Phonon Boltzmann equation non-local in space and time: the partial failure of the generalized Fourier law
Abstract
The purpose of this note is to clarify the solution of the non-local Peierls Boltzmann equation found by Hua and Lindsay (Phys. Rev. B 102, 104310 (2020)). They used methods of Cepellotti and Marzari. The response function “thermal distributor” is discussed. The new, “non-Fourier” term [ that occurs in non-local situations, gives rise also to a new term in the thermal distributor.
I Fourier law and nonlocal correction
Transport in bulk systems, with currents small enough to linearize, is given by simple linear response functions, such as the Fourier law for thermal conductivity, , where the temperature is close to a background temperature , deviating by a small correction , with uniform in space. However, in small systems, the current and temperature need to be studied on distance scales less than the mean free paths of heat carriers. A sensible assumption is that a non-local Fourier law, should describe the linear response. However, for non-uniform heat driving, a correction has been noticed recently. An additional, non-Fourier term appears. This was found recently by Hua and Lindsay Hua et al. (2019); Hua and Lindsay (2020). Hints of this can be found in earlier literature. Boltzmann theory shows how this happens. The derivation given below assumes heat carried by phonons in insulators. Similar results are expected for heat carried by electrons in metals, and also for electrical conduction. The derivation includes time-dependent driving of phonon heat.
II Non-local Peierls Boltzmann equation
The phonon, or Peierls, Boltzmann equation Peierls (1929); Ziman (1960) (PBE), linearized for small deviations from equilibrium, says that the phonon distribution evolves according to
(1) |
The symbol enumerates the eigenstates of the harmonic vibrational sustem. The scattering operator is linearized for small deviations from the local equilibrium distribution, a Bose-Einstein distribution at the local temperature ; is the rate per unit volume of energy input into mode , and is the background temperature. The specific heat has units energy divided by temperaturevolume, and has units power per volume. The external power input causes mode to increase in energy per unit time by an amount which would increase its effective temperature by . For simple driving, with independent of , the modal temperature increase is the same for all modes .
Non-local Boltzmann theories require a definition of local temperature; the one that works in Boltzmann theory is that the local energy density is . This means that there is no energy in the deviation . The sum defines .
III Scattering and Temperature
Each scattering event conserves phonon energy: , whether linearized in or not. In linear approximation, this is equivalent to the sum rule . The operator (where ) has a left null eigenvector , where . The vector lies in the space of harmonic eigenstates. The states are a complete orthonormal basis. In the coordinate space enumerated by unit cell at , and atom number , and Cartesian coordinate ,
(2) |
where the polarization vector is normalized, . But is not symmetric. The corresponding null right eigenvector is . This is equivalent to the statement that if the distribution consists of shifting the occupancy of every mode away from local equilbrium by with the same for each mode, the shifted distribution is already locally thermalized and doesn’t experience net scattering.
A symmetrized scattering operator is Simons (1960); Krumhansl (1965)
(3) |
The operator is defined as . The Bose factors in Eq. 3 are taken at the background temperature , not the local equilibrium temperature . Similarly the operator is defined at unless explicitly written as . The Boltzmann Eq. 1 is now
(4) | |||||
where The operators and are diagonal in -representation, and .
Now define from a deviation function ,
(5) |
Then Eq. 4 becomes
(6) |
(7) | |||||
The inhomogeneous part has been separated. It drives the deviation from local equilibrium, . Because of linearization, the equation is simplified by a Fourier transform,
(8) |
The different Fourier components are not coupled, and are treated one at a time, as if . The symbol is the external frequency, not to be confused with which is the operator version of the phonon frequency . Equations 6 and 7 become
(9) |
(10) |
Mode space has so far been described in -representation by harmonic eigenstates . It is convenient to also use the “relaxon”-representation of eigenstates Guyer and Krumhansl (1966); Maris (1969); Cepellotti and Marzari (2016) of .
