Multiscale Splitting Method for the

BoltzmannPoisson Equation: Application to the

Dynamics of Electrons
J urgen Geiser
Ernst-Moritz-Arntz University of Greifswald,
Department of Physics,
Domstr. 14, D-17487 Greifswald, Germany
juergen.geiser@uni-greifswald.de
Abstract. In this paper we present a model based on dynamics of elec-
trons in a plasma using a simplied Boltzmann equation coupled with
Poissons equation. The motivation arose from simulating active plasma
resonance spectroscopy, which is used for plasma diagnostic techniques,
see [1], [15] and [16]. Mathematically, we are interested in designing split-
ting methods for the model problem. While the full Boltzmann equation
is delicate to solve, we decouple it into a transport and collision part,
which are then solved in dierent ways. First we reduce to a simplied
transportcollision equation and start to analyse the abstract Cauchy
problem using semigroup methods. Second, we pass to the coupled trans-
port and collision model and apply the splitting ideas, resecting the dier-
ent discretisation schemes. The results are discussed rst with numerical
experiments and then we verify the underlying theoretical novelties.
Keywords: kinetic model, neutron transport, dynamics of electrons, trans-
port equation, splitting schemes, semigroup.
AMS subject classications. 35K25, 35K20, 74S10, 70G65.
1 Introduction
Our motivate arose from studying the simulation of active plasma resonance
spectroscopy, a well established plasma diagnostic technique. To study this tech-
nique with simulation models, we concentrate on an abstract kinetic model that
describes the dynamics of the electrons in a plasma by using a Boltzmann equa-
tion. The Boltzmann equation is coupled with the electric eld and we obtain
coupled partial dierential equations. The full Boltzmann equation is a very del-
icate equation to solve. Therefore, we decouple this into transport and collision
contributions, which are solved in dierent ways. While nite dierence schemes
are applied to the transpoort parts, the collision part is solved with numerical
integration schemes. The underlying splitting scheme is theortically discussed as
an abstract Cauchy problem. Here, we could address the Cauchy problem with
2
functional analytical tools. First, we will discuss the description of a positive
semigroup, which helps to carry out the numerical estimates in the splitting
schemes. Second, a numerical method is discussed with respect to separate dif-
ferential and integral parts of the equations. The numerical approximation of
the abstract splitting scheme is made by applying an iterative splitting method
of the second order.
The paper is outlined as follows. In Section 2, we present our mathematical model
and a possible reduced model for further approximations. The functional analyt-
ical setting with semigroups is discussed in Section 3. The splitting schemes are
presented in Section 4. The results of some numerical experiments are exhibited
in Section 6. In the conclusions that are given in Section 7, we summarize our
results.
2 Mathematical Model
In the following a model is presented whose physical motivation is explained in
[1], [15] and [16].
The kinetic model considers a uid dynamical approach to treat the natural
ability of plasmas to resonate near the electron plasma frequency
pe
.
Here we specialise to an abstract kinetic model to describe the dynamics of
the electrons in the plasma which allows this resonance.
The Boltzmann equation for the electrons is:
f(x, v, t)
t
= A[f(x, v, t)] +B[f(x, v, t)], (x, v)
x

v
, t [0, T], (1)
A[f] = v
x
f(x, v, t)
e
m
e

x

v
f(x, v, t), (2)
B[f] = (x, v, t)f(x, v, t) +
_
V
(x, v, v

)f(x, v

, t) dv

, (3)
f(x, v, 0) = f
0
(x, v), (x, v)
P,x

P,v
, (4)
f(x, v, t) = f
1
(x, v), (x, v)
P,x

P,v
, (5)
where
P,x

P,v
IR
3
IR
3
is the six-dimensional phase space. f :
P,x

P,v
[0, T] X
c
is the density function and X
c
is an appropriate smooth
space, e.g. C
2
. f
0
is the initial function and the f
1
is the boundary condition in
the plasma phase space
P,x

