperature gradient. a)
Show by balancing the pressure gradient force density pe = Tene against
the frictional drag induced by Coulomb collisions that D = Te/mee = e
2
e
/2.
b) Estimate the magnitude of this diusion coecient for the plasma described
in Problem 2.3. c) Compare the result to the viscous diusion coecient for
molecules of air at the earths surface. d) Why is the diusivity of charged
particles in a plasma so much larger? //
2.11 a) Estimate the D-D fusion reaction rate (use
f
v 10
17
cm
3
/s) for a plasma
with Te = Ti = 40 keV, and ne = 10
20
m
3
. b) Compare this rate to typical
electron and ion Coulomb collision rates in this fusion plasma. c) How many
times do electrons and ions scatter through 90
during a typical D-D fusion in

this plasma? d) How far do typical electrons and ions travel in a characteristic
fusion reaction time? /
2.12 Consider the angular scattering of a beam of 100 eV electrons introduced into
an Argon laboratory plasma that has Te = 3 eV, Ti = 1 eV, Zi = 3 and an
electron density ne = 10
19
m
3
. Using the Lorentz collision model, estimate
the distance over which the beam electrons are: a) scattered through an angle
of 6
; b) scattered via small angle collisions through an angle of about 90
; and
c) deected 90
via hard collisions. Finally, d) estimate the angle through

which a beam electron is scattered in a typical Coulomb interaction when the
impact parameter b is given by the mean interparticle spacing of ions. //
2.13 Determine the energy at which electrons run away in response to an electric
eld in an impure plasma as follows. Assume that a nearly Maxwellian plasma
(Ti Te) is composed of electrons and various species of ions with charge Zi,
for which charge neutrality requires ne =
i
niZi. Calculate the frictional
drag force on electrons in the high energy tail (mev
2
/2 >> Te) of the electron
distribution. Show that the energy at which electrons run away is given by
(2.27) with Zi now replaced by the Z
e
dened in (2.43). Also, estimate the
fraction of electrons that are runaways for [E[/ED = 0.1 and Z
e
= 2. //
2.14 As electrons become relativistic (v c) the dynamical friction force decreases
less rapidly than the 1/v
2
indicated in (2.25) and Fig. 2.6. In fact, it becomes
nearly constant for (1 v
2
/c
2
)
1/2
>> 1. Then, if the electric eld is weak
enough, there are no runaway electrons. Determine the dynamical friction force
on relativistic electrons in a nonrelativistic plasma composed of electrons and
ions of charge Zi as follows. a) First, show that the change in perpendicular
momentum (p mev) in a single Coulomb collision is given by
p
=
2Zie
2
|40bv
(ex cos +ey sin ).
b) Next, use the relativistic form of the total particle energy ( =
_
m
2
e
c
4
+p
2
c
2
)
to show that for Coulomb scattering (constant energy) collisions between high
energy electrons and background electrons or ions of mass mi the change in
parallel momentum is
p
2p
_
1 +
me
mi
_
.
c) Show that the frictional force induced by Coulomb collisions of the high energy
DRAFT 20:46
electron with the background plasma is thus
F
)
4 nee
4
ln
|40
2
mev
2
_
1 +
1 +Zi
_
.
d) Finally, show that for a weak electric eld satisfying
[E[/ED < 2Te/(mec
2
),
no runaway electrons will be produced in the plasma. ///+
2.15 Estimate the electric eld strength at which the entire electron distribution
function runs away as follows. a) First, assume the ions are at rest and the
electrons are described by a ow-shifted Maxwellian as dened in (2.116). b)
Then, transform to the electron rest frame where V = 0. In this frame the ions
all have a velocity V. c) Show that the frictional force on a test ion is given by
(mi/me) mi
i/e
0
(v)
i/e
(x) V in which x
i/e
= V
2
/v
2
Te
. d) Find the maximum of
this frictional force as a function of V/vTe (cf., Fig. 2.8). e) Then, use the fact
that this frictional force must be equal and opposite to the maximum force on
the electron distribution to estimate the critical electric eld strength (in terms
of the Dreicer eld) for total electron runaway. f) Also, show that at this electric
eld strength an average electron is accelerated to roughly its thermal speed in
an appropriate electron collision time. //+
2.16 At what electron temperature is the electrical resistivity of an electron-proton
plasma with ln 17 the same as that of copper at room temperature for which
1.710
8
m? /
2.17 In a typical university-scale tokamak experiment an electron-proton plasma with
ln 17 is heated to a temperature of about 300 eV by the joule or ohmic
heating induced by an electric eld of about 0.5 V/m. a) What current density
(in A/cm
2
) does this electric eld induce in such a plasma? b) What is the joule
heating rate (in W/cm
3
)? /
2.18 Determine the plasma electrical impedance to an oscillating electric eld as
follows. a) First, assume a sinusoidal electric eld oscillating at a (radian)
frequency : E(t) =

Ee
it
. b) Then, solve an appropriate electron uid
momentum density equation and show that the frequency-dependent electrical
conductivity can be written as
() =
nee
2
me(e i)
.
c) Over what frequency range is the plasma resistive (dissipative, real) and over
what range is it reactive (imaginary)? d) What frequency ranges (in Hz) are
these in the earths ionosphere for the parameters of Problem 2.3? //
2.19 The plasma electrical conductivity is modied in a plasma with neutral par-
ticles. Add a neutral friction force meneenVe, where en = nnenv is the
Maxwellian-averaged electron-neutral collision frequency, to the right of (2.29)
and show that in equilibrium the modied electrical resistivity is given by
=
me(e +en)
nee
2
. //
DRAFT 20:46
2.20 Determine the neutral density range over which the eects of neutral particles
on the electrical conductivity can be neglected using the result given in the
preceding problem as follows. The reaction rate env for ionization of atomic
hydrogen by electrons is approximately (to within about a factor of two)
env 1.510
8
cm
3
/s for 10 eV Te 10
4
eV.
a) How small must the ratio of the neutral to electron density (nn/ne) be
to neglect electron-neutral collision eects in an electron-proton plasma for
Te = 10, 10
2
, 10
3
, and 10
4
eV? b) Explain why this density ratio varies so dra-
matically with electron temperature. /
2.21 In high neutral pressure, low temperature, partially ionized plasmas (e.g., in the
glow discharge in uorescent light bulbs), electron-neutral collisions compete
with Coulomb collisions. In particular, they can become dominant in the high
energy tail of the electron distribution function, thereby causing it to eectively
vanish for energies above a cut-o energy. Estimate the cut-o energy for
a Te = 3 eV, ne = 10
10
cm
3
electron-proton plasma that has a hydrogen
neutral density determined by a 3 mm Hg lling pressure, assuming an electron-
ionization rate coecient env = 10
10
cm
3
/s for this Te = 3 eV plasma. /
2.22 a) Sketch the variation of the energy transfer rate Qi in (2.38) from electrons
to ions in a Maxwellian electron-proton plasma as a function of Te/Ti. b) Find
the value of Te/Ti at which the maximum energy transfer occurs. c) Explain
physically why the energy transfer rate decreases for increasing Te/Ti >> 1. /
2.23 Consider the thermal equilibration of an electron-ion plasma with Te > Ti. a)
Eliminating Ti in favor of the nal temperature T = (Te +Ti)/2, show that in
the absence of joule heating, Eq. (2.41), which governs the electron temperature
evolution, can be reduced to
dz
dt
=
z 1
z
3/2
, =
mi
me
e
4
1
z
3/2
=
mi
me
|40
2
3 m
1/2
e T
3/2
16
2 neZie
4
ln
in which z Te/T. b) Integrate this equation to obtain in general
= ln
z
1/2
1
z
1/2
+ 1
+
2
3
z
3/2
+ 2 z
1/2
+C,
where C is a constant to be determined from the initial conditions. c) Estimate
the temporal range over which Te decays exponentially in time toward T and
indicate the decay rate. d) Discuss the relationship of this decay rate to a simple
one derivable from (2.41) with Te xed and e = constant. //
2.24 a) Utilize the Rutherford dierential scattering cross-section
d
d
=
q
2
s
q
2
s
4u
4
m
2
ss
1
sin
4
/2
, tan

2
=
qsq
s
m
ss
u
2
b
=
b
cl
min
b
,
in which is the scattering angle, to give an alternate derivation of the frictional
drag and velocity diusion coecients v)
s/s
/t and v v)
s/s
/t dened
in (2.59), (2.60) that takes into account classical hard, or large angle collisions.
b) Show that the results reduce to those given in (2.64) and (2.65) in the limit
ln >> 1. [Hint: bdb d = d = (d/d) d = (d/d) sin dd and after
the collision the test particle velocity in the center-of-momentum frame is given
by u + u = (ex sin cos + ey sin sin + ez cos ) u.] ///+
DRAFT 20:46
2.25 a) Show that the rate of momentum and energy loss of a test particle of species s
by collisions with background particles having an arbitrary velocity distribution
f
s
(v) can be written, in analogy with electrostatics, as
ms
dv
dt
= Qs
v
,
d
dt
_
msv
2
2
_
= Qs
_
v

v

m
ss
ms
_
,
where the analogous potential and charge Qs are dened by
(v) H
s
(v) =
ms
m
ss
_
d
3
v
f
s
(v
)
[v v
[
, Qs ms
ss
.
b) Show that for an innitely massive, immobile background (Lorentz collision
model) these formulas reduce, in analogy with an electrostatic point charge Qs
at the origin of velocity space, to
ms
dv
dt
= Qs
n
s
v
3
v = ms(v)v,
d
dt
_
msv
2
2
_
= 0. ///+
2.26 Use the formulas derived in the preceding problem to consider collisions of a
test particle s with a spherically symmetric velocity distribution of background
particles that all have the same speed V : f
s
(v) = (ns/4V
2
)(v V ). a) Show
that for these collisional processes the analogous potential is given by
=
ms
m
ss
n
s
_
1/V, v < V,
1/v, v > V.
b) Calculate the momentum and energy loss rates for test particle (s) speeds
v < V , and v > V . c) Discuss the results obtained in analogy with electrostatics,
and in particular explain by analogy with electrostatics why the test particle s
exchanges no momentum with the background when v < V. ///+
2.27 In the original work on stellar collisions Chandrasekhar introduced the function
G(z)
(z) z
(z)
2z
2
, where (z)
2
_
z
0
dy e
y
2
= erf (z).
Show that this Chandrasekhar function G is related to the Maxwell integral
by
G(
x) =
(x) v
2
Ts
2v
2
=

2x
,
and hence that the various collision frequencies for Coulomb collisions of a test
particle of species s with a Maxwellian distribution of background particles of
species s
can be written as
s/s
S
=
ss
_
2Ts
T
s
__
1 +
m
s
ms
_
G(v/v
Ts
)
(v/vTs)
,
s/s
= 2
ss
[(v/v
Ts
) G(v/v
Ts
)] (v
3
Ts
/v
3
),
s/s
= 2
ss
G(v/v
Ts
)(v
3
Ts
/v
3
)
in which
ss

s/s
0
(v)
v
3
v
3
Ts
=
4 n
s
q
2
s
q
2
s
ln
ss
m
2
s
v
3
Ts
is a reference collision frequency which has the advantage of being independent
of the particle speed v. //+
DRAFT 20:46
2.28 Discuss the changes that occur in Problem 2.4 when general Coulomb collisions
are allowed for instead of the Lorentz collision model. In particular, indicate the
approximate magnitude and direction of changes in the momentum decay rate,
the distance traveled and the rate of energy transfer to the ions for the plasma
parameters indicated. //+
2.29 Consider the Coulomb collision scattering processes on a DT fusion-produced
particle (0 = 3.52 MeV) in a thermonuclear plasma (50% D, 50% T, Te = Ti
= 10 keV, ne = 10
20
m
3
). a) Calculate the collision rates for slowing down
(S), perpendicular diusion (
), parallel diusion (
) and energy loss (
) of
the particle in the plasma. b) Discuss which collisional processes (/e, /D,
or /T) dominate each of these rates and why. c) How long will it take such a
fusion-produced particle to deposit half of its energy in the plasma? /+
2.30 The direction of energy transfer in Coulomb collisions of test particles with
a background plasma depends on the test particle energy and other parame-
ters. Estimate the particular test particle energies at which there is no energy
exchange between test electrons, test protons and a Maxwellian background
electron-proton plasma that has Te ,= Ti, but Te of the same order of magnitude
as Ti. /+
2.31 Evaluate the ratio of energy diusion to energy loss for electrons on the high
energy tail (mev
2
/2 > Te) of a Maxwellian electron distribution function. Use
this result to: a) nd the probability that a tail electron will gain rather than
lose energy; and b) discuss phenomenologically how the energy dependence of
the Maxwellian tail of the electron distribution function is determined. //+
2.32 Consider a test electron with an energy of 10% of the electron temperature in
a plasma. a) Show that the electron gains energy approximately linearly with
time from a Maxwellian background of electrons. b) Estimate the time required
(in terms of e) for the test electron to acquire an energy approximately equal
to the plasma electron temperature. //+
2.33 It is of interest to drive the current in a tokamak plasma by means other than
via the usual inductive electric eld. Thus, one often seeks [see N.J. Fisch,
Rev. Mod. Phys. 59, 175 (1987)] to drive currents by radiofrequency waves
that impart momentum to a selected group of suprathermal (v >> vTe) elec-
trons. Coulomb collision eects relax these suprathermal electrons back into
the background distribution and thus limit the current produced. Estimate
the steady-state eciency J/P
d
for such a process as follows. Consider a
suprathermal electron that has a large velocity v0 relative to the thermal speed
of background electrons which will be assumed to have a Maxwellian velocity
distribution. Assume the ions in the plasma have charge Zi, a Maxwellian dis-
tribution, and a comparable temperature to the background electrons. a) Show
that the z-directed velocity component and speed of the suprathermal electron
are governed by dvz/dt = (2 + Zi)
e/e
0
(v) vz and dv/dt =
e/e
0
(v) v, respec-
tively. b) Combine these equations and show that for vTe < v < v0 their solution
can be written as vz = vz0[v(t)/v0]
2+Z
i
. c) Then, show that the current induced
in the plasma by one suprathermal electron over the time it takes for it to slow
down to the thermal energy of the background electrons is
Jz = qe
_
dt vz
qevz0
e/e
0
(v0)
1
5 +Zi
.
DRAFT 20:46
d) However, show that the sum over an isotropic distribution of such suprather-
mal electrons yields no net current in the plasma. Next, consider the eect of
a small momentum input via radiofrequency waves at v0 = v0ez that increases
the electron velocity to (v0 + v) ez where v << v0. e) Calculate the ratio of
the perturbed current J to the power (energy) input P
d
from the wave needed
to produce this change and show it is given by
J
P
d
=
4
5 +Zi
qe
me
e/e
0
(v0) v0
v
2
0
.
f) Also consider wave momentum input in directions perpendicular to the initial
suprathermal velocity direction z with vz0 ,= 0; show that it too can induce
current in the z direction (with reduced eciency) and explain physically how
this is possible. g) Finally, show that when the current and power dissipated
are normalized to neqevTe and nemev
2
Te
e/e
0
(vTe), respectively, the normalized
steady-state current-drive eciency for z-directed momentum input is given
by
J
P
d
=
4
5 +Zi
_
v0
vTe
_
2
.
h) In what range of speeds is this type of current drive most ecient? i) How
does it compare to the normalized eciency J/P
d
for the usual ohmic current-
drive by an electric eld with [E[ << ED? ///+
2.34 a) Show that for test electrons with energies much larger than the electron
temperature in an electron-ion plasma with Ti Te that
e
[2/(2 + Zi)]
e
S
and that the velocity friction and diusion coecients can be written to lowest
order as
v)
e
t
= (2 +Zi)
e/e
0
v,
v v)
e
t
=
e/e
0
[(1 +Zi)(v
2
I vv) + (v
2
Te
/v
2
)vv].
b) How large are the most signicant terms that have been neglected for the
beam electrons in Problem 2.12 /+
2.35 A hydrogen ice pellet is injected into a hot Maxwellian electron-proton plasma
with Te = Ti = 2 keV and ne = 510
19
m
3
. Assume the pellet doubles the
plasma density. a) Neglecting the energy expended in the ionization processes
( 30100 eV), what is the temperature the hot plasma and the cold, pellet
produced plasma (at say 10 eV) will equilibrate to? b) Estimate the time scales
on which the electron and ion plasma components become Maxwellians at their
new temperatures, and equilibrate to a common temperature. //+
2.36 It is usually dicult to measure directly the ion temperature of hydrogenic ions
(protons, deuterons, tritons) in a hot plasma. However, it is often possible to
determine the temperature of trace amounts of impurity ions in hot plasmas
by measuring the Doppler broadening of the line radiation produced by the de-
excitation of excited, highly ionized states of the impurity ions. Show that the
impurity temperature is close to the ion temperature in Maxwellian plasmas
with comparable electron (e), ion (i), and impurity (Z) temperatures as follows.
Assume for simplicity that the impurities are heated only through Coulomb
DRAFT 20:46
collisions with the hot plasma electrons and the dominant, hydrogenic ions. a)
First, write down an energy balance equation for the impurity species. b) Next,
show that in equilibrium since the impurity mass is much closer to that of the
hydrogenic ions than to that of the electrons, the impurity temperature can be
written as
TZ Ti
_

Z/e
/
Z/i
_
(Ti Te)
= Ti
_
ne
niZ
2
i
__
me
mi
_
1/2
_
Ti
Te
_
3/2
(Ti Te).
c) Finally, estimate the dierence between the impurity and ion temperatures
for Ti = 10 keV, Te = 5 keV in a predominantly electron-deuteron plasma. //+
2.37 Using the formulas in Section 2.10, show that the total electron collision fre-
quency e for a muliple ion species, impure plasma is as implied in (2.44). /+
2.38 Using the formulas in Section 2.10, show that the impurity factor fi given in
(2.47) is correct. /+
2.39 Using the formulas in Section 2.10, show that the impurity factor fie given in
(2.49) is correct. /+
2.40 a) Show that for a fast ion of mass m
f
and charge Z
f
e with vTi << v
f
<< vTe
that is slowing down in a plasma composed of a mixture of ions of mass mi and
charge Zie the slowing down is governed by (2.133), with the fast ion slowing
down time S unchanged, but that the critical speed vc and energy c are now
given by
v
3
c

3
4
me
m
f
[Z]mv
3
Te
, c 15 Te
__
m
f
mp
[Z]m
_
2/3
, [Z]m
i
niZ
2
i
/ne
(mi/m
f
)
.
Here, [Z]m is a mass-weighted eective Zi for energy transfer processes in an
impure plasma. b) For the parameters of Problem 2.29, what fraction of the
alpha particle energy is transferred to the plasma ions and electrons? //+
2.41 Estimate the distance traveled by a fusion-produced 3.52 MeV particle in
slowing down in an innite, homogeneous thermonuclear plasma as follows. a)
First, calculate the alpha particle energy loss rate per unit distance traveled
(d/dz) in terms of quantities derived in Section 2.11. b) Then, integrate to
obtain the total distance z the alpha particle travels in slowing down from its
initial velocity to the thermal velocity of the background plasma. c) Finally,
estimate the distance traveled for the parameters of Problem 2.29 using the
formulas developed in Problem 2.40. //+
2.42 Determine the current driven in a tokamak plasma by the fast ions introduced
by energetic netral beam injection [T. Ohkawa, Nuclear Fusion 10, 185 (1970)]
as follows. Consider introducing a beam of fast ions of density n
f
, and charge
Z
f
e with velocity V
f
such that vc << V
f
<< vTe. a) Calculate the relative ow
Ve Vi induced by the beam ions for a plasma having ions of charge Zi and
density ni. Assume n
f
<< ne and that the beam ions transfer their momentum
only to plasma electrons for simplicity. b) Show that the net current in the
plasma due to the three plasma components is given by J = n
f
Z
f
eV
f
(1Z
f
/Zi).
c) Explain physically why there is no current when the fast beam ions have
the same charge as the background ions, which is sometimes called a plasma
DRAFT 20:46
shielding eect. [Hint: The beam momentum input to the electrons is the same
as the loss of fast ion momentum by collisions with the Maxwellian electron
background, namely m
f
n
f

f/e
S
V
f
.] //+
2.43 For the case where there are no direct particle losses during fast ion slowing
down (cx ), show that the fraction of fast ion energy transferred to the
background plasma ions can be written as
Gi =
2
x
2
_
1
6
ln
(1 +x)
2
1 x +x
2
+
1
3
arctan
2x 1
3
+
1
3
arctan
1
3
_
in which x v0/vc. //+
2.44 For the parameters of Problem 2.29, calculate the fast ion slowing down and
energy transfer characteristics for a D-T fusion-produced alpha particle: a) the
critical energy c, and b) the total lifetime from birth to thermalization in the
background D-T plasma. and c) the fraction of the alpha particle energy that
will be transferred to the background plasma electrons and ions. /+
2.45 In the early, 1970s experiments that injected energetic neutral beams into toka-
mak plasmas there was concern that charge-exchange of the injected fast ions
with neutrals in the plasma would cause the fast ions to be lost from the plasma
before they could deposit their energy in the background electrons and ions.
Consider 40 keV deuterium beam injection into a ne = 210
13
cm
3
, Te = 1.3
keV, Ti = 0.5 keV electron-deuteron plasma. a) What are the critical energy
c, slowing down time S and fast ion lifetime
f
for fast ions in this plasma?
b) In the absence of charge-exchange losses, what fraction of the fast ion en-
ergy is transferred to the backgound plasma electrons, and ions? c) Assuming
a charge-exchange cross section of cx = 710
16
cm
2
and a neutral density
of nn = 210
8
cm
3
, what is cx at the initial fast ion energy? (Since cxv
is approximately constant below 20 keV per nucleon, cx is nearly independent
of energy.) d) How much does charge-exchange reduce the fractions of fast ion
energy transferrred to the background plasma electrons and ions? e) Which
transfer fraction is aected the most? f) Why? /+
2.46 Energetic neutral atoms from neutral beams are absorbed in plasmas via the
atomic collision processes of electron ionization, proton ionization and charge
exchange. The ionization processes are ion/(cx +ion) probable ( 30% for
the parameters of the preceding problem). They produce an electron whose ini-
tial speed is approximately the same as the injected fast neutral atom but whose
kinetic energy is much lower. a) For the parameters of the preceding problem,
what is the energy of such electrons? Since such electrons are born with low
energies and take energy from the backgound plasma as they are heated to the
plasma electron temperature, they represent an initial heat sink. b) Approxi-
mately how long does it take for these electrons to be heated by the plasma to
the background electron temperature of 1.3 keV? (Hint: See Problem 2.32.) c)
How does this time compare to the fast ion slowing down time S? d) About
how long does it take for the injected energetic neutral beam to add net energy
to the plasma? //+
2.47 In the wet wood burner approach to controlled thermonuclear fusion [J.M.
Dawson, H.P. Furth and F.H. Tenney, Phys. Rev. Lett. 26, 1156 (1971)] it is
proposed to obtain energy multiplication through fusion reactions of energetic
deuterons as they slow down in a background triton plasma. a) Show that the
DRAFT 20:46
energy multiplication factor F, which is dened as the ratio of fusion energy
produced to the initial deuteron energy 0, can be written as
F =
_
f
o
_
(nS)
_
v
0
0
v
3
dv
v
3
+v
3
c
f
(v)
_
f
0
_
(nS)
f
v
in which
f
is the energy produced per fusion and
f
(v) is the speed- (energy-)
dependent fusion cross section. b) For D-T fusion with
f
= 22.4 MeV (17.6
MeV from the reaction products and 4.8 MeV from assuming energy multi-
plication by neutrons absorbed in a surrounding lithium blanket) and
f
v
2.810
22
m
3
/s for 120 keV deuterons, nd the minimum electron temperature
at which energy multiplication is possible. c) For this critical temperature,
what is the probability that a deuteron will undergo a fusion reaction during its
slowing down? //+
2.48 Consider the angular or perpendicular diusion of a fast proton with energy 40
keV injected into a Maxwellian electron-proton plasma that has Te = Ti = 1 keV
and ne = 310
19
m
3
. a) Estimate the time at which Coulomb collisions scatter
the velocity space angle of the fast proton through = v
/v = 0.1 radian
( 6
). b) Compare this time to the fast ion slowing down time S dened in
(2.130). c) Discuss the physical reason why one of these times is much shorter
than the other. /+
2.49 Consider the proposition that an electric eld E is applied to keep fast ions
with vTi << v << vTe from slowing down in a plasma. a) First, calculate
the momentum loss rate of the fast ion and nd its minimum as a function of
the fast ion speed v. b) Next, calculate the minimum electric eld [in terms
of the Dreicer eld dened in (2.28)] required to prevent fast ions from slowing
down. c) Then, discuss the degree to which such an electric eld would cause
runaway electrons. d) Estimate the rates of perpendicular and parallel diusion
at the fast ion speed at which the minimum momentum loss rate occurs. e)
Finally, discuss the eects these processes might have on the proposed scheme
(cf., Fig. 2.7). //+
2.50 a) Show that for a fast ion slowing down in the plasma described in Problem 2.40
the dynamical friction and diusion coecients can be written to lowest order
as
v)
f
t
=
_
[Z]m + (Z
e
+ [Z]m)
v
3
c
v
3
_
v
S
v v)
f
t
=
1
S
_
Z
e
v
3
c
v
3
(v
2
I vv) +
2[Te +T
e
(v
3
c
/v
3
)]
m
f
vv
v
2
_
in which the angular scattering Z
e
is dened in (2.43), the energy transfer or
mass-weighted [Z]m is dened in Problem 2.40 and the eective ion temperature
is dened by
T
e

1
[Z]m
i
niZ
2
i
/ne
(mi/m
f
)
Ti.
b) How large is the most signicant term that has been neglected in these
approximate results and where does it contribute for fast ions slowing down
for the situation described in Problem 2.48? //+
DRAFT 20:46
2.51 Write a Monte Carlo type computer code for exploring the Coulomb scattering
of energetic test electrons in an electron-proton plasma. Use it to determine
numerically the answers to parts a) and b) of Problem 2.12. //+
2.52 Write a Monte Carlo type computer code for exploring the Coulomb collision
processes for fast ions slowing down in an electron-ion plasma. Use it to deter-
mine numerically the answers to the questions in Problem 2.48. ///+
DRAFT 20:46
CHAPTER 3. STRUCTURE OF MAGNETIC FIELDS 1
Chapter 3
Structure of Magnetic
Fields
Many of the most interesting plasmas are permeated by or imbedded in magnetic
elds.
1
As shown in Fig. 3.1, the magnetic eld structures in which plasmas are
immersed are very diverse; they can also be quite complicated. Many properties
of magnetic elds in plasmas can be discussed without specifying a model for
the plasma. This chapter discusses the plasma-independent, general properties
(kinematics) of magnetic elds, the models commonly used to describe them
in plasma physics, and the coordinate systems based on them.
As indicated in Fig. 3.1, the generic structure of the magnetic eld can be
open (ac and f) or closed (d,e). In open congurations the ends of the magnetic
eld lines
2
may intersect material boundaries (e.g., the earth in b), or be left
unspecied (e.g., in a, on the eld lines in b that do not intersect the earth,
and in f). The magnetic eld structure in closed congurations (d,e) is toroidal
in character or topology. That is, its magnetic eld lines are topologically
equivalent (at least approximately) to lines on the surface of a torus or donut.
In most magnetized plasma situations the magnetic eld has a nonzero value
and a locally specied direction throughout the plasma. Also, the ow of mag-
netic eld lines penetrating a closed surface in the plasma often
3
forms a bundle
1
In plasma physics when we say magnetic eld we usually mean magnetic induction
eld B both because for many plasmas embedded in magnetic elds the plasma-induced
currents are small and hence the magnetic permeability is approximately that of free space
(i.e.,
0
), and because most plasma calculations, which use the microscopic Maxwells
equations, assume that the charged particles in the plasma produce currents in free space
rather than doing so in a dielectric medium.
2
While magnetic eld lines or lines of force do not in fact exist (at least in the sense
that they can be directly measured), they are very useful theoretical constructs for visualizing
magnetic elds.
3
However, closed magnetic ux surfaces do not exist in regions where the eld lines are
chaotic. Also, there are sometimes null points of the magnetic eld within the plasma for
example in the neutral sheet in the earths magnetosphere shown in Fig. 3.1b and along the
axis in the wiggler eld for the free electron laser shown in Fig. 3.1f. In addition, certain
DRAFT 22:52
September 22, 2003 c _J.D Callen, Fundamentals of Plasma Physics
plasmasphere
neutralsheath
N
S
solar
wind
a)magneticmirror b)earthsmagnetosphere
c)screwpinch d)tokamak
e)stellarator f)freeelectronlaserwigglerfield
Figure 3.1: Examples of magnetic eld congurations in which plasmas are
imbedded.
of magnetic eld lines bounded by a magnetic ux surface within the magnetic
components of the magnetic eld may have null points as well for example the projection
of the magnetic eld in a screw pinch tokamak or stellarator in Figs. 3.1ce along the helical
pitch of a given magnetic eld line.
DRAFT 22:52
conguration. When nested magnetic ux surfaces exist, they usually provide
the most natural magnetic-eld-based coordinate system because most plasma
processes (charged particle motion, ows, transport) are much more rapid along
magnetic eld lines and within ux surfaces than across them.
The key magnetic eld variations are evident in the magnetic eld congura-
tions illustrated in Fig. 3.1. Namely, while magnetic eld lines point in a given
direction at any specied point, they can curve and twist, and their density can
vary in space. The general properties of curves along a vector eld such as the
magnetic eld are summarized in Section D.6.
The rst section of this chapter introduces simple models (quadratic and
sinusoidal magnetic well, and sheared slab magnetic eld) that include the four
most important local magnetic eld properties for plasma physics (namely, par-
allel and perpendicular gradients, curvature and shear). These simple models
will be used to explore the most fundamental eects of magnetic elds in many
areas of plasma physics throughout the remainder of this book. The second
section introduces the global magnetic eld representations and magnetic-eld-
based coordinate systems that are used in modeling plasma processes on (longer)
time scales where charged particles travel signicant distances along magnetic
elds. While the magnetic elds in which plasmas are imbedded are seldom
straight in Cartesian coordinates, one can develop coordinate systems in which
the magnetic eld lines are straight. Such coordinates greatly facilitate analyses
of magnetized plasmas. The third section develops the basic ideas of magnetic
island structures that can form in the sheared slab model when a resonant
perturbation is added. The next three sections discuss the simplest forms and
properties of magnetic eld coordinate systems for open (Section 3.4) and closed
(Sections 3.5, 3.6) magnetic eld systems. Finally, Section 3.7 gives the general
forms of all the local dierential propoerties of the vector magnetic eld gra-
dients, divergence, curvature, shear and torsion, and the general expansion of
the magnetic eld B in terms of them.
3.1 Local Properties
The SI (mks) units for the magnetic eld strength are webers/m
2
; thus, we can
think of the magnetic eld strength as representing the number of magnetic
eld lines (webers) per unit area (m
2
). Typically, the magnetic eld strength
varies as we move along a magnetic eld line. We can distinguish the eects
of variations in the magnetic eld strength from the eects of changes in its
direction by representing the magnetic eld as
B = B(x)
b, with

b B/B, (3.1)
in which B [B[
B B is the magnetic eld strength and
b is the local unit

vector along B, both at the point x. Since there are no magnetic monopoles in
nature, a magnetic eld must be divergence free. (Such a vector eld is called
a solenoidal eld.) Thus, using the representation of B given in (3.1) and the
DRAFT 22:52
vector identity (??), we must have
0 = B =

b B() +B
b. (3.2)
An equation governing the variation of the magnetic eld strength B along any
eld line can be determined by rearranging this equation to yield
B

b B = B
b, (3.3)
in which is the distance along a magnetic eld line. Hence, if the magnetic
eld strength (number of eld lines per unit area) is increasing (B/ > 0)
as one moves along a magnetic eld line, the local unit vectors along magnetic
eld lines must be converging (
b < 0); conversely, for a decreasing magnetic

eld strength (B/ < 0) the eld line unit vectors diverge (
b > 0).
We will often be interested in describing mathematically the parallel (|)
variation of the magnetic eld strength B. Near a minimum in the magnetic
eld strength along a magnetic eld line the eld strength B can be represented
by a quadratic approximation:
B
qw
= B
min
_
1 +

2
L
2
_
, quadratic well (qw) model, (3.4)
in which at B = B
min
where = 0 we have B/[
=0
= 0 and
2
B/
2
[
=0
> 0,
and by denition
L
2 B
2
B/
2
B=Bmin
. (3.5)
The characteristic scale length L
is the parallel distance over which the mag-

netic eld strength doubles in this lowest order approximation.
The magnetic eld strength often varies sinusoidally along a magnetic eld
line. A convenient model for this variation is
B
sin
() = B
min
+
_
B
max
B
min
2
__
1 cos
_
2
L
__
= B
min
+ B sin
2

L
, sinusoidal (sin) model. (3.6)

Here, B
max
is the maximum eld strength along a eld line which occurs at
= L
/2 in this model, and B B

max
B
min
is the amplitude of the
variation of B along a eld line within the periodicity length L
. The variation
of B
sin
near its minimum can be represented by the parabolic well model in
(3.4) with L
= (B
min
/B)
1/2
L
/. The ratio of the maximum to minimum

magnetic eld strength along a eld line is:
R
m

B
max
B
min
= 1 +
B
B
min
, magnetic mirror ratio. (3.7)
DRAFT 22:52
Mirror ratios range from values of order 2 to 10 or more for typical magnetic
mirrors (Fig. 3.1a) and the earths magnetosphere (Fig. 3.1b), to only slightly
greater than unity in toroidal devices (Fig. 3.1d,e) where the magnetic eld
strength varies only slightly as we move along the helical magnetic eld lines
from the outside to the inside of the torus. Note from (3.3) that at an extremum
(minimum or maximum) of the magnetic eld strength where B/ = 0 the
local unit vectors along eld lines are divergence-free they neither converge
nor diverge.
The magnetic eld can also vary both in magnitude and direction
in directions perpendicular (transverse) to the magnetic eld direction. The
sheared slab model, which we now discuss, approximates the local perpendicular
variations of typical magnetic eld structures that are most important in plasma
physics. In it a local Cartesian coordinate system is constructed at a given point.
The z axis is taken to be along the magnetic eld at the point where a magnetic
eld line passes through the origin of the coordinate system. The x axis is
taken to be in the radial (across ux surface) direction in which the most
signicant variations (in plasma parameters and in the density of magnetic eld
lines) occur in the plane perpendicular to the magnetic eld. The y axis is
taken to be in the azimuthal (or within ux surface) direction of least variation;
i.e., it is the ignorable coordinate, at least approximately. For example, for
a cylindrical magnetized plasma we anticipate mainly a radial variation in the
plasma parameters: for this case the sheared slab model x, y, z coordinates
would correspond to r r
0
, r
0
and z where r = r
0
is the cylindrical radius of
the magnetic eld line that passes through the origin of the sheared slab model.
The word slab in the title of the model indicates that only a thin radial (x)
slice of the magnetic conguration is being considered.
A local expansion of the magnetic eld that captures its most important
perpendicular variations is
B
ss
= B
0
__
1 +
x
L
B
_
e
z
+
z
R
C
e
x
+
x
L
S
e
y
_
, sheared slab (ss) model,
(3.8)
in which B
0
is the strength of the magnetic eld (or density of magnetic eld
lines) at the origin where x (x, y, z) = (0, 0, 0). Here, as indicated in Fig. 3.2,
the e
z
term represents the lowest order magnetic eld (the unity) and the per-
pendicular spatial gradient of its magnitude (1/L
B
), the e
x
term represents the
magnetic eld curvature (1/R
C
), and the e
y
term represents the dierential
twisting (shear, 1/L
S
) of the magnetic eld lines. These fundamental magnetic
eld properties will be explained and dened more precisely below and in the
following sections. [Torsion (uniform twisting see Section 3.7 below and D.6)
of magnetic eld lines such as in a uniform helical twist of the eld lines in the
screw pinch shown in Fig. 3.1c is not included in the sheared slab model because
the e
z
vector is taken to be in a locally xed rather than rotating direction.]
Since the model represents a Taylor series expansion of the magnetic eld about
a given point, it is only valid for small distances from the origin [x/L
B
[ << 1,
DRAFT 22:52
x
x
x
y
y
y
z
z
z
B
B
B
x
0
x
0
x
0
x()
y(,x)
d
d
R
c
L
s
B
0
Figure 3.2: Magnetic eld line characteristics included in the sheared slab mag-
netic eld model. Each sketch indicates the behavior of magnetic eld lines
when only the indicated coecient does not vanish.
[z/R
C
[ << 1, [x/L
S
[ << 1.
Calculating the magnitude of the magnetic eld using B [B[ =

B B,
we nd, to lowest order in the distance from the origin,
B
ss
[B
ss
[ = B
0
_
1 +
x
L
B
+O
_
x
2
L
2
B
,
x
2
L
2
S
,
z
2
R
2
C
__
B
0
_
1 +
x
L
B
_
. (3.9)
DRAFT 22:52
Thus, we identify
L
B

B
dB/dx
=
_
d ln B
dx
_
1
, perpendicular B scale length, (3.10)
in which the dierential is to be evaluated at the origin of our local Cartesian
coordinate system. The gradient scale length L
B
is the radial (x) distance
over which the magnitude of the magnetic eld would double in this linear
model. Hence, the 1/L
B
term in (3.8) represents the gradient in the magnetic
eld strength (density of magnetic eld lines) in the x direction (cf., Fig. 3.2c).
Henceforth, we will call this the perpendicular B or gradient B term.
The curvature of a magnetic eld line can be determined as follows. First, we
propose that a coordinate function x() represents the x variation of a magnetic
eld line as we move a distance along it. Then, the x component of the
curvature of the magnetic eld line is dened as the second derivative of x()
along the eld line:
curvature
d
2
x()
d
2
. (3.11)
For a magnetic eld line near the origin of the sheared slab model coordinate
system, by geometry we have
dx()
d

B
x
()
B

B
x
(z)
B
0
=
z
R
C
(3.12)
and hence
curvature
d
2
x
d
2

d
dz
_
B
x
(z)
B
0
_
=
1
R
C
(3.13)
in which B
x
e
x
Bis the x component of the vector magnetic eld. The radius
of curvature R
C
of the magnetic eld in the sheared slab model is the radius
of the circle that is tangent to and has the same curvature as the magnetic
eld line that passes through the origin. Integrating (3.12) a short distance
([z/R
C
[ << 1) along the eld line that passes through x = (x
0
, 0, 0) yields an
equation for the eld lines trajectory (cf., Fig. 3.2a) in the xz plane (to lowest
order d dz and z near the origin):
x = x
0
+z
2
/2R
C
, for y = constant, (3.14)
which again shows that 1/R
C
measures the curvature of the eld line.
The formal denition of the curvature vector for a vector magnetic eld
B B
b is [see (??) in Section D.6]

d
2
x
d
2
= (
b )
b =
R
C
R
2
C
, B eld curvature vector. (3.15)
DRAFT 22:52
Evaluating this expression for the sheared slab model magnetic eld in (3.8),
we obtain (near the origin where d dz and [x[ << L
B
)
=

z
_
e
z
+
(z/R
C
) e
x
+ (x/L
S
) e
y
1 +x/L
B
_

1
R
C
e
x

x
e
x
. (3.16)
Thus, R
C
is the inverse of the (normal, x direction) curvature of the magnetic
eld:
R
C
1/[
x
[, radius of curvature. (3.17)
Note that the absolute value is needed because vectorially the radius of curvature
vector R
C
points in the opposite direction from the curvature vector: =
R
C
/R
2
c
see Fig. ?? and Eq. (??) in Section D.6. Thus, for the sheared
slab model the vectorial radius of curvature is R
C
/[[
2
= R
C
e
x
, which
points from the point x = (R
C
, 0, 0) to the origin.
The magnetic eld line curvature vector can in general be written in a more
illustrative and useful form (for situations where currents ow in the plasma)
using

b B/B and the magnetostatic Amperes law B =
0
J:
(
b )
b =
b(
b) =
b(B/B)
=
b[(1/B)B]
b(B)/B =
b(
bln B) +
0
JB/B
2
= (1/B)[
b(
b )]B +
0
JB/B
2
, (3.18)
in which the vector identities (??), (??), and (??) have been used in successive
steps. Dening
b(
b ) =
b(
b), gradient perpendicular to B, (3.19)

to represent the components of the gradient operator in directions perpendicular
to the magnetic eld B, we can write the nal form in (3.18) in general as
=
ln B +

0
JB
B
2
, relation of curvature to
B and J. (3.20)
Near the origin of the sheared slab model, the e
x
component of this equation
yields
x

1
R
C
=
1
B
dB
dx
+

0
J
y
B
=
1
L
B
+

0
J
y
B
. (3.21)
When there is no current in the e
y
direction in the sheared slab model, we have
1/R
C
= 1/L
B
.
The shear in a magnetic eld can be understood as follows. A magnetic eld
line can rotate about the z axis because of torsion (twisting at a constant angular
rate) and shear (dierential twisting) see Section D.6. As noted above, the
sheared slab model does not include torsion. The shear in the magnetic eld
DRAFT 22:52
can be dened for our Cartesian coordinate system through the x derivative of
the y() coordinate variation along a magnetic eld line:
shear
d
dx
_
dy()
d
_
. (3.22)
For a magnetic eld line near the origin of the sheared slab model coordinate
system, by geometry we have
dy()
d

B
y
B
0
x
L
S
.
Thus, in the sheared slab model we have
shear
d
dx
_
dy
d
_

d
dx
_
B
y
(x)
B
0
_

1
L
S
. (3.23)
The shear length L
S
is the linear extrapolation distance in the x direction over
which the magnetic eld would dierentially twist through an angle of one radian
(i.e., to where B
y
= B
0
). Integrating (3.22) a short distance ([z/L
S
[ << 1) along
the eld line that passes through the point x = (x, y
0
, 0) yields an equation for
its trajectory (cf., Fig. 3.2b) in the yz plane:
y = y
0
+xz/L
S
, for x = constant, (3.24)
which shows that 1/L
S
measures the dierential twisting of the eld lines out
of the the xz plane and hence the shear in the magnetic eld lines.
The formal denition of the local shear in a vector eld B B
b is [see
(3.151) below and (??) in Section D.6]

(
b) (
b)
[
b[
2
=
(B) (B)
B
2
[[
2
, local shear
(3.25)
in which is the gradient of an assumed magnetic ux function and for
the last form we have used (3.1) and vector identities (??), (??) and (??). For
our sheared slab model x, x = e
x
and thus

b

be
x
=
e
y
e
z
(x/L
S
)/(1 +x/L
B
). Note that near the origin of the sheared slab model
geometry [
b[ 1 and [
b[ 1. Thus, evaluating the shear denition in

(3.25) for the sheared slab model we obtain
e
y
(
be
x
) 1/L
S
. (3.26)
By construction, the magnetic eld in the sheared slab model satises the
solenoidal or no magnetic monopole condition for a magnetic induction eld,
i.e., B
ss
= 0. However, its curl (rotation) does not vanish:
B
ss
= B
0
__
1
R
C
1
L
B
_
e
y
+
1
L
S
e
z
_
. (3.27)
DRAFT 22:52
In equilibrium situations where the magnetostatic Amperes law B =
0
J
applies, the full generality of the sheared slab model is appropriate only if elec-
trical currents ow in the plasma. For vacuum or very low plasma pressure
situations where no signicant currents ow in a magnetized plasma, we must
have 1/R
C
= 1/L
B
and 1/L
S
= 0. The curvature (1/R
C
) can deviate from the
inverse gradient length (1/L
B
) only if electrical current ows in the y direction,
as indicated by both (3.21) and (3.27). Since for strong magnetic elds it is
harder for charged particles and hence plasma currents to ow across magnetic
elds compared to along them, the y component of the current is typically small
and usually 1/R
C
1/L
B
. Magnetic shear (1/L
S
) is possible (in this torsion-
free model) only if current ows in the z (magnetic eld) direction. These points
will be made more quantitatively explicit in Sections 3.7, 5.3 and 20.1.
The parallel quadratic well, sinusoidal and sheared slab models represent the
most important spatial variations of the magnetic eld around a given point.
Any given physical situation can be modeled with these models by specifying
the characteristic scale lengths for the local properties of the magnetic eld:
parallel gradient B scale lengths L
and L
, perpendicular gradient B length L

B
,
curvature radius R
C
and shear length L
S
. While these models provide suitable
lowest order local descriptions for most magnetized plasma situations, they
are not the most general magnetic eld descriptions. In particular, they do not
allow for torsion or all the possible magnetic eld variations in the y and z
directions. The most general local expansion of a magnetic eld is discussed in
Section 3.7. Also, the local expansions do not in general provide global (i.e., valid
over all space) descriptions of the magnetic eld. The remaining sections of this
chapter develop more complete, but correspondingly more complex, magnetic
eld models.
3.2 Magnetic Field Representations and Coor-
dinate Systems
In the preceding section we developed local Taylor series expansions of a mag-
netic eld B about a given point. While these expansions are very useful for
understanding the local dierential properties (gradients, curvature, shear) of a
magnetic eld, in general they do not provide a global description of it. Charged
particles in plasmas move over long distances along magnetic eld lines for most
time scales of interest. Also, they typically move much more rapidly along mag-
netic eld lines than perpendicular to them; this causes the properties of a
magnetized plasma to be very anisotropic relative to the magnetic eld direc-
tion. In order to develop compact descriptions of magnetized plasmas it is most
convenient to use coordinate systems based on the global structure of the mag-
netic eld so-called magnetic eld line or magnetic ux coordinate systems.
Magnetic ux coordinates are curvilinear coordinates that are chosen so that
the equation of a magnetic eld line is a straight line in the chosen coordi-
nates. They are the most useful coordinates because they facilitate separation
DRAFT 22:52
of plasma eects along and perpendicular to magnetic eld lines. This section
discusses calculations of magnetic eld lines, and magnetic eld representations
and coordinate systems that describe the entire magnetic eld structure.
The global structure of the magnetic eld can in principle be obtained by
simply integrating the dierential equations of a curve that follows a magnetic
eld line. Dening x() to be the trajectory along a magnetic eld line, the
vector dx()/d that is locally tangent to the magnetic eld is given by
dx()
d
along B
=
B
B
=

b, eld line equation. (3.28)
This is the fundamental denition of a magnetic eld line that we will use
throughout the remainder of this book. Taking the e
x
, e
y
, and e
z
projections
of this fundamental eld line denition, we obtain
dx
B
x
=
dy
B
y
=
dz
B
z
=
d
B
. (3.29)
Note that these eld line dierential equations can also be obtained from the
condition that a vector dierential length d along the magnetic eld B must
be parallel to it: dB = 0.
For simple magnetic eld systems we can directly integrate the three inde-
pendent equations in (3.29) to obtain a mathematical description of the mag-
netic eld. For example, we performed such integrations for the sheared slab
model in the special cases of no shear and little perpendicular gradient B or
curvature see (3.14) and (3.24). For such systems the constants of integra-
tion provide labels for the magnetic eld lines x
0
and y
0
for the two special
sheared slab model cases. However, it is often impractical or impossible to
obtain a global magnetic eld description by directly integrating the equations
that describe a magnetic eld line trajectory. For example, integrating the three
equations for the complete sheared slab model in (3.8) results in a set of three
interrelated, implicit equations for which a closed solution is not possible, except
in the vicinity of the origin (see Problem 3.7).
For a magnetic eld in free space (i.e., in a vacuum), or in the limit where
the currents owing in the plasma are negligible, the equilibrium Amperes law
becomes simply B = 0. This equation can be satised by writing the
magnetic eld in terms of a scalar potential
M
:
B =
M
, vacuum magnetic eld representation. (3.30)
For this case the solenoidal (no magnetic monopoles) condition B = 0 be-
comes the Laplace equation
M
= 0. (3.31)
Methods for solving the Laplace equation in various geometries are available in
many books on electromagnetic theory and other areas of physics. For magne-
tized plasmas such solutions are useful mainly in vacuum regions outside the
DRAFT 22:52
plasma, or as the lowest order magnetic eld structure for cases where currents
in the plasma do not signicantly change the magnetic eld. However, for many
important magnetized plasma situations the electrical currents owing in the
plasma are signicant, and in fact very important, in determining the structure
and even topology of the magnetic eld. Thus, solutions of (3.31) for vacuum
magnetic elds are not always useful for magnetized plasmas and we must look
elsewhere for broadly applicable descriptions.
Like any vector eld subject to the solenoidal condition ( B = 0), the
magnetic induction eld B can be written in terms of a vector potential A:
B = A. (3.32)
For example, an appropriate vector potential for the sheared slab model is
A
ss
= B
0
_
x +
x
2
2L
B
z
2
2R
C
_
e
y
B
0
x
2
2L
S
e
z
, (3.33)
as can be veried by substituting it into (3.32) and comparing the result to
(3.8).
Alternatively (see Section D.5), the magnetic eld can be written as
B = , Clebsch representation, (3.34)
in which (x) and (x) are scalar stream functions (i.e., functions that are
constant along the vector eld B) since B = B = 0. Note that the
representations of B in (3.32) and (3.34) are equivalent if we dene
A = , or A = , (3.35)
since using vector identities (??), (??), and (??), we have =
and = =. Note also that the vector potential A
and the stream functions , are somewhat arbitrary since they yield the same
magnetic induction eld B under the gauge transformations A A+(x),
and + f
1
() or + f
2
() (but not both f
1
, f
2
simultaneously) in
which , f
1
, and f
2
are arbitrary scalar functions of the variables indicated.
While the stream functions , must be continuous, they can be multivalued
(e.g., they can involve angular or cyclic variables). For examples of and
stream functions, see Problem 3.7, which develops them for the sheared slab
model, and the following sections.
The Clebsch representation of the magnetic eld can be used as a basis for
a coordinate system that represents the global magnetic eld structure the
Clebsch magnetic coordinate system. Along magnetic eld lines, which follow
the curve given by (3.28), we have d/d = (dx/d) = (B)/B = 0
and similarly d/d = 0. Thus, magnetic eld lines lie within (x) = constant
and (x) = constant surfaces. Further, since points in the direction of
(and is equal to) B, the intersection of the , surfaces denes a given magnetic
eld line. Hence, and are labels for a particular magnetic eld line.
DRAFT 22:52
Because the , stream functions label magnetic eld lines in the plane
perpendicular to B, they can provide curvilinear coordinates perpendicular to
the magnetic eld. There is no obvious choice for the coordinate along the
magnetic eld. From physical considerations it is convenient to choose the
length (measured from some suitable surface) along eld lines. [However,
other coordinates along the magnetic eld are often used, e.g., d
M
= Bd
for the vacuum magnetic eld in (3.30)]. Unfortunately, the , , coordinates
are in general not orthogonal and not available in closed form solutions. These
complications plus their possible multivaluedness make them an awkward choice
as the basis for a magnetic-eld-based coordinate system. However, because
of their simplicity and generality they are often useful for proofs concerning
equilibrium, stability and transport properties of magnetized plasmas.
Magnetic ux surfaces usually provide a better basis for developing magnetic-
eld-based coordinate systems for plasma physics. The magnetic ux through
a surface S encompassed by a closed curve C is in general dened by
=
__
S
dS B =
__
S
dS A =
_
C
d A, magnetic ux, (3.36)
in which we have used Stokes theorem (??) in the last step. In this book we
will use a capital letter to indicate the total magnetic ux in its normal units
(webers), and a small Greek letter to indicate a magnetic ux component that
has been normalized in some way (e.g., often = /2). Since magnetic ux
surfaces encompass the bundle of magnetic eld lines within the surface S, they
must satisfy
B = 0, magnetic ux surface condition. (3.37)
Thus, , which by denition [see (??)] is normal to the ux surface (x), is
orthogonal to the magnetic eld B and hence to its eld lines. That is, magnetic
eld lines lie within (x) = constant surfaces.
For a Clebsch coordinate system with A = and a closed contour C
,
the magnetic ux becomes
=
__
S
dS() B =
_
C
d() =
_
C
d . (3.38)
Here, the subscript is placed on and a argument is given for dS to indicate
that this magnetic ux will represent (see below) a magnetic eld component
orthogonal to both the and coordinates. (For example, dS .)
Because the Clebsch representation is general, we will use this form of the mag-
netic ux both as a description of the complete magnetic eld, and for individual
magnetic eld components. To obtain the functional dependence of a magnetic
ux function it is often simplest to calulate it on a surface where it can be
evaluated easily and then extend it to other spatial positions by mapping the
magnetic eld lines it encompasses to the new positions.
DRAFT 22:52
Magnetic ux surfaces can be constructed easily for magnetic congurations
or magnetic eld components in which there is symmetry (i.e., no dependence
on a coordinate) in a direction perpendicular to the magnetic eld. Then,
we choose to be that symmetry coordinate, and the magnetic ux and the
corresponding vector potential become
=
_
d, A
= =

_
d
, for symmetry in . (3.39)
When there is symmetry in the direction, the magnetic eld component pro-
duced by the component of the vector potential in the direction can be
represented in terms of the corresponding magnetic ux by
B
= A
=
_

_
d
_
, for symmetry in . (3.40)
This component of the magnetic eld is labeled with a vector cross product
subscript () because it is orthogonal to both the symmetry coordinate and the
ux coordinate directions: B
= 0, and B
= 0. Note that
is
clearly a magnetic ux function since it satises (3.37). As a simple example of
how to directly use these formulas for a single component magnetic eld, Section
3.4 develops the magnetic ux (and Clebsch) coordinates for an axisymmetric
magnetic mirror.
These formulas can be used to develop magnetic ux coordinates for the
sheared slab model as follows. In the absence of magnetic shear (i.e., for 1/L
S

0), the sheared slab model is symmetric in the y direction. For this case, the
dominant or main magnetic eld component in the sheared slab model can
be calculated by taking = y,
_
d = y
0
. Then, we use the rectangular
surface in the z = 0 plane specied by (see Fig. 3.3a) 0 x x
0
and 0
y y
0
for calculating the magnetic ux in the z direction to yield
z
[
z=0
=
_
x0
0
dx
_
y0
0
dy B
z
= (x
0
+x
2
0
/2L
B
)y
0
B
0
at z = 0. This magnetic ux is extended
to other (small) z values using the eld line label x
0
= x z
2
/2R
C
from (3.14)
to yield:
z

_
x +
x
2
2L
B
z
2
2R
C
_
y
0
B
0
xy
0
B
0
, A
y

y
y
0
y,
B
main
= A
y
=
_
z
y
0
_
e
y
B
0
__
1 +
x
L
B
_
e
z
+
z
R
C
e
x
_
. (3.41)
To determine a similar magnetic ux form for the auxiliary magnetic shear
component in the sheared slab model, we consider the case where the perpen-
dicular gradient in B and curvature are absent (i.e., 1/L
B
= 0 and 1/R
C
= 0),
and the eld line label simplies to x
0
= x. Then, there is symmetry in the
z direction, and we take = z,
_
d = z
0
. Using the rectangular surface in
the y = 0 plane specied by (see Fig. 3.3b) 0 x x
0
and 0 z z
0
, we
obtain
y
[
y=0
=
_
x0
0
dx
_
z0
0
dz B
y
= (x
2
0
/2L
S
)z
0
B
0
. (The
y
magnetic ux
DRAFT 22:52
x
x
y
y
z
z
B
y
(x)
B
x
0
y
0
z
0
x
0
a)mainmagneticfluxy
m
b)auxiliarymagneticfluxy
*
Figure 3.3: Geometry of the surfaces through which the (a) main (
z
) and (b)
auxiliary (
y
) magnetic uxes are calculated for the sheared slab magnetic eld
model.
is negative because dS d
x
d
z
= e
x
dxe
z
dz = e
y
dxdz.) Using x
0
= x,
this yields
y
=
x
2
2L
S
z
0
B
0
, A
z

y
z
0
z,
B
aux
= A
z
=
_
y
z
0
_
e
z
= B
0
x
L
S
e
y
. (3.42)
The total magnetic eld in the sheared slab model can be represented in
terms of its y and z magnetic ux components by adding these two results:
B
ss
= B
main
+B
aux
= (
z
/y
0
)y +(
y
/z
0
)z. (3.43)
Neglecting terms of order x
2
and z
2
, the two components in (3.43) can be
combined into a single form B B
0
(x+x
2
/2L
B
z
2
/2R
C
)(yxz/L
S
) =
z
y
0
using (3.24), which is in the Clebsch form given in (3.34). However,
in general the two magnetic ux forms cannot be combined into a single Clebsch
form. For the sheared slab model the natural curvilinear coordinates near the
origin that can be deduced from this magnetic ux model of the magnetic eld
are
z
, y
0
y xz/L
S
and z. Note that despite the presence of magnetic
shear, curvature and a perpendicular gradient of B, magnetic eld lines are, as
desired, straight to rst order in this magnetic ux coordinate system: d
z
/d =
0, dy
0
/d = 0, and d dz along eld lines.
Many physically relevant situations are more complicated, either because
they are fully three-dimensional and have no symmetry direction (e.g., the outer
parts of the earths magnetosphere in Fig. 3.1b and the stellarator in Fig. 3.1e),
or because there is a magnetic eld component in the symmetry direction(s)
DRAFT 22:52
(e.g., the screw pinch in Fig. 3.1e and the tokamak in Fig. 3.1d). When there
is more than one magnetic eld component and one of the components is in a
symmetry direction, the magnetic induction eld B can be written in terms of
the magnetic ux components associated with a main (parallel to a symmetry
or periodicity direction) and an auxiliary (perpendicular to the dominant sym-
metry direction, or due to shear, torsion) component of the magnetic eld. Each
magnetic eld component can be written in terms of the relevant magnetic ux
in a Clebsch form using (3.40).
In general, representations of B elds can always be constructed with two
magnetic ux functions. They are quite useful in plasma physics. A single or
total Clebsch form can be developed from them whenever the two ux functions
are single valued functions of each other, which happens when they represent
congurations with closed, nested toroidal magnetic ux surfaces. Examples of
such systems include axisymmetric toroidal congurations (see Section 3.6) and
some regions of stellarators.
For toroidal magnetic congurations with helical magnetic eld lines there
are two natural cyclic coordinates: the toroidal (long way around the torus) and
poloidal (short way) angles and . For the moment these will be arbitrarily-
dened angles; they are only required to span their respective spaces. Then, in
analogy with (3.41) and (3.42), it can be shown in general that the magnetic
eld can be written in the form of toroidal (tor) and poloidal (pol) magnetic
eld and ux components:
B = B
tor
+B
pol
= (
tor
/2) +(
pol
/2). (3.44)
The natural sign of the poloidal magnetic ux
pol
would be negative for this
geometry because of the choice of , , as a right-handed set of coordinates;
however, by convention its sign is changed in this denition. The magnetic axis
(origin) for the poloidal angle coordinate is dened to be the line on which
B
pol
(
pol
/2) vanishes.
In regions where a set of nested toroidal magnetic ux surfaces exist, the
poloidal ux function is a single-valued (monotonic) function of the toroidal
ux function and hence can be written in terms of it:
pol
=
pol
(
tor
). Then,
the poloidal and toroidal angles can be modied (
f
and
f
), so that
magnetic eld lines are straight in them (hence, the f subscript indicating
proper ux surface coordinates). (See Section 3.6 for the development of such
straight-eld-line coordinates for axisymmetric toroidal congurations.) Thus,
for toroidal congurations with nested ux surfaces, the magnetic eld in (3.44)
can be written compactly in the Clebsch form
B =
_
tor
2
_
f

_

2
_
f
_
, toroidal ux surfaces B eld,
(3.45)
DRAFT 22:52
where we have dened
(
tor
) 2
_
d
pol
d
tor
_
, rotational transform angle (degrees), (3.46)
which is the slope (d
f
/d
f
) of the magnetic eld lines in the
f
f
plane. Here,
is the small Greek letter iota; it is divided by 2 in many formulas to represent
the angle of eld line rotation (per toroidal transit) in radians. For this model
magnetic eld we identify the Clebsch coordinates as =
tor
/2 and =
f
(/2)
f
. Along magnetic eld lines we have d = d
tor
/2 = 0 and d = 0
or d
f
= (/2) d
f
=
f
= (/2)
f
+ constant. Thus, magnetic eld lines are
straight in the
tor
=constant,
f

f
plane. For such toroidal congurations the
natural magnetic eld curvilinear coordinates are those based on the magnetic
ux coordinates
tor
,
f
, and
f
, which unfortunately are not usually orthogonal.
Nonetheless, since /2 is typically not a rational number (ratio of integers,
see Section 3.6), the magnetic ux coordinates usually provide a more useful
description than the Clebsch coordinates because of the multivaluedness of
the coordinate in
f
and
f
and because (or some other coordinate along eld
lines) is not one of the natural coordinates of the magnetic eld description.
3.3 Magnetic Islands
This section will explain how an error magnetic eld can create a magnetic island
in a sheared magnetic eld model it is yet to be written and inserted. The
main point of this section will be to show that when a resonant magnetic eld
perturbation of the type

B
x
=
B
x
sin ky is added to the sheared slab model
it produces a magnetic island of width w = 4 (L
S

B
x
/kB
0
)
1/2
and to elucidate
various properties of eld lines in and around the magnetic island structure.
3.4 Open Magnetic Congurations*
There are many types of open magnetic congurations: a cylindrical column
of magnetized plasma, magnetic mirrors (Fig. 3.1a), the earths magnetosphere
(Fig. 3.1b), the interplanetary magnetic eld, solar ares, cusps (produced by
pairs of mirror coils in which the coil currents ow in opposite directions),
and so-called divertor regions on open eld lines that are outside the closed
ux surfaces in toroidal congurations. The simplest and conceptually most
important open congurations are of the axisymmetric magnetic mirror type,
as shown in Fig. 3.4.
We consider rst an axisymmetric magnetic mirror composed of two identical
current-carrying solenoidal coils separated by a distance L, as shown in Fig. 3.4a.
This simple mirror is an important paradigm for discussing many eects of
geometry on magnetized plasmas. Since there is symmetry in the azimuthal ()
DRAFT 22:52
0

1

2
-
2
-
1
0=0
2
L
M
z
S
N
r
0
2
r
B
|B|
-60 60 0
|B|
B
max
B
min
2B
min
-L
/2 -L
/2 0
B
R
Z
Figure 3.4: Two fundamental types of axisymmetric open magnetic eld cong-
urations: a) (on left) axisymmetric or simple magnetic mirror; and b) (on right)
a dipole magnetic eld such as that due to the earths magnetic dipole.
direction and no component of B in this direction, we can construct a Clebsch-
type magnetic ux coordinate system using (3.39) and (3.40):
B =
_
m
2
_
, axisymmetric mirror (m) magnetic eld. (3.47)
Here, we have taken = and used (3.39) to identify the magnetic ux for
an axisymmetric magnetic mirror as
m
=
_
d = 2. A vector potential
that produces this magnetic eld is A = (
m
/2) = (
m
/2R) e
. This
representation can also be used to describe the bumpy cylinder magnetic eld
produced by a set of solenoidal coils conning a cylindrical column of magnetized
plasma (see Problems 3.1 and 3.12).
The magnetic eld structure in an axisymmetric magnetic mirror is one of
the simplest nontrivial magnetic congurations. In particular, as can be seen
from Fig. 3.4a, because of the axisymmetry, it has no gradient of B or curvature
in the azimuthal () direction, Also, it has no shear or torsion. However, there
are axial (and parallel) and radial gradients of B in an axisymmetric mirror.
Further, the magnetic eld lines have normal (see Section D.6) curvature (
N

m
,= 0). When the sheared slab model in (3.8) is used to describe the
DRAFT 22:52
local magnetic eld in a simple mirror, we make the following associations:
(x, y, z) (
m
, , ), 1/R
C
=
x

m
/[
m
[, 1/L
B
= (1/B)(dB/dx)
[
m
[(1/B)(B/
m
), 1/L
S
0.
In a simple mirror the magnetic eld strength varies signicantly along mag-
netic eld lines. It is smallest at the midplane (Z = 0) between the mirrors and
maximum in the mirror throats (Z = L/2) of the two coils. Since the vari-
ation of [B[ along magnetic eld lines is approximately sinusoidal between the
mirror coils, it is commonly represented by the sinusoidal model in (3.6). Near
the midplane at = Z = 0, to lowest order the variation of the magnetic eld
strength is quadratic in and can be represented by the quadratic well model
(3.4). The mirror ratio R
m
B
max
/B
min
increases with minor radius R from
its minimum on the axis of symmetry (R = 0). When the mirror coils are
separated by approximately their diameters, its on-axis value is about 23.
The magnetic ux coordinate system
m
, , for a simple mirror can be
related to a cylindrical coordinate system R, , Z constructed about the sym-
metry axis of the magnetic mirror. For simplicity we dene = 0, Z = 0 at the
midplane between the two mirror coils. We calculate the relation between the
distance along a eld line and the axial cylindrical coordinate Z as follows.
First, we take the dot product of the eld line equation (3.28) with e
Z
Z
to obtain
dZ
d
=
B
Z
B
. (3.48)
Since there is no azimuthal magnetic eld component (B
B = 0) and
near the axis of symmetry (R = 0) we can see from Fig. 3.4a that B
R
<< B
Z
,
we have
B =
_
B
2
Z
+B
2
R
B
Z
[1 + (1/2)(B
2
R
/B
2
Z
) + ]. (3.49)
Now, the cylindrical coordinate form of B = 0 is
1
R
R
(RB
R
) +
B
Z
Z
= 0.
Integrating this equation over a small distance R at constant Z away from R = 0
where B
R
= 0 (by axisymmetry) assuming that, as will be demonstrated below,
B
Z
depends only weakly on R, yields
B
R

