Professional Documents
Culture Documents
History
and
Evolution
of
Concepts
in
Physics
Harry Varvoglis
123
Harry Varvoglis
Unit of Mechanics and Dynamics
Department of Physics
University of Thessaloniki
Thessaloniki
Greece
ISBN 978-3-319-04291-6
ISBN 978-3-319-04292-3
DOI 10.1007/978-3-319-04292-3
Springer Cham Heidelberg New York Dordrecht London
(eBook)
As the title History and Evolution of Concepts in Physics indicates, this book
essentially encompasses two different approaches of the same topic, which is the
course of evolution of physics throughout history, from historical times to the
present. The first approach, History of Physics, deals with people (great scientists,
important inventors, etc.) and their activities, along with their personalities, their
family and scientific environment, and the social framework of their era. Inevitably, the life and work of every great scientist occupies a separate chapter; if the
scientist has contributed to several areas of physics, all contributions are discussed
in the same chapter.
In doing so, however, one tends to lose the coherence of the Evolution of
Concepts in Physics, which is the second approach. The reason is that, in every
branch of physics, the concepts evolved at different paces over the years,
depending on the available, at the time, experimental data (which, in turn, depend
on the existing laboratory instruments and their precision) and mathematical tools
(which, in turn, depend on the stage of development of the mathematical arsenal).
For instance, the topics of mechanics and gravitation were feasible targets for
Newton to attempt the development of the corresponding theories, while optics
was not, since the latter required more advanced experimental concepts (e.g.,
diffraction and polarization), more advanced mathematics (e.g., complex functions), and longer time span for those concepts to attain a certain level of maturity.
As a result, concepts in every branch of physics evolved at different paces following different routes, a fact suggesting that it may be better to present each topic
separately. This approach alone, however, could compromise the unity of the
presentation, since the work of every great scientist would have appeared fragmented in the various chapters of the book.
It is obvious that these two different approaches for presenting an account of the
evolution of physics over the centuries have, each, advantages as well as weaknesses. In this book, I tried to reconcile the two different approaches; I give
emphasis on the evolution of concepts, including, at the same time, several historical notes for every scientist, in an attempt to present his work and personality
within the framework of his era. Hopefully, the final result will help the reader to
understand the way physics evolved to the present day.
vii
viii
I would like to thank all those who helped in improving the book, pointing out
mistakes, oversights, and ambiguities in the draft. These are, in alphabetical order,
Profs. B. Charmandaris, K. Melidis, S. Persidis, N. Spyrou, and A. Varvoglis.
I would also like to thank my colleagues Profs. E. Meleziadou-Dompoula and
J. Touloumakos, for their help in the paragraph regarding the Museum of
Alexandria, as well as the text editor of the Greek edition and my former student,
S. Oikonomidis, for his useful remarks that helped improve the book.
Thessaloniki, April 2011
The translation of the Greek original in English was performed while I was a
visiting professor in the Theoretical Astrophysics Section of the Institute for
Astronomy and Astrophysics of the Eberhard Karls University of Tbingen during
spring 2012. I would like to thank for the hospitality Prof. K. Kokkotas. The
English version of the book benefited from the suggestions by Prof. J. Teichmann
and an anonymous referee. I would like to thank Ch. Varvogli for her help in
drawing Figs. 2.2 , 2.3, 4.2, and 4.10, S. Kartsaklis of Klidarithmos Publishing for
his help in drawing Figs. 4.8, 4.11, and 5.1, and Prof. V. Tsamakda for providing
Fig. 7.1 Above all, I would like to thank M. Mikedis of Klidarithmos Publishing
for editing the final version of the book and Dr. Angela Lahee for her help since
the first submission of the manuscript to Springer.
I would be glad to provide, free of charge, to anyone interested a full set of
electronic slides covering the content of the booksuitable for approximately
thirty 45m lectures.
Thessaloniki, November 2013
ix
Contents
Part I
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Further Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
137
Abbreviations
FHW
INFN
Museo Galileo
NASA
NOESIS
Sparkmuseum
STScI
xv
Part I
Chapter 1
This chapter, as well as the next one, is inspired by the ideas presented in the Introduction of
Isaac Asimovs book, History of Physics.
It is worth mentioning that today the words philosopher and philosophy have completely
different meaning. In the modern era Philosophy is the study of general and fundamental
problems, such as those connected with existence, knowledge, values, reason, mind, and
language (as defined in Wikipedia). The change is largely due to the philosophical system of
Socrates, who focused his thinking on the exploration of the internal world of man and not on
the understanding of nature. More specifically, Socrates dealt with the consciousness of people,
seeking to understand their behavior, ethics, motivation and response to intellectual problems.
The most eminent representative of this tendency in ancient Greece was Plato, student of the great
Socrates (Fig.1.3).
The truth of an axiom cannot be proven within the framework of the theory
which is based and developed on it. However, the axiom may be verified by
showing that the theory, which is developed on it, is consistent with relevant
experiments or observations. For example, one of the fundamental axioms of
Euclids geometry is that two parallel lines do not intersect. This axiom seems
obvious, but as understood by later mathematicians, this holds true only in flat
spaces. The surface of the Earth is not flat but curved and that is why two adjacent
meridians, which are parallel on the equator (i.e., for a latitude u 0), intersect at
the poles. Therefore, Euclidean geometry holds only approximately on the surface
of the Earth and only for relatively small distances. When the dimensions of
geometric drawings we study on its surface are of the order of hundreds of kilometers or more, then deviations from the Euclidean geometry start to appear,
such as the fact that the sum of the angles of a triangle is greater than 180.
Therefore, we arrive to the conclusion that an axiom can provide a correct theory
under certain conditions and a wrong one under others. Today, the criterion for
accepting a theory, and consequently the axioms on which it is based, is the
experimental verification of the predictions arising from it. Using this method, we
can prove that a theory is wrong, but we can never prove that it is correct! In
simple terms, if experiments are consistent with the theory, then we continue to
use it. But if they do not agree, then we reject the theory and the axioms on which
it is based, and introduce new axioms. As discussed in the book, this has happened
several times in the recent history of physics, but not in ancient times.
So far, the relation between axioms and theories has not changed significantly.
All theories, from the theories of motion of Galileo and Newton to the general
theory of relativity of Einstein, are based necessarily on hypotheses-axioms. On
the other hand, from what has been said in the previous paragraph, it is evident that
hypotheses are the weak point of any theory. Therefore, it seems reasonable to try
to limit, as much as possible, the number of unproven assumptionsthe axioms
upon which a theory is based. This concept was first introduced explicitly by
10
Chapter 2
11
12
Greek philosopher Aristotle (384 BC322 BC), who was born in Stagira of
Chalkidiki (Northern Greece), but studied and taught in Athens (Fig. 2.1).
Aristotles theory was based on the following assumptions:
First hypothesis Earth is the center of the universe.
Second hypothesis All material objects are made of the four elements originally
proposed by Empedocles and later adopted by Plato, namely earth, water, air, and
fire.
In order to explain the motion of bodies not being pushed by living things,
Aristotle put forward an extra third hypothesis:
Third hypothesis Each of these elements has its natural place, or physical
location, in the universe.
The natural place of element earth, the main constituent of all solid bodies
around us, is the center of the universe. So, all solid matter is accumulated in the
center of the universe and creates the world in which we live. The ancient Greeks
knew that from all solid geometric shapes with the same volume, sphere is the one
that has the smallest surface area. So, if it is correct that every piece of solid matter
is accumulated as close to the center of the universe as possible, then Earth must
be spherical in shape. In addition, its center shall coincide with the center of the
universe.
13
The physical location of the element water is just above the surface of the
earths sphere, forming a water shell with spherical surface.
The physical location of the element air is just above water.
Finally, the physical location of the element fire is above air.
14
hypothesis of natural place, using modern mathematical notation, with the following equation:
v ds=dt k B
where k is a constant. Of course, today we know that the mathematical relation
which describes correctly the phenomenon is Newtons second law (axiom):
g d 2 s=dt2 1=m B
where g is the gravitational acceleration and m the mass of the body. It should be
noted that Aristotle never made explicit reference to a relation of the form
v k B, because, unlike Plato, he believed that natural laws are not described
quantitatively by mathematical relations, but only qualitatively. Aristotles later
disciples, however, believed indeed that an object weighing 2B falls twice as fast
as another object weighing 1B.
Antiperistasis (in Greek means mutual substitution) was not a new hypothesis, since it was
conceived initially by Empedocles.
15
With the available, at that time, observations, which did not include initial
velocities large enough for a body to escape Earths gravitational attraction, one
may conclude that no force of any nature existsneither our hands nor even that
of a catapultthat can eventually overcome the natural motion of the stone.
Therefore we may conclude that natural motion always prevails over forced
motion, and bodies always end up at rest in their natural position. The final
conclusion of the Aristotelian theory, then, is that the natural condition of bodies,
when no force is acting on them, is the state of rest, that is, the absence of any
motion.2
The above interpretation of motion cannot, however, include the motion of
celestial bodies. For example, while the natural motion of various bodies on Earth
is straight (rectilinear), either upward (smoke, fire) or downward (stones, rain),
heavenly bodies seem to follow a circular motion around Earth. Aristotle concluded that there was a need for a fifth hypothesis:
Fifth hypothesis The sky and the heavenly bodies are made of a substance that
is neither earth nor water, air or fire. It is a fifth element which, following the ideas
of earlier natural philosophers (Philolaos, Xenophanes and Parmenides), he named
aether.3 The physical place of this fifth element was beyond the realm of fire,
outside the Moons orbit.
The explanation of the motion of celestial bodies stems from the fifth
hypothesis, in conjunction with a sixth hypothesis:
Sixth hypothesis The laws governing the motion of celestial bodies are different
from those governing motion on Earth. So Aristotle arrived to the conclusion that,
while in the region of universe inside the Moons orbit the natural state of objects
is rest, in heaven the natural state of objects is eternal circular motion.
The practical application of Aristotles hypothesis for the motion of celestial
bodies, namely the geocentric theory of the Solar System, was formulated mathematically by the Greek astronomer Hipparchus (ca. 190 BCca. 120 BC). Later, it
was perfected by the Greek astronomer Claudius Ptolemy (ca. 85 ADca. 165 AD)
and published in his book Almagest (Greater Astronomical Treatise), which was
used as the basic astronomy textbook for fifteen centuries (Fig. 2.2). The geocentric theory of Ptolemy, as a consequence of Aristotles theory of motion of
celestial bodies, was, of course, wrong. Both theories were debunked by Galileo,
with the performance of the first historically recorded experiments (free fall of
bodies and observational confirmation of Aristarchus heliocentric model). As we
shall see, later Newton showed that both the natural downward rectilinear
motion of bodies and the eternal circular motion of the planets are caused by the
same force, the force of gravity.
We note that this is essentially a special case of Newtons first postulate (axiom), whereby, if
no force acts on a body, then it either moves with constant velocity or stays at rest.
3
A word used by Homer and Hesiod to describe the fresh air above the atmosphere or the clear
light of heaven (the Greek verb ai9#x means to burn).
16
Fig. 2.2 Ptolemaic model of the solar system. In this model the visible with naked eye (from
Earth) bodies of the solar system are moving on circles (epicycles), whose centers move in
circular orbits (deferents) around the Earth (not in scale, drawing by author)
17
scientists during this long period to test the correctness of these two theories?