P,v
.
We assume, based on the dierent materials (a plasma and a dielectricum) a
complete reection of the electrons due to the sheath f(v
||
+v

) with v
||
, which
is the parallel and v

perpendicular to the surface normal vector. Further the

electric force-eld is given as F = e
x
, where :
P,x
X
c
is the potential
and X
c
is an appropriate smooth space, e.g. C
2
.
Boltzmanns equation is coupled with the electric eld , while the potential
is approximated via Poissons equation. The electrostatic approximation of the
eld is represented by a potential that is valid on the complete velocity volume
3
S
P,v
and apply Poissons equation:

x
() =
_
e(n
i
(x)
_
f dS) in x
P,x
0 in x
D,x
, (6)
where the full space domain is
x
=
P,x

D,x
IR
3
and the full velocity
domain is
v
=
P,v

D,v
. The permittivity is equal to
0
in the plasma
P,x
and
0

D
in the dielectric
D,x
. fullls the boundary conditions U
n
at any
electrode E
n
and n = 0 at isolator I, whereas n is the normal vector of
the isolator surface.
On the surface of the dielectric, a surface charge may accumulate, which
leads to a transition condition:
() = . (7)
We will make the following assumption to modify the model into a simpler and
more tractable system of equations, which allows linearizing and simplifying the
Boltzmann equations, see [20].
First we assume we have an analytical solution of the potential , such that
we could reset to a diusive term as:
F
m
e

v

x
D
x
, (8)
where D is the diusion tensor and F = e is the external force. This modied
model allows employing the following semi-group theory and deriving splitting
schemes for the model.
The modied and splittable model equation is
f(x, v, t)
t
= A[f(x, v, t)] +B[f(x, v, t)], (x, v)
x

v
, t [0, T], (9)
A[f] = v
x
f(x, v, t)
x
D
x
f(x, v, t), (10)
B[f] = (x, v, t)f(x, v, t) +
_
V
(x, v, v

)f(x, v

, t) dv

, (11)
f(x, v, 0) = f
0
(x, v), (x, v)
P,x

P,v
, (12)
f(x, v, t) = f
1
(x, v), (x, v)
P,x

P,v
. (13)
Next, we will discuss the relevant semigroup theory.
3 Semigroups for Transport Equations
In the following, we derive the exponential growth of the transport semigroups
that are used in the section on the numerical methods.
We discuss two aspects:
Neutron transport,
Electron transport.
The dierence of the two transport schemes are:
Neutron transport is not inuenced by an electric eld,
Electron transport is inuenced by an electric eld.
4
3.1 Transport model for the neutrons
For this model we can assume that f(x, v, t) describes the density distribution
of the particles at position x S with speed v V at time t [0, T], see also
[3] and [17].
The space S is assumed to be a compact and convex subset of IR
3
with
nonempty interior, and the velocity space V is
V := {v IR
3
: v
min
||||
2
v
max
}
for v
min
> 0 and v
max
< .
Assumption 31 We make the following assumptions:
Particles move according to their speed v.
Particles are absorbed according to the probability given by the function
which depends on x and v.
Particles are scattered according to a scattering kernel depending on x, the
incoming speed v

, and the outgoing speed v.

Then the neutron transport is
f(x, v, t)
t
= v f(x, v, t) (x, v, t)f(x, v, t) (14)
+
_
V
(x, v, v

)f(x, v

, t) dv

,
f(x, v, 0) = f
0
(x, v), (15)
and boundary conditions are included in the transport operator A
0
see, in the
following, the abstract Cauchy problem.
We next treat the abstract Cauchy problem for this simplied model.
Abstract Cauchy problem: Transport model for the neutrons We have
a Banach space X := L
1
(S V ) with Lebesgue measure on S V IR
6
and
dene the abstract Cauchy problem as:
du(t)
dt
= Bu(t) , (16)
du(t)
dt
= (A
0
M

