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 PAT T E R N F O R M AT I O N A N D D Y N A M I C S
IN NONEQUILIBRIUM SYSTEMS

Many exciting frontiers of science and engineering require understanding of the spa-
tiotemporal properties of sustained nonequilibrium systems such as fluids, plasmas,
reacting and diffusing chemicals, crystals solidifying from a melt, heart muscle, and
networks of excitable neurons in brains.
This introductory textbook for graduate students in biology, chemistry, engineer-
ing, mathematics, and physics provides a systematic account of the basic science
common to these diverse areas. This book provides a careful pedagogical motivation
of key concepts, discusses why diverse nonequilibrium systems often show similar
patterns and dynamics, and gives a balanced discussion of the role of experiments,
simulation, and analytics. It contains numerous illustrative worked examples, and
over 150 exercises.
This book will also interest scientists who want to learn about the experi-
ments, simulations, and theory that explain how complex patterns form in sustained
nonequilibrium systems.

M i c h a e l C r o s s is a Professor of Theoretical Physics at the California Insti-

tute of Technology, USA. His research interests are in nonequilibrium and nonlinear
physics including pattern formation, chaos theory, nanomechanical systems, and
condensed matter physics, particularly the theory of liquid and solid helium.

H e n r y G r e e n s i d e is a Professor in the Department of Physics at Duke

University, USA. He has carried out research in condensed matter physics, plasma
physics, nonequilibrium pattern formation, and theoretical neurobiology. He is also
involved with outreach programs to stimulate interest in science and physics at
junior high school and high school levels.

GREENSIDE — “PRELIMS’’ — 2008/12/3 — 21:30 — PAGE i — #1

GREENSIDE — “PRELIMS’’ — 2008/12/3 — 21:30 — PAGE ii — #2
 PATTE R N F O R MATI O N
AN D DYNAM I C S I N
N O N E Q U I LI B R I U M SYSTE M S

M I C HAE L C R O S S
California Institute of Technology

HENRY GREENSIDE
Duke University

GREENSIDE — “PRELIMS’’— 2008/12/3 — 19:17 — PAGE iii — #3

 cambridge university press
Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo, Delhi
Cambridge University Press
The Edinburgh Building, Cambridge CB2 8RU, UK

Published in the United States of America by Cambridge University Press, New York

www.cambridge.org
Information on this title: www.cambridge.org/9780521770507

© M. Cross and H. Greenside 2009

This publication is in copyright. Subject to statutory exception

and to the provisions of relevant collective licensing agreements,
no reproduction of any part may take place without
the written permission of Cambridge University Press.

First published 2009

Printed in the United Kingdom at the University Press, Cambridge

A catalogue record for this publication is available from the British Library

Library of Congress Cataloguing in Publication data

ISBN 978-0-521-77050-7 hardback

Cambridge University Press has no responsibility for the persistence or

accuracy of URLs for external or third-party internet websites referred to
in this publication, and does not guarantee that any content on such
websites is, or will remain, accurate or appropriate.

GREENSIDE — “PRELIMS’’ — 2008/12/3 — 21:52 — PAGE iv — #4

 To our families

Katy, Colin and Lynn

Peyton, Arthur and Noel

GREENSIDE — “PRELIMS’’ — 2008/12/3 — 21:52 — PAGE v — #5

GREENSIDE — “PRELIMS’’ — 2008/12/3 — 21:52 — PAGE vi — #6
 Contents

Preface page xiii

1 Introduction 1
1.1 The big picture: why is the Universe not boring? 2
1.2 Convection: a first example of a nonequilibrium system 3
1.3 Examples of nonequilibrium patterns and dynamics 10
1.3.1 Natural patterns 10
1.3.2 Prepared patterns 20
1.3.3 What are the interesting questions? 35
1.4 New features of pattern-forming systems 38
1.4.1 Conceptual differences 38
1.4.2 New properties 43
1.5 A strategy for studying pattern-forming nonequilibrium
systems 44
1.6 Nonequilibrium systems not discussed in this book 48
1.7 Conclusion 49
1.8 Further reading 50
2 Linear instability: basics 56
2.1 Conceptual framework for a linear stability analysis 57
2.2 Linear stability analysis of a pattern-forming system 63
2.2.1 One-dimensional Swift–Hohenberg equation 63
2.2.2 Linear stability analysis 64
2.2.3 Growth rates and instability diagram 67
2.3 Key steps of a linear stability analysis 69
2.4 Experimental investigations of linear stability 70
2.4.1 General remarks 70
2.4.2 Taylor–Couette instability 74

vii

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 viii Contents

2.5 Classification for linear instabilities of a uniform

state 75
2.5.1 Type-I instability 77
2.5.2 Type-II instability 79
2.5.3 Type-III instability 80
2.6 Role of symmetry in a linear stability analysis 81
2.6.1 Rotationally invariant systems 82
2.6.2 Uniaxial systems 84
2.6.3 Anisotropic systems 86
2.6.4 Formal discussion 86
2.7 Conclusions 88
2.8 Further reading 88
3 Linear instability: application to reacting and diffusing chemicals 96
3.1 Turing instability 96
3.1.1 Reaction–diffusion equations 97
3.1.2 Linear stability analysis 99
3.1.3 Oscillatory instability 108
3.2 Realistic chemical systems 109
3.2.1 Experimental apparatus 109
3.2.2 Evolution equations 110
3.2.3 Experimental results 116
3.3 Conclusions 119
3.4 Further reading 120
4 Nonlinear states 126
4.1 Nonlinear saturation 129
4.1.1 Complex amplitude 130
4.1.2 Bifurcation theory 134
4.1.3 Nonlinear stripe state of the Swift–Hohenberg
equation 137
4.2 Stability balloons 139
4.2.1 General discussion 139
4.2.2 Busse balloon for Rayleigh–Bénard
convection 147
4.3 Two-dimensional lattice states 152
4.4 Non-ideal states 158
4.4.1 Realistic patterns 158
4.4.2 Topological defects 160
4.4.3 Dynamics of defects 164
4.5 Conclusions 165
4.6 Further reading 166