Lets see in more detail how this could have been done.
18
newton4 and stone B weighing two newtons. According to Aristotles theory, stone
B is heavier and has a greater tendency to move towards its natural place
(Fig. 2.3). Therefore, if we let them fall simultaneously, stone B will fall faster
than stone A (Fig. 2.3a). Assume now that we bind the two stones tightly with a
piece of string and let them fall again. What will happen then, according to
Aristotles theory? Stone B will tend to fall faster than A, but it will be hindered
by stone A, which will tend to fall slower. In contrast, stone A will tend to fall
faster, as it will be carried away by stone B. Therefore, the falling speed of the
system consisting of the two stones will be higher than the falling speed of stone A
alone, but lower than the falling speed of stone B alone (Fig. 2.3c). This gedanken
experiment, however, can also be examined from another perspective. Since stones
A and B are in contact, they form a stone C weighing three newtons, which,
according to the theory, should fall with higher speed than stone B alone
(Fig. 2.3b)! Which of the two eventually happens? The system consisting of stones
A and B tied together will fall faster or slower than stone B? According to
Aristotles theory, both answers seem correct. Again, one could find a logical way
to solve the dilemma; for example, one might assume that the falling speed of the
two bodies in contact depends on how tightly they are tied together.
Reasonings like the previously described, which result in logical contradictions,
can identify the weaknesses of a theory, but can rarely offer convincing arguments
Newton is the unit of force in the SI system and it is equal approximately to the weight of a
100 g mass.
19
against it. The reason is that, as the great epistemologist Thomas Kuhn
(19221996) said (and becomes apparent from what we have said on the successive corrections of the initial hypotheses of Aristotles theory), When
anomalies occur, they (the scientists) usually devise numerous articulations and ad
hoc modifications of their theory in order to eliminate any apparent conflict.
It is worth noting that the first to point out the importance of experiments in natural philosophy
was Aristotle himself, in his book On the generation of animals (Book 3, Chap. 10), where he
writes: Such appears to be the truth about the generation of bees, judging from theory and from
what are believed to be the facts about them; the facts, however, have not yet been sufficiently
grasped; if ever they are, then credit must be given rather to observation than to theories, and to
theories only if what they affirm agrees with the observed facts. (Translated by Arthur Platt, The
University of Adelaide). Unfortunately, later scholars commenting on Aristotles works did not
pay the proper attention to this point. Thus, they came to believe that the works of Aristotle
include all knowledge about the world and therefore experiments are unnecessary!
20
with the exception perhaps of John Philoponus, to whom we will refer in the next
section. There are three possible explanations for this failure:
The first is theoretical. Ancient Greeks developed, in a highly successful
manner, geometry, which deals with abstract concepts such as dimensionless
points and lines without thickness. In this way, their results achieved great simplicity and generality, which could not have been otherwise reached by measuring
real objects. Thus, they developed the notion that the real world is not suitable, as a
model, to attempt to create abstract theories of the universe. Of course, there were
Greek scientists of the Hellenistic era who designed and conducted experiments, as
we shall see in the next chapter. The prevailing view, however, both in ancient
Greece and the Middle Ages, clearly supported the deduction of conclusions from
hypotheses, rather than the testing of theories through experimentation.
The second explanation has to do with the prevailing notion in ancient Greece
that manual work was not appropriate for free citizens and that it should be carried
out only by slaves. Since experiments required manual labor (beyond scientific
knowledge), they were not considered as an acceptable activity for natural
philosophers.
The third explanation was practical. In ancient times it was not easy to conduct
experiments based on measurements. Today, it seems easy to measure the speed of
a falling body, because we have accurate clocks and precise electronic methods of
measuring small time intervals. Suffice to say that accurate instruments capable of
measuring short time intervals became available only three centuries ago, let alone
the fact that, before that, instruments of any kind were extremely rare and
expensive.
Chapter 3
The period that starts after the death of Alexander the Great.
21
22
Renaissance by Linnaeus and forms the basis of modern botany. Vitruvius (1st
century BC) consolidated the views of the Greeks for meteorology, while
Lucretius (9555 BC), among other things, adopted and popularized the atomic
23
24
polymath of either Arab or Persian origin. He wrote more than 200 treatises, from
which survive 55. He made significant contributions in the fields of mathematics,
optics and astronomy. In Western Europe, during the late Middle Ages, he was
known for his work in astronomy as Ptolemaeus Secundus (Ptolemy the Second).
In the early 13th century, scientific activity started again, triggered by the
translation into Latin, which was the official language of science and the Church in
the West, of many scientific treatises of Greek natural philosophers and mathematicians. The manuscripts of these books had been preserved in the libraries of
Eastern Europe and Middle East in three languages, Greek, Syrian, and Arabic,
and were transferred to Western Europe through three channels:
through the Arabs, who had conquered Spain,
through the crusaders, on their way back to Europe from the Middle East, and
through the looting of Constantinople in 1204, during its occupation by the
Franks of the Fourth Crusade.
During the next approximately 300 years, these books were disseminated to all
the newly founded universities in Western Europe and constituted the teaching
material for a new generation of scientists, from whom sprung the great minds that
gave rise to the Scientific Revolution of the Renaissance: Copernicus, Kepler,
Galileo, Huygens, Leibniz, Descartes, and Newton.
However, it is worth mentioning that, during the first years of the Byzantine
Empire, Greek philosophical thought continued to exist, and for that with
remarkable results. The most important Greek natural philosopher of this era was
John Philoponus, who refuted by logical arguments most of the offending points
of Aristotles physical theory, and in particular of his theory of motion. Philoponus
was a Christian, born in Alexandria (according to other accounts, in Caesarea) and
spent most of his life (ca. 490ca. 570) in Alexandria of Egypt. He studied philosophy in the neo-platonic school of Alexandria and worked on natural philosophy as well as on theology, trying to reconcile his religion with the Greek
philosophical tradition. From the books he wrote on natural philosophy only fifteen
survived, and not all of them in their complete form. Fortunately, many missing
parts in the surviving books, as well as information about some of his books that
were lost, are found in the writings of another Greek natural philosopher, Simplicius. The latter was one of the last masters of the neo-platonic school of Athens,
which was abolished in 529 AD by a decree issued by Emperor Justinian. Simplicius, who was an Aristotelian philosopher, in an effort to support the views of
Aristotle on nature and motion, attempted to refute Philoponus arguments. Many
of Philoponus ideas have survived, thanks to the methodical mind of Simplicius,
who, in his writings, quotes them as incorrect before presenting his own arguments, which supported Aristotles ideas. From Philoponus surviving writings and
Simplicius criticism, today we know a lot about Philoponus ideas on natural
philosophy, the most important of which are the following.
Philoponus was the first to propose the performance of experiments for timing
the free fall of objects with different weight. Of course, at that time, clocks were
25
not accurate enough to enable drawing any quantitative conclusions, but Philoponus predicted that the difference in the falling times would be very small and
certainly would not correspond to the ratio of the weights of the objects. Unfortunately, we do not know whether he preformed such an experiment or if he simply
restricted himself to its theoretical description.
Philoponus also considered as unreasonable the interpretation of the forced
motion of a body through the concept of antiperistasis. Indeed, he was the one who
noted that, if this hypothesis was correct, then we would not need a bow to shoot
arrows, but it would suffice to place the arrow on a horizontal support and blow air
to its tail by using a bellows! Instead, he argued that the motion of a body, when a
force is not anymore applied to it, is due to some property that is embedded or
imprinted in the body when it is set in motion by the force. The hypothesis of this
imprinted property was reinvented, many centuries later, by the French philosopher Jean Buridan (ca. 13001385) and named impetus. A similar concept is the
one which Newton named quantity of motion and today we call momentum.
Furthermore, Philoponus showed that, by using the hypothesis of momentum,
many of the inconsistencies of Aristotles theory already mentioned may be
eliminated. However, the main conclusion that can be drawn from the hypothesis
of momentum is that the natural condition of a body is not stillness, as Aristotle
argued, but a situation in which momentum is conserved. In other words,
Philoponus formulated the first law of Newton 1,000 years before the birth of the
great physicist! It is worth noting that Galileo had studied Philoponus books (as
we will see later in Chap. 4) and therefore many of the ideas attributed to the
Italian physicist have their roots in the great Greek philosophical school. Unfortunately, this important result was forgotten in later years, when the Greek tradition was ignored and the Byzantine Empire followed the rest of Europe and
plunged into scientific inactivity.
Apart from the hypothesis of antiperistasis, Philoponus had challenged other
Aristotelian views as well. He believed that the universe was created sometime in
the past and therefore is not eternal, that heavenly bodies obey the same laws as
bodies on Earth and that stars are not related to gods. He was even teaching that
the Sun and the stars are fiery bodies, because from the daily experience he knew
that the color of an object depends on its temperature! Finally, he had concluded
that bodies in empty space move with finite speed and, therefore, the existence of
absolute vacuum in nature is not impossible.
Philoponus idea that motion is imprinted to the moving body by the body
that causes motion in the first place (unlike the Aristotelian view that a body is
moving because it is heading to its natural place) is characterized by the great
scholar of contemporary philosophy of physics, Thomas Kuhn, as a paradigm
shift2 and, consequently, a scientific revolution. For this reason, Philoponus has
2
Paradigm shift (or revolutionary science) is, according to Thomas Kuhn in his influential book
The Structure of Scientific Revolutions (1962), a change in the basic assumptions, or paradigms,
within the ruling theory of Science. According to Kuhn, A paradigm is what members of a
scientific community, and they alone, share (The Essential Tension, 1977).
26
Part II
Chapter 4
The evolution of physics from the Renaissance until today could be the subject of a
book thousands of pages long. But if a book is intended to help the readers in the
organization of physics they already know into a logical structure, it should be
limited to the major branches of this discipline. Furthermore, if this knowledge is of
high school level, then necessarily the selection of these important branches should
start with classical physics, namely that which was known until the late 19th
century. As such we have included in this book the mechanics of particles and solids,
optics, electromagnetism, heat, thermodynamics, and the theory of perfect gases,
because these branches constitute the backbone of classical physics. If some readers
are further interested, they can use this knowledge as a frame to integrate easily
the remaining branches of classical physics, such as acoustics, elasticity, and fluid
mechanics. Finally, for completeness, we briefly present the three branches of
physics, developed in the 20th century, that constitute the so called modern
physics, i.e., the theory of relativity, quantum mechanics and the theory of chaos.
As one might logically expect, scientists select to work on a specific branch of
physics according to the available knowledge and the technical means to conduct
experiments. So, mechanics was, inevitably, the first branch that was studied in
detail, since the motion of bodies is one of the basic phenomena of everyday life
and its experimental study does not require advanced devices and complex techniques. At the same time started the study of optics, since light is also an aspect of
everyday life. However, the completion of optics was delayed due to the fact that
light is fundamentally a quantum phenomenon and the description of optical
macroscopic phenomena reveals its dual character: some phenomena can be
explained through the particle nature of light while others through the wave nature.