R
2
B
Z
Z

R
2
B

R
L
2
B
min
. (3.50)
Here, we have anticipated from (3.49) that B B
Z
and Z near R =
0, Z = 0, and in the last form we have used the quadratic well approximation
of (3.4). The radial magnetic eld component B
R
is nonzero and negative to
provide the needed (for B = 0) convergence (dR/d B
R
< 0) of the eld
lines as the magnetic eld strength increases away from the mirror midplane
DRAFT 22:52
(B/ > 0) see discussion after (3.3). Using (3.50) in (3.48), the length
along a magnetic eld line is given for small R (<< L
) and (<< L
) by
d
dZ
= 1 +
1
2
B
2
R
B
2
Z
+ = = Z[1 +R
2
Z
2
/6L
4
+ ],
= e
Z
(1 +R
2
Z
2
/2L
4
+ ) +e
R
(RZ
3
/3L
4
+ ). (3.51)
Note that for R ,= 0 the distance along eld lines is longer than the axial
distance Z, and that this lengthening eect increases with the cylindrical radius
R. Note also that for this simple mirror does not point in the same direction
as B since the coecient of e
R
in is positive while B
R
< 0.
The total magnetic ux
m
within a cylindrical radius R can be determined
approximately at the Z = 0 plane by neglecting the slight variation of B with
R, and then extended along eld lines using R R() and B(Z = 0) B():
m

__
Z=0
dS B =
_
2
0
d
_
R
0
R
dR
B R
2
B(Z = 0) = R
2
()B().
(3.52)
The gradient of
m
, which denes one of the directions in the magnetic ux
coordinate system, is
(
m
/2) BRR + (R
2
/2)(B/Z)Z BR[ e
R
+ (RZ/L
2
) e
Z
].
Using this result together with = e
/R in (3.47) yields the desired magnetic

eld direction and magnitude variation along eld lines for an axisymmetric
mirror near R = 0, Z = 0.
The magnetic ux within a given bundle of magnetic eld lines is conserved
(since B
m
= 0) as we move along the eld lines and the magnetic eld
strength varies. Thus, the radius R() of a given magnetic ux surface (or eld
line) can be determined from (3.52),
R()

m
B()
= R(0)
B
min
B()
, radius of ux surface. (3.53)
Hence, the radius of a ux surface varies inversely with the square root of the
eld strength ux surfaces get smaller in radius R as we move toward the
mirror throats.
The normal (
m
or radial direction) curvature of the magnetic eld lines
can be obtained from the second derivative of R() along a eld line:
R

d
2
R()/d
2
. Near the axis of symmetry and midplane of a simple mirror it is
given by
R
R/L
2
, for R, [Z[ << L
. (3.54)
[This result can also be obtained from the denition
R
d(B
R
/B)/d from
(3.15) see Problem 3.11]. Thus, as is obvious physically from the axisymmet-
ric magnetic mirror geometry, the radius of curvature R
C
1/[
R
[ is innite on
the symmetry axis (R = 0), but is nite for R ,= 0 and decreases as R increases.
DRAFT 22:52
The variation of [B[ in the radial (R) direction can be estimated from the
magnetic eld curvature as follows. First, we recall that for small R, Z the
magnetic eld can be expanded as indicated in (3.49). Next, we assume that
the plasma electrical current in the direction is small and can be neglected.
Then, the component of the equilibrium (/t 0) Amperes law becomes
0 = e
B =
B
R
Z

B
Z
R
B
Z
(
R
ln B
Z
R
).
Thus, as we could also have deduced from (3.18), we have
ln B
Z
R

R

R
L
2
= B
Z
B
min
_
1 +
Z
2
L
2
R
2
2L
2
_
. (3.55)
Using this result in the expression for [B[ in (3.49), we nd
[B[ B
min
__
1 +

2
L
2
__
1
R
2
2L
2
_
+
_
. (3.56)
Hence, as can be discerned by looking at the density of the eld lines sketched
in Fig. 3.4a, there is a saddle point in the magnetic eld strength at the center
(R = 0, Z = = 0) of the simple mirror [B[ increases along eld lines
(
2
B/
2
> 0 near [Z[ = 0), but decreases radially (B/R < 0, for R ,=
0). Within the axisymmetric model of the magnetic mirror eld, [B[ always
decreases with radius R; hence the region near R = 0, Z = 0 is a magnetic hill
radially, but a magnetic well axially. It will turn out (see Chapter 21) that for
macroscopic plasma stability we need to place the plasma in a global magnetic
well (B/R > 0,
2
B/Z
2
> 0). A minimum-B or magnetic well mirror
conguration can be created by adding nonaxisymmetric, multipolar magnetic
elds that are produced by currents in alternating directions in a set of axial
wires (Ioe bars) outside the mirror coils (see Section 21.1).
Next, we consider the axisymmetric magnetic eld generated by the earths
magnetic dipole, as indicated in Fig. 3.4b. Since the electrical currents in the
plasma near the earth are too weak to signicantly aect the magnetic eld,
we need only calculate the vacuum eld induced by the earths dipole magnetic
moment
E
M
d
e
z
. The magnetic potential
d
induced by a point magnetic
dipole is given by (
0
/4 1 for mks cgs units)
d
=
_
0
4
_

E
x
[x[
3
, magnetic potential for dipole eld. (3.57)
Using the spherical coordinate system shown in Fig. 3.4b, outside the earth
(r > R
E
) the magnetic potential becomes
d
=
_
0
4
_
M
d
e
z
x
[x[
3
=
_
0
4
_
M
d
sin
r
2
(3.58)
DRAFT 22:52
in which [x[ = r is the distance from the center of the earth. Here, we have used
e
z
x = z = r cos = r sin in which = /2 is the angle characterizing
the latitude from the equatorial plane ( = /2, = 0).
Evaluating the components of B =
d
in r, , spherical coordinates,
we obtain
B
r
=
_
0
4
_
2 M
d
sin
r
3
, B
=
_
0
4
_
M
d
cos
r
3
, B
= 0, diplole eld.
(3.59)
The B
component vanishes because of the axisymmetry about the earths

magnetic axis. The total magnetic eld strength is thus given by
B =
_
B
2
r
+B
2
=
_
0
4
_
M
d
(1 + 3 sin
2
)
1/2
r
3
, (3.60)
which shows that the magnetic eld strength increases with latitude and
decreases with radial distance (as 1/r
3
).
The magnetic ux
d
for a dipole (subscript d) magnetic eld can be calcu-
lated from the magnetic eld penetrating downward through a disk in the z =
constant plane that extends radially outward from r to innity using dS(z)
e
z
, and B (e
z
) = B
cos :
d
=
__
dS(z) B =
_

r
r
dr
_
2
0
d cos B
=
_
0
4
_
2M
d
cos
2
r
.
(3.61)
The direction of dS(z) and sign of
d
were chosen so that
d
is in the e
r
(radially outward) direction at = 0. The variation of the radius of a eld
line as changes can be obtained from the constancy of the magnetic ux
d
along eld lines: r() = r
0
cos
2
in which r
0
is the radius of the eld line in
the equatorial plane. Using this eld line result in (3.60), we nd that along a
magnetic eld line [B[ (1 + 3 sin
2
)
1/2
/ cos
6
, which increases rapidly away
from the equator ( = 0) see Fig. 3.4b. Near the equatorial plane the
magnetic eld strength can be modeled by the quadratic well model of (3.4)
with r
0
and L
= (
2/3)r
0
(see Problem 3.14). Since B/ > 0 for
> 0, magnetic eld unit vectors converge (B
r
< 0,
b < 0) as we move
along eld lines vertically, above and away from the equatorial plane, toward
the earths polar regions where the magnetic eld strength is largest.
For a Clebsch-type magnetic ux representation of the dipole magnetic eld
we take and /2, and thus have
B =
_
d
2
_
, dipole magnetic eld. (3.62)
That this form reproduces the eld components in (3.59) can be shown using
= e
/(r cos ), e
r
e
= e
, e
= e
r
(because = /2 ). Note
DRAFT 22:52
also that the dipole magnetic eld can be represented by the vector potential
A = (
d
/2) = (
d
/2r) e
.
Like the simple mirror, the earths dipole magnetic eld has no shear or
torsion. However, there is normal (radial) curvature and, since this is a nearly
vacuum eld, a concomitant radial gradient of [B[. Using (3.60) and J 0 in
(3.20), we nd for all
r
=

r
ln B =
3
r
, L
B
= R
C
=
r
3
, curvature of vacuum dipole eld.
(3.63)
Note that for the dipole eld the radius of curvature is independent of latitude
and equal to its obvious value of 3/r in the equatorial plane ( = 0). When
the sheared slab model in (3.8) is used to describe the local magnetic eld in
the earths dipole eld, we make the following associations: (x, y, z) (, , ),
1/L
B

r
,
x

r
, and 1/L
S
= 0.
Since mathematical descriptions of nonaxisymmetric open magnetic con-
gurations usually depend on the specics of the particular case, we will not
develop any in detail. While the characteristics of particular open magnetic
congurations can be quite important for specic eects, the lowest order or
most fundamental properties of open congurations are usually dominated by
the open rather than closed nature of the eld lines, the magnetic mirrors along
B, and the B and curvature of the eld lines. These latter properties are all
included in the axisymmetric models developed above. Thus, the axisymmetric
simple mirror or dipole eld models provide appropriate lowest order magnetic
eld models for all open congurations.
3.5 Screw Pinch Model*
There are a number of types of axisymmetric toroidal magnetic eld congura-
tions used for plasma connement: tokamaks (Fig. 3.1d), spherical tokamaks,
spheromaks and reversed eld pinches devices whose interrelationships are
discussed at the end of this and the next section. The paradigm for the ax-
isymmetric toroidal class of congurations is the tokamak, both because it is
the simplest axisymmetric toroidal magnetic conguration with two magnetic
eld components, and because so many experimental tokamaks have been built
and operated worldwide in the pursuit of the magnetic connement approach
to controlled fusion. In turn, the tokamak magnetic geometry is often approx-
imated by a periodic cylinder (see Fig. 3.1c), which is called the screw pinch
model and the focus of this section. In this section and the following one we
develop the screw pinch and axisymmetric toroidal models in general, and then
indicate the lowest order tokamak forms in the usual large aspect ratio (thin
donut) expansion after approximate equalities (). The use and forms of these
general magnetic eld structures for other axisymmetric toroidal congurations
are discussed at the end of the sections: reversed eld pinches at the end of this
section, and spherical tokamaks and spheromaks at the end of the next section.
DRAFT 22:52
Figure 3.5: Screw pinch model of tokamak magnetic eld geometry. The axial
periodicity length 2R
0
represents the periodicity of the tokamak in the toroidal
direction.
The key parameter that describes the degree of toroidicity in all toroidal
magnetic congurations is the reciprocal of the aspect ratio. The aspect ratio A
is dened as the ratio of the major (R
0
) to minor (r) radius of a given magnetic
ux surface in the torus. The degree of toroidicity in toroidal congurations is
indicated by the parameter

r
R
0
=
1
A
, inverse aspect ratio. (3.64)
This is a small number for magnetic ux surfaces inside most standard toka-
maks whose aspect ratios at the plasma edge typically range from 2.5 to 5. Thus,
it will be used as an expansion parameter in the analysis of tokamak magnetic
eld systems.
There are two classes of intrinsically toroidal eects in tokamaks that need
to be taken into account for small but nite . First, there are the eects due
to the toroidal curvature: the toroidal curvature of the magnetic eld lines and
the dierences in the magnetic eld strength on the inner (small R) and outer
(large R) sides of the torus [see Eq. (3.110) in the next section]. Second, and
most importantly, there is the double periodicity of the system in the toroidal
(long way around the torus) and poloidal (short way) angle variables and .
In the screw pinch (periodic cylinder) model of the tokamak the double
periodicity is taken into account, but the toroidal curvature eects are neglected.
This model uses an r, , z cylindical geometry, as indicated in Fig. 3.5. In the
screw pinch model, r reresents the minor radius (or ux surface label) and
DRAFT 22:52
represents the poloidal angle in the tokamak. The tokamaks periodicity in the
toroidal angle is modeled by requiring periodicity in the axial coordinate z
over the toroidal length of the torus, 2R
0
. Thus, the axial distance z in the
screw pinch is associated with the tokamak toroidal angle through
z = R
0
. (3.65)
The magnetic eld in a tokamak has two components. The main, toroidal
(, z) magnetic eld B
tor
is produced by electrical currents owing poloidally
mainly in coils wrapped poloidally around the torus, but also within the plasma.
The smaller (for << 1) poloidal () magnetic eld B
pol
is produced by the
toroidal component of current owing in the plasma. In the screw pinch model
both components can depend on the minor radius r, although the variation
of [B
tor
[ with r is weak for typical tokamaks. Thus, the magnetic eld in a
tokamak is modeled by
B = B
tor
+B
pol
B
z
(r) e
z
+B
(r) e
, screw pinch model eld. (3.66)

Note that in the screw pinch model there is symmetry in the z, directions and
magnetic eld lines lie on constant radius (r) surfaces (e
r
dx/d = B
r
/B = 0).
The poloidal magnetic eld is related to the axial component of the current
density J through the axial component of the equilibrium Amperes law:
e
z
B =
0
e
z
J =
1
r
d
dr
[ rB
(r) ] =
0
J
z
(r). (3.67)
Integrating this equation using the boundary condition (by symmetry) that
B
= 0 at r = 0 yields
B
(r) =

0
r
_
r
0
r
dr
J
z
(r
) =

0
I
z
(r)
2r
, poloidal magnetic eld, (3.68)
in which I
z
(r)
__
dS(z) J is the axial current owing within a radius r.
Similarly, the radial variation of the toroidal magnetic eld B
z
is related to
the poloidal current density through e
B =
0
J
= dB
z
/dr =
0
J
,
which upon integration using the boundary condition that the currents in the
external poloidal coils and the plasma produce a toroidal magnetic eld strength
of B
z
(0) B
0
on the axis (r = 0) yields
B
z
(r) = B
0
_
1

0
B
0
_
r
0
dr
(r
)
_
B
0
, toroidal magnetic eld. (3.69)
In order to determine the radial dependence of B
z
, we need a specic plasma
model for the poloidal current density J
. However, as indicated by the approx-

imate equality, the magnetic eld induced by the poloidal current in a tokamak
is usually small because the helical pitch [see (3.73) below] of the eld lines
is small, and because the plasma-pressure-induced currents are small for low
pressure plasmas.
DRAFT 22:52
The magnetic uxes associated with the toroidal and poloidal magnetic elds
in the screw pinch model can be determined by calculating the magnetic uxes
in the z and symmetry directions (see Fig. 3.5):
tor

__
dS(z) B
tor
= 2
_
r
0
r
dr
B
z
(r
), toroidal magnetic ux, (3.70)
pol

__
dS() B
pol
= 2R
0
_
r
0
dr
(r
), poloidal magnetic ux. (3.71)

The screw pinch magnetic eld (3.66) can be written in terms of these magnetic
uxes using (3.40) or A = (
tor
/2) (
pol
/2)(z/R
0
):
B = (
tor
/2) +(z/R
0
)(
pol
/2)
= (
tor
/2)[ (/2) (z/R
0
)] (3.72)
in which we have used the denition of = (r) in (3.46). The last form is a
Clebsch representation with =
tor
/2 and = (/2) (z/R
0
). For this
Clebsch representation, the equation for a magnetic eld line is d = 0 =
tor
(r) = constant = r = constant and d = 0 = d = (/2) dz/R
0
=
= z (/2R
0
) + constant. Thus, the magnetic eld lines in a screw pinch lie
on r = constant surfaces and are naturally straight in the z plane with a
constant helical pitch (see Fig. 3.1c):
d
dz
=
(r)
2R
0
, helical pitch of eld lines. (3.73)
Note that the screw pinch model magnetic eld is in the toroidal ux form of
(3.45) with the straight eld line coordinates identied as
f
and
f
z/R
0
.
It is customary to characterize the inverse of the pitch of the helix of magnetic
eld lines in a tokamak by a global measure (see Fig. 3.8 and discussion in next
section) which is the number of toroidal (or axial periodicity length) transits of
a magnetic eld line per poloidal transit ( increasing from 0 to 2):
q(r)
# toroidal transits of a eld line
# poloidal transits of a eld line
, toroidal winding number
=
_
2R0/(/2)
0
dz/2R
0
_
2
0
d/2
=
2
(r)
=
d
tor
d
pol
=
r B
z
(r)
R
0
B
(r)
. (3.74)
The q value is also known as the safety factor because, as we will see in
Chapter 21, it must be greater than unity for macroscopic plasma stability in
a tokamak. Typical radial proles for the poloidal and toroidal currents and
magnetic elds and the consequent q prole are shown in Fig. 3.6. As indicated,
q typically ranges from about unity on axis to a value of 35 at the plasma
edge. In terms of q the helical pitch of the eld lines in (3.73) becomes simply
d/dz = 1/R
0
q.
DRAFT 22:52
Figure 3.6: Radial proles for a typical large aspect ratio tokamak: a) currents,
b) magnetic elds, and c) toroidal winding number q.
It is also customary in tokamaks to use the poloidal rather than toroidal
magnetic ux as the radial variable and to leave out the 2 factor by dening

pol
2
= R
0
_
r
0
dr
(r
), = R
0
B
(r) e
r
, poloidal ux function.
(3.75)
Thus, the normal magnetic ux representation of the screw pinch model for a
tokamak is
B = (q z/R
0
) B
0
e
z
+e
z
, screw pinch eld, (3.76)
in which the approximate form indicates the lowest order form in the large
aspect ratio limit << 1. Working out the magnetic eld components from
either (3.66) or (3.76) using (3.74), we obtain
B B
z
e
z
+B
= B
z
(r)
_
e
z
+
r
R
0
q(r)
e
_
B
0
_
e
z
+

q
e
_
, (3.77)
Note that the total magnetic eld strength in this model is
B =
_
B
2
z
+B
2
= B
z
_
1 +B
2
/B
2
z
= B
z
h B
0
(3.78)
in which we have dened the geometric factor
h B/B
z
=
_
1 +r
2
/R
2
0
q
2
=
_
1 +
2
/q
2
1. (3.79)
For typical tokamaks /q 0.1 << 1, so usually the poloidal () magnetic eld
is smaller than the toroidal (dominant) magnetic eld by about an order of
magnitude. Thus, for typical tokamaks the approximate equalities at the end of
equations (3.69), and (3.76)(3.79) and subsequent ones in this section apply.
Note also that hence the helical eld lines in typical tokamaks have only a slight
twist angle (torsion): r d/dz = r/R
0
q = /q << 1.
DRAFT 22:52
In the screw pinch model the magnetic eld strength is constant along a
magnetic eld line; hence from (3.3) the screw pinch model magnetic eld unit
vectors

b B/B neither converge or diverge. However, the magnetic eld in
this model does have torsion, curvature, a perpendicular gradient and shear.
For the screw pinch model the unit vector along the magnetic eld is
b
B
B
=
1
h
_
e
z
+
r
R
0
q
e
_

_
e
z
+

q
e
_
. (3.80)
Using the denition of the torsion in (??) with a unit normal N = /[[ =
e
r
, we nd that for the screw pinch model
= (
b )(
be
r
) =
r
hR
0
q
(e
)
e
h
=
1
h
2
R
0
q
e
, torsion. (3.81)
Here, we have used the vector identities (??), (??) and (??) along with =
e
/r to show that
(e
)e
= e
(e
) = e
(r) = e
(e
r
e
)/r = e
r
/r;
(3.82)
hence e
r
(e
)e
= 1/r. Thus, the distance along a magnetic eld line over

which it twists helically through one radian in the screw pinch model is
L
= 1/
r
= h
2
R
0
q R
0
q, torsion length. (3.83)
The torsion vector can also be written in terms of the magnetic eld com-
ponents as = (B
B
z
/rB
2
) e
r
see Problem 3.19. Note also that in the
tokamak limit of /q << 1 the helical pitch of the eld lines given in (3.73)
becomes simply the torsion
r
.
The curvature in the screw pinch model is worked out similarly using the
vector identities (??) and (3.82):
(
b )
b =
r
hR
0
q
(e
)
r
hR
0
q
e
=
r
(hR
0
q)
2
e
r
, curvature. (3.84)
The curvature of magnetic eld lines in the screw pinch model can be writ-
ten in terms of the magnetic eld components as = (B
2
/rB
2
) e
r
see
Problem 3.19. The curvature length R
C
1/[
r
[ = (hR
0
q)
2
/r R
0
q(q/) is
much longer than the torsion length L
R
0
q in the screw pinch model of a
tokamak because the curvature is produced only by the poloidal motion of the
small pitch helical eld lines. The perpendicular (radial) gradient scale length
[L
B
B/(dB/dr)] is of the order of the curvature radius R
C
. However, since
the dierence depends on the current and plasma pressure proles, it will not
be worked out until Chapter 20. Note also that since the curvature is only in
the radial direction there is only normal curvature. Because the magnetic eld
lines do not have curvature within a magnetic ux surface, there is no geodesic
curvature see (??) in Section D.6.
DRAFT 22:52
Finally, it can be shown (see Problem 3.25) that for the screw pinch model
the local magnetic shear dened in (??) and (3.25) becomes (see Problem 3.19
for the form of the magnetic shear in terms of the magnetic eld components
B
and B
z
):
(
be
r
) (
be
r
) =
1
L
S
=
r
h
2
R
0
d
dr
_
1
q
_
. (3.85)
Note that in the screw pinch model the shear is constant on a magnetic ux sur-
face (r = constant). Recalling from (3.74) that 1/q is just the radian rotational
transform /2 of the helical eld lines, the local shear can be written as
=
1
L
S
=
r
2h
2
R
0
d
dr
=
r
h
2
R
0
q
2
dq
dr
=
s
h
2
R
0
q

s
R
0
q
, magnetic shear,
(3.86)
in which
s(r)
r
q
dq
dr
, magnetic shear parameter, (3.87)
is an order unity magnetic shear parameter commonly used in stability analyses
of tokamak plasmas. There is magnetic shear in large aspect ratio tokamaks
only if the axial current density J
z
varies with radius r since B
(r)/r
(1/r
2
)
_
r
0
r
dr
J
z
(r
). By convention, in tokamak plasma analyses the sign of

the shear is reversed so that s > 0 indicates positive or normal magnetic
shear, and s < 0 indicates reversed or abnormal shear.
Having delineated the local dierential properties in the screw pinch model,
we can now develop a sheared slab model for it. At nite r since the curvature
and perpendicular gradient scale lengths are so long (compared to the torsion
and shear lengths) their eects are usually neglected in the simplest slab models.
As indicated previously, the sheared slab model does not include torsion eects.
Thus, the local sheared slab model for the screw pinch model of a tokamak near
a eld line at a radius r
0
is simply
B
ss
= B
0
b +
b
aux
= B
0
[
b + (x/L
S
) e
]. (3.88)
in which
aux
B
0
x
2
2L
S
, and e

be
r
=
1
h
_
e

q
e
z
_

_
e

q
e
z
_
.
(3.89)
Here, the sheared slab model coordinates x, y, z correspond to r r
0
, r
0
[
(/q)(z/R
0
)], z + (/q)r
0
and we identify the directions in terms of the cylin-
drical coordinate directions through the directions indicated in the unit vector
b
in (3.80) and a unit vector e
that is perpendicular to
b within the r = constant

(magnetic ux) surface.
The preceding discussion focused on the screw pinch model for tokamaks.
The screw pinch model can also be used to represent reversed eld pinch (RFP)
DRAFT 22:52
plasmas. In RFPs the toroidal and poloidal currents are much larger than those
in a tokamak (by a factor 1/ A >> 1). In particular, the poloidal current
J
is so large that it causes the toroidal magnetic eld to reverse direction in the
edge of the plasma [see (3.69)] hence the name of the connement concept.
The toroidal current in an RFP produces a poloidal magnetic eld B
that is
so large that q and the small /q expansion that is used for tokamaks is
inappropriate. Such a large poloidal magnetic eld also produces an order unity
helical pitch of the magnetic eld lines; magnetic eld lines in an RFP rotate
poloidally and toroidally on about the same length scales, and even become a
reversed direction helix (q < 0) in the edge of the plasma. For such a magnetic
eld structure the curvature is clearly dominated by the poloidal motion of
the eld lines; the toroidal curvature eects are higher order. Thus, to lowest
order the general [before the approximate equalities ()] screw pinch model
developed in this section is often used to approximately describe reversed eld
pinch plasmas. When a more precise description including toroidicity eects
is needed the full magnetic ux description developed in the following section
must be used.
3.6 Axisymmetric Toroidal Congurations*
For toroidal magnetic eld plasma connement systems with two magnetic eld
components (toroidal, poloidal) a tremendous simplication occurs when the sys-
tem is symmetric in the toroidal direction. Then, axisymmetric magnetic ux
surfaces are guaranteed to exist and both a Clebsch and ux surface representa-
tion are available. The resulting magnetic eld system is the simplest, nontrivial
toroidal magnetic eld system and is the basic paradigm for all types of toroidal
magnetic connement systems.
In this section we develop the commonly used axisymmetric toroidal mag-
netic eld descriptions and coordinate systems in general without using a
large aspect ratio expansion. We also show the relationship of the descriptions
and coordinates to the large aspect ratio tokamak and screw pinch models. At
the end of the section we discuss how the general axisymmetric toroidal model
can be used to describe other axisymmetric toroidal magnetic congurations.
The geometry we consider for an axisymmetric tokamak is shown in Fig. 3.7.
Since the toroidal magnetic eld is in the direction of axisymmetry () and
= e
/R in which R is the major radius, it can be written as

B
tor
= B
tor
e
= RB
tor
I , toroidal magnetic eld, (3.90)
in which we have dened
I RB
tor
, toroidal eld function. (3.91)
Because of the axisymmetry, I must be independent of : I/ = 0. The
toroidal eld function I can be related to the current owing in the poloidal ()
direction. The poloidal curent owing through a disk of (major) radius R that
DRAFT 22:52
Figure 3.7: Axismmetric tokamak coordinates (, , ) and geometry for calcu-
lating the poloidal current and magnetic ux.
is perpendicular to the axis of symmetry, as shown in Fig. 3.7, is given, using
Amperes magnetostatic law B =
0
J and Stokes theorem (??), by
I
pol

__
S
dS() J =
_
C
d B/
0
=
_
2
0
Rd B
tor
/
0
= (2/
0
) RB
tor
= (2/
0
) I. (3.92)
Here, the minus sign occurs because the dierential line element on the curve
C along the perimeter of the surface S is in the direction: d e
d.
Thus, the toroidal eld function I represents the poloidal current I
pol
owing
in the plasma and coils outside it. For isotropic pressure plasmas I = I(), i.e.,
I/ = 0.
In the limit of no current owing in the plasma, the toroidal eld function
I is constant and determined by the poloidal currents owing in the toroidal
magnetic eld coils around the plasma. Then, as can be inferred [see (??)] from
the magnetic eld caused by current owing in an innite wire on the symmetry
axis (R = 0), the vacuum toroidal magnetic eld strength decreases as one over
DRAFT 22:52
the major radius R:
B
tor
= I
0
/R = B
0
R
0
/R, vacuum toroidal magnetic eld strength, (3.93)
in which B
0
and R
0
are the magnetic eld strength and major radius at the
magnetic axis.
Next, we develop a form for the poloidal magnetic eld B
pol
. Using the
magnetic ux denition in (3.36) and taking account of the axisymmetry in the
toroidal () direction, the poloidal magnetic ux can be written in terms of the
toroidal component of the vector potential (A
tor
e
A = R A):
pol
=
__
S
dS() B =
_
C
d A =
_
2
0
Rd A
tor
= 2RA
tor
. (3.94)
For simplicity in the nal tokamak magnetic eld represention, it is convenient
to dene a normalized poloidal magnetic ux function:

pol
/2 = RA
tor
, poloidal ux function. (3.95)
Since by denition / = 0, the poloidal ux fuction is independent of
the toroidal angle but in general depends on the cylindrical-like coordinates
in a = constant plane: = (r, ). In terms of this poloidal ux function
the toroidal component of the vector potential can be written A
tor
= /R,
or vectorially as A
tor
= (/R) e
= . Thus, using (3.40), the magnetic

eld component produced by this magnetic ux becomes
B
pol
= A
tor
= , poloidal magnetic eld. (3.96)
The strength of the poloidal magnetic eld is
B
pol
= [[ = [[/R, poloidal magnetic eld strength, (3.97)
which shows that [[ = RB
pol
. The magnetic axis of the tokamak is dened
to be where B
pol
= 0 and hence = 0.
Adding the two components of the magnetic eld, the total magnetic eld
becomes simply
B = B
tor
+B
pol
= I +, axisymmetric magnetic eld.
(3.98)
While this form is quite compact, it is unfortunately in neither a Clebsch form
nor a two component magnetic ux form. Also, it is not written in terms of
straight-eld-line coordinates, and it is a mixed covariant and contravariant
form see Section D.8. Nonetheless, because this representation is compact
and rigorously valid it is heavily used in analyses of axisymmetric toroidal and
in particular tokamak plasmas.
Since by axisymmetry the poloidal ux function must be independent of the
toroidal angle (i.e., / = 0), taking the dot product of B with we obtain
B = (B
tor
+B
pol
) = I + = 0. (3.99)
DRAFT 22:52
Thus, the poloidal ux function satises the ux surface condition (3.37);
hence, magnetic eld lines in axisymmetric toroidal systems lie on = con-
stant surfaces and will be a convenient magnetic ux surface label and radial
coordinate. Note that, by construction and because of axisymmetry, is a suit-
able magnetic ux function for both the toroidal and poloidal magnetic elds.
Thus, we can develop a combined magnetic uxes and Clebsch magnetic eld
representation like (3.45) based on it.
So far we have identied two useful curvilinear coordinates for describing
the tokamak magnetic eld: the axisymmetry angle for the toroidal angle and
the poloidal magnetic ux function for the radial variable. Next, we need
to identify a useful poloidal angle variable. We would like to have a poloidal
angle coordinate in which magnetic eld lines are straight. Thus, we would like
a poloidal angle such that the magnetic eld representation could be put in the
combined Clebsch and magnetic ux representation given by (3.45), with /2
replaced by 1/q and
tor
/2 replaced by for a tokamak representation.
In order to put the tokamak magnetic eld (3.98) in the form of (3.45), the
toroidal magnetic eld (3.90) must be put into the straight-eld-line form
B
tor
= (q) = B = (q) (3.100)
in which
f
(tokamak convention) is the desired straight eld line poloidal
angle. Taking the dot product of the two forms of B
tor
given in (3.90) and
(3.100) with and equating them, we obtain
B
tor
= I = I/R
2
= (q) = q () = q B
pol
(3.101)
in which we have used q = 0 [because q is only a function of see
(3.105) below] and the order of the vector operations has been rearranged using
(??) and (??). Equating the results on the two lines of (3.101), we nd
B
pol
= I/qR
2
= B , (3.102)
where the last equality follows from the fact that since by axisymmetry the
angle must be independent of , B
tor
= 0; thus, B = B
pol
.
Dening a dierential length d
pol
in the poloidal direction on a magnetic ux
surface, the last form of (3.101) yields
pol
=
1
B
pol
I
qR
2
= =
1
q
_

pol
d
pol
B
pol
I
R
2
, (3.103)
in which the integration is to be performed at constant , . The poloidal length
variable
pol
can be dened in terms of the ordinary cylindrical angle about the
magnetic axis. Taking the dot product of the eld line equation (3.28) with
and
pol
, we nd that the poloidal length variable is related to the cylindrical
angle by
dx
d
=
B
B
,
dx
pol
d
=
B
pol
B
=
d
B
=
d
pol
B
pol
.
(3.104)
DRAFT 22:52
Integrating the last form of (3.103) over one complete poloidal traversal of
the ux surface, which we dene to be = 2, we obtain an expression for the
toroidal winding number:
q() =
1
2
_
d
pol
B
pol
I
R
2
=
1
2
_
d
B
I
R
2
or,
q() =
1
2
_
d
B
B

1
2
_
d
rB
tor
RB
pol
rB
tor
RB
pol
[1 +O
2
]. (3.105)
Here, we have used I/R
2
= B from (3.101) and indicated in the approxi-
mate equalities (here and below) the forms that result in the large aspect ratio
limit ( << 1). Note that the lowest order, approximate form for q agrees with
the screw pinch model result (3.74).
The toroidal winding number q may be an integer or the ratio of two integers
(e.g., q = m/n); then, a magnetic eld line on that surface would close on itself
after an integer number of poloidal (n) and toroidal (m) transits around the
torus see (3.74) and Fig. 3.8. Such a surface is called a rational surface.
All magnetic eld lines on a rational surface rotate with the same rotational
transform , running forever parallel to adjacent eld lines on the ux surface;
hence, they sample only a given eld line on the ux surface. On the other hand,
if q is not the ratio of two integers, then the ux surface is called irrational. Thus,
we dene (see Fig. 3.8)
q() = m/n, rational ux surface,
q() ,= m/n, irrational ux surface,
(3.106)
in which m, n are integers. Magnetic eld lines on an irrational ux surface
do not close on themselves; however, if they are followed long enough, they
ll the entire ux surface. This is called ergodic behavior since all points on
the surface are then equally sampled at least statistically in an asymptotic
limit. Note that the vast majority of ux surfaces are irrational; they form a
dense set. Rational surfaces are infrequent, separated radially (i.e., in ) and
of measure zero. Nonetheless, they are very important in magnetized toroidal
plasmas because physical processes taking place on adjacent rational eld lines
are mostly isolated from each other, and because they are degenerate eld lines
that are especially vulnerable to resonant nonaxisymmetric perturbations that
can produce magnetic island structures like those discussed in Section 3.3.
An explicit expression for will now be obtained. Using the rigorous form
of the denition of q in (3.105) and dening like the simple geometric angle
to be zero on the outer midplane of the torus, we can develop from (3.104)
explicit expressions for the straight-eld-line poloidal angle:

1
q
_

0
d
I
R
2
=
1
q
_

0
d
B
I
R
2
=
1
q
_

0
d
B
B
. (3.107)
DRAFT 22:52
Figure 3.8: Puncture plots of magnetic eld lines in a = constant plane on
a magnetic ux surface in an axisymmetric torus. The numbers listed indicate
the number of toroidal transits executed by a eld line. On rational surfaces
eld lines retrace the same trajectory after m toroidal transits whereas on an
irrational surface a single eld line is ergodic and (eventually) samples the entire
surface.
It can be shown using steps like the last few ones in (3.105) that, to lowest order
in a large aspect ratio expansion (e.g., near the magnetic axis), the straight eld
line coordinate is equal to the local cylindrical coordinate :
= O sin . (3.108)
The order sinusoidal variations of with depend on the currents owing
in the plasma; their evaluation will be deferred until Chapter 20 where we use
the macroscopic force balance equations in a nite-pressure tokamak plasma to
determine the currents in a tokamak plasma and the shape of the (x) surfaces.
As can be seen from Fig. 3.1d, the magnetic eld in a tokamak has parallel
and perpendicular gradients, curvature (both normal and geodesic), and local
torsion and shear that are not constant along the magnetic eld. Below, we will
give general expressions for each of these properties both in general, and also in
their lowest order forms in a large aspect ratio ( << 1), low plasma pressure
expansion. To lowest (zeroth) order the magnetic ux surfaces become circles
about the magnetic axis. (To rst order in the ux surfaces are still circles, but
their centers are shifted outward slightly in major radius see Section 20.4.)
Thus, to lowest order we will use the r, , z coordinates of a cylinder whose z
axis lies on the magnetic axis of the tokamak, of a type shown in Fig. 3.1d. To
lowest order the model will mostly reduce to the screw pinch model discussed
in the preceding section compare Fig. 3.5 with Fig. 3.7.
The major radius R to any point in the plasma will be given in terms of the
DRAFT 22:52
major radius of the magnetic axis (R
0
) and the local cylindrical coordinates by
R = R(, ) R
0
[ 1 + cos +O
2
]. (3.109)
Using this approximate representation in the equation for the vacuum magnetic
eld strength variation with R given in (3.93) and the fact that in our tokamak
model B B
tor
[ 1 +O
2
/q
2
], we obtain
B = B(, ) B(r, ) B
0
[ 1 cos +O
2
], tokamak eld strength.
(3.110)
The magnetic eld strength in a tokamak varies approximately sinusoidally
along a helical magnetic eld line from its minimum on the outside ( = 0 where
B
min
/B
0
1) to its maximum on the inside ( = where B
max
/B
0
1+)
of the torus. Thus, it can be represented by the sinusoidal model in (3.6) using
R
0
q and L
2R
0
q. The magnitude of the variation along a magnetic
eld line is usually small: B B
max
B
min
2B
0
<< B
0
. Hence, the mag-
netic mirror ratio dened in (3.7) is usually only slightly greater than unity:
R
m
B
max
/B
min
1 + 2. In summary, the variation of the magnetic eld
strength along eld lines in large aspect ratio tokamaks can be modeled by (3.6)
with
B
min
(1 )B
0
, B 2B
0
, R
0
q , L
2R
0
q,
tokamak B
sin
model parameters. (3.111)
To calculate the perpendicular gradient, curvature and shear in the tokamak
magnetic eld we need to explicitly relate the tokamak magnetic ux system
coordinates , , , which are unfortunately not orthogonal ( ,= 0), to
the local cylindrical coordinates (r, , z) about the magnetic axis:
B
pol
Rr B
pol
R
0
e
r
, (r)
_
r
0
dr B
pol
R
0
, (3.112)

e
r
, B =
I
qR
2

B
pol
r

B
0
R
0
q
, (3.113)
=
e
R

e
R
0
[ 1 cos +O
2
]. (3.114)
The poloidal magnetic eld strength oscillates slightly with poloidal angle:
B
pol
[[/R (/q)B
0
[ 1 +O cos ]. (3.115)
In calculating gradients of various quantities in tokamak system coordinates,
we just use chain rule dierentiation:
B
B
=
1
B
_
_

1
R
0
[ e
r
cos +e
sin +O] .
(3.116)
DRAFT 22:52
in which we have used (3.93) and / terms vanish by axisymmetry. In a toka-
mak with low plasma pressure and hence a small poloidal current (see Chapter
20) the JB contribution to the curvature is small. Thus, using (3.20) the
curvature is given by
=

B
B
+
0
JB
B
2

1
B
_
1
R
0
[ e
r
cos +e
sin +O] , tokamak curvature vector. (3.117)

To this lowest order the curvature is simply the toroidal curvature of the system.
Note that a tokamak has both normal (perpendicular to the ux surface,
N

r
= cos /R
0
) and geodesic (within the ux surface,
B

= sin /R
0
)
curvature see Section D.6. Note further that, because of the inclusion of
toroidicity eects, the tokamak curvature is one order in larger than that in
the screw pinch model (3.84); however, its sign oscillates with the poloidal angle
and its average is of the same order as the curvature in the screw pinch model.
To determine the O terms in (3.117) we need to take account of the plasma
pressure and current proles in the tokamak see Chapter 20.
Using a number of vector identities and other manipulations (see Problem
3.29), it can be shown that the normal torsion in a tokamak can be written as
N
=
I [[
B
2
R
(B)
_

_
qR[[
I
_
+

_
qR[[
I
__
1
R
0
q
[ 1 +O cos ], tokamak local torsion, (3.118)
which to the lowest order is the same as in the screw pinch model see (3.81).
Similarly, the magnetic shear in a tokamak becomes (see Problem 3.31):
y
=
[[
2
B
2
(B)
_

(q)
_
=
[[
2
B
2
(B)
_
dq
d
+q

__

1 +O( cos )
R
0
q
[ s O cos ], tokamak local shear, (3.119)
which again to lowest order is the same as in the screw pinch model see
(3.86). [The convention in the tokamak literature is to reverse the sign of the
shear so that it is positive for normal tokamaks in which q increases with
radius (see Fig. 3.6).] Note that both the local torsion and local shear have order
sinsoidal variations along a magnetic eld line as it moves from the outside to
inside of the torus but their averages over a magnetic ux surface (i.e., over
) are approximately given by their respective values in the screw pinch model.
Again, to obtain the next order () terms correctly we need to take account of
plasma currents and pressures, which we defer until Chapter 20.
In this section we have developed the magnetic eld representation and prop-
erties of axisymmetric toroidal magnetic eld systems in general, and then in-
dicated the lowest order results in the large aspect ratio expansion ( r/R
0
=
DRAFT 22:52
1/A << 1) after an approximate equality sign (). While the discussion has fo-
cused on the tokamak magnetic eld structure, the general development applies
to any axisymmetric toroidal system. Thus, it applies to spherical tokamaks
[very low aspect ratio (A 1.11.5) tokamaks], spheromaks [eectively unity
aspect ratio tokamaks without toroidal eld coils] and reversed eld pinches
[eectively tokamaks with very low q << 1]. For spherical tokamaks and
spheromaks the full generality of the magnetic ux coordinates must be used
because a large aspect ratio expansion is invalid except for small radius ux
surfaces near the magnetic axis where a large aspect ratio expansion can be
used. As indicated at the end of the preceding section, the general screw pinch
model represents reversed eld pinches except for the purely toroidal eects
(variation of B from the outer to inner edge of the torus and toroidal curva-
ture of eld lines). These latter eects are included in the general magnetic
ux model developed in this section. In summary, the general magnetic ux
surface model developed in this section is appropriate for describing all types of
axisymmetric toroidal magnetic eld congurations tokamaks, reversed eld
pinches, spherical tokamaks, and spheromaks.
3.7 Local Expansion of a Magnetic Field+
In order to develop a comprehensive picture of all the possible rst derivative
properties of a magnetic eld, in this section we carry out a formal Taylor series
expansion of the magnetic induction vector eld B(x). The expansion will be
carried out at an arbitrary point in the magnetic conguration where the origin
of a local Cartesian coordinate system will be placed. Thus, our local Taylor
series expansion (subscript le) becomes
B
le
(x) = B
0
+x B
0
+. . . , (3.120)
in which B
0
is the magnetic induction eld at the chosen point, x is the vector
distance from this point, and B
0
represents the evaluation of the tensor Bat
this point. The second and higher order terms in (3.120) will be neglected since
we are interested here only in the local properties of non-pathological magnetic
elds for which the rst derivatives provide a sucient description.
This section uses a number of vector dierentiation identities and seeks to
connect the local magnetic eld derivatives to the common denitions of most
of these properties for arbitrary vector elds. These subjects are summarized
briey in Appendix D, and in particular in the Section D.6. Readers are en-
couraged to read the relevant sections in Appendix D in conjunction with this
section.
As usual we decompose the magnetic induction eld B(x) into its vector
direction and scalar magnitude components at any spatial point x by writing
B(x) = B
b = B(x)
b(x), (3.121)
DRAFT 22:52
in which
B(x) [B(x)[ =

B B, magnetic eld strength, (3.122)
b(x) B(x)/B(x) = B/B, unit vector along B(x). (3.123)

Using this decomposition, we can write the tensor B
0
as
B
0
(B
b)
0
=

b
0
B
0
+B
0
b
0
, (3.124)
in which

b
0
is the unit vector

b evaluated at the origin (point of interest) and
B
0
,
b
0
are B,
b evaluated at this same point.

To work out the various components of the
b and hence B tensors we

can use a local Cartesian coordinate system whose z axis is aligned along

b
at x = (0, 0, 0) (i.e.,

b
0
) and which has its x axis in a particular direction
perpendicular to

b
0
, which we will specify later. Thus, the orthonormal triad
of unit vectors characterizing this local coordinate system will be e
z
=

b
0
, e
x
,
e
y

b
0
e
x
. For notational simplicity, in what follows we omit the subscript
zero on the magnetic eld unit vector

b.
Consider rst the components locally parallel to the magnetic eld:
(
b)
zz

b (
b )
b =
b(
b) = 0,
(
b)
zx
[(
b )
b] e
x
= e
x
(
b )
b ,= 0,
(
b)
zy
[(
b )
b] e
y
= e
y
(
b )
b ,= 0,
(
b)
xz

b (e
x
)
b =
1
2
(e
x
)(
b) = 0,
(
b)
yz

b (e
y
)
b =
1
2
(e
y
)(
b) = 0,
(3.125)
in which we have used the fact that since

b is a unit vector, we have

b
b = 1,
and the vector identity,
1
2
(
b) = 0 =

b(
b) + (
b )
b. (3.126)
For the components locally perpendicular to the magnetic eld we have
(
b)
xx
e
x
(e
x
)
b,
(
b)
yy
e
y
(e
y
)
b,
(
b)
xy
e
y
(e
x
)
b = +e
y
e
y
e
x
(
b )e
y
,
(
b)
yx
e
x
(e
y
)
b = e
x
e
x
+e
x
(
b )e
y
,
(3.127)
in which we have worked out the last two cross terms using vector dierentiation
identities (??) and (??) as follows:
e
y
(e
x
)
b = e
y
[(e
x
b) +e
x
(
b)
b( e
x
) + (
b )e
x
]
= e
y
e
y
+e
y
(
b )e
x
= e
y
e
y
e
x
(
b )e
y
,
(3.128)
and similarly for (
b)
yx
.
DRAFT 22:52
Taking the derivative of the equation along a magnetic eld line given in
(3.28) yields the second derivative of the eld lines coordinate and hence the
local curvature of the magnetic eld [d/d (
b )]:

d
2
b()
d
2
= (
b )
b =
b(
b), curvature vector, (3.129)

which is perpendicular to the local magnetic eld (
b = 0). The zx, zy

components of the tensors
b can be written in terms of the x, y components

of the curvature vector:
(
b)
zx
= e
x
(
b )
b = e
x

x
,
(
b)
zy
= e
y
(
b )
b = e
y

y
.
(3.130)
The x component of the curvature vector is the same as the
x
in the sheared
slab model given by (3.16) and (3.21). From geometrical considerations the
radius of the curvature vector R
C
is antiparallel to the curvature vector .
Hence it is given by
R
C
= /
2
, or = R
C
/R
2
C
, radius of curvature. (3.131)
The torsion of a vector eld is by convention dened to be the negative of the
parallel derivative of the binormal vector, which for our geometry is
be
x
= e
y
:
= (
b ) (
be
x
) = (
b ) e
y
, torsion vector. (3.132)
The x component of this vector is given by
x
e
x
(
b )e
y
= e
y
(
b )e
x
, (3.133)
which is a quantity that appears in xy and yx components of the tensor
b.
Physically, the torsion vector measures the change in direction (or twist) of the
binormal

be
x
as one moves along the magnetic eld.
Shear of a vector eld can be dened for the two directions perpendicular to
the magnetic eld by
x
e
x
e
x
= (
be
y
) (
be
y
), shear in surface perpendicular to x,
(3.134)
y
e
y
e
y
= (
be
x
) (
be
x
), shear in surface perpendicular to y.
(3.135)
That these quantities represent the local shear in the vector eld B can be
seen by realizing that, for example,

be
x
represents the surface locally per-
pendicular to e
y
, (
be
x
) represents the tangential motion (see Fig. ??) or
dierential twisting of this surface, and (
be
x
) (
be
x
) is the component
of this dierential twisting in the original direction e
y
. Note that if e
x
(or e
y
)
DRAFT 22:52
were a unit vector corresponding to a contravariant base vector u
i
in a curvi-
linear coordinate system (see Section D.8), then e
i
= u
i
/[u
i
[ and hence
i

e
i
e
i
= (u
i
u
i
)/[u
i
[
2
= 0. Thus, there is no shear in a direction
described by the gradient of a scalar function (e.g., a magnetic ux function)
because the gradient of a scalar is an irrotational quantity (f = 0). The
corresponding parallel shear

b
b (or parallel component of the vorticity

in the vector eld B) can be written in terms of the x component of the torsion
vector and the two perpendicular shear components as follows:
z

b
b = 2
x
+
x
+
y
, parallel component of vorticity in B eld.
(3.136)
In the absence of shear, this relation is analogous to the component of rotation
of a rigidly rotating uid in its direction of ow, i.e.,
1
2
VV.
The xy and yx or cross components of the
b tensor can be written in

terms of the x, y components of the torsion and shear as follows:
(
b)
xy
=
y
+
x
,
(
b)
yx
=
x
+
x
.
(3.137)
The divergence of the unit vector

b can be written as [using (??)]
b = e
x
(e
x
)
b +e
y
(e
y
)
b +
0
..
b (
b )
b. (3.138)
Thus, the xx and yy (or diagonal matrix element) components of the
b tensor
represent the x and y components of the divergence of the unit vector

b. We
dene these divergence () components of the vector eld B as follows:
x
e
x
(e
x
)
b = (1/B)[e
x
(e
x
)B],
y
e
y
(e
y
)
b = (1/B)[e
y
(e
y
)B].
(3.139)
Collecting together the various components of the tensor
b we thus nd,
in matrix form,
b = (e
x
e
y

b)
_
_
x

x
+
y
0
x

y
0
x

y
0
_
_
_
_
e
x
e
y
b
_
_
. (3.140)
Further, using this result in (3.124), we nd that the tensor B can be similarly
written as
B
_
e
x
e
y

b
_
_
_
B
x
/x B
y
/x B
z
/x
B
x
/y B
y
/y B
z
/y
B
x
/z B
y
/z B
z
/z
_
_
_
_
e
x
e
y
b
_
_
= B
0
_
e
x
e
y

b
_
_
_
x

x
+
y

x
x

y

y
x

y

z
_
_
_
_
e
x
e
y
b
_
_
,
(3.141)
DRAFT 22:52
in which the dierential parameters of the magnetic eld, including some new
gradient () ones which we have introduced here, are dened by:
x

1
B
[e
x
(e
x
)B],
y

1
B
[e
y
(e
y
)B],
z

1
B
(
b )B, divergence,
x
e
x
(
b )
b,
y
e
y
(
b )
b, curvature,
x
e
x
(
b )e
y
,
y
e
y
(
b )e
x
=
x
, torsion,
x
e
x
e
x
,
y
e
y
e
y
, shear,
x
e
x
ln B,
y
e
y
ln B,
b ln B
0
=
z
, gradient B.
(3.142)
Using the expression for B in (3.120) yields the following Taylor series expan-
sion for the magnetic induction eld B:
B
le
B
0
[
b( 1 + x ln B) lowest order + gradient (B)

+ z curvature, (
b )
b =
x
e
x
+
y
e
y
+
x
(xe
y
y e
x
) torsion, xe
y
y e
x
=
1
2
b(x
2
+y
2
)
+ (x
y
e
y
y
x
e
x
) shear
+ (x
x
e
x
+y
y
e
y
) ] divergence
(3.143)
= B
0
[
b( 1 +x
x
+y
y
+z
z
)
+e
x
(z
x
y
x
y
x
+x
x
) +e
y
(z
y
+x
x
+x
y
+y
y
)].
Note that this general result simplies to the sheared slab model (3.8) when the
parameters
y
,
z
,
y

x
,
x
,
x
,
y
and
z
all vanish, i.e., when the magnetic
eld does not vary in the y, z directions, and there is no shear in the x direction
and no torsion of the magnetic eld lines.
The solenoidal condition ( B = 0) will be satised by this local expansion
as long as
0 =
1
B
B
le
=
1
B
[e
x
(e
x
)B] +
1
B
[e
y
(e
y
)B] +
b ln B =
x
+
y
+
z
.
(3.144)
Thus, the three diagonal components of the matrix of B tensor elements are
not independent; there are only 8 independent components of the B tensor.
The curl of our local approximation of the magnetic induction eld B is
given by
B
le
= B
0
[
b(ln B + ) +
b(
b) ], (3.145)
in which we have made use of (3.136). As in the sheared slab model, for plasma
equilibrium situations where the magnetostatic Amperes law applies, the cur-
rents owing in the plasma provide further constraint relations between the
various local dierential parameters involved in (3.145). In particular, since cur-
rents perpendicular to magnetic elds are typically small, usually
ln B
DRAFT 22:52

b(
bln B), i.e., the curvature vector is approximately equal to the

perpendicular gradient of the magnetic eld strength. Also, the parallel shear
(parallel component of vorticity in the magnetic eld

b
b =
0
B J/B
2
) is
nonzero only if current ows along the magnetic eld, i.e, B J ,= 0.
The curvature, shear and perpendicular gradient properties of a magnetic
eld were discussed in the context of the sheared slab model in Section 3.1.
They are illustrated in Fig. 3.2 and their eects mathematically described in
(3.14) and (3.24). The additional magnetic eld line properties of torsion and
divergence can be understood as follows.
Eliminating all but the torsion terms in (3.143), the x, y, z equations govern-
ing the trajectory of a magnetic eld line deduced from (3.28) become simply
dx
d
= y
x
,
dy
d
= x
x
,
dz
d
= 1 = = z.
Dividing the second equation by the rst yields
dy
dx
=
x
y
= d (x
2
+y
2
) = 0,
whose solution is
x
2
+y
2
= x
2
0
+r
2
0
r
2
0
= constant.
This result can be used to reduce the equation for dx/d = dx/dz to one in only
two variables:
dx
dz
= y
x
= (r
2
0
x
2
)
1/2
x
= arcsin
x
r
0
= z
x
+ constant.
The equations governing a eld line with torsion
x
that passes through the
point x
0
, y
0
are thus given by
x = r
0
sin(z
x
+
0
), y = r
0
cos(z
x
+
0
),
0
arctan(y
0
/x
0
).
(3.146)
These equations show that torsion means that as one moves along a magnetic
eld line it undergoes circular motion through an angle of one radian in an axial
distance of
1
x
L
in the plane perpendicular to the magnetic eld see

Figure 3.9a. Comparing the eld line trajectory equations for torsion with that
derived previously for shear, (3.24), or Fig. 3.9a with 3.9b, we see that whereas
torsion represents rigid body rotation or twisting of the eld lines in the
plane perpendicular to the magnetic eld, shear (
x
= 0,
y
,= 0 for Fig. 3.2b)
represents dierential twisting of eld lines out of a plane (the xz plane for
y
,= 0). Thus, whereas the torsion terms can be removed by transforming to a
rotating coordinate system, the eects of magnetic shear cannot be removed by
such coordinate transformations.
To explore the divergence of magnetic eld lines we eliminate all but the
x
and
z
terms in (3.143), and take
z
=
x
so as to satisfy the solenoidal con-
dition (3.144). Then, the equations governing the magnetic eld line trajectory
DRAFT 22:52
Figure 3.9: Additional magnetic eld line characteristics. In each sketch the
nature of magnetic eld lines are indicated when only the identied coecient(s)
do not vanish.
in the xz plane become
dx
d
= x
x
,
dz
d
1.
Integrating the rst equation a short distance (z
x
<< 1) along the magnetic
eld line that passes through the point x = (x
0
, 0, 0) yields
x(z) = x
0
e
xz
= x
0
e
zz
= x
0
exp
_
z
d ln B
dz
_

x
0
B(0)
B(z)
. (3.147)
This result shows that the divergence (
x
> 0) in the xz plane (cf., Fig. 3.9b)
is accompanied by a decrease in the magnetic eld strength [
z
d ln B/dz < 0,
B(z) < B(0) for z > 0], as is required by the solenoidal condition B = 0
see (3.2) and (3.144). The divergence scale length
1
x
(or equivalently [
z
[
1
)
is the linear extrapolation distance along a eld line over which the density of
magnetic eld lines would decrease (increase for
x
< 0,
z
> 0) in magnitude
by a factor of two and the eld lines diverge (converge) by a factor of e.
We can also develop a Taylor series expansion of the magnetic induction eld
B(x) about a given magnetic eld line. Here, we dene x
b(
bx) as the
small vectorial distance o a given magnetic eld line in the x, y plane locally
perpendicular to the eld line. The axial distance along the magnetic eld line
is parameterized by the length along it from an initial reference point. Thus,
DRAFT 22:52
the desired expansion is
B
le
(x
, ) = B
0
()
b
0
() +x
B
0
()
= B
0
()
_
b
0
() [ 1 +x
ln B
0
() ]
+
1
2
b
0
()(x
2
+y
2
) + [x
y
e
y
y
x
e
x
] + [x
x
e
x
+y
y
e
y
]
_
(3.148)
in which all quantities are now evaluated on a particular eld line (i.e., at
x
= 0), but the functional dependence on remains. Compared to the expan-

sion about a point given in (3.143), we see that the curvature () and parallel
gradient (
z
) or divergence (
z
) terms are missing from the expansion about a
eld line because these eects are included via

b
0
() and B
0
(). Note also
that this eld line expansion for B satises the solenoidal condition B = 0 as
long as (3.144) is satised, and yields the result given in (3.145) for B. Since
charged particles in a plasma usually move much more easily (and hence traverse
much longer distances) along magnetic eld lines than perpendicular to them,
the expansion about a eld line is usually more useful, at least conceptually, for
plasma physics applications.
As discussed in Sections 3.2, 3.43.6, often in plasma physics there exist
a set of nested magnetic ux surfaces (x) that surround nested bundles of
magnetic eld lines. When such surfaces exist, is locally perpendicular to
the magnetic eld and it can be used to specify the directions of the unit vectors
in the plane locally perpendicular to the magnetic eld:
e
x
/[[, e
y

b/[
b[ =
b/[[. (3.149)
For such cases it is customary to call the curvature component in the direction
perpendicular to the magnetic ux surfaces (i.e., in the direction) the normal
curvature and the curvature component within the magnetic ux surface (i.e.,
in the

b direction) the geodesic curvature:
x
=
/[[, normal () curvature,
y
=
b/[[, geodesic (
b) curvature.
(3.150)
Since this x coordinate direction is in the direction of the gradient of a scalar,
the shear in the x direction vanishes:
x
= /[[
2
= 0. However,
there can still be shear in the y direction; it can be written as
y
=
(
b) (
b)
[
b[
2
, shear for e
x
. (3.151)
The torsion for this situation where magnetic ux surfaces are assumed to exist
can be written as
x
=
(
b )(
b)
[[
2
, torsion for e
x
. (3.152)
DRAFT 22:52
Using these relations in (??) along with the fact that for e
x
we have
x
e
x
e
x
= (/[[) (/[[) = 0, we can write the parallel
shear in the magnetic eld as

b
b =
0
B J/B
2
=
y
+ 2
x
, parallel shear for e
x
.
(3.153)
Note that this relation provides a relationship between the parallel current and
the torsion and shear in the magnetic eld. It is the parallel current analogy
to the relationship between the curvature vector,
ln B and perpendicular
current given in (3.20). Finally, the x and y eld line divergence parameters
can be written as
x
=
b (e
x
)e
x
= (
be
x
) ([[
1
) = (
b ) ln [[, (3.154)
y
=
x
z
= (
b ) ln [[ (
b ) ln B, divergences with e
x
.
(3.155)
These simplied formulas for the situation where the x coordinate is taken to
be in the magnetic ux surface gradient direction are the most commonly used
ones in plasma physics.
Plasma physics books that discuss some aspects of the structure of magnetic elds
include
Bittencourt, Fundamentals of Plasma Physics, Chapt. 3 (1986) [?]
Hazeltine and Meiss, Plasma Connement, Chapt. 3 (1992) [?]
Miyamoto, Plasma Physics for Nuclear Fusion, Chapt. 2 (1980) [?]
Schmidt, Physics of High Temperature Plasmas (1966,79) [?]
White, Theory of Tokamak Plasmas, Chapts. 12 (1989) [?]
Comprehensive treatments of the structure of magnetic elds for plasma physics ap-
plications are given in
Morozov and Solovev, The Geometry of the Magnetic Field in Reviews of
Plasma Physics, M.A. Leontovich Ed., Vol.2, p.1 (1966). [?]
Dhaeseleer, Hitchon, Callen and Shohet, Flux Coordinates and Magnetic Field
Structure (1991) [?]
PROBLEMS
3.1 The magnetic eld strength inside a solenoidal magnet composed of a series of
circular coils can be characterized by a uniform magnetic eld B = B0ez plus
a small ripple eld whose magnitude on axis is given by B =

B sin(2z/L) in
which L is the axial distance between the magnets and

B << B. Develop a
sinusoidal model of the type given by (3.6) for this situation; that is, specify
all the parameters of the sinusoidal model for this bumpy cylinder magnetic
eld. Sketch the behavior of the eld lines inside the solenoid using (3.3). /
DRAFT 22:52
3.2 First, show that the magnetic eld around a wire carrying a current I in the z
direction is given by B = [0I/(2r)]e
, where r is the radius from the center

of the wire. Next, show that the curvature vector for this magnetic eld is
= er/r and hence that the radius of curvature of the magnetic eld lines is
r. Finally, show that for the simple magnetic eld =
B. /
3.3 Show by direct calculation starting from (3.15) that for a vacuum (J = 0)
magnetic eld which can be represented by B = M one obtains =
ln B, as follows from (3.20) for this situation. //

3.4 Integrate the eld line equation dx/dz = Bx/Bz for the sheared slab model to
obtain the eld line trajectory in the y = constant plane. Why is the result
slightly dierent from that in (3.14)? /
3.5 Use (3.31) to determine a potential representation for the bumpy cylinder mag-
netic eld given in Problem 3.1 in the form of M = M0(z) +

M(r, z). Check
your result by calculating |B| for your model and comparing it to the desired
result. //
3.6 Propose a suitable magnetic ux and a vector potential for a cylindrical model
of an innite, homogeneous magnetic eld, and show that they yield the desired
magnetic eld. /
3.7 Calculate Clebsch , and coordinates for the sheared slab model as follows.
First, write down three independent eld line equations for dx/dz, dy/dz, and
dz/d. Integrate the rst two of these equations to obtain
(x) = B
0
_
x + x
2
/2LB z
2
/2RC
_
= constant = x = x(z, )
(x) = y
1
LS
_
z
0
dz
x(z
, )
1 + x(z
, )/LB
= constant = y = y(z, , ).
Show that the indicated eld line equations reduce to (3.14) and (3.24) near the
origin. In which directions do and point? Also, show that
yields the slab model eld given in (3.8). Next, integrate the third eld line
equation to obtain an expression for that is correct through rst order. Calcu-
late ; in what direction does it point? Finally, calculate B ; explain why
your result is (or is not) physically reasonable. //
3.8 For the sheared slab model, why is the eld line equation in (3.14) dierent from
that implied by constancy of the z in (3.41) or the given in the preceding
problem? /
3.9 Show that the toroidal and poloidal magnetic eld components given in (3.44)
give the respective toroidal and poloidal magnetic uxes. //
3.10 Show that when closed toroidal magnetic ux surfaces exist the toroidal and
poloidal magnetic uxes can be calculated from 2tor =
_
d
3
x B and
2
pol
=
_
d
3
x B in which the volume integrals are taken over a closed
toroidal ux surface. [Hint: A relevant volume for the toroidal surface tor
encloses a torus dened by surfaces that satisfy B = 0, but has a cut at
a = constant plane.] ///
3.11 Obtain the radial curvature R from a denition like (3.13) for an axisymmetric
magnetic mirror. /*
3.12 Develop a magnetic ux representation in the form (R, ) = 0(R) +

(R, Z)
for the bumpy cylinder magnetic eld given in Problem 3.1. Check your result
by calculating |B| for your model and comparing it to the desired result. //*
DRAFT 22:52
3.13 Give an approximate equation for the variation of the radius of a eld line in
the bumpy cylinder magnetic eld given in Problem 3.1 when