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 Contents ix

5 Models 172
5.1 Swift–Hohenberg model 174
5.1.1 Heuristic derivation 175
5.1.2 Properties 178
5.1.3 Numerical simulations 182
5.1.4 Comparison with experimental systems 184
5.2 Generalized Swift–Hohenberg models 186
5.2.1 Non-symmetric model 186
5.2.2 Non-potential models 187
5.2.3 Models with mean flow 187
5.2.4 Model for rotating convection 189
5.2.5 Model for quasicrystalline patterns 191
5.3 Order-parameter equations 191
5.4 Complex Ginzburg–Landau equation 195
5.5 Kuramoto–Sivashinsky equation 196
5.6 Reaction–diffusion models 198
5.7 Models that are discrete in space, time, or value 200
5.8 Conclusions 200
5.9 Further reading 201
6 One-dimensional amplitude equation 206
6.1 Origin and meaning of the amplitude 209
6.2 Derivation of the amplitude equation 212
6.2.1 Phenomenological derivation 212
6.2.2 Deduction of the amplitude-equation parameters 215
6.2.3 Method of multiple scales 216
6.2.4 Boundary conditions for the amplitude equation 217
6.3 Properties of the amplitude equation 219
6.3.1 Universality and scales 219
6.3.2 Potential dynamics 222
6.4 Applications of the amplitude equation 224
6.4.1 Lateral boundaries 224
6.4.2 Eckhaus instability 228
6.4.3 Phase dynamics 232
6.5 Limitations of the amplitude equation formalism 235
6.6 Conclusions 236
6.7 Further reading 237
7 Amplitude equations for two-dimensional patterns 242
7.1 Stripes in rotationally invariant systems 244
7.1.1 Amplitude equation 244
7.1.2 Boundary conditions 246

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 x Contents

7.1.3 Potential 247

7.1.4 Stability balloon 248
7.1.5 Phase dynamics 250
7.2 Stripes in anisotropic systems 251
7.2.1 Amplitude equation 251
7.2.2 Stability balloon 252
7.2.3 Phase dynamics 253
7.3 Superimposed stripes 253
7.3.1 Amplitude equations 254
7.3.2 Competition between stripes and lattices 259
7.3.3 Hexagons in the absence of field inversion symmetry 262
7.3.4 Spatial variations 267
7.3.5 Cross-stripe instability 268
7.4 Conclusions 270
7.5 Further reading 271
8 Defects and fronts 279
8.1 Dislocations 279
8.1.1 Stationary dislocation 281
8.1.2 Dislocation dynamics 283
8.1.3 Interaction of dislocations 287
8.2 Grain boundaries 288
8.3 Fronts 294
8.3.1 Existence of front solutions 294
8.3.2 Front selection 301
8.3.3 Wave number selection 305
8.4 Conclusions 307
8.5 Further reading 307
9 Patterns far from threshold 313
9.1 Stripe and lattice states 315
9.1.1 Goldstone modes and phase dynamics 316
9.1.2 Phase diffusion equation 318
9.1.3 Beyond the phase equation 325
9.1.4 Wave number selection 329
9.2 Novel patterns 335
9.2.1 Pinning and disorder 336
9.2.2 Localized structures 338
9.2.3 Patterns based on front properties 340
9.2.4 Spatiotemporal chaos 343
9.3 Conclusions 350
9.4 Further reading 351

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 Contents xi

10 Oscillatory patterns 356

10.1 Convective and absolute instability 358
10.2 States arising from a type III-o instability 361
10.2.1 Phenomenology 361
10.2.2 Amplitude equation 363
10.2.3 Phase equation 366
10.2.4 Stability balloon 368
10.2.5 Defects: sources, sinks, shocks, and spirals 370
10.3 Unidirectional waves in a type I-o system 377
10.3.1 Amplitude equation 378
10.3.2 Criterion for absolute instability 380
10.3.3 Absorbing boundaries 381
10.3.4 Noise sustained structures 382
10.3.5 Local modes 384
10.4 Bidirectional waves in a type I-o system 386
10.4.1 Traveling and standing waves 387
10.4.2 Onset in finite geometries 388
10.4.3 Nonlinear waves with reflecting
boundaries 390
10.5 Waves in a two-dimensional type I-o system 391
10.6 Conclusions 393
10.7 Further reading 394
11 Excitable media 399
11.1 Nerve fibers and heart muscle 402
11.1.1 Hodgkin–Huxley model of action potentials 402
11.1.2 Models of electrical signalling in the heart 409
11.1.3 FitzHugh–Nagumo model 411
11.2 Oscillatory or excitable 414
11.2.1 Relaxation oscillations 417
11.2.2 Excitable dynamics 418
11.3 Front propagation 419
11.4 Pulses 422
11.5 Waves 424
11.6 Spirals 428
11.6.1 Structure 428
11.6.2 Formation 434
11.6.3 Instabilities 435
11.6.4 Three dimensions 437
11.6.5 Application to heart arrhythmias 439
11.7 Further reading 439