There was also a delay in understanding electrical phenomena, because their
experimental study requires anything but simple techniques. In the beginning there
was the problem of production and storage of electrical charges and, when this was
solved, emerged the difficulty of producing electrical currents. Finally, heat is the
macroscopic manifestation of the random motion of atoms and molecules and, as
long as the existence of such small forms of matter was not generally accepted,
29
30
it was not easy to reject the (incorrect, as shown later) assumption that heat is a
kind of fluid. Thermodynamics was developed, independently of the concept of
heat, mostly by chemists during the Industrial Revolution in their attempt to
understand the mechanism of chemical reactions for the production of inexpensive
chemicals (mainly paints, pharmaceuticals and fertilizers). Finally, the understanding of the laws of gases through the kinetic theory unified heat, thermodynamics and the kinetic theory of gases in a single theory. This was achieved in the
late 19th century and led many physicists to believe that physics had arrived at an
end and had become a dead science, since all phenomena were understood
and described though corresponding laws. A fact that played a key role in the
development of this idea was that the gravitational, magnetic and electrical forces,
all three forces that were known in the late 19th century, were described by the
same law of the inverse square of the distance. Of course, we now know that the
emergence of quantum mechanics and the general theory of relativity changed
the above picture so radically, that today we are not at all certain whether the
physics we know and teach is the real picture of nature or just a good approximation of a more accurate, but still unknown, theory.
4.1 Mechanics
4.1.1 Kinematics: Galileo
Galileo Galilei (15641642) is indisputably the founder of modern science, since
he was the first to demonstrate clearly the significance of experiments in science
(Fig. 4.1). Galileo was born in the Italian city of Pisa in 1564, approximately
100 years into the Renaissance, the beginning of which is chronologically placed
at the conquest of Constantinople by the Turks in 1453. It is worth mentioning, for
those not familiar with history, that Italy is a relatively young state, as it was
founded in the 19th century. At Galileos time there existed two important organized states in the Italian peninsula: the Republic of Venice in the north, occupying
the northeastern part of the peninsula, and the Kingdom of Sicily in the south. The
rest of the Italian peninsula, which was governed loosely by local feudal lords,
consisted of a number of city-states, similar to those of ancient Greece, under the
secular authority of the Pope of Rome. This structure played a decisive role in
Galileos life, in his scientific achievements, as well as in the dissolution of the
scientific school he attempted to organize in Italy.
It should be emphasized from the very beginning that Galileo is recognized as a
great scientist because he offered two important services to science: he founded the
branch of mechanics called kinematics and confirmed the heliocentric theory.1 It is
1
It is worth noting that the assumption that the Sun is the center of the Solar System was
originally proposed by Aristarchus of Samos in the 3rd century BC and, much later, pulled from
4.1 Mechanics
31
difficult to assess which of the two achievements was more important in the
evolution of concepts and ideas in physics. However, it should be noted that
Galileo is known mainly for the opposition of Papal Church to his astronomical
discovery that Earth is not the center of the world, rather than for establishing one
of the most important branches of physics, mechanics.
Galileos life can be divided into three periods, according to his research
interests and the places he lived. The first period is the one during which he studied
and, immediately after, in 1589, started his scientific career in Pisa as professor of
mathematics. During this period he read the works of John Philoponus, something
which is evident from the references to them in his early writings. He served as a
professor for only 3 years, but during this period he laid the foundations for his
later scientific progress. He began to understand, through experiments, the laws of
(Footnote 1 continued)
obscurity by Nicolaus Copernicus (14731543) and supported by Johannes Kepler (15711630),
who used Tycho Brahes planetary observations (15461601). A, somehow, incomplete
heliocentric theory had been proposed, before Aristarchus, by the Greek natural philosopher
Heraclides Ponticus (ca. 390 BCca. 310) in the 4th century BC. According to this theory, Sun is
orbiting the Earth as the other planets do, except for Mercury and Venus, which are orbiting the
Sun.
32
motion and wrote the first draft of his tutorial notes on mechanics, which he
completed and published in books (Mechanics in 1600 and Dialogues and
Mathematical Proofs Concerning Two New Sciences in 1638) during the second
and third period of his life. It is said that Galileo disproved the Aristotelian theory
of motion of bodies with an experiment, during which he dropped from the top of
the Tower of Pisa bodies of same volume but different densities. The bodies
arrived simultaneously on the ground, contradicting in this way Aristotles theory,
which stated that the body with the higher densitythe heavierwill arrive first
(Fig. 4.2). It is highly probable that Galileo never conducted this experiment;
instead, he conducted similar experiments, especially during the next period of his
life, studying the motion of bodies on ramps, where speeds are lower and one can
measure positions and time intervals with greater accuracy.
During the second period of his life, which was the most fruitful in terms of
research, Galileo worked as a professor in the University of Padua (15921610).
The city of Padua is located near Venice and at that time it belonged to the State of
Venice, which had an unusual democratic structure. As a result, scientists, like
Galileo, were able to engage undistracted in research, without fearing the papal
censure that was exercised in other regions of Italy. At about that time, he heard
about the invention of the telescope and, after perfecting its design, he used it for
both practical and scientific purposes. The key practical purpose, which resulted in
a significant financial compensation from the Doge of Venice, was the introduction
of the use of the telescope in the navy of the Venetian Republic, which at that time
4.1 Mechanics
33
was one of the largest naval powers in the Mediterranean Sea. The key scientific
objective was the observation of celestial bodies. In this way, he discovered that
Moon has mountains, that Venus has phases like the Moon, and that four satellites
orbit planet Jupiter. Each one of the above three observations could perhaps be
interpreted within the framework of the Aristotelian theory that Earth is the center
of the Solar System; however, these observations, in conjunction with Copernicus
observations and Keplers calculations, convinced him that the center of the Solar
System is the Sun. This was perhaps the first major application of Ockhams razor!
Furthermore, he discovered sunspots, observed that the image of Saturn is not
circular (due to the existence of rings, which he could not resolve with his
primitive telescope) and found that Milky Way consists of a very large number of
dim stars.
Apart from the above discoveries, in Padua he conducted most of his experiments in mechanics and arrived in a method for the study of motion. This method
is based on two ideas:
the description of the position of a body in a reference system by using coordinates, which was formulated in a strictly mathematical sense and established a
little later, in 1637, by Ren Descartes (15961650), and
the transformation rules of the position (from x to x0 ) and velocity (from v to v0 )
of a body when changing frame of reference, from the original system to another
one moving at a velocity v0 with respect to the first, i.e., x0 = x - v0t and
v0 = v - v0.
This method allowed him to describe the motion of a test particle moving with a
constant velocity and constant acceleration, the same topic with which begins even
today a physics course! It is worth noting that Galileo realized the importance of a
proper handling of infinitesimal quantities for solving the above problems. However, since those days mathematics were not advanced enough for such a treatment, he merely solved kinematical problems using geometrical methods, just like
today when this topic is taught in the first years of high school. More specifically,
he realized that, in a v - t diagram, the distance, s, covered by a particle is equal
to the area under the curve v = f(t). For constant velocity, v, the area has a
rectangular shape, so s = v t, while for constant acceleration, a, the area has the
shape of a right triangle with height equal to at, so s = a t2.
Galileo also introduced the principle of independence of motions that allowed
him to study the parabolic motion of projectiles in the Earths gravitational field,
analyzing it in a horizontal motion with constant velocity and a vertical motion
with constant acceleration. Furthermore, in Padua, he discovered that the oscillations of a pendulum seem to be isochronous, an issue that preoccupied him since
he was a student2 (Fig. 4.3). In general, we can say that during the second period
This idea came to him for the first time when observing the oscillations of a chandelier in Pisas
Cathedral. An interesting point is that Galileo believed that oscillations of any amplitude are
isochronous (accurate clocks had not been invented yet). The fact that this is true only for
34
4.1 Mechanics
35
scientific opinions and, at the advanced age of 69, he was forced not only to
renounce them, but to spend the rest of his life in house arrest. However, even at
this difficult time, he did not give up research. So, he attempted to build a gas
thermometer using, as a measure of temperature, the volume of gas trapped in a
tube over a column of mercury. His student, Evangelista Torricelli (16081647),
transformed this instrument into the well known barometer, by completely
removing the air above the column of mercury. He also proposed the use of the
isochronous oscillations of a pendulum for the construction of a clock, an idea that
was implemented a little later by Christiaan Huygens (16291695). During the
third period of his life Galileo had several students, but he did not have much time
for research, since he was engaged in the controversy with the papacy. For this
reason, his research results were limited. He published, however, the last and most
important (in terms of physics) of his books, known with the short title Two New
Sciences, which is the first modern textbook on mechanics. This book includes,
among others, chapters on:
36
Einstein first presented the mathematical form of the theory, without any experimental hint, and then the experimental physicists attempted to confirm the phenomena predicted by the theorys equations.
Evaluating today the work of Galileo, 350 years after his death, we realize that his
main contribution to physics was the foundation of mechanics, which in turn forms
the basis of the remaining branches of this science. However, he is better known for
the experimental confirmation of the heliocentric theory of the Solar System. These
two achievements have undoubtedly something in common: the experimental proof
that Aristotles two main theories, the first regarding motion of bodies and the
second regarding the structure of the Solar System, were incorrect. In a few decades,
one man achieved what scientists failed to do for almost two millennia!
4.1 Mechanics
37
Axiom II: The rate of change of the momentum of a body is proportional to the
force acted on it and in the same direction.
Axiom III: For every action (force) there is an equal and opposite reaction
(opposite force).
The first two laws can be combined in the vector equation of motion of a point
mass
Fma
in which the quantity m a is nothing more than the derivative of momentum
with respect to time in the special case where the mass of the body remains
constant, i.e.,
dp=dt dm v=dt mdv=dt m a
Using this law, Newton solved the problem of motion without the presence of
resistance or with resistance either proportional to velocity or proportional to the
square of it. But the most important problem he sought to solve was that of the
motion of the planets around the Sun. To achieve this, he had to formulate his law
of universal gravitation. Having solved the differential equation of motion for
38
various forms of force, he found that the solutions of the equation for planetary
motion were ellipses with the Sun at one focus, just as predicted by Keplers laws,
when the force is proportional to the inverse square of the distance between the
two bodies (the Sun and one planet at a time),
F GMSun mplanet =r 2 ;
where G is the gravitational constant (Fig. 4.6). In this way, he took two major
steps towards the completion of mechanics:
using his laws of dynamics, he interpreted Keplers laws, which until then were
of purely kinematic-geometric nature, and
he eliminated the distinction between terrestrial and celestial bodieswhich
was introduced by Aristotleby showing that the very same laws of physics
apply to both.
In other words, the force that makes the Moon move in its orbit around the Earth
and the Earth around the Sun is the same force that attracts bodies toward the center
of the Earth, imparting them the property we call weight. At this point we must
point out that a distinction between the physical laws of very small and very large
4.1 Mechanics
39
Fig. 4.6 The basic setup of the torsion balance used by Cavendish in his experiments, by which
he essentially measured the gravitational constant, G. Two small spheres are suspended by a
string with a mirror attached to it. The small spheres are attracted gravitationally by two large
spheres, fixed on a pivot. Due to gravitational attraction the small spheres rotate by a small angle,
which is measured by the deflection of the light beam on a dial
systems reappeared later, this time within the frame of the physics of 20th century,
due to the fact that the laws of quantum mechanics, which describe microcosm, are
different from those of general relativity, which describe macrocosm. This case is
one of several where concepts in physics may appear to be cyclic.