B << B0. /*
3.14 Write down the relevant eld line equation for a dipole magnetic eld. Integrate
this equation to determine r = r() along a magnetic eld line in terms of the
radius r0 at the equatorial plane. Substitute your result into (3.60) to obtain
the variation of the magnetic eld strength with along eld lines. What is the
magnetic mirror ratio to a latitude of 45
o
? Finally, show that near the equatorial
plane the magnetic eld strength can be represented by the quadratic well model
with L
= (
2/3)r0. //*
3.15 Consider a screw pinch model situation where current only ows parallel to the
magnetic eld. Assume the parallel current density is given by J = J
(r)
b with
J
(r) 0 for 0 r a. What are the axial and poloidal current densities
for such a situation? Develop an expression for the toroidal magnetic eld
strength from (3.69) for such a situation. Show that the poloidal current eect
on Bz in the large aspect ratio tokamak limit where /q 0.1 << 1 is of
order (/q)
2
10
2
<< 1. Does the owing current produce a diamagnetic or
paramagnetic eect in the region where the current J
is owing? that is,

does it decrease or increase Bz inside the plasma? Finally, give an expression
for the radial variation of the total magnetic eld strength for such a case. //*
3.16 Show for the screw pinch model of a large aspect ratio tokamak with Bz(r) B0
which has a well-behaved current density prole near the magnetic axis (i.e.,
dJz/dr = 0 at r = 0 so that Jz J0 +r
2
J
0
/2), that q increases with radius and
can be approximated by q(r) = q(0)/(1 r
2
/r
2
J
) near the magnetic axis. What
is the sign of J
0
for a prole peaked at r = 0? Determine expressions for q(0)
and rJ in terms of J0 and J
0
. ///*
3.17 The value of q usually decreases with radius away from the magnetic axis in a
reversed eld pinch. Use the combination of the two preceding models to obtain
the necessary conditions on the current prole for this to occur. ///*
3.18 Consider a box axial current proile given by Jz(r) = J0 H(r0 r) in which
H(x) is the Heaviside step function dened in (??). Calculate and sketch the
q(r) prole for this current prole in a screw pinch model of a tokamak for
0 r a 2 r0. Why does q increase as r
2
outside the current-carrying region
(i.e., for r0 r)? /*
3.19 Determine the forms of the magnetic eld curvature vector , torsion vector
and local shear for the screw pinch model in terms of the magnetic eld
components using

b B/B = (Bzez + B
)/B in the appropriate denitions

of these properties of a magnetic eld. Show that the results can be written as
=
B
2
rB
2
er, =
B
Bz
rB
2
er, =
Bz
B
d
dr
_
B
B
_
rB
d
dr
_
rBz
B
_
.
Also, show that these results reduce to the forms given in (3.84), (3.81) and
(3.85), respectively. //*
3.20 In a reversed eld pinch (RFP) the value of q(r) vanishes at the reversal surface
r
rev = 0 and it might seem from (3.86) and (3.87) that the magnetic shear is
undened there. For the screw pinch model show that the magnetic shear can
be written as
shear =
1
LS
=
_
r/R0
q
2
+ r
2
/R
2
0
_
dq
dr
.
DRAFT 22:52
What is magnetic shear length LS where q = 0? Evaluate this formula for LS
at the reversal surface for a model prole q(r) = q0 (q0 q
edge
) r
2
/a
2
with
q0 = 0.2, q
edge
= 0.1125 for an RFP with R0 = 1.6 m and a = 0.5 m. //*
3.21 For tokamak plasmas with noncircular cross-sections (in the = constant plane)
it is customary to dene an eective cylindrical winding number or safety factor:
q
cyl
2A
pol
Btor0/(0R0Itor) in which A
pol
is the cross-sectional area and Itor is
the toroidal current through that area. Show that in the circular cross-section,
large aspect ratio tokamak limit q
cyl
reduces to the q given in (3.74). /*
3.22 Use projections of the eld line denition (3.28) to obtain equations for d/dz
and d/d along a eld line in the screw pinch model. Integrate the eld line
equations to determine expressions for the length of a eld line in terms of the
axial distance z and the poloidal angle traversed by the eld line: = (r, z)
and = (r, ). //*
3.23 Attempt to obtain a sheared slab model around a radius r = r0 for the screw
pinch model by expanding the screw pinch model magnetic eld in (3.77) taking
the slab model ez to be in the direction of the

b in (3.80) evaluated at r = r0.
Explain why the shear parameter obtained this way is dierent from the =
1/LS indicated in the sheared slab model given in (3.86). //*
3.24 Show that for the screw pinch model magnetic eld
(
b )f =
1
B
_
B
r
f
+ Bz
f
z
_
=
1
h
_
1
R0q
f
+
f
z
_
1
R0q
_
f
+ q
f
_
in which f = f(x) is any dierentiable scalar function of space. /*
3.25 Give the steps used in obtaining the shear for the screw pinch given in (3.85).
[Hint: First show from (3.25) that = (
ber) (
ber) using the vector

identity (??). Then, show that

ber = (r/h) (r/hR0q)z and use vector
identities (??), (??) and (??) in evaluating the shear .] //*
3.26 Use the magnetostatic Amperes law and Stokes theorem to obtain an expression
for the toroidal current owing inside of a magnetic ux suface in terms of an
integral of the poloidal magnetic eld in the axisymmetric toroidal model. Take
the large aspect ratio tokamak limit of your result and compare it to (3.68). /*
3.27 Use projections of the eld line denition (3.28) to obtain equations for d/d
and d/d along a eld line in the axisymmetric toroidal model. Show that
the ratio of these equations gives the tokamak eld line equation d = q() d.
Integrate the eld line equations to determine general expressions for the length
of a eld line in terms of the toroidal and poloidal angles and traversed by
the eld line: = (, ) and = (, ). Show that in the large aspect ratio
tokamak expansion R
0 = R0 q() and indicate the order of the lowest
order corrections to these results. ///*
3.28 Show that for the axisymmetric toroidal magnetic eld given in (3.27)
b f =
_
B
B
f
+
I
BR
2
f
_
=
I
BR
2
q
_
f
+ q
f
_
in which f = f(x) is any dierentiable function of space. [Hint: Use chain
rule rule dierentiation to write = ()/ + ()/ + ()/.]
Also, show that in the large aspect tokamak expansion this result reduces to the
similar screw pinch limit result obtained in Problem 3.24. //*
DRAFT 22:52
3.29 Work out the general expression for the torsion for an axisymmetric toroidal
conguration given in (3.118). [Hint: First show that for the axisymmetric
toroidal magnetic eld the normal torsion can be written in the form N =
(I/B
2
||
2
) [() ()] using the rst form of (
b )
from the preceding problem, and (??). Next, show using (??) and (??) that
N = (I/B
2
R
2
) (ey ey) = (I/B
2
R
2
) (eyey) in which ey
/|| = (qR||/I)[ ()( )/||
2
]. Finally,
work out the last form of N using (??), (??) and (??).] ///*
3.30 Show that the large aspect ratio tokamak expansion of the general expression
for local torsion yields the result indicated after the in (3.118). //*
3.31 Work out the general expression for the magnetic shear in an axisymmetric
toroidal conguration given in (3.119). [Hint: Use the form of B in (3.100) and
work out B to a form with terms proportional to (q), and .
Next, obtain (B) using (??) and (??). Finally, work out the last form
of (3.25) using the vector identity (??) to rearrange terms and =
B = (B) /.] ///*
3.32 Show that the large aspect ratio tokamak expansion of the general expression
for local shear yields the result indicated after the in (3.119). //*
DRAFT 22:52
CHAPTER 5. PLASMA DESCRIPTIONS I: KINETIC, TWO-FLUID 1
Chapter 5
Plasma Descriptions I:
Kinetic, Two-Fluid
Descriptions of plasmas are obtained from extensions of the kinetic theory of
gases and the hydrodynamics of neutral uids (see Sections A.4 and A.6). They
are much more complex than descriptions of charge-neutral uids because of
the complicating eects of electric and magnetic elds on the motion of charged
particles in the plasma, and because the electric and magnetic elds in the
plasma must be calculated self-consistently with the plasma responses to them.
Additionally, magnetized plasmas respond very anisotropically to perturbations
because charged particles in them ow almost freely along magnetic eld
lines, gyrate about the magnetic eld, and drift slowly perpendicular to the
magnetic eld.
The electric and magnetic elds in a plasma are governed by the Maxwell
equations (see Section A.2). Most calculations in plasma physics assume that
the constituent charged particles are moving in a vacuum; thus, the micro-
scopic, free space Maxwell equations given in (??) are appropriate. For some
applications the electric and magnetic susceptibilities (and hence dielectric and
magnetization responses) of plasmas are derived (see for example Sections 1.3,
1.4 and 1.6); then, the macroscopic Maxwell equations are used. Plasma eects
enter the Maxwell equations through the charge density and current sources
produced by the response of a plasma to electric and magnetic elds:
q
=
s
n
s
q
s
, J =
s
n
s
q
s
V
s
, plasma charge, current densities. (5.1)
Here, the subscript s indicates the charged particle species (s = e, i for electrons,
ions), n
s
is the density (#/m
3
) of species s, q
s
the charge (Coulombs) on the
species s particles, and V
s
the species ow velocity (m/s). For situations where
the currents in the plasma are small (e.g., for low plasma pressure) and the
magnetic eld, if present, is static, an electrostatic model (E = , E =
q
/
0
=
2
=
q
/
0
) is often appropriate; then, only the charge density
DRAFT 11:54
January 21, 2003 c _J.D Callen, Fundamentals of Plasma Physics
q
is needed. The role of a plasma description is to provide a procedure for
calculating the charge density
q
and current density J for given electric and
magnetic elds E, B.
Thermodynamic or statistical mehanics descriptions (see Sections A.3 and
A.5) of plasmas are possible for some applications where plasmas are close to
a Coulomb collisional equilibrium. However, in general such descriptions are
not possible for plasmas because plasmas are usually far from a thermody-
namic or statistical mechanics equilibrium, and because we are often interested
in short-time-scale plasma responses before Coulomb collisional relaxation pro-
cesses become operative (on the 1/ time scale for uid properties). Also, since
the lowest order velocity distribution of particles is not necessarily an equi-
librium Maxwellian distribution, we frequently need a kinetic decsription to
determine the velocity as well as the spatial distribution of charged particles in
a plasma.
The pedagogical approach we employ in this Chapter begins from a rigor-
ous microscopic description based on the sum of the motions of all the charged
particles in a plasma and then takes successive averages to obtain kinetic, uid
moment and (in the next chapter) magnetohydrodynamic (MHD) descriptions
of plasmas. The rst section, 5.1, averages the microscopic equation to develop
a plasma kinetic equation. This fundamental plasma equation and its properties
are explored in Section 5.2. [While, as indicated in (5.1), only the densities and
ows are needed for the charge and current sources in the Maxwell equations,
often we need to solve the appropriate kinetic equation and then take velocity-
space averages of it to obtain the needed density and ow velocity of a particle
species.] Then, we take averages over velocity space and use various approxi-
mations to develop macroscopic, uid moment descriptions for each species of
charged particles within a plasma (Sections 5.3*, 5.4*). The properties of a
two-uid (electrons, ions) description of a magnetized plasma [e.g., adiabatic,
uid (inertial) responses, and electrical resistivity and diusion] are developed
in the next section, 5.5. Then in Section 5.6*, we discuss the ow responses in
a magnetized two-uid plasma parallel, cross (EB and diamagnetic) and
perpendicular (transport) to the magnetic eld. Finally, Section 5.7 discusses
the relevant time and length scales on which the kinetic and two-uid models
of plasmas are applicable, and hence useful for describing various unmagnetized
plasma phenomena. This chapter thus presents the procedures and approxima-
tions used to progress from a rigorous (but extremely complicated) microscopic
plasma description to succesively more approximate (but progressively easier to
use) kinetic, two-uid and MHD macroscopic (in the next chapter) descriptions,
and discusses the key properties of each of these types of plasma models.
5.1 Plasma Kinetics
The word kinetic means of or relating to motion. Thus, a kinetic description
includes the eects of motion of charged particles in a plasma. We will begin
from an exact (albeit enormously complicated), microscopic kinetic description
DRAFT 11:54
that is based on and encompasses the motions of all the individual charged par-
ticles in the plasma. Then, since we are usually interested in average rather than
individual particle properties in plasmas, we will take an appropriate average
to obtain a general plasma kinetic equation. Here, we only indicate an out-
line of the derivation of the plasma kinetic equation and some of its important
properties; more complete, formal derivations and discussions are presented in
Chapter 13.
The microsopic description of a plasma will be developed by adding up the
behavior and eects of all the individual particles in a plasma. We can consider
charged particles in a plasma to be point particles because quantum mechan-
ical eects are mostly negligible in plasmas. Hence, the spatial distribution of
a single particle moving along a trajectory x(t) can be represented by the delta
function [x x(t)] = [x x(t)] [y y(t)] [z z(t)] see B.2 for a discus-
sion of the spikey (Dirac) delta functions and their properties. Similarly, the
particles velocity space distribution while moving along the trajectory v(t) is
[vv(t)]. Here, x, v are Eulerian (xed) coordinates of a six-dimensional phase
space (x, y, z, v
x
, v
y
, v
z
), whereas x(t), v(t) are the Lagrangian coordinates that
move with the particle.
Adding up the products of these spatial and velocity-space delta function
distributions for each of the i = 1 to N (typically 10
16
10
24
) charged particles
of a given species in a plasma yields the spikey microscopic (superscript m)
distribution for that species of particles in a plasma:
f
m
(x, v, t) =
N
i=1
[x x
i
(t)] [v v
i
(t)], microscopic distribution function.
(5.2)
The units of a distribution function are the reciprocal of the volume in the six-
dimensional phase space x, v or # /(m
6
s
3
) recall that the units of a delta
function are one over the units of its argument (see B.2). Thus, d
3
xd
3
v f is
the number of particles in the six-dimensional phase space dierential volume
between x, v and x+dx, v+dv. The distribution function in (5.2) is normalized
such that its integral over velocity space yields the particle density:
n
m
(x, t)
_
d
3
v f
m
(x, v, t) =
N
i=1
[x x
i
(t)], particle density (#/m
3
).
(5.3)
Like the distribution f
m
, this microscopic density distribution is very singular
or spikey it is innite at the instantaneous particle positions x = x
i
(t) and
zero elsewhere. Integrating the density over the volume V of the plasma yields
the total number of this species of particles in the plasma:
_
V
d
3
xn(x, t) = N.
Particle trajectories x
i
(t), v
i
(t) for each of the particles are obtained from
their equations of motion in the microscopic electric and magnetic elds E
m
, B
m
:
mdv
i
/dt = q [E
m
(x
i
, t) +v
i
B
m
(x
i
, t)], dx
i
/dt = v
i
, i = 1, 2, . . . , N.
(5.4)
DRAFT 11:54
(The portion of the E
m
, B
m
elds produced by the i
th
particle is of course omit-
ted from the force on the i
th
particle.) In Eqs. (5.2)(5.4), we have suppressed
the species index s (s = e, i for electrons, ions) on the distribution function f
m
,
the particle mass m and the particle charge q; it will be reinserted when needed,
particularly when summing over species.
The microscopic electric and magnetic elds E
m
, B
m
are obtained from the
free space Maxwell equations:
E
m
=
m
q
/
0
, E
m
= B
m
/t,
B
m
= 0, B
m
=
0
(J
m
+
0
E
m
/t).
(5.5)
The required microscopic charge and current sources are obtained by integrating
the distribution function over velocity space and summing over species:
m
q
(x, t)
s
q
s
_
d
3
v f
m
s
(x, v, t) =
s
q
s
N
i=1
[x x
i
(t)],
J
m
(x, t)
s
q
s
_
d
3
v vf
m
s
(x, v, t) =
s
q
s
N
i=1
v
i
(t) [x x
i
(t)].
(5.6)
Equations (5.2)(5.6) together with initial conditions for all the N particles
provide a complete and exact microscopic description of a plasma. That is,
they describe the exact motion of all the charged particles in a plasma, their
consequent charge and current densities, the electric and magnetic elds they
generate, and the eects of these microscopic elds on the particle motion all
of which must be calculated simultaneously and self-consistently. In principle,
one can just integrate the N particle equations of motion (5.4) over time and
obtain a complete description of the evolving plasma. However, since typical
plasmas have 10
16
10
24
particles, this procedure involves far too many equa-
tions to ever be carried out in practice
1
see Problem 5.1. Also, since this
description yields the detailed motion of all the particles in the plasma, it yields
far more detailed information than we need for practical purposes (or could
cope with). Thus, we need to develop an averaging scheme to reduce this mi-
croscopic description to a tractable set of equations whose solutions we can use
to obtain physically measurable, average properties (e.g., density, temperature)
of a plasma.
To develop an averaging procedure, it would be convenient to have a single
evolution equation for the entire microscopic distribution f
m
rather than having
1
However, particle-pushing computer codes carry out this procedure for up to millions
of scaled macro particles. The challenge for such codes is to have enough particles in each
relevant phase space coordinate so that the noise level in the simulation is small enough
to not mask the essential physics of the process being studied. High delity simulations
are often possible for reduced dimensionality applications. Some relevant references for this
fundamental computational approach are: J.M. Dawson, Rev. Mod. Phys. 55, 403 (1983);
C.K. Birdsall and A.B. Langdon, Plasma Physics Via Computer Simulation (McGraw-Hill,
New York, 1985); R.W. Hockney and J.W. Eastwood, Computer Simulation Using Particles
(IOP Publishing, Bristol, 1988).
DRAFT 11:54
to deal with a very large number (N) of particle equations of motion. Such an
equation can be obtained by calculating the total time derivative of (5.2):
df
m
dt

_

t
+
dx
dt

x
+
dv
dt

v
_
N
i=1
[x x
i
(t)] [v v
i
(t)]
=
N
i=1
_

t
+
dx
i
dt

x
+
dv
i
dt

v
_
[x x
i
(t)] [v v
i
(t)]
=
N
i=1
_
dx
i
dt

x

dv
i
dt

v
+
dx
i
dt

x
+
dv
i
dt

v
_
[x x
i
(t)] [v v
i
(t)]
= 0. (5.7)
Here in successive lines we have used three-dimensional forms of the properties
of delta functions given in (??), and (??): x(xx
i
) = x
i
(xx
i
) and v (v
v
i
) = v
i
(v v
i
), and (/t) [x x
i
(t)] = dx
i
/dt (/x) [x x
i
(t)] and
(/t) [vv
i
(t)] = dv
i
/dt (/v) [vv
i
(t)]. Substituting the equations of
motion given in (5.4) into the second line of (5.7) and using the delta functions
to change the functional dependences of the partial derivatives from x
i
, v
i
to
x, v, we nd that the result df
m
/dt = 0 can be written in the equivalent forms
df
m
dt

f
m
t
+
dx
dt

f
m
x
+
dv
dt

f
m
v
=
f
m
t
+v
f
m
x
+
q
m
[E
m
(x, t) +vB
m
(x, t)]
f
m
v
= 0. (5.8)
This is called the Klimontovich equation.
2
Mathematically, it incorpo-
rates all N of the particle equations of motion into one equation because the
mathematical characteristics of this rst order partial dierential equation in
the seven independent, continuous variables x, v, t are dx/dt = v, dv/dt =
(q/m)[E
m
(x, t) +vB
m
(x, t)], which reduce to (5.4) at the particle positions:
x x
i
, v v
i
for i = 1, 2, . . . , N. That is, the rst order partial dieren-
tial equation (5.8) advances positions in the six-dimensional phase space x, v
along trajectories (mathematical characteristics) governed by the single particle
equations of motion, independent of whether there is a particle at the particular
phase point x, v; if say the i
th
particle is at this point (i.e., x = x
i
, v = v
i
),
then the trajectory (mathematical characteristic) is that of the i
th
particle.
Equations (5.2), (5.5), (5.6) and (5.8) provide a complete, exact description
of our microscopic plasma system that is entirely equivalent to the one given
by (5.2)(5.6); this Klimintovich form of the equations is what we will average
below to obtain our kinetic plasma description. These and other properties of
the Klimontovich equation are discussed in greater detail in Chapter 13.
2
Yu. L. Klimontovich, The Statistical Theory of Non-equilibrium Processes in a Plasma
(M.I.T. Press, Cambridge, MA, 1967); T.H. Dupree, Phys. Fluids 6, 1714 (1963).
DRAFT 11:54
The usual formal procedure for averaging a microscopic equation is to take
its ensemble average.
3
We will use a simpler, more physical procedure. We begin
by dening the number of particles N
6D
in a small box in the six-dimensional
(6D) phase space of spatial volume V xy z and velocity-space volume
V
v
v
x
v
y
v
z
: N
6D

_
V
d
3
x
_
Vv
d
3
v f
m
. We need to consider box
sizes that are large compared to the mean spacing of particles in the plasma [i.e.,
x >> n
1/3
in physical space and v
x
>> v
T
/(n
3
D
)
1/3
in velocity space] so
there are many particles in the box and hence the statistical uctuations in the
number of particles in the box will be small (N
6D
/N
6D
1/
N
6D
<< 1).
However, it should not be so large that macroscopic properties of the plasma
(e.g., the average density) vary signicantly within the box. For plasma applica-
tions the box size should generally be smaller than, or of order the Debye length
D
for which N
6D
(n
3
D
)
2
>>>> 1 so collective plasma responses on the
Debye length scale can be included in the analysis. Thus, the box size should be
large compared to the average interparticle spacing but small compared to the
Debye length, a criterion which will be indicated in its one-dimensional spatial
form by n
1/3
< x <
D
. Since n
3
D
>> 1 is required for the plasma state, a
large range of xs t within this inequality range.
The average distribution function f
m
) will be dened as the number of
particles in such a small six-dimensional phase space box divided by the volume
of the box:
f
m
(x, v, t)) lim
n
1/3
<x<
D
N
6D
V V
v
= lim
n
1/3
<x<
D
_
V
d
3
x
_
Vv
d
3
v f
m
_
V
d
3
x
_
Vv
d
3
v
,
average distribution function. (5.9)
From this form it is clear that the units of the average distribution function are
the number of particles per unit volume in the six-dimensional phase space, i.e.,
#/(m
6
s
3
). In the next section we will identify the average distribution f
m
)
as the fundamental plasma distribution function f.
The deviation of the complete microscopic distribution f
m
from its average,
which by denition must have zero average, will be written as f
m
:
f
m
f
m
f
m
), f
m
) = 0, discrete particle distribution function.
(5.10)
The average distribution function f
m
) represnts the smoothed properties of the
plasma species for x
>

D
; the microscopic distribution f
m
represents the
discrete particle eects of individual charged particles for n
1/3 <
x <
D
.
This averaging procedure is illustrated graphically for a one-dimensional
system in Fig. 5.1. As indicated, the microscopic distribution f
m
is spikey
because it represents the point particles by delta functions. The average
distribution function f
m
) indicates the average number of particles over length
3
In an ensemble average one obtains expectation values by averaging over an innite
number of similar plasmas (realizations) that have the same number of particles and macro-
scopic parameters (e.g., density n, temperature T) but whose particle positions vary randomly
(in the six-dimensional phase space) from one realization to the next.
DRAFT 11:54
Figure 5.1: One-dimensional illustration of the microscopic distribution function
f
m
, its average f
m
) and its particle discreteness component f
m
.
scales that are large compared to the mean interparticle spacing. Finally, the
discrete particle distribution function f
m
is spikey as well, but has a baseline
of f
m
(x)), so that its average vanishes.
In addition to splitting the distribution function into its smoothed and dis-
crete particle contributions, we need to split the electric and magnetic elds,
and charge and current densities into their smoothed and discrete particle parts
components:
E
m
= E
m
) + E
m
, B
m
= B
m
) + B
m
,
m
q
=
m
q
) +
m
q
, J
m
= J
m
) + J
m
.
(5.11)
Substituting these forms into the Klimontovich equation (5.8) and averaging
the resultant equation using the averaging denition in (5.9), we obtain our
fundamental plasma kinetic equation:
f
m
)
t
+v
f
m
)
x
+
q
m
[E
m
) +vB
m
)]
f
m
)
v
=
q
m
_
[E
m
+vB
m
]
f
m
v
_
. (5.12)
The terms on the left describe the evolution of the smoothed, average distribu-
tion function in response to the smoothed, average electric and magnetic elds
in the plasma. The term on the right represents the two-particle correlations
between discrete charged particles within about a Debye length of each other. In
fact, as can be anticipated from physical considerations and as will be shown in
detail in Chapter 13, the term on the right represents the small Coulomb col-
lision eects on the average distribution function f
m
), whose basic eects were
calculated in Chapter 2. Similarly averaging the microscopic Maxwell equa-
tions (5.5) and charge and current density sources in (5.6), we obtain smoothed,
average equations that have no extra correlation terms like the right side of
(5.12).
5.2 Plasma Kinetic Equations
We now identify the smoothed, average [dened in (5.9)] of the microscopic
distribution function f
m
) as the fundamental distribution function f(x, v, t)
for a species of charged particles in a plasma. Similarly, the smoothed, average
of the microscopic electric and magnetic elds, and charge and current densities
DRAFT 11:54
will be written in their usual unadorned forms: E
m
) E, B
m
) B,
m
q
)
q
, and J
m
) J. Also, we write the right side of (5.12) as ((f) a Coulomb
collision operator on the average distribution function f which will be derived
and discussed in Chapter 11. With these specications, (5.12) can be written
as
df
dt
=
f
t
+v
f
x
+
q
m
[E+vB]
f
v
= ((f), f = f(x, v, t),
PLASMA KINETIC EQUATION. (5.13)
This is the fundamental plasma kinetic equation
4
we will use thoughout the
remainder of this book to provide a kinetic description of a plasma. To complete
the kinetic description of a plasma, we also need the average Maxwell equations,
and charge and current densities:
E =

q
0
, E =
B
t
, B = 0, B =
0
_
J +
0
E
t
_
. (5.14)
q
(x, t)
s
q
s
_
d
3
v f
s
(x, v, t), J(x, t)
s
q
s
_
d
3
v vf
s
(x, v, t). (5.15)
Equations (5.13)(5.15) are the fundamental set of equations that provide a
complete kinetic description of a plasma. Note that all of the quantities in
them are smoothed, average quantities that have been averaged according to
the prescription in (5.9). The particle discreteness eects (correlations of parti-
cles due to their Coulomb interactions within a Debye sphere) in a plasma are
manifested in the Coulomb collsion operator on the right of the plasma kinetic
equation (5.13). In the averaging procedure we implicitly assume that the par-
ticle discreteness eects do not extend to distances beyond the Debye length
D
. Chapter 13 discusses two cases (two-dimensional magnetized plasmas and
convectively unstable plasmas) where this assumption breaks down. Thus, while
we will hereafter use the average plasma kinetic equation (5.13) as our funda-
mental kinetic equation, we should keep in mind that there can be cases where
the particle discreteness eects in a plasma are not completely represented by
the Coulomb collision operator.
For low pressure plasmas where the plasma currents are negligible and the
magnetic eld (if present) is constant in time, we can use an electrostatic ap-
proximation for the electric eld (E = ). Then, (5.13)(5.15) reduce to
f
t
+v
f
x
+
q
m
[ +vB]
f
v
= ((f), (5.16)
4
Many plasma physics books and articles refer to this equation as the Boltzmann equa-
tion, thereby implicity indicating that the appropriate collision operator is the Boltzmann
collision operator in (??). However, the Coulomb collision operator is a special case (small
momentum transfer limit see Chapter 11) of the Boltzmann collision operator C
B
, and
importantly involves the cumulative eects (the ln factor) of multiple small-angle, elastic
Coulomb collsions within a Debye sphere that lead to diusion in velocity-space. Also, the
Boltzmann equation usually does not include the electric and magnetic eld eects on the
charged particle trajectories during collisions or on the evolution of the distribution function.
Thus, this author thinks it is not appropriate to call this the Boltzmann equation.
DRAFT 11:54
2
=

q
0
,
q
=
s
q
s
_
d
3
vf(x, v, t), (5.17)
which provides a complete electrostatic, kinetic description of a plasma.
Some alternate forms of the general plasma kinetic equation (5.13) are also
useful. First, we derive a conservative form of it. Since x and v are inde-
pendent Eulerian phase space coordinates, using the vector identity (??) we
nd
x
vf = v
f
x
+ f
_

x
v
_
= v
f
x
.
Similarly, for the velocity derivative we have
q
m
[E+vB] f =
q
m
[E+vB]
f
v
,
since /v [E + vB] = 0 because E, B are both independent of v, and
/v vB = 0 using vector identities (??) and (??). Using these two results
we can write the plasma kinetic equation as
f
t
+

x
[vf] +

v
_
q
m
(E+vB) f
_
= ((f),
conservative form of plasma kinetic equation, (5.18)
which is similar to the corresponding neutral gas kinetic equation (??). Like for
the kinetic theory of gases, we can put the left side of the plasma kinetic equation
in a conservative form because (in the absence of collisions) motion (of particles
or along the characteristics) is incompressible in the six-dimensional phase space
x, v: /x (dx/dt) +/v (dv/dt) = /x v +/v (q/m)[E+vB] = 0
see (??).
In a magnetized plasma with small gyroradii compared to perpendicular
gradient scale lengths (
<< 1) and slow processes compared to the gyrofre-

quency (/t <<
c
), it is convenient to change the independent phase space
variables from x, v phase space to the guiding center coordinates x
g
,
g
, . (The
third velocity-space variable would be the gyromotion angle , but that is av-
eraged over to obtain the guiding center motion equations see Section 4.4.)
Recalling the role of the particle equations of motion (5.4) in obtaining the
Klimintovich equation, we see that in terms of the guiding center coordinates
the plasma kinetic equation becomes f/t + dx
g
/dt f + (d/dt) f/ +
(d
g
/dt) f/
g
= ((f). The gyroaverage of the time derivative of the mag-
netic moment and f/ are both small in the small gyroradius expansion;
hence their product can be neglected in this otherwise rst order (in a small
gyroradius expansion) plasma kinetic equation. The time derivative of the en-
ergy can be calculated to lowest order (neglecting the drift velocity v
D
) using
the guiding center equation (??), writing the electric eld in its general form
E = A/t and d/dt = /t + dx
g
/dt /x /t + v
:
d
g
dt
=
d
dt
_
mv
2
2
_
+ q
d
dt
+
dB
dt
q
t
+
B
t
qv
b
A
t
. (5.19)
DRAFT 11:54
Thus, after averaging the plasma kinetic equation over the gyromotion angle ,
the plasma kinetic equation for the gyro-averaged, guiding-center distribution
function f
g
can be written in terms of the guiding center coordinates (to lowest
order neglecting v
D
) as
f
g
t
+ v
b f
g
+v
D
f
g
+
d
g
dt
f
g
g
= ((f
g
))
, f
g
= f(x
g
,
g
, , t),
drift-kinetic equation, (5.20)
in which the collision operator is averaged over gyrophase [see discussion before
(??)] and the spatial gradient is taken at constant
g
, , t, i.e., /x [
g,,t
.
This lowest order drift-kinetic equation is sucient for most applications. How-
ever, like the guiding center orbits it is based on, it is incorrect at second order
in the small gyroradius expansion [for example, it cannot be put in the conserva-
tive form of (5.18) or (??)]. More general and accurate gyrokinetic equations
that include nite gyroradius eects (
1) have also been derived; they

are used when more precise and complete equations are needed.
For many plasma processes we will be interested in short time scales during
which Coulomb collision eects are negligible. For these situations the plasma
kinetic equation becomes
df
dt
=
f
t
+v
f
x
+
q
m
[E+vB]
f
v
= 0,
Vlasov equation. (5.21)
This equation, which is also called the collisionless plasma kinetic equation,
was originally derived by Vlasov
5
by neglecting the particle discreteness eects
that give rise to the Coulomb collisional eects see Problem 5.2. Because
the Vlasov equation has no discrete particle correlation (Coulomb collision)
eects in it, it is completely reversible (in time) and its solutions follow the
collisionless single particle orbits in the six-dimensional phase space. Thus, its
distribution function solutions are entropy conserving (there is no irreversible
relaxation of irregularities in the distribution function), and, like the particle
orbits, incompresssible in the six-dimensional phase space see Section 13.1.
The nominal condition for the neglect of collisional eects is that the fre-
quency of the relevant physical process(es) be much larger than the collision
frequency: d/dt i >> , in which is the Lorentz collision frequency
(??). Here, the frequency represents whichever of the various fundamen-
tal frequencies (e.g.,
p
, plasma; kc
S
, ion acoustic;
c
, gyrofrequency;
b
,
bounce;
D
, drift) are relevant for a particular plasma application. However,
since the Coulomb collision process is diusive in velocity space (see Section
2.1 and Chapter 11), for processes localized to a small region of velocity space
v
/v << 1, the eective collision frequency (for scattering out of this

narrow region of velocity space) is
e
/
2
>> . For this situation the
relevant condition for validity of the Vlasov equation becomes >>
e
. Often,
5
A.A. Vlasov, J. Phys. (U.S.S.R.) 9, 25 (1945).
DRAFT 11:54
the Vlasov equation applies over most of velocity space, but collisions must be
taken into account to resolve singular regions where velocity-space derivatives
of the collisionless distribution function are large.
Finally, we briey consider equilibrium solutions of the plasma kinetic and
Vlasov equations. When the collision operator is dominant in the plasma ki-
netic equation (i.e., >> ), the lowest order distribution is the Maxwellian
distribution [see Chapter 11 and (??)]:
f
M
(x, v, t) = n
_
m
2T
_
3/2
exp
_
m[v
r
[
2
2T
_
=
ne
v
2
r
/v
2
T
3/2
v
3
T
, v
r
v V,
Maxwellian distribution function. (5.22)
Here, v
T

_
2T/m is the thermal velocity, which is the most probable speed
[see (??)] in the Maxwellian distribution. Also, n(x, t) is the density (units of
#/m
3
), T(x, t) is the temperature (J or eV) and V(x, t) the macroscopic ow
velocity (m/s) of the species of charged particles being considered. Note that
the v
r
in (5.22) represents the velocity of a particular particle in the Maxwellian
distribution relative to the average macroscopic ow velocity of the entire dis-
tribution of particles: V
_
d
3
v vf
M
/n. It can be shown (see Chapter 13) that
the collisionally relaxed Maxwellian distribution has no free energy in velocity
space to drive (kinetic) instabilities (collective uctuations whose magnitude
grows monotonically in time) in a plasma; however, its spatial gradients (e.g.,
n and T) provide spatial free energy sources that can drive uidlike (as
opposed to kinetic) instabilities see Chapters 2123.
If collisions are negligible for the processes being considered (i.e., >>
e
),
the Vlasov equation is applicable. When there exist constants of the single
particle motion c
i
(e.g., energy c
1
= , magnetic moment c
2
= , etc. which
satisfy dc
i
/dt = 0), solutions of the Vlasov equation can be written in terms of
them:
f = f(c
1
, c
2
, ), c
i
= constants of motion, Vlasov equation solution,
=
df
dt
=
i
dc
i
dt
f
c
i
= 0. (5.23)
A particular Vlasov solution of interest is when the energy is a constant
of the motion and the equilibrium distribution function depends only on it:
f
0
= f
0
(). If such a distribution is a monotonically decreasing function of the
energy (i.e., df
0
/d < 0), then one can readily see from physical considerations
and show mathematically (see Section 13.1) that this equilibrium distribution
function has no free energy available to drive instabilities because all possible
rearrangements of the energy distribution, which must be area-preserving in the
six-dimensional phase space because of the Vlasov equation df/dt = 0, would
raise the system energy
_
d
3
x
_
d
3
v (mv
2
/2)f() leaving no free energy available
to excite unstable electric or magnetic uctuations. Thus, we have the statement
f
0
= f
0
(), with df
0
/d < 0, is a kinetically stable distribution. (5.24)
DRAFT 11:54
Note that the Maxwellian distribution in (5.22) satises these conditions if there
are no spatial gradients in the plasma density, temperature or ow velocity.
However, conned plasmas must have additional dependencies on spatial co-
ordinates
6
or constants of the motion so they can be concentrated in regions
within and away from the plasma boundaries. Thus, most plasmas of inter-
est do not satisfy (5.24). The stability of such plasmas has to be investigated
mostly on a case-by-case basis. When instabilities occur they usually provide
the dominant mechanisms for relaxing plasmas toward a stable (but unconned
plasma) distribution function of the type given in (5.24).
5.3 Fluid Moments*
For many plasma applications, uid moment (density, ow velocity, tempera-
ture) descriptions of a charged particle species in a plasma are sucient. This is
generally the case when there are no particular velocities or regions of velocity
space where the charged particles behave dierently from the typical thermal
particles of that species. In this section we derive uid moment evolution equa-
tions by calculating the physically most important velocity-space moments of the
plasma kinetic equation (density, momentum and energy) and discuss the clo-
sure moments needed to close the uid moment hierarchy of equations. This
section is mathematically intensive with many physical details for the various
uid moments; it can skipped since the key features of uid moment equations
for electrons and ions are summarized at the beginning of the section after the
next one.
Before beginning the derivation of the uid moment equations, it is con-
venient to dene the various velocity moments of the distribution function we
will need. The various moments result from integrating low order powers of the
velocity v times the distribution function f over velocity space in the laboratory
frame:
_
d
3
v v
j
f, j = 0, 1, 2. The integrals are all nite because the distribution
function must fall o suciently rapidly with speed so that these low order,
physical moments (such as the energy in the species) are nite. That is, we
cannot have large numbers of particles at arbitrarily high energy because then
the energy in the species would be unrealistically large or divergent. [Note that
velocity integrals of all algebraic powers of the velocity times the Maxwellian
distribution (5.22) converge see Section C.2.] The velocity moments of the
distribution function f(x, v, t) of physical interest are
density (#/m
3
) : n
_
d
3
v f, (5.25)
ow velocity (m/s) : V
1
n
_
d
3
v vf, (5.26)
6
One could use the potential energy term q(x) in the energy to conne a particular species
of plasma particles but the oppositely charged species would be repelled from the conning
region and thus the plasma would not be quasineutral. However, nonneutral plasmas can be
conned by a potential .
DRAFT 11:54
temperature (J, eV) : T
1
n
_
d
3
v
mv
2
r
3
f =
mv
2
T
2
, (5.27)
conductive heat ux (W/m
2
) : q
_
d
3
v v
r
_
mv
2
r
2
_
f, (5.28)
pressure (N/m
2
) : p
_
d
3
v
mv
2
r
3
f = nT, (5.29)
pressure tensor (N/m
2
) : P
_
d
3
v mv
r
v
r
f = pI +, (5.30)
stress tensor (N/m
2
) :
_
d
3
v m
_
v
r
v
r
v
2
r
3
I
_
f, (5.31)
in which we have dened and used
v
r
v V(x, t), v
r
[v
r
[, relative (subscript r) velocity, speed. (5.32)
By denition, we have
_
d
3
v v
r
f = n(V V) = 0. For simplicity, the species
subscript s = e, i is omitted here and thoughout most of this section; it is
inserted only when needed to clarify dierences in properties of electron and ion
uid moments.
All these uid moment properties of a particular species s of charged particles
in a plasma are in general functions of spatial position x and time t: n = n(x, t),
etc. The density n is just the smoothed average of the microscopic density (5.3).
The ow velocity V is the macroscopic ow velocity of this species of particles.
The temperature T is the average energy of this species of particles, and is
measured in the rest frame of this species of particles hence the integrand
is (mv
2
r
/2)f instead of (mv
2
/2)f. The conductive heat ux q is the ow of
energy density, again measured in the rest frame of this species of particles. The
pressure p is a scalar function that represents the isotropic part of the expansive
stress (pI in P in which I is the identity tensor) of particles since their thermal
motion causes them to expand isotropically (in the species rest frame) away
from their initial positions. This is an isotropic expansive stress on the species
of particles because the eect of the thermal motion of particles in an isotropic
distribution is to expand uniformly in all directions; the net force (see below)
due to this isotropic expansive stress is pI = I pp I = p (in the
direction from high to low pressure regions), in which the vector, tensor identities
(??), (??) and (??) have been used. The pressure tensor P represents the overall
pressure stress in the species, which can have both isotropic and anisotropic
(e.g., due to ows or magnetic eld eects) stress components. Finally, the
stress tensor is a traceless, six-component symmetric tensor that represents
the anisotropic components of the pressure tensor.
In addition, we will need the lowest order velocity moments of the Coulomb
collision operator ((f). The lowest order forms of the needed moments can be
inferred from our discussion of Coulomb collisions in Section 2.3:
density conservation in collisions : 0 =
_
d
3
v ((f), (5.33)
DRAFT 11:54
frictional force density (N/m
3
) : R
_
d
3
v mv ((f), (5.34)
energy exchange density (W/m
3
) : Q
_
d
3
v
mv
2
r
2
((f). (5.35)
As indicated in the rst of these moments, since Coulomb collisions do not
create or destroy charged particles, the density moment of the collision op-
erator vanishes. The momentum moment of the Coulomb collision operator
represents the (collisional friction) momentum gain or loss per unit volume
from a species of charged particles that is owing relative to another species:
R
e
m
e
n
e
e
(V
e
V
i
) = n
e
eJ/ and R
i
= R
e
from (??) and (??). Here,
rigorously speaking, the electrical conductivity is the Spitzer value (??). (The
approximate equality here means that we are neglecting the typically small ef-
fects due to temperature gradients that are needed for a complete, precise theory
see Section 12.2.) The energy moment of the collision operator represents the
rate of Coulomb collisional energy exchange per unit volume between two species
of charged particles of dierent temperatures: Q
i
= 3(m
e
/m
i
)
e
n
e
(T
e
T
i
) and
Q
e
J
2
/ Q
i
from (??) and (??). In a magnetized plasma, the electrical
conductivity along the magnetic eld is the Spitzer value [
=
Sp
from (??)],
but perpendicular to the magnetic eld it is the reference conductivity [
=
0
from (??)] (because the gyromotion induced by the B eld impedes the perpen-
dicular motion and hence prevents the distortion of the distribution away from
a ow-shifted Maxwellian see discussion near the end of Section 2.2 and in
Section 12.2). Thus, in a magnetized plasma R
e
= n
e
e(
bJ
+ J
) and
Q
e
= J
2
+ J
2
Q
i
.
As in the kinetic theory of gases, uid moment equations are derived by
taking velocity-space moments of a relevant kinetic equation, for which it is
simplest to use the conservative form (5.18) of the plasma kinetic equation:
_
d
3
v g(v)
_
f
t
+

x
vf +

v
q
m
(E+vB)f ((f)
_
= 0 (5.36)
in which g(v) is the relevant velocity function for the desired uid moment.
We begin by obtaining the density moment by evaluating (5.36) using g = 1.
Since the Eulerian velocity space coordinate v is stationary and hence is inde-
pendent of time, the time derivative can be interchanged with the integral over
velocity space. (Mathematically, the partial time derivative and
_
d
3
v opera-
tors commute, i.e., their order can be interchanged.) Thus, the rst integral
becomes (/t)
_
d
3
v f = n/t. Similarly, since the
_
d
3
v and spatial deriva-
tive /x operators commute, they can be interchanged in the second term in
(5.36) which then becomes /x
_
d
3
v vf = /x nV nV. Since the
integrand in the third term in (5.36) is in the form of a divergence in velocity
space, its integral can be converted into a surface integral using Gauss theo-
rem (??):
_
d
3
v /v (dv/dt)f =
_
dS
v
(dv/dt)f = 0, which vanishes because
there must be exponentially few particles on the bounding velocity space sur-
face [v[ so that all algebraic moments of the distribution function are
DRAFT 11:54
nite and hence exist. Finally, as indicated in (5.33) the density moment of the
Coulomb collision operator vanishes.
Thus, the density moment of the plasma kinetic equation yields the density
continuity or what is called simply the density equation:
n
t
+ nV = 0 =
n
t
= V n n V =
dn
dt
= n V.
(5.37)
Here, in obtaining the second form we used the vector identity (??) and the last
form is written in terms of the total time derivative (local partial time derivative
plus that induced by advection
7
see Fig. 5.2a below) in a uid moving with
ow velocity V:
d
dt

t
x
+V , total time derivative in a moving uid. (5.38)
This total time derivative is sometimes called the substantive derivative. From
the middle form of the density equation (5.37) we see that at a xed (Eulerian)
position, increases (n/t > 0) in the density of a plasma species are caused
by advection of the species at ow velocity V across a density gradient from
a region of higher density into the local one with lower density (V n <
0), or by compression ( V < 0, convergence) of the ow. Conversely, the
local density decreases if the plasma species ows from a lower into a locally
higher density region or if the ow is expanding (diverging). The last form
in (5.37) shows that in a frame of reference moving with the ow velocity V
(Lagrangian description) only compression (expansion) of the ow causes the
density to increase (decrease) see Fig. 5.2b below.
The momentum equation for a plasma species is derived similarly by taking
the momentum moment of the plasma kinetic equation. Using g = mv in
(5.36), calculating the various terms as in the preceding paragraph and using
vv = (v
r
+V)(v
r
+V) in evaluating the second term, we nd
m(nV)/t + (pI + + mnVV) nq [E+VB] R = 0. (5.39)
In obtaining the next to last term we have used vector identity (??) to write
v /v [(dv/dt)f] = /v [v(dv/dt)f] (dv/dt)f (v/v), which is equal
to /v [v(dv/dt)f] (dv/dt)f since v/v I and dv/dt I = dv/dt; the
term containing the divergence in velocity space again vanishes by conversion
to a surface integral, in this case using (??). Next we rewrite (5.38) using (5.37)
to remove the n/t contribution and mnVV = mV( nV) +mnV V
to obtain
mn
dV
dt
= nq [E+VB] p +R (5.40)
in which the total time derivative d/dt in the moving uid is that dened in
(5.38). Equation (5.40) represents the average of Newtons second law (ma = F)
7
Many plasma physics books and articles call this convection. In uid mechanics advection
means transport of any quantity by the ow velocity V and convection refers only to the heat
ow (5/2)nTV induced by the uid ow. This book adopts the terminology of uid mechanics.
DRAFT 11:54
over an entire distribution of particles. Thus, the mndV/dt term on the left
represents the inertial force per unit volume in this moving (with ow velocity
V) charged particle species. The rst two terms on the right give the average
(over the distribution function) force density on the species that results from
the Lorentz force q [E + vB] on the charged particles. The next two terms
represent the force per unit volume on the species that results from the pressure
tensor P = pI +, i.e,, both that due to the isotropic expansive pressure p and
the anisotropic stress . The R term represents the frictional force density on
this species that results from Coulomb collisional relaxation of its ow V toward
the ow velocities of other species of charged particles in the plasma.
Finally, we obtain the energy equation for a plasma species by taking the
energy moment of the plasma kinetic equation. Using g = mv
2
/2 in (5.36) and
proceeding as we did for the momentum moment, we obtain (see Problem 5.??)
t
_
3
2
nT +
1
2
mnV
2
_
+
_
q +
_
5
2
nT +
1
2
nmV
2
_
V+V
_
nqV EQV R = 0. (5.41)
Using the dot product of the momentum equation (5.40) with V to remove
the V
2
/t term in this equation and using the density equation (5.37), this
equation can be simplied to
3
2
p
t
=
_
q +
5
2
pV
_
+V p : V+ Q,
or,
3
2
dp
dt
+
5
2
p V = q : V+ Q (5.42)
The rst form of the energy equation shows that the local (Eulerian) rate of in-
crease of the internal energy per unit volume of the species [(3/2)nT = (3/2)p]
is given by the sum of the net (divergence of the) energy uxes into the local
volume due to heat conduction (q), heat convection [(5/2)pV (3/2)pV in-
ternal energy carried along with the ow velocity V plus pV from mechanical
work done on or by the species as it moves], advection of the pressure from a
lower pressure region into the local one of higher pressure (V p > 0), and
dissipation due to ow-gradient-induced stress in the species ( : V) and
collisional energy exchange (Q).
The energy equation is often written in the form of an equation for the
time derivative of the temperature. This form is obtained by using the density
equation (5.37) to eliminate the n/t term implicit in p/t in (5.42) to yield
3
2
n
dT
dt
= nT( V) q : V+ Q, (5.43)
in which d/dt is the total time derivative for the moving uid dened in (5.38).
This form of the energy equation shows that the temperature T of a plasma
species increases (in a Lagrangian frame moving with the ow velocity V)
due to a compressive ow ( V < 0), the divergence of the conductive heat
DRAFT 11:54
ux ( q), and dissipation due to ow-gradient-induced stress in the species
( : V) and collisional energy exchange (Q).
Finally, it often useful to switch from writing the energy equation in terms
of the temperature or pressure to writing it in terms of the collisional entropy.
The (dimensionless) collisional entropy s for f f
M
is
s
1
n
_
d
3
v f ln f ln
_
T
3/2
n
_
+C =
3
2
ln
_
p
n
5/3
_
+C, collisional entropy,
(5.44)
in which C is an unimportant constant. Entropy represents the state of disorder
of a system see the discussion at the end of Section A.3. Mathematically,
it is the logarithm of the number of number of statistically independent states
a particle can have in a relevant volume in the six-dimensional phase space.
For classical (i.e., non-quantum-mehanical) systems, it is the logarithm of the
average volume of the six-dimensional phase space occupied by one particle.
That is, it is the logarithm of the inverse of the density of particles in the
six-dimensional phase space, which for the collisional equilibrium Maxwellian
distribution (5.22) is
3/2
v
3
T
/n T
3/2
/n. Entropy increases monotonically
in time as collisions cause particles to spread out into a larger volume (and
thereby reduce their density) in the six-dimensional phase space, away from an
originally higher density (smaller volume, more conned) state.
An entropy equation can be obtained directly by using the density and energy
equations (5.37) and (5.43) in the total time derivative of the entropy s for a
given species of particles:
nT
ds
dt
=
3
2
n
dT
dt
T
dn
dt
= q : V+ Q. (5.45)
Increases in entropy (ds/dt > 0) in the moving uid are caused by net heat
ux into the volume, and dissipation due to ow-gradient-induced stress in the
species and collisional energy exchange. The evolution of entropy in the moving
uid can be written in terms of the local time derivative of the entropy density
ns by making use of the density equation (5.37) and vector identity (??):
nT
ds
dt
= T
_
d(ns)
dt
s
dn
dt
_
= T
_
(ns)
t
+ nsV
_
. (5.46)
Using this form for the rate of entropy increase and (q/T) = (1/T)[ q
q ln T] in (5.45), we nd (5.45) can be written
(ns)
t
+
_
nsV+
q
T
_
=
1
T
(q ln T + : VQ). (5.47)
In this form we see that local temporal changes in the entropy density [(ns)/t]
plus the net (divergence of) entropy ow out of the local volume by entropy con-
vection (nsV) and heat conduction (q/T) are induced by the dissipation in the
species (), which is caused by temperature-gradient-induced conductive heat
ow [q ln T = (1/T)q T], ow-gradient-induced stress ( : V),
and collisional energy exchange (Q).
DRAFT 11:54
The uid moment equations for a charged plasma species given in (5.37),
(5.40) and (5.43) are similar to the corresponding uid moment equations ob-
tained from the moments of the kinetic equation for a neutral gas (??)(??).
The key dierences are that: 1) the average force density n
F on a plasma species
is given by the Lorentz force density n[E+VB] instead the gravitational force
mV
G
; and 2) the eects of Coulomb collisions between dierent species of
charged particles in the plasma lead to frictional force (R) and energy exchange
(Q) additions to the momentum and energy equations. For plasmas there is of
course the additional complication that the densities and ows of the various
species of charged particles in a plasma have to be added according to (5.1)
to yield the charge
q
and current J density sources for the Maxwell equations
that then must be solved to obtain the E, B elds in the plasma, which then
determine the Lorentz force density on each species of particles in the plasma.
It is important to recognize that while each uid moment of the kinetic
equation is an exact equation, the uid moment equations represent a hierarchy
of equations which, without further specication, is not a complete (closed)
set of equations. Consider rst the lowest order moment equation, the density
equation (5.37). In principle, we could solve it for the evolution of the density
n in time, if the species ow velocity V is specied. In turn, the ow velocity
is determined from the next order equation, the momentum equation (5.40).
However, to solve this equation for V we need to know the species pressure
(p = nT) and hence really the temperature T, and the stress tensor . The
temperature is obtained from the isotropic version of the next higher order
moment equation, the energy equation (5.43). However, this equation depends
on the heat ux q.
Thus, the density, momentum and energy equations are not complete be-
cause we have not yet specied the highest order, closure moments in these
equations the heat ux q and the stress tensor . To determine them,
we could imagine taking yet higher order moments of the kinetic equation
[g = v(mv
2
r
/2) and m(v
r
v
r
(v
2
r
/3)I) in (5.36) ] to obtain evolution equa-
tions for q, . However, these new equations would involve yet higher order
moments (vvv, v
2
vv), most of which do not have simple physical interpreta-
tions and are not easily measured. Will this hierarchy never end?! Physically,
the even higher order moments depend on ever ner scale details of the distribu-
tion function f; hence, we might hope that they are unimportant or negligible,
particularly taking account of the eects of Coulomb collisions in smoothing
out ne scale features of the distribution function in velocity-space. Also, since
the uid moment equations we have derived so far provide evolution equations
for the physically most important (and measurable) properties (n, V, T) of a
plasma species, we would like to somehow close the hierarchy of uid moment
equations at this level.
DRAFT 11:54
5.4 Closure Moments*
The general procedure for closing a hierarchy of uid moment equations is
to obtain the needed closure moments, which are sometimes called constitu-
itive relations, from integrals of the kinetic distribution function f (5.28)
and (5.31) for q and . The distribution function must be solved from a
kinetic equation that takes account of the evolution of the lower order uid
moments n(x, t), V(x, t), T(x, t) which are the parameters of the lowest or-
der dynamic equilibrium Maxwellian distribution f
M
specied in (5.22). The
resultant kinetic equation and procedure for determining the distribution func-
tion and closure moments are known as the Chapman-Enskog
8
approach. In
this approach, kinetic distortions of the distribution function are driven by the
thermodynamic forces T and V gradients of the parameters of the low-
est order Maxwellian distribution, the temperature (for q) and the ow velocity
(for ), see (??) in Appendix A.4. For situations where collisional eects are
dominant (/t i << , << 1), the resultant kinetic equation can
be solved asymptotically via an ordering scheme and the closure moments q,
represent the diusion of heat and momentum induced by the (microscopic) col-
lisions in the medium. This approach is discussed schematically for a collisional
neutral gas in Section A.4. It has been developed in detail for a collisional,
magnetized plasma by Braginskii
9
see Section 12.2. While these derivations
of the needed closure relations are beyond the scope of the present discussion,
we will use their results. In the following paragraphs we discuss the physical
processes (phenomenologies) responsible for the generic scaling forms of their
results.
In a Coulomb-collision-dominated plasma the heat ux q induced by a tem-
perature gradient T will be determined by the microscopic (hence the super-
script m on ) random walk collisional diusion process (see Section A.5):
q
m
T = nT,

m
n

(x)
2
2t
, Fourier heat ux, (5.48)
in which x is the random spatial step taken by particles in a time t. For
Coulomb collisional processes in an unmagnetized plasma, x (collision
length) and t 1/ (collision time); hence, the scaling of the heat diusivity is

2
= v
2
T
/ T
5/2
/n. [The factor of 2 in the diusion coecient is usually
omitted in these scaling relations because the correct numerical coecients
(headache factors) must be obtained from a kinetic theory.] In a magnetized
plasma this collisional process still happens freely along a magnetic eld (as
long as
<< 1), but perpendicular to the magnetic eld the gyromotion

limits the perpendicular step size x to the gyroradius . Thus, in a collisional,
8
Chapman and Cowling, The Mathematical Theory of Non-Uniform Gases (1952).
9
S.I. Braginskii, Transport Processes in a Plasma, in Reviews of Plasma Physics, M.A.
Leontovich, Ed. (Consultants Bureau, New York, 1965), Vol. 1, p. 205.
DRAFT 11:54
magnetized plasma we have
q
= n
T,

2
, parallel heat conduction,
q
= n
T,

2
, perpendicular heat conduction.
(5.49)
Here, as usual,
b and
b(
b) with

b B/B.
The ratio of the perpendicular to parallel heat diusion is
(/)
2
(/
c
)
2
<< 1, (5.50)
which is by denition very small for a magnetized plasma see (??). Thus, in
a magnetized plasma collisional heat diusion is much smaller across magnetic
eld lines than along them, for both electrons and ions. This is of course the
basis of magnetic connement of plasmas.
Next we compare the relative heat diusivities of electrons and ions. From
formulas developed in Chapters 2 and 4 we nd that for electrons and ions
with approximately the same temperatures, the electron collision frequency is
higher [
e
/
i
(m
i
/m
e
)
1/2 >
43 >> 1], the collision lengths are comparable

(
e

i
), and the ion gyroradii are larger [
i
/
e
(m
i
/m
e
)
1/2 >
43 >> 1].
Hence, for comparable electron and ion temperatures we have
_
m
i
m
e
_
1/2
>
43 >> 1,

e
_
m
e
m
i
_
1/2
<
1
43
<< 1. (5.51)
Thus, along magnetic eld lines collisions cause electrons to diuse their heat
much faster than ions but perpendicular to eld lines ion heat diusion is the
dominant process.
Similarly, the viscous stress tensor caused by the random walk collisional
diusion process in an unmagnetized plasma in the presence of the gradient in
the species ow velocity V is (see Section 12.2)
2
m
W,

m
nm

(x)
2
2t
, viscous stress tensor. (5.52)
Here, W is the symmeterized form of the gradient of the species ow velocity:
W
1
2
_
V+ (V)
T
1
3
I( V), rate of strain tensor, (5.53)
in which the superscript T indicates the transpose. Like for the heat ux, the
momentum diusivity coecient for an unmagnetized, collisional plasma scales
as
m
/nm
2
. Similarly for a magnetized plasma we have
= 2
m
,
m
/nm
2
,
= 2
m
,
m
/nm
2
. (5.54)
Since the thermodynamic drives W
b(
b W
b)
b and W
are tensor quanti-

tites, they are quite complicated, particularly in inhomogeneous magnetic elds
see Section 12.2. Like for heat diusion, collisional diusion of momentum
DRAFT 11:54
along magnetic eld lines is much faster than across them. Because of the mass
factor in the viscosity coecient
m
, for comparable electron and ion tempera-
tures the ion viscosity eects are dominant both parallel and perpendicular to
B:
m
e
m
i
_
m
e
m
i
_
1/2
<
1
43
<< 1,

m
e
m
i
_
m
e
m
i
_
3/2
<
1.3 10
5
<<<<< 1.
(5.55)
Now that the scalings of the closure moments have been indicated, we
can use (5.45) to estimate the rate at which entropy increases in a collisional
magnetized plasma. The contribution to the entropy production rate ds/dt
from the divergence of the heat ux can be estimated by ( q)/nT
(
T +
T)/T (/T)(
2
+
2
)T. Similarly, the estimated rate

of entropy increase from the viscous heating is ( : V)/nT (
m
V[
2
+
V[
2
)/nT ([
V/v
T
[
2
+[
V/v
T
[
2
). Finally, the rate of entropy
increase due to collisional energy exchange can be esimated from Q
i
/n
i
T
i

e
(m
e
/m
i
) and Q
e
/n
e
T
e

e
(m
e
/m
i
) +J
2
/
e
[m
e
/m
i
+(V
e
V
i
)
2
/v
2
Te
].
For many plasmas the gyroradius is much smaller than the perpendicular scale
lengths for the temperature and ow gradients; hence, the terms proportional
to the gyroradius are usually negligible compared to the remaining terms. This
is particularly true for electrons since the electron gyroradius is so much smaller
than the ion gyroradius. We will see in the next section that in the small gyro-
radius approximation the ows are usually small compared to their respective
thermal speeds; hence the ow terms are usually negligibly small except perhaps
for the ion ones. Thus, the rates of electron and ion entropy production for a
collision-dominated magnetized plasma are indicated schematically by
ds
e
dt

e
max
_
2
e
T
e
T
e
,
V
e
v
Te
2
,
m
e
m
i
,
_
V
e
V
i
v
Te
_
2
_
<<
e
, (5.56)
ds
i
dt

i
max
_
2
i
T
i
T
i
,
V
i
v
Ti
2
,
V
i
v
Ti
2
,
_
m
e
m
i
_
1/2
_
<<
i
. (5.57)
As shown by the nal inequalities, these contributions to entropy production are
all small in the small gyroradius and collision-dominated limits in which they
are derived. Hence, the maximum entropy production rates for electrons and
ions are bounded by their respective Coulomb collision frequencies. For more
collisionless situations or plasmas, the condition
<< 1 is usually the rst

condition to be violated; then, the collisionless plasma behavior along mag-
netic eld lines must be treated kinetically and new closure relations derived.
Even with kinetically-derived closure relations, apparently the entropy produc-
tion rates for uidlike electrons and ion species are still approximately bounded
by their respective electron and ion collision frequencies
e
and
i
. However,
in truly kinetic situations with important ne-scale features in velocity space
(localized to v
/v << 1), the entropy production rate can be much faster

(ds/dt
e
/
2
), at least transiently.
DRAFT 11:54
When there is no signicant entropy production on the time scale of interest
(e.g., for waves with radian frequency >> ds/dt), entropy is a constant of the
uid motion. Then, we obtain the adiabatic (in the thermodynamic sense)
equation of state (relation of pressure p and hence temperature T to density n)
for the species:
ds
dt

1
1
d
dt
ln
p
n
0 p n
, T n
1
,
isentropic equation of state. (5.58)
Here, we have dened
= (N + 2)/N, (5.59)
in which N is the number of degrees of freedom (dimensionality of the system).
We have been treating the fully three dimensional case for which N = 3, = 5/3
and 1 = 2/3 see (5.44). Corresponding entropy functionals and equations
of state for one- and two-dimenional systems are explored in Problems 5.11 and
5.12. Other equations of state used in plasma physics are
p n, T = constant, isothermal equation of state ( = 1), (5.60)
p 0, T 0, cold species equation of state, (5.61)
V = 0, n = constant, incompressible species ow ( ). (5.62)
The last equation of state requires some explanation. Setting ds/dt in (5.58) to
zero and using the density equation (5.37), we nd
1
p
dp
dt
=
1
n
dn
dt
= V V =
1
1
p
dp
dt
. (5.63)
From the last form we see that for the ow will be incompressible
( V = 0), independent of the pressure evolution in the species. Then, the
density equation becomes dn/dt = n/t + V n = n( V) = 0. Hence,
the density is constant in time on the moving uid element (Lagrangian picture)
for an incompressible ow; however, the density does change in time in an
Eulerian picture due to the advection (via the V n term) of the uid into
spatial regions with dierent densities. Since the pressure (or temperature) is
not determined by the incompressible ow equation of state, it still needs to be
solved for separately in this model.
When one of the regular equations of state [(5.58), (5.60),or (5.61)] is used,
it provides a closure relation relating the pressure p or temperature T to the
density n; hence, it replaces the energy or entropy equation for the species.
When the incompresssible ow equation of state (5.62) is used, it just acts as a
constraint condition on the ow; for this case a relevant energy or entropy equa-
tion must still be solved to obtain the evolution of the pressure p or temperature
T of the species in terms of its density n and other variables.
DRAFT 11:54
5.5 Two-Fluid Plasma Description
The density, momentum (mom.) and energy or equation of state equations
derived in the preceding section for a given plasma species can be specialized
to a two-uid set of equations for the electron (q
e
= e) and ion (q
i
= Z
i
e)
species of charged particles in a plasma:
Electron Fluid Moment Equations (d
e
/dt /t +V
e
):
density:
d
e
n
e
dt
= n
e
( V
e
)
n
e
t
+ n
e
V
e
= 0, (5.64)
mom.: m
e
n
e
d
e
V
e
dt
= n
e
e [E+V
e
B] p
e

e
+R
e
, (5.65)
energy:
3
2
n
e
d
e
T
e
dt
= n
e
T
e
( V
e
) q
e
e
: V
e
+ Q
e
, (5.66)
or eq. of state: T
e
n
1
e
. (5.67)
Ion Fluid Moment Equations (d
i
/dt /t +V
i
):
density,
d
i
n
i
dt
= n
i
( V
i
)
n
i
t
+ n
i
V
i
= 0, (5.68)
mom., m
i
n
i
d
i
V
i
dt
= n
i
Z
i
e [E+V
i
B] p
i

i
+R
i
, (5.69)
energy,
3
2
n
i
d
i
T
i
dt
= n
i
T
i
( V
i
) q
i
i
: V
i
+ Q
i
, (5.70)
or eq. of state: T
i
n
1
i
. (5.71)
The physics content of the two-uid moment equations is briey as follows.
The rst forms of (5.64) and (5.68) show that in the (Lagrangian) frame of the
moving uid element the electron and ion densities increase or decrease accord-
ing to whether their respective ows are compressing ( V < 0) or expanding
( V > 0). The second forms of the density equations can also be written as
n/t[
x
= V n n V using the vector identity (??); thus, at a given
(Eulerian) point in the uid, in addition to the eect of the compression or
expansion of the ows, the density advection
10
by the ow velocity V increases
the local density if the ow into the local region is from a higher density region
(V n > 0). Density increases by advection and compression are illustrated
in Fig. 5.2. In the force balance (momentum) equations (5.65) and (5.69) the
inertial forces on the electron and ion uid elements (on the left) are balanced
by the sum of the forces on the uid element (on the right) Lorentz force
density (nq[E + VB]), that due to the expansive isotropic pressure (p)
and anisotropic stress in the uid ( ), and nally the frictional force den-
sity due to Coulomb collisional relaxation of ow relative to the other species
(R). Finally, (5.66) and (5.70) show that temperatures of electrons and ions
increase due to compressional work ( V < 0) by their respective ows, the
net (divergence of the) heat ux into the local uid element ( q), viscous
10
See footnote at bottom of page 15.
DRAFT 11:54
Figure 5.2: The species density n can increase due to: a) advection of a uid
element by ow velocity V from a higher to a locally lower density region, or
b) compression by the ow velocity V.
dissipation ( : V) and collisional heating (Q) from the other species. Al-
ternatively, when appropriate, the electron or ion temperature can be obtained
from an equation of state: isentropic ( = 5/3), isothermal ( = 1) or cold
species (T 0).
As written, the two-uid moment description of a plasma is exact. However,
the equations are incomplete until we specify the collisional moments R and Q,
and the closure moments q and . Neglecting the usually small temperature
gradient eects, the collisional moments are, from Section 2.3:
Electrons: R
e
m
e
n
e
e
(V
e
V
i
) = n
e
eJ/, Q
e
J
2
/ Q
i
, (5.72)
Ions: R
i
= R
e
, Q
i
= 3
m
e
m
i
e
n
e
(T
e
T
i
). (5.73)
For an unmagnetized plasma, the electrical conductivity is the Spitzer elec-
trical conductivity
Sp
dened in (??) and (??). In a magnetized plasma the
electrical conductivity is dierent along and perpendicular to the magnetic eld.
The general frictional force R and Q
e
for a magnetized plasma is written as
R = nq
_
J
+
J
_
, Q
e
=
J
2
+
J
2
Q
i
, magnetized plasma, (5.74)
in which nq is n
e
e (electrons) or n
i
Z
i
e = n
e
e (ions), J
b = (B J/B
2
)B,
J
J J
b =
b(
bJ),