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 xii Contents

12 Numerical methods 443

12.1 Introduction 443
12.2 Discretization of fields and equations 445
12.2.1 Finitely many operations on a finite amount of data 445
12.2.2 The discretization of continuous fields 447
12.2.3 The discretization of equations 449
12.3 Time integration methods for pattern-forming systems 455
12.3.1 Overview 455
12.3.2 Explicit methods 458
12.3.3 Implicit methods 463
12.3.4 Operator splitting 468
12.3.5 How to choose the spatial and temporal resolutions 471
12.4 Stationary states of a pattern-forming system 473
12.4.1 Iterative methods 474
12.4.2 Newton’s method 475
12.5 Conclusion 480
12.6 Further reading 483
Appendix 1 Elementary bifurcation theory 493
Appendix 2 Multiple scales perturbation theory 500
Glossary 517
References 523
Index 528

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 Preface

This book is an introduction to the patterns and dynamics of sustained nonequi-

librium systems at a level appropriate for graduate students in biology, chemistry,
engineering, mathematics, physics, and other fields. Our intent is for the book to
serve as a second course that continues from a first introductory course in nonlinear
dynamics. While a first exposure to nonlinear dynamics traditionally emphasizes
how systems evolve in time, this book addresses new questions about the spatiotem-
poral structure of nonequilibrium systems. Students and researchers who succeed in
understanding most of the material presented here will have a good understanding
of many recent achievements and will be prepared to carry out original research on
related topics.
We can suggest three reasons why nonequilibrium systems are worthy of study.
First, observation tells us that most of the Universe consists of nonequilibrium sys-
tems and that these systems possess an extraordinarily rich and visually fascinating
variety of spatiotemporal structure. So one answer is sheer basic curiosity: where
does this rich structure come from and can we understand it? Experiments and sim-
ulations further tell us that many of these systems – whether they be fluids, granular
media, reacting chemicals, lasers, plasmas, or biological tissues – often have sim-
ilar dynamical properties. This then is the central scientific puzzle and challenge:
to identify and to explain the similarities of different nonequilibrium systems, to
discover unifying themes, and, if possible, to develop a quantitative understanding
of experiments and simulations.
A second reason for studying nonequilibrium phenomena is their importance to
technology. Although the many observed spatiotemporal patterns are often inter-
esting in their own right, an understanding of such patterns – e.g. being able to
predict when a pattern will go unstable or knowing how to select a pattern that
maximizes some property like heat transport – is often important technologically.
Representative examples are growing pure crystals, designing a high-power coher-
ent laser, improving yield and selectivity in chemical synthesis, and inventing new

xiii

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 xiv Preface

electrical control techniques to prevent epilepsy or a heart attack. In these and other
cases such as forecasting the weather or predicting earthquakes, improvements in
the design, control, and prediction of nonequilibrium systems are often limited by
our incomplete understanding of sustained nonequilibrium dynamics.
Finally, a third reason for learning the material in this book is to develop specific
conceptual, mathematical, and numerical skills for understanding complex phenom-
ena. Many nonequilibrium systems involve continuous media whose quantitative
description is given in terms of nonlinear partial differential equations. The solu-
tions of such equations can be difficult to understand (e.g. because they may evolve
nonperiodically in time and be simultaneously disordered in space), and questions
such as “Is the output from this computer simulation correct?’’, “Is this simulation
producing the same results as my experimental data?’’ or “Is experimental noise
relevant here?’’ may not be easily answered. As an example, one broadly useful
mathematical technique that we discuss and use several times throughout the book
is multiscale perturbation theory, which leads to so-called “amplitude equations’’
that provide a quantitatively useful reduction of complex dynamics. We also discuss
the role of numerical simulation, which has some advantages and disadvantages
compared to analytical theory and experimental investigation.
To help the reader master the various conceptual, mathematical, and numerical
skills, the book has numerous worked examples that we call etudes. By analogy
to a musical etude, which is a composition that helps a music student master a
particular technique while also learning a piece of artistic value, our etudes are
one- to two-page long worked examples that illustrate a particular idea and that
also try to provide a non-trivial application of the idea.
Although this book is intended for an interdisciplinary audience, it is really a
physics book in the following sense. Many of the nonequilibrium systems in the
Universe, for example a germ or a star, are simply too complex to analyze directly
and so are ill-suited for discovering fundamental properties upon which a general
quantitative understanding can be developed. In much of this book, we follow
a physics tradition of trying to identify and study simple idealized experimental
systems that also have some of the interesting properties observed in more complex
systems.
Thus instead of studying the exceedingly complex dynamics of the Earth’s
weather, which would require in turn understanding the effects of clouds, the solar
wind, the coupling to oceans and ice caps, the topography of mountains and forest,
and the effects of human industry, we instead focus our experimental and theoretical
attention on enormously simplified laboratory systems. One example is Rayleigh–
Bénard convection, which is a fluid experiment consisting of a thin horizontal layer
of a pure fluid that is driven out of equilibrium by a vertical temperature difference
that is constant in time and uniform in space. Another is a mixture of reacting and