Newton solved the equations of motion under the influence of gravitational
forces for two cases, in both assuming that the bodies have spherical symmetry, so
that they could be considered as point masses. In the first case, he assumed that one
of the two bodies, the Sun, has practically infinite mass, so it remains fixed and is
orbited by the second body, a planet. In the second case, he assumed that both
bodies have finite mass, so both of them are moving around their common center
of mass. The second case is called problem of two bodies, while the first one
could be called problem of one body. Newton found that the solutions to both
problems are, for negative values of the (mechanical) energy, geometrically
similar ellipses, with coefficient of proportionality (in the latter case) equal to the
ratio of the mass of one body to the sum of the masses of the two bodies. Studying
his writings and noticing the simplicity of these solutions, one gets the impression
that he may have assumed that it would be relatively easy to find the general
solution for the problem of three bodies and use it as an intermediate step towards
40
the construction of solutions for more bodies, for example, the Solar System; but
he did not attempt to find such a solution. The complete solution of the problem of
two bodies, for any value of the total energy (negative, positive or zero), was
provided by Johann Bernoulli (16671748) in 1710. Since then, finding a solution
to the problem of three bodies had tantalized many prominent astronomers, until
Jules Henri Poincar (18541912) proved in the late 19th century that such a
solution does not exist within the frame of standard analytic functions.5 This result
marked, as we shall see later, the beginning of the theory of chaos.
It is worthwhile to point out the importance of the exact value of the exponent
of the distance in the law of universal gravitation, not only in classical physics but
also within the context of current efforts to integrate gravity in the set of the other
three known forces (electromagnetic, weak nuclear and strong nuclear). The theory
of gravity can be based, apart from the direct axiomatic adoption of the law of the
force introduced by Newton, on another independent axiom, which was introduced
by Gauss. According to this axiom, the surface integral of the gravitational
acceleration, g, on a closed surface S is equal to the mass enclosed by this surface
times 4p, the universal gravitational constant, i.e.:
Z
g dS 4pGM
S
The two axioms lead to the same theory, and hence are equivalent, if and only if
space has three dimensions and Newtons law depends exactly on the inverse
square of the distance. If the exponent in Newtons law is not exactly equal to 2 or
if space has more than three dimensions, the two axioms lead to different theories,
a fact that would upset the established current structure of classical physics.
Contemporary efforts to formulate a unified theory, which would include all four
known forces, are based on the assumption that space has more than three
dimensions (usually nine or ten), in which case the value of the exponent of the
distance in Newtons law of gravity must be different from 2. Until today, there
have been many experiments to accurately measure this exponent and all of them,
within the accuracy of the experiment, gave a value of 2.
Newtons theory of gravitation has two weak points, which are not adequately
emphasized today. The first is that, in formulating the law of universal gravitation,
Newton introduced a new concept in physics, the action at a distance. Until then,
the application of a force on a body presupposed the contact of this body with
another. For example, we push an object with our hand or pull another one with the
help of a rope. Even the sails of a ship are pushed by the wind, which may be
transparent, but its existence is perceived by humans. The invocation of a force
that does not require physical contact of two bodies raises philosophical
questions such as: how a body knows the existence of another and feels its
attraction?
4.1 Mechanics
41
Newton was aware of this problem and in the second edition of Principia he
wrote the famous phrase (on the nature of this force) hypotheses non fingo,
which in English may be translated as I feign no hypotheses.6 Newtons reservation has been forgotten over time, mainly because the same functional form of
the force was found between charges as well as between magnetic poles. The first
to find a way out of this problem was Michael Faraday (17911867), who introduced the concept of field. This concept was then used by Maxwell in his electromagnetic theory, by Albert Einstein (18791955) in the general theory of
relativity and by Ervin Schrdinger (18871961) in quantum mechanics; as a
result, today, the concept of field constitutes one of the cornerstones of physics.
The second weak point is that Newtons theory of gravitation cannot describe
the universe as a whole, whether it is finite or infinite.
If, on the one hand, the universe is finite, all bodies should collapse, in a finite
time, at its center, due to the gravitational forces by which the bodies are
attracted to each other. An apparently successful way out of this problem is to
assume that the bodies that constitute the universe orbit its center in order to
remain in place because (in the rotating non-inertial frame of reference) the
centrifugal force balances the gravitational attraction. Unfortunately, this
hypothesis does not solve the problem, because the balance between centrifugal
and gravitational force is unstable and the equilibrium can be broken by any small
disturbance; the final result is again the collapse of the universe at one point.
If, on the other hand, the universe is infinite, every material body feels an
infinite force from any direction, as is evident from the following simple reasoning. Assume a spherical coordinate system as the one we use in our everyday
life, centered at the center of the Earth. Then the force, dF, that is applied to Earth
from the other celestial bodiessuch as starsin a spherical shell of thickness dr,
which lie at a distance r from Earth and are located in the direction of a particular
latitude, # and longitude, u, will be
dF
where ME is Earths mass, dm is the mass of these stars and q is the mass density of
the universe. Assuming, for simplicity, that the density of the universe is constant
and integrating this relation with respect to distance, r, from zero to infinity, we find
that the rest of the universe attracts Earth to any direction with an infinite force!
This equilibrium is obviously unstable, since the slightest disturbance of the density, q, will result in the manifestation of an infinite force that will attract Earth to a
certain direction! In simple words, we can say that it is not possible to calculate the
net force (since it is meaningless to add infinite numbers or vectors) and thus it is
The complete reference is I have not as yet been able to discover the reason for these
properties of gravity from phenomena, and I do not feign hypotheses. From Isaac Newton
(1726): Philosophiae Naturalis Principia Mathematica, General Scholium, third edition, page
943 of I. Bernard Cohen and Anne Whitmans 1999 translation, University of California Press.
42
not possible to apply Newtons second law. The problem of describing the universe
as a whole was solved by Einstein through the formulation of the general theory of
relativity, which thus became the basic tool of the discipline of cosmology.
Newton is best known in the history of science not for his major role in establishing mechanics and solving the problem of motion of bodies acted by forces of
various kinds, but for the formulation of the law of gravitation. We recall that
something similar happened with Galileo, who is best known not for his key role in
establishing mechanics and the use of experiments in physics, but merely for the
experimental verification of the Aristarchus-Copernicus heliocentric hypothesis. It is
interesting to note that, while Einstein proved that the theory of gravity is only
approximately correct, as a limiting case of his general theory of relativity in the case
of weak gravitational fields and small velocities, the equation (second Newtons law)
F dp=dt
describing the motion of a body under the influence of a force (in the way it was
written by Newton and not as it is written today) was proved to be correct even
within the framework of the special theory of relativity! Therefore, one could say
that Newtons theory of motion withstood the test of time better than his theory of
gravity, so that it would be more appropriate to remember him as the founder of
dynamics.
4.1 Mechanics
43
that issues of mechanics of rigid bodies, which were addressed primarily by Huygens, are not usually included in the syllabus of high school programs.
44
(that is, it takes an extreme value, usually a minimum) when calculated along the
trajectory which is a solution of the equations of motion. The idea is not new in
physics; it had already been used, as we shall see in Sect. 4.2.7, by Pierre de
Fermat (1601-1665) to calculate the path of a light beam. According to Fermat,
all the so-called laws of geometrical optics, in which light is considered to
propagate along rays, stem from a single principle. According to this, light
follows the path that provides the minimum propagation time between two points.
The first of the two new theories of dynamics was formulated by the FrenchItalian mathematician Joseph Louis Compte de Lagrange (17361813) and the
other one by the Irish mathematician Sir William Rowan Hamilton (18051865).
The scalar function introduced by Lagrange is represented by L and usually, in the
simplest cases, is equal to the difference between the kinetic energy of a system,
usually denoted by T, and its potential energy, usually denoted by W, i.e.,
L = T - W. The equations of motion, in the case of one-dimensional motion, arise
from the requirement that the value of the integral
Z
Lxt; x_ t; tdt
has an extremum if the function x(t) is the solution of the equations of motion; that
is, when x(t) and x_ t are functions that give the position and velocity as functions
of time.7 The resulting differential equations are of second order and, in the general
case, they are equal in number to the degrees of freedom of the system. Therefore,
for a free point mass we obtain three equations, while for a point mass forced to
move on a surface we obtain two. The scalar function introduced by Hamilton is
usually symbolized by H and, in the simplest cases, equals to the sum of the kinetic
and potential energy of the system (i.e., its total mechanical energy); so, it is
represented symbolically by the relation:
H T W
The axiom (principle) giving the equations of motion is the same as that of
Lagrangian mechanics; however, the resulting equations are first order differential
equations equal in number to twice that of the degrees of freedom of the system.
So, for a freely moving point mass there are six equations and for a point mass
forced to move on a surface there are four.
It has been shown that each one of the above two theories, characterized both
by the general name analytical mechanics, is equivalent to Newtonian mechanics
(and thus they are as well equivalent to each other). What is important, in choosing
which theory to use in specific problems, is to decide which one leads in the easiest
way to the solution. In a nutshell, one can say that, with the exception of problems
more complicated than the ones we learn to solve at school, analytical mechanics
7
It is worth noting that what is varying in the above integral is not the variables x and x_ but the
functions x_ t and x_ t. As a result, the integral is not a function but a different kind of
mathematical object, called functional.
4.1 Mechanics
45
46
mechanics appears in the curricula of the first or second year of college and university courses, while analytical mechanics, as formulated in the 19th century, is
reserved for the third or fourth year. Finally, non-linear mechanics, as formulated in
the 20th century through the work of Poincar and Kolmogorov, as well as fluid
mechanics, appear in the curricula of the last year of college and university courses.
4.2 Optics
4.2.1 The Period up to The Renaissance
The first branches developed in physics were those for which there were available
accumulated experimental data. Apart from mechanics, this was also the case for
another branch, optics. Light dominates our daily life and is involved into very
common phenomena, such as the phenomenon of shadow. Furthermore, since
ancient times, mankind used various forms of optical instruments, mainly mirrors
and lenses. For example, plane mirrors were known at least since the time of the
Pharaohs and were used for the everyday beauty care of women. It is said that
Archimedes used concave mirrors to set ablaze the Roman fleet, which besieged
Syracuse in 213 BC. Moreover, legend has it that Nero used an emerald, polished
to form a diverging (biconcave) lens, to cope with his myopia. The Roman philosopher and tutor of Nero, Seneca, had described the magnified images produced
by a glass bottle full of water. The famous Greek astronomer Claudius Ptolemy
(ca. 75 ADca. 150 AD) had discovered the phenomenon of refraction of light rays
propagating from air to water, and managed to measure the angles of the incident
and the refracted rays. Finally, the use of corrective lenses for vision (spectacles) was established as early as the Middle Ages by the English monk Roger
Bacon (12141294).