+K

)u(t) , (17)
u(0) = u
0
, (18)
where u X.
We have the following operators:
1.) Collisionless transport operator
2.) Absorption operator
3.) Scattering Operator
Important results for the further numerical analysis is the fact that the trans-
port semigroup can be estimated by an exponential growth, see [3]:
5
Corollary 1. We assume that s(B) > is a dominant eigenvalue and (S(t))
t0
is irreducible. Then the transport semigroup (S(t))
t0
has balanced exponential
growth. There exists a one-dimensional projection P satisfying 0 < Pf whenever
0 < f such that:
|| exp(s(B)t)S(t) P|| M exp(t), (19)
for all t 0 and appropriate M 1 and > 0.
3.2 Transport model for the electrons or ions
For this model we can assume that f(x, v, t) describes the density distribution
of particles at position x S with speed v V at time t [0, T], see also [3]
and [17].
The space S is assumed to be a compact and convex subset of IR
3
with
nonempty interior, and the velocity space V is
V := {v IR
3
: v
min
||||
2
v
max
}
for v
min
> 0 and v
max
< .
Assumption 32 We make the following assumptions:
Particles move according to their speed v.
Particles are absorbed according to the probability given by the function
which depends on x and v.
Particles are scattered according to a scattering kernel depending on x, the
incoming speed v

, and the outgoing speed v.

Particles are inuenced by the static electric eld , which can be derived by
the kinetic theory.
The electron transport is
f(x, v, t)
t
= v
x
f(x, v, t)
e
m
e

x

v
f(x, v, t)
(x, v, t)f(x, v, t) +
_
V
(x, v, v

)f(x, v

, t) dv

, (20)
f(x, v, 0) = f
0
(x, v), (21)
and boundary conditions are included in the transport operators. is the electric
eld.
Furthermore, we have Poissons equation,

x
() =
_
e(n
i

_
f dS) in P
0 inD
, (22)
the permittivity is equal to
0
in the plasma P and
0

D
in the dielectric D.
6
For the simplication, we assume to solve the Poissons equation analytically
with:
=
_

D(f)dx =
__
P

1
_
P
e(n
i

_
f dS)dx dx in P
0 inD
, (23)
where D is the analytical function of the electric eld
x
.
We embed the electric eld analytically into the transport equation.
f(x, v, t)
t
= v
x
f(x, v, t)
x
D(f)
x
f(x, v, t)
(x, v, t)f(x, v, t) +
_
V
(x, v, v

)f(x, v

, t) dv

, (24)
f(x, v, 0) = f
0
(x, v), (25)
and boundary conditions are included in the transport operators A
0
and A
1
,
see, in the following, the treatment of the abstract Cauchy problem. D(f) is the
diusion parameter that includes the electric eld and we assume to approximate
via a constant operator D D(f).
Next we treat the abstract Cauchy problem for a transport model for the
electrons or ions.
Abstract Cauchy problem: Transport model for the electrons or ions.
We have a Banach space X := L
1
(SV ) with Lebesgue measure on SV IR
6
and dene the abstract Cauchy problem as
du(t)
dt
= Bu(t) , (26)
du(t)
dt
= (A
0
+A
1
M

+K

)u(t) , (27)
u(0) = u
0
, (28)
where u X.
We have the operators
1.) Collisionless transport operator
2.) Diusion operator
3.) Absorption operator
4.) Scattering Operator
An important result for the further numerical analysis is the fact that the
transport semigroup can be estimated by an exponential growth. Due to the
analytical embedding of the electric eld, we could also estimate such operator.
Corollary 2. We assume that s(

B) > is a dominant eigenvalue and (S(t))
t0
is irreducible Then the transport semigroup (S(t))
t0
has balanced exponential
growth. There exists a one-dimensional projection

P satisfying 0 <

Pf whenever
0 < f such that:
|| exp(s(

B)t)S(t)