Sp
and

0
. Here,
0
is the reference
electrical conductivity which is dened in (??):
0
n
e
e
2
/m
e
e
= 1/, where
is the plasma resistivity.
The closure moments q and are calculated from moments of the distribu-
tion function as indicated in (5.28) and (5.31). The distribution function f must
be determined from an appropriate kinetic theory. The closure moments can be
calculated rigorously for only a few special types of plasmas, such as for plas-
mas where Coulomb collision eects dominate (/t i << , << 1 in
general together with <<
c
,
<< 1 for magnetized plasmas) see Sec-

tion 12.2. Then, they represent the diusive transport processes induced by the
(microscopic) Coulomb collision processes in a plasma. For such a plasma the
parametric dependences of the closure moments q, on the collision frequency
and length , and gyroradius are indicated in (5.48)(5.55) above for both
unmagnetized and magnetized plasmas.
We will now illustrate some of the wide range of phenomena that are included
in the two-uid model by using these equations to derive various fundamental
DRAFT 11:54
Figure 5.3: Density distributions of electrons and ions in adiabatic response to
a potential (x).
plasma responses to perturbations. The procedure we will use is to identify the
relevant equation for the desired response, discuss the approximations used to
simplify it and then nally use the reduced form to obtain the desired response.
Since most of these phenomena can occur for either species of charged particles
in a plasma, the species subscript is omitted in most of this discussion.
We begin by considering unmagnetized (B = 0) plasmas. First, consider
the Boltzmann relation adiabatic response (??) to an electrostatic pertur-
bation, which was used in deriving Debye shielding in Section 1.1. It can
be obtained from the momentum equation (5.40), (5.65) or (5.69). Physi-
cally an adiabatic description is valid when the thermal motion (pressure in
the two-uid model) is rapid compared to temporal evolution and dissipative
processes , << v
T
/x kv
T
in the language of Section 1.6. Divid-
ing the momentum equation by mnv
T
and assuming for scaling purposes that
[V[ v
T
, d/dt i, q T, [[ 1/x k, its various terms are found
to scale as (inertia), kv
T
(E = electrostatic eld force), kv
T
(pressure
force), (k)
2
(stress force), and (frictional force). Thus, for , << kv
T
(adi-
abatic regime) and k << 1 (collisional species), the lowest order momentum
equation is obtained by neglecting the inertial force (mndV/dt) and dissipative
forces due to viscous stress ( ) and collisional friction (R):
0 = nq p. (5.75)
If we assume an isothermal species [ = 1 in (5.60), (5.67) or (5.71)], the temper-
ature is constant and hence p = T n. Then, we can write the adiabatic force
density balance equation in the form [(q/T) + lnn] = 0, which in complete
and perturbed form yields
n(x) = n
0
e
q(x)/T0
,
n
n
0
=
q
T
0
, isothermal adiabatic response, (5.76)
This is the usual Boltzmann relation: (??), (??) or (??). As indicated in Fig. 5.3,
in an adiabatic response a potential (x) causes the electron (q
e
= e < 0)
density to peak where the potential is highest and the ion (q
i
= Z
i
e > 0)
density to be at its minimum there. Thus, for an adiabatic response a potential
hill connes electrons but repels ions, whereas a potential valley connes ions
but repels electrons. The adiabatic response for a general isentopic equation
of state [(5.58), (5.67) or (5.71)] is somehat dierent, although the perturbed
response is the same as (5.76) with the temperature changed to T
0
see
Problem 5.13. In addition, the density equation [(5.37), (5.64) or (5.68)] shows
DRAFT 11:54
that perturbed ows are nearly incompressible ( V 0) in the (adiabatic)
limit of slow changes.
Next, we consider the inertial response, which in the two-uid context is
usually called the uid response. It is obtained from a combination of the den-
sity and momentum equations. Physically, an inertial response obtains for fast
(short time scale) processes ( >> v
T
/x kv
T
) for which the response to
forces is limited by the inertial force nmdV/dt. Using the same ordering of
the contributions to the momentum equation as in the preceding paragraph,
but now assuming
>
kv
T
>> , the lowest order perturbed (linearized) mo-
mentum equation becomes mn
0

V/t = n
0
q
p. For a plasma species

with a spatially homogeneous density (i.e., n
0
= 0), the perturbed density
equation [(5.37), (5.64) or (5.68)] becomes n/t = n
0

V. Thus, in the
dissipationless, inertial (uid) limit the density and momentum equations for a
homogeneous plasma species become
n
t
= n
0

V, mn
0

V
t
= n
0
q
p. (5.77)
These equations can be combined into a single density response equation by
taking the partial time derivative of the density equation and substituting in
the perturbed momentum equation to yield
2
n
t
2
= n
0

V
t
=
n
0
q
m

2
+
1
m
2
p, inertial (uid) response. (5.78)
The potential uctuation term represents the inertial polarization charge density
derived earlier in (??):
2

pol
/t
2
= (n
0
q
2
/m)
E =
0
2
p
E. The
second term on the right of (5.77) represents the modication of this polarization
response due to the thermal motion (pressure) of the species see Problem 5.15.
Alternatively, if we neglect the polarization response, and use a general equation
of state [(5.58), (5.67) or (5.71)], then (5.77) becomes
2
n/t
2
(p
0
/n
0
)
2
n =
0 which represents a sound wave with a sound wave speed c
S
(p
0
/n
0
)
1/2
see (??), (??). Note that in the inertial (uid) limit the perturbed density
response is due to the compressibility of the perturbed ow (

V ,= 0).
We next consider plasma transport processes in a collision-dominated limit.
Specically, we consider the electron momentum equation (5.65) in a limit where
the electric eld force is balanced by the frictional force (R) and the pressure
force:
0 = n
e
eEp
e
m
e
n
e
e
(V
e
V
i
) = n
e
eEp
e
+ n
e
eJ/. (5.79)
Here, we have neglected the inertia and viscous stress in the collisional limit by
assuming d/dt i <<
e
and
e
<< 1. In a cold electron limit (T
e
0)
the last form of this equation becomes
J = E, Ohms law. (5.80)
Neglecting the ion ow V
i
and using an isothermal equation of state [ = 1 in
(5.67)], we can obtain the electron particle ux (units of #/m
2
s) from the rst
DRAFT 11:54
Figure 5.4: Unmagnetized plasma particle ux components due to electron dif-
fusion (D
e
) and mobility (for E = ).
form in (5.79):
e
n
e
V
e
= D
e
n
e
+
M
e
n
e
E, D
e

T
e
m
e
e
,
M
e

e
m
e
e
,
electron diusion, mobility particle uxes. (5.81)
The rst term represents the particle ux due to the density gradient which is
in the form of a Ficks law (??) with a diusion coecient D
e
T
e
/m
e
e
=
v
2
Te
/2
e
=
e
2
e
/2. The contribution to the particle ux induced by the electric
eld is known as the mobility ux (superscript M). The directions of these diu-
sive and mobility particle ux components for an equilibrium (
e
0) electron
species are shown in Fig. 5.4. Note that the electron collision length
e
= v
Te
/
e
must be small compared to the gradient scale length (i.e., [
e
ln n
e
[ << 1) for
this collisional plasma analysis to be valid. In general, the ratio of the dif-
fusion coecient to the mobility coecient is known as the Einstein relation:
D/
M
= T/q D
e
/
M
e
= T
e
/e. The Einstein relation is valid for many
types of collisional random walk processes besides Coulomb collisions.
Finally, we consider the transport properties embodied in the energy equa-
tion for an unmagnetized plasma. Neglecting ows and temperature equilibra-
tion between species, the energy equation [(5.43), (5.66) or (5.70)] becomes
3
2
n
T
t
= q, =
T
t
=
2
3
2
T, temperature diusion. (5.82)
Here, in the second form we have used the general Fourier heat ux closure re-
lation (5.48) and for simplicity assumed that the species density and diusivity
are constant in space (n = 0, = 0). In a single dimension this equation
becomes a one-dimensional diusion equation (??) for the temperature T with
diusion coecient D = 2/3
2
. Diusion equations relax gradients in the
species parameter operated on by the diusion equation here the tempera-
ture gradient for which L
T
is the temperature gradient scale length dened by
1/L
T
(1/T)[dT/dx[. From (??) or (5.82) in the form T/ T/L
2
T
we infer
that the transport time scale on which a temperature gradient in a collisional
plasma ( << L
T
) will be relaxed is (L
T
/)
2
/ >> 1/.
As we have seen, the two-uid equations can be used to describe responses
in both the adiabatic ( << kv
T
) and inertial ( >> kv
T
) limits. In between,
where kv
T
, neither of these limits apply and in general we must use a kinetic
equation to describe the responses. Also, we have illustrated the responses for
a collisional species. When Coulomb collision lengths become of order or longer
DRAFT 11:54
Figure 5.5: Flow components in a magnetized plasma.
than the gradient scale lengths (
>
1), the heat ux and viscous stress can no

longer be neglected. However, simultaneously the conditions for the derivation
of these closure relations break down. Thus, for
>
1 we usually need to
use a kinetic equation or theory at least to derive new forms for the closure
relations.
5.6 Two-Fluid Magnetized-Plasma Properties*
We next explore the natural responses of a magnetized plasma using the two-
uid model. Because the magnetic eld causes much dierent particle motions
along and across it, the responses parallel and perpendicular to magnetic eld
lines are dierent and must be examined separately. The equation for the evo-
lution of the parallel ow V

b V is obtained by taking the dot product
of the momentum equation [(5.40), (5.65) or (5.69)] with

b B/B and using
b dV/dt = dV
/dt V d
b/dt:
mn
dV
dt
= nqE
b R
+ mnV
d
b
dt
. (5.83)
Here, the parallel (|) subscript indicates the component parallel to the magnetic
eld: i.e., E

b E,
p

b p, R

b R = nqJ
. The responses
along the magnetic eld are mostly just one-dimensional (parallel direction)
forms of the responses we derived for unmagnetized plasmas. However, many
plasmas of practical interest are relatively collisionless along magnetic eld
lines (
ln B
>
1); for them appropriate parallel stress tensor and heat ux

closure relations must be derived and taken into account, or else a kinetic de-
scription needs to be used for the parallel responses. [See the discussion in the
paragraphs after (??) and (??) in Section 6.1 for an example: the eects of
neoclassical closures for axisymmetric toroidal magnetic systems.]
When the magnetic eld is included in the momentum equation [(5.40),
(5.65) or (5.69)], the nqVB term it adds scales (by dividing by mnv
T
) to be
of order
c
; hence, it is the largest term in the equation for a magnetized plasma
in which
c
>> , , kv
T
. Thus, like for the determination of the perpendicular
guiding center drifts in Section 4.4*, the perpendicular ow responses are ob-
tained by taking the cross product of the momentum equation [(5.40), (5.65) or
(5.69)] with the magnetic eld B. Adding the resultant perpendicular ows to
the parallel ow, the total ow can be written (see Fig. 5.5)
V = V
+ V
+
2
V
, with (5.84)
DRAFT 11:54
V
= V
b
(B V)B
B
2
, (5.85)
V
= V
E
+V

EB
B
2
+
Bp
nqB
2
, (5.86)
V
= V
p
+V
+V

BmndV/dt
nqB
2
+
RB
nqB
2
+
B
nqB
2
. (5.87)
Here, the indicates the ordering of the various ow components in terms of the
small gyroradius expansion parameter
(, )/
c
<< 1 see (??)
and (??). As indicated, the cross (subscript ) ow is rst order in the small
gyroradius expansion, while the perpendicular (subscript ) ow is second
order compared to the thermal speed v
T
of the species. For example,
V
v
T
=
Bp
nqB
2
v
T
T/m
(qB/m)v
T
p
p

ln p << 1. (5.88)
For the scaling of the other contributions to V
and V
, see Problems 5.19 and

5.20.
The rst order ow V
V
E
+V
is composed of EB and diamagnetic

ows. The very important EB ow is the result of all the particles in a given
species drifting with the same EB drift velocity (??):
V
E

EB
B
2
E=
=
B
B
2

1
B
0
d
dx
e
y
, EB ow velocity. (5.89)
Here and below, the approximate equality indicates evaluation in the sheared
slab model of Section 3.1 with B B
0
e
z
and for which plasma parameters (and
the potential ) only vary in the x direction. The diamagnetic ow V
is
V

Bp
nqB
2

T
qB
0
_
1
p
dp
dx
_
e
y
=
T(eV)
(q/e)B
0
L
p
e
y
,
diamagnetic ow velocity, (5.90)
in which
L
p
p/(dp/dx), pressure-gradient scale length, (5.91)
which is typically approximately equal to the plasma radius in a cylindrical
model. (The denition of the pressure gradient scale length has a minus sign
in it because the plasma pressure usually decreases with radius or x for a con-
ned plasma.) The last form in (5.90) gives a formula for numerical evaluation
(in SI units, except for T in eV). The V
ow is called the diamagnetic ow

because the current density nqV
it produces causes a magnetic eld that re-

duces the magnetic eld strength in proportion to the species pressure p [see
Problem 5.??], which is a diamagnetic eect. Note that the diamagnetic ows
of electrons and ions are comparable in magnitude and in opposite directions.
Hoewever, the electrical current densities they produce are in the same direc-
tion. These diamagnetic currents in the cross (e
y
in slab model) direction cause
DRAFT 11:54
charge buildups and polarization of the plasma, which are very important in
inhomogeneous magnetized plasmas.
Of particular importance is the electron diamagnetic ow obtained from
(5.90) with q = e:
V
e
=
Bp
e
n
e
eB
2

T
e
eB
0
_
1
p
e
dp
e
dx
_
e
y
=
T
e
(eV)
B
0
L
p
e
e
y
,
electron diamagnetic ow velocity. (5.92)
This is a fundamental ow in a plasma; ows in a plasma are usually quoted
relative to its direction.
The EB and diamagnetic ows are called cross ows because they ow
in a direction given by the cross product of the magnetic eld and the radial
gradients of plasma quantities. Thus, they ow in what tends to be the ignorable
coordinate direction the e
y
direction in the sheared slab model, the azimuthal
direction in a cylindrical model, or perpendicular to B but within magnetic
ux surfaces in mirror and toroidal magnetic eld systems. Since they have no
component in the direction of the electric eld and pressure gradient forces (i.e.,
V
E
E = 0 and V
p = 0), they do no work and hence produce no increase

in internal energy of the plasma [i.e., no contributions to (5.41) or (5.42)].
The presence of the EB and diamagnetic ows in a plasma introduces two
important natural frequencies for waves in an inhomogeneneous plasma:
E
k V
E

k
y
B
0
d
dx

k
y
T
qB
0
d
dx
_
q
T
_
, EB frequency, (5.93)
k V

k
y
T
qB
0
_
1
p
dp
dx
_
= k
y
v
T
2L
p
, diamagnetic frequency. (5.94)
The last approximate form of
E
is for T = constant. In the last form of
we have used the denitions of the thermal speed v

T

_
2T/m and gyroradius
v
T
/
c
(??). The electron diamagnetic frequency is often written as
e

k
y
T
e
eB
0
_
1
p
e
dp
e
dx
_
= k
y
S
c
S
L
pe
=
k
y
T
e
(eV)
B
0
L
pe
,
electron diamagnetic frequency. (5.95)
in which c
S

_
T
e
/m
i
is the ion acoustic speed (??) and
S
c
S
/
ci
.
The signicance of the EB frequency is that it is the Doppler shift fre-
quency for waves propagating in the cross direction in a plasma. The signicance
of the electron diamagnetic frequency is that it is the natural frequency for an
important class of waves in inhomogeneous plasmas called drift waves (see Sec-
tion 7.6). Both electron and ion diamagnetic frequency drift waves can become
unstable for a wide variety of plasma conditions (see Section 23.3). Because
drift wave instabilities tend to be ubiquitous in inhomogeneneous plasmas, they
are often called universal instabilities. The presence of the k
y
factor in the
diamagnetic frequencies highlights the signicance for drift waves of nite gyro-
radius eects, mostly due to the ions see (??)(??). The maximum frequency
DRAFT 11:54
Figure 5.6: The diamagnetic ow velocity V
can be interpreted physically as

due to either: a) a net e
y
ow due to the inhomogeneous distribution of guiding
centers because p = p(x), or b) the combination of the particle guiding center
drifts and magnetization current due to the magnetic moments of the entire
species.
of drift waves is usually limited by nite ion gyroradius eects. For example,
for electron drift waves max v
Ti
/(4
L
pi
) for T
e
= T
i
(see Section 8.6).
Figure 5.6 illustrates two dierent physical interpretations of the diamag-
netic ow. In the uid, gyromotion picture shown in Fig. 5.6a, because the
density of guiding centers decreases as the radial variable x increases, in a full
distribution of ions executing their gyromotion orbits, more ions are moving
downward (e
y
direction) than upward at any given x; hence, dp/dx < 0 in a
magnetized plasma with B B
0
e
z
induces an ion diamagnetic ow in the e
y
direction see Problem 5.23. In the particle picture shown in Fig. 5.6b, the
ow is produced by a combination of the particle drifts in the inhomogeneneous
magnetic eld and the magnetization current due to the magnetic moments of
the charged particles gyrating in the magnetic eld, both integrated over the
entire distribution of particles in the species. The electrical current induced by
the guiding center drift velocity dx
g
/dt = v
D
v
D
+v
D
b from (??) and (??),

integrated over an isotropic Maxwellian distribution function f
M
of particles is
nq v
D
q
_
d
3
v v
D
f = nq
EB
B
2
+
Bp (ln B +)
B
2
+
p
B
b(
b). (5.96)
Here, we have used (??) in evaluating the two types of velocity-space integrals:
_
d
3
v (mv
2
/2)f
M
=
_
d
3
v (m/2)(v
2
x
+ v
2
y
)f
M
= nT = p and
_
d
3
v mv
2
f
M
=
nT = p. The (macroscopic) magnetization due to an entire species of particles
with magnetic moments dened in (??) is given by
M =
_
d
3
v f
M
=
_
d
3
v
mv
2
2B
bf
M
=
p
B
b. (5.97)
The electrical current caused by such a magnetization is
J
M
= M =
Bp
B
2
+
Bp (ln B +)
B
2

p
B
b(
b). (5.98)
Here, we have used the vector identity (??) and
b =

b(
b) +

b,
which can be proved by splitting
b into its parallel and perpendicular (to

B) components using (??)(??). Comparing these various current components,
we nd
nq(V
E
+V
) = nq v
D
+M. (5.99)
DRAFT 11:54
Thus, for a single species of charged particles in a magnetized plasma, the (uid,
gyromotion picture) cross () current induced by the sum of the EB and dia-
magnetic (V
) ows is equal to the (drift picture) sum of the currents induced

by the guiding center particle drifts and the magnetization induced by the mag-
netic moments of all the particles in the species. Note that no single particle
has a drift velocity that corresponds in any direct way to the diamagnetic ow
velocity V
.
11
Rather, the diamagnetic ow velocity is a macroscopic ow of an
entire species of particles that is a consequence of the (radially) inhomogeneous
distribution of charged particles in a magnetized plasma. Finally, note that the
net ow of current of a species in or out of an innitesimal volume does not
involve the magnetization: nq(V
E
+V
) = nq v
D
since M = 0.
Thus, the net ow of (divergence of the) currrent can be calculated from either
the uid or particle picture, whichever is more convenient.
Next, we discuss the components of the second order perpendicular ow
velocity V
V
p
+ V
+ V
dened in (5.87). The polarization ow V

p
represents the eect of the polarization drifts (??) of an entire species of particles
and to lowest order in is given by:
V
p
=
BmndV
/dt
nqB
2

1
t
1
B
0
_
d
dx
+
T
q
1
p
dp
dx
_
e
x
,
polarization ow velocity. (5.100)
Simlarly, we use the rst order perpendicular ow V
in evaluating the
frictional-force-induced ow V
due to the perpendicular component of the fric-

tional force R dened in (5.74):
V
=
RB
nqB
2
=
BJ
B
2

B[n
e
e(V
e
V
i
)]
B
2
=
n
e
eB(V
e
V
i
)
B
2
=
(p
e
+ p
i
)
0
B
2
=
2
e
2
(p
e
+ p
i
)
n
e
T
e

e
2
e
_
T
e
+ T
i
2T
i
_
1
n
e
dn
e
dx
e
x
,
classical transport ow velocity. (5.101)
Here, for simplicity in the evaluation for the sheared slab model form we have
assumed that the electron and ion temperatures are uniform in space and only
the density varies spatially (in the x direction in the sheared slab model). This
ow velocity is in the form of a Ficks diusion law (??) particle ux
nV
= D
n
e
, classical particle ux, (5.102)
D
2
e
_
T
e
+ T
i
2T
e
_
5.6 10
22
n
e
Z
i
B
2
[T
e
(eV )]
1/2
_
ln
17
_
m
2
/s,(5.103)
This is called classical transport because its random walk diusion process
results from and scales with the (electron) gyroradius: x
e
. The scaling
11
Many plasma physics books and articles call V the diamagnetic drift velocity. This
nomenclature is very unfortunate since no particles drift with this velocity. Throughout
this book we will call V the diamagnetic ow velocity to avoid confusion about its origin.
DRAFT 11:54
of the particle diusion coecient D
with collision frequency and gyroradius

is the same as that for the perpendicular electron heat diusion coecient
e
see (5.49). The particle ux in (5.103) leads to a particle density equation
of the form n
e
/t = n
e
V
e
= D
2
n
e
and hence to perpendicular (to
B) diusion of particles see (5.82), Fig. 5.4 and (??). It is important to
note that the particle ux (and consequent transport) is the same for either
species of particles (electrons or ions). Therefore, it induces no net charge
ow perpendicular to magnetic eld lines; hence, it is often said that classical
transport is intrinsically ambipolar electrons and ions diuse together and
induce no polarization or charge buildup perpendicular to B.
The nal perpendicular ow component is:
V

B
nqB
2
, viscous-stress-induced ow velocity. (5.104)
For a collisional, magnetized species (
<< 1,
<< 1), this ow is

smaller than the classical transport ow velocity V
. However, in more col-

lisionless plasmas where
>
1 this ow represents neoclassical transport

due to the eects of particles drifting radially o magnetic ux surfaces and it
can be larger than classical transport. For example, for an axisymmetric, large
aspect ratio tokamak, collisions of particles on banana dift orbits (see Section
4.8*) induce a radial particle ux similar to (5.103) with D
r

e
2
e
q
2
3/2
in which q
>
1 is the toroidal winding number of the magnetic eld lines and

= r/R
0
<< 1 is the inverse aspect ratio see Chapter 16.
All of the components of the perpendicular ow V
have components in
the x or radial (across magnetic ux surface) direction. The polarization ow
leads to a radial current in the plasma and hence to radial charge buildup and
polarization. Because it is due to an inertial force, it is reversible. The radial
ows induced by the frictional and viscous stress forces are due to (microscopic)
collisions and hence yield entropy-producing radial transport uxes that tend
to relax the plasma toward a (homogeneous) thermodynamic equilibrium.
Finally, it is important to note that like the species ow velocity V, the heat
ow q and stress tensor have similarly ordered parallel, cross (diamagnetic-
type) and perpendicular components:
q = q
+ q
+
2
q
, total conductive heat ux, (5.105)

=
+
2
, total stress tensor. (5.106)

The scalings of the parallel and pependicular uxes q
, q
and
with
collision frequency and gyroradius are indicated in (5.49) and (5.54). The cross
heat ux is
q
=
5
2
nTBT
qB
2
n
bT,
=
5
2
T
qB
, diamagnetic heat ux.
(5.107)
Like the diamagnetic ow, this cross heat ux produces no dissipation [see (5.47)]
since q
T = 0. Similarly, the cross stress tensor is a diamagnetic-type tensor

DRAFT 11:54
Table 5.1: Phenomena, Models For An Unmagnetized Plasma
Time, Species,
Physical Process Length Scales Plasma Model Consequences
plasma oscillations 1/
pe
10
11
s inertial
q
0, <
pe
Debye shielding
D
10
5
m adiabatic
q
0, k
D
< 1
cold plasma waves /k > v
T
, two-uid oscillations,
/k c
S
> v
Ti
(T 0, = 0) dielectric const.
hot plasma waves < 1m
<

p
Vlasov dielectric const.
Landau damping < 1m
<

p
Vlasov wave damping
velocity-space inst. < 1m
<

p
Vlasov NL, via collisions
Coulomb collisions , k 1 plasma two-uid model
frequency 1/ 10
7
s kinetic
length 0.1 m equation
plasma transport (L/)
2
/ two-uid loss of plasma
of the form
mn
m
bV and produces no dissipation [see (5.47)] since
: V = 0 see Section 12.2. The cross stress tensor
is often called
the gyroviscous stress tensor. Since the gyroviscous eects are comparable to
those from V
and q
must be retained in the momentum equations when

diamagnetic ow eects are investigated using the two-uid equations.
5.7 Which Plasma Description To Use When?
In this section we discuss which types of plasma descriptions are used for de-
scribing various types of plasma processes. This discussion also serves as an
introduction to most of the subjects that will be covered in the remainder of
the book. The basic logic is that the fastest, nest scale processes require ki-
netic descriptions, but then over longer time and length scales more uidlike,
macroscopic models become appropriate. Also, the equilibrium of the faster
time scale processes often provide constraint conditions for the longer time scale,
more macroscopic processes.
We begin by discussing the models used to describe an unmagnetized plasma.
For specic parameters we consider a plasma-processing-type plasma with T
e
=
3 eV, n
e
= 10
18
m
3
and singly-charged ions (Z
i
= 1). An outline of the
characteristic phenomena, order of magnitude of relevant time and length scales,
and models used to describe unmagnetized plasmas is shown in Table 5.1. As
indicated in the table, the fastest time scale plasma phenomenon is oscillation
at the electron plasma frequency (Section 1.3) which is modeled with an inertial
DRAFT 11:54
electron response (5.78). The shortest length scale plasma process is Debye
shielding (Section 1.1), which is produced by an adiabatic response (5.76).
Cold plasma waves (electon plasma and ion acoustic waves) are modeled by
the two-uid equations by neglecting collisional eects and considering thermal
eects to be small and representable by uid moments. These natural oscilla-
tions result from the dielectric medium responses of the plasma see Chapters
1 and 7. The corresponding hot plasma (kinetic) waves and dielectric functions,
which include wave-particle interaction eects, are modeled with the Vlasov
equation (5.21) and discussed in Chapter 8. Consequences of this kinetic model
of an unmagnetized plasma include the phenomena of collisionless Landau
damping (Section 8.2) of waves and velocity-space instabilities (Chapter 19).
The use of the Vlasov equation is justied because the natural growth or damp-
ing rates [1m] for these phenomena are larger than the eective collision
frequency. However, velocity-space diusion due to collisions is required for ir-
reversibility of the wave-particle interactions involved in Landau damping (see
Section 10.2) and to produce a steady state saturation or bounded cyclic be-
havior during the nonlinear (NL) evolution of velocity-space instabilities (see
Sections 10.3, 24.1, 25.1).
On longer time scales (
<

e
), Coulomb collisions become important and
are modeled using the plasma kinetic equation (5.13). Finally, on transport
time scales (L/)
2
/ (see Section A.5) long compared to the collision time
1/ and length scales L long compared to the collision length = v
T
/, the
electron and ion species can be described by the two-uid equations (5.64)
(5.71). Plasma radiation (caused by particle acceleration via Coulomb collisions
or from atomic line radiation see Chapter 14) can also beome relevant on the
plasma transport time scale. Modeling of plasma particle and energy transport
in collisional plasmas is discussed in Section 17.1.
A similar table and discussion of the relevant phenomena and plasma de-
scriptions on various time and length scales for magnetized plasmas is deferred
to Section 6.8 in the following chapter after we have discussed the important
fast time scale physical eects in a MHD description of a plasma, and in par-
ticular Alfvèn waves.
Plasma physics books that provide discussions of various plasma descriptions are
Schmidt, Physics of High Temperature Plasmas (1966,1979), Chapts. 3,4 [?]
Krall and Trivelpiece, Principles of Plasma Physics (1973), Chapts. 2.3 [?]
Nicholson, Introduction to Plasma Theory (1983), Chapts. 3-8 [?]
Sturrock, Plasma Physics, An Introduction to the Theory of Astrophysical, Geo-
physical & Laboratory Plasmas (1994), Chapts. 11,12 [?]
Hazeltine and Waelbroeck, The Framework of Plasma Physics (1998), Chapts.
36 [?]
Plasma books that provide extensive discussions of plasma kinetic theory are
Klimontovich, The Statistical Theory of Non-equilibrium Processes in a Plasma
(1967) [?]
DRAFT 11:54
Montgomery and Tidman, Plasma Kinetic Theory (1964) [?]
Montgomery, Theory of the Unmagnetized Plasma (1971) [?]
A comprehensive development of the uid moment equations is given in
S.I. Braginskii,Transport Processes in a Plasma, in Reviews of Plasma Physics,
M.A. Leontovich, Ed. (Consultants Bureau, New York, 1965), Vol. 1, p. 205 [?]
PROBLEMS
5.1 In the year 2000, single computer processor units (CPUs) were capable of about
10
9
oating point operations per second (FLOPs). Assume a particle push-
ing code needs about 100 FLOPs to advance a single particle a plasma period
(1/pe) and that the CPU time scales linearly with the number of particles. How
long would a year 2000 CPU have to run to simulate 0.03 m
3
of plasma with
a density of ne = 3 10
18
m
3
for 10
3
seconds by advancing all the particles
in a plasma? Taking account of Moores (empirical) law which says that CPU
speeds double every 18 months, how long will it be before such a simulation can
be performed in a reasonable time say one day on a single CPU? Do you
expect such plasma simulations to be possible in your lifetime? /
5.2 Consider a continuum (mush) limit of the plasma kinetic equation. In this
limit charged particles in a plasma are split in two and distributed randomly
while keeping the charge density, mass density and species pressure constant.
Then, the particles are split in two again, and the splitting process repeated an
innite number of times. What are the charge, mass, density and temperature
of particles in one such split generation relative to the previous one? Show that
in this limiting process the plasma frequency and Debye length are unchanged
but that the term on the right of the averaged Klimontovich equation (5.12)
becomes negligibly small compared to the terms on the left. Use these results to
discuss the role of particle discreteness versus continuum eects in the Vlasov
equation and the plasma kinetic equation. //
5.3 Show that for a Lorentz collision model the right side of the averaged Klimon-
tovich equation (5.12) becomes the Lorentz collision operator:
C
L(f) =

v
v v
2t

f
v
in which vv/t is given by (??). [Hint: First subtract the averaged
Klimontovich equation (5.12) from the full Klimontovich equation (5.8) and show
that df
m
/dt = (q/m) E
m
f/v. Then, for an ensemble average dened by
g = ni
_
d
3
xg = ni
_
v dt
_
b db
_
dg show that (q/m)
2
E
m
_
t
dt
E
m
=
v v/2t.] ///
5.4 Use the Lorentz collision operator dened in the preceding problem to show that
for a Maxwellian distribution with a small ow (|V|/vT << 1) the Coulomb
collision frictional force density on an electron species in the ion rest frame is
Re = meneeVe. //
5.5 Show that the partial time derivative of the Maxwellian distribution (5.22) is
fM
t
=
_
1
n
n
t
+
1
T
T
T
_
mv
2
r
2T

3
2
_
+
m
T
vr
V
t
_
fM.
Also, derive similar expressions for fM fM/x and fM/v. //
DRAFT 11:54
5.6 Write down a one-dimensional Vlasov equation governing the distribution func-
tion along a magnetic eld line neglecting particle drifts. What are the constants
of the motion for this situation? What is the form of the general solution of this
Vlasov equation? Discuss what dependences of the distribution function on the
constants of the motion are needed to represent electrostatic and magnetic eld
connement of the charged particles in a plasma along B. //
5.7 Show the integration and other steps needed to obtain the energy equation
(5.41). [Hint: For the velocity derivative term derive and use the vector identity
mv
2
2
v
A(v) =

v
mv
2
2
A(v) mv A(v).]
Also, use the origin of the energy ux (5/2)nTV to show that it represents a
combination of the convection of the internal energy and mechanical work done
on or by the species moving with a ow velocity V. //*
5.8 Show the steps in going from the rst energy equation (5.41) to the second
(5.42). [Hint: Use vector identities (??) and (??).] //*
5.9 Parallel electron heat conduction often limits the electron temperature that can
be obtained in a collisional magnetized plasma that comes into contact with
the axial end walls. a) Develop a formula for estimating the equilibrium central
electron temperature T
e(0) produced by a power source supplying QS watts per
unit volume in a plasma of length 2L that loses energy to the end walls primarily
by parallel electron heat conduction. For simplicity, neglect the variation of the
parallel heat conduction with distance along a magnetic eld line and assume
a sinusoidal electron temperature distribution along a magnetic eld line given
by Te() = Te(0) cos(/2L). b) How does Te(0) scale with QS? c) For a plasma
with singly-charged ions and ne = 10
12
cm
3
in a chamber with an axial length
of 1 m, what Te(0) can be produced by a power source that supplies 0.1 W/cm
3
to the plasma electrons? d) How large would QS need to be achieve a Te(0) of
25 eV? //*
5.10 The irreducible minimum level of perpendicular heat transport is set by classical
plasma transport. Consider an innitely long cylinder of magnetized plasma.
Estimate the minimum radius of a 50% deuterium, 50% tritium fusion plasma
at Te = Ti = 10 keV, ne = 10
20
m
3
in a 5 T magnetic eld that is required to
obtain a plasma energy connement time of 1 s. //*
5.11 Write down one- and two-dimensional Maxwellian distribution functions. Use
the entropy denition in (5.44) to obtain entropy functionals for these two dis-
tributions. Show that the entropy functions are as indicated in (5.58). //*
5.12 First, show that in N dimensions the energy equation (5.42) can be written, in
the absence of dissipative eects, as
N
2
p
t
=
_
N + 2
2
pV
_
+V p.
Then, show that in combination with the density equation (5.37) this equation
can be rearranged to yield the isentropic equation of state in (5.58). //*
5.13 Derive the adiabatic response for an isentropic equation of state. Show that the
perturbed adiabatic response is n/n0 q
/T0 in which T0 p0/n0. //

DRAFT 11:54
5.14 Use the ion uid equations (5.68)(5.71) to derive the ion energy conservation
relation (??) that was used in the analysis of a plasma sheath in Section 1.2.
Discuss the various approximations needed to obtain this result. //
5.15 Use the inertial electron uid response (5.78) with a general isentropic equation
of state to obtain the thermal speed corrections to the electron plasma wave
dielectric
I (??). Set the dielectric function to zero and show that the normal
modes of oscillation satisfy the dispersion relation
2
=
2
pe
+ (/2) k
2
v
2
Te
. //
5.16 Use the two-uid equations (5.64)(5.71) to obtain the ion sound wave equation
(??). Also, use the two-uid equations and an isothermal equation of state for
the ions to obtain the ion thermal corrections to the ion acoustic wave dispersion
relation (??). //
5.17 Show how to use the electron uid equations to derive the electromagnetic skin
depth dened in (??). /
5.18 Consider a collisional unmagnetized plasma where the electron density distribu-
tion n
e(x) is determined by some external means, for example by a combination
of wave heating and ionization of neutrals. Use the equilibrium Ohms law (elec-
tron momentum equation) in (5.79) to determine the potential distribution (x)
(for E = ) required to obtain no net current owing in the plasma. For
simplicity assume isothermal electrons. Then, use this potential to show that
the equilibrium distribution of isothermal ions of charge Zi in this plasma is
ni(x)/ni(0) = [ne(0)/ne(x)]
Z
i
Te/T
i
.
What is the role of the potential (x) here? Explain why the ion density is
smallest where the electron density is the largest in this plasma situation. //
5.19 Show that for q T the EB ow is order relative to the thermal speed of
the species in the small gyroradius expansion. /
5.20 Show that all the terms in the V
dened in (5.87) are of order

2
(or smaller)
relative to the thermal speed of the species in the small gyroradius expansion.
[Hint: Use the rst order EB and diamagnetic cross ows to estimate the
various contributions to V
.] //
5.21 Suppose a drift-wave has a real frequency of 0.5 i in the EB rest frame and
that niqi
= 2
pi, ky = 0.1 cm
1
and d/dx = 100 V/cm with a mag-
netic eld of 2.5 T. What is the frequency (in rad/s and Hz) of the wave in the
laboratory frame? Does the wave propagate in the electron or ion diamagnetic
ow direction in the laboratory frame? /
5.22 Calculate the diamagnetic ow velocity in a uniform magnetic eld from a sim-
ple kinetic model as follows. First, note that since the relevant constants of the
motion are the guiding center position x
g = x + vy/c from (??) and energy
g, an appropriate solution of the Vlasov equation is f = f(xg, g). Assume
a Maxwellian energy distribution and expand this distribution in a small gyro-
radius expansion. Show that the ow velocity in this expanded distribution is
the diamagnetic ow velocity (5.90). Discuss how this derivation quanties the
illustration of the diamagnetic ow in Fig. 5.6a. //
DRAFT 11:54
5.23 Consider electron and ion pressure proles peaked about x = 0 in a sheared slab
magnetic eld model with no curvature or shear. a) Sketch the directions of
the diamagnetic ows of the electrons and ions. b) Show that the currents they
induce are in the same direction. c) Show that these currents have a diamagnetic
eect on the magnetic eld strength. d) Finally show that for each species the
induced diamagnetic change in the magnetic eld energy density is proportional
to the pressure of the species. /
5.24 Consider a plasma species with an anistropic Maxwellian-type distribution that
has dierent temperatures parallel and perpendicular to the magnetic eld but
no dependence on the gyrophase angle . a) Show that for this anisotropic
distribution the pressure tensor is P = p
(I
b) +p
b. b) Show that for an

anisotropic species the diamagnetic ow velocity is
V
B P
nqB
2
=
B[p
+ (p
)]
nqB
2
.
c) Calculate the velocity-space-average drift current nq vD, magnetization M
and magnetization current JM for an anisotropic species. d) Show that your
results reduce to (5.96)(5.98) for isotropic pressure. e) Finally, show that (5.99)
is also satised for a plasma species with an anisotropic pressure. ///
5.25 In the derivation of (5.99) we neglected the guiding center drift due to the
direction of the magnetic eld changing in time the
b/t contribution.
Show how, when this drift is included in vD, (5.99) must be modied by adding
the part of the polarization ow Vp caused by V
to its left side to remain valid.

(Assume for simplicity that the magnetic eld is changing in direction slowly
compared to the gyrofrequency [(1/c)|
b/t| << 1] so the small gyroradius

expansion used to derive the guiding center orbits is valid.) //
5.26 Show that classical diusion is automatically ambipolar for a plasma with mul-
tiple species of ions. [Hint: Note that because of momentum conservation in
Coulomb collisions Re =
i
Ri.] //
DRAFT 11:54
CHAPTER 6. PLASMA DESCRIPTIONS II: MHD 1
Chapter 6
Plasma Descriptions II:
MHD
The preceding chapter discussed the microscopic, kinetic and two-uid decsrip-
tions of a plasma. But we would actually like a simpler model one that would
include most of the macroscopic properties of a plasma in a one-uid model.
The simplest such model is magnetohydrodynamics (MHD), which is a combi-
nation of a one-uid (hydrodynamic-type plus Lorentz force eects) model for
the plasma and the Maxwell equations for the electromagnetic elds. The main
equations, properties and applications of the MHD model are developed in this
chapter.
In the rst section, we further approximate and combine the two-uid de-
scription in Section 5.5 to obtain a one-uid magnetohydrodynamics (MHD)
description of a magnetized plasma. Section 6.2 presents the MHD equations in
various forms and discusses their physical content. Subsequent sections discuss
general properies of the MHD model (force-balance) equilibria (Section 6.3),
boundary and shock conditions (Section 6.4), dynamical responses (Section 6.5),
and the Alfvèn waves (Section 6.6) that result from them. Then, Section 6.7 dis-
cusses magnetic eld diusion in the presence of a nonvanishing plasma electrical
resistivity. Finally, Section 6.8 discusses the relevant time and length scales on
which the kinetic, two-uid and MHD models of magnetized plasmas are appli-
cable, and hence usable for describing various magnetized plasma phenomena.
This chapter thus presents the nal steps in the procedures and approximations
used to progress from the two-uid plasma model to a macroscopic description,
and discusses the key properties of the resultant MHD plasma model.
6.1 Magnetohydrodynamics Model*
Magnetohydrodynamics (MHD) is the name given to the nonrelativistic single
uid model of a magnetized (,
i
<<
ci
), small gyroradius (
i
<< 1)
plasma. The MHD description is derived in this section by adding appropri-
DRAFT 10:31
ately the two-uid equations [(??)(??)] to obtain a one-uid description and
then making suitable approximations. The philosophy of the ideal MHD de-
scription is to obtain density, momentum and equation of state equations that
govern the macroscopic behavior of a magnetized plasma on fast time scales
where dissipative processes are negligible and entropy is conserved. Thus, ideal
MHD processes are isentropic. The philosophy of resistive MHD is to extend
the time scale beyond the electron collision time scale ( 1/
e
) by adding to
ideal MHD the irreversible, dissipative eects due to the electrical resistivity in
the plasma.
The pedagogical approach we will use is to rst dene the MHD plasma
variables and next obtain conservation equations for these quantities. Then, we
discuss the approximations used in obtaining the MHD plasma equations, and
nally (in the next Section) we summarize the equations that constitute the
MHD model of a plasma and its electromagnetic elds. We begin by dening
the one-uid plasma variables of MHD:
mass density (kg/m
3
):
m

s
m
s
n
s
= m
e
n
e
+m
i
n
i
m
i
n
i
(6.1)
mass ow velocity (m/s): V
s
m
s
n
s
V
s
s
m
s
n
s
=
m
e
n
e
V
e
+m
i
n
i
V
i
m
V
i
(6.2)
current density (A/m
2
): J
s
n
s
q
s
V
s
= n
e
e(V
e
V
i
) (6.3)
plasma pressure (N/m
2
): P
s
_
p
s
+
n
s
m
s
3
[
V
s
[
2
_
p
e
+p
i
(6.4)
stress tensor (N/m
2
): =
s
_
s
+n
s
m
s
_
V
s

V
s
1
3
I [
V
s
[
2
__

e
+
i
, (6.5)
in which

V
s
V
s
V is the species ow velocity relative to the mass ow
velocity V of the entire plasma. Here, the forms on the right indicate rst the
general form as a sum over the species index s, second the electron-ion two-uid
form, and nally, after an appoximate equality, the usual, approximate forms
for m
e
/m
i
<
1/1836 <<< 1, comparable V

e
and V
i
, and [V
i
[ << v
Ti
. By
construction, the pressure and stress tensor are dened in the ow velocity rest
frame, which is often called the center-of-mass (really momentum) frame see
Problem 6.1.
A one-uid mass density (continuity) equation for the plasma is obtained
by multiplying the electron and ion density equations (??) and (??) by their
respective masses to yield
m
/t +
m
V = 0. Multiplying the density equa-
tions by their respective charges q
s
and summing over species yields the charge
continuity equation
q
/t + J = 0. In MHD the plasma is presumed to
be quasineutral because we are interested in plasma behavior on time scales
long compared to the plasma period ( <<
p
) and length scales long com-
pared to the Debye shielding distance (
D
/x k
D
<< 1). Mathematically,
DRAFT 10:31
quasineutrality in the plasma means
q

s
n
s
q
s
= e(Z
i
n
i
n
e
) 0. Thus,
in the MHD model the charge continuity equation simplies to J = 0. Note
that this equation is also consistent with the divergence of Amperes law when
the displacement current is neglected see (??). Hence, the charge continuity
equation J = 0 is also consistent with a nonrelativistic MHD description of
particles and waves in a plasma. Since MHD plasmas are quasineutral and have
no net charge density (
q
= 0), the Gauss law Maxwell equation E =
q
/
0
cannot be used to determine the electric eld in the plasma. Rather, since
a plasma is a highly polarizable medium, in MHD the electric eld E is deter-
mined self-consistently from Ohms law, Amperes law and the charge continuity
equation ( J = 0).
A one-uid momentum equation (equation of motion) for a plasma is ob-
tained by simply adding the electron and ion momentum equations (??) and
(??) (see Problem 6.2 for the structure of the inertia term
m
dV/dt):
m
dV
dt
=
q
E+JBP , (6.6)
in which
e
+
i
is the total plasma stress tensor in the center-of-mass
frame dened in (6.5). The electric eld term is eliminated in MHD by the
assumption of quasineutrality in the plasma:
q
0. In a collisional plasma
the viscosity eects of the ions are dominant in the stress tensor [see (??)].
The dissipative eects due to ion viscosity become important on time scales
long compared to the relatively slow ion collision time scale [see (??)]. For low
collisionality plasmas in axisymmetric toroidal magnetic systems these parallel
ion viscosity eects (due to

b
i
) represent the viscous drag on the parallel
(poloidal) ion ow carried by untrapped ions due to their collisions with the
stationary trapped ions, and are included in a model called neoclassical MHD;
there they result in damping of the poloidal ion ow at a rate proportional to
the ion collision frequency
i
and consequently to an increased perpendicular
inertia and dielectric response for t >> 1/
i
see Chapter 16. In ideal and
resistive MHD it is customary to neglect the viscous stress eects and thus set
= 0 in (6.6). This assumption is usually valid for time scales shorter than
the ion collision time scale: d/dt i >>
i
.
Since the magnetic eld causes the plasma responses to be very dierent
along and transverse to the magnetic eld direction, it is useful to explore the
responses in dierent directions separately. Taking the dot product of

b B/B
with the plasma momentum equation (6.6) and neglecting
q
E (quasineutrality
assumption) and the stress tensor , the parallel plasma momentum equation
becomes
m
dV
dt
=
P
m
V
d
b
dt
. (6.7)
in which
b = /. The last term is important only when the magnetic

eld direction is changing in time or in inhomogeneous plasmas when the ow
velocity V is large. Neglecting this term, (6.7) in combination with the plasma
mass density (continuity) equation leads to compressible ows due to plasma
DRAFT 10:31
pressure perturbations and hence to sound waves along the magnetic eld
see (??)(??) in Section A.6 and (6.89) below.
Taking the cross product of B with the momentum equation and using the
bac cab vector identity (??), again neglecting
q
E and the stress tensor , we
obtain the two perpendicular components of the current:
J

BP
B
2
, diamagnetic current density, (6.8)
J
p

B
m
dV/dt
B
2
, polarization current density. (6.9)
The diamagnetic current is the sum of the currents produced by the diamag-
netic currents due to ows in the various species of charged particles in the
plasma: J
=

s
n
s
q
s
V
s
. Like the species diamagnetic ows, it is called a
diamagnetic current because it produces a magnetic eld that reduces the
magnetic eld strength in proportion to the plasma pressure P (see Problem
6.13). The electric eld produces no perpendicular current in MHD because
the EB ows of all species are the same; hence, they produce no current:
s
n
s
q
s
V
Es
= (
s
n
s
q
s
)V
E
=
q
V
E
0.
Like for the individual species diamagnetic ows [see (??) and Fig. ??], the
(uid picture) diamagnetic current is equal to the (particle picture) current due
to the combination of the particle guiding center drifts and the magnetization
produced by the magnetic moments () of all the charged particles gyrating in
the B eld:
J
= J
D
+M, (6.10)
in which the particle drift (D) and the magnetization (M) currents are
J
D

s
n
s
q
s
v
Ds
=
BP(ln B +)
B
2
+
P
B
b(
b), (6.11)
J
M
M, M
s
_
d
3
v
s
f
Ms
=
b
B
s
p
s
=
P
B
b. (6.12)
Note that since the (dimensionless) magnetic susceptibility
M
is dened by
M =
M
B/
0
[see (??)], in the MHD model of the plasma
M
= (
0
P/B
2
).
The negative sign of
M
indicates the diamagnetism eect of the magnetic
moments of the gyrating particles in a magnetized plasma. As an illustration of
the magnitude of this diamagnetism eect, when the plasma pressure P is equal
to the magnetic energy density [see (??)] B
2
/2
0
, the magnetic eld strength
is halved.
The polarization current is the current produced by the sum of the currents
due to the polarization ows of the various species: J
p
=

s
n
s
q
s
V
p
. Since
the ion mass is so much larger than the electron mass, the ion polarization ow
dominates: J
p
n
i
Z
i
eV
pi
. There is no resistivity-driven current (i.e., no J
)
because the classical diusion induced by the plasma resistivity is ambipolar
[see (??)]. Also, there is no viscosity-induced current (i.e., no J
) in MHD
because the stress tensor eects are neglected, assuming >>
i
.
DRAFT 10:31
The total current in MHD is a combination of the parallel current, and the
diamagnetic and polarization perpendicular currents:
J = J
+J
+J
p
= J
B
B
+
BP
B
2
+
B
m
dV/dt
B
2
. (6.13)
The parallel component of the current density is dened by J

b J =
(B J)B. Quasineutrality of the highly polarizable, magnetized plasma is en-
sured in MHD through
0 = J = (B)(J
/B) + J
+ J
p
,
MHD charge continuity equation, (6.14)
which is a very important equation for analyzing MHD equilibria and instabil-
ities. The derivative of the parallel current has been simplied here using the
vector identity (??) and the Maxwell equation B = 0:
J
= (J
/B)B = (B)(J
/B)+(J
/B) B = (B)(J
/B). (6.15)
Taking the divergence of the diamagnetic current equation (6.20), we obtain
(see Problem 6.3)
J
= J
D
=
B(ln B +)
B
2
P +
1
B
(
b P)(
b),
= J
(ln B +) + (
b P)(
0
J
/B
2
). (6.16)
Here, we have used vector identities (??) and (??) to evaluate the divergence
of J
and Amperes law to write

b
b =
0
J B/B
2
=
0
J
/B see
discussion after (??). Thus, like for the individual species current contributions,
the net (divergence of the) electrical current ow in or out of an innitesimal
volume can be computed from either the divergence of the diamagnetic current
(uid picture) or the divergence of the particle drift current (particle picture).
The important eects of the (mostly radial) pressure gradients in the MHD
model of a magnetized plasma are manifested through the diamagnetic cur-
rent J
it induces and, for inhomogeneous magnetic elds, the net charge ows
induced [see (6.16)]. For the MHD charge continuity equation (6.14) to be sat-
ised, compensating parallel (J
) or polarization (J
p
) currents must ow in the
plasma. These electrical currents can lead, respectively, to modications of the
MHD equilibrium (Chapter 20) and pressure-gradient-driven MHD instabilities
(Chapter 21).
Next, we obtain an Ohms law for MHD. A one-uid generalized Ohms
law is obtained by multiplying the electron and ion momentum equations by
q
s
/m
s
and summing them to produce an equation for J/t see Problem 6.4.
However, we proceed more physically and directly from the electron momentum
equation. Using V
e
= V
i
J/n
e
e V J/n
e
e and the anisotropic frictional
force R in (??), and dividing the electron momentum equation (??) by n
e
e,
DRAFT 10:31
we nd it can be written (to lowest order in m
e
/m
i
) as
m
e
e
2
d
dt
_
J
e
n
e
_
= E+VB
_
J
+
J
JBp
e

e
n
e
e
,
generalized Ohms law. (6.17)
Here, we have neglected an ion ow inertia term on the left because it is order
m
e
/m
i
<
1/1836 smaller than the inertial ow contribution coming from the

J
p
B term evaluated using the polarization current (6.9). While the rst and
third terms on the right indicate a simple Ohms law E = J/, there are a
number of additional terms. To understand the role and magnitude of these
other contributions to the generalized Ohms law and obtain an MHD Ohms
law, we need to explore separately their contributions along and perpendicular
to the magnetic eld direction.
The parallel component (
b ) of the generalized Ohms law is:

(m
e
/e
2
)
b d
e
(J/n
e
)/dt = E
+ (
p
e
+
b
e
)/n
e
e. (6.18)
The electron inertia term on the left is small compared to E
for scale lengths

longer than the electromagnetic skin depth (see Section 1.5): [(c/
pe
)[
kc/
pe
<< 1 see Problem 6.5. Since c/
pe
is typically a very short distance
(c/
pe
10
3
m = 1 mm for n
e
310
19
m
3
), this is usually a good approx-
imation in MHD which seeks to provide a plasma description on macroscopic
scale lengths. Also, since 1/
m
e
e
/n
e
e
2
, the electron inertia term is of
of order /
e
compared to the parallel friction force term J
. In resistive
MHD it is assumed that <<
e
so the electron inertia can be neglected in the
parallel Ohms law.
The parallel electron pressure gradient term is neglected in MHD because of
a fundamental approximation in MHD that electric eld eects are larger than
pressure gradient eects:
[E
[ >> [
P[/n
e
e, [E
[ >> [
P[/n
e
e, MHD approximations. (6.19)
Physically, the MHD model describes situations in which collective electric eld
eects are more important than the thermal motion (pressure) eects of both
electrons and ions. Mathematically, this approximation is appropriate (both
along and across magnetic eld lines see Problem 6.6) when the EB ow
velocity V
E
is large compared to the diamagnetic ow velocities V
e
, V
i
and
hence for ,
E
>>
e
,
i
.
Finally, we consider the contribution due to the parallel component of the
viscous stress. While this term is negligible compared to J
in a colli-
sional plasma [see (??)], it can be important in more collisionless plasmas where
>
1 in which
e
= v
Te
/
e
is the electron collision length. For low colli-
sionality plasmas in axisymmetric toroidal magnetic systems these parallel elec-
tron viscosity eects (from

b
e
) represent the viscous drag on the parallel
electron ow carried by untrapped electrons due to their collisions with the
stationary trapped electrons and ions, and they are included in a model called
DRAFT 10:31
neoclassical MHD; there they result in order unity modications of the parallel
Ohms law (see Chapter 16) reductions in the parallel electrical conductivity
and a so-called bootstrap current parallel to B induced by the radial gradient
of the plasma pressure. In ideal and resistive MHD the parallel electron inertia,
pressure gradient and viscosity eects are all neglected and the parallel Ohms
law becomes simply E
= J
.
Next, we consider the perpendicular component of the generalized Ohms
law. It is obtained by operating on (6.17) with
b(
b ):
0 = E
+VB + J
[ JB
p
e
(
e
)
]/n
e
e (6.20)
in which the subscript indicates the component perpendicular to B [see (??)].
The perpendicular electron inertia term has been neglected here because it is a
factor of at least /
ce
= (
ci
/
ce
)(/
ci
)
<
(1/1836)(/
ci
) <<< 1 smaller
than the E
term and hence negligible in MHD see Problem 6.7. The rst
two terms on the right give the dominant part of the perpendicular Ohms law
and when set to zero yield a perpendicular plasma ow velocity V
= V
E
=
EB/B
2
. The JB term on the right is known as the Hall term; it indicates
a perpendicular electric eld caused by current owing transverse to a magnetic
eld. In MHD the perpendicular current is composed of the diamagnetic and
polarization currents dened in (6.8) and (6.9). The diamagnetic Hall term
component J
B =
P, and the
p
e
and (
e
)
terms are comparable

in magnitude; they are all neglected in MHD because of the perpendicular part
of the MHD approximation (6.19). Finally, the ratio of the polarization current
contribution in the Hall term to the electric eld term is [J
p
B[/(n
e
e[E
[)
(
m
/n
e
e)[dV
/dt[/[E
[ (1/
ci
)[dE
/dt[/[E
[ /
ci
, which is small in
the small gyroradius expansion necessary for the validity of MHD. Thus, our
perpendicular Ohms law in MHD becomes simply E
+VB = J
.
The perpendicular Ohms law can be combined with the MHD parallel Ohms
law to yield
E+VB = J
+J
, complete MHD Ohms law. (6.21)

The parallel electrical conductivity
is at most a factor [see (??)] of 1/

e

32/3 3.4 greater than the perpendicular conductivity
=
0
. Thus, it
is customary in resistive MHD to not distinguish the electrical conductivity
along and transverse to the magnetic eld, but instead to just use an isotropic
electrical resistivity dened by 1/
0
= m
e
e
/n
e
e
2
. Hence, the MHD Ohms
law is usually written as simply E+VB = J.
In MHD the Ohms law is used to write the electric eld in terms of the ow
velocity V and current J. Taking the cross product of the Ohms law with the
magnetic eld B, we obtain the perpendicular MHD mass ow velocity V
:
V
=
EB
B
2
+
BJ
B
2
= V
E
+V
. (6.22)
Thus, the perpendicular MHD mass ow velocity is the sum of the EB ow
velocity (??) and the (ambipolar) classical transport ow velocity (??), which
DRAFT 10:31
although small is kept because it is a consequence of including resistivity in
the Ohms law. [The diamagnetic ow velocity V
does not appear in the

perpendicular MHD mass ow velocity V
because of the MHD approximation

(6.19); the polarization ow V
p
and viscosity-driven ow V
are not included in

the MHD V
because they are higher order in the small gyroradius expansion.]