4.2 Optics
47
cannot be further analyzed. According to Newton, this happens because the particles of each color constitute the basic components of light and, therefore, they
cannot be analyzed into something simpler. The phenomenon of reflection could
be easily interpreted through the laws of collision, elaborated by Huygens, in
conjunction with the principle of the independence of motions established by
Galileo. When a particle of light reaches a reflecting surface, its velocity is
reversed in the direction perpendicular to the surface, while in the direction tangential to the surface its velocity remains constant. As a consequence, the equality
of the angles of incidence and reflection can be easily explained (Fig. 4.7). The
phenomenon of refraction is explained if one assumes that the velocity of the
particles of light remains always constant within a given optical medium, except
when the particles approach the interface between the two media, where they
feel a brief attracting force from the denser medium. This force increases the
normal, to the interface, velocity, vperp, while the parallel to the interface velocity,
vpar, remains constant. If by vair and vwater we represent the speed of light in air and
water, then from the geometric construction, in the case of refraction at an air
water interface, it is evident that
48
4.2 Optics
49
model; however, he believed that this gap in his theory existed because he was
not able to find the correct interpretation and not because his model was wrong.
50
Fig. 4.10 Huygens
principle: every point of a
wave front becomes a center
of secondary emission. In this
way the wave front at any
time is the envelope of the
secondary waves at this
specific time (drawing by
author)
4.2 Optics
51
writes the Greek word eureka (I found it), as a reference to the famous story
about how Archimedes discovered the concept of buoyancy.
Unfortunately, in his wave theory model, Huygens uses longitudinal waves, like
the sound waves in air, which propagate in the direction of motion of air molecules.
So, apart from the fact that it was not clear what is the medium that oscillates during
the propagation of waves (this became clear only 250 years later, through
Einsteins special theory of relativity), Huygens theory could not explain why the
two beams emerging from a birefringent crystal do not interfere.8 For these reasons,
at that time Huygens wave theory did not replace Newtons corpuscular theory.
Birefringence is the optical property of a material having a refractive index that depends on the
propagation direction of light. Birefringence is responsible for the phenomenon of double
refraction whereby a ray of light, when incident upon a birefringent material, is split into two rays
taking slightly different paths.
52
that were known in his days: thin film interference and the non-interference
between the two rays emerging from a birefringent crystal (Fig. 4.13).
In the first phenomenon, thin sheets of transparent material, or even thin films
of liquids (such as oil) on the surface of water, exhibit iridescent colors. This
phenomenon is due to the interference of the reflected light rays on the upper and
lower surfaces of the thin layer (in the case of an oil film floating on the surface of
water, the two surfaces are the air-oil interface and the wateroil interface). Since
4.2 Optics
53
54
effort, but not Fresnel. So, he decided to select again, for the third time, a
problem in optics: the diffraction of light by a circular opaque disk. His results,
surprisingly, had a big impact in physics, since they provided definitive proof
that light is a wave phenomenon. Although it may seem paradoxical, Newtons
authority had influenced the scientific community to such an extent that, even
after Youngs double-slit experiment, there were still proponents of the corpuscular nature of light! Fresnels results made the balance lean in favor of the
wave theory; it is interesting to see how this happened.
Fresnel, using the assumption that light consists of transverse oscillations,
calculated the intensity of the light rays as a function of the position behind a
circular disc and presented his results in a contest proclaimed by the French
Academy of Sciences. Members of the jury were some of the most prominent
scientists of the era: Pierre-Simon de Laplace (17491827), Jean-Baptiste Biot
(17741862), Simon-Dennis Poisson (17811840), Joseph Louis Gay-Lussac
(17781850) and the Academys president, Franois Arago. Of these, the first
three were proponents of the corpuscular theory, while the other two of the wave
theory. Poisson, who was the greatest mathematician among the members of the
jury, found that, according to Fresnels theory, the shadow that appears on a screen
behind the circular disk is not always completely dark. In some cases, depending
on the wavelength of light, the distance of the screen from the light source, and the
diameter of the disc, a bright spot should appear in the center of the shadow. This
phenomenon could not be interpreted in any way by the corpuscular theory.
Eventually, an experiment was conducted that gave exactly the result predicted by
Fresnels theory, thus persuading even Poisson that light, in fact, consists of
transverse waves. Fresnel won the prize and the wave theory of light finally
prevailed over the corpuscular theory; that is, until quantum mechanics showed
that light has a dual character, that of a wave and a particle!
4.2 Optics
55
motion of celestial bodies! Nonetheless, besides the fact that aether was never
detected experimentally, other experiments (mainly the Michelson-Morley
experiment, which will be discussed in Sects. 4.4.5 and 5.1.2) showed that the law
of addition of velocities, predicted by the Galilean transformations, does not apply
in aether.
Another series of experiments was related to the quantum nature of light, which
was also unknown before the early 20th century. Light is the most common
phenomenon of everyday life that is directly related to quantum mechanics, which,
however, until the late 19th century physicists ignored. Thus, in many cases
(a) the technicians involved in the manufacturing of optical instruments and
(b) the scientists who used those instruments for research purposes,observed some
peculiar phenomena which, moreover, were difficult to be interpreted
within the existing theories. Classic example of the former category was
Joseph von Fraunhofer (17871826), who lived at the time of Fresnel and was
a glassmaker. Classic examples of the latter case were the experimental
chemist Robert Wilhelm Bunsen (18111899) and the theoretical physicist
Gustav Robert Kirchhoff (18241887), who lived about 100 years after
Fraunhofer.
Fraunhofer attempted to shape high quality achromatic composite lenses consisting of more than two elements (i.e., simple lenses), each made from glass of
different refractive index. The quality of a composite achromatic lens depends
mainly on the refractive index of each lens element. For this reason, Fraunhofer
was trying to determine accurately the refractive index of the glass samples he
manufactured, by shaping them into prisms and measuring the angle of refraction
of the emerging light rays (Fig. 4.14). To his surprise, when using as a light source
the Sun, he obtained not only the continuum emission spectrum, that was known
since the time of Newton, but dark lines as well; these lines had not been observed
until then, because of the low resolution of previously available prisms.9 He
decided to use these lines as reference points in order to measure accurately the
wavelength of each color; to this end, he started to record these lines in a list,
which eventually turned out to contain several hundreds of spectral lines. This list,
although never particularly useful in the construction of optical instruments,
proved valuable to later researchers who dealt with the (quantum) interpretation of
the phenomenon.
Bunsen was an experimental chemist, engaged in research and teaching at the
University of Heidelberg. One of his research objectives was to determine methods
of identification of various chemical elements, from the color they emitted when
heated. He even invented a simple instrument, the Bunsen burner, which is using
coal gas as fuel and produces a high temperature flame, suitable for the incandescence of the chemicals he was using. Bunsens method was simple (many
Fraunhofer had invented a new instrument, the spectroscope, which made the recording of
spectral lines far more effective.
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Fig. 4.14 The principal Fraunhofer lines, marked on a continuum spectrum. Line D3 at a
wavelength of 587.5618 nm is one of the helium lines that lead to the discovery of this noble gas
in Suns atmosphere
4.2 Optics
57
these unknown spectral lines belong to oxygen and nitrogen, whose atoms in the
solar corona and stellar nebulae are multiply ionized, either due to high temperature (the corona of the Sun has a temperature of 1,000,000 K) or because of low
number density (gas nebulae are billions upon billions of times thinner than
Earths atmosphere).11
Based on the experimental results of Bunsen, Kirchhoff formulated his now
famous three laws of spectroscopy. The first two are known even by primary
school students.
The first law states that solids and liquids, when heated, emit a continuous
spectrum, in which the intensity of light varies smoothly with frequency and is
given roughly by the law of black body radiation. Gases, instead, emit a spectrum,
where light intensity is zero for most frequencies and nonzero only at some narrow
frequency ranges. Because in the spectrometer those narrow frequency ranges of
non-zero intensity appear as bright lines, the spectrum of gases is usually called
line spectrum.
The second law states that, if a cold gas is placed in front of a body that emits a
continuum spectrum, then the continuum spectrum exhibits dark absorption lines
at the same wavelengths where the heated gas gives emission lines.
The third law is of mathematical form and links the emission and absorption
coefficients of a body to its temperature.
All three laws can be easily explained through quantum theory; however, the
third law is of particular importance, because it led Planck (Max Karl Ernst
Ludwig Planck, 18581947) to the mathematical formulation of the spectral distribution of light emitted by a black body, which was the beginning of quantum
theory.
11
The dependence of the degree of ionization from temperature and density is given by the
famous Sahas law, which can be found in any standard astrophysics book.
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there were insufficient experimental data, since experiments with static electricity
depend in a very sensitive way on weather conditions (air humidity discharges
quickly any charged body), and experiments with electric currents were not possible, simply because at that time sources of current were not invented yet. The
only available relevant observations were those inherited from ancient Greeks,
about the properties of magnetic minerals and the phenomenon of electrification
by friction, both pioneered by Thales from Miletus. So, it is not surprising that, at
the beginning of the modern era of physics, the first phenomenon systematically
studied was static magnetism.
Pierre Peregrinus de Maricourt (ca. 1269), one of the few experimenters of the
Middle Ages, discovered in the 13th century that there are two kinds of magnetic
charges, which he named south and north, depending on whether they attract or
repel, respectively, the tip of a magnetic needle that points north. It was he who
made the historical mistake to call south magnetic pole of the Earth the one that
corresponds to the north geographical pole, since he named north magnetic pole of
the needle the one that points north!
However, the first to engage in systematic research on magnetism was William
Gilbert (15441603), a contemporary of Galileo and the first scientist who
accepted the heliocentric theory in England. Gilbert had studied medicine and was
appointed physician to Queen Elizabeth I, but his research was focused on physics.
His main work was published in the book De Magnete, where he presented the
results of experiments conducted with terrellae, which are balls made of magnetite
(an iron mineral with magnetic properties) (Fig. 4.15). With these experiments, he
confirmed the conclusion of Peregrinus, namely that the magnetic needle points
north because Earth contains a huge magnet. He was also the first to realize that
magnetic poles always come in pairs, because he noticed that if a bar magnet is cut
in two, we do not obtain two poles, one north and one south, but two new smaller
magnets. His key contribution to physics, however, was that with his experiments
managed to differentiate electric from magnetic properties. In particular, he
pointed out the differences between electric and magnetic phenomena, noting that
magnetic phenomena manifest themselves only in certain metals, especially iron,
and are permanent, while electric phenomena can be observed mainly in light
objects. Based on these results, he defined as electric materials those which
acquire, through friction, properties similar to those acquired by amber (the word
electricity is derived from the Greek word g9 kejsqompronounced electronfor
amber). In this way, he showed that magnetism and electricity refer to different
properties of matter. Unfortunately, his ideas about the nature of these phenomena
were completely wrong, since he believed that electric and magnetic forces are due
to the outflow of an unknown fluid and that the force that attracts the planets to the
Sun is of magnetic nature.
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phenomenon was also observed when wood was replaced with a silk thread, but
not when the silk thread was hold in place by metal braces (Fig. 4.17). Finally, he
found that a piece of metal cannot be electrified, unless it is mounted on a material
that can be electrified (in other words, on an insulator). Thus, he discovered the
difference between conductors and insulators of electricity.
Shortly afterwards, the French Charles du Fay (16981739) discovered the
difference between positive and negative electric charges. He named them vitreous
and resinous fluids, respectively, because they manifest themselves, through
friction, in glass and amber respectively. Repeating du Fays experiments, John
Canton (17181778) discovered that one can produce both kinds of electric
charges using the same glass rod, provided that the rod is rubbed with a different
material each time.