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 Preface xv

diffusing chemicals in a thin layer of gel, with reservoirs of chemicals to sustain

the reaction. The bet is then that to understand aspects of what is going on in the
weather or in an epileptic brain, it will be useful to explore some basic questions
first for convection and other well-controlled laboratory systems. Similarly, as we
discuss later in the book, there are conceptual, mathematical, and computational
advantages if one studies simplified and reduced mathematical models such as the
Swift–Hohenberg and complex Ginzburg–Landau equations when trying to under-
stand the much more difficult partial differential equations that describe physical
systems quantitatively. The experiments, models, simulations, and theory discussed
in this book – especially the numerous comparisons of theory and simulation with
experiment – will give the reader valuable insights and confidence about how to
think about the more complex systems that are closer to their interests.
As background, readers of this book should know the equivalent of an introduc-
tory nonlinear dynamics course at the level of Strogatz’s book [99]. Readers should
feel comfortable with concepts such as phase space, dissipation, attractors (fixed
points, limit cycles, tori, and strange attractors), basins of attractors, the basic bifur-
cations (super- and subcritical, saddle-node, pitchfork, transcritical, Hopf), linear
stability analysis of fixed points, Lyapunov exponents, and fractal dimensions. A
previous exposure to thermodynamics and to fluid dynamics at an undergraduate
level will be helpful but is not essential and can be reviewed as needed. The reader
will need to be competent in using multivariate calculus, linear algebra, and Fourier
analysis at a junior undergraduate level. Several appendices in this book provide
concise reviews of some of this prerequisite material, but only on those parts that
are important for understanding the text.
There is too much material in this book for a single semester class so we give here
some suggestions of what material could be covered, based on several scenarios of
how the book might be used.
The first six chapters present the basic core material and should be covered in
most classes for which this book is a main text. By the end of Chapter 6, most of
the main ideas have been introduced, at least qualitatively. The successive chapters
present more advanced material that can be discussed selectively. For example,
those particularly interested in the systematic treatment of stationary patterns may
choose to complete the semester by studying all or parts of Chapters 7 and 8, which
provide quantitative discussions of two-dimensional patterns and localized struc-
tures, and Chapter 9 which is a more qualitative discussion of stationary patterns far
from onset. For a less mathematical approach, it is possible to leave out the more
technical Chapters 7 and 8 and move straight to Chapter 9 although we recommend
including the first three subsections of Section 7.3 on the central question of the
competition between stripes, two-dimensional lattices, and quasiperiodic patterns
(these sections can be read independently of the remainder of the chapter). If the

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 xvi Preface

interest is more in dynamical phenomena, such as oscillations, propagating pulses,

and waves (which may be the case if applying the ideas to signalling phenomena
in biology is a goal), the class may choose to skip Chapters 7–9, pausing briefly
to study Section 8.3 on fronts, and move immediately to Chapters 10 and 11 on
oscillatory patterns and excitable media. Numerical simulations are vital to many
aspects of the study of pattern formation, and to nonlinear dynamics in general, and
so any of the above suggestions may include all or parts of Chapter 12.
In learning about nonequilibrium physics and in writing this book, the authors
have benefitted from discussions with many colleagues and students. We would
like to thank Philip Bayly, Eberhard Bodenschatz, Eshel Ben-Jacob, Bob Behringer,
Helmut Brand, Hugues Chaté, Peilong Chen, Elizabeth Cherry, Keng-Hwee Chiam,
Bill Coughran Jr., Peter Daniels, David Egolf, Bogdan Epureanu, Paul Fischer, Jerry
Gollub, Roman Grigoriev, James Gunton, Craig Henriquez, Alain Karma, Kihong
Kim, Paul Kolodner, Lorenz Kramer, Andrew Krystal, Eugenia Kuo, Ming-Chih
Lai, Ron Lifshitz, Herbert Levine, Manfred Lücke, Paul Manneville, Dan Meiron,
Steve Morris, Alan Newell, Corey O’Hern, Mark Paul, Werner Pesch, Hermann
Riecke, Joel Reisman, Sam Safran, Janet Scheel, Berk Sensoy, Boris Shraiman,
Eric Siggia, Matt Strain, Cliff Surko, Harry Swinney, Shigeyuki Tajima, Gerry
Tesauro, Yuhai Tu, Wim van Saarloos, and Scott Zoldi. We would like to express
our appreciation to John Bechhoefer, Roman Grigoriev, Pierre Hohenberg, Steven
Morris, and Wim Van Saarloos for helpful comments on early drafts of this book.
And we would like especially to thank Guenter Ahlers and Pierre Hohenberg for
many enjoyable and inspiring discussions over the years.
We would also like to thank the Department of Energy, the National Science
Foundation, and the National Institute of Health for supporting our research over
many years. We also thank the Aspen Center for Physics and the Institute of The-
oretical Physics, Santa Barbara, where the authors were able to work productively
on parts of this book.
Henry Greenside would like to thank his wife, Noel Greis, for her patience,
support, and good cheer while he was working on this book.
Readers can find supplementary material on the book website at
http://mcc.caltech.edu/pattern-formation-book/ ,
or
www.phy.duke.edu/˜hsg/pattern-formation-book/ .
A list of errata will also be available on these websites.
We would be grateful to readers if they could forward to us comments they might
have about the material and its presentation. These comments can be e-mailed to
us at [email protected] or [email protected].