The parallel (
b ) component of the MHD Ohms law (??) yields

E
= J
. (6.23)
In the ideal MHD limit where 0, this equation requires E
= 0, which
for a general E = A/t is satised in equilibrium by the equilibrium
potential being constant along the magnetic eld, and in perturbations by the
parallel gradient of the potential being balanced by a parallel inductive (vector
potential) component:

E
/t = 0.
Finally, we need a one-uid energy equation or equation of state to close
the hierarchy of MHD equations. In MHD it is customary to use an isentropic
equation of state (d/dt) ln(P/
m
) 0. Using P = p
e
+p
e
, 3/2 =1/(1) and
working out the time derivative in terms of the time derivatives of the electron
and ion entropies given in (??), (??), (??) and (??), we obtain
d
dt
ln
P
m
=
1
P
_
p
e
ds
e
dt
+p
i
ds
i
dt
_
1
P
_
q
e
V
i
:
i
+J
2
_
.
(6.24)
The last, approximate form indicates the dominant contributions to the overall
plasma entropy production rate. Its last term indicates entropy production by
joule heating; while this rate is usually small [
e
([J[/n
e
ev
Te
)
2
<<
e
, of order
one over the plasma connement time], it should be kept in resistive MHD for
consistency with the inclusion of resistivity in the Ohms law. As discussed
after (??), the ion viscous dissipation rate is at most of order the ion collision
frequency
i
for uidlike ions; thus, like the ion viscous stress tensor eects
in the plasma momentum equation, it is usually neglected assuming d/dt
i >>
i
.
Most problematic for an isentropic plasma equation of state is the electron
heat conduction. In a collisional plasma, parallel electron heat conduction leads
to a plasma entropy production rate of order
e
(
e
)
2
<<
e
, which is often
smaller than MHD wave frequencies and hence negligible. However, in low
collisionality plasmas where
e
>
1, parallel electron heat conduction can

cause entropy production rates of order
e
or perhaps larger [see disussion after
(??)], which can be of order MHD wave frequencies. On the other hand, if the
electron uid responds totally collisionlessly, there is no entropy production from
electron heat conduction (or any other collisionless electron process). In MHD
it is customary to neglect the electron heat conduction contributions to entropy
production on the basis that either: 1) d/dt i >>
e
; 2) parallel electron
temperature gradients are quite small because of parallel heat conduction and
thus lead to a negligible entropy production rate [ >>
e
2
e
(
2
T)/T]; or 3) the
relevant electron response is totally collisionless and hence leads to no entropy
DRAFT 10:31
production. However, there could be circumstances where entropy-producing
parallel electron heat conduction eects are important on MHD wave time scales.
6.2 MHD Equations
The equations used to describe the MHD model of a magnetized plasma and
the associated electric and magnetic elds are thus given by
MHD Plasma Description (Ideal, 0; Resistive, ,= 0):
mass density:

m
t
+
m
V = 0, (6.25)
charge continuity: J = 0, (6.26)
momentum:
m
dV
dt
= JBP, (6.27)
Ohms law: E+VB = J, (6.28)
equation of state:
d
dt
ln
P
m
= ( 1)
J
2
P
0, (6.29)
total time derivative:
d
dt

t
+V. (6.30)
Maxwell Equations for MHD:
Faradays law:
B
t
= E, (6.31)
no magnetic monopoles: B = 0, (6.32)
nonrelativistic Amperes law:
0
J = B. (6.33)
Gauss law ( E =
q
) does not appear in the list of Maxwell equations because
in the MHD model plasmas are highly polarizable, quasineutral (
q
0) uids in
which the electric eld is determined self-consistently from Ohms law, Amperes
law and the charge continuity equation J = 0.
The MHD model describes a very wide range of phenomena in small gyrora-
dius, magnetized plasmas macroscopic plasma equilibrium and instabilities,
Alfvèn waves, magnetic eld diusion. It is the fundamental, lowest order model
used in analyzing magnetized plasmas.
The physics content of the MHD plasma description is briey as follows.
The equation for the mass density (
m
m
i
n
i
) is also called the continuity
equation and can be written in the form
m
/t = V
m
m
V. When
written in the latter form, it describes changes in mass density due to advection
(V
m
) and compressibility (V ,= 0) by the mass ow velocity V see
Fig. ??. The charge continuity equation is the quasineutral (
q
0) form of
the general charge continuity equation
q
/t + J = 0 that results from
adding equations for the charge densities of the electron and ion species in
the plasma. [While J = 0 also results from taking the divergence of the
nonrelativistic (i.e., without displacement current) Amperes law, it is often
better to think of it as the equation that ensures quasineutrality of the plasma
DRAFT 10:31
in the MHD model as indicated in (6.14).] The momentum equation, which
is also known as the equation of motion, provides the force density balance for
a uid element (innitesimal volume of uid) that is analogous to ma = F for
a particle: the inertial force (
m
dV/dt) is equal to the magnetic force (JB)
plus the (expansive) pressure gradient force (P, where P = p
e
+ p
i
is the
total plasma pressure) on a uid element. The MHD Ohms law, which is a
simplied form of the electron momentum equation, is just the basic laboratory
frame Ohms law E
= J for a uid moving with plasma mass ow velocity

V: E
= E + VB. The MHD equation of state is an isentropic (adiabatic

in thermodynamics) equation of state except for the small entropy production
rate by joule heating ( J
2
/P 1/
E
), which is usually negligibly small but
is retained for consistency with inclusion of resistivity in Ohms law. The total
time derivative in (6.30) indicates that time-dierentiated quantities change
both because of local (Eulerian) temporal changes (/t[
x
) and because of being
carried along (advected) with the MHD uid (V) at the velocity V.
After some manipulations, it can be shown (see Problems 6.86.9) that the
MHD equations yield the following conservative forms of total MHD system
mass, momentum and energy relations:
MHD system mass equation:

m
t
+
m
V = 0, (6.34)
MHD system momentum equation:
(
m
V)
t
+T = 0, (6.35)
MHD system energy equation:
w
t
+ S = 0, (6.36)
in which
MHD stress tensor: T
m
VV+
_
P +
B
2
2
0
_
I
BB
0
, (6.37)
MHD energy density: w

m
V
2
2
+
P
1
+
B
2
2
0
, (6.38)
MHD energy ux: S
_
m
V
2
2
+

1
P
_
V+
EB
0
. (6.39)
Here, the contributions to the MHD system stress tensor are due to the ow
(
m
VV, Reynolds stress), isotropic pressure (PI) and both isotropic expansion
[(B
2
/2
0
)I] and tension (BB/
0
) stresses in the magnetic eld see (??).
The Reynolds stress is only important in systems with large ow; it is negligible
in MHD systems with strongly subsonic ows (
m
V
2
/2P V
2
/c
2
S
<< 1). The
system energy density is composed of the densities of the kinetic (ow) energy
(
m
V
2
/2), internal energy (3P/2 for a three-dimensional system with = 5/3)
and the magnetic eld energy density (B
2
/2
0
). Joule heating (J
2
) does not
appear in the MHD system energy density equation because energy lost from the
electromagnetic elds by joule heating [see (??)] increases the internal energy in
the plasma [see (6.29)]; thus, the total MHD energy density, which sums these
energies, remains constant. The terms in the MHD energy ux represent the
DRAFT 10:31
ow of kinetic (
m
V
2
/2) and internal [P/(1)] energies with the ow velocity
V, mechanical work done on or by the plasma as it moves (PV), and energy
ow by the electromagnetic elds (EB/
0
) [Poynting vector see (??)].
To illutrate the usefulness of these MHD system conservation equations,
consider the system energy equation (6.36). Integrating this equation over the
volume V of an isolated plasma, the divergence term can be converted using
Gauss theorem (??) into a surface integral that vanishes if there is no ow of
plasma or electromagnetic energy across the surface that bounds the volume.
For such an isolated system the integral of the system energy over the volume
must be independent of time:
_
V
d
3
x
_
m
V
2
2
+
P
1
+
B
2
2
0
_
W
k
+W
p
= constant, (6.40)
in which
W
k
=
_
V
d
3
x

m
V
2
2
, plasma kinetic energy, (6.41)
W
p
=
_
V
d
3
x
_
P
1
+
B
2
2
0
_
, MHD potential energy. (6.42)
Thus, in the MHD model while there can be exchanges of energy between the
plasma kinetic, and internal and magnetic energies, their sum must be constant.
For a plasma motion to grow monotonically (as in a collective instability), in-
creases in plasma kinetic energy due to dynamical motion of the plasma must
be balanced by reductions in the potential (plasma internal plus magnetic eld)
energy in the plasma volume. In Chapter 21 the constancy of the total system
energy in MHD will be used as the basis for developing a variational (energy)
principle for plasma instability, which can occur for a plasma perturbation that
reduces the system potential energy W
p
.
6.3 MHD Equilibrium
In this section we discuss the equilibrium (/t = 0) consequences of the system
conservation relations for MHD (6.34)(6.36). In equilibrium the mass density
equation yields
m
V = 0. In one dimension (x), this equilibrium continu-
ity equation yields
m
(x)V
x
(x) = constant. Thus, in a one-dimensional ow
situation the mass density will be higher (lower) where the ow velocity V is
lower (higher). Equilibrium ows are negligible in MHD for many plasma situa-
tions; then the equilibrium continuity equation is trivially satised for any mass
density prole
m
(x).
Next, consider the stress-induced forces which contribute to the system mo-
mentum conservation equation (6.35). Consider rst the magnetic (subscript
B) contribution that is represented by the JB force density in the momen-
tum equation (6.27) and the magnetic eld part of the system stress tensor T
in (6.37). The stress in the magnetic eld exerts a force density f
B
on a uid
DRAFT 10:31
Figure 6.1: Schematic illustration of the stresses and force densities on a uid
element of plasma in the MHD model: a) isotropic expansive pressure stress
T
P
= PI, b) anisotropic magnetic stresses T
B
, c) pressure gradient force density
f
P
= P, and d) magnetic force density f
B
in the normal (N curvature)
and binormal (B) directions.
element (innitesimal volume of MHD plasma uid) given by
f
B
JB =
1
0
(B)B =
B
b(B
b)
=
B
b(B
b)
B
2
b(
b)
=
_
B
2
2
0
_
+
B
2
0
=
B
2
2
0
_
I
b
2
_
T
B
, (6.43)
in which we have used vector identities (??), (??), (??), (??), (??), (??) and
(??). The corresponding force density f
P
due to the plasma pressure is
f
P
P = P I T
P
. (6.44)
These stresses and force densities are illustrated schematically in Fig. 6.1 and
discussed in the next few paragraphs.
Consider rst the stresses. Adopting e
x
, e
y
,
b B/B as the base vectors for

a local magnetic eld coordinate system, the sum of the pressure and magnetic
stress tensors can be written (in matrix notation) as
T
P
+T
B

_
e
x
e
y
b
_
_
_
P +B
2
/2
0
0 0
0 P +B
2
/2
0
0
0 0 P B
2
/2
0
_
_
_
_
e
x
e
y
b
_
_
= e
x
T
e
x
+e
y
T
e
y
+
bT
b, (6.45)
with T
P +B
2
/2
0
, T
P B
2
/2
0
.
(For simplicity of presentation, often the directional vectors are omitted and
only the elements of the matrix of tensor coecients are shown.) The plasma
pressure produces an isotropic tensor (I) expansive (positive) stress, which repre-
sents the thermal motion of particles expanding uniformly in all directions. The
magnetic stress is anisotropic. From T
B
and (6.45), we see that the magnetic
stress is expansive (positive) in directions e
x
, e
y
perpendicular to the magnetic
eld B = B
b, but in tension (negative) along magnetic eld lines. Physically,

DRAFT 10:31
the magnetic eld can be thought of as providing a magnetic pressure B
2
/2
0
perpendicular to magnetic eld lines, and tension along eld lines as if the
magnetic eld lines are elastic cords with tension stress of B
2
/
0
along B press-
ing against the plasma uid, which is trying to expand perpendicular to the
magnetic eld lines due to the combination of the pressure and magnetic energy
density expansive forces.
The force density on an MHD uid element is given (for subsonic ows where
the Reynolds stress tensor
m
VV is negligible) by the divergence of this stress
tensor:
f
P
+f
B
P +JB = (T
P
+T
B
)
= P
_
B
2
2
0
_
+
(B)B
0
= P
_
B
2
2
0
_
+
B
2
0
. (6.46)
In the last form, the P term represents the isotropic, pressure gradient force,
the next term represents the perpendicular (to B) force due to the magnetic
pressure B
2
/2
0
and the last term represents the force due to the parallel
tension of magnetic eld lines, as if each magnetic cord presses on the uid
with a force density of (B
2
/
0
) = (B
2
/
0
)R
C
/R
2
C
where R
C
is the local
radius of curvature vector [see (??)] of a magnetic eld line.
An MHD uid element will be in force balance equilibrium, which is usually
just called equilibrium in MHD, if the force density f
P
+f
B
vanishes. Then,
there is no net force to drive an inertial force response via the MHD momentum
equation (6.27) and the system momentum conservation equation (6.35) is sat-
ied in equilibrium [(
m
V)/t = 0]. When there is no gradient in the plasma
pressure (an unconned plasma), the force balance equilibrium becomes
f
B
= JB = 0, force-free equilibrium with P = 0. (6.47)
In order for a magnetic eld system to be able to support a pressure gradient in
force balance equilibrium, the current and magnetic eld must not be parallel
to each other; rather, their cross product must satisfy
JB = P, MHD force-balance equilibrium. (6.48)
Taking the cross product of B with this equation, we obtain the diamagnetic
current J
= (BP)/B
2
in (6.8), which is the sum of the diamagnetic ows
of all species of charged particles in the plasma given in (??). The perpendicular
[
b(
b)] component of the MHD force-balance equation can also be written

[from the last form of (6.46)] as
=
ln B +

0
B
2
P, perpendicular equilibrium in MHD. (6.49)

This formula is the same as (??) given previously in Chapter 3 for the magnetic
eld curvature if we use the MHD equilibrium condition JB =
P.
DRAFT 10:31
Because the force density on the plasma is dierent in dierent directions, it
is of interest to explore its forms and implications in various relevant directions.
Since the magnetic eld direction and curvature are two obviously important
directions, a convenient coordinate system is the Frenet coordinate system whose
orthogonal base vectors for a vector eld (B here) are (see Section D.6)
T
b B/B, N /, B TN =

b/, (6.50)
which are unit vectors in the tangent (T), normal (N, or curvature) and binormal
(B) directions of the B eld. Decomposing the MHD force density on a uid
element into its components in these orthogonal directions, we nd
f
P
+f
B
=
b(
b P) N
_
(N )(P +
B
2
2
0
)
B
2
_
B (B )
_
P +
B
2
2
0
_
.
(6.51)
The conditions for MHD force-balance equilibrium are thus (see Fig. 6.1)
along B: 0 =

b P =
P
, (6.52)
curvature direction: 0 = N
_
P +
B
2
2
0
_
B
2
0
, (6.53)
binormal direction: 0 = B
_
P +
B
2
2
0
_
. (6.54)
Since there is no magnetic force along the magnetic eld (Bf
B
= BJB =
0), in order to satisfy the rst (parallel) MHD force balance condition the plasma
pressure P must be constant along magnetic eld lines. (The axial connement
of plasma in a magnetic mirror is achieved via anisotropic pressure see Prob-
lem 6.11.) When nested magnetic ux surfaces exist (see end of Section 3.2),
P/ = 0 requires that the pressure be a function only of the magnetic ux :
P = P() = BP = (B)
dP
d
= 0, (6.55)
which vanishes (assuming nite dP/d), by virtue of the condition for the ex-
istence of a magnetic ux function (??): B = 0. Further, from the dot
product of the current J with the MHD equilibrium force-balance condition
(6.48) we nd
J P = 0. (6.56)
From these last two equations we see that the vector elds J and B both lie
within, and do not penetrate, magnetic ux surfaces. Further, we see from
(6.48) that in force balance equilibrium the cross product of these two vectors
in the ux surface must equal the pressure gradient, which is perpendicular to
the ux surface (see Fig. 6.2):
JB = P() =
dP
d
. (6.57)
DRAFT 10:31
Figure 6.2: In ideal MHD equilibrium the cross product of the current density J
and magnetic eld Bvectors within a ux surface is equal to P = (dP/d),
which is normal to the ux surface.
Figure 6.3: Pressure P and magnetic energy density B
2
/2
0
proles for: a)
<< 1, and b) 1.
When there is no magnetic eld curvature, the force balance equilibrium
condition is the same in all directions perpendicular to the magnetic eld:
_
P +
B
2
2
0
_
= 0, MHD equilibrium with no B eld curvature. (6.58)
To illustrate the implications of this equation, consider the MHD equilibrium of
a localized plasma placed in a uniform magnetic eld B = B
0
b = B
0
e
z
, For a
given plasma pressure prole P(x
) that varies in directions (x
) perpendicular
to the magnetic eld but does not extend to innite dimensions, (6.58) yields
_
B
2
2
0
_
=
P
x
= B(x
) = B
0
_
1 (x
) . (6.59)
Here, we have dened the very important MHD parameter by
(x
)
P(x
)
B
2
0
/2
0
= 4.0 10
25
_
n
e
B
2
_
_
T
e
(eV) +
n
i
n
e
T
i
(eV)
_
,
ratio of plasma pressure to magnetic energy density. (6.60)
Thus, in an MHD equilibrium, for a situation where the magnetic eld B
has no curvature, the plasma digs a magnetic well (region of reduced magnetic
energy density) that is just deep enough so that the sum of the plasma pres-
sure P and magnetic eld energy density B
2
/2
0
is constant (at B
2
0
/2
0
) in
all directions perpendicular to the magnetic eld. This result is illustrated in
Fig. 6.3 for a cylindrical plasma where the plasma pressure vanishes at r = a for
two cases: small and near unity . The cylindrical form of (6.59) can also be
obtained directly (see Problem 6.14) from the radial force balance equation by
calculating the radial variation of the magnetic eld B
z
(r) using the azimuthal
component of Amperes law.
When the magnetic eld has curvature, the force balance condition in the
normal (curvature) direction is changed to condition (6.53). Then, the pressure
DRAFT 10:31
gradient in the curvature direction can be supported in force balance equilibrium
by either the curvature-induced force density (B
2
/
0
) or the gradient in the
magnetic energy density, or by some combination thereof. When the plasma
pressure is low ( << 1), the magnetic eld curvature is equal to the gradient
of the magnetic eld energy density [the situation for a vacuum magnetic eld
see (??)] plus a small correction due to the plasma pressure. In the limit where
the magnetic eld curvature is weak (radius of curvature R
C
much greater than
the presssure gradient scale length L
P
P/[
P[), the curvature eects are

small and the variation in magnetic eld strength is still approximately as given
in (6.59). [In an axisymmetric tokamak both of these small corrections to (6.59)
are unfortunately comparable in magnitude see Chapter 20.] In the binormal
direction, (6.54) shows that in force balance equilibrium, even with curvature
in the magnetic eld B, P + B
2
/2
0
is constant in the binormal direction
increases in the plasma pressure P in the binormal direction are balanced by
decreases in magnetic energy density B
2
/2
0
, like in (6.59).
From the preceding discussion is is clear that the parameter characterizes
the relative importance of the plasma pressure P versus the magnetic eld B.
For << 1 the plasma pressure has a small eect on the MHD equilibrium
and the magnetic eld structure is approximately that determined from a vac-
uum magnetic eld representation (??). Also, the diamagnetic current is small
(J
B/2
0
), as is the (diamagnetic) magnetic susceptibility due to the
plasma magnetization produced by the magnetic moments of all the charged
particles in the plasma gyrating in the magnetic eld [
M
/2 see dis-
cussion after (6.12)]. Since the magnetic eld is much stronger than the plasma
pressure in this regime, it can be used to provide a magnetic bottle for plasma
connement. In the opposite limit ( >> 1) where the the plasma pressure in
much larger than the magnetic energy density, in general the plasma pushes the
magnetic eld around and carries it along with its natural motions (pressure
expansion plus ows). A key question for magnetic fusion connement systems
is the maximum they can stably conne in equilibrium; the 510% that is
needed for economically viable deuterium-tritium fusion reactors is apparently
accessible in many types of toroidal connement systems see Chapter 21.
It is often asked: can a nite pressure plasma support itself entirely with the
diamagnetic current and the magnetic eld it produces, without any externally
imposed magnetic eld? That is, can a plasma organize itself into a closed
magnetic equilibrium that has no connection to the outside world? In order
to examine this question, we consider the equilibrium [(
m
V)/t = 0] MHD
sytem momentum (or force balance) equation obtained from (6.35): T = 0.
Taking the dot product of this equation with the position vector x from the
centroid of the plasma system (to obtain a measure of the MHD system potential
energy density), we obtain the relation
0 = x T = (x T) x : T = (x T) trT, (6.61)
in which we have used vector identities (??), (??) and (??). Integrating this
DRAFT 10:31
last form over a volume larger than the proposed isolated plasma, we obtain
_
_
_
S
dS (x T) =
_
d
3
x trT, (6.62)
in which we have used the tensor form of Gauss divergence theorem (??) to
convert the volume integral to a surface integral. We now examine the integrals
on the left and right separately. For the integral on the left we assume negligible
ows (V 0) and use (6.37) for T. Then, the integral on the left can be written
as
_
_
_
dS (x T) =
_
_
_
dS
_
x
_
P +
B
2
2
0
_
(x B)B
0
_
1
r
3
r
= 0.
(6.63)
As indicated at the end, in the limit of large radial distances r from the isolated
plasma this integral vaishes because since there are apparently no magnetic
monopoles in the universe, the magnetic eld B must decrease like that for a
dipole eld does ([B[ 1/r
3
) so the integrand scales as 1/r
5
and when integrated
over the surface ([dS[ 4r
2
) one nds that the integral decreases at least as
fast as 1/r
3
. Next, we consider the integral on the right. Using the matrix
denition of the stress tensor T given in (6.45), we nd (for an isolated plasma
within a nite volume V )
_
V
d
3
x trT =
_
V
d
3
x
_
3P +
B
2
2
0
_
= constant. (6.64)
The only way this last integral can vanish, as is required by the combination
of (6.62) and (6.63), is if the plasma pressure P and magnetic energy den-
sity B
2
/2
0
(both of which are intrinsically positive quantities) vanish. Thus,
we have found a contradiction: no isolated nite-pressure plasma can by it-
self develop a self-conning magnetic eld in force balance equilibrium. This
proof and analysis is sometimes called a virial theorem (because it results from
_
d
3
x x f =
_
d
3
x x T = 0) and was rst derived by V.D. Shafranov.
1
6.4 Boundary Conditions and Shock Relations
The basic subject to be discussed here are the jump conditions at a disconti-
nuity in a plasma or at a plasma-vacuum interface, and then the corresponding
bounday conditions at a vacuum wall or around coils for a free-boundary equi-
librium. See Section 3.2 of the Freidberg book. These same equations become
the shock conditions in a plasma. This section will be written later.
6.5 MHD Dynamics
To explore the elementary dynamical (evolution in time) properties of a plasma
in the MHD model, we rst assume that the plasma uid moves with a velocity
1
V.D. Shafranov, in Reviews of Plasma Physics, edited by M.A. Leontovich (Consultants
Bureau, New York, 1966), Vol. II.
DRAFT 10:31
V(x, t) and determine the changes in the mass density
m
, pressure P and mag-
netic eld B induced by V. Then, these responses are used in the momentum
equation (6.27) which is then solved self-consistently to determine the mass ow
velocity V.
We begin by considering the temporal evolution of the mass density in re-
sponse to V, which is governed by (6.25):
m
/t[
x
= V
m
+
m
V d
m
/dt =
m
V, (6.65)
in which we have used the vector identity (??) in obtaining the rst form and the
total time derivative denition in (6.30) in obtaining the second form. Here, as
shown in Fig. ??, in the Eulerian (xed position) picture [rst form of (6.65)], the
ow causes changes in the mass density at a xed point by advecting (V
m
)
the mass ow at velocity V into a region of dierent mass density, or by com-
pressibility (V ,= 0) of the ow. In the Lagrangian (moving with uid ele-
ment) picture [second form of (6.65)], the mass density only changes due to the
compressibility of the ow (V ,= 0).
The pressure evolution can be determined from the isentropic form of the
MHD equation of state [i.e., (6.29) neglecting the small entropy production due
to joule heating]:
d
dt
ln
P
m
=
1
P
dP
dt

m
d
m
dt
=
1
P
dP
dt
+ V = 0, (6.66)
in which (6.65) has been used to obtain the last form. With the total time
derivative denition (6.30), this yields
P
t
= VP PV = VP c
2
S

m
V (6.67)
in which
c
S

_
P/
m
, MHD sound speed (m/s). (6.68)
Thus, like the mass density, the plasma pressure changes in MHD are due to
advection (VP) and ow compression (V ,= 0). The presence of the sound
speed in the last form of (6.67) shows that the compressiblity of the ow leads to
pressure changes that move at the MHD sound speed through the plasma. Thus,
the uid motion at velocity V causes advection and compressibility changes in
the mass density
m
and plasma pressure P, which are scalar quantities.
Note that the MHD sound speed is dierent from the ion acoustic speed
(??) in Section 1.4 because in a MHD description both the electrons and ions
have uidlike (inertial) responses whereas for ion acoustic waves while the ions
have a uidlike response the electrons respond adiabatically. Unfortunately,in
plasma physics the same symbol is usually used for both wave speeds which
is meant is usually clear from the context. Also note that for most plasmas
with comparable electron and ion temperatures these two speeds are close in
magnitude.
The next question is: what is the eect of the uid motion on the magnetic
eld B(x, t), which is a vector eld? Physically, we know that plasmas have
DRAFT 10:31
a very high electrical conductivity (low resistivity). In the ideal MHD model
we set the resistivity to zero and hence eectively assume innite electrical
conductivity; thus, the plasma is a superconductor in ideal MHD. From the
properties of a superconducting wire of nite cross-section, we know that the
magnetic eld is frozen into it and moves with the wire as it is moved. Thus,
we can intuitively anticipate that a uid element in our superconducting ideal
MHD plasma will carry the magnetic eld (or at least the bundle of magnetic
eld lines penetrating it) with it wherever it moves and will always contain the
same amount of magnetic ux (number of eld lines
2
). We can also anticipate
that the addition of resistivity in the resistive MHD model will allow some
slippage of the magnetic eld lines relative to the uid element.
We now develop mathematical representations of the idea that the magnetic
eld is mostly frozen into an MHD uid element and moves with it. Consider
the time derivative of the magnetic ux
__
S
B dS [see (??)] though an
open surface S in the uid that moves with the uid at velocity V:
d
dt
=
d
dt
__
S
B dS =
__
S
_
dB
dt
dS +B
d
dt
(dS)
_
. (6.69)
The total time derivative is appropriate here because we are seeking the change
in the magnetic ux penetrating a (changing) surface whose boundary is dis-
torted in time as it moves with the uid velocity V(x, t), which is in general
nonuniform. The time derivative of the (vectorial) dierential surface area dS
represents changes due to changes in its constituent dierential line elements
induced by the nonuniform ow see Section D.4. Using (??) for this time
derivative and the denition of the total time derivative in (6.30), we nd
d
dt
=
__
S
__
B
t
+VB
_
+B(V) BV
_
dS
=
__
S
_
B
t
(VB)
_
dS, (6.70)
in which we have used vector identity (??) and the Maxwell equation B = 0
in going from the rst to the second line.
For the evolution of the magnetic eld Bwe use Faradays law (6.31) together
with the MHD Ohms law (6.28) to specify the electric eld E:
B
t
= E = (VB) J (VB) +

2
B
MHD magnetic eld evolution. (6.71)
Here, in the last, approximate form we have used J = B/
0
(Amperes law),
neglected for simplicity, and used the vector identity (??) and the Maxwell
2
While magnetic eld lines do not really exist since their properties cannot be measured,
they are a useful concept for visualizing the behavior of the magnetic eld B.
DRAFT 10:31
equation B = 0. Substituting this magnetic eld evolution into (6.70), using
Amperes law for J again and Stokes theorem (??), we nally obtain
d
dt
=
__
S
dS J =
_
C
d

0
B. (6.72)
In ideal MHD where 0, this becomes
d
dt
= 0, ideal MHD frozen ux theorem.
3
(6.73)
Thus, in the absence of resistivity the magnetic ux (number of eld lines)
through an open surface that moves with the uid velocity V is frozen into
the uid and hence constant: the magnetic eld moves with the superconducting
ideal MHD uid just as we wanted to prove! The key ingredient in this derivation
is the VB term in the MHD Ohms law. It led to the (VB) term in
the magnetic eld evolution equation (6.71) and causes the magnetic eld to be
carried along with the ideal MHD uid. Hence, this (VB) term represents
the advection of the vector eld B by the ow velocity V; note that this vector
eld advection operator is dierent in structure from the advection operator
for scalar quantities such as the mass density (V
m
). Since the MHD
Ohms law is an approximation to the electron momentum balance equation, it
is fundamentally the electron uid into which magnetic eld is frozen (despite
the fact that the advection is induced by the overall plasma mass ow velocity
V).
By taking the limit of an inntesimally small surface S in the preceding
derivation, one can show that an individual magnetic eld line is carried along
with the superconducting ideal MHD plasma. This can also be shown directly
by examining the conditions under which the time derivative of the denitions
of magnetic eld lines vanish see Problems 6.15 and 6.16. However, it is
important to note that all these derivations have some ambiguity because the
labeling of a magnetic eld line is not unique [see discussion after (??)] and
the properties of magnetic eld lines cannot be measured. Thus, while we can
mark inntesimal elements of a uid (e.g., with radioactive nuclei or uorescing
partially ionized atoms), and know that the magnetic eld is frozen into the ideal
MHD uid elements as they move, the association with a particular magnetic
eld line from one instant in time to the next is not unique. The frozen ux
methodology provides a prescription for labeling eld lines as they move. While
it is not a unique prescription, it represents a very important tool for visualizing
the motion of magnetic elds in a moving plasma in the MHD model.
The frozen ux theorem provides a very strong constraint on the motions
of the magnetic eld in an ideal MHD plasma. In particular, in this model
adjacent magnetic eld lines and ux bundles that are originally adjacent to
each other will forever remain adjacent. Also, magnetic ux bundles and uid
3
This theorem is also known as the Alfven frozen ux theorem. It is the magnetic eld
analogue of the Kelvin circulation theorem (??) for the constancy of the circulation or vorticity
ux in a vortex in an inviscid neutral uid.
DRAFT 10:31
Figure 6.4: Possible MHD evolution of a set of eld lines in a sheared slab
magnetic eld model: a) initial sheared magnetic eld equilibrium, b) sinusoidal
perturbation in ideal MHD ( = 0), and c) resistive MHD ( ,= 0) with magnetic
eld reconnection into magnetic island structures.
elements are tied together, cannot break up or tear, and cannot interchange
positions relative to each other. Thus, as illustrated in Figure 6.4, in the ideal
MHD model the topology of magnetic eld lines and ux surfaces is conserved
nested magnetic ux surfaces remain forever nested (even though their shape
may become highly distorted), and plasma in regions inside (or outside) a
given magnetic ux surface remain inside (outside) forever. The inclusion of
resistivity in the MHD model allows diusion of the magnetic eld relative to
the plasma, and hence reconnection of the magnetic eld lines and changes in
the magnetic topology for example by forming a magnetic island such as
indicated in Figure 6.4c. In section 6.7 we discuss the relative importance of
resistivity in MHD analyses of plasmas.
The most convenient form of the MHD momentum equation (6.27) for dy-
namical analyses uses the middle form of the force density f
B
in (6.46) and is
given by
m
dV
dt
=
_
P +
B
2
2
0
_
+
(B)B
0
. (6.74)
Note that we have now reduced the full MHD equation set (6.25)(6.44) to
just three (or seven component) equations the scalar pressure equation in
(6.67), the vector magnetic eld evolution equation in (6.71) and this last vector
momentum equation (6.76). These equations are usually all we need to describe
the linear and nonlinear dynamics of plasmas in the MHD model. [The mass
density equation (6.65) is only needed when the equilibrium mass density is
inhomogeneneous.] Note that for these MHD dynamical model equations the
charge continuity equation J = 0 is automatically satised by our having
used Amperes law to replace the current J with B/
0
, which is divergence
free. Also, the electric eld E does not appear because it was replaced by
VB+J using the MHD Ohms law.
6.6 Alfven Waves
To illustrate the fundamental wave responses of plasmas in the MHD model
(Alfven waves named after their discoverer), we consider plasma responses
to small perturbations in the simplest possible plasma and magnetic eld model.
Namely, for the equilibrium we consider a uniform, nonowing (V
0
= 0) plasma
in an innite, homogeneous magnetic eld B
0
= B
0
e
z
= B
0
b. This model
DRAFT 10:31
trivially satises the MHD equilibrium force balance condition (6.48) since
0
J
0
= B
0
= 0 and P = 0 because both the equilibrium magnetic eld
B
0
and pressure P
0
are uniform in space. For perturbed responses we assume
m
=
m0
+
m
, P = P
0
+

P, V =

V, B = B
0
+

B, (6.75)
in which the zero subscript indicates equilibrium quantities and the tilde over
quantities indicates perturbed variables. Decomposing the perturbed mag-
netic eld into its parallel [
=

b(
B) =

B
b] and perpendicular [
b(
B)] components, we nd the square of the magnetic eld strength B

is
B
2
(B
0
+

B) (B
0
+

B) = B
2
0
+2B
0

B
+

B
2
+[
[
2
B
2
0
+2B
0

B
. (6.76)
We will use the last expression, which is the linearized form (i.e., it neglects
terms that are second order in the perturbation amplitudes).
Substituting the equilibrium plus perturbed quantities in (6.75) and (6.76)
into the ideal MHD equations for the evolution of the pressure (6.67), ow
velocity (6.74) and magnetic eld [(6.71) with 0] and linearizing (neglect
second and higher order terms in the perturbation amplitudes), we obtain

P
t
= P
0
V, (6.77)
m0

V
t
=
_
P +
B
0

B
0
_
+
1
0
(B
0
)
B, (6.78)
B
t
= (
VB
0
) = B
0
(
V) + (B
0
)
V. (6.79)
In the last equation we used vector identity (??) and set to zero terms involving
gradients of the homogeneous equilibrium magnetic eld B
0
. Equations for the
parallel and perpendicular components of the magnetic eld are obtained from
the corresponding projections of the magnetic eld evolution equation:
/t = B
0
(
V) + (B
0
)
, (6.80)
/t = (B
0
)
. (6.81)
These equations can be combined into a single (vector) equation by taking the
partial derivative of the perturbed momentum equation (6.78) and substituting
in the needed partial derivatives from the other equations (see Problem 6.20):
2

V
t
2
= (c
2
S
+c
2
A
)(
V) +c
2
A
[
2
V)] (6.82)
in which
c
A

B
0
m0
2.2 10
16
B
0
n
i
A
i
m/s, Alfven speed. (6.83)
DRAFT 10:31
Here, A
i
m
i
/m
p
is the atomic mass value of the ions, the perpendicular ()
and parallel (|) subscripts indicate the respective components of the quantities
as dened in (??)(??). The magnitude of the Alfven speed can be appreciated
by noting its relationship to the sound speed dened in (6.68):
c
2
S
c
2
A
=
P
0
/
m0
B
2
/
0
m0
=

2
. (6.84)
Thus, for < 1 the Alfven speed is a factor of about 1/
greater than the

MHD sound speed.
While (6.82) clearly has a wavelike structure, it is a quite complicated and
anisotropic wave equation. We consider here only some special cases to illustrate
the basic waves involved. (Section 7.6* provides a comprehensive analysis.)
First, consider waves propagating purely perpendicular to the magnetic eld
by setting
= 0. Then, taking the divergence of (6.82) we obtain

_

2
t
2
(c
2
A
+c
2
S
)
2
_
(
) = 0 =
2
= k
2
(c
2
A
+c
2
S
),
compressional Alfven waves. (6.85)
This wave equation describes fast compressional Alfven waves. In the last
form we assumed a wave-like response

V
exp[i(kxt)] to obtain the wave

dispersion relation. Compressional Alfven waves propagate perpendicular to
the magnetic eld with a wave phase speed given by V
/k
=
_
c
2
A
+c
2
S
,
which is the fastest MHD wave phase speed. These waves propagate by per-
pendicular ow compression (
,= 0) and also involve magnetic eld

compression [

B
,= 0 see (6.80)] and pressure perturbations [

P ,= 0 see
(6.85)]. Adding the pressure perturbation (6.77) and B
0
/
0
times the magnetic
perturbation (6.80) with
= 0, one can show that
2
t
2
_
P +
B
0

B
0
_
= (c
2
A
+c
2
S
)

m0
t
= (c
2
A
+c
2
S
)
2
P +
B
0

B
0
_
(6.86)
in which for the last form we have used (6.78) with
= 0. Thus, the compress-

ibility in the perpendicular ow also causes the sum of the perturbed pressure
and magnetic eld energy density to satisfy a compressional Alfven wave equa-
tion. Physically, as can be noted from the importance of the perpendicular
component of (6.78) in these waves, the compressional Alfven waves are the
responses of the plasma to imbalances in the perpendicular (to B) force balance
in the plasma. Thus, on equilibrium time scales (after these wave responses
have propagated away), MHD plasma responses will be in radial force balance
equilibrium and not have any driving sources for compressional Alfven waves:
J
0
B
0
=
P
0
,
= 0,

P +B
0

B
/
0
= 0. (6.87)
These are the lowest order conditions for equilibria and perturbations in an
MHD plasma (even in inhomogeneous magnetic elds see Chapter 21); they
DRAFT 10:31
Figure 6.5: Perturbations (
B,

V,

P) in the three fundamental types of MHD
waves: a) compressional Alfven, b) shear Alfven, and c) sound.
obtain for time scales long compared to the fast compressional Alfven wave
period: t >> 1/k
_
c
2
A
+c
2
S
.
Next, consider incompressible (
V = 0) MHD waves propagating purely

along the magnetic eld (
= 0). Then, the perpendicular component of the

general MHD wave equation (6.82) becomes
_

2
t
2
c
2
A
_

V
= 0 =
2
= k
2
c
2
A
, shear Alfven waves. (6.88)
These are called slow Alfven waves because their (parallel) phase speed V

/k
= c
A
is less than the phase speed for the compressional Alfven waves.
They are called shear (or torsional) Alfven waves because their

V
induces a
perpendicular magnetic eld perturbation

B
that shears or twists the magnetic

eld see (6.81). In the MHD model, instabilities often arise that indirectly
excite shear Alfven waves; such instabilities must have exponential growth rates
1m > k
c
A
so they are not be stabilized by the energy required to excite
these shear Alfven waves.
Finally, consider compressible waves in the parallel ow (
V =

V
b) propa-
gating along the magnetic eld (
= 0). Then, the parallel component of the

general MHD wave equation (6.82) becomes
_

2
t
2
c
2
S
_

V
= 0 =
2
= k
2
c
2
S
, parallel sound waves. (6.89)
These are neutral-uid-type sound waves (see A.6) that propagate along the
magnetic eld by parallel compression of the ow (
,= 0). They are elec-

trostatic waves since, as can be seen from (6.80) and (6.81), they produce no
magnetic perturbations (i.e.,

B = 0 for these waves). MHD instabilities often
indirectly excite parallel sound waves; such instabilities must have exponential
growth rates 1m > k
c
S
so they are not be stabilized by the energy required
to excite the sound waves.
The properties of the perturbations in these three fundamental types of
MHD waves are illustrated in Fig. 6.5. As shown in Fig. 6.5a, (fast) com-
pressional Alfven waves have: oscillatory parallel magnetic eld perturbations
that increase or decrease the local magnetic eld strength (density of eld
lines), compressible pependicular ows, and corresponding oscillatory pressure
perturbations, all in the direction perpendicular to the equilibrium magnetic
eld direction B
0
= B
0
e
z
, which is horizontal in the gure. In contrast, the
DRAFT 10:31
(slow) shear Alfven waves (Fig. 6.5b) have: oscillatory perpendicular magnetic
elds

B
and oscillatory perpendicular ows

V
along the magnetic eld, but

no pressure perturbation (because these perurbed ows are incompressible). Fi-
nally, as shown in Fig. 6.5c, the parallel sound waves have: no magnetic eld
perturbation (because they are electrostatic), an oscillatory compressible paral-
lel ow

V
and corresponding pressure

P perturbations along the magnetic eld
direction.
In the more general case of propagation of MHD waves at arbitrary angles
to the magnetic eld direction, these three types of waves become coupled (see
Section 7.6). These waves also become coupled in inhomogeneous magnetic elds
because the parallel and perpendicular directions vary spatially. Nonetheless,
the basic wave characteristics we have discussed are usually still evident in these
more complicated situations.
6.7 Magnetic Field Diusion in MHD
In order to examine the eect of electrical resistivity on a plasma in the MHD
model, consider rst the evolution of the magnetic eld in (6.71) without the
advection term:
B
t
=

2
B, magnetic eld diusion equation. (6.90)
This equation describes the diusion (see Section A.5) of the magnetic eld
(both its magnitude and directional components) that is caused by the electrical
resistivity of a plasma. The diusion coecient is
D
0
=
m
e
0
n
e
e
2
1.4 10
3
_
Z
i
T
e
(eV)]
3/2
__
ln
17
_
m
2
/s
magnetic eld diusivity. (6.91)
Phenomenologically, since we can write D
=
e
(c/
pe
)
2
, magnetic eld diu-
sion can be thought of [via D (x)
2
/t see (??)] as emanating from a
random walk process in which magnetic eld lines step a collisionless skin depth
(x c/
pe
) in an electron collision time (t 1/
e
). The relative magnitude
of the magnetic eld diusivity can be ascertained from its relationship to the
classical diusivity D
dened in (??):
D
/
0
=

e
2
e
e
(c/
pe
)
2
_
T
e
+T
i
2T
e
_
=
n
e
(T
e
+T
i
)
c
2
0
B
2
=

2
. (6.92)
Thus, for a plasma with < 1 particles diuse classically across magnetic
eld lines slower than the magnetic eld lines themselves diuse relative to
the plasma! However, in most plasmas of interest microscopic turbulence in
plasmas causes an anomalous perpendicular transport that is rapid compared
to the magnetic eld diusion; hence one can usually consider the magnetic eld
to be stationary for calculations of anomalous transport.
DRAFT 10:31
To illustrate the spatial and temporal scale lengths involved in magnetic di-
ision, consider the distance an electromagnetic wave can penetrate (see Section
1.5) into a resistive medium in which the magnetic eld behavior is governed by
(6.90). For wavelike perturbations

B exp[i(kx t)], the diusion equation
becomes
i
B = k
2
(/
0
)
B = k =
_
i
0
/ = (1 +i)
_
(/2)(
0
/). (6.93)
To use the analysis of Section 1.5, we identify this complex wavenumber k as
the transmitted wavenumber k
T
in (??). Thus, an electromagnetic wave will be
dissipated and damped exponentially, as it oscillates spatially (due to ek
T
)
and propagates into a resistive medium, with a characteristic decay length of

1
1m(k
T
=
_
2
0
, resistive skin depth. (6.94)
It is called a skin depth because of its analogy with the problem of deter-
mining how far an oscillating magnetic eld (e.g., due to 60 Hz AC electricity)
penetrates into a cylindrical wire of nite radius. This skin depth formula is
appropriate for radian frequencies <
e
, while the collisionless skin depth for-
mula (??) is appropriate for higher frequencies see Problem 6.25. For T
e
=
2000 eV, which gives /
0
0.016 m
2
/s (close to the resistivity of copper at
room temperature of /
0
0.135 m
2
/s), the resistive skin depth ranges from
0.07 mm for f = /2 = 10
4
Hz ( = 2 10
4
) to about 1 cm for 60 Hz.
Another way of illustrating the temporal behavior of magnetic eld diusion
in a magnetized plasma is to ask: on what time scale will a magnetic eld
component diuse away from being localized to a region of width L
? Because
for diusive processes the diusion coecient scales with spatial and temporal
steps as D (x)
2
/t L
2
/ (see Appendix A.5), we can estimate phe-

nomenologically that L
2
/(/
0
). One often considers a cylindrical model
consisting of a column of magnetized plasma with radius a that initially carries
an axial current. For such a cylindrical model the resistivity-induced decay time
of the current (and induced azimuthal magnetic eld) is (see Section A.5)

a
2
6 /
0
, resistive skin diusion time. (6.95)
Here, the numerical factor of 6 is a cylindrical geometry factor which more pre-
cisely is the square of the rst zero of the J
0
Bessel function: j
2
0,0
2.405
2
5.78
see Appendix A.5 and (??). However, the additional accuracy is unwarranted
both because of the approximations involved in the simple model used to derive
and because of the intrinsic accuracy of the electrical resistivity ( 1/ ln

510%). For a plasma of radius a = 0.3 m with T
e
= 2000 eV, which gives
/
0
0.016 m
2
/s, the skin time is
1 s.
Finally, we discuss the relative importance of the two contributions to mag-
netic eld evolution (6.71) in the MHD model: advection of the magnetic eld
by (VB), and resistive diusion by (/
0
)
2
B. The relative importance
DRAFT 10:31
of these two terms is indicated by the scaling properties of their ratio:
S =
[(VB)[
[(/
0
)
2
B[

c
A
/L
(/
0
)/a
2
1.6 10
13
a
2
B[T
e
(eV)]
3/2
L
Z
i
n
i
A
i
_
17
ln
_
,
Lundquist number.
4
(6.96)
Here, we have taken the typical velocity to be the Alfven speed c
A
and assumed
scale lengths L
[e.g., periodicity scale length along B see (6.81)] for the

advection process and a (e.g., plasma radius) for the magnetic diusion. Typical
Lundquist numbers range from 10
2
for cold, resistive plasmas, to 10
5
10
10
for
the earths magnetosphere and magnetic fusion experiments, to 10
10
10
14
for
the suns corona and astrophysical plasmas.
Because the Lundquist number is large for almost all magnetized plasmas
of interest (and extremely large for high temperature plasmas), one might be
tempted to just set the resistivity to zero (S ) and always use the ideal
MHD model. Indeed, throughout most of a plasma the magnetic eld is frozen
into and moves with the plasma uid. However, a small resistivity can be
very important in resistive boundary layers. The boundary layers occur in
the vicinity of magnetic eld lines where the parallel derivative (B
0
)
in
(6.81) vanishes so the

B
evolution becomes dominated by resistive evolution

of

B
, rather than by advection. The width of these resistive boundary layers

scales inversely with a fractional power of the Lundquist number (S
1/3
or
S
2/5
) and hence is not negligible see Chapter 22. Since resistivity allows the
magnetic eld lines to slip relative to the plasma uid, they relax (in the resistive
layers) the frozen ux constraint and thereby allow new types of instabilities
resistive MHD instabilities, which are described in Chapter 22. Since the
resistivity only relaxes the frozen ux constraint in thin layers, resistive MHD
instabilities grow much slower (by factors of S
1/3
or S
3/5
) than ideal MHD
instabilities. However, resistive MHD instabilities are quite important, because
they can lead to turbulent plasma transport (see Section 25.3) and because
in these narrow resistive boundary layers the magnetic eld lines can tear or
reconnect and thereby lead to changes in the magnetic topology (see Section
22.3). For example, they can nonlinearly evolve into a magnetic island structure
like that shown in Fig. 6.4c.
6.8 Which Plasma Description To Use When?
In this section we discuss which types of plasma descriptions are used for describ-
ing various types of plasma processes in magnetized plasmas. This discussion
also serves as an introduction to most of the subjects that will be covered in the
remainder of the book. The basic logic is that the fastest, nest scale processes
4
Many plasma physics textbooks refer to this as the magnetic Reynolds number. How-
ever, S is the ratio of linear advection to a dissipative process rather than the ratio of nonlinear
advection to a dissipative process, as the neutral uid Reynolds number is see (??). We
will call S the Lundquist number to avoid the implication that this dimensionless number is
indicative of nonlinear processes that always lead to turbulence when it is large.
DRAFT 10:31
require kinetic descriptions, but then over longer time and length scales more
uidlike, macroscopic models become appropriate. Also, the equilibrium of
the faster time scale processes often provide constraint conditions for the longer
time scale, more macroscopic processes.
In a magnetized plasma there are many more relevant parameters, and their
relative magnitudes and consequences can vary from one application to another.
Thus, to provide a table similar to Table ?? for magnetized plasmas, we need to
specify the parameters for a particular application. We will choose parameters
toward the edge (r/a = 0.7) of a typical 1990s large-scale tokamak plasma
(e.g., the Tokamak Fusion Test Reactor: TFTR): T
e
= T
i
= 1 keV, n
e
= 310
19
m
3
, B = 4 T, deuterium ions, Z
e
= 2, L
= R
0
q 6 m, a = 0.8 m, L
p
= 0.5
m. In a magnetized plasma the unmagnetized phenomena listed in Table ??
still occur; however, their eects only inuence responses along the magnetic
eld direction. Parameters for the gyromotion, bounce motion and drift motion
of charged particles in this tokamak magnetic eld structure are approximately
the same as those indicated in (??) and (??).
Table 6.1 presents an outline of magnetized-plasma-specic plasma phenom-
ena, and their relevant time scales, appropriate models and possible conse-
quences for the tokamak plasma parameters indicated in the preceding para-
graph. In it time scales are indicated in half order of magnitudes (10
0.5
=
3.16 3). As indicated, the fastest magnetic-specic process in magnetized
plasmas is the gyromotion of particles about the magnetic eld, for which the ap-
propriate model is the Vlasov equation. The ion gyromotion leads to cyclotron
(Bernstein) waves, nite ion gyroradius (FLR) eects and a perpendicular di-
electric response (Sections 7.5, 7.6). There are of course also electron cyclotron
motion and waves. The propagation of (electron and ion) cyclotron-type waves
in plasmas and their use for wave heating of magnetized plasmas are discussed
in Chapters 9 and 10. If the electron or ion distribution function is peaked at a
nonzero energy (so f
0
/ > 0), it can lead to cyclotron instabilities (Chapter
18) whose nonlinear evolution to a steady state or bursting situation is often
determined by collisions (Section 24.1).
The next fastest time scales are typically those associated with the the Alfven
wave and sound wave frequencies which are described by the ideal MHD model:
(6.25)(6.39) with 0. As indicated in Table 6.1, in the usual situation
where compressional Alfven waves are stable, their eect is to impose radial (
to B) force balance equilbrium [(6.48) and Chapter 20] on the plasma and lower
frequency perturbations in the plasma. The shear Alfven and sound waves
can lead to virulent macroscopic current-driven (kink) and pressure-gradient-
driven (interchange) instabilities (Chapter 21). The nonlinear consequences
of an ideal MHD instability is often dramatic movement or catastrophic loss
of the plasma in a few to ten instability growth times; hence most magnetic
connement systems are designed to provide ideal MHD stability for the plasmas
placed in them.
Next, we turn to the sequentially slower particle and plasma motions along
(|), across () and perpendicular () to the magnetic eld B. The fastest
motion along a magnetic eld line is the electron bounce motion, which is de-
DRAFT 10:31
Table 6.1: Phenomena, Models For A Magnetized Plasma
Species,
Physical Process Time Scales Plasma Model Consequences
cyclotron waves 1/
ci
10
8
s Vlasov dielectric resp.
cyclotron inst. 1/
ci
10
8
s Vlasov NL, via collisions
Alfven waves ideal MHD
compressional a/c
A
10
7
s P = JB
shear L
/c
A
10
6
s J-driven inst.
sound waves a/c
S
10
5.5
s ideal MHD P-driven inst.
parallel (|) to B parallel kinetic
electron bounce 1/
be
10
6.5
s | Vlasov n
e
, T
e
const. | B
electron collisions 1/
e
10
5
s drift kinetic , q
e
,

b
e
ion bounce 1/
bi
10
4.5
s | Vlasov n
i
, T
i
const. | B
Ohms law in MHD >1/
e
10
5
s resistive MHD resistive inst.
cross () to B
diamagnetic ow 1/
<
10
5
s gyrokinetic drift wave inst.
cross ow equil. 1/
i
10
3
s drift kinetic cross ow damp.
perp. () to B
plasma transport
E
a
2
/4
two-uid loss of plasma

B eld evolution
a
2
0
/6 res./neo. MHD B eld diusion,
magnetic islands
scribed by a parallel motion version of the Vlasov equation [the drift kinetic
equation (??) without the collision operator and drift velocity v
D
]. On time
scales longer than the electron bounce time (1/
be
), the lowest order distribution
function becomes constant along eld lines (
f
0e
= 0 and hence density and
temperature become constant along B), and distinctions between trapped and
untrapped electrons and their diering particle orbits become evident. For the
parameters chosen, we have an electron collision length
e
= v
Te
/
e
200 m
33L
and hence
e
33 >> 1. This is a typical toroidal plasma which is

often (confusingly) called collisionless because the collision length is long
compared to the parallel periodicity length. Since the electron gyroradius is
negligibly small, the collisional evolution of the electron species on the collision
time scale (1/
e
) is governed by the (electron) drift kinetic equation (??). Its so-
lution for axisymmetric toroidal plasmas is discussed in Section 16.2*. For times
long compared to the electron collision time the plasma acquires its electrical
resistivity and the collisions of untrapped electrons produce entropy through
DRAFT 10:31
neoclassical heat conduction (q
e
) and parallel viscosity (
b
e
) see
Chapter 16. Similarly, the lowest order ion distribution function, density and
temperature become constant along magnetic eld lines for time scales longer
than the ion bounce time (1/
bi
) and their collisional eects (in relaxing cross
ows within a magnetic ux surface) become evident on the ion collision time
scale (1/
i
).
The plasma exhibits an electrical resistivity for time scales longer than the
electron collision time (1/
e
). Its introduction into MHD leads to the resistive
MHD model: (6.25)(6.39). Since the introduction of resistivity relaxes the
ideal MHD frozen ux constraint (in narrow layers), it can lead to resistive
MHD instabilities related to their ideal MHD counterparts (kink tearing,
P-driven interchange resistive interchange), which, however, grow more
slowly and hence are less virulent see Chapter 22.
The next set of phenomena concern the eects of particle drifts and plasma
species ows in the cross direction ( perpendicular to B and within a ux
surface if it exists). On this time scale a global (as opposed to local) description
of the magnetic eld is usually required. The diamagnetic ows of electrons
and ions lead to drift-wave-type oscillations (Sections 7.4* and 8.6*) and insta-
bilities (Section 23.3*). Since these universal instabilities involve modes with
signicant ion gyroradius (FLR) eects (
i
i
1), the gyrokinetic
equation is used to describe their nonlinear evolution into microsopic plasma
turbulence (Chapter 25) that leads to anomalous radial transport (Chapter 26)
of the plasma. On the same time scales the combination of the EB and dia-
magnetic ows come into equilibrium (a steady state saturation or bounded
cyclic behavior); ow components within a magnetic ux surface in directions
in which the magnetic eld is inhomogeneous (e.g., the poloidal direction in an
axisymmetric tokamak) are damped on the ion collision time scale (1/
i
) see
Section 16.3*. Steady-state net radial transport uxes can only be properly cal-
culated after the ows within magnetic ux surfaces are determined and relaxed
to their equilibium values. Also, in determining transport uxes it is implicitly
assumed that nested magnetic ux surfaces exist and that radial transport is
to be calculated relative to them.
Finally, we reach the transport time scales on which the plasma and mag-
netic eld diuse radially out of the plasma connement region, and radiation
(Chapter 14) can be signicant. Plasma transport (relative to the magnetic
eld) is usually modeled with two-uid equations averaged over magnetic ux
surfaces to yield equations that govern the transport of plasmas perpendicular
to magnetic ux surfaces see Chapter 17. However, the radial particle and
heat diusion coecients D
are usually assumed to be the sum of those

produced by anomalous transport (Chapter 26) and those due to classical [(??),
(??) and Chapter 15] and neoclassical (Chapter 16) transport processes. For a
cylindrical-type plasma model the characteristic time scale for the usally dom-
inant plasma energy loss is (see Section 17.3) approximately
E
a
2
/4
in
which a is the plasma radius; for the plasma parameters we are considering it
is of order 0.1 s. Simultaneously, the magnetic eld is diusing. The character-
istic time scale for diusive transport of magnetic eld lines out of a cylindrical
DRAFT 10:31
plasma is
a
2
/(6/
0
); for the plasma parameters we are considering it is of
order 1 s. If resistive or neoclassical MHD tearing-type instabilities are present,
they can reconnect magnetic eld lines on rational magnetic ux surfaces and
evolve nonlinearly by forming magnetic islands which grow (to saturation or
total plasma loss) on a fraction ( 0.1) of the magnetic eld diusion time scale
. Since the magnetic eld typically diuses more slowly than energy is lost via
anomalous transport (i.e.,
>>
E
or /
0
<<
), it is usually reasonable
to assume that the magnetic eld is stationary and the plasma moves relative
to it via Coulomb-collision-induced or anomalous plasma transport processes.
The MHD description of a plasma and its properties are presented in
Schmidt, Physics of High Temperature Plasmas (1966,1979), Chapts. 3,4 [?]
Krall and Trivelpiece, Principles of Plasma Physics (1973), Chapts. 2.3 [?]
Freidberg, Ideal Magnetoydrodynamics (1987) [?]
Sturrock, Plasma Physics, An Introduction to the Theory of Astrophysical, Geo-
physical & Laboratory Plasmas (1994), Chapts. 11,12 [?]
Hazeltine and Waelbroeck, The Framework of Plasma Physics (1998), Chapts.
36 [?]
Bateman, MHD Instabilities (1980) [?]
Biskamp, Nonlinear Magnetohydodynamics (1993) [?]
The neoclassical MHD model for axisymmetric toroidal plasmas is described in
J.D. Callen, W.X. Qu, K.D. Siebert, B.A. Carreras, K.C. Shaing and D.A.
Spong, Neoclassical MHD Equations, Instabilities and Transport in Tokamaks,
in Plasma Physics and Controlled Nuclear Fusion Research 1986 (IAEA, Vienna,
1987), Vol. II, p. 157 [?]
PROBLEMS
6.1 Use the denition of the pressure in (??) with vr v V to show that the
isotropic pressure of a species in the center-of-mass frame (V) of an MHD plasma
is
p
CM
s
= ps + (nsms/3)|Vs V|
2
. /
6.2 Show that the plasma momentum equation (6.6) obtained by adding the electron
and ion momentum equations is exact (i.e., it does not involve an me/mi << 1
approximation). [Hint: To obtain the inertia term on the left it is easiest to use
(??) for the electron and ion momentum equations. Also, rst show that
s
msnsVsVs = mVV+
s
msns(Vs V)(Vs V)
in which V is the MHD mass ow velocity dened in (6.19).] //*
6.3 Evaluate JD and show that it is equal to J, and to the terms on the
right of (6.16). Explain the physical signicance of the equality of these two
quantities. //*
DRAFT 10:31
6.4 Multiply the electron and ion momentum balance equations (??) by qe/me and
qi/mi and add them to obtain the exact generalized Ohms law
J
t
+ (JV+VJ qVV) = 0
2
p
_
E+VB
_
J
+
J
(1 Zime/mi)JB [P
CM
e
Zi(me/mi)P
CM
i
]
(1 +Zime/mi)nee
_
in which P
CM
s
psI + s + nsms(Vs V)(Vs V) is the pressure tensor of
a species in the center-of-mass frame (V) of the plasma. Show that this result
simplies to (6.17) for me/mi << 1 and strongly subsonic relative species ows
(|Vs V|/vTs << 1). [Hint: Use ne/ni = qi/e = Zi for this two species plasma
and
Ve = V
mini(J/nee)
mene +mini
, Vi = V+
mene(J/nee)
mene +mini
.] ///
6.5 Show that the electron inertia term is negligible compared to the electric eld
in the parallel generalized Ohms law for kc/pe << 1. [Hint: Use the parallel
component of the nonrelativistic Amperes law:
2
A
= 0J
from (??).] //*

6.6 Show that for a wavelike perturbation in a sheared slab model magnetic eld
the perturbed electron pressure gradient is negligible in the parallel generalized
Ohms law when (6.19) is satised and >> e. [Hint: When the magnetic
eld is perturbed in MHD B B0 +
A B0 +
b and

b
is changed accordingly.] //*
6.7 Show that the perpendicular electron inertia term is a factor of at least /ce
smaller than E
in (6.20) and hence negligible in MHD. [Hint: Show that for the
diamagnetic and polarization MHD currents the electron inertia term is smaller
than that due to the electron polarization ow (??).] //*
6.8 Derive the MHD system momentum density equation (6.35). [Hint: Rewrite the
momentum equation (6.27) using Amperes law and vector identities (??), (??)
and (??).] //
6.9 Derive the MHD system energy density equation (6.36). [Hint: Take the dot
product of V with the MHD momemtum equation (6.45), and simplify the result
using Ohms law in the form VB = J E, vector identities (??) and (??),
and
VP =
1
1
P
t
+

1
PVJ
2
,
which is obtained from a combination of the equation of state (6.29) and the
mass density equation (6.25).] //
6.10 Use the tensor form of Gauss theorem (??) to calculate the force on a volume
of MHD uid in terms of a surface integral over the stress tensor. Use an
innitesimal volume form of your result to discuss the components of the force
in the e
x, ey,
b directions. //
6.11 The pressure tensor in an open-ended magnetic mirror is anisotropic because
of the loss-cone. a) Show that for species distribution functions fs which do
not depend on the gyroangle the pressure tensor is in general of the form
P = P
(I
b) + P
b in which P
= P
(, , B) and P
= P
(, , B). b)
DRAFT 10:31
Work out P. c) Show that the condition for force balance along a magnetic
eld (
b P = 0) can be reduced to
P
,
=
P
B
.
d) Discuss how this result indicates connement of plasma along the magnetic
eld in a magnetic mirror. ///
6.12 Obtain the angle between J and B in a screw pinch equilibrium as a function
of a relevant plasma . //*
6.13 Consider a pressure prole given by P(x)/P(0) = exp(x
2
/a
2
) in a sheared slab
magnetic eld model with no curvature or shear. a) Calculate the diamagnetic
current. b) Determine the Bz(x) prole induced by this diamagnetic current.
c) Show that the plasma pressure produces a diamagnetic eect. d) Show that
your Bz(x) agrees with (6.59). //
6.14 Consider the MHD radial force balance equilibrium of a cylindrical plasma with
a pressure prole P(r) that vanishes for r a which is placed in a uniform
magnetic eld B = B0ez. Use the azimuthal component of Amperes law for J
and solve the resultant force balance equation for Bz(r). Show that your result
agrees with (6.59). /
6.15 One denition of a magnetic eld line is dB = 0. Show that its time deriva-
tive yields the magnetic evolution equation (6.71). How does this show that a
magnetic eld line is advected with the moving plasma in the ideal MHD limit?
[Hint: Use vector identities (??) for (d/dt)d and (??), (??).] //
6.16 Show that for a Clebsch magnetic eld representation B = the ideal
MHD evolution equation (6.71) is satised by d/dt = d/dt = 0. Why does
this show that a magnetic eld line is advected with an ideal MHD plasma? //
6.17 Derive the canonical ux invariant for an isentropic plasma species that is a
combination of the magnetic ux and species vorticity ux which is deduced
from the canonical momentum (??) ps = msv + qsA as follows. a) First,
average the canonical momentum over a Maxwellian distribution to obtain ps =
msVs +qsA. b) Next, use this result to dene a species canonical ux invariant
#s

__
S
dS
_
A+
ms
qs
Vs
_
=
__
S
dS
_
B+
ms
qs
Vs
_
.
c) Obtain d
#s
/dt and use the species momentum equation (??) to show that
d
#s
dt
=
__
S
dS
_
ps + s Rs
nsqs
_
.
d) Show that d
#s
/dt = 0 for an isentropic plasma species. e) Discuss how the
canonical ux invariant
#s
combines the ideal MHD frozen ux theorem (6.73)
and the Kelvin circulation theorem (??). f) Indicate the physical processes
that can cause net transport of a plasma species relative to the canonical ux
surfaces
#s
. g) Why doesnt inertia contribute to transport relative to the
#s
surfaces? [Hint: Use vector identities (??), (??) and (??) in part c).] ///*
DRAFT 10:31
6.18 Show that for the MHD model the electron and ion canonical uxes dened in
the preceding problem are, to lowest order in (me/mi)
1/2
<< 1,
#e

__
S
dS
_
1
c
2
2
pe
2
_
B,
#i

__
S
dS
_
B+B
c
pi
V
cA
_
.
Use these two relations to discuss the degree to which the magnetic eld is frozen
into the electron and ion uids in an ideal MHD plasma. //*
6.19 Show that the total mass M of an MHD plasma in a volume V that moves with
the plasma ow velocity V will be conserved if the mass density satises the
mass density equation (6.25). [Hint: Determine the condition for dM/dt = 0
and use vector identity (??) for (d/dt)d
3
x.] //
6.20 Work out the terms on the right of (6.82). [Hint: Since B = B0
b is spatially
uniform, it commutes with the
b and
operators.] //
6.21 Work out formulas for the ratio of the electron and ion thermal speeds to the
Alfven speed in terms of e 20pe/B
2
and i 20pi/B
2
. What are these
ratios for a = 0.08, Te = Ti, electron-deuteron plasma? /
6.22 How large would the magnetic eld strength B have to be for the Alfven speed
to be equal to the speed of light for ne = 10
20
m
3
and Ai = 2? /
6.23 Show that for perturbations on the equilibrium time scale for compressional
Alfven waves
/B0 = (/2) (

P/P0). /
6.24 Since to lowest order in me/mi << 1 the MHD momentum equation results from
the ion momentum equation, on the equilibrium time scale for compressional
Alfven waves the radial component of the ion momentum equation should be in
equilibrium. Show that the equilibrium radial ion momentum (force) balance
equation in a screw pinch plasma yields the following relation for the axial ow
in terms of the radial electric eld, pressure gradient and poloidal ow:
V
iz =
1
B
_
d0
dr
+
1
n0iqi
dp0i
dr
V
i
Bz
_
. /
6.25 Determine the frequency ranges where an electromagnetic wave impinging on
an unmagnetized plasma: a) propagates through it, b) is evanescent on a c/pe
length scale, and c) dissipatively decays in a resistive skin depth (6.94)? [Hint:
review Section 1.5 and consider a time-dependent electrical conductivity.] //
6.26 Show that the Lundquist number can be written in terms of fundamental mi-
croscopic variables as
S =
ce
e
a
c/pi
a
L
Should S always be a large number for a magnetized MHD plasma? /

DRAFT 10:31
APPENDIX A. PHYSICS EQUATIONS, UNITS, AND CONSTANTS 1
Appendix A
Physics Equations, Units,
and Constants
This appendix provides a summary of the fundamental physical laws from other
areas of physics, as they are commonly used in plasma physics. Key equations,
units and physical constants are given for mechanics, electrodynamics, statistical
mechanics, kinetic theory of gases, stochastic diusion processes, uid mechan-
ics and quantum mechanical eects. While the procedures for deriving these
equations are given in outline form, details are omitted. Readers should con-
sult the textbook references listed at the end of each section for more detailed
explanations and theoretical developments. In some parts of this appendix
extensive use is made of the vector algebra and calculus relations given in Ap-
pendix D. The International System of Units (Système International dUnites),
often called mks units, are used throughout this appendix, and the book. Phys-
ical constants and SI unit interrelationships are given in tables in Section A.8
at the end of this Appendix.
A.1 Mechanics
Newtons second law states that the mass m times the acceleration a of a particle
is given by the force F (in units of newtons or kg m/s
2
)
ma = F, Newtons second law. (A.1)
A conservative force is one that is derivable from the gradient of a potential
that is independent of time:
F = V (x), conservative force. (A.2)
Since the acceleration in (A.1) is just the time derivative of the particle velocity,
a dv/dt, taking the dot product of the velocity v with Newtons second law
DRAFT 11:16
for a conservative force yields:
d
dt
_
mv
2
2
+V (x)
_
= 0 = =
mv
2
2
+V (x) = constant,
energy conservation, (A.3)
where mv
2
/2 m(v v)/2 T is the particle kinetic energy and V (x) is the
potential energy. The SI unit of energy is the joule (J), which is equal to a
newton meter (N m). In plasma physics particle energies are usually quoted
in electron volts (eV), which is the energy in joules divided by the elementary
charge [ eV J/e = J/(1.602 10
19
) ].
The force on a particle of charge q subjected to an electric eld E(x, t) and
a magnetic induction eld B(x, t) is
F = q (E+vB) , Lorentz force. (A.4)
For electrostatic situations with no magnetic eld, the electric eld can be writ-
ten in terms of the electrostatic potential (x) : E = . Then, the Lorentz
force becomes conservative [see (A.2)] with V (x) = q(x), and the energy
conservation relation (A.3) is applicable.
When only a magnetic eld is present, the combination of Newtons second
law and the Lorentz force becomes
m
dv
dt
= qvB =
dv
dt
=
c
v, (A.5)
where
c
qB/m, the angular velocity, (A.6)
for gyromotion of the charged particle in the magnetic eld. The negative sign
is needed in this vectorial denition so that charged particles gyrate according
to the right-hand rule with the thumb pointing in the direction of
c
. The
magnitude of
c
gives the radian frequency (rad/s) for the gyromotion:
c
= qB/m, gyrofrequency, (A.7)
which is also called the cyclotron (the source of the subscript c) or Larmor
1
frequency. This formula is unchanged for relativistic particles except for the
fact that then the mass becomes the relativistic mass: m m/
_
1 v
2
/c
2
.
Since the dot product of (A.5) with the velocity v vanishes, the particle kinetic
energy is constant a magnetic eld does no work on a charged particle in its
gyromotion. In gyromotion a charged particle executes a circular motion about
the magnetic eld B with a radius of
v
/
c
, gyroradius, (A.8)
in which v
is the magnitude of the velocity component perpendicular to the

magnetic eld direction [v
B(Bv)/B
2
].
1
Actually, the Larmor frequency is dened to be half the cyclotron frequency.
DRAFT 11:16
For situations where both electric and magnetic elds are present, it is conve-
nient to write them in terms of the scalar potential (x, t) and vector potential
A(x, t): E = A/t, B = A see (A.55). Then, Newtons second
law (A.1) for a nonrelativistic charged particle subjected to the Lorentz force
(A.4) can be written as
m
dv
dt
=
U
x
+
d
dt
_
U
v
_
, U = q q(v A) (A.9)
in which U is a generalized potential energy, U/x U, U/v
v
U,
where
v
is the gradient in velocity space. The single particle Lagrangian, which
has units of energy and is given by the kinetic energy minus the generalized
potential energy, is dened by
L(x, v, t) T U =
mv
2
2
q +q(v A), Lagrangian, (A.10)
where again T = mv
2
/2 is the particle kinetic energy. The vector equation of
motion for a charged particle (i.e., Newtons second law with the Lorentz force)
can be written in terms of the Lagrangian as
d
dt
_
L
v
t,x
_
L
x
t,v
= 0, Lagrangian equations of motion. (A.11)
For an orthogonal coordinate system with unit base vectors e
k
, the orthogonal
projections of this vector equation yield
d
dt
_
L
q
k
_
L
q
k
= 0, k = 1, 2, 3 Lagranges equations. (A.12)
Here, the spatial coordinates are q
k
e
k
x and the velocity coordinates are
q
k
e
k
v = e
k
dx/dt. Note that, like Newtons second law, Lagranges
equations are in general second order ordinary dierential equations in time.
It is often convenient to change the charged particle equation of motion into
two coupled rst order dierential equations. To eect this change one rst
denes
p
L
v
= mv +qA, canonical momentum, (A.13)
in which v dq/dt. Next, the single particle Hamiltonian function H, which
also has units of energy, is dened through the Legendre transformation:
H(x, p, t) p
dx
dt
L =
[p qA[
2
2m
+q T +V, Hamiltonian. (A.14)
It is the sum of the kinetic energy (T = [p qA[
2
/2m = mv
2
/2) and the
potential energy (V = q), and by construction is independent of velocity:
H/v[
x,p,t
= 0. The equation of motion for a charged particle can be written
DRAFT 11:16
(for both orthogonal and nonorthogonal coordinate systems) in terms of the
Hamiltonian function H, as two coupled rst order vector dierential equations
in time:
dp
dt
=
H
x
t,p
,
dx
dt
=
H
p
t,x
, Hamiltons equations of motion. (A.15)
The total time derivative of the Hamiltonian is given via chain-rule partial
dierentiation by
dH
dt
=
H
t
x,p
+
dx
dt