(11) |
where
(12) |
The eigenvalues are relaxation rates, . In this basis, Eq. 9 has the form
(13) |
where and . There are modes ( where is the number of atoms in the unit cell), and Eq. 13 gives equations for the unknown components of the deviation function. But there are two fields ( and ) driving the distribution out of equilibrium, of which one (typically ) is unknown. An extra equation is needed. That equation is the definition of local temperature.
There is one null eigenvector, with eigenvalue . The vectors and deviate only by factors from the null left and right eigenvectors of . In -representation, the null eigenvector is
(14) |
The factor normalizes the state, . The definition of temperature takes the form
(15) | |||||
This shows that there are actually only unknown parts of , because the component, must be zero by the definition of local temperature.
Now we can rewrite the formula for using Eqs. 10 and 14,
(16) |
where . Now look at the component of Eq. 13,
(17) |
The left hand side of Eq. 17 is
(18) |
where is the energy (or heat) current density, . The right hand side of Eq. 17 is
(19) |
where , or
(20) |
and is the total specific heat. If is independent of , then for all modes . Thus the part of the Boltzmann equation expresses energy conservation. In representation,
(21) |
where .
IV The Solution
The method of solution is given by Hua and Lindsay Hua and Lindsay (2020). A earlier version is in a paper by Cepellotti and Marzari Cepellotti and Marzari (2017). Rewrite Eq. 13 by rescaling the distribution function and driving term :
(22) |
Equation 13 then becomes , or
(23) |
The matrix is real-symmetric, so it has real eigenvalues, :
(24) |
In this basis, Eq. 23 is , where , etc. Then the distribution function in the relaxon basis (the eigenbasis of ) is
(25) |
This is the desired solution. In the spatially homogeneous () and static () case, and , so and the bulk solution is recovered.
V Heat current
The operator is positive if we exclude the null space. The operator is defined in this “positive” or -space. It is convenient to define another operator in the same -space,
(26) |
The solution of the Boltzmann equation is then
(27) |
where is the part of the driving term that is orthogonal to (and thus lies in -space),
(28) |
As required, the inner product vanishes, because it has a term proportional to which is zero because is an odd operator, and a term proportional to that is zero because . From we get the heat current density ,
(29) |
The “generalized Fourier” component is
(30) |
(31) |
The “non-Fourier” term is
(32) |
This extra, non-Fourier, component of the current was found by Hua et al. Hua et al. (2019) in an RTA treatment. A version is in the paper by Mahan and Claro Mahan and Claro (1988). In their version, there was no external insertion except via boundary conditions. It was rederived by Hua and Lindsay Hua and Lindsay (2020) in a more complete treatment (not using RTA). Reference Hua et al., 2019 gives additional parts of the non-Fourier term that arise from boundary conditions, but solved only in RTA. Boundary terms do not appear here; the present derivation, like ref. Hua and Lindsay, 2020, assumes an infinite homogeneous sample.
In a d.c. situation (), the insertion term should have a zero spatial average: . Otherwise, the sample experiences net heating or cooling. The spatially homogeneous () part of the “non-Fourier” current is zero. Also, when and , and the bulk static thermal conductivity is recovered,
(33) |
VI Thermal distributor
The local temperature distribution can be found from energy conservation (Eq. 21),
(34) |
If is independent of (i.e. ), the non-Fourier current is zero, and the local temperature variation is given by a simple nonlocal response function, the “thermal distributor” ,
(35) |
where
(36) |
This is Eq. 38 of ref. Hua and Lindsay, 2020. The function was defined in ref. Allen and Perebeinos, 2018. The name “thermal distributor,” has been changed from the previous name “thermal susceptibility,” and a factor of C has been removed from the definition. When , there is another term,
(37) |
VII appendix: terminology
Various names are given to the operator : (a) “drift operator”, (b) “advection operator”, (c) “convection operator”, or (d) “diffusion operator”. Sometimes the combination is called the “drifting operator” . The process these words are describing is that the occupancy , in a completely ballistic system, is the same as , so that
The term I use, “drift operator”, makes sense; “diffusion operator” does not.
References
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