P||

M exp(t), (29)
for all t 0 and appropriate

M 1 and > 0.
7
In the next section we discuss the splitting schemes.
4 Splitting Schemes
In general, operator splitting methods are used to solve complex models in geo-
physical and environmental physics. They have been developed and applied in
[19], [21] and [22].
4.1 Sequential splitting method for nonlinear problems
For our problems, nonlinear splitting schemes are necessary, see [13]. We could
use the result for the general formulation of nonlinear ordinary dierential equa-
tions, which are given by
c

(t) = F
1
(t, c(t)) +F
2
(t, c(t)) , (30)
where the initial conditions are c
n
= c(t
n
).
As before, we can decouple the above problem into two (usually simpler)
sub-problems, namely,
c

(t)
t
= F
1
(t, c

(t)) with t
n
t t
n+1
and c

(t
n
) = c
n
, (31)
c

(t)
t
= F
2
(t, c

(t)) with t
n
t t
n+1
and c

(t
n
) = c

(t
n+1
) , (32)
where the initial values are given by c
n
= c(t
n
) and the split approximation on
the next time level is dened as c
n+1
= c

(t
n+1
).
For this case, the splitting error can be determined by using the Jacobians
of the non-linear mappings F
1
and F
2
:

n
=
1
2
[
F
1
c
F
2
,
F
2
c
F
1
](t
n
, c(t
n
)) +O(
2
n
) . (33)
Hence, for the general case, the splitting error is of rst order, i.e., O(
n
).
Remark 1. Higher order splitting methods are given in [10]. Based on the Strang
splitting, higher order nonlinear splitting methods are also possible, see [2].
In the next subsection we present the iterative splitting method.
4.2 Iterative splitting method
Alternatives are iterative approaches to nonlinear splitting schemes.
We concentrate again on nonlinear dierential equations of the form
du
dt
= A(u(t))u(t) +B(u(t))u(t), with u(t
n
) = u
n
, (34)
8
where A(u), B(u) are matrices with nonlinear entries and densely dened, where
we assume that the entries involve the spatial derivatives of c, see [23]. In the
following we discuss the standard iterative operator splitting method as a xed-
point iteration method to linearize the operators.
We split our nonlinear dierential equation (34) by applying
dui(t)
dt
= A(u
i1
(t))u
i
(t) + B(u
i1
(t))u
i1
(t), with u
i
(t
n
) = c
n
, (35)
dui+1(t)
dt
= A(u
i1
(t))u
i
(t) + B(u
i1
(t))u
i+1
(t), with u
i+1
(t
n
) = c
n
, (36)
where the time step is = t
n+1
t
n
. The iterations are i = 1, 3, . . . , 2m + 1.
u
0
(t) = c
n
is the starting solution, where we assume that the solution c
n+1
is
near c
n
, or u
0
(t) = 0. Thus we have to solve the local xed-point problem. c
n
is
the known split approximation at time level t = t
n
.
The split approximation at time level t = t
n+1
is dened as c
n+1
= u
2m+2
(t
n+1
).
We assume that the operators A(u
i1
(t
n+1
)), B(u
i1
(t
n+1
)) are constant for
i = 1, 3, . . . , 2m+1. Here the linearization is done with respect to the iterations,
such that A(u
i1
), B(u
i1
) are at least non-dependent operators in the iterative
equations, and we can apply the linear theory. For the linearization we assume
at least in the rst equation A(u
i1
(t)) A(u
i
(t)), and in the second equation
B(u
i1
(t)) B(u
i+1
(t)), for small t.
We have
||A(u
i1
(t
n+1
))u
i
(t
n+1
) A(u
n+1
)u(t
n+1
)|| ,
for sucient iterations i {1, 3, . . . , 2m+ 1}.
Remark 2. The linearization with the xed-point scheme can be used for smooth
or weakly nonlinear operators, but otherwise we lose the convergence behavior,
not converging to a local xed point, see [14].
5 Numerical Integration of the Integro-Part
We treat the following integro-dierential equation:
u
t
=
_
t
0
u(s) ds, (37)
u(0) = u
0
, (38)
The integration part is done numerically with
Trapezoidal rule:
_
b
a
f(x) dx
b a
n
_
f(a) +f(b)
2
+
n1