H
x
t,p
+
dp
dt

H
p
t,x
.
Using Hamiltons equations of motion, the sum of all terms except the explicit
partial time derivative vanish because the Hamiltonian does not vary along
the charged particles motion in the relevant (x, p) six-dimensional phase space:
dx/dt H/x + dp/dt H/p = 0. Thus, the total time derivative of the
Hamiltonian is simply
dH
dt
=
H
t
x,p
=
L
t
x,v
= q
_
t
v
A
t
_
, (A.16)
which indicates the increase in energy due to a temporally increasing potential
and due to the work v qE done by the inductive component A/t of the
electric eld.
Projecting out the geometrical components of the Hamiltonian form of the
equations of motion (A.15) for a charged particle in the orthogonal directions
e
k
yields
dp
k
dt
=
H
q
k
,
dq
k
dt
=
H
p
k
, k = 1, 2, 3, Hamiltons equations, (A.17)
in which p
k
e
k
p are the canonical momentum coordinates and q
k
e
k
x
are the conjugate spatial coordinates.
The various equations of motion have been written in forms that are inde-
pendent of the coordinate system and they are valid in the initial coordinate
system as well as transformed ones. Also, the equations are valid for non-
relativistic particles (v << c) and are all Galilean invariant. That is, they are
unchanged upon transformation to another inertial (non-accelerating) frame ac-
cording to v
= v + V
f
and E
= E + V
f
B, where V
f
is the velocity of the
second inertial frame (subscript f) relative to the rst.
When the potential and vector potential A do not depend explicitly on
time, (A.16) shows that the Hamiltonian is a constant of the motion:
H =
[p qA[
2
2m
+q =
mv
2
2
+q = = constant,
for

t
= 0,
A
t
= 0, energy conservation. (A.18)
DRAFT 11:16
In such conservative systems the particle energy and time are canonical conju-
gate Hamiltonian coordinates: p = and q = t.
When the gradient of the Hamiltonian vanishes in a particular direction e
k
,
(A.15) shows that the conjugate canonical momentum in the same direction is
a constant of the motion:
p
k
e
k
p = e
k
(mv +qA) = constant for e
k
H
x
= 0,
canonical momentum conservation. (A.19)
In an orthogonal coordinate system the base vector e
k
becomes the unit vector
e
k
; then, the criterion for canonical momentum conservation in the e
k
direction
becomes simply H/q
k
= 0 (i.e., H independent of the coordinate q
k
, which
implies symmetry in the e
k
direction).
Lagranges or Hamiltons equations of motion can be derived (by considering
variations with x and v dx/dt or p as the independent variables, respectively)
from Hamiltons variational principle of least action (time integral of dierence
between kinetic and potential energy):
_
Ldt = 0. It can also be shown using
(A.14) that for a conservative system where the Hamiltonian is a constant of the
motion [see (A.18)], the action
_
p dq is a variational quantity along a particle
trajectory.
For periodic motion in a given coordinate q
i
it is convenient to introduce as
a variable the action integral over a cycle:
J
i
=
1
2
_
p
i
dq
i
=
1
2
_
2
0
d
i
p
i
q
i
i
, action variable. (A.20)
The action variable, which is a momentum-like quantity, is the area in p
i
, q
i
phase space encompassed by the periodic motion. The canonically conjugate
action-angle
i
is the angular or cyclic variable corresponding to periodic motion
around the perimeter of this area. Hamilton-Jacobi theory (see references at end
of this section) can usually be used to determine the action angle coordinate
q
i

i
. Writing the Hamiltonian in terms of the action variable J
i
, the Hamilton
equation dq
i
/dt = H/p
i
[see (A.17)] becomes:
d
i
dt
=
H
J
i

i
, action angle evolution equation. (A.21)
The period of the oscillatory motion can be determined in general from
i

_
dt =
_
dq
i
dq
i
/dt
=
_
dq
i
H/p
i
, oscillation period. (A.22)
The radian frequency for the periodic motion is
i
(J
i
) = 2/
i
, oscillation frequency. (A.23)
The Hamiltonian for a periodic system in action-angle variables is thus simply
H
i
=
i
J
i
, action-angle Hamiltonian. (A.24)
DRAFT 11:16
For nearly periodic motion in situations where the generalized potential U
in (A.9) varies slowly and aperiodically in space and time (compared to the
oscillations), the action in (A.20) is nearly constant and given by the ratio of
the oscillation energy to the oscillation frequency:
J
i

H
i
i
=

i
i
, action for nearly periodic motion. (A.25)
For slow, temporal changes that are characterized by a parameter a(t) and are
not themselves periodic, it can be shown that, while the slow variations cause
linearly small, oscillatory [ ( a/
i
a) sin
i
t << 1] changes in J, the average
of dJ/dt over an oscillation period is quadratically small in the rate of
temporal change:
_
dJ
i
dt
_
i
_
d
i
i
dJ
i
dt
= 0 + O
_
_
a
i
a
_
2
,
a
2
i
a
_
J
i
, (A.26)
where the dots over quantities indicate their time derivatives. For such situ-
ations the action J
i
is called an adiabatic invariant; it is often a very useful
approximate constant of the motion. When the small variations in the poten-
tial oscillate at a slow frequency
i
>>
a

_
(1/a)
2
a/t
2
, harmonics of
this slower oscillation that are resonant with the fundamental oscillations (i.e.,
i
= n
a
, n an integer) can lead to secular changes in the action J
i
that grow
slowly in time. Hence they can break the constancy of the adiabatic invariant
over a long time period. This usually occurs when the slow oscillations exceed a
small critical amplitude (typically 0.1 of the main oscillations). The relevant
multiple time scale analysis and conditions for such breakdowns of adiabaticity
are discussed in E.6.
As an example of the use of mechanics theory, consider the central-force
problem of determining the scattering angle and elastic cross-section for a
Coulomb collision of two non-relativistic, charged particles. Assume a charged
particle of species s with charge q
s
, mass m
s
and initial velocity v experiences a
Coulomb collision (i.e., interaction via the Coulomb electric eld force) with an-
other charged particle of species s
with parameters q
s
, m
s
and v
. Multiplying
the force balance equations obtained from (A.1) and (A.4) for each particle by
the mass of the other particle and subtracting, taking account of the equal and
oppositely directed electric eld forces on the two particles due to the Coulomb
potential [qE = q, = q/(4
0
[x[) see (A.33)], yields the equation
of motion for the two-particle system in the center-of-momentum coordinate
system:
m
ss
d
dt
(v v
) =
q
s
q
s
4
0
1
[x x
[
(A.27)
in which m
ss
= m
s
m
s
/(m
s
+ m
s
) is the reduced mass for the two particle
system.
Initially, when the particles are very far apart, one can dene the impact
speed as u = [vv
[ and the collision impact parameter as b (distance of closest

DRAFT 11:16
approach if the Coulomb electric eld did not deect the particles). Further,
one denes the classical (i.e., not quantum mechanical) minimum distance of
closest approach as
b
cl
min

q
s
q
s
4
0
m
ss
u
2
, classical minimum impact parameter (A.28)
at which the center-of-momentum kinetic energy is half the Coulomb potential
energy [q
s
q
s
/(4
0
b
cl
min
)] and below which large-angle deections (> 90
) can
be expected to occur.
Since the collision takes place in a plane dened by the vectors x x
and
v v
, it is convenient to dene instantaneous radial and angular coordinates

in the center-of-momentum frame by the radial separation of the particles r
[x x
[ and by the angle that the line x x
makes with the line [x x
[
when the particles were initially very far apart. In these coordinates the angular
momentum p
[constant because of symmetry of the Coulomb potential in the

direction see (A.19)] and total energy [constant because the potential
does not depend explicitly on time see (A.18)] can be written as
p
= m
ss
r
2

= m
ss
bu,
= T +V =
1
2
m
ss
_
r
2
+r
2

2
_
+
q
s
q
s
4
0
r
=
1
2
m
ss
u
2
.
Solving the second (energy conservation) equation for r and dividing by the

obtained from the rst equation yields

dr
d
=
r
b
_
r
2
2 r b
cl
min
b
2
,
where the sign is negative when the particles are approaching each other and
positive as they recede.
At the minimum or closest approach distance r
m
, dr/d = 0. The angle
m
at this point is given by
m
=
_

rm
dr
dr/d
= arctan
_
b
cl
min
b
_
+

2
.
In the center-of-momentum frame the angular deection caused by the colli-
sion is given by 2
m
and hence
tan

2
=
b
cl
min
b
=
q
s
q
s
4
0
m
ss
u
2
b
, scattering angle. (A.29)
Thus, b > b
cl
min
causes Coulomb scattering by less than 90
( < /2), while

b < b
cl
min
induces more than 90
scattering.
The dierential cross-section d (measured in meters
2
or barns 10
28
m
2
)
by which Coulomb collisions of incoming charged particles of species s with
impact parameter b and azimuthal angle scatter o of charged particles of
DRAFT 11:16
species s
into spherical angles , within the dierential solid angle d

sin dd is thus given [using (A.29) to write b() = b
cl
min
/ tan(/2)] by
d = b db d =
b
sin
db
d
d =
_
b
cl
min
2 sin
2
/2
_
2
d
or,
d
d
=
_
b
cl
min
2 sin
2
/2
_
2
=
_
q
s
q
s
24
0
m
ss
u
2
sin
2
/2
_
2
,
Rutherford dierential scattering cross-section. (A.30)
Standard intermediate level mechanics textbooks, which include extensions
to relativistic systems, are:
Symon, Mechanics (1971) [?].
Barger and Olsson, Classical Mechanics: A Modern Perspective (1973) [?].
The standard advanced level mechanics textbook is:
Goldstein, Classical Mechanics (1950, 1980) [?].
A.2 Electrodynamics
An electrostatic theory is appropriate for time-independent charge density distri-
butions
q
(x), electric elds E(x), and magnetic induction elds B(x). In elec-
trostatics the irrotational (E = 0) electric eld E with units of volts/meter
is written in terms of the scalar potential (x) with units of volts, E ,
and related to the charge density distribution:
E =
q
/
0
, Gauss law, (A.31)
2
=
q
/
0
, Poissons equation. (A.32)
The charge density distribution has units of coulombs/meter
3
. For localized
charge density distributions [lim
|x|
q
(x) 0] the general (Green-function-
type) solution of Poissons equation in an innite medium is [see also (??)]
(x) =
_
d
3
x

q
(x
)
4
0
[x
x[
. (A.33)
For a point charge at x = x
0
the charge distribution is
q
(x) = q (x x
0
) and
the potential becomes
(x) =
q
4
0
[x x
0
[
, Coulomb potential. (A.34)
Here and throughout this book the mks factor 4
0
is written in braces;
eliminating this factor yields the corresponding cgs forms of these electrostatic
response formulas.
DRAFT 11:16
In a dielectric (ponderable) medium the charge density
q
is composed of a
part
free
due to free charges and a part due to a polarization charge density,
pol
= P where P
0
E
E is the presumed linear and isotropic polariza-
tion (units of coulomb/meter
2
) of the medium induced by the electric eld E
and
E
is the dimensionless electric susceptibility of the medium:
q
=
free
+
pol
=
free
P =
free

0
E
E. (A.35)
Thus, in an isotropic dielectric medium Gauss law becomes Coulombs law:
D =
free
, D
0
E+P =
0
(1 +
E
) E = E (A.36)
in which the mediums dielectric constant
0
(1 +
E
) is the constituitive
relation between the displacement vector D and the electric eld E.
A magnetostatic theory is appropriate for time-independent current density
distributions J(x) and magnetic induction elds B(x). In magnetostatics the
solenoidal (transverse, B = 0) magnetic induction eld B which has units
of weber/meter
2
or tesla can be written in terms of the vector potential A, i.e.,
B = A, and related to the current density distribution J which has units
of ampere/meter
2
:
B =
0
J =
2
A =
0
J, static Amperes law (A.37)
in which A = 0 (the Coulomb gauge) has been assumed in the last form. For
localized current density distributions [lim
|x|
J(x) = 0], the general (Green-
function-type) solution for A in an innite medium is [see also (??)]
A(x) =
_
0
4
_
_
d
3
x
J(x
)
[x
x[
. (A.38)
The magnetic eld around an innite wire carrying a current I (amperes) along
the z axis of a cylindrical coordinate system can obtained from this equation
using B = A and a current density J = e
z
(I/2r) lim
a0
(r a):
B =

0
I
2r
e
, magnetic eld around a current-carrying wire. (A.39)

To obtain the corresponding cgs form of this and other magnetic eld response
equations, eliminate the
0
/4 factor and replace J by J/c, or replace
0
J
by 4J/c.
In a magnetizable medium the current density J is composed of a part J
free
due to the current induced by free charges and a magnetization current den-
sity J
mag
= M where M
M
H is the presumed linear and isotropic
magnetization (units of ampere-turns/meter) of the medium induced by the
magnetic eld H (units of ampere-turns/meter) and
M
is the dimensionless
magnetic susceptibility of the medium:
J = J
free
+J
mag
= J
free
+M = J
free
+(
M
H). (A.40)
DRAFT 11:16
Thus, in an isotropic, magnetizable medium the static Amperes law becomes
H =
0
J, H = B/
0
M, B =
0
(1 +
M
) H = H (A.41)
in which =
0
(1 +
M
) is the magnetic permeability of the medium and
B = H is the constituitive relation between the magnetic induction B and the
magnetic eld H.
The microscopic Maxwell or electromagnetic (em) equations for determining
time-varying electric and magnetic elds caused by charge and current density
distributions
q
(x, t) and J(x, t), respectively, in free space are
Maxwell Equations
name
dierential form integral form
Gauss law
E =

q
0
_
_
_
S
dS E =
_
V
d
3
x

q
0
(A.41a)
Faradays law
E =
B
t
_
C
d E =

t
__
S
dS B (A.41b)
no magnetic monopoles
B = 0
_
_
_
S
dS B = 0 (A.41c)
Amperes law
B =
0
_
J +
0
E
t
_ _
C
d B =
0
__
S
dS
_
J +
0
E
t
_
(A.41d)
(A.42)
Here,
0
is the electric permittivity of free space which has units of farad/meter
= coulomb/(volt meter) = joule/(volt
2
meter),
0
is the magnetic permeabil-
ity of free space which has units of henry/meter = weber/(ampere meter) =
weber
2
/(joule meter) and
0
0
= 1/c
2
where c is the speed of light in free space.
Taking the divergence of Amperes law and making use of Gauss law yields
q
t
+ J = 0, continuity equation for charge and current. (A.43)
In Amperes law the displacement current
0
E/t was introduced by Maxwell
to make the electrodynamics equations consistent with the charge and current
continuity equation (A.43).
DRAFT 11:16
The physical signicance of the source terms on the right of the integral
forms of the Maxwell equations are:
_
V
d
3
x
q
Q, net charge (in coulombs)
within the volume V ;
__
S
dS B , magnetic ux (in webers) penetrating
the surface S;
__
S
dS J I, the total electric current (in amperes) owing
through the surface S. The Maxwell equations are relativistically invariant; in
particular, they are invariant under Lorentz transformations, which preserve the
constancy of the speed of light, independent of the motion of the source, upon
transformation to another inertial rest frame.
The corresponding macroscopic Maxwell equations in an isotropic, polariz-
able, magnetizable medium are written in terms of D E =
0
E+P and the
magnetic eld H B/
0
M, and free charge, current densities
free
, J
free
:
D =
free
, E = B/t, B = 0, H = J
free
+D/t.
(A.44)
The total rate at which the electromagnetic (em) elds do work on a medium
in a nite volume V is
_
V
d
3
x J
free
E the magnetic eld does no work since
the magnetic force qvB on charged particles is perpendicular to the velocity.
Using the macroscopic Maxwell equations to calculate the rate of doing work
yields the energy conservation law for electromagnetic elds:
w
em
t
+ S
em
= J
free
E, em eld energy conservation, (A.45)
where
w
em
w
E
+w
B

1
2
(E D+B H), em energy density (J/m
3
), (A.46)
S
em
= EH, Poynting vector (ux of em energy) (J/m
2
s), (A.47)
J
free
E = joule heating (W/m
3
= J/m
3
s = VA/m
3
), (A.48)
in which the energy densities in the electric and magnetic elds are dened by
w
E

1
2
(E D), electric eld energy density (J/m
3
), (A.49)
w
B

1
2
(B H), magnetic eld energy density (J/m
3
). (A.50)
A corresponding momentum conservation equation for electromagnetic elds
can be deduced, for situations where charge and current densities are present in
free space, from the microscopic Maxwell equations:
g
em
t
+T
em
=
q
E+JB, em eld momentum conservation, (A.51)
DRAFT 11:16
where
g
em

1
c
2
EB, momentum density in em elds, (A.52)
T
em
=
0
_
[E[
2
2
I EE
_
+
1
0
_
[B[
2
2
I BB
_
em stress tensor, (A.53)
q
E+JB = momentum input to em elds from medium. (A.54)
Here, the electromagnetic stress tensor is dened to be opposite in sign from
the usual Maxwell stress tensor in electrodynamic theory [see Eq. (6.119) in
Jackson, Classical Electrodynamics, 3rd Edition (1999)[?]] so that the elec-
tromagnetic stress can be added to the pressure tensor P to obtain the total force
density in a plasma in the form F = (P + T
em
). For a dielectric medium
the conservation of momentum for electromagnetic elds depends somewhat on
the medium considered because of the possible ambiguity as to which parts of
q
E +JB belong to the dielectric and which parts represent free charge and
current densities.
Since the magnetic induction eld B is a solenoidal or transverse eld ( B
= 0), it can be represented in terms of a vector potential A, i.e., B = A.
Using this representation, Faradays law can be written as (E+A/t) = 0,
which indicates that E+A/t can be represented in terms of the gradient of a
scalar potential . Thus, the electromagnetic elds E and B can be represented
in terms of the potentials (units of volts) and A (units of weber meter):
E = A/t, B = A, em elds in terms of potentials. (A.55)
In terms of the potentials , A the inhomogeneous, microscopic Maxwell equa-
tions (Gauss and Amperes laws) become (
0
0
= 1/c
2
)
_
1
c
2
2
t
2
_
=
0
,
_
1
c
2
2
t
2
_
A =
0
J, (A.56)
in which
A+
1
c
t
= 0, Lorentz gauge condition, (A.57)
which provides a constraint relation between the potentials, has been used. [If
the Coulomb gauge (A = 0) is used, the equations (A.56) are dierent.]
For a dielectric medium [i.e., a medium that is polarizable (
q
= P)
and magnetizable (J = M) but not signicantly conducting which would
imply J = E], equations (A.56) become scalar wave equations of the form
_
2

2
t
2
_
u(x, t) = S(x, t), dielectric medium wave equation. (A.58)
DRAFT 11:16
Sinusoidal plane wave solutions of this equation are in general of the form
u(x, t) = u
k,
e
i(kxt)
ue
i
, Fourier plane wave Ansatz, (A.59)
where by convention u is a complex constant for a given k, and physical waves
u(x, t) are obtained by taking the real part: u(x, t) e ue
i
. Substituting
this Ansatz into the sourceless (S = 0) wave equation yields the dispersion
relation (relationship between and k) for nontrivial (normal mode) solutions:
2
=
k
2
=
k
2
c
2
n
2
= =
k c
n
, light waves in a dielectric, (A.60)
in which
n
c k
, index of refraction. (A.61)

The index of refraction is the ratio of the speed of light in vacuum to that in
the medium.
For a given k, , a point of constant wave phase in u(x, t), which is dened
by 0 = d/dt = k dx/dt k V
, moves at
V

k
e
k
, wave phase velocity, (A.62)
in which e
k
k/k is the unit vector along k. The phase velocity for light waves
in a dielectric medium is the speed of light in the medium in the direction of
wave propagation (k): V
= (c/n) e
k
. Since a steady, monochromatic (single
k, ) carrier wave carries no information, the wave phase speed can be greater
than the speed of light. A wave packet, which results from superposing waves
of dierent k, , carries information at
V
g

k
=
k
(k), wave group velocity, (A.63)
whose magnitude must, by causality, be less than or equal to the speed of light.
For nondispersive media [n/k = 0 = n = n()], the group velocity is the
same as the phase velocity. Thus, the group velocity of light waves in typical
(nondispersive) dielectric media (e.g., water for visible light) is the same as their
phase velocity. Since plasmas are typically dispersive media for ranges of k, of
interest, the group velocities of waves in plasmas are often dierent from their
phase velocities.
The electric eld for the most general homogeneous transverse (kE = 0)
plane wave propagating in the direction k can be represented by
E(x, t) = (
1
E
1
+
2
E
2
) e
i(kxt)
, polarization representation. (A.64)
Here,
1
,
2
are mutually orthogonal wave polarization unit vectors in direc-
tions perpendicular to the direction of wave propagation (
1
2
e
k
) and
E
1
, E
2
are in general complex numbers. If E
1
and E
2
have the same complex
phase, the wave is linearly polarized. If E
1
and E
2
have the same magnitude, but
DRAFT 11:16
dier in phase by 90 degrees the wave is circularly polarized. A representation
that is useful for circularly and elliptically polarized waves is
E(x, t) = (E
+
+
+E
) e
i(kxt)
, alternative representation, (A.65)
in which E
+
and E
are complex amplitudes and
2
(
1
i
2
), rotating polarization unit vectors. (A.66)
The E
+
[E
+
[e
i+
term represents a positive angular momentum and helicity
(left circularly polarized in optics
2
) wave that rotates (for decreasing phase
k x t +
+
at a xed point in space) in the clockwise direction rel-
ative to the k direction since eE(x, t)
+
= ([E
+
[/
2)(
1
cos
2
sin ).
Conversely, the E
term represents a negative angular momentum and helicity

(right circularly polarized) wave that rotates in the opposite direction. Circu-
larly polarized waves are represented by either E
+
or E
, depending on whether
they have positive or negative helicity. A wave is elliptically polarized if it has
both E
+
and E
components and they are dissimilar when E

+
/E
= 1,
one reverts to a linearly polarized wave.
Standard intermediate level textbooks for electrodynamics, or electricity and
magnetism as it has been called historically, are:
Reitz, Milford and Christy, Foundations of Electromagnetic Theory (1979) [?]
Lorrain, Corson and Lorrain, Electromagnetic Fields and Waves (??) [?]
Barger and Olsson, Classical Electricity and Magnetism: A Contemporary Per-
spective (1987) [?].
The standard advanced level textbooks are:
Jackson, Classical Electrodynamics (1962, 1975) [?]
Panofsky and Phillips, Classical Electricity and Magnetism (1962) [?].
A.3 Statistical Mechanics
A closed system of particles is in equilibrium in a statistical mechanics sense
if for subsystems thereof all relevant macroscopic parameters are equal to their
mean values to a high degree of accuracy. The particles in a system are weakly
interacting and thus statistically independent if the total system Hamiltonian
is approximately just the sum of the Hamiltonians for the individual particles.
That is, the part of the total system Hamiltonian that represents interactions
between particles must be small, or vanishing, except for infrequent collisions.
2
In optics the rotation direction is determined by the direction of polarization rotation
that would be seen by an observer facing into the oncoming wave. This direction of rotation
is opposite to the modern physics denition which is determined by the direction of rotation
relative to the wavevector k.
DRAFT 11:16
Liouvilles theorem, which follows from the incompressibility [see (A.79)] of
the x, p Hamiltonian phase space for particle trajectories, states that the den-
sity of a system of N particles in their 6N-dimensional phase space is constant
along the particle phase space trajectories. A consequence of Liouvilles the-
orem is that the probability density in the 6N dimensional phase space must
be expressible entirely in terms of constants of the motion. In the macroscopic
rest frame (where the average momentum and angular momentum vanish) of a
system of weakly interacting particles, the only relevant constant (or additive
integral) of the motion is the single particle Hamiltonian.
Statistical mechanics predicts that the most probable distribution of a sub-
system of a large number of weakly interacting, free (i.e., monoatomic gas or
unbound) particles in equilibrium with an even larger system of such particles
at a thermodynamic temperature
3
T will have a probability density distribution
in the macroscopic rest frame of the system that is given by
(p, q) =
0
e
H(p,q)/T
, Gibbs distribution (A.67)
in which
0
is a constant and H is the Hamiltonian for a single particle. The
constant
0
is the density of particles in the six-dimensional phase space, which is
obtained from the normalization
_
d
3
p
_
d
3
q (p, q) = 1. Thus, for example, the
most probable distribution function for weakly interacting charged particles in
the presence of a potential that is constant in time or slowly varying (compared
to the rate for thermal motion over a relevant scale length for an adiabatic
response, subscript A) is
f
A
(x, v) = n
0
_
m
2T
_
3/2
e
H/T
= n
0
_
m
2T
_
3/2
e
mv
2
/2Tq/T
, (A.68)
in which n
0
is the equilibrium density (m
3
) of charged particles in the absence
of the potential . The normalization here has been chosen such that integrating
f over the three-dimensional velocity space yields the density distribution
n
A
(x)
_
d
3
v f(x, v) = n
0
e
q(x)/T
, Boltzmann relation. (A.69)
This result is applicable for adiabatic processes, i.e., ones that vary slowly com-
pared to the reversible inertial or oscillatory time scales. As an example of
an application of the Boltzmann relation, the gravitational potential near the
earths surface (q V = mgx) connes neutral molecules in the atmosphere
near the earths surface according to the law of atmospheres see (A.137).
In the absence of a potential, (A.68) becomes the Maxwell distribution func-
tion:
f
M
(v) = n
0
_
m
2T
_
3/2
e
mv
2
/2T
=
n
0
e
v
2
/v
2
T
3/2
v
3
T
, Maxwellian distribution,
(A.70)
3
Temperatures (and particle energies) in plasma physics are usually quoted in electron
volts, abbreviated eV, and the Boltzmann factor k
B
that usually multiplies the temperature
T in equations such as (A.67)(A.75) is usually omitted for simplicity.
DRAFT 11:16
Figure A.1: Properies of a Maxwellian distribution function: a) speed depen-
dence; b) number of particles per unit speed v.
in which v
T

_
2T/m. The dependence of the Maxwellian distribution on
particle speed v is shown in Fig. A.1a. In spherical velocity-space coordinates
the normalized (by density) integral of the Maxwellian distribution over all
velocity space is [see (??)]
_
d
3
v
f
M
(v)
n
0
=
4
_

0
dv
v
T
v
2
v
2
T
e
v
2
/v
2
T
=
4
_

0
dxx
2
e
x
2
= 1. (A.71)
Some of the characteristic speeds that can be deduced from the Maxwellian
distribution are (see Fig. A.1b):
v
T
= v
max

_
2T/m, thermal, most probable speed,
v =
_
8T/m = (2/
) v
T
, average speed,
v
rms
=
_
3T/m =
_
3/2 v
T
, root mean square speed.
(A.72)
It is customary in plasma physics to use v
T
as the reference particle speed since
this is the speed that appears naturally in the exponent of the Maxwellian. This
is the most probable speed because in spherical velocity space the maximum in
the number of particles with speeds between v and v+dv ( 4v
2
e
v
2
/v
2
T
) occurs
at this speed (cf., Fig. A.1b). The average speed v (average of v [v[ over the
Maxwellian distribution) is relevant in calculations of the random particle ux
to one side of a plane that is introduced into a medium whose particles have
a Maxwellian distribution:
_
d
3
v v
1
2
[ cos [ f
M
=
_
0
dv v
3
f
M
= n
0
v/4 [see
(??)] where the z axis of the spherical velocity space coordinate system has been
taken to be perpendicular to the plane being introduced. The root mean square
speed v
rms
(square root of average of v
2
) is relevant in calculations of the average
kinetic energy mv
2
x
/2 in a given direction x since all directions are equivalent for
DRAFT 11:16
an isotropic Maxwellian distribution (v
2
x
= v
2
y
= v
2
z
= v
2
T
/2 = v
2
/3 v
2
rms
/3):
mv
2
x
2

1
n
0
_
d
3
v
_
mv
2
x
2
_
f
M
(v) =
mv
2
rms
6
=
T
2
,
one-dimensional particle thermal energy. (A.73)
The total thermal energy of a particle is given by
mv
2
2

1
n
0
_
d
3
v
_
mv
2
2
_
f
M
(v) =
mv
2
rms
2
=
3 T
2
,
three-dimensional particle thermal energy. (A.74)
Finally, the kinetic pressure embodied in the Maxwellian distribution is
p
_
d
3
v (mv
2
x
)f
M
(v) =
_
d
3
v
_
mv
2
3
_
f
M
(v) =
nv
2
rms
3
= nT,
kinetic pressure. (A.75)
Entropy is the state of disorder of a closed system. It never decreases
with time: it remains constant for reversible (e.g., Hamiltonian dynamics) pro-
cesses, but increases for irreversible processes. Irreversible increases in the
entropy of a system are caused by dissipative processes such as the cumula-
tive eects of a large number of random collisions. For a system of weakly
interacting, free particles the entropy is given by the logarithm of the aver-
age volume [= 1/
0
see (A.67)] of six-dimensional phase space occupied by
a single particle, i.e., s = ln(1/
0
). [For quantum mechanical systems it is
the logarithm of the number of statistically independent states, which is quan-
tized to be the number of states that t in the relevant phase space volume:
N
qm
=
_
d
3N
p d
3N
q e
H(p,q)/T
/(N! h
3N
) in which h is Plancks constant and
N is the number of degrees of freedom for the system being considered.] Thus,
neglecting constants and using
0
= n
0
(m/2T)
3/2
n
0
/v
3
T
for an x, v phase
space, for classical systems one has
s = ln (1/
0
) = ln (T
3/2
/n
0
) + constant, entropy. (A.76)
For a volume V of uniform density (i.e., n
0
= 1/V ) monotonic gas, the entropy
is given by
s = ln V + (3/2) ln T + constant,
which, when multiplied by the molar gas constant R = k
B
N
A
is the conventional
form of the entropy for an ideal gas. Alternatively, writing T = p/n
0
in (A.76)
so that s = (3/2) ln(pV
5/3
) + constant, one obtains the constant entropy (isen-
tropic) equation of state pV
= constant for an ideal gas in a three-dimensional

system where = 5/3.
Standard intermediate level textbooks for statistical mechanics are:
Kittel, Elementary Statistical Physics (1958) [?]
DRAFT 11:16
Reif, Fundamentals of Statistical and Thermal Physics (1965) [?]
Callen, Thermodynamics (1960) [?]
Kittel and Kroemer, Thermal Physics (1960). [?]
Some advanced level books on statistical mechanics are:
Huang, Statistical Mechanics (1963) [?]
Tolman, The Principles of Statistical Mechanics (1938) [?]
Landau and Lifshitz, Statistical Physics (1959) [?]
Prigogine, Introduction to Thermodynamics of Irreversible Processes (1961). [?]
A.4 Kinetic Theory of Gases
Kinetic theory is a rigorous formalism that is used to provide a description of
the behavior of a large collection of neutral molecules (or atoms) in a gas, partic-
ularly when the assumptions of equilibrium statistical mechanics are not valid.
In kinetic theory d
3
xd
3
v f(x, v, t) is the (assumed large) number of molecules
located in the six-dimensional (x, v) phase space with spatial positions lying
between x and x + dx and velocity vectors lying between v and v + dv, at
time t. The quantity f(x, v, t), which has units of #/(m
3
m
3
/s
3
), is called the
distribution function. It is governed by the equation
d f(x, v, t)
dt
=
f
t
+vf +
F
m
v
f =
f
t
_
c
, kinetic equation (A.77)
in which F/m is the acceleration of a molecule due to the force F [e.g., the
conservative force in (A.2)],
v
/v[
x,t
is the gradient in velocity space,
and f/ t)
c
f represents the eects of abrupt, binary (microscopic)
collisions at rate that result from force elds not included in F.
The (mathematical) characteristics of the rst order dierential operator (in
the 7 variables x, v, t) on the left of (A.77) represent the trajectories of the
molecules in the absence of collision eects. The rst order dierential equa-
tions governing the trajectories of the particles can be most generally written
using Hamiltons equations. Thus, the kinetic equation for f(q, p, t), where p is
the canonical momentum dened in (A.13) and q is the canonically conjugate
position vector or for f(z, t) where z (q, p) = (x, p) is a six-dimensional vari-
able that represents all of phase space, can be written most generally in terms
of the Hamiltonian variables:
d f(q, p, t)
dt
=
f
t
+
dq
dt

f
q
+
dp
dt

f
p
=
f
t
+
dz
dt

f
z
=
f
t
_
c
,
or, using Hamiltons equations [see (A.15)], as
d f(q, p, t)
dt
=
f
t
+
H
p

f
q

H
q

f
p
=
f
t
_
c
, kinetic equation,
(A.78)
DRAFT 11:16
Particle motion in the z (p, q) six-dimensional Hamiltonian phase space is
incompressible:
dz
dt
=

x
dx
dt
+

p
dp
dt
=

x
H
p

p
H
x
= 0,
phase space incompressibility. (A.79)
Thus, the kinetic equation can also be written in the conservative form
d f(q, p, t)
dt
=
f
t
+

q
_
dq
dt
f
_
+

p
_
dp
dt
f
_
=
f
t
+

z
_
dz
dt
f
_
=
f
t
_
c
.
(A.80)
In the absence of collisions, or for time scales shorter than the collision time,
the solution of (A.77) or (A.78) is that f must be a function of the constants of
the motion see (A.18), (A.19). For collisionless cases where the potentials
, A do not change in time and the Hamiltonian is the only constant of motion,
the solution is f = f[H(p, q)] = f[H(z)]. Assuming further that there are a
large number of molecules which are interacting weakly (e.g., via collisions) with
an even larger number of molecules that have a thermodynamic temperature T,
and hence that the requirements for the validity of statistical mechanics are
satised, the distributions given in (A.67) and (A.68) can be derived from the
kinetic theory of gases.
The microscopic binary collision eects are most generally represented by
f
t
_
c
= (
B
f(x, v, t)
_
d
3
v
_
d
d
d
[ v v
[ [ f(v
1
)f(v
1
) f(v)f(v
) ] ,
Boltzmann collision operator, (A.81)
in which v, v
and v
1
, v
1
are the velocities of the colliding particles before and
after the collision and d/d is the dierential scattering cross-section for the
collisions [cf., (A.30)]. Here, for simplicity f(x, v, t) has been written as f(v)
inside the collision operator. In deriving the Boltzmann collision operator it is
assumed that the force F on the left of (A.77) is negligible during the collision
process, that the gas is suciently dilute so that binary or two-body collision
processes are predominant (i.e., three-body and many-body collisions or collec-
tive particle interactions are negligible), and that the collisions only change the
velocity vectors of the particles (i.e., the collisions abruptly scatter the veloc-
ity vectors of the particles at a given point x, t along a particle trajectory).
The Boltzmann collision operator is a bilinear [because of f(v)f(v
)], integral
operator in velocity space. In the absence of radiative eects, since binary colli-
sions conserve particle number, momentum mv and energy mv
2
/2, so does the
Boltzmann collision operator:
_
d
3
v (v) (
B
(f) = 0 for (v) = 1, mv, mv
2
/2. (A.82)
DRAFT 11:16
The functions (v) are sometimes called summational invariants because linear
combinations of them are also invariants of the collision operator.
For homogeneous (f = 0) gases in equilibrium (f/ t = 0) with no
external forces on the molecules (F = 0), the kinetic equation (A.77) becomes
0 =
f
t
_
c
= (
B
(f
0
), (A.83)
where the subscript zero on f indicates the equilibrium or lowest order solution.
The general solution of this equation is
f
0
= f
M
(v) = n
0
_
m
2T
0
_
3/2
e
m|vV0|
2
/2T0
=
n
0
e
|vV0|
2
/v
2
T
3/2
v
3
T
,
Maxwellian distribution. (A.84)
This Maxwellian diers from the statistical mechanics result in (A.70) only by
its explicit inclusion of the macroscopic ow velocity V
0
of the gas (V
0

_
d
3
v vf
0
/n
0
), which is not present in (A.70) because that result is obtained
in the rest frame of the gas (i.e., in the V
0
rest frame). However, the result is
arrived at by dierent methodologies in statistical mechanics and kinetic theory.
Kinetic theory provides the more extendable framework for investigating more
complicated situations that do not satisfy the assumptions used in deriving
(A.70) and (A.84).
The Boltzmann collision operator also has the important property of irre-
versibility: entropy increases until the distribution function is given by (A.84).
Specically, taking the entropy functional to be f ln f and dening H
B

_
d
3
v f ln f, it can be shown that
dH
B
dt
=
_
d
3
v
f
t
(1 + ln f) =
_
d
3
v (
B
(f) ln f 0,
Boltzmann H-theorem, (A.85)
with the equal sign being applicable only when f becomes equal to the equilib-
rium, Maxwellian distribution given in (A.84).
In situations close to thermodynamic equilibrium the lowest order distribu-
tion is the Maxwellian given by (A.84) and the distortions of the distribution
function are higher order and small. In order to understand he nature of these
distortions and to obtain approximate solutions of the kinetic equation (A.77)
for this situation, consider the expansion of the distribution in a combination of
Laguerre and Legendre polynominials (see Appendix B), which are the complete
orthogonal basis functions for speed (with the weighting function v
2
e
v
2
/v
2
T
that
comes from the lowest order Maxwellian distribution in spherical velocity space)
DRAFT 11:16
and spherical angle dependence::
f = f
M
_
1 +
_
n
n
0
L
(1/2)
0
+
T
T
0
L
(1/2)
1
+
_
P
0
_
v
v
T
_
moments
+
2
v
2
T
v
_
VL
(3/2)
0
+V
1
L
(3/2)
1
+
_
P
1
_
v
v
T
_
moments
+
vv (v
2
/3)I
2mn
0
v
4
T
:
_
L
(5/2)
0
+
1
L
(5/2)
1
+
_
P
2
_
v
v
T
_
moments
+
_
.
.
.
=
lmn
f
lmn
Y
lm
(, ) L
(l+1/2)
n
(v
2
/v
2
T
) e
v
2
/v
2
T
, moment expansion, (A.86)
in which the P
l
(v/v
T
) are Legendre polynomial (spherical velocity space an-
gular) functionals [ 1, v/v
T
, (vv (v
2
/3)I)/(2v
2
T
/3) for l = 0, 1, 2 ], the
L
(l+1/2)
n
(x) are (energy functional) Laguerre polynomials with arguments x
mv
2
/2T = v
2
/v
2
T
, and Y
lm
(, ) are the usual spherical harmonics that are
proportional to P
m
l
(cos) e
im
. Useful properties of these special functions are
given in B.5 and B.6. The lowest order parameters of this expansion, which
are the
_
d
3
v P
l
(v/v) L
(l+1/2)
n
moments of the distribution function, correspond
physically to: the density (m
3
), ow velocity (m/s) and temperature (eV)
distortions n, V and T away from their equilibrium Maxwellian values of
n
0
, V
0
and T
0
; the heat ow vector q (W/m
2
), since V
1
2q/5nT; and
the traceless anisotropic part (N/m
2
) of the pressure tensor [see (A.95) be-
low], which has 5 nonvanishing parameters and is sometimes called a kinetic
stress tensor. An approximation in which the moments n, V, T, q and
(= 1 + 3 + 1 + 3 + 5 = 13 moments) are used to represent f is usually called a
Grad 13 moment approximation.
Often one desires a reduced, uid moment description which integrates the
kinetic equation over velocity space to obtain equations for the physical quan-
tities of density, ow velocity and temperature:
density (m
3
): n(x, t) = n
0
+n
_
d
3
v f, (A.87)
ow velocity (m/s): V(x, t) = V
0
+V
_
d
3
v v f/n, (A.88)
temperature (eV): T(x, t) = T
0
+T
_
d
3
v [m(v V
2
)/3] f/n. (A.89)
The relevant uid moment equations for these quantities are obtained by taking
the relevant velocity-space moments [i.e., the (v) in (A.82)] of the kinetic
DRAFT 11:16
equation in (A.77) using the Boltzmann collision operator in (A.81) and the
conservation properties in (A.82), to obtain
density equation:
n
t
+ nV = 0, (A.90)
momentum equation: mn
dV
dt
= n
F p , (A.91)
energy equation:
3
2
n
dT
dt
+pV = q : V, (A.92)
where
d
dt

t
+V, total time derivative, (A.93)
is the total (partial plus ow-induced advection
4
) time derivative that is some-
times called the material derivative, and

F is the average of the single particle
force F over a Maxwellian distribution. The higher order moments needed for
closure (complete specication) of these equations are
pressure (N/m
2
): p
_
d
3
v
_
m
3
[v
r
[
2
_
f = nT, (A.94)
conductive heat ux (W/m
2
): q
_
d
3
v v
r
_
m
2
[v
r
[
2
5 T
2
_
f, (A.95)
stress tensor (N/m
2
):
_
d
3
v m
_
v
r
v
r
1
3
[v
r
[
2
I
_
f, (A.96)
=
_
d
3
v mv
r
v
r
f p I P p I
in which v
r
vV(x, t) is the relative velocity in the frame of reference moving
at the macroscopic ow velocity V. Note also that q = T
_
d
3
v v
r
L
(3/2)
1
f. The
total heat ux Q
_
d
3
v (m[v
r
[
2
/2)v
r
f is the sum of the conductive heat ux
and the convective heat ux: Q q + (5/2)nTV.
The Chapman-Enskog procedure is used to obtain the needed closure rela-
tions for collision-dominated situations in which the gas density varies slowly
in space (compared to the collision mean free path v/) and time (com-
pared to the collision time 1/). Then, the lowest order kinetic equation that
describes the distribution function is given by (A.83). Its solution is
f
CE
0
= f
M
(x, v, t) n(x, t)
_
m
2 T(x, t)
_
3/2
exp
_
[v V(x, t)[
2
2 T(x, t)
_
,
dynamic Maxwellian, (A.97)
which is the usual Maxwellian, but now parameterized in terms of the (total)
spatially and temporally varying density, ow velocity and temperature. The
4
In uid mechanics advection means transport of any quantity by the uid at its ow
velocity V; convection refers only to the heat ow qconv = (5/2) nTV induced by V.
DRAFT 11:16
conductive heat ux q and anisotropic stress vanish for f
CE
0
. Thus, in order
to determine these needed closure relations, it is necessary to determine the rst
order distortion of the distribution function: f f f
CE
0
. (Note that, by
construction, since the total density n ow velocity V and temperature T are
built into f
CE
0
, the density, momentum and energy moments of f vanish:
_
d
3
v f = 0,
_
d
3
v mv f = 0,
_
d
3
v (mv
2
/2) f = 0, C-E consraints.
(A.98)
The kinetic equation for f is obtained by substituting the denition f =
f
CE
0
+f into (A.77), making use of the density, momentum and energy con-
servation equations to remove the dependences on n/ t, V/ t and T/ t.
Neglecting higher order corrections that are inversely proportional to the colli-
sion frequency, the result is
(
B
(f)
__
m[v
r
[
2
2T

5
2
_
v
r
_
1
T
T
_
+
m
T
W:
_
v
r
v
r
[v
r
[
2
3
I
__
f
CE
0
,
(A.99)
in which, as above, v
r
v V(x, t), and
W
1
2
_
V+ (V)
T
1
3
I (V) , rate of strain tensor, (A.100)
which is caused by gradients in the ow velocity V and has units of per sec-
ond. The normalized temperature gradient ln T and rate-of-strain tensor W
are called thermodynamic forces because they induce distortions f of the
distribution function away from a dynamic Maxwellian and hence away from
thermodynamic equilibrium. Note that beacause of the invariants of the Boltz-
mann collision operator given in (A.82), a proper solution of (A.99) for f will
satisfy the Chapman-Enskog constraints in (A.98).
The Boltzmann collision operator needs to be specied in detail in order
to properly solve (A.99). However, the nature of the solution for f can be
exhibited by using an approximate collision model:
(
K
(f) = f (f f
CE
0
), Krook-type collision operator
(A.101)
in which
nv, collision frequency, (A.102)
where the overbar indicates the reaction rate v has been averaged over a
Maxwellian distribution. Using this collision operator in (A.99), solving for
f and using the denitions in (A.95) and (A.96) yields the needed closure
(constituitive) relations for the uid moment equations (A.90)(A.92):
q =
m
T,
m
n
m
,
m
=
5
4
v
2
T
=
5
4

2
, conductive heat ux,
(A.103)
DRAFT 11:16
which is in the form of a Fourier law for the heat ux and
= 2
m
W,
m
=
1
2
nm
v
2
T
=
1
2
nm
2
, viscous stress, (A.104)
in which
v
T
/, collision mean free path, (A.105)
has been dened for thermal molecules. In these closure relations,
m
is the
heat conduction coecient,
m
is the heat diusivity and
m
is the viscosity
coecient. The superscript m on the various coecients indicate that they
arise from the micoscopic (molecular) processes of discrete collisions in the gas.
Equations (A.103) and (A.104) give the thermodynamic uxes q, induced
by the thermodynamic forces T, W. If the appropriate Boltzmann collision
operator is used instead of the approximate Krook-type model of (A.101), the
scaling of the
m
,
m
, and
m
molecular diusion coecients with collision
frequency and thermal speed remains the same; however the numerical factors
in (A.103) and (A.104) change slightly.
The reference cross section for atomic and molecular collisions is
0

a
2
0
10
20
m
2
in which a
0
is the Bohr (atomic) radius (A.154). For standard
temperature and pressure (STP) air at the earths surface, the average cross
section for molecular collisions is 40
0
4 10
19
m
2
, the density is n
n

2.5 10
25
m
3
, and the thermal speed is v
T
300 m/s. Thus, for standard air
nv
T
310
9
s
1
, v
T
/ 10
7
m, and
m
/nm
2
/2 1.510
5
m
2
/s,
m
(5/2)(
m
/nm).
The Chapman-Enskog analysis is valid as long as the collision mean free
path is short compared to the gradient scale lengths (i.e., [ln T[ << 1,
[V[/[V[ << 1) and temporal variations are slow compared to the collision
time [e.g.,
1
( ln n/t) << 1]. Substituting the closure relations given in
(A.103) and (A.104) into the momentum and energy conservation equations
yields (neglecting for simplicity the small eects due to gradients of the transport
coecients
m
and
m
):
mn
dV
dt
= n
F
_
p

m
3
V
_
+
m
2
V, (A.106)
3
2
dT
dt
+T(V) =
m
2
T + 2

m
n
[W[
2
. (A.107)
The diusive components of these equations indicate that the molecular diu-
sion coecients for momentum (viscous) and heat diusion are
m
/nm and
m
,
both of which scale as
2
and have units of m
2
/s. A physical interpretation of
the processes and parametric scalings that underly these diusion coecients
are given in the next section.
An equation can also be developed for the evolution of the collisional entropy
s which is dimensionless and is dened in kinetic theory for f f
CE
0
by
s
1
n
_
d
3
v f ln f = ln
_
T
3/2
n
_
+ constant, collisional entropy. (A.108)
DRAFT 11:16
Note that this entropy is the negative of the Boltzmann H
B
function [see (A.85)]
and yields the same result as that obtained from equilibrium statistical mechan-
ics [see (A.76)]. Taking the total time derivative of this equation yields, upon
substituting in (A.90) and (A.92),
nT
ds
dt
=
3
2
n
dT
dt
T
dn
dt
= T
_
(ns)
t
+ (nsV)
_
= q :V, entropy evolution. (A.109)
Alternatively, since the ow of entropy density (entropy ux) is nsV + q/T,
after using the density conservation relation (A.90) and the rate-of-strain tensor
denition (A.100),
(ns)/t + (nsV+q/T) = (1/T) [ q ln T + : W] (A.110)
in which represents the rate of entropy production due to dissipative (irre-
versible) processes, which is positive denite and caused by the thermodynamic
uxes q, owing in response to the thermodynamic forces ln T, W.
For the closure relations given in (A.103) and (A.104) the entropy produc-
tion rate simplies to (again neglecting gradients in the transport coecients
m
,
m
):
= n
m
[ln T[
2
+ 2
m
[W[
2
, entropy production rate. (A.111)
Thus, entropy is produced by the microcopic collisional processes that diusively
relax the gradients of the temperature and ow velocity in the gas. The entropy
production rate is small under the Chapman-Enskog approximations (large ,
small = v
T
/): ds/dt
2
[ln T[
2
<< if heat conduction eects are
dominant, or ds/dt
2
[V[
2
/v
2
T
<< if viscous ow damping is domi-
nant. Hence, for processes that are rapid compared to the collisional entropy
production rate and where the entropy ow induced by the conductive heat
ux q is negligible (e.g., in a constant temperature gas), it is sucient to use
the adiabatic or isentropic (i.e., non-dissipative, constant entropy) equation
of state for an ideal gas obtained from setting ds/dt = 0:
d
dt
ln
_
T
3/2
n
_
=
d
dt
ln
_
p
3/2
n
5/2
_
= 0 =
p
n
= constant,
isentropic (adiabatic) equation of state, (A.112)
where is 5/3 for the three-dimensional system being considered, but in general
is given by = (N + 2)/N in which N is the number of degrees of freedom in
the system. [In thermodynamics c
P
/c
V
is the ratio of the heat capacity
( u/T) at constant pressure to that at constant volume.] Note that for a
constant density gas of volume V = 1/n, (A.112) becomes the familiar equation
of state for an ideal gas: pV
= constant. The adiabatic or isentropic equation

of state can be used in place of the energy balance equation (A.92) or (A.107)
for studies of rapid, isentropic processes because there is no signicant entropy
production or heat ow for such processes.
DRAFT 11:16
Most of the previously noted standard textbooks on statistical mechanics
provide intermediate level descriptions of the kinetic theory of gases. Advanced
level textbooks and monographs that deal specically with the kinetic theory
of gases include:
Chapman and Cowling, The Mathematical Theory of Non-Uniform Gases (1952)
[?]
H. Grad, Principles of the Kinetic Theory of Gases, in Handbuch der Physik,
Volume 12 (Springer-Verlag, Berlin, 1957) [?]
R. Herdan and B. S. Liley, Dynamical Equations and Transport Relationships
for a Thermal Plasma, Rev. Mod. Phys. 32, 731 (1960). [?]
A.5 Stochastic Processes, Diusion
The heat and momentum diusion produced by the collision-induced random
steps or motions of molecules in a gas can be understood in terms of a stochastic
or random walk process. Such processes are often called Brownian motion (after
a botanist Robert Brown who, in 1827, observed irregular motions of small
colloidal size particles immersed in a uid), or more formally a Marko process
(no memory of previous history or steps).
For a simple one-dimensional mathematical model of the random walk pro-
cess, assume that between collisions (or another random process) a molecule
moves a distance x in a random direction (to the right or left) in a time t.
For such a process the position x
n
of a molecule after the n
th
step is related to
the position x
n1
after the previous step by
x
n
= x
n1
+R
n
x (A.113)
in which R
n
is randomly 1. Using this mapping equation as a recursion rela-
tion, one nds that after N random steps the dierence of the nal position x
N
from the initial position x
0
becomes
x
N
= x
0
+ x
N
n=1
R
n
. (A.114)
In the limit of a large number N of random steps one obtains:
lim
N
x
N
x
0
Nx
= lim
N
[
n
R
n
[
N
= lim
N
O(1)
N
= 0, (A.115)
because R
n
is randomly 1. Thus, after a large number N of random steps
the average position of a molecule does not deviate much (<< Nx) from its
initial position x
0
.
However, as illustrated in Fig. A.2, the random steps do have an eect:
they cause such molecules to wander randomly in the x direction, to ever larger
distances from x
0
as the number N of random steps increases. Thus, after a large
number of random steps the position of a molecule is described by a probability
DRAFT 11:16
Figure A.2: Illustration of the random walk process of molecules stepping a
distance x randomly to larger or smaller x for a total of N = [t/t] steps: a)
an example of a detailed particle trajectory; b) distribution of particle positions
over the N steps. The smooth dashed curves represent the N analytic
formulas given in (A.117) and (A.122) with = 4Dt x
2N.
distribution peaked at the initial position x
0
with a spatial spread that increases
with N and a peak magnitude that decreases with N see Fig. A.2.
To quantify the spatial spreading eect, and hence the width of the proba-
bility distribution, one uses the rst form of (A.114) to calculate the square of
the dierence of the nal from the initial spatial position:
(x
N
x
0
)
2
= (x)
2
_
N
n=1
R
n
_
2
= (x)
2
_
_
N
n=1
R
2
n
+
N
i=1
R
i
N
n=i
R
n
_
_
. (A.116)
In the limit of a large number N of random steps, the mean spread is given by
lim
N
(x
N
x
0
)
2
N(x)
2
= lim
N
1
N
_
_
N
n=1
R
2
n
+
N
i=1
R
i
N
n=i
R
n
_
_
= lim
N
N +O(1)
N
= 1,
(A.117)
because R
2
n
= (1)
2
= 1. Hence, the average square of the spatial spreading
after a large number N of random steps (or a time t = Nt) will be given by
(x
N
x
0
)
2
N(x)
2
= t
(x)
2
t
, or
d (x
N
x
0
)
2
dt

(x)
2
t
. (A.118)
In summary, a random walk process produces a spatial spreading, which is called
stochastic diusion or simply diusion, of molecules about their initial position,
but no net motion of the average position of the molecules.
DRAFT 11:16
However, in an inhomogeneous medium there is, on average, a net motion
or ux of particles. The particle transport ux produced by a large number
of molecules undergoing such random walk processes in a neutral gas with a
spatially varying density n = n(x) can obtained as follows. In a time t the
plane x = x
0
will be traversed by the half (on average) of the molecules that
experience collisions in the layer between x
0
x and x
0
, and which are moving
to the right (+). Thus, the ux ( nV = ndx/dt) of molecules moving to the
right is
+
=
1
2
_
x0
x0x
n(x)
dx
t
=
x
2t
_
n(x
0
)
x
2
dn
dx
x0
+
_
in which the density n(x) has been expanded in a Taylor series about x
0
. Sim-
ilarly, the ux of molecules moving through the x = x
0
plane to the left ()
is
=
1
2
_
x0+x
x0
n(x)
dx
t
=
x
2t
_
n(x
0
) +
x
2
dn
dx
x0
+
_
.
The net particle ux is the dierence between these two uxes:
=
+
= D
dn
dx
x0
, Ficks diusion law. (A.119)
For the simple model being considered D is given by
D =
(x)
2
2 t
, diusion coecient, (A.120)
which has units of m
2
/s. Thus, the diusion coecient D is half the rate of
spatial spreading for a random walk process see (A.118).
The natural step size x for the motion of molecules between collisions in
a neutral gas is , the collision mean free path. The characteristic time t
between collisions of molecules is 1/. Thus, one infers from (A.120) that the
scaling of diusivities induced by molecular collisions should be D
2
, which
was what was obtained in (A.103) and (A.104) in the preceding section. In a
monoatomic neutral gas there are heat and momentum diusivities but there is
no particle diusivity (or particle ux ) because, while two colliding molecules
exchange energy and momentum during the molecular collisions, the density of
molecules is usually unchanged as a result of the collisions.
In more realistic situations dierent molecules may have dierent x and
t values; then one must take an appropriate average and D = (x)
2
)/(2t).
Since the parametric scaling of the diusion coecient is quite general, but ap-
propriate averages are often dicult to formulate or evaluate for various physical
processes, the expression for D in (A.120) is mostly used to infer the scaling
of the diusion coecient with physical parameters. Then, kinetic calculations
are used to obtain the relevant numerical coecients the headache factors.
DRAFT 11:16
In the presence of this random walk process induced by molecular collisions,
the equation for the density n(x, t) [see (A.90] becomes n/t +(nV
x
)/x = 0.
Using the Ficks diusion law (A.116) for nV
x
= yields a one-dimensional
diusion equation:
n
t
=

x
D
n
x
, diusion equation. (A.121)
To illustrate the properties of solutions of this equation, imagine that a small
number N of molecules are added to the medium at the position x
0
: n(x, 0) =
N(xx
0
). After a short time, the appropriate (Green-function-type) solution
of (A.121) is
n(x, t) = N
e
(xx0)
2
/4Dt
4Dt
, short-time diusive distribution, (A.122)
as can be veried by direct substitution. Note that this distribution of particles
has the desired properties for a random walk process and represents it well in
the N limit see Fig. A.2b. In particular, it is peaked at x = x
0
and
spreads spatially and decreases in magnitude as time progresses. In a time t
(assumed >> t) the average spreading of the molecules in the x direction is
(x x
0
)
2
dx(x x
0
)
2
n(x, t)
_
dxn(x, t)
= 4Dt
_
0
dy y
2
e
y
2
_
0
dy e
y
2
= 2Dt =
(x)
2
t
t
(A.123)
in which y (x x
0
)/
4Dt and the integrals have been evaluated using (??).

Note that this rate of spatial spreading of the density agrees with that inferred
above for the random walk process of a molecule (A.118).
The Gaussian character of this distribution can be emphasized by writing
the short time diusive density response in (A.122) in the form
n(x, t) = N
e
(xx0)
2
/
2
4Dt. (A.124)
In this form one readily sees from (??) that in the t 0 limit the solution
becomes a delta function (see Section B.2) at x = x
0
: lim
t0
n(x, t)=N (x
x
0
), which was the initial condition. Also, in terms of the root mean square
spatial spread becomes simply
x
rms

_
(x x
0
)
2
_
1/2
=

2Dt =

2
= x
_
t
t
= x
N,
root mean square spatial spread. (A.125)
The last result shows that, as indicated in Fig. A.2, the spatial spreading is
proportional to the square root of the number of random walk steps.
DRAFT 11:16
Using these formulas, note also that the average time t required for molecules
to diuse a distance x x x
0
from the initial position x
0
is
t
(x)
2
2 D

_
x
x
_
2
t, time to diuse a distance x. (A.126)
Hence, the time t required to diuse a short distance x is the product of the ba-
sic random walk time t times (x/x)
2
the square of the number of random
walk steps x in the distance x to be traversed. This quadratic dependence
of the spreading time on the spreading distance is an intrinsic property of dif-
fusive processes. As a caveat on this analysis, note that the solution (A.122)
is only valid for short times: t < L
2
n
/D (L
n
/x)
2
t so the background
medium density and diusion coecient are reasonably constant over the dis-
tance /
2 =
2Dt = x
_
t/t that typical particles spread over in the time
t [i.e., (/n)(dn/dx) /L
n
<< 1 and (/D)(dD/dx) << 1].
In a nite box, as time progresses molecules eventually diuse to the bound-
aries of the box where it will be assumed the molecules are absorbed. The
question then becomes: what is the average connement time for molecules in
the box? Assume for simplicity that: the diusion coecient is constant in
space; a one-dimensional treatment is sucient; N molecules are inserted at
the center (x = 0) of a box of width 2L (assumed >> x = ) at time t = 0;
and the density of molecules vanishes at the box boundaries (x = L). Then,
the solution of the diusion equation (A.121) for this boundary value problem
can be shown (by separation of variables, expansion in sinusoidal eigenfunctions)
to be
n(x, t) =
N
L
j=0
e
t/j
cos
_
j
x
L
_
, with
j

(2j + 1)
2
,
j

L
2
2
j
D
. (A.127)
For short times (t <<
0
) the box boundaries at x = L are unimportant
and this solution reduces to (A.124), which is a more convenient form then.
For intermediate times (t
j
) the sinusoidal eigenfunctions (up to at least
2j) must be summed to obtain the response. In the time asymptotic limit
(t >
0
>
1
>
2
) the lowest order eigenmode solution dominates:
n(x, t)
t>0
N
L
e
t/0
cos
_
2
x
L
_
. (A.128)
Thus, an average connement time for molecules in the box can be identied
as
0

L
2
2
0
D
=
L
2
(/2)
2
D

L
2
2.5D
, connement time. (A.129)
Note that upon using D = (x)
2
/2t one obtains
0
= (2/
2
0
)(L/x)
2
t,
which quanties (for this specic case where x L, t
0
) the headache
factors in the scaling relation (A.126). For cylindrical, spherical boxes the
DRAFT 11:16
eigenfunctions are Bessel, spherical Bessel functions and the lowest order eigen-
values are
0
2.405,
0
= , respectively. Then, using a as the radius of the
box, one obtains connement times of
0
a
2
/6D, a
2
/10D for cylindrical,
spherical systems, respectively.
Many of the references noted at the end of the two preceding sections have
discussions of random walk (Brownian motion) and stochastic diusion pro-
cesses. The classic and ageless reference for such processes is:
S. Chandrasekhar, Stochastic Problems in Physics and Astronomy, Rev. Mod.
Phys. 15, 1 (1943). [?]
A.6 Fluid Mechanics
The equations of hydrodynamics used to describe the behavior of a uid are
the uid moment equations obtained from the kinetic theory of gases (A.90),
(A.91) and (A.112). However, they are usually modied by writing them in
terms of the mass density
m
nm, which has units of kg/m
3
:
mass continuity equation:

m
t
+
m
V = 0, (A.130)
Navier-Stokes equation:
m
dV
dt
=
m
F
m
p
+
m
2
V, (A.131)
(momentum balance)
isentropic equation of state:
d
dt
ln
_
p
m
_
= 0, (A.132)
in which p
p (
m
/3)V. (The equation of state is often called the
adiabatic equation of state in hydrodynamics.) In these equations d/dt is the
total time derivative taking account both of the direct temporal derivative and
the eects of the advection by the ow velocity V in the uid:
d
dt

t
+V, total time derivative. (A.133)
For gases or liquids in the earths atmosphere the relevant force on molecules
is the gravitational force, which is a conservative force:
F
G
= F
G
= mV
G
mg e
x
mg, gravitational force, (A.134)
where V
G
= M
E
G/R is the gravitational potential. In the last expression use
has been made of the fact that near the earths surface (x R R
E
<< R
E
,
radius of the earth) one has V
G
(M
E
G/R
2
E
)(R
E
x + ). Also, here,
g (M
E
G/R
2
E
) 9.81 m/s
2
is the gravitational acceleration at the earths
surface.
The velocity ow eld V can in general be decomposed into parts repre-
sentable in terms of scalar, vector potentials , C (see Section D.5):
V = +C, potential representation of a ow eld. (A.135)
DRAFT 11:16
The scalar potential part represents the longitudinal, irrotational or compress-
ible part of the ow since V = =
2
. The vector potential
part is incompressible since C = 0. However, this component represents
rotation or vorticity
5
(units of s
1
) in the ow:
V = (C), vorticity. (A.136)
The properties of sound waves in a uid can be illustrated by considering
compressible perturbations of air in the earths atmosphere. The equilibrium
pressure distribution is determined from the hydrostatic force balance equi-
librium, which is the equilibrium (/t = 0) and small viscosity limit of the
Navier-Stokes equation that in the absence of equilibrium ows (V
0
= 0) be-
comes simply:
0 =
m0
V
G
p
0
.
Assuming for simplicity that the temperature T is constant, taking x to be
the vertical distance above the earths surface, and using p = nT =
m0
T/m
(Boyles law for this situation), the hydrostatic equilibrium becomes
0 =
m0
g
T
m
d
m0
dx
=
m0
(x) =
m0
(0) e
mgx/T
,
law of atmospheres. (A.137)
Thus, in equilibrium the density of air decreases with distance above the surface
of the earth on a scale length of T/mg = v
2
T
/2g 10
4
m.
To exhibit the properties of sound waves consider perturbations of the com-
pressible air in this equilibrium:
m
=
m0
+
m
, V =

V, p = p
0
+ p, perturbed equilibrium, (A.138)
in which the tilde over a quantity indicates the perturbation in that quantity.
Substituting these forms into the uid equations (A.130)(A.132) yields, upon
neglecting the eect of gravity for simplicity and linearizing the equations (i.e.,
neglecting all quantities that are quadratic or higher order in the perturbations):

m
t
+
m0
V+

V
m0
= 0,
m0

V
t
= p +
m
2

V, p = c
H
S
2

m
where
c
H
S

_
p
0
/
m0
=
_
T/m, hydrodynamic sound speed, (A.139)
which is typically about 340 m/s at the earths surface. Note that for a neutral
gas c
H
S
=
_
/2 v
T
. For an equilibrium that is approximately homogeneous
over the collision mean free path ([ln
m0
[ << 1), a perturbed density
5
A physical example of vorticity is the circular ow of water around a drain in a bathtub
as it is being emptied.
DRAFT 11:16
response
m
exists only for compressible perturbations (
V ,= 0). For such

perturbations these equations can be combined to yield
2

m
t
2

_
c
H
S
2

m
2

V
_
= 0.
Considering perturbations that are localized relative to the scale length of the
equilibrium density gradient so that the c
H
S
2
and
m
terms can be neglected,
but longer scale than the collision mean free path (typically 10
7
m for air at
the earths surface) so the viscosity can be neglected (i.e., c
H
S
2
/g 10
4
m >>
perturbation scale length >> 10
7
m), this equation becomes simply
2

m
t
2
c
H
S
2
2

m
= 0, sound wave equation. (A.140)
Thus, density perturbations compress (
V < 0) and rarefy (
V > 0) the
uid as they propagate through it adiabatically (with negligible entropy pro-
duction) at the sound speed c
H
S
dened in (A.139).
To exhibit the properties of the most fundamental type of uid instabilities,
the Rayleigh-Taylor (R-T) instabilities, consider perturbations of nearly incom-
pressible liquids, in a case where a heavy liquid is above a lighter liquid and
the two uids are immiscible. For incompressible (
V 0) perturbations the
linearized continuity equation becomes

m
t
=

V
m0
, advective response, (A.141)
which indicates the change in local mass density caused by a perturbed ow
in the direction of the gradient in the equilibrium mass density. Combining
this advective response with the partial time derivative of the linearized Navier-
Stokes equation yields
m0
2

V
t
2
=
_
V
m0
_
V
G
p
t
.
Taking the curl of this equation to eliminate the perturbed pressure gradient and
hence the coupling to sound waves, and neglecting gradients in the equilibrium
compared to those in the perturbations (
m0
V >>
m0
V) and viscosity
eects (valid for perturbation scale lengths long compared to the collision mean
free path ), yields for the perturbed ow vorticity
V:
m0
2

t
2
=
_
V
m0
_
V
G
.
Considering a coordinate system where x is directed vertically upward and y, z
are in a plane parallel to the earths surface, and assuming wavelike pertur-
bations of the type

V =
C = e
z
C
z
, in which

C =

C
z
e
z
,

C
z

exp(ikx it) with k
x
<< k
y
is a stream function [see (??,??)], so that
= e
z
C
z
e
z
k
2
y