GREENSIDE — “PRELIMS’’ — 2008/12/3 — 21:52 — PAGE xvi — #16

 1
Introduction

In this opening chapter, we give an informal and qualitative overview – a pep talk –
to help you appreciate why sustained nonequilibrium systems are so interesting and
worthy of study.
We begin in Section 1.1 by discussing the big picture of how the Universe is filled
with nonequilibrium systems of many different kinds, a consequence of the fact
that the Universe had a beginning and has not yet stopped evolving. A profound and
important question is then to understand how the observed richness of structure in
the Universe arises from the property of not being in thermodynamic equilibrium.
In Section 1.2, a particularly well studied nonequilibrium system, Rayleigh–Bénard
convection, is introduced to establish some vocabulary and insight regarding what
is a nonequilibrium system. Next, in Section 1.3, we extend our discussion to
representative examples of nonequilibrium patterns in nature and in the labora-
tory, to illustrate the great diversity of such patterns and to provide some concrete
examples to think about. These examples serve to motivate some of the central ques-
tions that are discussed throughout the book, e.g. spatially dependent instabilities,
wave number selection, pattern formation, and spatiotemporal chaos. The humble
desktop-sized experiments discussed in this section, together with theory and sim-
ulations relating to them, can also be regarded as the real current battleground for
understanding nonequilibrium systems since there is a chance to compare theory
with experiment quantitatively.
Next, Section 1.4 discusses some of the ways that pattern-forming nonequilib-
rium systems differ from the low-dimensional dynamical systems that you may
have seen in an introductory nonlinear dynamics course. Some guidelines are also
given to determine qualitatively when low-dimensional nonlinear dynamics may
not suffice to analyze a particular nonequilibrium system. In Section 1.5, a strategy
is given and explained for exploring nonequilibrium systems. We explain why fluid
dynamics experiments have some advantages over other possible experimental sys-
tems and why certain fluid experiments such as Rayleigh–Bénard convection are

GREENSIDE — “CHAP01’’ — 2008/12/3 — 21:56 — PAGE 1 — #1

2 Introduction

especially attractive. Finally, Section 1.6 mentions some of the topics that we will
not address in this book for lack of time or expertise.

1.1 The big picture: why is the Universe not boring?

When people look at the world around them or peer through telescopes at outer
space, a question that sometime arises is: why is there something rather than noth-
ing? Why does our Universe consist of matter and light rather than being an empty
void? While this question remains unanswered scientifically and is intensely pur-
sued by researchers in particle physics and cosmology, in this book we discuss
a second related question that is also interesting and fundamental: why does the
existing matter and light have an interesting structure? Or more bluntly: why is the
Universe not boring?
For it turns out that it is not clear how the existence of matter and light, together
with the equations that determine their behavior, produce the extraordinary com-
plexity of the observed universe. Instead of all matter in the Universe being clumped
together in a single black hole, or spread out in a featureless cloud, we see with our
telescopes a stunning variety of galaxies of different shapes and sizes. The galax-
ies are not randomly distributed throughout space like molecules in a gas but are
organized in clusters, the clusters are organized in super-clusters, and these super-
clusters themselves are organized in voids and walls. Our Sun, a fairly typical star
in a fairly typical galaxy, is not a boring spherical static ball of gas but a complex
evolving tangled medium of plasma and magnetic fields that produces structure in
the form of convection cells, sunspots, and solar flares. Our Earth is not a boring
homogeneous static ball of matter but consists of an atmosphere, ocean, and rocky
mantle that each evolve in time in an endless never-repeating dynamics of weather,
water currents, and tectonic motion. Further, some of the atoms on the surface of
our earth have organized themselves into a biosphere of life forms, which we as
humans particularly appreciate as a source of rich and interesting structure that
evolves dynamically. Even at the level of a biological organism such as a mammal,
there is further complex structure and dynamics, e.g. in the electrical patterns of
the brain and in the beating of the heart.
So again we can ask: why does the matter and light that exist have such interesting
structure? As scientists, we can ask further: is it possible to explain the origin of
this rich structure and how it evolves in time? In fact, how should we define or
quantify such informal and qualitative concepts such as “structure’’ or “patterns’’
or “complexity’’ or “interesting?’’ On what details does this complexity depend and
how does this complexity change as various parameters that characterize a system
are varied?

GREENSIDE — “CHAP01’’ — 2008/12/3 — 21:56 — PAGE 2 — #2

 1.2 Convection: a first example 3

While this book will explain some of what is known about these questions, espe-
cially at the laboratory level which allows controlled reproducible experiments, we
can say at a hand-waving level why the Universe is interesting rather than boring:
the Universe was born in a cosmological Big Bang and is still young when measured
in units of the lifetime of a star. Thus the universe has not yet lasted long enough to
come to thermodynamic equilibrium: the Universe as a whole is a nonequilibrium
system. Because stars are young and have not yet reached thermodynamic equilib-
rium, the nuclear fuel in their core has not yet been consumed. The flux of energy
from this core through the surface of the star and out into space drives the complex
dynamics of the star’s plasma and magnetic field. Similarly, because the Earth is
still geologically young, its interior has not yet cooled down and the flux of heat
from its hot core out through its surface, together with heat received from the Sun,
drives the dynamics of the atmosphere, ocean, and mantle. And it is this same flux
of energy from the Earth and Sun that sustains Earth’s intricate biosphere.
This hand-waving explanation of the origin of nonequilibrium structure is
unsatisfactory since it does not lead to the quantitative testing of predictions by
experiment. To make progress, scientists have found it useful to turn to desktop
experimental systems that can be readily manipulated and studied, and that are also
easier to analyze mathematically and to simulate with a computer. The experiments
and theory described in this book summarize some of the systematic experimental
and theoretical efforts of the last thirty years to understand how to predict and to
analyze such desktop nonequilibrium phenomena. However, you should appreciate
that much interesting research remains to be carried out if our desktop insights are
to be related to the more complex systems found in the world around us. We hope
that this book will encourage you to become an active participant in this challenging
endeavor.