The next major step was made when scientists found a way to store electric
charge in capacitors, which at that time were called Leyden jars, after the city they
had been invented and their characteristic shape. As it often happens, the discovery
was purely accidental and was made independently by two researchers. Whats
more, in the beginning, none of them could understand the physical mechanism
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that gave the new instrument this important property. The German Ewald Georg
von Kleist (17001748) was experimenting with a bottle filled with water and
sealed with a cork, through which was passing a piece of wire. Kleist noticed that,
every time he touched the wire with an electrified object, the object was losing its
electric charge. At the same time he found that, when he touched the wire after this
process, he felt a jolt, indicating that the electric charge of the electrified object
had migrated inside the bottle. He assumed that electricity was some sort of
fluid, which could be stored in a bottle the same way as water does. Soon
afterwards, however, he stopped experimenting with these apparatuses, frightened
by the fact that sometimes the jolt he felt was particularly powerful, and he
never published his results. At about the same time and independently of Kleist,
similar experiments were conducted by the Dutch Pieter van Musschenbroek
(16921761), who was teaching at the University of Leyden. Eventually, he
published his results, and the new device was named by a translator of his works
after the Dutch town where it was invented (Fig. 4.18). Following Musschenbroeks publication, many physicists started experimenting with Leyden jars and
soon found out that the presence of a liquid was not necessary, since the same
result could be obtained by placing a metal foil inside the jar. Adding a second
metal foil on the outside surface of the jar, a primitive form of modern capacitor is
formed, with the glass acting as the dielectric between the two conductors.
The last scientist who made a major contribution in establishing through
experimentation the properties of electricity was the American Benjamin Franklin
(17061790). Franklin was a man with many talents, as was the case with many
scientists before the 20th century. He began his career as a journalist and continued
as a politician. As such, he served as ambassador of Pennsylvania in Paris, at the
time when the American states were still independent under the sovereignty of
Great Britain. Later, he was one of the Founding Fathers who signed the
Declaration of Independence of the U.S. Franklin established experimentally that
the two types of electricity found by du Fay were in fact opposite manifestations of
the same entity, because when bodies charged with different types of electricity
came into contact, a spark appeared and the bodies ceased to be electrified. So, he
arrived to the right conclusion that, under normal conditions, in a body exist equal
amounts of these two kinds of electricity. Electrification of a body occurs when a
quantity of one kind is removed or a quantity of the other is added.
Finally, he noticed that the sparks observed during his experiments were very
similar to lightning; as a result, it was not difficult for him to realize that lightning is
nothing more than an electrical discharge between two clouds or between a cloud
and Earth. In fact, he proved this experimentally by flying a kite during a storm and
showing that sparks could be seen at the other end of the string holding the kite,
when this end was approaching the ground. Franklin was a practical mind, so apart
from his contribution to the understanding of electricity, he thought that the above
phenomenon could be used to discharge thunderclouds gradually, avoiding lightning. So he invented the lightning rod, for which he is better known to most of us.
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Coulomb, with which he essentially calculated the numerical value of the universal
gravitation constant, G. It is not known why Cavendish did not conduct a similar
experiment with electric charges, because very few of his results were published
during his lifetime; what we know today about his research on electricity comes
from the study of his notes after his death.
As already mentioned, the experimental verification of the law of force between
two magnetic or electric charges is attributed to Coulomb. Coulomb was not a
physicist by profession. He had, however, studied engineering in a French military
academy and had good knowledge of engineering mechanics and mathematics. He
was the inventor of the torsion balance used by Cavendish to measure the value of
G. With the help of this apparatus, he measured the force between the homonymous and heteronymous poles of two adequately long rod magnets, so that the
influence of the poles at the other end of each magnet could be ignored. He found
that this force depends on the inverse square of the distance between the poles. He
repeated the experiment using electric charges and arrived to a law of the same
functional form (Fig. 4.19).
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organs, such as kidneys and ears. He was, however, particularly known for his
work on the physiology of muscles, because of an accidental discovery he had
made. One of his research objectives at the University of Bologna was the effect of
electricity on animal tissues and, for this reason, his laboratory was equipped with
electrostatic machines and Leyden jars. There are various stories about how he
made his important discovery during a lecture on the anatomy of a frogs leg. One
thing is certain, however, that he discovered that the leg muscles contract when
connected to a source of electricity, such as an electrostatic machine or a Leyden
jar, or when touched by two different metals (Fig. 4.20). So, he arrived to the
(correct) conclusion that contractions were caused by electricity; however, he
believed (incorrectly) that the source of electricity was the frogs body, and for this
reason he named it animal electricity. He published his results in 1791 and his
ideas were adopted by most scientists of his time.
Galvanis observation was further investigated by another Italian physicist,
Alessandro Volta. At the dawn of the 19th century, in 1800, Volta made the
(correct) assumption that the leg muscles of the frog were just a sensitive medium
that detected electricity, which however comes from another source. Therefore, he
conducted an experiment to confirm this hypothesis, which was destined to revolutionize our technological civilization. Instead of touching the leg muscles of the
frog with two plates made of different metals, he immersed the plates in a container filled with a saline solution. He noticed that between the two plates was
developed what we call today a potential difference, because when he brought into
contact two wires, each connected to each one of the plates, he observed a spark.
Apart from the spark, which was a known phenomenon of static electricity, he
noticed a completely new phenomenon. While the two wires were in contact,
Franklins electric fluid was flowing continuously from one plate to another.
This discovery forms the basis of our modern technological civilization, which is
based on electricity, i.e., electrical currents.
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Then Volta thought, correctly, that if he connected in series the plates of two or
more containers, he could obtain a higher potential difference. Eventually, after
realizing that the transportation of such an array of containers was cumbersome, he
replaced the liquid solution with pieces of cardboard soaked in salty water. Using
disc-shaped metal and cardboard plates and placing them one on top of the other,
in alternating layers, he created a column, which was called, from its shape, an
electric pile. This device was the forerunner of the batteries we use today in
flashlights and other portable devices. In todays terminology, the plates are called
electrodes (a name coined by Faraday), while each pair of electrodes with the
intermediate electrolyte is called a cell element. The voltage between the electrodes depends on the material of the electrodes as well as on the electrolyte, and
varies in the most common elements from 1.3 to 2 V. A typical battery contains up
to six elements (Fig. 4.21).
The invention of the battery, the device on which was based the study of electric
currents for decades before the invention of the electric generator by Faraday (and its
commercial availability!), was by itself an important event. But Volta wanted to
understand in depth the phenomenon of generation of electric current from a
chemical reaction. So in trying to generalize the operating principle of the battery in
order to interpret Galvanis experiments, Volta made a mistake: he assumed that, in
Galvanis experiments, electricity was always of external origin. Galvani tried to
defend his view, showing that leg contractions occur not only when one touches the
muscles with two metals, but even with just one metal or with a nerve from another
muscle. These results could not be interpreted by Voltas theory, so the situation
remained unclear for years. Galvani died in 1798, still believing that the animal
electricity is different from the vitreous and resinous electricity produced by
electrostatic machines. Several years later, it became clear that both Galvani and
Volta were right in one point and wrong in another. In fact, muscles act as probes of
electricity, as Volta assumed correctly, but this electricity can be of either external or
internal origin. It is of external origin when a potential difference appears between
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70
Finally, he placed three circular wire loops, each with different radius, perpendicular to an axis passing from their centers and in such a way that he could
modify the position of the middle one, and connected them in series (so that all
three were carrying the same current). He found that if the radii Ri of the circular
wires satisfy the conditions R1/R2 = R2/R3 = r and the distances Lij between the
wires satisfy the conditions L12/L23 = r, then the middle wire is in equilibrium;
that is, the net force from the two outer circular wire loops is zero.
Analyzing the results, he arrived at the following conclusions regarding the
form of the electromagnetic force:
First experiment: the function that gives the force between two wires is proportional to the product of the two currents passing from the wires; the force changes
direction when the direction of one current changes.
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12
It is not consistent with the third law in its strong form, which requires the two forces to be
collinear. However, it is consistent with the third law in its weak form, which requires the two
forces to be just opposite.
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one, meaning that the conductor through which one wishes to conduct a current
must sweep the magnetic field lines, so the important parameter is not the flux,
U, of the magnetic field through a closed circuit but its time derivative, dU/dt. At
this point becomes evident the advantage of Faradays description of electromagnetism over that of Ampres, which is discussed in the following paragraph.
Faraday built the first electric motor in 1821 and, having understood the phenomenon of induction, managed to build the first electromagnetic generator in
1831 (Figs. 4.24 and 4.25). The invention of the generator was a landmark in the
history of electromagnetism, because it enabled carrying out electrical experiments
75
without the need of batteries, which were quite expensive. It was also a landmark
in the history of applied research, because it was the first time an innovation
emerged as a direct product of basic research. So it became clear that the industry
may benefit from the results of scientists who work purely in search of scientific
truth. From then on, industrially developed, or developing, countries dedicate a
significant percentage of their budget (about 1 %) in funding basic research,
because they realize that, beyond the purely scientific results, there will certainly
come out innovations, the nature of which is not easy to predict in advance.
After this important result, Faraday worked on four main research directions.
(i) He studied the properties of capacitors and found that capacitance is a
function of the dielectric material interposed between the plates. He interpreted this phenomenon correctly, introducing the concept of polarization of
the dielectric, i.e., the fact that the two outer surfaces of the dielectric, located
in front of the plates of the capacitor, develop induced charges of opposite
polarity to those of the plates. In this way, an electric field, opposite to the
externally applied one (by the plates of the capacitor) is developed inside the
dielectric, which results in the reduction of the overall potential difference
between the plates. This phenomenon, which manifests macroscopically as an
increase in capacitance by the insertion of a dielectric between the plates, was
later expressed quantitatively through Maxwells equations.
(ii) He proved experimentally that all kinds of currents (in particular, those
produced by batteries and by induction) are the same.
(iii) He discovered the phenomenon of diamagnetism, which in a sense is the
opposite of ferromagnetism. Needles made of a diamagnetic material are
oriented perpendicular to the magnetic field lines, as opposed to needles
made of ferromagnetic materials, which are oriented along the field lines.
(iv) He tried to determine if there is some kind of interaction between the known,
in his time, forms of energy, such as gravitational, electric and magnetic
fields, on the one hand, and light, on the other.13 To this end, he investigated
the interaction of light with electric and magnetic fields, and tried to detect
any gravitational effects on the electric field. In the first case, he discovered a
new phenomenon: when linearly polarized light propagates along the lines of
a magnetic field, its polarization plane rotates. This result was complemented
later by the Dutch physicist Pieter Zeeman (18651943), who discovered the
shifting of energy levels of an atom by noticing the splitting of the spectral
lines of an element in a magnetic field. Faraday could not observe the
interaction of light (i.e., electromagnetic radiation) with electric and gravitational fields, not because he failed to design the appropriate experiments,
but because the magnitude of the effects he was seeking to observe was
beyond the accuracy of the measuring instruments he was using.
13
Note that heat was not recognized as a form of energy until 1850.