k=1
f
_
a +k
b a
n
_
_
(39)
where the subintervals have the form [kh, (k + 1)h], with h = (ba)/n and k =
0, 1, 2, ..., n1.
9
Degree Common name Formula Error term
1 Trapezoid rule
ba
2
(f0 + f1)
(ba)
3
12
f
(2)
()
2 Simpsons rule
ba
6
(f0 + 4f1 + f2)
(ba)
5
2880
f
(4)
()
3 Simpsons 3/8 rule
ba
8
(f0 + 3f1 + 3f2 + f3)
(ba)
5
6480
f
(4)
()
4 Booles rule
ba
90
(7f0 + 32f1 + 12f2 + 32f3 + 7f4)
(ba)
7
1935360
f
(6)
()
Table 1. Numerical integration formula (closed NewtonCotes formula)
The higher order formulas are given as closed NewtonCotes formulas:
where f
i
is a shorthand for f(x
i
), with x
i
= a+i(b a)/n, and n the degree.
We obtain the following formula for the Trapezoid rule,
u
t
= t/2(u(0) +u(t)) ds, (40)
u(0) = u
0
, (41)
and obtain the analytical result
u(t) =
2
2
exp(
t
2
4
)u(0)
1
2
u(0), (42)
For a higher order formula like Simpsons rule, we have
u
t
= t/6(u(0) + 4u(t/2) +u(t)) ds, (43)
u(0) = u
0
. (44)
We apply the idea of a polynomial solution:
u(t) = a
0
+a
1
t +a
2
t
2
+a
3
t
3
+. . .
and we obtain, after dierentiating the coecients,
a
1
+ 2a
2
t + 3a
3
t
2
+. . . (45)
= t/6
_
a
0
+ 4(a
0
+a
1
t/2 +a
2
t
2
/4 +a
3
t
3
/8 +. . .)
+a
0
+a
1
t +a
2
t
2
+a
3
t
3
+. . .
_
,
a
0
= u
0
. (46)
Now, comparing coecients yields
a
0
= u
0
(47)
a
1
= a
3
= a
5
= . . . = 0 (48)
a
2
= 3a
0
(49)
a
4
=
1
12
a
2
, . . . . (50)
10
6 Numerical Experiments
We present the results of our numerical experiments based on the neutron trans-
port. A simplied one-dimensional model is given by

t
c +v
x
c D
xx
c + c =
_

(x, v, v

)c(x, v

, t) dv

.
The velocity v and the diusion D are given by the plasma model. The initial
conditions are given by c(x, 0) = c
0
(x) and the boundary conditions are trivial,

n
c(x, t) = 0.
A rst integral operator is
_

(x, v, v

)c(x, v

, t) dv

=
_
T
0
c(x, t)dt.
A second integral operator is
We assume a simple collision operator: (x, v, v

) = q(v

)(1 +v
2
),
where q(v

) is the potential, e.g., v

2
.
We deal with the rst integral operator and dene the following operators:
A = v
1
x
[1 1 0]I D
1
x
2
[1 2 1]I
B = ( +t)I,
while
exp(Bt) = exp((t +t
2
/2)I),
where I is the identity matrix.
In the following, the simplied real-life problem for a neutron transport equa-
tion, which includes the gain and loss of a neutron, will be presented.
We concentrate on the computational benets of a fast computation of the
iterative scheme, given with matrix exponentials.
The equation is

t
c + Fc =
1
c +
_
t
0

2
c(x, t)dt, in [0, t], (51)
F = v D, (52)
c(x, t) = c
0
(x), on , (53)
c(x, t) = c
1
(x, t), on [0, t]. (54)
In the following, we deal with the semidiscretized equation given by the
matrices

t
C = (A
1
+
2
) C, (55)
where C = (c
1
, . . . , c
I
)
T
is the solution of the species in the mobile phase in each
spatial discretization point (i = 1, . . . , I).
11
We have the following two operators for the splitting method:
A =
D
x
2

_
_
_
_
_
_
_
2 1
1 2 1
.
.
.
.
.
.
.
.
.
1 2 1
1 2
_
_
_
_
_
_
_
(56)
+
v
x

_
_
_
_
_
_
_
1
1 1
.
.
.
.
.
.
1 1
1 1
_
_
_
_
_
_
_
IR
II
(57)
where I is the number of spatial points.