1.2 Convection: a first example of a nonequilibrium system

Before surveying some examples that illustrate the diversity of patterns and dynam-
ics in natural and controlled nonequilibrium systems, we first discuss a particular
yet representative nonequilibrium system, a fluid dynamics experiment known as
Rayleigh–Bénard convection. Our discussion here is qualitative since we wish to
impart quickly some basic vocabulary and a sense of the interesting issues before
turning to the examples discussed in Section 1.3 below. We will return to con-
vection many times throughout the book, since it is one of the most thoroughly
studied of all sustained nonequilibrium systems, and has repeatedly yielded valuable
experimental and theoretical insights.
A Rayleigh–Bénard convection experiment consists of a layer of fluid, e.g. air
or water, between two horizontal plates such that the bottom plate is warm and

GREENSIDE — “CHAP01’’ — 2008/12/3 — 21:56 — PAGE 3 — #3

4 Introduction

Cold T2

Warm T1

Fig. 1.1 Rayleigh–Bénard convection of a fluid layer between two horizontal

plates is one of the simplest sustained nonequilibrium systems. The drawing shows
a featureless square room of lateral width L and height d with copper-covered floor
and ceiling, and supporting walls made of wood. By appropriate plumbing and
control circuits, the floor and ceiling are maintained at constant temperatures of T1
and T2 respectively. When the temperature difference T = T1 −T2 is sufficiently
large, the warm less-dense air near the floor and the cold more-dense air near the
ceiling spontaneously start to move, i.e. convection sets in. The rising and falling
regions of air eventually forms cellular structures known as convection rolls. The
characteristic roll size is about the depth d of the air.

the upper plate is cool. As an example to visualize (but a bit impractical for actual
experimentation as you will discover in Exercise 1.5), consider a square room whose
lateral width L is larger than its height d , and in which all furniture, doors, win-
dows, and fixtures have been removed so that there is only a smooth flat horizontal
floor, a smooth flat horizontal ceiling, and smooth flat vertical walls (see Fig. 1.1).
The floor and ceiling are then coated with a layer of copper, and just beneath the
floor and just above the ceiling some water-carrying pipes and electronic circuits
connected to water heaters are arranged so that the floor is maintained at a constant
temperature T1 and the ceiling is maintained at a constant temperature T2 .1 Because
copper conducts heat so well, any temperature variations within the floor or within
the ceiling quickly become negligible so that the floor and ceiling can be considered
as time-independent constant-temperature surfaces. The supporting sidewalls are
made of some material that conducts heat poorly such as wood or Plexiglas.
A typical nonequilibrium experiment for the room in Fig. 1.1 would then be
simply to fix the temperature difference T = T1 − T2 at some value and then
to observe what happens to the air. “Observe what happens’’ can mean several

1 Uniformly warming the floor and cooling the ceiling is not the usual way that a room is heated. Instead, a
convector – a localized heat source with a large surface area – is placed somewhere in the room, and heat is lost
through the windows instead of through the ceiling. (What we call a convector everyone else calls a radiator
but this is poorly named since the air is heated mainly by convection, not by radiation.) But this nonuniform
geometry is more complicated, and so less well suited, than our idealized room for experiment and analysis.

GREENSIDE — “CHAP01’’ — 2008/12/3 — 21:56 — PAGE 4 — #4

 1.2 Convection: a first example 5

things depending on the questions of interest. By introducing some smoke into the
room, the pattern of air currents could be visualized. A more quantitative obser-
vation might involve recording as a function of time t some local quantity such
as the temperature T (x0 , t) or the x-component of the air’s velocity vx (x0 , t) at a
particular fixed position x0 = (x0 , y0 , z0 ) inside the room. Alternatively, an experi-
mentalist might choose to record some global quantity such as the total heat H (t)
transported from the floor to the ceiling, a quantity of possible interest to mechan-
ical engineers and architects. These measurements of some quantity at successive
moments of time constitute a time series that can be stored, plotted, and analyzed.
A more ambitious and difficult observation might consist of measuring multivariate
time series, e.g. measuring the temperature field T (x, t) and the components of the
velocity field v(x, t) simultaneously at many different spatial points, at successive
instants of time. These data could then be made into movies or analyzed statisti-
cally. All of these observations are carried out for a particular fixed choice of the
temperature difference T and over some long time interval (long enough that
any transient behavior will decay sufficiently). Other experiments might involve
repeating the same measurements but for several successive values of T , with each
value again held constant during a given experiment. In this way, the spatiotemporal
dynamical properties of the air in the room can be mapped out as a function of the
parameter T , and various dynamical states and transitions between them can be
identified.
The temperature difference T is a particularly important parameter in a convec-
tion experiment because it determines whether or not the fluid is in thermodynamic
equilibrium. (It is precisely the fact that the nonequilibrium properties of the entire
room can be described by a single parameter T that constitutes the idealization
of this experiment, and that motivated the extra experimental work of coating the
floor and ceiling with copper.) If T = 0 so that the ceiling and floor have the
same common temperature T = T1 = T2 , then after some transient time, the air will
be in thermodynamic equilibrium with zero velocity and the same uniform temper-
ature T throughout. There is typically a transient time associated with approaching
thermodynamic equilibrium because the air itself is rarely in such equilibrium with-
out taking special precautions. For example, there might be a small breeze in the
air when the door to the experimental room is closed or some part of the air may
be a bit warmer than some other part because someone walked through the room.
But as long as the room is sealed and the floor and ceiling have the same tempera-
ture, all macroscopic motion in the air will die out and the air will attain the same
temperature everywhere.
As soon as the temperature difference T becomes nonzero (with either sign),
the air can no longer be in thermodynamic equilibrium since the temperature is
spatially nonuniform. One says that the air is driven out of equilibrium by the