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Perhaps the most important contribution of Faraday in modern physics was the
introduction of the concept of field. The reason for this idea was, as one would
expect from an investigator of his class, the observation of the lines formed by iron
filings on a paper placed over a horseshoe magnet. It should be noted however that,
until then, the same pattern was undoubtedly noticed by dozens of scientists, who
failed to perceive the concept of the magnetic field. On the other hand, it should
also be noted that, although he failed to develop his original idea to a complete
theory, he elaborated on it sufficiently to allow later Maxwell to realize its
mathematical description. At this point it is worth mentioning that two of
Maxwells greatest achievements, the understanding of the electromagnetic nature
of light and the introduction of the vector potential of the magnetic field, were
based on related ideas first put forward by Faraday.
Faraday possessed one of the most important virtues an experimental physicist
can have, namely what we call physical thought. He could anticipate the
existence of phenomena not yet known and to design experiments to test his
predictions. He liked to study each new phenomenon by thinking in analogies,
having in mind a model from another branch of physics. The best example of
such a model is the concept of the field and the corresponding field lines they
describe it. When Faraday was thinking about magnetic field lines, he had in mind
thin elastic bands. It is striking that today, aware of the properties of the solutions
of Maxwells equations, we continue to use this analogy because in fact the
magnetic field lines always tend to assume a minimum length, as is the case with
elastic bands!
The concept of the field allowed Faraday to avoid the hypothesis of action at a
distance, which dominated physics since the time of Newton. His way of thinking,
which was completely different from that of the mathematician Ampre, ultimately
prevailed not only because it was adopted by Maxwell in the mathematical formulation of the laws of electromagnetism, but also because it is conceptually more
attractive. On the other hand, Faraday undoubtedly was not good in mathematics
and therefore it was not easy for him to describe quantitatively his ideas, the results
and the conclusions of his experiments. Perhaps this fact made his thought more
creative and more original, compared to the established ideas of his time. Anyway
the articles he published were difficult to read by his contemporaries; Maxwell was
one of the few who were able to realize their importance and to use them in the
formulation of the mathematical theory of electromagnetism that he proposed.
From what we have said so far, it becomes obvious that Faraday was probably
the last of a generation of physicistsresearchers that resembled a passionate
amateur rather than a well organized professional, as is the case today. Perhaps this
was the reason he never had students and did not set up his own research team,
preferring to have as assistant a retired sergeant. Today, when research work in
science is based more on teamwork rather than individual genius, this behavior
would seem unthinkable.
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It should be noted that one of the equations of this set, known as Ampres law, does not refer
to the force law between currents, proposed by the great French mathematician, but rather to a
theorem he proved in vector calculus.
15
It is important to note that the existence of wave solutions to Maxwells equations is due to a
term that Maxwell added to Ampres law, partly for reasons of symmetry, i.e. on
philosophical grounds.
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that, as we show in the next paragraph, Newtons third axiom is not always consistent with electromagnetism. In particular, the axiom does not apply when
studying the forces between non-steady currents or when studying the motion of
individual charged particles, a fact that affects the principles of conservation of
momentum and energy. In both cases, the variation of force, which causes the
variation of the currents or the variation of the particles position, is propagating
(according to Maxwells theory) at a finite speed. So a remote circuit or a remote
charge perceive the variation, and react appropriately, after some time and not
instantly. But during this time, neither the momentum nor the energy of the system
is conserved! The solution to this inconsistency is given by Maxwells theory itself,
according to which, the momentum and the energy lost from the first particle or
current are transferred to the field and the field, in turn, transmits them to the
second particle or current. Until then, however, nobody had measured such
properties in fields nor had detected any electromagnetic waves, other than light.
So it is not surprising that physicists tried, immediately after the publication of
Maxwells equations, initially to detect the electromagnetic waves and then to
measure their speed and, above all, to detect the medium in which these perturbations propagate, which was already named aether. The results of the experiments, however (especially that of Michelson and Morley, which will be discussed
in Sect. 5.1.2) showed that the speed of light is the same in all inertial frames! So
that in the case of electromagnetic waves, the Galilean transformations of space
and time (in particular the relation v0 = v - v0, Sect. 4.1.1) do not apply and
therefore, apart from the assignment of mechanical properties to fields (momentum-energy), electromagnetism is incompatible with the basic principles of
Galileos kinematics! Many physicists have tried to solve this mystery and one of
them was Hertz. Eventually, in the late 19th century, a Dutch physicist named
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and all the great physicists of the first half of the 20th century participated in it
(Einstein, Planck, Bohr, etc.). This conference marked the official beginning of
the famous debate between Einstein and Bohr on the physical interpretation of the
equations of quantum mechanics, which ended with the prevalence of the interpretation put forward by Bohr (the so-called Copenhagen interpretation).
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evolve in the 19th century, the same happened with classical electromagnetism.
We could say that the classical physics we learn in schools and universities is
based almost entirely on ideas developed in the 19th century. As we shall see later,
this is also true for the other two branches of physics we are discussing in this
book, thermodynamics and kinetic theory of gases.
4.5 Heat-Thermodynamics
4.5.1 Introduction
According to the definition given at the beginning of this book, physics is the
science that studies the interactions between matter and energy. Up to this point,
we have presented four types of energy: gravity, light, electricity and magnetism.
However, there is another form of energy, which is known to man since prehistoric
times, heat. Since heat manifests itself mainly during the combustion of various
elements and chemical compounds (that is, during their violent reaction with
oxygen), this form of energy was traditionally a subject of research in chemistry.
Its study was based more on phenomenology16 rather than on a structured axiomatic theory and, as a result, its development and integration with all other
branches of physics was delayed. The integration of heat in physics was achieved
only in the mid 19th century, through the collective effort of many chemists and
physicists. However, it was mainly due to the understanding by physicists of
thermodynamics, which was originally developed by chemists in order to interpret
the direction of chemical reactions. For example, the synthesis of ammonia, which
is the basis for the production of fertilizers, became possible only after the pioneering research work by the German chemist Fritz Haber (Fritz Haber,
18681934). Haber discovered that the reaction of hydrogen with nitrogen to yield
ammonia is an endothermic and not an exothermic reaction. Therefore, the reaction does not proceed spontaneously (as all reactions that had been studied until
then) but requires the application of high pressure and temperature in the presence
of a catalyst.
Traditionally, the branch of heat includes a variety of phenomena, which are
linked only phenomenologically, such as the expansion of bodies, melting and
freezing, condensation and evaporation, and the transport of heat. All these phenomena were studied before realizing that heat is, in fact, a form of energy and not a
16
4.5 Heat-Thermodynamics
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fluid. The realization that heat is a form of energy was pivotal in the study of
thermodynamics, which became the study of the relationship between heat and
other energy sources. In particular the fact that thermodynamics is based, as we will
see, on three axioms raised the question what is its relationship with the axioms that
provide the foundation for the rest of physics and more specifically, whether the
axioms of thermodynamics can be proven from the axioms of mechanics. As part of
this effort, following the general acceptance of the atomic theory of matter, it was
understood that thermodynamics is closely linked with the physics of perfect
gases.17 For many years, great physicists, such as Maxwell and Boltzmann, tried to
prove that the laws of perfect gases and, therefore, the axioms of thermodynamics,
are a consequence of other basic laws of physics. Ultimately, however, it was found
that the axioms of thermodynamics do not depend on the rest of physics and, hence,
thermodynamics is a singular point in the otherwise more or less uniform edifice
of physics. This situation remains unchanged until today; however there are indications that the integration of thermodynamics in physics might be achieved
through the new science of chaos, which is discussed in Sect. 5.1.3.
A perfect gas is a gas considered to consist of hard point masses that interact only through
elastic collisions. Sometimes the term ideal gas is used interchangeably, but usually a perfect gas
is a simplified model of an ideal gas. The main difference is that the specific heat at constant V,
CV, may be temperature or pressure dependent in an ideal gas, but not in a perfect gas.
84
DQ C DT
where C is the heat capacity of the body, whose temperature varies by DS.
Nevertheless, until the late 19th century, there was still considerable confusion
about the nature of heat.
Initially, all interpretations of phenomena associated with heat were based on
two hypothetical fluids: phlogiston and caloric (or calorique). According to the
ideas of that era (1819th century), caloric and phlogiston belonged, along with
light, electricity and magnetism, to a group of fluids named non-ponderable (or
imponderable), because they were considered weightless. Phlogiston was a
hypothetical substance, a successor of the fourth element of Aristotelian physics,
fire. This substance was introduced by the German physician and chemist Johann
Joachim Becher (16351682), and comprised a key element in the comprehensive
theory of heat established by the Scottish chemist Joseph Black (17281799).
According to this hypothesis, phlogiston is contained in all combustible bodies,
such as wood, charcoal and, generally, all objects that can be oxidized, such as
metals. If such a body is heated, phlogiston escapes, leaving behind the rest of
matter that formed the bodyfor example, ash in the case of wood, or oxide in the
case of metals. According to this hypothesis, if one heats an oxide with coal, part
of phlogiston contained in coal is absorbed by the oxide, transforming the latter to
pure metal again. The easiest way to test this hypothesis is to measure the mass of
a body with and without phlogiston. In the case of metals, for example, the
oxidation of a quantity of metal would yield a smaller or, at most, equal amount of
oxide (assuming in the latter case that phlogiston is weightless). The French
chemist Antoine Laurent Lavoisier (17431794) proved exactly the opposite: a
certain quantity of metal is heavier after oxidation than before oxidation; as a
result, the phlogiston hypothesis could only be true if phlogiston had negative
mass. This case seemed quite unlikely, so in the late 18th century the phlogiston
hypothesis became questionable and was soon abandoned.
Another incorrect assumption regarding heat, which prevailed longer than that
of phlogiston, was the hypothesis that heat consists of an indestructible fluid,
which Lavoisier named caloric. This hypothesis could also be tested experimentally relatively easily, by measuring the heat produced by friction. If one can
produce unlimited amounts of heat by friction without reducing the mass of a
body, then the caloric hypothesis will be untenable, even though caloric is assumed
to be non-ponderable (weightless), because it is unreasonable to assume that a
body contains an infinite quantity of caloric. Such experiments were conducted by
Benjamin Thompson (later Count Rumford, 17531814), who measured the heat
generated during shaping a gun barrel with a drill (Fig. 4.27). He found that in
each machining operation for shaping the gun barrel, similar amounts of heat were
given off, a fact that leads to the non-reasonable conclusion that the metal of the
gun contained an infinite amount of caloric. Assuming that heat comes from the
conversion of the mechanical energy of the drill, he was able to roughly estimate
the mechanical equivalent of heathe calculated a value of 5.5 J/cal, not
4.5 Heat-Thermodynamics
85
significantly different from the currently accepted 4.18 J/cal. On the other hand, a
great deal of theoretical work was based on the hypothesis of caloric, such as the
derivation, in 1822, of the equation describing the propagation of heat in a solid
body by Fourier (Jean Baptiste Joseph Fourier, 17681830) and the calculation, in
1824, of the performance of an ideal heat engine by Carnot (Sadie Carnot,
17961832), both considered successful, as they were consistent with experimental
results. Related to the caloric hypothesis was also the research work of Laplace
and Poisson, who successfully calculated, within the frame of this hypothesis, the
speed of sound in a gas, assuming that there is no exchange of caloric (i.e., heat)
between the gas and its environment. The hypothesis of caloric survived well into
the 19th century, something that is evident from the fact that the great physicist
Thomson (William Thomson, later Lord Kelvin) was using it in his scientific
publications up to 1848, even though he was aware of the calculation of the
mechanical equivalent of heat by Joule (James Prescot Joule, 18181889) since
1847, which showed without any doubt that heat is a form of energy. Finally in
1851 Thomson was eventually convinced that heat is energy and not a fluid, and
the hypothesis of caloric was abandoned by the international scientific community.