C
z
, yields an equation for the perturbation frequency:
2
V
G
ln
m0
= g
m
. (A.142)
DRAFT 11:16
When V
G
m0
< 0 (light liquid above heavy liquid since V
G
g is
upward),
2
is positive and two benign, oscillating waves occur. (Adding vis-
cosity eects causes the waves to be damped.) However, when a heavy liquid is
placed over a light liquid (V
G
m0
= g
m0
> 0) the
2
< 0 indicates
complex conjugate roots, one of which will be growing exponentially in time at
rate:
1m (g ln
m0
)
1/2
, R-T instability growth rate (A.143)
This is the Rayleigh-Taylor (or interchange) instability by which the interface
region between the upper heavy uid and the lower lighter uid develops growing
undulations that lead ultimately to interchange of the positions of the heavy and
light uids.
The overall process of the interchange of the two uids can be thought of
as consisting of the following steps. First, thermal uctuations excite a modest
undulation of the boundary between the two liquids. If the heavy uid is on top,
this spontaneous perturbation grows exponentially in time at the rate indicated
by (A.143). The undulations grow to a large amplitude where the linearization
procedure used to derive (A.142) becomes invalid. Lagrangian coordinates (i.e.,
coordinates that follow particular uid elements as they move rather than the
usual xed position Eulerian ones) can be used to explore the growth of the
structures into the slightly nonlinear regime. However, ultimately the vortex-
like collective motions of the uids become highly nonlinear, very contorted and
large enough to encounter adjacent vortices and/or the boundaries of the regions
occupied by the uids. Then, turbulence in the uid develops and it cascades
the large vortices into smaller ones, turbulently mixing the two uids until the
heavier one is on the bottom.
In order to describe the behavior of the vortices as they evolve nonlinearly
toward the turbulent state, consider the total time derivative of the circulation
C
K

_
C
d V in the rotational part of the ow V, which is responsible for the
vortex, over the closed curve C within the uid:
dC
K
dt

d
dt
_
C
d V =
d
dt
__
S
dS V
=
__
S
dS [(/t +V) (V)] +
__
S
(dS/dt) V
=
__
S
dS (V/t) [V(V)]
=
__
S
dS [/t (V)] (A.144)
in which use has been made of Stokes theorem (??), S is the open surface
bounded by the closed curve C that moves with the encompassed uid, dS/dt =
(V)dS V dS [see (??)], and the vector identity in (??) has been used.
Dividing the Navier-Stokes equation (A.131) with a conservative force F by
m
DRAFT 11:16
and taking its curl to obtain an equation for V/t yields, after making
use of (??):
dC
K
dt
=
__
S
dS
_
1
2
m
_
p

m
3
(V)
_
+
2
V
_
. (A.145)
For an adiabatic equation of state (A.132), p
m
and hence
m
p = 0.
Thus, the circulation C
K
is constant in time, except for the dissipative eects
due to viscosity that are small for all but very short scale lengths of the order of
the collision mean free path because
m
/
m

2
. Thus, on most relevant
scale lengths
dC
K
dt
= 0 for
m
0, Kelvins circulation theorem, (A.146)
for inviscid (zero viscosity) uids.
What this theorem shows is that a vortex tube moves with (or is frozen
into) the uid as it evolves, and that the amount of circulation C
K
in the ow
eld V remains constant except for the eects of viscosity, which becomes
important in boundary layers near the edge of the uid or at the edge of vortices
that come close to other vortices. However, the derivation relied on the use of
Stokess theorem, which required that the topology of the closed curve C be
continuous and that it remain so. Thus, the invariance of C
K
could be broken
by nonlinear interactions between vortex structures that break or reconnect the
topology by causing the bounding curve C, which is expected to always move
with the uid and encompass the same vorticity ux
__
S
dS V, to become
discontinuous. To the extent that the topology of the surfaces of vorticity ux
remains intact there is no motion (or transport) of uid relative to these surfaces.
However, the ux surfaces of the vorticity can distort in shape as they move
around in the uid. Thus, vortex tubes or eddies are relatively robust objects
in low viscosity uids.
The nonlinear evolution and interactions of vortices in a uid are governed
by the vorticity evolution equation
t
= (V) (V) +

m
2
(A.147)
or,
d
dt

_

t
+V
_
= V+

m
2
. (A.148)
These equations are obtained by taking the curl of (A.131), which eliminates the
coupling to sound waves, and assuming for simplicity that the mass density is
constant. The (V) term in (A.147) represents the advection of the vor-
ticity vector by the ow velocity V as indicated by the last line of (A.144).
The V term on the right of (A.148) represents vortex tube stretching by
gradients in the velocity ow; it vanishes for two-dimensional ows. In three-
dimensional ows the vortex tube stretching term reduces the area of a vortex
DRAFT 11:16
but also increases its vorticity to keep the vorticity ux C
K
constant as
required by Kelvins circulation theorem.
The ratio of the nonlinear advection of vorticity [(V), a nonlinear
inertia term] to the viscous dissipation of vorticity (
m
2
) is
Re =
(V)
(
m
/
m
)
2

m0
V
0
L
0
m
, Reynolds number, (A.149)
in which V
0
, L
0
are typical ow speeds and gradient scale lengths in the uid.
When the vorticity evolution equation is written in terms of dimensionless vari-
ables, the reciprocal of the Reynolds number is the only dimensionless parameter
in the equation as the coecient of the viscous dissipation term. For example,
for incompressible ows (i.e., ones that do not excite sound waves and are dom-
inated by vorticies), Eq. (A.147) can be written in terms of the dimensionless
variables

t (V
0
/L
0
)t,

V V/V
0
, and

L
0
as
t
=

(
V) +
1
Re
2
. (A.150)
Thus, all incompressible ows with the same Reynolds number and the same ow
geometry will have the same ow properties. At low Reynolds numbers (Re
<
1)
the ow is laminar. For not too large Reynolds numbers vortex structures
induced by the particular geometrical situation (e.g., ow past a xed body)
tend to dominate the ow pattern. For high Reynolds numbers (Re
>
10
3
) the
nonlinear vorticity advection overwhelms the viscous dissipation and the ow
becomes turbulent.
In fully developed turbulence (Re >> 10
3
) there is a cascade of energy
from macroscopically-induced large-scale vortices through nonlinear interactions
of turbulent eddies of successively smaller dimensions until the scale lengths
become so small that the energy in the eddies is viscously dissipated. (The
eective Reynolds number is close to unity for the dissipative scale eddies.)
Since the dominant eddy interaction term is the vortex stretching term Vin
(A.148), successive generations of the turbulent eddies become longer, thinner
and have larger vorticities. Thus, the mean square vorticity, which is known as
the enstrophy ( [[
2
), increases during the cascade.
For suciently large Reynolds numbers there is a large inertial range of
spatial scale lengths for which the vortex interactions are predominantly non-
linear (i.e., where the large-scale stirring and small-scale viscous dissipation
eects are negligible). In the inertial range the turbulent eddies are self-similar
(i.e., of the same structure, independent of scale size, from one generation to the
next one). The energy ow per unit mass = (V)(V
2
/2) from one wavenum-
ber range k to the next smaller one can be estimated by
k
kV
3
k
V
2
k
/
k
in which
k
(kV
k
)
1
is the turbulent decorrelation or eddy turnover time
at a given k. Since energy is input via stirring at large scales and dissi-
pated at small scales, in steady-state the energy transfer rate from one scale
to the next smaller one in the inertial range must be nearly constant. Thus,

k
V
3
0
/L
0
, a constant for a given externally driven situation, and hence
DRAFT 11:16
V
k
( /k)
1/3
. The energy E(k) in the turbulent uctuations between k and
2k is given approximately by
_
dk E(k) k E(k) V
2
k
or E(k)
2/3
k
5/3
,
which is the Kolomogorov spectrum for turbulence within a large inertial range.
The successively smaller scale eddies have smaller velocities and energies, but
larger vorticity and faster turnover rates [
k
(kV
k
)
1
( k
2
)
1/3
] to keep
the energy ow rate in k-space constant.
In the inertial range the turbulent eddies lose their momentum on a mixing
length scale
k
V
k
k
1/k. This leads to a Prandtl mixing length esti-
mate for the eective diusion coecient [cf., (A.120)] for turbulent viscosity
in the uid of D
e

e
/
m

2
k
/
k

1/4
/k
4/3
. However, this turbu-
lent mixing is actually dissipationless; all it does is transfer the momentum
and energy to shorter scale lengths. Eventually, the eddies reach the (Kolo-
mogorov) dissipation scale k
1
d
at which 1/
k
d
(
m
/
m
) k
2
d
, which yields
k
d

1/4
/(
m
/
m
)
3/4
(Re)
3/4
/L
0
.
Because the eects of viscosity are negligible in the inertial range and because
the viscous dissipation scale length is so short [k
1
d
L
0
/(Re)
3/4
<< L
0
], it
is tempting to neglect it entirely. However, while its eects can be neglected
for inertial range scale lengths (1/L
0
<< k << k
d
), it must be retained in
general because it: 1) increases the order of the dierential equation governing
vorticity; 2) is important in boundary layers near material objects and other
nearby vortices; and, 3) most importantly for computer simulation, provides
the only energy sink (at high k) for turbulent uctuations in a neutral uid.
Most of the previously noted standard textbooks on mechanics, statistical
mechanics and kinetic theory of gases contain introductory or intermediate level
descriptions of uid mechanics. Advanced level monographs and textbooks that
specically deal with uid mechanics include:
Batchelor, Introduction to Fluid Dynamics (1967) [?]
Tennekus and Lumley, A First Course in Turbulence (1972) [?].
A.7 Quantum Mechanical Eects
The fundamental concept in quantum mechanics is that, owing to the wavelike
nature of particles on small scale lengths, a particles position q and canonically
conjugate momentum p cannot simultaneously be known to arbitrarily high ac-
curacy. Rather, the product of the uncertainties in the position and momentum,
q and p, respectively, must be Plancks constant or greater:
p q h, Heisenberg uncertainty principle. (A.151)
This relation shows the limit of applicability of mechanical causality. The un-
certainty principle holds for any pair of canonically conjugate variables. Thus,
it applies for energy and time, which for conservative systems are canonically
conjugate variables (p = H = and q = t), as well:
t h. (A.152)
DRAFT 11:16
By Heisenbergs uncertainty principle, the position of a nonrelativistic particle
moving with velocity v in a force-free region (so that its canonical momentum
p is simply mv) cannot be known to within
h
= h/mv, de Broglie wavelength. (A.153)
In the Bohr model of the hydrogen atom an electron gyrates at constant
radius a
0
around the proton nucleus of the atom. Since the rotational angle is
a symmetry coordinate and hence totally uncertain, the Heisenberg uncertainty
principle requires that the canonically conjugate action J be quantized to integer
multiples (n) of Plancks constant:
J =
_
p dq =
_
p
d = 2 m
e
a
2
0
0
= nh
in which the angular momentum p
m
e
a
2
0
0
where
0
d/dt is the con-
stant rotation frequency. The equilibrium radial force balance between the
electric eld force e
2
/(4
0
a
2
0
) and the centripital acceleration force m
e
a
0
2
0
on the electron yields the equation
e
2
4
0
a
2
0
= m
e
a
0
2
0
.
Solving these two simultaneous equations for a
0
in the ground state (n = 1)
case yields the characteristic radius of the hydrogen atom:
a
0
= 4
0
(h/2)
2
m
e
e
2
0.52910
10
m, Bohr radius. (A.154)
This is the characteristic scale length for the size of all atoms the range
over which their electrostatic force eld extends. The corresponding range over
which nuclear forces extend is
r
e
=
e
2
4
0
m
e
c
2
2.8210
15
m, classical electron radius, (A.155)
which is inferred from equating the electric potential energy e
2
/(4
0
r
e
)
from a distributed electron charge to the electron rest mass energy m
e
c
2
.
The binding energy of an electron in a Bohr atom in its ground (lowest
energy) state is given by the (negative of the) potential energy of the electron
when it is located at the Bohr radius from the proton plus the kinetic energy of
the electron:
E
H
=
e
2
4
0
a
0
m
e
2
a
2
0
2
0
=
1
4
0
2
m
e
e
4
2(h/2)
2
13.6 eV,
Bohr atom binding energy, (A.156)
which is also called the Rydberg energy. For electrons in the n
th
quantum
state the orbit radius increases by a factor of n
2
and the rotation frequency
DRAFT 11:16
0
decreases by a factor of 1/n
3
; consequently, the binding energy of the state
decreases by a factor of 1/n
2
. For electrons gyrating around an ion of charge Z
i
,
the potential and consequently the electric eld force increases by a factor of Z
i
.
This causes the Bohr radius to decrease by a factor of 1/Z
i
and the ionization
energy to increase by a factor of Z
2
i
. Thus, neglecting ne-structure eects, the
binding energy of an outer electron in a level labeled by the quantum number
n ( 1) which is gyrating around an ion of charge Z
i
is given by
E
Z
(n) Z
2
i
E
H
/n
2
, outer electron binding energy. (A.157)
Note that for a nucleus with a high atomic number Z the binding energy of
the most tightly bound (n = 1, ground state) electron, which is the last one
to be removed as an atom is ionized, can be very large. For example, for iron
(Z = 26) the binding energy of the last electron is 9 keV while for tungsten
(Z = 74) it is 75 keV.
The degree of ionization in a plasma can be estimated from the Saha equation
which gives the population density of a particular ionization and quantum state
of an atom in a gas in thermodynamic equilibrium. It can be obtained by equat-
ing the rates of ionization [ n
n
exp(U
i
/T
e
)] and recombination [ n
i
(n
e
3
h
)]
for ions in a partially ionized gas:
n
i
n
n
2
n
e
_
2m
e
T
e
h
2
_
3/2
e
Ui/Te
= 2
5/2
n
e
3
De
(n
e
a
3
0
)
1/2
e
Ui/Te
6 10
27
n
e
(m
3
)
[T
e
(eV)]
3/2
e
Ui/Te
, Saha equation, (A.158)
in which n
e
, n
i
and n
n
are the electron, ion and neutral density, respectively,
U
i
is the ionization potential and T
e
is the temperature in electron volts of the
assumed Maxwellian distribution of electrons. The ionization potential U
i
for
ionization of an atom from its ground (neutral) state to the rst ionized state
is given by the electron binding energy in the atom [cf., Eq. (A.157)]. It ranges
from 3.9 eV for Cesium atoms to 24.6 eV for Helium.
The fractional ionization [ n
i
/(n
n
+n
i
)] is exponentially small for electron
temperatures T
e
much lower than the ionization potential U
i
. The electron
temperature required to attain a small degree of ionization ( n
i
/n
n
<< 1) can
be estimated by solving the Saha equation iteratively for T
e
:
T
e
[
ion

U
i
ln
_
6 10
27
[T
e
(eV)]
3/2
(n
i
/n
n
) n
e
(m
3
)
_ (0.021) U
i
, (A.159)
where in the last form the smallest number correponds to interplanetary densi-
ties ( 10
6
m
3
) and the largest to solid densities ( 10
29
m
3
). The T
e
required
to produce a fully ionized state (n
i
/n
n
>> 1) is not much larger. Thus, for ex-
ample, a nitrogen gas (U
i
= 14.5 eV) at a density of 2.510
25
m
3
(the density
of room temperature air) becomes 1% ionized at T
e
1.4 eV, and fully ionized
for T
e
>
2.2 eV. At lower densities the electron temperature range over which
DRAFT 11:16
the transition from a partially to fully ionized gas takes place is even narrower.
For some examples of the variation with electron density of the T
e
required for
complete ionization, see Fig. ?? at the end of Chapter 1.
Note however that the ions might not be fully stripped of their electrons. In
particular, for T
e
0.110 keV, high Z ions might not be fully stripped because
of the very large binding energy of their most tightly bound electrons. Such
ions would have an ion charge Z
i
< Z.
Some standard introductory level quantum mechanics textbooks are:
Krane, Modern Physics ( ) [?]
Sproul and Phillips, Modern Physics ( ) [?]
Tipler, Modern Physics ( ) [?]
Gasiorowicz, Quantum Physics ( ) [?]
Powell and Crasemann, Quantum Mechanics ( ) [?].
DRAFT 11:16
A.8 Physical Constants
Fundamental Physical Constants
Relative
Uncertainty
Quantity Symbol Best Value
6
(10
6
)
electron mass m
e
9.109 389 7 10
31
kg 0.59
proton mass m
p
1.672 623 1 10
27
kg 0.59
elementary charge e 1.602 177 33 10
19
C 0.30
speed of light in vacuum c 299 792 458 m/s exact
7
permeability of vacuum
0
4 10
7
H/m exact
permittivity of vacuum
0
1/
0
c
2
F/m exact
gravitational constant G 6.672 59 10
11
N m
2
/kg
2
128
Planck constant h 6.626 075 5 10
34
J s 0.60
Boltzmann constant k
B
1.380 658 10
23
J/K 8.5
SI Units And Their Abbreviations, Interrelationships
Quantity Name Symbol In Terms Of Other Units
length meter m 10
2
cm = 10
10
A
mass kilogram kg 10
3
g
time second s
electric current ampere A C/s
temperature kelvin K 1/11 604.4 eV
amount of substance mole mol
atomic unit of energy electron volt eV 1.602 177 33 10
19
J
atomic unit of mass amu u 1.660 540 2 10
27
kg
frequency hertz Hz s
1
(cycles per second)
force newton N m kg s
2
pressure, stress pascal Pa N/m
2
= m
1
kg s
2
energy, work joule J N m = m
2
kg s
2
power watt W J/s = m
2
kg s
3
electric charge coulomb C s A
electric potential volt V W/A = m
2
kg s
3
A
1
capacitance farad F C/V = m
2
kg
1
s
4
A
2
electrical resistance ohm V/A = m
2
kg s
3
A
2
magnetic ux weber Wb V s = m
2
kg s
2
A
1
magnetic ux density
8
tesla T Wb/m
2
= kg s
2
A
1
inductance henry H Wb/A = m
2
kg s
2
A
2
6
E.R. Cohen and B.N. Taylor, Physics Today, August 1998, BG7 [?].
7
The speed of light xes the length of the meter in terms of the second.
8
In plasma physics magnetic eld strengths are often quoted in Gauss: 1 Tesla 10 kGauss.
DRAFT 11:16
Other Physical Constants
Quantity Symbol Value
Avogadro constant N
A
6.022 10
23
#/mol
Molar gas constant R 8.31 J mol
1
K
1
Air (20
o
C and 1 atmosphere)
density n 2.49 10
25
molecules/m
3
sound speed c
S
343 m/s
atmospheric pressure p 760 Torr = 1.01 10
5
Pa
molecular weight 28.9 g/mol
viscous diusivity
m
/
m
1.5 10
5
m
2
/s
Water
density n 3.33 10
28
molecules/m
3
sound speed c
S
1460 m/s
viscous diusivity
m
/
m
10
6
m
2
/s
Earth
mass M
E
5.98 10
24
kg
mean radius R
E
6.37 10
6
m
gravitational acceleration g 9.81 m/s
2
magnetic dipole moment M
d
8.0 10
22
A m
2
Particle Masses
Particle Atomic Best Atomic Energy Units
or Atom Symbol Number Z Mass
9
Value (mc
2
/e, MeV)
electron m
e
0.000 548 579 903 0.511
muon m
0.113 428 913 105.658

proton m
p
1 1.007 276 470 938.272
neutron m
n
1.008 664 904 939.566
deuteron m
D
1 2.013 553 214 1 875.613
triton m
T
1 3.016 050 2 809.853
helium m
He
2 4.002 603 3 728.402
carbon m
C
6 12.011 15
nitrogen m
N
7 14.006 7
oxygen m
O
8 15.999 4
argon m
Ar
18 39.948
iron m
Fe
26 55.845
molybdenum m
Mo
42 95.94
tungsten m
W
74 183.84
9
The unied atomic mass unit = 1.660 540 2 10
27
kg (0.59 10
6
relative error) =
931.494 32 MeV (0.30 10
7
relative error). Note also that Avogadros constant N
A
1/u.
DRAFT 11:16
APPENDIX B. SPECIAL FUNCTIONS 1
Appendix B
Special Functions
Key properties of special functions as they are often used in plasma physics are
summarized in this appendix.
B.1 Heaviside Step Function
The Heaviside step function is usually just called the step function. It was intro-
duced by Oliver Heaviside in the late 1800s to represent the idealized switching
on (in time) of a voltage or other source in electrical engineering problems. It
is dened by
H(x x
0
) =
_
1, x > x
0
,
0, x < x
0
,
Heaviside step function. (B.1)
The step function H is in general undened at x = x
0
(because it is discontin-
uous there); it will be taken to be 1/2 there so that it is equal to its average
value at this jump discontinuity. The derivative of the step function is usually
taken to be the Dirac delta function, which is discussed in the next Section:
H
(x x
0
)
d
dx
H(x x
0
) = (x x
0
). (B.2)
The x dependence of the step and delta functions are shown schematically in
Fig. B.1.
B.2 Dirac Delta Function
The Dirac delta function, which is usually just called the delta function, is a
concentrated spike or impulse of unit area. It was introduced by P.A.M. Dirac
in the 1920s in the context of developing a physical interpretation of quantum
mechanics. The delta function is often used in plasma physics to represent the
spatial distribution of point charged particles. It also often arises in functions
that represent singular responses to resonant perturbations.
DRAFT 13:30
June 29, 2006 c J.D Callen, Fundamentals of Plasma Physics
Figure B.1: Schematic of x dependence of the Heaviside step function and Dirac
delta function.
The one-dimensional delta function is dened by the following properties:
(x x
0
) = 0 for x = x
0
,
_
b
a
dxf(x) (x x
0
) =
_
f(x
0
), a < x
0
< b,
0, otherwise,
(B.3)
for any function f(x) that is continuous at x = x
0
. Thus, the delta function
is zero except at the point where its argument vanishes; there, it is so large
(i.e., singular) that the integral of it over that point (its area) is unity [i.e., for
f(x) = 1 we have
_
b
a
dx(x x
0
) = 1]. Note that hence the delta function has
units of one over the units of its argument.
The delta function is a mathematically improper function because it is
unbounded where its argument vanishes. However, it is a generalized function
whose integral can be dened through a limiting process in distribution theory.
Specically, for a unity area distribution function w(x), one denes a delta
sequence w(x; ) which becomes progressively more peaked (height 1/)
and narrower (width ) in the limit that 0 such that it becomes a unit
area spike. In terms of such a delta sequence, one denes
_
b
a
dx(x) f(x) lim
0
_
b
a
dxw(x; ) f(x) = f(0). (B.4)
Symbolically, we can write
(x)
.
= lim
0
w(x; ), Dirac delta function. (B.5)
which is only valid in evaluating integrals in the form given in (B.4).
A function w(x) is a suitable basis for a delta sequence if it is nonnegative
and has unity area [i.e.,
_
dxw(x) = 1]. Oscillatory, unity area functions

that decay as their argument increases [i.e., lim
|x|
|w(x)| 0] can also be
suitable basis functions for delta sequences. For a suitable distribution function
w(x), a delta sequence is dened by w(x; ) w(x/)/. Examples of delta
sequences based on Gaussian [w
G
= e
x
2
/
], Lorentzian [w
L
= 1/(x
2
+1)],
DRAFT 13:30
and correlation function [w
C
= sin x/x] distributions are, respectively,
w
G
(x; ) =
1

e
(x/)
2
, Gaussian,
w
L
(x; ) =

(x
2
+
2
)
, Lorentzian,
w
C
(x; ) =
sin (x/)
x
, correlation function.
(B.6)
Basic properties of delta functions include
(x
0
x) = (x x
0
), (B.7)
f(x) (x x
0
) = f(x
0
) (x x
0
), x(x) = 0, (B.8)
_
b
a
dx(x x
0
) (x x
1
) = (x
0
x
1
) for a < x
0
, x
1
< b, (B.9)
(x
2
x
2
0
) =
1
2 |x
0
|
[(x x
0
) + (x + x
0
)] , and (B.10)
[f(x)] =
i
(x x
i
)
|df/dx|
xi
, (ax) =
1
|a|
(a), (B.11)
in which x
i
are the (assumed) simple zeros of f [i.e., f(x
i
) = 0]. The derivative
of a delta function is a couple, which is a positive spike followed by a negative
spike. It can be integrated by parts to yield
_
b
a
dxf(x)
(x x
0
) = f
(x
0
), eect of derivative of delta function,
(B.12)
where the prime denotes dierentiation with respect to the argument. The eect
of the j
th
derivative of a delta function can be calculated by integrating by parts
j times:
_
b
a
dxf(x)
(j)
(x x
0
) = (1)
j
f
(j)
(x
0
). (B.13)
Dierentiation properties of delta functions are
x
(x x
0
) =

x
0
(x x
0
), (B.14)
d
dt
[x(t)] =
d[x]
dx
dx(t)
dt

dx(t)
dt
. (B.15)
For more than one dimension one simply takes products of delta functions
in the various directions. Thus, a delta function at the point x
0
(x
0
, y
0
, z
0
)
in three-dimensional Cartesian coordinate space is written as
(x x
0
) (x x
0
) (y y
0
) (z z
0
), Cartesian. (B.16)
In other coordinate systems the three-dimensional delta function is just the
product of the delta functions in the new coordinates divided by the Jacobian
DRAFT 13:30
of the coordinate transformation. Thus, three-dimensional delta functions in
cylindrical and spherical coordinates are given, respectively, by
(x x
0
) =
(r r
0
) (
0
) (z z
0
)
r
, cylindrical, (B.17)
(x x
0
) =
(r r
0
) (
0
) (
0
)
r
2
| sin |
, spherical. (B.18)
An integral of a three-dimensional delta function over a volume V vanishes
unless V includes the point x
0
:
_
V +V
V
d
3
xf(x) (x x
0
) =
_
f(x
0
) if V contains x = x
0
,
0 otherwise.
(B.19)
Some key summations, integrals, limits, and dierentials that result in delta
functions are
n=
e
inx
= 2 (x), (B.20)
_

dk e
ikx
= 2 (x), (B.21)
_
d
3
k e
ikx
= (2)
3
(x), (B.22)
lim
x
1 e
ikx
ikx
= (k) (B.23)
2
1
|x x
0
|
= 4 (x x
0
). (B.24)
Delta functions are treated simply but rigorously in
Lighthill, Intoduction to Fourier Analysis and Generalized Functions (1958) [?]
Dennery and Krzywicki, Mathematics for Physicists, Section III.13 (1967) [?].
A comprehensive treatment of generalized functions is given in
Gelfand and Shilov, Generalized Functions, Vol. I (1964) [?].
B.3 Plasma Dispersion Function
A singular integral that often arises in calculating linear plasma responses for a
Maxwellian equilibrium distribution is
Z(w)
1
du
e
u
2
u w
, Im{w} > 0, plasma dispersion function.
(B.25)
DRAFT 13:30
Figure B.2: Behavior of the plasma dispersion function Z(w) and its derivative
Z
(w) as a function of w
R
Re{w}. In the gures on the left the w
R
depen-
dences of the real (subscript R) and imaginary (subscript I) parts of Z and Z
are shown for Im{w} = 0 by solid and dashed lines, respectively. Corresponding
polar plots are shown on the right, which also indicate the behavior for selected
values of Im{w} w
I
.
Analytic continuation to Im{w} 0, which is obtained by deforming the inte-
gration contour to always pass beneath the pole at u = w (see Fig. ??), yields
the complete specication
Z(w)
_
_
_

du
e
u
2
u w
, Im{w} > 0,
P
_

du
e
u
2
u w
+ i e
w
2
, Im{w} = 0,
_

du
e
u
2
u w
+ 2i e
w
2
, Im{w} < 0.
(B.26)
Here, P is the Cauchy principal value operator (??) that denes (i.e., makes
convergent) the integration over the singularity at u = w when w is real.
While the denition of Z(w) might appear to be discontinuous at Im{w}
= 0, it is in fact continuous there. Its continuity there can be veried by
taking the Im{w} 0 limit [for nite Re{w} = 0] of the forms given above
for Im{w} > 0 and Im{w} < 0, and showing that they are identical to the
Im{w} = 0 denition see (??). The behavior of the real and imaginary parts
of Z(w) and its derivative Z
(w) are shown in Fig. B.3. As indicated in Fig. B.3,

the plasma dispersion function has the following symmetry properties:
Z(w) = 2i
e
w
2
Z(w), (B.27)
Z(w
) = [Z(w)]
= Z
(w) + 2i
e
w
2
, (B.28)
where the

superscript indicates the complex conjugate.
A complementary function

Z, which is dened by the integral in (B.25) but
for Im{w} < 0, is related to Z(w) by
Z(w) = Z(w) = Z(w) 2i
e
w
2
. (B.29)
DRAFT 13:30
The w
I
Im{w} 0 representations of the plasma dispersion function and its
complement can be obtained directly using the Plemelj formulas (??).
An alternative denition of Z(w) that is valid for all nite Im{w} is
W(w) =
Z(w)
i
=
2 e
w
2
_

iw
dt e
t
2
= e
w
2
[1 erf(iw)] e
w
2
erfc(iw),
(B.30)
which indicates the close relationship to the error function. This is the form
of the plasma dispersion function most commonly used in the Russian plasma
physics literature, and in error function reference books.
The plasma dispersion function satises the dierential equation
Z
(w)
dZ
dw
= 2 [ 1 + wZ(w) ]. (B.31)
This dierential equation can be used to write higher order derivatives in terms
of lower order derivatives:
Z
(n)
d
n
Z
dw
n
= 2
d
n1
(wZ)
dw
n1
= 2[(n 1)Z
(n2)
+ wZ
(n1)
] for n 2.
(B.32)
The plasma dispersion function has a power series expansion about w = 0
given by
Z(w) = i
e
w
2
w
n=0
(w
2
)
n
(n + 1/2)
= i
e
w
2
2w
_
1
2w
2
3
+
4w
4
15

8w
6
105
+
_
. (B.33)
Its asymptotic expansion for |w| >> 1 is
Z(w) i
e
w
2
n=0
w
(2n+1)
(n 1/2)
= i
e
w
2
1
w
_
1 +
1
2w
2
+
3
4w
4
+
15
8w
6
+
_
, (B.34)
where

_
_
_
0, Im{w} > 0,
1, Im{w} = 0,
2, Im{w} < 0.
(B.35)
Corresponding power series and asymptotic expansions for the derivative of the
plasma dispersion function are given, respectively, by
Z
= 2iw
e
w
2
2
_
1 2w
2
+
_
for |w| << 1 and (B.36)
Z
2iw
e
w
2
+
1
w
2
_
1 +
3
2w
2
+
_
for |w| >> 1. (B.37)
DRAFT 13:30
Related, but more complicated integrals of the form
Z
n
(w)
1
du
u
n
e
u
2
u w
, n 0, Im{w} > 0, (B.38)
can be calculated in terms of derivatives of Z(w) as follows. First, taking n
successive derivatives of Z(w) and integrating by parts n times one obtains
Z
(n)
(w)
d
n
Z(w)
dw
n
=
n!
du
e
u
2
(u w)
n+1
=
1
du
u w
d
n
(e
u
2
)
du
n
.
From the Rodrigues formula for Hermite polynomials H
n
(u),
d
n
du
n
(e
u
2
) = (1)
n
e
u
2
H
n
(u),
it is clear that the n
th
derivative of Z(w) can be written as
d
n
Z(w)
dw
n
=
(1)
n
du
H
n
(u) e
u
2
u w
. (B.39)
Now, any power of the variable u can be expressed in terms of a series of Hermite
polynomials with orders up to and including the power of u through the relation
u
n
=
1
2
n
M
m=0
d
m
(n) H
n2m
(u), (B.40)
in which d
m
(n) are the coecients given in Table 22.12 of Abromowitz and
Stegun [?] and the upper limit of the sum is M [n/2], the largest integer less
than or equal to n/2. Substituting (B.40) into (B.38) and utilizing (B.39) yields
Z
n
(w) =
1
2
n
[n/2]
m=0
(1)
n2m
d
m
(n)
d
n2m
Z(w)
dw
n2m
.
The rst four of these functions are
Z
0
(w) = Z (B.41)
Z
1
(w) = (1/2)Z
= 1 + wZ, (B.42)
Z
2
(w) = (1/4)[2Z + Z
] = (w/2)Z
= w + w
2
Z, (B.43)
Z
3
(w) = (1/8)[6Z
+ Z
] = (1/2)[1 + 2w
2
(1 + wZ)], (B.44)
in which the primes denote dierentiation with respect to the argument and in
the last equalities we have made use of the denitions of dierentials of Z given
in (B.31) and (B.32).
The plasma dispersion function is tabulated in
Fried and Conte, The Plasma Dispersion Function (1961) [?].
DRAFT 13:30
Figure B.3: Variation of the basic and modied Bessel functions with their
arguments.
B.4 Bessel Functions
Bessel functions arise naturally from second order dierential equations in the
radial coordinate for a cylindrical geometry. Their governing dierential equa-
tion is
z
2
d
2
y
dz
2
+ z
dy
dz
+ (z
2
n
2
) y = 0, Bessels equation, (B.45)
in which z is the independent (usually radial coordinate) variable and n is
an integer. The basic (fundamental) solution of this dierential equation is
y = J
n
(z), which is the Bessel function of the rst kind of order n. The linearly
independent solution Y
n
(z) of (B.45) is called the Bessel function of the second
kind of order n. It is singular at z = 0. Hence it is not a valid solution for
most cylindrical geometry problems where the response must be nite at the
origin of the cylindrical geometry (where z r = 0). The z dependence of J
n
for n = 0, 1, 2 is shown in Fig. B.4. The rst few zeros [J
n
(j
n,i
) 0] of the
fundamental Bessel functions are (for i = 1, 2, 3, )
j
0,i
= 2.405, 5.520, 8.654, , j
1,i
= 3.832, 7.016, 10.173, . (B.46)
Changing z from a real to an imaginary argument (z iz) in (B.45) changes
the sign of the z
2
y term in the dening dierential equation. The corresponding
solutions of this modied dierential equation are the modied Bessel functions
of the rst and second kind of order n, respectively: I
n
(z) and K
n
(z). The
variation of e
z
I
n
(z) with the argument z is shown for n = 0, 1, 2 in Fig. B.4.
Useful recursion relations for the basic Bessel functions include
J
n1
(z) + J
n+1
(z) =
2 n
z
J
n
(z), (B.47)
J
n1
(z) J
n+1
(z) = 2 J
n
2
dJ
n
(z)
dz
, (B.48)
J
n
(z) = (1)
n
J
n
(z). (B.49)
Analogous recursion relations for the modied Bessel functions are:
I
n1
(z) I
n+1
(z) =
2 n
z
I
n
(z), (B.50)
DRAFT 13:30
I
n1
(z) + I
n+1
(z) = 2 I
n
2
dI
n
(z)
dz
, (B.51)
I
n
(z) = I
n
(z). (B.52)
A fundamental (generating function) identity that is useful for calculating
the eects on plane waves of the gyromotion of charged particles about a mag-
netic eld is
e
iz sin
=
n=
J
n
(z) e
in
. (B.53)
The product of this equation with its complex conjugate yields
1 =
m,n
J
m
(z) J
n
(z) e
i(mn)
. (B.54)
Integrating this equation over from 0 to 2 yields the summation relation
1 =
n=
J
2
n
(z). (B.55)
Multiplying (B.54) by cos and then integrating over and using (B.47) gives
0 =
n=
nJ
2
n
(z). (B.56)
By similar means it can be shown that
0 =
n
(1)
n
nJ
2
n
=
n
J
n
J
n
=
n
nJ
n
J
n
=
n
(1)
n
nJ
n
J
n
, (B.57)
1
2
=
n
(J
n
)
2
, (B.58)
z
2
2
=
n
n
2
J
2
n
. (B.59)
The fundamental integration identity that is useful in calculating velocity-
space integrals over the product of two Bessel functions times a Maxwellian
speed distribution is
_

0
dxxe
p
2
x
2
J
n
(ax)J
n
(bx) =
1
2p
2
exp
_
a
2
+ b
2
4p
2
_
I
n
_
ab
2p
2
_
(B.60)
which, for a = b = s and p = 1, becomes simply
_

0
dxxe
x
2
J
2
n
(sx) =
1
2
e
s
2
/2
I
n
_
s
2
2
_
. (B.61)
DRAFT 13:30
Summing this equation, and n times it, over n from to utilizing (B.55)
and (B.56) yields
1 =
n=
I
n
_
s
2
2
_
, (B.62)
0 =
n=
nI
n
_
s
2
2
_
. (B.63)
Integrals of Bessel functions with higher powers of the integration variable in
the integrand can be calculated by dierentiating (B.60) with respect to p
2
. For
example, with a = b = s we obtain
_

0
dxx
3
e
x
2
J
2
n
(sx) = lim
p
2
1
p
2
_

0
dxxe
p
2
x
2
J
2
n
(sx)
=
1
2
e
s
2
/2
__
1
s
2
2
_
I
n
_
s
2
2
_
+
_
s
2
2
_
I
n
_
s
2
2
__
. (B.64)
Power series representations (rapidly convergent for z << n) of the Bessel
functions are
J
n
(z) =
_
z
2
_
n

m=0
(1)
m
(z/2)
2m
m! (m + n)!
=
1
n!
_
z
2
_
n
1
1! (n + 1)!
_
z
2
_
n+2
+ ,
(B.65)
I
n
(z) =
_
z
2
_
n

m=0
(z/2)
2m
m! (m + n)!
=
1
n!
_
z
2
_
n
+
1
1! (n + 1)!
_
z
2
_
n+2
+ . (B.66)
Specic power series expansions of particular interest in plasma physics include:
J
0
(z) = 1
z
2
4
+
z
4
64
, (B.67)
J
1
(z) = J
0
(z) =
z
2

z
3
16
+ , (B.68)
e
z
I
0
(z) = 1 z +
3z
2
4
, (B.69)
e
z
I
1
(z) =
z
2

z
2
2
+
5z
3
16
. (B.70)
Asymptotic expansions for large arguments compared to the order (i.e., for
|z| >> n) are
J
n
(z)
_
2
z
_
cos
_
z
n
2

4
_
+O
_
1
|z|
__
, (B.71)
e
z
I
n
(z)
1
2z
_
1
4n
2
1
8z
+O
_
1
|z|
2
__
. (B.72)
The classic, comprehensive reference for Bessel functions is:
Watson, A Treatise on the Theory of Bessel Functions (1962), 2nd Edition [?]
DRAFT 13:30
B.5 Legendre Polynomials
Legendre polynomials are the natural (orthogonal basis) polynomials in which
to expand the latitude angle () part of a distribution function in spherical
velocity space see (??) in Appendix A.4. Legendre polynomials are governed
by the dierential equation ( cos )
d
d
_
(1
2
)
dP
l
()
d
_
+ l(l + 1) P
l
() = 0, Legendres equation, (B.73)
and satisfy the symmetry and boundary conditions
P
l
() = (1)
l
P
l
(), P
l
(1) = 1. (B.74)
Legendre polynomials are given in general by
P
l
() =
1
2
l
M
m=0
(1)
m
(2l 2m)!
m! (l m)! (l 2m)!

l2m
=
1
2
l
l!
d
l
d
l
(
2
1)
l
(B.75)
in which the upper limit of the sum is M [l/2], the largest integer less than
or equal to l/2. The lowest order Legendre polynomials are
P
0
= 1, P
1
= , P
2
= (3
2
1)/2, P
3
= (5
3
3)/2. (B.76)
Useful recurrence relations are
(l + 1)P
l+1
() + l P
l1
() = (2l + 1) P
l
(), (B.77)
l P
l
() l P
l1
() = (
2
1)
dP
l
()
d
. (B.78)
The orthgonality and values of relevant angular integrals of products of Legendre
polynomials are given in (??) in Appendix C.3. A useful expansion of a delta
function in terms of Legendre polynomials is
(
0
) =
l=0
P
l
() P
l
(
0
). (B.79)
B.6 Laguerre Polynomials
Laguerre polynomials are the natural (orthogonal basis) energy weighting func-
tions in which to expand a distribution function in spherical velocity space
see (??) in Appendix A.4. The relevant forms for kinetic theory and plasma
physics are dened in general by
L
(l+1/2)
n
(x) =
n
m=0
(n + l + 3/2) (x)
m
m! (n m)! (m + l + 3/2)
=
e
x
n! x
l+1/2
d
n
dx
n
_
e
x
x
n+l+1/2
_
,
(B.80)
DRAFT 13:30
in which (x mv
2
/2T = v
2
/v
2
T
) is the normalized kinetic energy variable and
l is the integer subscript of the (Legendre) polynomial expansion in spherical
velocity space. These generalized Laguerre polynomials satisfy the dierential
equation
x
d
2
L
(l+1/2)
n
dx
2
+ (l x + 3/2)
dL
(l+1/2)
n
dx
+ nL
(l+1/2)
n
= 0. (B.81)
They have a generating function given by
1
(1 z)
l+3/2
exp
_
xz
z 1
_
=
n=0
L
(l+1/2)
n
(x) z
n
, for |z| < 1. (B.82)
Laguerre polynomials are closely related to Hermite polynomials (their Carte-
sian velocity space equivalents) and Sonine polynomials (reversed indices, dif-
ferent normalization). The lowest order (n = 0, 1, 2 and l = 0, 1, 2) Laguerre
polynomials are
L
(1/2)
0
= 1, L
(1/2)
1
=
3
2
x, L
(1/2)
2
=
15
8

5x
2
+
x
2
2
, ,
L
(3/2)
0
= 1, L
(3/2)
1
=
5
2
x, L
(3/2)
2
=
35
8

7x
2
+
x
2
2
, ,
L
(5/2)
0
= 1, L
(5/2)
1
=
7
2
x, L
(5/2)
2
=
63
8

9x
2
+
x
2
2
, .
(B.83)
The orthogonality and values of relevant energy integrals of products of these
Laguerre polynomials are given in (??) and (??) in Appendix C.2.
REFERENCES
Some general compendia of properties of special functions are:
Abromowitz and Stegun, Handbook of Mathematical Functions (1965) [?]
Magnus, Oberhettinger and Soni, Formulas and Theorems for the Special Func-
tions of Mathematical Physics (1966) [?]
Jahnke and Emde, Table of Functions (1945) [?].
DRAFT 13:30
APPENDIX C. USEFUL DEFINITE INTEGRALS 1
Appendix C
Useful Denite Integrals
Denite integrals that often arise in plasma physics are summarized in this
appendix.
C.1 Integrals Involving A Decaying Exponential
Integrals over temporally or spatially decaying processes (e.g., collisional damp-
ing at rate 1/) often result in integrals of the form
_

0
dt t
n
e
t/
=
n+1
_

0
dxx
n
e
x
(C.1)
in which x t/. The most general denite, dimensionless integral involving
powers of a variable x and the exponential e
x
is that given by the gamma
(factorial) function, which is dened by Eulers integral:
(z)
_

0
dxx
z1
e
x
, for Re(z) > 0. (C.2)
Integrating by parts, one obtains the important recursion relation
(z + 1) = z (z). (C.3)
Using this relation recursively, the gamma function for any argument z > 1 can
be evaluated in terms of (z) for 0 < z 1.
Two values of the argument z of fundamental interest for gamma functions
are z = 1 and z = 1/2. For z = 1 the gamma function becomes simply the
integral of a decaying exponential:
(1) =
_

0
dxe
x
= 1. (C.4)
For z = 1/2, using the substitution x = u
2
the gamma function becomes the
integral of a Gaussian distribution over an innite domain:
(
1
2
) = 2
_

0
due
u
2
=

. (C.5)
DRAFT 10:50
February 3, 2002 c J.D Callen, Fundamentals of Plasma Physics
When the argument of the gamma function is a positive integer (z n > 0),
the gamma function simplies to a factorial function:
(n + 1) = n(n) = n(n 1) (n 1) = n(n 1)(n 2) 1 n!. (C.6)
Using this factorial form for the gamma function, one thus nds that
_

0
dt t
n
e
t/
=
n+1
n!, for n = 0, 1, 2, , (C.7)
using the usual convention that 0! 1. The rst few of these integrals are
_

0
dt
_
1
t/
t
2
/
2
_
_
e
t/
=
_

0
dx
_
_
1
x
x
2
_
_
e
x
=
_
_
1
1
2
_
_
. (C.8)
When the argument of the gamma function is a positive half integer (z
n + 1/2 > 0), the gamma function simplies to a double factorial:
(n +
1
2
) = (n
1
2
) (n
1
2
) = (n
1
2
)(n
3
2
) (n
3
2
)
= [(2n 1)(2n 3) 1] (
1
2
) / 2
n
(2n 1)!!
/ 2
n
.
(C.9)
C.2 Integrals Over A Maxwellian
When calculating various averages over a Maxwellian distribution, integrals of
the following type occur:
I
m
=
_

0
dv v
m
e
v
2
/v
2
T
= v
m+1
T
_

0
duu
m
e
u
2
(C.10)
in which m is a nonnegative integer and in the second, dimensionless integral
u v/v
T
. This integral can be calculated for arbitrary m 0 by changing
the variable of integration from u to x = u
2
= v
2
/v
2
T
and relating the resulting
integral to the gamma function, (C.2):
I
m
=
v
m+1
T
2
_

0
dxx
m/21/2
e
x
=
v
m+1
T
2
[(m + 1)/2]. (C.11)
The integrals for the rst few even m [for which (m + 1)/2 becomes a half
integer and (C.9) applies] are
_

0
dv
v
T
_
_
1
v
2
/v
2
T
v
4
/v
4
T
_
_
e
v
2
/v
2
T
=
_

0
du
_
_
1
u
2
u
4
_
_
e
u
2
=
2
_
_
1
1/2
3/4
_
_
.
(C.12)
DRAFT 10:50
The integrals for the rst few odd m [for which (m + 1)/2 becomes an integer
and (C.6) applies] are
_

0
dv
v
T
_
_
v/v
T
v
3
/v
3
T
v
5
/v
5
T
_
_
e
v
2
/v
2
T
=
_

0
du
_
_
u
u
3
u
5
_
_
e
u
2
=
_
_
1/2
1/2
1
_
_
. (C.13)
The natural (orthogonal basis) energy weighting functions for expanding
distribution functions in terms of uid moments are the Laguerre polynomials
L
l+1/2
n
(x), which are dened and discussed in Section B.6. The relevant di-
mensionless integral of products of Laguerre polynomials that indicates their
orthogonality and normalization is
_

0
dxx
l+1/2
e
x
L
(l+1/2)
n
(x) L
(l+1/2)
n
(x)
=
nn
(l + n + 3/2)
(n + 1)
=
nn
[2(n + l) + 1]!!
2
n+l+1
n!
(C.14)
in which x v
2
/v
2
T
= mv
2
/2T, and
nn
is the Kronecker delta, which is unity
for n = n
and vanishes if n = n
. The lowest order (n = 0, 1, 2 and l = 0, 1, 2)

integrals of interest are
_

0
dxx
1/2
e
x
_
_
_
_
[L
(1/2)
0
]
2
[L
1/2
1
]
2
[L
1/2
2
]
2
x[L
(3/2)
0
]
2
x[L
(3/2)
1
]
2
x[L
(3/2)
2
]
2
x
2
[L
(5/2)
0
]
2
x
2
[L
(5/2)
1
]
2
x
2
[L
(5/2)
2
]
2
_
_
_
_
=
2
_
_
_
1 3/2 15/4
3/2 15/4 105/8
15/8 105/16 945/32
_
_
_.
(C.15)
C.3 Integrals Over Sinusoidal Functions
Averaging linear and nonlinear quantities made up of sinusoidally oscillating
components result in integrals of the form
sin
m
cos
n

1
2
_
2
0
d sin
m
cos
n
. (C.16)
Trigonometric identities that are useful in reducing these integrals to simpler
forms are
2 sin cos = sin 2, (C.17)
2 sin
2
= (1 cos 2), (C.18)
2 cos
2
= (1 + cos 2), (C.19)
DRAFT 10:50
which are derivable from the more fundamental trigonometric identities
sin (
1
+
2
) = sin
1
cos
2
+ cos
1
sin
2
, (C.20)
cos (
1
+
2
) = cos
1
cos
2
sin
1
sin
2
. (C.21)
These last two identities can be also combined to yield
2 sin
1
sin
2
= cos (
1
+
2
) cos (
1
2
), (C.22)
2 sin
1
cos
2
= sin (
1
+
2
) + sin (
1
2
), (C.23)
2 cos
1
cos
2
= cos (
1
+
2
) + cos (
1
2
). (C.24)
Using these trigonometric identities, and the facts that
_
2
0
d sin n = 0 and
_
2
0
d cos n = 0 for n = 1, 2, , it can be shown that
1
2
_
2
0
d
_
_
_
_
1 sin cos
sin cos sin
2
cos
2
sin cos
2
sin
3
cos
3
sin
2
cos
2
sin
4
cos
4
_
_
_
_
=
_
_
_
_
1 0 0
0 1/2 1/2
0 0 0
1/8 3/8 3/8
_
_
_
_
.
(C.25)
The natural (i.e., orthogonal basis) functions of sinusoidal functions in which
to expand spherical velocity space latitude angle dependences are the Legendre
polynomials P
l
(), which are dened and discussed in Section B.5. The rele-
vant argument of the Legendre polynomials is usually cos . The relevant
integral of products of Legendre polynomials that indicates their orthogonality
and normalization is
_
1
1
d P
l
() P
l
() =
_

0
d sin P
l
(cos ) P
l
(cos ) =
2
ll
2l + 1
(C.26)
in which
ll
is the Kronecker delta function which is unity if the indices are
equal and zero otherwise. The rst few of these nonvanishing integrals are
_
1
1
d
_
_
P
2
0
P
2
1
P
2
2
_
_

_
1
1
d(cos )
_
_
1
cos
2
(3 cos
2
1)
2
/4
_
_
=
_
_
2
2/3
2/5
_
_
. (C.27)
REFERENCES
A limited but very useful table of integrals is:
Dwight, Tables of Integrals and Other Mathematical Data (1964) [?]
The most comprehensive tabulation of integrals is provided by:
Gradshteyn and Ryzhik, Table of Integrals, Series and Products (1965) [?]
DRAFT 10:50
APPENDIX D. VECTOR ANALYSIS 1
Appendix D
Vector Analysis
The following conventions are used in this appendix and throughout the book:
f, g, , are scalar functions of x, t;
A, B, C, D are vector functions of x, t;
A = |A|
A A is the magnitude or length of the vector A;

e
A
A/A is a unit vector in the A direction;
x is the vector from the origin to the point (x, y, z);
T, W, AB, etc., are dyad (second rank tensor) functions of x, t that will
be called simply tensors;
I is the identity tensor or unit dyad;
T
T
is the transpose of tensor T (interchange of indices of the tensor
elements), a tensor;
tr(T) is the trace of the tensor T (sum of its diagonal elements), a scalar;
det(T) T is the determinant of the tensor T (determinant of the
matrix of tensor elements), a scalar.
D.1 Vector Algebra
Basic algebraic relations:
A+B = B+A, commutative addition (D.1)
A+ (B+C) = (A+B) +C, associative addition (D.2)
AB = A+ (B), dierence (D.3)
fA = Af, commutative scalar multiplication (D.4)
(f + g)A = fA+ gA, distributive scalar multiplication (D.5)
f(A+B) = fA+ fB, distributive scalar multiplication (D.6)
f(gA) = (fg)A, associative scalar multiplication (D.7)
DRAFT 11:26
October 11, 2002 c J.D Callen, Fundamentals of Plasma Physics
Dot product:
A B = 0 implies A = 0 or B = 0, or A B (D.8)
A B = B A, commutative dot product (D.9)
A (B+C) = A B+A C, distributive dot product (D.10)
(fA) (gB) = fg(A B), associative scalar, dot product (D.11)
Cross product:
AB = 0 implies A = 0 or B = 0, or A B (D.12)
AB = BA, AA = 0, anti-commutative cross product (D.13)
A(B+C) = AB+AC, distributive cross product (D.14)
(fA)(gB) = fg(AB), associative scalar, cross product (D.15)
Scalar relations:
A BC = AB C = (CA) B, dot-cross product (D.16)
(AB) (CD) = (A C)(B D) (A D)(B C) (D.17)
(AB) (CD) + (BC) (AD) + (CA) (BD) = 0 (D.18)
Vector relations:
A(BC) = B(A C) C(A B), bac cab rule
= (CB)A = A (CBBC) (D.19)
A(BC) +B(CA) +C(AB) = 0 (D.20)
(A B)C = A (BC), associative dot product (D.21)
(AB)(CD) = C(AB D) D(AB C)
= B(CD A) A(CD B) (D.22)
Projection of a vector A in directions relative to a vector B:
A = A
(B/B) +A
= A
b +A
(D.23)
b B/B, unit vector in B direction (D.24)

A
B A/B =

b A, component of A along B (D.25)
A
B(BA)/B
2
, component of A perpendicular to B
=
b(
bA) (D.26)
D.2 Tensor Algebra
Scalar relations:
I : AB (I A) B = A B (D.27)
AB: CD A (B C)D = (B C)(A D)
DRAFT 11:26
dotproduct crossproduct
dot-crossproduct
A
B
A
B
A
B
C
{
{
{
Figure D.1: Schematic illustration of dot, cross and dot-cross products of vec-
tors.
DRAFT 11:26
= D AB C = B CD A (D.28)
I : T = tr(T), T: T |T|
2
(D.29)
T: AB = (T A) B = B T A (D.30)
AB: T = A (B T) = B T A (D.31)
BT: W = (T W)
T
: BI (D.32)
Vector relations:
I A = A I = A (D.33)
A T
T
= T A, T
T
A = A T (D.34)
A (CBBC) = A(BC)
= B(A C) C(A B), bac cab rule (D.35)
(AC) T = A (CT) = C (AT) (D.36)
T (AC) = (TA) C = (TC) A (D.37)
A (TC) = (A T)C = C(A T) (D.38)
(AT) C = A(T C) = (T C)A (D.39)
A (TC) C (TA) = [I tr(T) T] (AC) (D.40)
(AT) C(CT) A = (AC) [I tr(T) T] (D.41)
Tensor relations:
I AB = (I A)B = AB, AB I = A(B I) = AB (D.42)
IA = IA (D.43)
A(BC) = (AB)C, (AB)C = A(BC) (D.44)
(AB)I = I(AB) = BAAB (D.45)
(AT)
T
= T
T
A, (TA)
T
= AT
T
(D.46)
(AT) (AT)
T
= I[A tr(T) T A] (D.47)
(TA) (TA)
T
= I[A tr(T) A T] (D.48)
T
S
=
1
2
(T +T
T
), symmetric part of tensor T (D.49)
T
A
=
1
2
(T T
T
), anti-symmetric part of tensor T (D.50)
BT
S
B = B
2
T
S
(BB T
S
+T
S
BB)
(IB
2
BB)(IB
2
BB) T
S
/B
2
BB(BB T
S
)/B
2
(D.51)
D.3 Derivatives
Temporal derivatives:
dA
dt
is a vector tangent to the curve dened byA(t) (D.52)
d
dt
(fA) =
df
dt
A+ f
dA
dt
(D.53)
DRAFT 11:26
d
dt
(A+B) =
dA
dt
+
dB
dt
(D.54)
d
dt
(A B) =
dA
dt
B+A
dB
dt
(D.55)
d
dt
(AB) =
dA
dt
B+A
dB
dt
(D.56)
Denitions of partial derivatives in space ( /x = del or nabla is the
dierential vector operator):
f
f
x
, gradient of scalar function f, a vector vector in direction
of and measure of the greatest rate of spatial change of f (D.57)
A

x
A, divergence of vector function A, a scalar
divergence ( A > 0) or convergence ( A < 0) of A lines (D.58)
A

x
A, curl (or rotation) of vector function A, a vector
1
vorticity of A lines (D.59)
2
f f, del square or Laplacian (divergence of gradient)
derivative of scalar function f, a scalar, which is sometimes
written as f three-dimensional measure of curvature of f
(f is larger where
2
f < 0 and smaller where
2
f > 0) (D.60)
2
A ( )A = ( A) (A), Laplacian derivative
of vector function A, a vector (D.61)
For the general vector coordinate x xe
x
+ye
y
+ze
z
and |x|
_
x
2
+ y
2
+ z
2
:
x = 3, (x/|x|) = 2/|x| (D.62)
x = 0, (x/|x|) = 0 (D.63)
|x| = x/|x|, (1/|x|) = x/|x|
3
(D.64)
x = I (D.65)
(A )(x/|x|) = [A(x A)x/|x|
2
]/|x| A
/|x| (D.66)
2
(1/|x|) (1/|x|) = (x/|x|
3
) = 4(x) (D.67)
1
Rigorously speaking, the cross product of two vectors and the curl of a vector are pseudo-
vectors because they are anti-symmetric contractions of second rank tensors see tensor
references at end of this appendix.
DRAFT 11:26
First derivatives with scalar functions:
(f + g) = f +g (D.68)
(fg) = (f)g + fg = (gf) (D.69)
(fA) = (f)A+ fA (D.70)
fA = f A+ f A (D.71)
fA = fA+ fA (D.72)
fT = f T + f T (D.73)
fT = fT + fT (D.74)
First derivative scalar relations:
(A+B) = A+ B (D.75)
(AB) = B AA B (D.76)
(B )(A C) = C (B )A+A (B )C
CB: A+AB: C (D.77)
A B CC B A (CAAC) : B = (AC) B (D.78)
2A B C 2CA: B = A (B C) +C (B A)
B (A C) + (BC) (A)
+ (BA) (C) + (AC) (B) (D.79)
I : B = B (D.80)
AI : B = A B (D.81)
A T = (A T) A: T = (A T) T: A (D.82)
First derivative vector relations:
(A+B) = A+B (D.83)
(A B) = A(B) +B(A) + (A )B+ (B )A
= (A) B+ (B) A (D.84)
(B
2
/2) (B B/2) = B(B) + (B )B = (B) B (D.85)
(B )(AC) = (B )AC+A(B )C (D.86)
AB = ( A)B+ (A )B = ( A)B+A (B) (D.87)
I = 0 (D.88)
(IA) = A (D.89)
A(B) = (B) AA (B) = (B) A(A )B (D.90)
(AB) = A( B) B( A) + (B )A(A )B
= (BAAB) (D.91)
A BC+CB A = C[A(B)] (D.92)
A BCC BA = [( B)I B] (AC) (D.93)
AB CCB A = (AC) [( B)I B] (D.94)
DRAFT 11:26
First derivative tensor relations:
I B = B, B I = B (D.95)
AB = (A)BAB (D.96)
(AB) = ABBA (D.97)
AB+BA
= I[( B)A(B) A] + [A (B)]I A(B)
= I[( B)AA (B)] + [A (B)]I (B)A (D.98)
BA+ (AB)
T
= [A (B)]I A(B) (D.99)
AB+ (BA)
T
= [A (B)]I (B)A (D.100)
AB(AB)
T
= I[( B)A(B) A] (D.101)
BA(BA)
T
= [( B)AA (B)]I (D.102)
Second derivative relations:
f
2
f (D.103)
f = 0 (D.104)
fg = 0 (D.105)
A
2
A = ( A) (A) (D.106)
A = 0 (D.107)
(B )A = (B )( A) (A) (B) (D.108)
[(A )A]
= (A )(A) + ( A)(A) [(A) ]A (D.109)
Derivatives of projections of A in B direction [
b B/B, A = A
b + A
,
A
b A, A
b(
bA), (
b )
b =
b(
b) ]:
A = (A
/B)( B) + (B )(A
/B) + A
(D.110)
A
= A
[ ln B + (
b )
b] (1/B)
b (BA) (D.111)
b A
b : A = (
b )A
b )
b
= A ln B (1/B)
b (BA) + A(A
/B)( B) (D.112)
For A
= (1/B
2
) Bf,

b (BA
) = (
b f)(
b) (D.113)
D.4 Integrals
For a volume V enclosed by a closed, continuous surface S with dierential
volume element d
3
x and dierential surface element dS ndS where n is the
unit normal outward from the volume V , for well-behaved functions f, g, A, B
and T:
_
V
d
3
xf =
_
_
S
dSf, (D.114)
DRAFT 11:26
_
V
d
3
x A =
_
_
S
dS A, divergence or Gauss theorem, (D.115)
_
V
d
3
x T =
_
_
S
dS T, (D.116)
_
V
d
3
xA =
_
_
S
dSA, (D.117)
_
V
d
3
xf
2
g =
_
V
d
3
xf g +
_
_
S
dS fg,
Greens rst identity, (D.118)
_
V
d
3
x(f
2
g g
2
f) =
_
_
S
dS (fg gf),
Greens second identity, (D.119)
_
V
d
3
x[A (B) B (A)]
=
_
_
dS [B(A) A(B)],
vector form of Greens second identity. (D.120)
The gradient, divergence and curl partial dierential operators can be dened
using integral relations in the limit of small surfaces S encompassing small
volumes V , as follows:
f lim
V 0
_
1
V
_
_
S
dSf
_
gradient, (D.121)
A lim
V 0
_
1
V
_
_
S
dS A
_
divergence, (D.122)
A lim
V 0
_
1
V
_
_
S
dSA
_
curl. (D.123)
For S representing an open surface bounded by a closed, continuous contour C
with line element d which is dened to be positive when the right-hand-rule
sense of the line integral around C points in the dS direction:
__
S
dSf =
_
C
df, (D.124)
__
S
dS A =
_
C
d A, Stokes theorem, (D.125)
__
S
(dS)A =
_
C
dA, (D.126)
__
S
dS (fg) =
_
C
d fg =
_
C
f dg =
_
C
g df,
Greens theorem. (D.127)
The appropriate dierential line element d, surface area dS, and volume d
3
x
can be dened in terms of any three dierential line elements d(i), i = 1, 2, 3
DRAFT 11:26
that are linearly independent [i.e., d(1) d(2)d(3) = 0] by
d = d(i), i = 1, 2, or 3, dierential line element, (D.128)
dS = d(i)d(j), dierential surface area, (D.129)
d
3
x = d(1) d(2)d(3), dierential volume. (D.130)
In exploring properties of uids and plasmas we often want to know how
the dierential line, surface and volume elements change as they move with the
uid ow velocity V. In particular, when taking time derivatives of integrals,
we need to know what the time derivatives of these dierentials are as they
are carried along with a uid. To determine this, note rst that if the ow is
uniform then all points in the uid would be carried along in the same direction
at the same rate; hence, the time derivatives of the dierentials would vanish.
However, if the ow is nonuniform, the dierential line elements and hence all
the dierentials would change in time. To calculate the time derivatives of the
dierentials, consider the motion of two initially close points x
1
, x
2
as they are
carried along with a uid ow velocity V(x, t). Using the Taylor series expansion
V(x
2
, t) = V(x
1
, t)+(x
2
x
1
) V+ and integrating the governing equation
dx/dt = V over time, we obtain
x
2
x
1
= x
2
(t = 0) x
1
(t = 0) +
_
t
0
dt
(x
2
x
1
) V+ (D.131)
in which x
2
(t = 0) and x
1
(t = 0) are the initial positions at t = 0. Taking the
time derivative of this equation and identifying the dierential line element d
as x
2
x
1
in the limit where the points x
2
and x
1
become innetesimally close,
we nd
d

d
dt
(d) = d V. (D.132)
The time derivative of the dierential surface area dS can be calculated by
taking the time derivative of (D.129) and using this last equation to obtain
d
S
d
dt
(dS) = d
(1)d(2) + d(1)d
(2)
= d(1) Vd(2) d(2) Vd(1)
= ( V) dS V dS (D.133)
in which (D.93) and (D.33) have been used in obtaining the last form. Similarly,
the time derivative of the dierential volume element moving with the uid is
d
dt
(d
3
x) = d
(3) dS + d(3) d
S
= d(3) V dS + d(3) ( V)dS d(3) V dS
= ( V) d
3
x, (D.134)
which shows that the dierential volume in a compresssible uid increases or
decreases according to whether the uid is rarefying ( V > 0) or compressing
( V < 0).
DRAFT 11:26
D.5 Vector Field Representations
Any vector eld B can be expressed in terms of a scalar potential
M
and a
vector potential A:
B =
M
+A, potential representation. (D.135)
The
M
part of B represents the longitudinal or irrotational (
M
= 0)
component while the A part represents the transverse or solenoidal compo-
nent ( A = 0). A vector eld B that satises B = 0 is called a lon-
gitudinal or irrotational eld; one that satises B = 0 is called a solenoidal
or transverse eld. For a B(x) that vanishes at innity, the potentials
M
and
A are given by Greens function solutions
M
(x) =
_
d
3
x
( B)
x
4|x x
|
, A(x) =
_
d
3
x
(B)
x
4|x x
|
. (D.136)
When there is symmetry in a coordinate (i.e., a two or less dimensional
system), a solenoidal vector eld B can be written in terms of a stream function
in such a way that it automatically satises the solenoidal condition B = 0:
B = = || e
= , stream function form.