GREENSIDE — “CHAP01’’ — 2008/12/3 — 21:56 — PAGE 5 — #5

6 Introduction

temperature difference since the nonequilibrium state is maintained as long as there

is a temperature difference. For the case T > 0 of a warm floor and cool ceiling,
as T becomes larger and larger (but again held constant throughout any particular
experiment), more and more energy flows through the air from the warm floor to
the cooler ceiling, the system is driven further from equilibrium, and more and
more complicated spatiotemporal dynamical states are observed. A temperature
difference is not the only way to drive a system out of equilibrium as we will
discuss in other parts of the book. Other possibilities include inducing relative
motion (e.g. pushing water through a pipe which creates a shear flow), varying
some parameter in a time-dependent fashion (e.g. shaking a cup of water up and
down), applying an electrical current across an electrical circuit, maintaining one
or more chemical gradients, or creating a deviation from a Maxwellian velocity
distribution of particles in a fusion plasma.
For any particular mechanism such as a temperature difference that drives a sys-
tem out of equilibrium, there are dissipative (friction-like) mechanisms that oppose
this driving and act in such a way so as to restore the system to equilibrium. For the
air convecting inside our room, there are two dissipative mechanisms that restore
the air to a state of thermodynamic equilibrium if T is set to zero. One is the
viscosity of the fluid, which acts to decrease any spatial variation of the velocity
field. Since it is known from fluid dynamics that the velocity of a fluid is zero at
a material surface,2 the only possible long-term behavior for a fluid approaching
equilibrium in the presence of static walls is that the velocity field everywhere
decays to zero. A second dissipative mechanism is heat conduction through the air.
The warm regions of air lose heat to the cooler regions of air by molecular dif-
fusion, and eventually the temperature becomes constant and uniform everywhere
inside the room. These dissipative mechanisms of viscosity and heat conduction
are always present, even when T  = 0, and so one often talks about a sustained
nonequilibrium system as a driven-dissipative system.
Rayleigh–Bénard convection is sometimes called buoyancy-induced convection
for reasons that illustrate a bit further the driving and dissipative mechanisms com-
peting in a nonequilibrium system. Let us consider an experiment in which the air in
the room has reached thermal equilibrium with T = 0 and then the temperature
difference T is increased to some positive value. Small parcels of air near the
floor will expand and so decrease in density as they absorb heat from the floor,
while small parcels of air near the ceiling will contract in volume and increase in
density as they lose heat to the ceiling. As illustrated in Fig. 1.2, buoyancy forces
then appear that accelerate the lighter warmer fluid upwards and the heavier colder

2 More precisely, the fluid velocity at a wall is zero in a frame of reference moving with the surface. Exercise 1.9
suggests a simple experiment using an electric fan to explore this point.

GREENSIDE — “CHAP01’’ — 2008/12/3 — 21:56 — PAGE 6 — #6

 1.2 Convection: a first example 7
T2

T1

Fig. 1.2 Illustration of the driving and dissipative forces acting on small parcels
of air near the floor and ceiling of the experimental room in Fig. 1.1 whose floor
is warmer than its ceiling. The parcels are assumed to be small enough that their
temperatures are approximately constant over their interiors. The acceleration of
the parcels by buoyancy forces is opposed by a friction arising from the fluid
viscosity and also by the diffusion of heat between warmer and cooler regions of
the fluid. Only when the temperature difference T = T1 − T2 exceeds a finite
critical value Tc > 0 can the buoyancy forces overcome the dissipation and
convection currents form.

fluid downwards, in accord with the truism that “hot air rises’’ and “cold air falls.’’
These buoyancy forces constitute the physical mechanism by which the tempera-
ture difference T “drives’’ the air out of equilibrium. As a warm parcel moves
upward, it has to push its way through the surrounding fluid and this motion is
opposed by the dissipative friction force associated with fluid viscosity. Also, as
the parcel rises, it loses heat by thermal conduction to the now cooler surrounding
air, becomes more dense, and the buoyancy force is diminished. Similar dissipative
effects act on a cool descending parcel.
From this microscopic picture, we can understand the experimental fact that
making the temperature difference T positive is a necessary but not sufficient
condition for the air to start moving since the buoyancy forces may not be strong
enough to overcome the dissipative effects of viscosity and conduction. Indeed,
experiment and theory show that only when the temperature difference exceeds a
threshold, a critical value we denote as Tc , will the buoyancy forces be sufficiently
large that the air will spontaneously start to move and a persistent spatiotemporal
structure will appear in the form of convection currents. If the room’s width L is
large compared to its depth d so that the influence of the walls on the bulk fluid
can be ignored, a precise criterion for the onset of convection can be stated in
the form

R > Rc . (1.1)

GREENSIDE — “CHAP01’’ — 2008/12/3 — 21:56 — PAGE 7 — #7

8 Introduction

Table 1.1. The isobaric coefficient of thermal expansion α, the kinematic

viscosity ν, and the thermal diffusivity κ for air, water, and mercury at
room temperature T = 293◦ K and at atmospheric pressure. These
parameters vary weakly with temperature.