1
=
_
_
_
_
_
_
_

1
0
0
1
0
.
.
.
.
.
.
.
.
.
0
1
0
0
1
_
_
_
_
_
_
_
IR
II
(58)
For the integral term we have the following ideas:
Case 1:
_
t
0

2
c(x, t)dt
2
tc(x, t),
and we obtain the matrix

2
=
_
_
_
_
_
_
_

2
t
2
/2 0
0
2
t
2
/2 0
.
.
.
.
.
.
.
.
.
0
2
t
2
/2 0
0
2
t
2
/2
_
_
_
_
_
_
_
IR
II
. (59)
For the operator splitting scheme, we apply A and B =
1
+
2
and we
apply the iterative splitting method, given in Equations (35)(36).
Case 2:
We integrate the operator B with respect to the previous solutions C
i1

2
(C
i1
) and we obtain the matrix

2
(C
i1
)
=
_
_
_
_
_
_
_
t
0

2
c
1,i1
(x, s) ds 0 0
0
_
t
0

2
c
2,i1
(x, s) ds 0
.
.
.
.
.
.
.
.
.
.
.
.
0 0
_
t
0

2
c
I,i1
(x, s) ds
_
_
_
_
_
_
IR
II
. (60)
12
We obtain B(C) =
2
(C
i1
) +
1
C.
The iterative scheme is given by
For i = 1, 2, . . .
C
i
(t) = exp(A(t t
n
))C(t
n
)
+
_
t
t
n
exp((t s)A)B(C
i1
(s)) ds, t (t
n
, t
n+1
].
(61)
For the reference solution, we apply a ne time- and spatial scale without
decoupling the equations. Figure 1 presents the numerical errors between the
exact and the numerical solution. Here we obtain the optimal results for one-
sided iterative schemes on the operator B, meaning that we iterate with respect
to B and use A as the right hand side.
Remark 3. For all iterative schemes, we can reach faster results than with the
standard schemes, due to the fact that the iterative schemes benet from their
fast computations of the exponential matrices. With from four to ve iterative
steps, we obtain more accurate results than we did with the expensive stan-
dard schemes. With one-sided iterative schemes, we obtain the best convergence
results.
7 Conclusions and Discussion
We presented the coupled model for the transport of deposition species in a
plasma environment. We assumed the ow eld could be computed by the plasma
model and the transport of the deposition species by a transportreaction model.
Such a rst model can help understand the important modeling of the plasma
environment in a CVD reactor.
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14
10
2
10
1
10
0
10
7
10
6
10
5
10
4
10
3
10
2
10
1
10
0
10
1
AB, Strang, oneside with A
t
e
r
r
L
1
AB
Strang
c1
c2
c3
c4
c5
c6
10
2
10
1
10
0
10
10
10
8
10
6
10
4
10
2
10
0
10
2
AB, Strang, oneside with B
t
e
r
r
L
1
AB
Strang
c1
c2
c3
c4
c5
c6
10
2
10
1
10
0
10
8
10
6
10
4
10
2
10
0
10
2
AB, Strang, twoside
t
e
r
r
L
1
AB
Strang
c1
c2
c3
c4
c5
c6
Fig. 1. Numerical errors of the one-sided splitting scheme with A (upper gure), the
one-sided splitting scheme with B (middle gure), and the iterative schemes with
1, . . . , 6 iterative steps (lower gure).