(D.137)
For this situation the vector potential becomes
A = = || e
. (D.138)
For a fully three-dimensional situation with no symmetry, a solenoidal vector
eld B can in general be written as
B = , Clebsch representation, (D.139)
In this representation and are stream functions that are constant along the
vector eld B since B = 0 and B = 0.
D.6 Properties Of Curve Along A Vector Field
The motion of a point x along a vector eld B is described by
dx
d
=
B
B
=

b T, tangent vector (D.140)
in which d is a dierential distance along B. The unit vector

b is tangent to
the vector eld B(x) at the point x and so is often written as T a unit tangent
vector.
The curvature vector of the vector eld B is dened by

d
2
x
d
2
=
d
b
d
= (
b )
b =
b(
b), curvature vector (D.141)

DRAFT 11:26
in which (D.85) has been used in the obtaining the last expression. The unit
vector in the curvature vector direction is dened by
(
b )
b/ |(
b )
b|, curvature unit vector. (D.142)

The local radius of curvature vector R
C
is in the opposite direction from the
curvature vector and is dened by
R
C
/||
2
, = R
C
/R
2
C
, radius of curvature. (D.143)
Hence, |R
C
| R
C
= 1/|| is the magnitude of the local radius of curvature
the radius of the circle tangent to the vector eld B(x) at the point x.
A triad of orthogonal unit vectors (see Fig. D.2) can be constructed from the
tangent unit vector T and an arbitrary unit vector N normal (or perpendicular)
to the vector eld B(x) at the point x:
T
b, N and B TN =

bN, Frenet unit vector triad (D.144)
in which B is the binormal unit vector, the third orthogonal unit vector. The
component of a vector C in the direction of the vector eld B is called the
parallel component: C
T C =

b C. The component in the N direction is
called the normal component: C
N
N C. The component in the B direction,
which is perpendicular to the TN plane, is called the binormal component:
C
B
B C = TN C.
Consider for example the components of the curvature vector . Since
b = 0, the curvature vector has no parallel component (
= 0) the
curvature vector for the vector eld B(x) is perpendicular to it at the point
x. The components of the curvature vector relative to a surface (x) = con-
stant in which the vector eld lies (i.e., B = 0) can be specied as follows.
Dene the normal to be in the direction of the gradient of : N /||.
Then, the components of the curvature vector perpendicular to (normal) and
lying within (geodesic) the surface are given by
n
= N = /||, normal curvature, (D.145)
g
= B = (
b) /|
b|, geodesic curvature. (D.146)

The torsion (twisting) of a vector eld B is dened by

dB
d
= (
b )(
bN), torsion vector. (D.147)

The binormal component of the torsion vector vanishes (
B
B = 0). The
normal component of the torsion vector locally denes the scale length L
along
the vector B over which the vector eld B(x) twists through an angle of one
radian:
L
1/|
N
|,
N
N
dB
d
= N (
b )(
bN), torsion length. (D.148)

DRAFT 11:26
B
B
B
curvature torsion
shear
R
c
Figure D.2: Properties (curvature, torsion, shear) of a spatially inhomogeneous
vector eld B(x). The unit vector

b B/B = dx/d = T is locally tangent to
the vector eld B. The unit normal N is perpendicular to the vector eld B,
shown here in the curvature direction. The binormal B is orthogonal to both

b
and N.
DRAFT 11:26
If the unit normal N is taken to be in the direction, the parallel com-
ponent of the torsion vector is equal to the geodesic curvature [

b =
(
b) (
b )
b/ |
b|
g
].
The local shear (dierential twisting motion, or nonplanar dierential tan-
gential motion in the plane dened by

b = T and N) in a vector eld B is given
by the binormal component of the curl or rotation in the binormal unit vector:
B B = (
bN) (
bN) 1/L
S
, local shear. (D.149)
The shear length L
S
is dened as the scale length over which the vector eld
B(x) shears through an angle of one radian. The parallel component of the
total curl or rotation of a vector eld B is given by a combination of its torsion
and shear, and N N:

b = (
bN) (
bN) 2N (
b )(
bN) +N N
= + 2
N
+N N, total rotation in B eld. (D.150)
If the normal N is taken to be in the direction, N N = 0 and then
=
(
b) (
b)
|
b|
2
1
L
S
, local shear with N /||,
(D.151)
and

b = + 2
N
. (D.152)
In the absence of shear ( = 0), this last relation yields
N
= (1/2)
b
the torsion for rigid body rotation is just half the parallel component of the
rotation in the vector eld B.
In most applied mathematics books the normal N is taken to be in the curva-
ture vector direction (i.e., N ) instead of the direction. Then, the parallel
component of the torsion vector also vanishes [

b =

b (
b )
b =
b = 0] and

N
N, for N . (D.153)
For this case the interrelationships between the triad of unit vectors T, N, B are
given by the Frenet-Serret formulas:
dT
d
=
N
N, T B/B
b,
dN
d
=
N
T +
N
B, N = (
b )
b/ |(
b )
b|,
dB
d
=
N
N, B TN =

b .
(D.154)
The local shear and total rotation in the vector eld B for this case are as
given above in (D.149) and (D.150), respectively, for a general unit normal N.
DRAFT 11:26
D.7 Base Vectors and Vector Components
The three vectors e
1
, e
2
, e
3
, which are not necessarily orthogonal, can be used as
a basis for a three-dimensional coordinate system if they are linearly independent
(i.e., e
1
e
2
e
2
= 0). The three reciprocal base vectors e
1
, e
2
, e
3
are dened by
e
i
e
j
=
i
j
, (D.155)
where
i
j

_
1, i = j,
0, i = j,
Kronecker delta. (D.156)
The reciprocal base vectors can be written in terms of the original base vectors:
e
1
=
e
2
e
3
e
1
(e
2
e
3
)
, e
2
=
e
3
e
1
e
1
(e
2
e
3
)
, e
3
=
e
1
e
2
e
1
(e
2
e
3
)
. (D.157)
Or, in general index notation
e
i
=
ijk
e
j
e
k
e
1
(e
2
e
3
)
, i, j, k = permutations of 1, 2, 3 (D.158)
in which
ijk
=
_
_
_
+1 when i, j, k is an even permutation of 1, 2, 3
1 when i, j, k is an odd permutation of 1, 2, 3
0 when any two indices are equal Levi-Civita symbol.
(D.159)
The reciprocal LeviCivita symbol
ijk
is the same, i.e.,
ijk
=
ijk
. These for-
mulas are also valid if the subscripts and subscripts are reversed. Thus, the
original base vectors could be the reciprocal base vectors e
i
and the recip-
rocal base vectors could be the original base vectors e
i
since both sets of base
vectors are linearly independent. Either set can be used as a basis for repre-
senting three-dimensional vectors.
The identity tensor can be written in terms of the base or reciprocal vectors
as follows:
I

i
e
i
e
i
= e
1
e
1
+e
2
e
2
+e
3
e
3

i
e
i
e
i
= e
1
e
1
+e
2
e
2
+e
3
e
3
.
identity tensor (D.160)
This denition can be used to write any vector or operator in terms of either
its base or reciprocal vector components:
A = A I = (A e
1
)e
1
+ (A e
2
)e
2
+ (A e
3
)e
3
=
i
A
i
e
i
, A
i
A e
i
,
= (A e
1
)e
1
+ (A e
2
)e
2
+ (A e
3
)e
3
=
j
A
j
e
j
, A
j
A e
j
,
(D.161)
I = e
1
(e
1
) +e
2
(e
2
) +e
3
(e
3
)
= e
1
(e
1
) +e
2
(e
2
) +e
3
(e
3
). (D.162)
DRAFT 11:26
The dot product between two vectors A and B is given in terms of their
base and reciprocal vector components by
A B =
i
A
i
B
i
=
i
A
i
B
i
=
ij
(e
i
e
j
)A
i
B
j
=
ij
(e
i
e
j
)A
i
B
j
. (D.163)
Similarly, the cross product between two vectors is given by
AB =
ij
A
i
B
j
e
i
e
j
=
ijk
A
i
B
j
e
k
(e
1
e
2
e
3
)
=
ij
A
i
B
j
e
i
e
j
=
ijk
ijk
A
i
B
j
e
k
(e
1
e
2
e
3
)
= (e
1
e
2
e
3
)
_
_
_
_
_
_
e
1
e
2
e
3
A
1
A
2
A
3
B
1
B
2
B
3
_
_
_
_
_
_
= (e
1
e
2
e
3
)
_
_
_
_
_
_
e
1
e
2
e
3
A
1
A
2
A
3
B
1
B
2
B
3
_
_
_
_
_
_
. (D.164)
The dot-cross product of three vectors is given by
A BC =
ijk
A
i
B
j
C
k
e
i
e
j
e
k
=
ijk
ijk
A
i
B
j
C
k
(e
1
e
2
e
3
)
=
ijk
A
i
B
j
C
k
e
i
e
j
e
k
=
ijk
ijk
A
i
B
j
C
k
(e
1
e
2
e
3
)
= (e
1
e
2
e
3
)
_
_
_
_
_
_
A
1
A
2
A
3
B
1
B
2
B
3
C
1
C
2
C
3
_
_
_
_
_
_
= (e
1
e
2
e
3
)
_
_
_
_
_
_
A
1
A
2
A
3
B
1
B
2
B
3
C
1
C
2
C
3
_
_
_
_
_
_
. (D.165)
For the simplest situation where the three base vectors e
1
, e
2
, e
3
are orthog-
onal (e
1
e
2
= e
2
e
3
= e
1
e
3
= 0), the reciprocal vectors point in the same
directions as the original base vectors. Thus, after normalizing the base and
reciprocal vectors they become equal:
e
1
= e
1
/|e
1
| = e
1
= e
1
/|e
1
| orthogonal
e
2
= e
2
/|e
2
| = e
2
= e
2
/|e
2
| unit
e
3
= e
3
/|e
3
| = e
3
= e
3
/|e
3
| vectors. (D.166)
The simplications of (??)(??) are given in (D.196)(D.201) in the section
(D.9) below on orthogonal coordinate systems.
D.8 Curvilinear Coordinate Systems
Consider transformation from the Cartesian coordinate system x = (x, y, z)
to a curvilinear coordinate system labeled by the three independent functions
u
1
, u
2
, u
3
:
x = x(u
1
, u
2
, u
3
) : x = x(u
1
, u
2
, u
3
), y = y(u
1
, u
2
, u
3
), z = z(u
1
, u
2
, u
3
).
(D.167)
DRAFT 11:26
The transformation is invertible if the partial derivatives x/u
i
for i = 1, 2, 3
are continuous and the Jacobian determinant (i.e., x/u
1
x/u
2
x/u
3
)
formed from these nine partial derivatives does not vanish in the domain of
interest. The inverse transformation is then given by
u
i
= u
i
(x) : u
1
= u
1
(x, y, z), u
2
= u
2
(x, y, z), u
3
= u
3
(x, y, z). (D.168)
In a curvilinear coordinate system there are three coordinate surfaces:
u
1
(x) = c
1
(u
2
, u
3
variable),
u
2
(x) = c
2
(u
1
, u
3
variable),
u
3
(x) = c
3
(u
1
, u
2
variable).
(D.169)
There are also three coordinate curves given by
u
2
(x) = c
2
, u
3
(x) = c
3
(u
1
variable),
u
3
(x) = c
3
, u
1
(x) = c
1
(u
2
variable),
u
1
(x) = c
1
, u
2
(x) = c
2
(u
3
variable).
(D.170)
The direction in which u
i
increases along a coordinate curve is taken to be the
positive direction for u
i
. If the curvilinear coordinate curves intersect at right
angles (i.e., u
i
u
j
= 0 except for i = j), then the system is orthogonal. The
familiar Cartesian, cylindrical and spherical coordinate systems are all orthogo-
nal. They are discussed at the end of the next section which covers orthogonal
coordinates.
A nonorthogonal curvilinear coordinate system can be constructed from an
invertible set of functions u
1
(x), u
2
(x), u
3
(x) as follows. A set of base vectors
e
i
can be dened by
e
i
= u
i
, i = 1, 2, 3 contravariant base vectors. (D.171)
These so-called contravariant (superscript index) base vectors point in the direc-
tion of the gradient of the curvilinear coordinates u
i
, and hence in the directions
perpendicular to the u
i
(x) = c
i
surfaces. The set of reciprocal base vectors e
i
is given by
e
i
=
ijk
e
j
e
k
e
1
e
2
e
3
=

ijk
J
1
u
j
u
k
, covariant base vectors, (D.172)
in which
J
1
u
1
u
2
u
3
= e
1
e
2
e
3
inverse Jacobian (D.173)
is the Jacobian of the inverse transformation from the u
i
curvilinear coordi-
nate system back to the original Cartesian coordinate system.
An alternative form for the reciprocal base vectors can be obtained from the
denition of the derivative of one of the curvilinear coordinates u
i
(x) in terms
of the gradient: du
i
= u
i
dx = u
i

j
(x/u
j
) dx
j
, which becomes an
DRAFT 11:26
identity if and only if u
i
(x/u
j
) =
i
j
. Since this last relation is the same
as the dening relation for reciprocal base vectors (e
i
e
j
=
i
j
), it follows that
e
i
=
x
u
i
, i = 1, 2, 3 covariant base vectors. (D.174)
The so-called covariant (subscript index) base vectors point in the direction
of the local tangent to the u
i
variable coordinate curve (from the x/u
i
def-
inition), i.e., parallel to the u
i
coordinate curve. Alternatively, the covariant
base vectors can be thought of as pointing in the direction of the cross product
of contravariant base vectors for the two coordinate surfaces other than the u
i
coordinate being considered (from the u
j
u
k
denition). That these two
directional denitions coincide follows from the properties of curvilinear sur-
faces and curves. The contravariant base vectors e
i
can also be dened as the
reciprocal base vectors of covariant base vectors e
i
:
e
i
=
ijk
e
j
e
k
e
1
e
2
e
2
=

ijk
J
x
u
j
x
u
k
; i, j, k = permutations of 1, 2, 3
contravariant base vectors
(D.175)
in which
J =
x
u
1

x
u
2
x
u
3
= e
1
e
2
e
3
Jacobian (D.176)
is the Jacobian of the transformation from the Cartesian coordinate system to
the curvilinear coordinate system specied by the functions u
i
.
The geometrical properties of a nonorthogonal curvilinear coordinate system
are characterized by the dot products of the base vectors:
g
ij
e
i
e
j
=
x
u
i

x
u
j
covariant metric elements,
g
ij
e
i
e
j
= u
i
u
j
contravariant metric elements.
(D.177)
These symmetric tensor metric elements can be used to write the covariant
components of a vector in terms of its contravariant components and vice versa:
A
i
A e
i
= A I e
i
=
j
(A e
j
)(e
j
e
i
) =
j
g
ij
A
j
A
i
A e
i
= A I e
i
=
j
(A e
j
)(e
j
e
i
) =
j
g
ij
A
i
.
(D.178)
Similarly, they can also be used to write the covariant base vectors in terms of
the contravariant base vectors and vice versa:
e
i
=
j
g
ij
e
j
, e
i
=
j
g
ij
e
i
. (D.179)
From the dot product between these relations and their respective reciprocal
base vectors it can be shown that
j
g
ij
g
jk
=
j
g
kj
g
ji
=
k
i
. (D.180)
DRAFT 11:26
The determinant of the matrix comprised of the metric coecients is called
g:
g g
ij
=
_
_
g
ij
_
_
1
, (D.181)
in which the second relation follows from interpreting the summation relations
at the end of the preceding paragraph in terms of matrix operations: [g
ij
][g
ik
]
= [I], which yields [g
ij
] = [g
jk
]
1
. Since the determinant of the inner product
of two matrices is given by the product of the determinants of the two matrices,
g = g
ij
=
_
_
_
_
x
u
i

x
u
j
_
_
_
_
=
_
_
_
_
x
u
i
_
_
_
_
_
_
_
_
x
u
j
_
_
_
_
=
_
x
u
1

x
u
2
x
u
3
_
2
= J
2
.
(D.182)
Thus, the determinant of the metric coecients is related to the Jacobian and
inverse Jacobian as follows:
J =
g = e
1
e
2
e
3
=
x
u
1

x
u
2
x
u
3
Jacobian,
J
1
= 1/
g = e
1
e
2
e
3
= u
1
u
2
u
3
inverse Jacobian.
(D.183)
The various partial derivatives in space can be worked out in terms of covari-
ant derivatives (/u
i
) using the properties of the covariant and contravariant
base vectors for a general, nonorthogonal curvilinear coordinate system as fol-
lows:
f =
i
u
i
f
u
i
=
i
e
i
f
u
i
gradient,
(D.184)
A = (A I) =
g (A e
i
)
e
i
g
=
i
e
i
g
(
gA
i
)
=
i
1
u
i
(
g A e
i
) =
i
1
J
u
i
(J A u
i
) divergence,
(D.185)
A = (A I) =
j
(A e
j
)e
j
=
j
A
j
u
j
=
ij
A
j
u
i
u
i
u
j
=
ijk
ijk
g
(A e
j
)
u
i
=
1
g
_
_
_
_
_
_
e
1
e
2
e
3
u
1
u
2
u
3
A
1
A
2
A
3
_
_
_
_
_
_
curl,
(D.186)
DRAFT 11:26
2
f f =
i
1
u
i
(
g e
i
j
e
j
f
u
j
)
=
ij
1
u
i
(
g g
ij
f
u
j
) =
ij
1
J
u
i
(J u
i
u
j
f
u
j
) Laplacian.
(D.187)
Dierential line, surface and volume elements can be written in terms of
dierentials of the coordinates u
i
of a general, nonorthogonal curvilinear coor-
dinate system as follows. Total vector dierential and line elements are:
dx =
i
x
u
i
dx
i
=
i
e
i
dx
i
|d|
dx dx =
_
ij
g
ij
du
i
du
j
metric of coordinates.
(D.188)
Dierential line elements d(i) along curve u
i
(du
j
= du
k
= 0) for i, j, k =
permutations of 1, 2, 3 are
d(i) = e
i
du
i
=

ijk
g
u
j
u
k
du
i
|d(i)| =
e
i
e
i
du
i
=
g
ii
du
i
(D.189)
The dierential surface element dS(i) in the u
i
= c
i
surface (du
i
= 0) for i, j, k
= permutations of 1, 2, 3 is
dS(i) d(j)d(k) =
g
ijk
u
i
du
j
du
k
|dS(i)| =
_
g
jj
g
kk
g
2
jk
du
j
du
k
=
_
g
ii
g du
j
du
k
(D.190)
The dierential volume element is
d
3
x d(1) d(2)d(3) = e
1
(e
2
e
3
) du
1
du
2
du
3
=
g du
1
du
2
du
3
.
(D.191)
D.9 Orthogonal Coordinate Systems
Consider transformation from the Cartesian coordinate system x = (x, y, z)
to an orthogonal curvilinear coordinate system dened by three independent
functions u
i
= u
i
(x, y, z) for i = 1, 2, 3. [Here, the superscripts 1,2,3 are not
powers; rather, they represent labels for the three functions. The functions are
labeled in this way to maintain consistency with the general (nonorthogonal)
curvilinear coordinate literature.] The coordinate surfaces are dened by u
i
=
c
i
, where c
i
are constants. The three orthogonal unit vectors that point in
directions locally perpendicular to the coordinate surfaces are
e
i
u
i
/|u
i
| orthogonal unit vectors. (D.192)
DRAFT 11:26
For the simplest orthogonal coordinate system, the Cartesian coordinate system,
e
1
= x = x, e
2
= y = y, e
3
= z = z.
Because of the normalization and assumed orthogonality of these unit vec-
tors,
e
i
e
j
=
ij

_
1, for i = j,
0, for i = j,
Kronecker delta. (D.193)
The cross products of unit vectors are governed by the right-hand rule which is
embodied in the mathematical relation
e
i
e
j
=
ijk
e
k
(D.194)
in which the Levi-Civita symbol
ijk
is dened by
ijk

_
_
_
+1, for i, j, k = 1, 2, 3 or 2, 3, 1 or 3, 1, 2 (even permutations)
1, for i, j, k = 2, 1, 3 or 1, 3, 2 or 3, 2, 1 (odd permutations)
0, for any two indices the same.
(D.195)
A vector A can be represented in terms of its components in the orthogonal
directions (parallel to u
i
) of the unit vectors e
i
:
A =
i
A
i
e
i
= A
1
e
1
+ A
2
e
2
+ A
3
e
3
, A
i
A e
i
(D.196)
For an orthogonal coordinate system the identity dyad or tensor is
I =
i
e
i
e
i
= e
1
e
1
+e
2
e
2
+e
3
e
3
identity tensor. (D.197)
Thus, the vector dierential operator becomes
= I =
i
e
i
(e
i
) = e
1
( e
1
) + e
2
( e
2
) + e
3
( e
3
)
=
i
u
i

u
i
= u
1

u
1
+u
2

u
2
+u
3

u
3
.
(D.198)
Here and below the sum over i is over the three components 1,2,3.
Using the relations for the dot and cross products of the unit vectors e
i
given
in (D.193) and (D.194) the dot, cross and dot-cross products of vectors become
A B =
i
A
i
B
i
= A
1
B
1
+ A
2
B
2
+ A
3
B
3
, (D.199)
AB =
ij
A
i
B
j
e
i
e
j
=
ijk
ijk
A
i
B
j
e
k
=
_
_
_
_
_
_
e
1
e
2
e
3
A
1
A
2
A
3
B
1
B
2
B
3
_
_
_
_
_
_
= e
1
(A
2
B
3
A
3
B
2
) +e
2
(A
3
B
1
A
1
B
2
) +e
3
(A
1
B
2
A
2
B
1
). (D.200)
A BC =
ijk
ijk
A
i
B
j
C
k
=
_
_
_
_
_
_
A
1
A
2
A
3
B
1
B
2
B
3
C
1
C
2
C
3
_
_
_
_
_
_
. (D.201)
DRAFT 11:26
The dierential line element in the i
th
direction is given by
d(i) = e
i
h
i
du
i
, with h
i
1/|u
i
|, dierential line element. (D.202)
Thus, the dierential surface vector for the u
i
= c
i
surface, which is dened by
dS(i) = d(j)d(k), becomes
dS(i) = e
i
h
j
h
k
du
j
du
k
, for i = j = k, dierential surface area. (D.203)
Since the dierential volume element is d
3
x = d(i) dS(i) = d(1) d(2)d(3)
and the Jacobian of the transformation is given by J = 1/(u
1
u
2
u
3
)
= h
1
h
2
h
3
,
d
3
x = h
1
h
2
h
3
du
1
du
2
du
3
, dierential volume. (D.204)
For orthogonal coordinate systems the various partial derivatives in space
are
f =
i
e
i
h
i
f
u
i
=
i
e
i
(e
i
) f, (D.205)
A =
i
1
J
u
i
_
J
h
i
A e
i
_
=
i
1
h
1
h
2
h
3
u
i
_
h
1
h
2
h
3
h
i
A e
i
_
, (D.206)
A =
ijk
ijk
h
k
e
k
J
u
i
(h
j
A e
j
) =
ijk
ijk
h
k
e
k
h
1
h
2
h
3
u
i
(h
j
A e
j
), (D.207)
2
f =
i
1
J
u
i
_
J
h
2
i
f
u
i
_
=
i
1
h
1
h
2
h
3
u
i
_
h
1
h
2
h
3
h
2
i
f
u
i
_
. (D.208)
The three most common orthogonal coordinate systems are the Cartesian,
cylindrical, and spherical coordinate systems. Their coordinate surfaces and
unit vectors are shown in Fig. D.3. They will be dened in this book by
Cartesian : u
i
= (x, y, z)
h
x
= 1, h
y
= 1, h
z
= 1 = J = 1; (D.209)
cylindrical : u
i
= (r, , z)
r
_
x
2
+ y
2
, arctan(y/x), z z,
x = r cos , y = r sin , z = z,
h
r
= 1, h
= r, h
z
= 1 = J = r; (D.210)
spherical : u
i
= (r, , )
r
_
x
2
+ y
2
+ z
2
, arctan(
_
x
2
+ y
2
/r), arctan(y/x),
x = r sin cos , y = r sin sin , z = r cos ,
h
r
= 1, h
= r, h
= r sin = J = r
2
sin . (D.211)
DRAFT 11:26
x
y
z
r
x=c
1
y=c
2
z=c
3
r=c
1
=c
2
z=c
3
r=c
1
=c
3
x
x
y
z
x
y
z
x
r
z
Cartesian cylindrical
spherical
=c
Figure D.3: Orthogonal unit vectors and constant coordinate surfaces for the
three most common orthogonal coordinate systems.
DRAFT 11:26
Note that with these denitions the cylindrical angle is the same as the az-
imuthal (longitudinal) spherical angle , but that the radial coordinate r is
dierent in the cylindrical and spherical coordinate systems. The spherical an-
gle is a latitude angle see Fig. D.3. Explicit forms for the various partial
derivatives in space, (D.205) (D.208), are given in Appendix Z.
REFERENCES
Intermediate level discussions of vector analysis are provided in
Greenberg, Advanced Engineering Mathematics, Chapters 13-16 (1998) [?]
Kusse and Westwig, Mathematical Physics (1998) [?]
Danielson, Vectors and Tensors in Engineering and Physics, 2nd Ed. (1997) [?]
More advanced treatments are available in
Arfken, Mathematical Methods for Physicists (??) [?]
Greenberg, Foundations of Applied Mathematics, Chapters 8,9 (1978) [?]
Morse and Feshbach, Methods of Theoretical Physics, Part I, Chapter 1 (1953)
[?]
DRAFT 11:26
APPENDIX F. TRANSFORMS, COMPLEX ANALYSIS 1
Appendix F
Transforms, Complex
Analysis
This appendix discusses Fourier and Laplace transforms as they are used in
plasma physics and this book. Also, key properties of complex variable theory
that are needed for understanding and inverting these transforms, and to dene
singular integrals that arise in plasma physics, are summarized here.
Fourier and Laplace transforms are useful in solving dierential equations be-
cause they convert dierentiation in the dependent variable into multiplication
by the transform variable. Thus, they convert linear dierential equations into
algebraic equations in the transformed variables. In addition, Laplace trans-
forms introduce the (temporal) initial conditions and hence causality into the
transformed equations and the ultimate (inverse transform) solution.
F.1 Fourier Transforms
Fourier transforms are usually used for representing spatial variations because
the spatial domain of the response is often localized away from the boundaries.
For such situations the spatial domain can be considered innite: [x[ . The
Fourier transform T (transformed functions are indicated by hats over them)
and its inverse T
1
are dened in three dimensions by
1
f(k) = Tf(x)
_
d
3
x e
ikx
f(x), Fourier transform, (F.1)
f(x)
ae
= T
1
f(k)
_
d
3
k
(2)
3
e
ikx

f(k), inverse Fourier transform. (F.2)
1
The ae above the equal sign in the second equation is there to remind us that the inverse
transform is equal to the original function almost everywhere namely, everywhere the
function f is continuous. At a jump discontinuity the inverse transform is equal to the average
of the function across the discontinuity: [f(x +0) + f(x 0)]/2.
DRAFT 12:20
These three dimensional integrals are dened in cartesian coordinates by
_
d
3
x
_

dx
_

dy
_

dz,
_
d
3
k
_

dk
x
_

dk
y
_

dk
z
. (F.3)
Sucient conditions for the integral in the Fourier transform to converge are that
f(x) be piecewise smooth and that the integral of f(x) converges absolutely:
_
d
3
x[f(x)[ < constant, Fourier transform convergence condition. (F.4)
When these conditions are satised, the inverse Fourier transform yields the
original function f(x) at all x except at a discontinuity in the function where it
yields the average of the values of f(x) on the two sides of the discontinuity.
Some useful Fourier transforms are (here k
2
k k)
T1 = (2)
3
(k), (F.5a)
T(x x
0
) = e
ikx0
, (F.5b)
Te
ik0x
= (2)
3
(k k
0
), (F.5c)
Te
|x|/
/[x[ = 4/(k
2
+ 1/
2
), (F.5d)
Te
|x|
2
/2
2
= (
2 )
3
e
k
2
2
/2
, (F.5e)
Tf(x) =

f(k), (F.5f)
Tf(x) = i k

f(k), (F.5g)
T A = i k

A(k), (F.5h)
TA(x) = i k
A(k), (F.5i)
T
2
f(x) = k
2
f(k), (F.5j)
T
_
d
3
x
G(x x
) f(x
) =

G(k)

f(k). (F.5k)
(F.5)
The last relation is called the Fourier convolution relation. Corresponding in-
verse Fourier transforms can be inferred by taking the inverse Fourier transforms
of these relations and using the fact that T
1
Tf(x)
ae
= f(x).
As can be seen from (F.5e), which is indicative of the Fourier transform
of the smoothest possible localized function in space, the localization in space
(x
rms
= ) times the localization in k-space (k
rms
= 1/) is subject to the
condition:
k x 1, uncertainty relation.
2
(F.6)
Taking the dot product of the Fourier transform of a vector eld with its
complex conjugate and integrating over all k-space yields
_
d
3
x[A(x)[
2
=
_
d
3
k
(2)
3
[
A(k)[
2
, Parsevals theorem. (F.7)
2
This uncertainty relation indicates the degree of localization in k-space for a given local-
ization of a function in x-space. For the energy density in wave-packets and the probability
density in quantum mechanics, the corresponding uncertainty principle is determined using the
square of the uctuating eld or wave function; then the uncertainty principle is k x 1/2.
DRAFT 12:20
F.2 Laplace Transforms
Laplace transforms are often used to analyze the temporal evolution in response
to initial conditions from the present time (t = 0) forward in time, which denes
an innite half-space time domain (0 < t < ) problem. The Laplace transform
L and its inverse L
1
are dened by
3
f() = Lf(t)
_

0
dt e
it
f(t), Laplace transform, (F.8)
f(t)
ae
= L
1
f()
_
+i
+i
d
2
e
it

f(), inverse Laplace transform. (F.9)
Sucient conditions for the Laplace transform integral to converge are that f(t)
be piecewise smooth and at most of exponential order:
lim
t
f(t) < constant e
t
, Laplace transform convergence condition, (F.10)
which denes the convergence parameter needed for the path of integration in
the inverse Laplace transform (F.9). The function f(t) can grow exponentially
in time like e
t
; then > is required for (F.10) to be satised. The obtained
transform

f() is only valid for 1m > . As indicated by the ae (almost
everywhere) over the equal sign in (F.9), the inverse Laplace transform yields
the original function f(t) for all t except at a discontinuity in the function where
it yields the average of the values of f(t) on the two sides of the discontinuity.
Because the original function and its inverse Laplace transform are only valid for
t 0, some people introduce a Heaviside step function H(t) (see Section B.1)
into the integral in the denition of the inverse transform in (F.9) to emphasize
that fact.
3
In plasma physics it is convenient to use e
it
as the integrating factor in the denition
of the Laplace transform so that when is real it will represent a (radian) frequency. Many
mathematics texts use e
st
or e
pt
(i s or p) as the integrating factor to emphasize
exponential growth or damping. Most electrical engineering texts use e
jt
(i j).
DRAFT 12:20
Some useful Laplace transforms are
Le
t
=
i
+ i
, > , (F.11a)
Le
i t
=
i

, > 1m , (F.11b)
Le
t
sin(
0
t) =

0
( i)
2
2
0
, > , (F.11c)
Le
t
cos(
0
t) =
i ( i)
( i)
2
2
0
, > , (F.11d)
L
_
e
x
2
/4Dt
t
_
=
e
x
i/D
i
, (F.11e)
LH(t) =
i
=
1
i
, (F.11f)
L(t) = 1, (F.11g)
L
d(t)
dt
= i, (F.11h)
L
_
e
i t
t
_
=
_

i( )
, (F.11i)
Lf(t) =

f(), (F.11j)
L

f(t) = i

f() f(0), (F.11k)
L
f(t) =
2
f() + if(0)

f(0), (F.11l)
Lt
n
f(t) =
1
i
n
d
n
f()
d
n
, (F.11m)
L
_
t
0
dt
G(t t
) f(t
) =

G()

f(). (F.11n)
(F.11)
In (F.11b) and (F.11i) the frequency is in general complex. In (F.11c) and
(F.11d) the frequency
0
and gowth rate are real. In (F.11g) and (F.11h)
the integrals over the delta functions are evaluated by taking account of the
lower limit of the Laplace transform integral being 0
(an innitesimal negative

time near zero) where the delta function vanishes. The last relation is called
the Laplace convolution relation. Corresponding inverse Laplace transforms
can be inferred by taking the inverse Laplace transforms of these relations and
using the fact that L
1
Lf(t)
ae
= f(t). [A Heaviside unit step function H(t)
(see Section B.1) is sometimes inserted to remind one that Laplace transforms
are only dened for t > 0, i.e., L
1
Lf(t)
ae
= H(t)f(t).] The simultaneous
localization in time and frequency is subject to a condition similar to (F.6):
t 1, uncertainty relation. (F.12)
It is important to be aware of the dierences between Fourier and Laplace
transforms. The main dierence is that Fourier transforms represent functions
DRAFT 12:20
in innite domains (in space) that have no starting or ending points and no
preferred directions of motion in them. In contrast, Laplace transforms rep-
resent functions in an innite half-space of time that begins (with suitable in-
titial conditions) at t = 0, increases monotonically, and extends to an innite
time in the future (t ). These physical dierences are manifested math-
ematically in their transforms of unity. From (F.5a), the Fourier transform of
unity is T1 = (2)
3
(k), which is a function of k that is singular at k = 0.
In contrast, from (F.11a) with 0, the corresponding Laplace transfom is
L1 = i/, 1m > 0, which is singular for 0 but with the nature of
the singularity dened (see Sections F.4 to F.6) by the condition 1m > .
Physically, this condition implies that as time progresses the response grows
less rapidly than e
t
. Thus, Laplace transforms embody the physical property
of causality that the response proceeds sequentially in time from its initial condi-
tions whereas Fourier transforms embody no such directionality in the response
(or dependence on initial or boundary conditions). This key dierence is often
highlighted by referring to the relevance of Laplace transforms for initial value
problems and for ensuring temporal causality in the solution.
F.3 Combined Fourier-Laplace Transforms
Often we will need a combination of a three-dimensional Fourier transform in
space and a Laplace transform in time, which is dened by
f(k, ) = TLf(x, t)
_
d
3
x
_

0
dt e
i(kxt)
f(x, t). (F.13)
The corresponding combined inverse transform is dened by
f(x, t)
ae
= T
1
L
1
f(k, )
_
d
3
k
(2)
3
_
+i
+i
d
2
e
i(kxt)

f(k, ). (F.14)
For a monochromatic wave [

f(k, ) = f
k0,0
(2)
4
(k k
0
)(
0
)], we have
f(x, t) = f
k0,0
e
i(k0x0t)
, three-dimensional plane wave. (F.15)
The representation of f(x, t) in terms of its transform

f(k, ) in (F.14) is a
very useful form that is often used (for both scalar functions and vector elds)
and one from which the Fourier and Laplace transforms of spatial and temporal
derivatives in (F.5f)(F.5j) and (F.11j)(F.11l) can be deduced readily.
F.4 Properties of Complex Variables, Functions
A complex variable z = x + iy is a two-dimensional variable (vector) that has
real [x ez z
R
] and imaginary [y 1mz z
I
] parts. Its cartesian and
polar angle representations are
z = x + iy = z
R
+ iz
I
= re
i
, r [z[ =
z =
_
x
2
+ y
2
, = arctan y/x.
(F.16)
DRAFT 12:20
The function e
i
is repesented by
e
i
= cos + i sin , Eulers formula. (F.17)
Thus, the imaginary unit number i
1 = e
i/2
. [More generally, one denes
i = e
i(4n+1)/2
, n = 0, 1, 2, . . ..] The complex conjugate of z is
z
= x iy = [z[e
i
, complex conjugate. (F.18)
The reciprocal of a complex variable can be written many ways:
1
z
=
1
x + iy
=
x iy
(x + iy)(x iy)
=
x iy
x
2
+ y
2
=
z
[z[
2
=
e
i
[z[
. (F.19)
A function of a complex variable w(z) w
R
(z)+i w
I
(z) is analytic at a point
z z
R
+ i z
I
if its derivative dw/dz exists there and is the same irrespective
of the direction in the complex z-plane along which the derivative is calculated.
This criterion for a function to be analytic yields the sucient conditions
w
R
z
R
=
w
I
z
I
,
w
R
z
I
=
w
I
z
R
, Cauchy-Riemann conditions for analyticity.
(F.20)
A general expansion of a complex function around z = z
0
is
w(z) =
n=
c
n
(z z
0
)
n
, Laurent expansion. (F.21)
This expansion reduces to a Taylor series expansion if c
n
= 0 for all n < 0; then,
c
n
= (1/n!) d
n
f/dz
n
[
z=z0
, n = 0, 1, 2, . . ..
All functions that are analytic over a region can be expressed in terms of
convergent Taylor series, with the radius of convergence bounded by the dis-
tance from the expansion point to the nearest singularity. Examples of (entire)
functions that are analytic over the entire nite z-plane are z, z
n
, sin z, e
z
. On
the other hand, the function w
1
(z) = 1 + z + z
2
+ has a radius of con-
vergence [z[ < 1. An analytic function can be analytically continued to ad-
jacent regions where the function is analytic through Taylor series expansion
about other points in the original analytic region or by other means. For ex-
ample, the power series in the function w
1
(z) above can be summed to yield
w
1
(z) = 1/(1 z) = 1/(z 1), which can be represented by a Laurent series
with c
1
= 1 and z
0
= 1 with all other c
n
= 0. The function 1/(z 1) is
analytic everywhere except at z = 1 and represents the analytic continuation of
the power series respresentation of w
1
(z) to all z ,= 1.
Nonanalytic functions have singularities (z values where they are unbounded
or about which they are multivalued) and are represented by the Laurent series
with c
n
,= 0 for some n < 0. Isolated singularities are classied as follows:
Poles. If the maximum negative power in the Laurent expansion (F.21)
is m (i.e., c
m
,= 0 and c
n
= 0 for n > m), then the function w(z) has
an m
th
-order pole at z = z
0
. For example, w
1
(z) = 1/(z 1) has a
rst-order pole at z = 1 and 1/(z 1)
2
has a second-order pole at z = 1.
DRAFT 12:20
Figure F.1: Cauchy integral contours C that: a) do not enclose z
0
, b) go
through z
0
(really enclose with a small semi-circle), and c) fully enclose z
0
.
Essential Singularities. If there are an innite number of negative powers
present in the Laurent series (F.21), w(z) has an essential singularity at
z
0
. For example, e
1/z
= 11/z +1/2z
2
has an essential singularity
at z = 0 and hence is nonanalytic there. The logarithm function lnz =
ln [z[ +i is multivalued (has dierent values for the same z depending on
which 2 interval is taken to be in) and has an essential singularity at
z = 0 where it is unbounded. Its principal value is usually dened for
0 < 2 with a branch cut inserted at = 2. Additional branches
(Riemann sheets) of ln z are dened for 2 < 4, etc. Since the
encircling of z = 0 is the source of the multivaluedness, it is known as
a branch point of lnz. Similarly,

z = [z[
1/2
e
i/2
has a branch point
(essential singularity) at z = 0 and has two branches that are usually
dened for 0 < 2 and 2 < 4.
F.5 Cauchy Integral
The key properties of integration around a simple, closed contour C in the
complex z plane are summarized by a generalized Cauchy integral formula:
_
C
dz
f(z)
z z
0
=
_
_
_
0, if C does not enclose z
0
, (F.22a)
i f(z
0
), if C goes through z
0
, (F.22b)
2i f(z
0
), if C encloses z
0
, (F.22c)
(F.22)
Cauchy integral formula.
Here, it is assumed that f(z) is an analytic function of z inside and on the
contour C, and motion along the contour is in the counterclockwise direction.
Also, it is assumed for (F.22b) that the contour C goes through the point z
0
on
a straight path (i.e., z
0
is not at a square corner or other irregular point on C)
and that z
0
is on the inside edge of the contour C in a limiting sense. The
contours for the three situations in (F.22) are shown in Fig. F.1.
For a general complex function w(z), (F.22c) generalizes to the residue the-
DRAFT 12:20
orem for a contour C that encloses isolated pole-type singularities at z = z
j
:
_
C
dz w(z) = 2i
j
c
1
(z
j
), Cauchy residue theorem. (F.23)
Here, c
1
(z
j
) is the residue [coecient c
1
in the Laurent expansion (F.21)] of
the function w(z) at the singular point z = z
j
, which is dened by
c
1
(z
j
) = lim
zzj
[(z z
j
) w(z)], rst-order pole, (F.24a)
c
1
(z
j
) =
1
(m1)!
lim
zzj
d
m1
dz
m1
[(z z
j
)
m
w(z)], m
th
-order pole. (F.24b)
(F.24)
F.6 Inverse Laplace Transform Example
To illustrate the use of these complex variable integration formulas (and develop
some inverse transform concepts that are important in plasma physics), consider
their use in evaluating the inverse Laplace transform of the weakly damped
( <<
0
) oscillator problem given in (??): x + x +
2
0
x = f(x, t). For
simplicity, assume the initial conditions are x(0) = x
0
, x(0) = 0 [
0
= /2 in
the initial conditions used to derive (??)] and that there is no forcing function f.
Taking the Laplace transform of the homogeneous damped oscillator equation
and solving for the transform of the response, one obtains
x() =

G()
S() =
x
0
( i)
2
i +
2
0
,

S() x
0
. (F.25)
The temporal response x(t) is obtained from the inverse Laplace transform:
x(t) = L
1
x() =
_
+i
+i
d
2
I(), (F.26)
I() =
e
it
x
0
( i)
(
+ i/2)( +
+ i/2)
. (F.27)
The integrand I() has rst-order poles at =
, with residues given by

c
1
(
) =
e
it
( i
)
2
i/2,
2
0
2
/4.
(F.28)
Figure F.2a illustrates the inverse Laplace transform integration path (L) in
(F.26) for an arbitrary > 0. As indicated, it is just a line integral from+i
to + i along a line that is parallel to the
R
e axis, but a distance
I
1m = above it. While for this problem we could convert this line
integral into a closed contour by adding the (vanishing, for t > 0) integral along
the innite semi-circle in the lower half -plane [C
sc
with [[ as shown
in Fig. F.2a], we will use a more generally useful procedure. [The vanishing of
DRAFT 12:20
Figure F.2: Illustration of: a) inverse Laplace transform integration path L and
innite semi-circle C
sc
in the lower half -plane which can be used as a closing
contour for t > 0, and b) inverse Laplace transform contour C
L
and dotted
contour C
0
which when added together yield the original integration path L.
the inverse Laplace transform for t < 0 can be shown by closing the contour on
an innite semi-circle in the upper half plane by observing that because of the
convergence condition (F.10) there are no singularities within this contour.]
For a general Laplace transform inversion procedure, we analytically con-
tinue the Laplace integration contour downward, being careful to deform the
contour around the singular points of the integrand, as indicated in Fig. F.2b.
The integral along the original Laplace integration path (L) is equal to the sum
of the Laplace contour C
L
and the dotted contour C
0
between it and the origi-
nal line integration path (L). However, since there are no singularities of I()
inside the C
0
contour, this integral vanishes by (F.22a). Thus, the integral in
(F.26) becomes
_
+i
+i
d
2
I() =
_
C0
d
2
I() +
_
C
L
d
2
I() =
_
C
L
d
2
I(). (F.29)
The C
L
contour integral includes the two rst-order poles at =
which are
evaluated
4
with (F.24a) using (F.28) for the residues, plus a line integral along
the path i to i which yields a contribution of order e
t
:
x(t) =
_
C
L
d
2
I() = i [c
1
(
+
) + c
1
(
)] +Oe
t
= x
0
e
t/2
_
cos
t +

2
sin
t
_
+Oe
t
, t 0. (F.30)
4
The residue integrals are the negative of (F.23) because the small circular contours around
the poles are in the clockwise direction rather than being in the counterclockwise direction
for which (F.22) and (F.23) are dened.
DRAFT 12:20
The rst term is the desired response and is the same as the result (??) obtained
via other means in Section E.2 for the present
0
= /2 case.
The Oe
t
term in (F.30) represents initial transient responses that decay
exponentially in time for t > 1/. For the present problem since there are no
other singularities in the lower half complex -plane, we can take and
this term vanishes. However, for plasma physics responses there are often many
(sometimes a denumerable innity of) singularities in the lower half complex -
plane and we are usually only interested in the time-asymptotic response. Then,
we usually only calculate the responses from the singularities that are highest in
the complex -plane, and estimate the time scale on which this time-asymptotic
response will obtain from the maximum for a contour C
L
that lies just above
the next highest singularities. Note that the resultant responses may be growing
exponentially in time (if the highest singularities are in the upper half -plane),
and that the transients may also be growing (more slowly) in time (if < 0).
The generic physical points evident from this inverse Laplace transform anal-
ysis procedure are that: 1) responses are determined by the singularities of the
integrand of the inverse Laplace transform, which in turn are usually determined
by the singularities of the Laplace transform of the system transfer (Green) func-
tion

G(); 2) the singularities that are highest in the complex -plane dominate
the time-asymptotic response; and 3) the next highest singularities determine
the time scale on which this asymptotic response becomes dominant.
F.7 Ballistic Propagation Example
As another example, we use Fourier-Laplace transforms and complex variable
theory to dene the singular responses to ballistic propagation of particles
along straight-line particle trajectories (??): x = x(t = 0) +vt. Consider a sim-
ple kinetic equation for a distribution f(x, v, t) with a kinetic source S
f
(x, v, t):
f
t
+v f = S
f
. (F.31)
Taking the Fourier-Laplace transform of this equation using (F.13), (F.5g), and
(F.11k), we obtain
i

f f(0) + ik v

f =

S
f
=

f(k, v, ) =

G(k, )

S(k, v, ), (F.32)
with transformed source

S

S
f
(k, v, ) +

f(k, v, t = 0) in which

f represents
just a Fourier transform in space rather than a full Fourier-Laplace transform.
The full transform

G(k, ) is in general called a transfer function. Here, it is
G(k, ) =
i
k v
, 1m > , ballistic propagator. (F.33)
This Fourier-Laplace transfer function has a singularity at = k v that is
dened (resolved) by the Laplace transform convergence condition (F.10) and
hence by the initial-value problem (causality) characteristics of the Laplace
DRAFT 12:20
transform. It is called the ballistic propagator in plasma physics because it
represents [in , k transform space see (F.35) below] motion along straight-
line particle trajectories.
The kinetic distribution f is obtained from the full inverse transform:
f(x, v, t) = T
1
L
1
f =
_
d
3
k
(2)
3
_
+i
+i
d
2
e
i(kxt)

G(k, )
S(k, v, )
=
_
t
0
dt
_
d
3
x
G(x x
, t t
) S(x
, v, t
), t 0, (F.34)
in which the second line follows from combining the convolution integrals (F.5k)
and (F.11n) that result from the inverse Fourier and Laplace transforms of the
products of the two transforms

G(k, ) and

S(k, v, ). The Green function
G(x, t) is obtained by rst using the same inverse Laplace transform procedure
of deforming the Laplace integration contour (see Fig. F.2) downward around
the singularity (in this case at = k v) as was used in the preceding analysis of
the damped oscillator. Then, taking account of the rst-order pole, evaluating
the residue via (F.24a), and using the delta function denition in (??) with
x x vt to evaluate the inverse Fourier transform, we obtain
G(x, t) = T
1
L
1
_
i
k v
_
=
_
d
3
k
(2)
3
e
ik(xvt)
= (x vt),
Green function. (F.35)
The inverse Fourier-Laplace transform of

S is obtained using (F.2), (F.9) and
L
1
of (F.11g):
S(x, v, t) = S
f
(x, v, t) + f(x, v, t = 0) (t). (F.36)
Substituting (F.35) and (F.36) into (F.34), we obtain for t 0
f(x, v, t) =
_
t
0
dt
_
d
3
x
[x x
v(t t
)] S(x
, v, t
)
= f(x vt, v, t = 0) +
_
t
0
dt
S
f
[x v(t t
), v, t
], (F.37)
which is the ballistic response we have been seeking. The rst term represents
propagation of the initial distribution function along the ballistic straight-line
particle trajectories x = x(t = 0) + vt, while the second represents the time
integral of the eect of the propagation of the source function along the same
trajectories. Since the solutions propagate (move along) the ballistic motion of
the particles, these are called ballistic solutions. Hence, the transform of the
Green function that caused this response, which is given in (F.33), is called the
ballistic propagator.
DRAFT 12:20
Figure F.3: Deformation of u integration contour around the singularity (rst-
order pole) at u = /k as 1m decreases from: a) the original denition
region 1m > > 0, b) to the real axis, and c) to the lower half -plane.
F.8 Singular Integrals In Plasma Physics
Next, we use complex variable theory to dene the types of singular integrals
that arise in plasma physics from integrating the ballistic propagator over dis-
tribution functions. Dening k v = ku, the types of integrals that arise are of
the form
I(/k)
_

du
g(u)
u /k
, 1m > > 0. (F.38)
A sucient condition for this integral to converge is that the integral of g(u) be
bounded (i.e., [
_
dug(u) [ < constant). This integral is analytically continued

to lower values of 1m by deforming the contour around the singularity at
u = /k as 1m moves from the upper to the lower half -plane, as indicated
in Fig. F.3 for the usual case of k > 0. (An integral in the complex plane
is analytically continued by deforming its integration contour so it is always
on the same side of any pole-type singularities.) Since the integration contour
passes under the singularity for 1m > 0, through it (but actually on a
small semi-circle below it) for 1m = 0, and encloses it for 1m < 0, using
(F.22) we see that I(/k) is dened (for
5
k > 0) by
_

du
g(u)
u /k

_
_
_

du
g(u)
u /k
, 1m/k > 0, (F.39a)
T
__

du
g(u)
u /k
_
+ i g(/k), 1m/k = 0, (F.39b)
_

du
g(u)
u /k
+ 2i g(/k), 1m/k < 0. (F.39c)
(F.39)
5
For k < 0 the integral I(/k) is originally dened for Im{/k} < 0 and analytically
continued to Im{/k} 0, which results in i g(/k) and 2i g(/k) terms (because of
the then clockwise rotation of the integration contour around the pole) on the second and
third lines of this denition which are then applicable for Im{/k} = 0 and Im{/k} > 0.
DRAFT 12:20
Figure F.4: Areas that cancel in the Cauchy principal value limit process as
0 to produce a convergent integral are shown cross-hatched.
For 1m = 0 the integration over the singularity in the real integrals inte-
grand at u = e/k u
0
is dened (i.e., made convergent) by the prescrip-
tion
T
__

du
g(u)
u u
0
_
lim
0
__
u0
du
g(u)
u u
0
+
_

u0+
du
g(u)
u u
0
_
,
Cauchy principal value operator T. (F.40)
As shown in Fig. F.4, the Cauchy principal value limit process causes the nearly
equal areas on the two sides of the singularity to cancel as 0; it thereby
yields a nite integral as long as g(u) is a continuous function of u at u = u
0
.
The denition of I(/k) in (F.39) appears to be discontinuous as 1m
approaches zero from above and below, but is in fact continuous there. In the
limit of 1m 0, the singular part of the integrand becomes
lim
0
1
u (u
0
i)
= lim
0
(u u
0
) i
(u u
0
)
2
+
2
= T
_
1
u u
0
_
i (u u
0
),
Plemelj formulas. (F.41)
In obtaining the last, imaginary term, we used the denition of the delta func-
tion from (??) and (??) in Section B.2. Using the Plemelj formulas, it can be
shown that the 1m 0 limits of both (F.39a) and (F.39c) yield (F.39b).
Thus, the denition in (F.39) is just what is needed to make I(/k) a continuous
function of 1m; hence, (F.39) represents the proper analytic continuation of
the function I(/k) dened in (F.38) from the upper half -plane, where it
is initially dened, to the entire -plane. Note also that since the representa-
tions in the various 1m regions are continuous in the vicinity of 1m 0,
we can use any of the representations there. In plasma physics the represen-
tation of I/k for 1m = 0 given in (F.39b) is often used for all 1m 0.
DRAFT 12:20
REFERENCES
Discussions of transforms and complex variable theory are provided in most ad-
vanced engineering mathematics and mathematical physics textbooks, for example:
Greenberg, Advanced Engineering Mathematics (1988,1998), Chapts. 5, 2124
[?]
Greenberg, Foundations of Applied Mathematics (1978), Chapts. 6, 1116 [?]
Morse and Feshbach, Methods of Theoretical Physics (1953), Vol. I, Chapt. 4
[?]
Arfken, Mathematical Methods for Physicists (1970) [?]
Kusse and Westwig, Mathematical Physics (1998), Chapts. 69 [?]
Classic treatises on the theory of complex variables are
Whittaker and Watson, A Course of Modern Analysis (1902,1963) [?]
Copson, Theory of Functions of a Complex Variable (1935) [?]
Carrier, Crook, Pearson, Functions of a Complex Variable (1966) [?]
An extensive table of Fourier and Laplace (and other) transforms is provided in
Erdèlyi, Tables of Integral Transforms, Vol. 1 (1954) [?]
DRAFT 12:20
APPENDIX Z. USEFUL FORMULAS 1
Appendix Z
Useful Formulas
DRAFT 13:41
Key Vector Relations
A B = B A, AB = BA, AA = 0,
A (BC) = (AB) C
A(BC) = B(A C) C(A B), bac-cab rule
(AB) (CD) = (A C) (B D) (A D) (B C)
(AB)(CD) = C(AB D) D(AB C)
A = A
b +A
with

b B/B
A
B A/B =

b A
A
B(BA)/B
2
=
b(
bA)
A = (B ) (A
/B) + (A
/B) ( B) + A
= A
[ ln B + (
b )
b] + (1/B)

b (BA
)
For A
= Bf/B
2
,

b (BA
) = (
b f) (
b)
(fg) = gf +fg f
2
f
(fA) = f A+f A f = 0
(fA) = fA+fA A
2
A
(fT) = f T +f T = ( A) (A)
(fT) = fT +fT A = 0
(B )(A C) = C (B ) A+A (B ) C
(A B) = A(B) +B(A) + (A ) B+ (B ) A
(AB) = B( A) + (A ) B
(AB) = B AA B
(AB) = A( B) B( A) + (B ) A(A ) B
For the general coordinate x xe
x
+ye
y
+ze
z
and |x|
_
x
2
+y
2
+z
2
,
x = 3, x = 0, x = I, I = 0, I = 0, A I = A,
|x| = x/|x|, (1/|x|) = x/|x|
3
,
2
(1/|x|) = 4(x), I A = A.
For a volume V enclosed by a closed, continuous surface S,
_
V
d
3
x A =
_
_
S
dS A, divergence, Gauss theorem.
For an open surface S bounded by a closed, continuous contour C,
__
S
dS A =
_
C
d A, Stokes theorem.
DRAFT 13:41
Explicit Forms Of Vector Dierentiation Operators
(for orthogonal curvilinear coordinates u
i
, e
i
u
i
/|u
i
|, A
i
e
i
A)
Cartesian coordinates: u
i
= (x, y, z),
_
d
3
x =
_
dx
_
dy
_
dz,
f = e
x
f
x
+e
y
f
y
+e
z
f
z
A =
A
x
x
+
A
y
y
+
A
z
z
A = e
x
_
A
z
y

A
y
z
_
+e
y
_
A
x
z

A
z
x
_
+e
z
_
A
y
x

A
x
y
_
2
f =

2
f
x
2
+

2
f
y
2
+

2
f
z
2
Cylindrical coordinates: u
i
= (r, , z),
_
d
3
x =
_
0
r dr
_
2
0
d
_
dz,
with r
_
x
2
+y
2
, arctan (y/x), z z,
and inverse relations x = r sin , y = r cos , z = z,
f = e
r
f
r
+e
1
r
f
+e
z
f
z
A =
1
r
r
(rA
r
) +
1
r
A
+
A
z
z
A = e
r
_
1
r
A
z
z
_
+e
_
A
r
z

A
z
r
_
+e
z
1
r
_

r
(rA
)
A
r
2
f =
1
r
r
_
r
f
r
_
+
1
r
2
2
f
2
+

2
f
z
2
Spherical coordinates: u
i
= (r, , ),
_
d
3
x =
_
0
r
2
dr
_
0
d sin
_
2
0
d,
with r
_
x
2
+y
2
+z
2
, arctan (
_
x
2
+y
2
/r), arctan (y/x),
and inverse relations x = r sin cos , y = r sin sin , z = r cos ,
f = e
r
f
r
+e
1
r
f
+e
1
r sin
f
A =
1
r
2
r
(r
2
A
r
) +
1
r sin
(sin A
) +
1
r sin
A
A = e
r
1
r sin
_

(sin A
)
A
_
+e
_
1
r sin
A
r

1
r
r
(rA
)
_
+e
1
r
_

r
(rA
)
A
r
2
f =
1
r
2
r
_
r
2
f
r
_
+
1
r
2
sin
_
sin
f
_
+
1
r
2
sin
2
2
f
2
DRAFT 13:41
Physical Constants
m
e
electron mass 9.11 10
31
kg, 511 keV
m
p
proton mass 1.67 10
27
kg, 938 MeV
m
p
/m
e
mass ratio 1836 = (42.85)
2
e elementary charge 1.602 10
19
C (= J/eV)
c speed of light in vacuum 3 10
8
m/s = 1/
0
permeability of vacuum 4 10
7
N/A
2
0
permittivity of vacuum 8.85 10
12
F/m, 4
0
10
10
h Planck constant 6.626 10
34
J s
N
A
Avogadro constant 6.022 10
23
#/mol
e/k
B
Boltzmann constant 11 604 K/eV
Key Plasma Formulas
Quantities are in SI (mks) units except temperature and energy which are ex-
pressed in eV; Z
i
is the ion charge state; A
i
m
i
/m
p
is the atomic mass number.
Frequencies
electron plasma
pe

_
n
e
e
2
m
e
0
56
n
e
rad/s, f
pe
9
n
e
Hz
ion gyrofrequency
ci

q
i
B
m
i
0.96 10
8
Z
i
B
A
i
rad/s
electron collision
e

4
3
(v
Te
)
5 10
11
n
e
Z
i
[T
e
(eV)]
3/2
_
ln
17
_
s
1
Lengths
electron Debye
De

_
0
T
e
n
e
e
2
7.4 10
3
_
T
e
(eV)
n
e
m
ion gyroradius
i

v
Ti
ci
1.4 10
4
_
T
i
(eV) A
i
Z
i
B
m
electron collision
e
=
v
Te
e
1.2 10
16
[T
e
(eV)]
2
n
e
Z
i
_
17
ln
_
m
Speeds, Velocities
electron thermal v
Te

_
2 T
e
/m
e
5.9 10
5
_
T
e
(eV) m/s
ion thermal v
Ti

_
2 T
i
/m
i
1.4 10
4
_
T
i
(eV)/A
i
m/s
ion acoustic (T
e
>> T
i
) c
S

_
Z
i
T
e
/m
i
10
4
_
Z
i
T
e
(eV)/A
i
m/s
Alfven c
A
B/
m
2.2 10
16
B/
n
i
A
i
m/s
electron diamagnetic
ow (dT
e
/dx = 0) V
e

T
e
q
e
B
_
1
n
e
dn
e
dx
_
e
y
=
T
e
(eV)
BL
n
e
y
m/s
electron drift in B(x)
(average, low ) v
de
=
2T
e
q
e
B
_
1
B
dB
dx
_
e
y
=
2 T
e
(eV)
BL
B
e
y
m/s
DRAFT 13:41
Drift, ow velocities (for
<< 1, <<
c
) perpendicular to B:
particle drift velocities plasma species ow velocities
v
F
= FB/qB
2
general force V
F
=

FB/qB
2
v
E
= EB/B
2
EB V
E
= EB/B
2
v
= BB/qB
2
grad-B
mv
2
/2B
v
= Bmv
2
/qB
2
curvature
(
b )
b = R
C
/R
2
C
diamagnetic V
= Bp/nqB
2
v
p
= Bm(dv
d
/dt)/qB
2
polarization V
p
= Bm(dV/dt)/qB
2
friction V
= RB/nqB
2
viscosity V
= B( )/nqB
2
v
d
= v
E
+v
+v
+v
p
total V = V
E
+V
+V
p
+V
+V
Diusivities
no magnetic eld
e
2
e
v
2
Te
/
e
7 10
21
[T
e
(eV)]
n
e
Z
i
5/2
_
17
ln
_
m
2
/s
magnetic eld /
0
(m
e
e
/n
e
e
2
)/
0
=
e
(c/
pe
)
2
1.4 10
3
_
Z
i
[T
e
(eV)]
3/2
__
ln
17
_
m
2
/s
classical
e
2
e
=
e
(/
0
)
5.6 10
22
n
e
Z
i
B
2
[T
e
(eV)]
1/2
_
ln
17
_
m
2
/s
Dimensionless
number of electrons
in Debye cube n
e
3
De
4.1 10
11
[T
e
(eV)]
3/2
/
n
e
Coulomb logarithm ln ln
_

D
max { b
cl
min
, b
qm
min
}
_
b
cl
min
= Z
i
/(12n
e
2
De
) 5 10
10
Z
i
/T
e
(eV) m
b
qm
min
= h/(4m
e
v) 1.1 10
10
/[T
e
(eV)]
1/2
m
plasma to
magnetic pressure
P
B
2
/2
0
=
n
e
T
e
+n
i
T
i
B
2
/2
0
4.0 10
25
_
n
e
B
2
_
_
T
e
(eV) +
n
i
n
e
T
i
(eV)
_
Lundquist number S
a
2
/(/
0
)
L
/c
A
1.6 10
13
a
2
B[T
e
(eV)]
3/2
L
Z
i
n
i
A
i
_
17
ln
_
DRAFT 13:41
Fundamental Equations of Physics
Mechanics
ma mdv/dt = F, v dx/dt Newtons second law
F = q (E+vB) Lorentz force
H = |p qA|
2
/2m+q , p = mv +qA Hamiltonian, energy
dp/dt = H/q, dq/dt = H/p Hamiltons equations
Electrodynamics
E =
q
/
0
Gausss law
E = B/t Faradays law
B = 0 no magnetic monopoles
B =
0
(J +
0
E/t) Amperes law,
0
0
= 1/c
2
0 =
q
/t + J charge continuity equation
E = A/t, B = A potential representations
Plasma Physics
Plasma kinetic equation (PKE) for distribution function f f
s
(x, v, t):
f/ t +v f/ x + (q/m) (E+vB) f/ v = C{f}.
Density, ow moments and charge, current densities:
n
s

_
d
3
v f
s
, V
s

_
d
3
v v f
s
/n
s
,
q

s
n
s
q
s
, J
s
n
s
q
s
V
s
.
Gibbs (A: adiabatic) distribution of plasma species with temperature T:
f
A
= n
0
_
m
2T
_
3/2
e
H/T
; n
A
(x, t) = n
0
e
q/T
, Boltzmann relation.
Maxwellian (M: collisional equilibrium) distribution (v
T

_
2T/m):
f
M
= n
_
m
2T
_
3/2
exp
_
m|v
|
2
2T
_
=
ne
v
2
/v
2
T
3/2
v
3
T
, v
v V.
Species uid moment equations (density, momentum, energy):
n/t + nV = 0, nT
_
d
3
v (mv
2
/3) f,
mn(dV/dt) = nq (E+VB) p +R, d/dt /t +V ,
(3/2)(ndT/dt) +p V = q : V+Q, p nT.
Magnetohydrodynamics (plasma uid description, isotropic pressure and
isentropic responses for plasma species,
m

s
n
s
m
s
, V
s
n
s
m
s
V
s
/
m
):
m
/t +
m
V = 0, E+VB = J, P
s
p
s
,
m
(dV/dt) = JBP, d ln
_
P/
m
_
/dt = ( 1) J
2
/P 0.
DRAFT 13:41

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Fundamentals of Plasma Physics 2006

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What are some of the fundamental areas of physics that plasma physics builds upon?

What are some of the fundamental areas of physics that plasma physics builds upon?

What is the distinguishing feature of the plasma medium?

What is the distinguishing feature of the plasma medium?

Fundamentals of

deection of its velocity vector, and the

Figure 1.1: Potential

. In this region we approx-

(x), (1.19) can thus be simplied to

(x) on the right would be negative;

(x) C exp(x/h) where h =

is equal to or slightly exceeds

extends only a few Debye lengths into the plasma. In

that the plasma will rise to in

is given in this plasma model by

and the electron

given in (1.23) and V

), following the discussion leading to (1.22) the ion

/L) sin t. Then, again neglecting numerical factors, we nd that

E ,= 0) and transverse (solenoidal,

E = 0) parts see Section D.5 of Appendix D. From the form of (1.43) it

D is related to the polarization

out of phase with respect

= 0, ion acoustic wave equation, (1.63)

1 because in this region the ion response is no longer

/k of the wave is the

out of phase with the electric eld perturbation), this

E ,= 0) electric eld perturbations, which as we will see in

E = 0 see Sections A.2 and D.5. These types of

Et. Finally, use a wave energy balance

. What is the line-average plasma

/v << 1 in velocity space.

is a rst order quantity in terms of the weak Coulomb

[, the scattering angle

) = 2v. The collision frequency for hard

) of the Coulomb collisional

)/t) t. The fact that the average of v

)/t) t; hence there is

)/vt). Note that for the collisional

/v << 1 is much less than the

see Problem 2.12 for a specic example.

)/t; hence the (second

in (2.25) with the

1/43 << 1] ow, which can be neglected.

, reference (subscript 0) plasma electrical conductivity,

10%) of the Coulomb collision operator, by

, collisional friction force density.

1/60 << 1. Because of their very disparate masses,

1/43 << 1; hence they are negligible for ion

in Section 2.10) becomes

. The background particles

, reduced mass. (2.55)

[, we readily nd that the change u in a single Coulomb collision

for test particles s colliding with background particles

. To do so we must relate v to the relative u determined above. Utilizing

and u u+u from before to after the collision,

) of the background par-

integration in equations (2.59) and (2.60); retaining the

integration would only yield negligible (additional) corrections

[). They are called Rosenbluth