Fluid α (K −1 ) ν (m2 /s) κ (m2 /s)

Air 3 × 10−3 2 × 10−5 2 × 10−5

Mercury 2 × 10−4 1 × 10−7 3 × 10−6
Water 2 × 10−4 1 × 10−6 2 × 10−7

The parameter R is defined in terms of various physical parameters

αgd 3 T
R= , (1.2)
νκ
and the critical value of R has the approximate value

Rc ≈ 1708. (1.3)

The parameters in Eq. (1.2) have the following meaning: g is the gravitational accel-
eration, about 9.8 m/s2 over much of the Earth’s surface; α = −(1/ρ)(∂ρ/∂T )|p
is the fluid’s coefficient of thermal expansion at constant pressure, and measures
the relative change in density ρ as the temperature is varied; d is the uniform depth
of the fluid; T is the uniform temperature difference across the fluid layer; ν is
the fluid’s kinematic viscosity; and κ is the fluid’s thermal diffusivity. Approximate
values of the parameters α, ν, and κ for air, water, and mercury at room temperature
(T = 293 K) and at atmospheric pressure are given in Table 1.1.
The combination of physical parameters in Eq. (1.2) is dimensionless and so has
the same value no matter what physical units are used in any given experiment,
e.g. System Internationale (SI), Centimeter-Gram-Seconds (CGS), or British. This
combination is denoted by the symbol “R’’ and is called the Rayleigh number in
honor of the physicist and applied mathematician Lord Rayleigh who, in 1916, was
the first to identify its significance for determining the onset of convection. The pure
number Rc is called the critical Rayleigh number Rc since it denotes the threshold
that R must exceed for convection to commence. The value Rc can be calculated
directly from the equations that govern the time evolution of a convecting fluid
(the Boussinesq equations) as the criterion when the motionless conducting state of
the fluid first becomes linearly unstable. The general method of this linear stability
analysis is described in Chapter 2.

GREENSIDE — “CHAP01’’ — 2008/12/3 — 21:56 — PAGE 8 — #8

 1.2 Convection: a first example 9

Despite its dependence on six parameters, you should think of the Rayleigh
number R as simply being proportional to the temperature difference T . The
reason is that all the parameters in Eq. (1.2) except T are approximately constant
in a typical series of convection experiments. Thus the parameters α, ν, and κ in
Eq. (1.1) depend weakly on temperature and are effectively fixed once a particular
fluid is chosen. The acceleration g is fixed once a particular geographical location
is selected for the experiment and the depth of the fluid d is typically fixed once
the convection cell has been designed and is difficult to vary as an experimental
parameter. Only the temperature difference T is easily changed substantially and
so this naturally becomes the experimental control parameter.
You should also note that the numerator αgd 3 T in Eq. (1.2) is related to quanti-
ties that determine the buoyancy force, while the denominator νκ involves quantities
related to the two dissipative mechanisms so Eq. (1.1) indeed states that instability
will not occur until the driving is sufficiently strong compared to the dissipation.
Most nonequilibrium systems have one or more such dimensionless parameters
associated with them and these parameters are key quantities to identify and to
measure when studying a nonequilibrium system.
What kind of dynamics can we expect for the air if the Rayleigh number R is
held constant at some value larger than the critical value Rc ? From Fig. 1.2, we
expect the warm fluid near the floor to rise and the cool fluid near the ceiling to
descend but the entire layer of ascending fluid near the floor cannot pass through the
entire layer of descending fluid near the ceiling because the fluid is approximately
incompressible. What is observed experimentally is pattern formation: the fluid
spontaneously achieves a compromise such that some regions of fluid rise and
neighboring regions descend, leading to the formation of a cellular convection
“pattern’’ in the temperature, velocity, and pressure fields. The distance between
adjacent rising and falling regions turns out to be about the depth of the air. Once
the air begins to convect, the dynamics becomes too complicated to understand by
casual arguments applied to small parcels of air and we need to turn to experiments
to observe what happens and to a deeper mathematical analysis to understand the
experimental results (see Figs. 1.14 and 1.15 below in Section 1.3.2). However, one
last observation can be made. The motion of the fluid parcels inside the experimental
system transport heat and thereby modify the temperature gradient that is felt in a
particular location inside the system. Thus the motion of the medium changes the
balance of driving and dissipation in different parts of the medium, and this is the
reason why the dynamics is nonlinear and often difficult to understand.
The general points we learn from the above discussion about Rayleigh–Bénard
convection are the following. There are mechanisms that can drive a system out of
thermodynamic equilibrium, such as a flux of energy, momentum or matter through
the system. This driving is opposed by one or more dissipative mechanisms such

GREENSIDE — “CHAP01’’ — 2008/12/3 — 21:56 — PAGE 9 — #9

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