86
18
It should be noted that work and energy are relatively new concepts. Clausius was using the
concept of work systematically only since 1850 (see next paragraph); as far as the concept of
energy is concerned, although it had been introduced by Young, it was routinely used by Rankin
(William John Macquorn Rankine, 18201872) at about the same time.
4.5 Heat-Thermodynamics
87
But it is known that this work is equal to p0 DV. On the other hand, we know
from the Gay-Lussac law that V = V0 . (1 ? a#) (where # the final temperature in
degrees Celsius) so that
DV V0 1 a# V0 V0 a #
Finally, by increasing the temperature by one degree above zero (# = 1), we have
DV V0 a
Thus, we find that, in mechanical units (erg or J), the work W is given by
WM p0 DV p0 V0 a
The coefficient, a, of thermal expansion of gases was measured by Volta in 1791
and was found, in the Celsius scale, equal to 1/273. Equating the two values of
energy, WH = WM, we can derive the relation between calorie and the unit of
mechanical energy. Mayer, using the (incorrect) values of Delaroche and Brard,
found in 1842 a value for the mechanical equivalent of heat (in curent units) equal
to 3.58 J/cal.
Mayers work was continued by the British brewer and amateur physicist Joule.
At the beginning of his research career, Joule attempted to build a perpetuum
mobile (a perpetual motion machine19) using a battery, which supplied power to
an electric circuit. Of course he did not succeed, since the batterys energy is
provided by chemical reactions, which cease to take place when the available
quantities of reactant chemicals are finally exhausted. However, he found (in 1840)
that the heat released in a wire by an electric current is proportional to the square
of the electric current. From this result he deduced that heat can be converted to
other forms of energy and vice versa at a constant ratio (which, of course, in the
special case of conversion of mechanical into thermal energy, is nothing more than
the mechanical equivalent of heat). He announced this result in 1843 during a
lecture and later he published it in print. In 1875, the Royal Society assigned him
the task to measure, with the higher possible accuracy, the value of the mechanical
equivalent of heat. The result was, in current units, 4.15 J/cal, very close to todays
accepted value of 4.19 J/cal (Fig. 4.28). For his contribution in thermodynamics
namely, stating the first axiom of thermodynamics and calculating the mechanical
equivalent of heat by using experimental methodsthe international scientific
community honored him by naming after him the unit of work and energy in the SI
system.
19
Definition of perpetual motion machine: A device that produces work in violation of the
thermodynamic principles. More specifically, a perpetual motion machine of the first kind is a
machine that produces work without consuming energy (thus, violating the first principle of
thermodynamics), while a perpetual motion machine of the second kind is a machine that
converts thermal energy to mechanical work with 100 % efficiency (thus, violating the second
principle of thermodynamics, see also Sect. 4.5.4).
88
The scientist who put forward the first axiom (postulate) of thermodynamics in
its final mathematical form was the German Hermann Ludwig Ferdinand von
Helmholtz (18211894). Helmholtz had similar scientific background with Young
(he had also studied medicine) and enjoyed, as Lord Kelvin did, the recognition of
the international scientific community. He was considered the greatest German
physicist of his era. Helmholtz worked on a variety of topics, including the
physiology of the eye and ear, and the conduction of electrical impulses in the
nervous system. In 1847 he published a scientific article, in which he presented the
principle of conservation of energy in great mathematical detail and clarity. For
this reason, and because at that time he was already a renowned professional
scientist (unlike Mayer and Joule, who were amateurs), Helmholtz was initially
considered as the father of the first axiom of thermodynamics. Today, this honor
is jointly assigned to him, Mayer and Joule.
4.5 Heat-Thermodynamics
89
army, from which he retired in 1828 at the age of 32 with the rank of captain. He
died four years later, in 1832, from cholera. During the first years of his service in
the army (18141815), the controversy between monarchical England and
republican France, under Napoleon, reached a climax. Carnot realized that economic matters play important role in a war. At that time, the British had the most
advanced industry in the world, based on steam engines which were invented by
British scientists and engineers, such as Thomas Newcamen, James Watt, Christofer Blackett and others. Carnot considered possible ways to increase the efficiency of steam engines, which at that time was very low (only 5 % of the
combustion heat of coal was converted into mechanical energy). Carnot belonged
to that breed of scientists who liked to think in analogies, so he considered the
watermill as a good mechanical analogue of the operation of the steam engine. The
thermal equivalent of the mass of water was the caloric fluid, while the thermal
equivalent of the height difference of water was the temperature difference
between two heat reservoirs: the boiler, which produces steam, and the atmosphere, where steam escapes from the cylinder, after it has previously expanded
and produced work.
Of course, the first part of the analogy was not correct, since in a watermill the
amount of water is conserved during fall, while in a heat engine the amount of heat
contained in the steam is not conserved during its expansion, as it is reduced by an
amount equal to the work produced. However, in Carnots time the caloric
hypothesis was widely accepted and, furthermore, the amount of heat converted
into work by a thermal engine was too small (5 %, as mentioned) to be detected
with the crude measuring methods available. It is remarkable that, although the
model was wrong, the result at which Carnot arrived was correct! This was so
because, in Carnots final result, the ratio of temperatures is equal to the ratio of
thermal energies (as we shall see below), but also because the second part of the
analogy was accurate, since the rate of heat transfer between the two bodies is
indeed proportional to the temperature difference between them (a law initially
formulated by Newton). However, at the time of Carnot it was well established
that, during the transfer of water from a high standing reservoir to a low standing
water wheel, turbulent flow should be avoided, as it generates friction that reduces
the amount of usable energy. This knowledge led Carnot to the conclusion that the
transfer of heat from the high temperature reservoir A to the low temperature
reservoir B should be carried out slowly, something that is ensured only if the
process is reversible. In this case, the transfer is so slow that heat can be transferred either from body A to body B or vice versa without any finite temperature
difference, heat loss, or work done against friction. This of course means that a
Carnot heat engine can be used either to produce mechanical work from heat or to
generate heat from mechanical work. The second possibility is exploited in
modern air conditioning units which, when set in reverse mode of operation,
generate heat.
Carnots reasoning led him to the established result that the efficiency of an
ideal heat engine, which works reversibly, is equal to
90
Thigh Tlow
Thigh
mghup mghdown
mghup
where m(gup) is the gravitational potential energy of water in its initial position and
m(gdown) is the gravitational potential energy of water in its final position. From
this result, one arrives to the obvious conclusion that efficiency is independent of
the material used or the specific characteristics of the heat engine. Furthermore, it
is evident that the efficiency of the ideal Carnot engine is the highest possible,
because if this was not the case, one could connect in series two engines with
different efficiencies, working in reverse mode of operation relative to each other,
so that the higher efficiency engine is producing mechanical work. In this way, one
would get a perpetuum mobile of the first kind, which would produce more
mechanical energy than it would consume in the form of heat. By reckoning that
this case is impossible, Carnot put forwardindirectlythe first axiom of thermodynamics. But, as already mentioned, the explicit mathematical formulation of
this axiom was written 23 years later, in 1847, by Helmholtz. It is therefore
surprising that, in the history of physics, the so-called second axiom of thermodynamics appeared before the first axiom. This is a good example of the fact that
ideas and concepts in science do not always evolve in a way that a posteriori seems
reasonable or natural.
Carnots work was deemed to remain unknown, since his results were published
only once, in a booklet printed in 1824 in 600 copies at the authors expenses and
distributed primarily to friends. In 1833, however, the French engineer Clapeyron
(Benot Paul mile Clapeyron, 17991864) found by chance a copy of Carnots
booklet, read it, appreciated its significance and published an adapted version in a
French science journal. Clapeyrons article was read in 1841 or 1842 by William
Thomson (later Lord Kelvin, 18241907), who had just graduated from university
and worked in the laboratory of the known (from his research on liquefaction of
gases) French physicist Henri Victor Regnault (18101878). Thomson began
searching for a copy of Carnots booklet and eventually, in 1848, managed to find
one. Based on Carnots ideas and the first axiom of thermodynamics, which by that
time was widely accepted, Thomson showed that the efficiency, g, calculated by
Carnot was equal to
g
Qhot
Thigh
Qhot
where W is the mechanical work done. The proof of this equality is derived from
the exact calculations of the variations of the, so called, state variables P, T and
V during the thermal cycle considered by Carnot and can be found in any standard
physics textbook.
4.5 Heat-Thermodynamics
91
92
In the case of the second axiom of thermodynamics, the situation was more
complex. At this point, the contribution of the German theoretical physicist
Clausius was decisive. In his attempt to generalize Kelvins relationship
Thigh
Qhot
Qcold Tlow
so that it holds for any process, not necessarily reversible (as proposed by Kelvin),
Clausius introduced in 1851 a new physical quantity, the quantity of heat contained in a system divided by the absolute temperature of the system, which he
called entropy. He coined the name from the Greek words eme9qceia (energy) and
sqopg9 (turn), because Clausius thought that, semantically, the Greek root would be
more acceptable than any other equivalent German term. His choice was of particular importance because it was in an era of rampant nationalism in Europe and
especially in Germany.
Entropy, which is represented by the symbol S, is defined for a reversible
process by the differential relation
dS
dQ
T
and has the property that its integral is 0 for any closed reversible cycle on the
plane P - V (or, equivalently, the planes T - V or T - P), a property that is
written symbolically as
I
dQ
0
T
The introduction of the concept of entropy in thermodynamics provided a
thermodynamic quantity that has the properties of potential energy in a conservative force field, namely that the change of this quantity depends only on the
initial and final states of the system and therefore is independent of the actual path
followed. This property did not characterize any of the known, up to Clausius
time, thermodynamic quantities (for example, pressure, temperature, heat, work or
volume) and therefore it was difficult to apply known methods of mechanics in the
mathematical formulation of thermodynamics. Therefore we see that the search for
quantities bearing an analogy between different branches of physics provides
sometimes new ways of thinking.
With the introduction of the concept of the entropy of a system, the second
axiom of thermodynamics can be written in mathematical form as
Z B
dQ
SB SA
T
A
where A and B are two states of a systemthe initial state and the final state
respectively. The equality holds for reversible processes and the inequality for
irreversible. Note that entropy reminds us the property of friction:
4.5 Heat-Thermodynamics
93
94
place in a perfect gas, which, as we shall see, is the best physical model for
visualizing thermodynamic phenomena. To give an extreme mathematical example, note that from a system of point masses interacting through gravitational
forces we can draw infinite energy. This is possible because the potential energy of
any pair of point masses, that are brought from a finite distance in contact,
becomes infinite and negative, so the available kinetic energy is positive and
infinite. Therefore, although entropy may increase monotonically, we will still be
able to produce mechanical work ad infinitum. The apparent contradiction comes
from the fact that, besides introducing gravitational forces between the point
masses (and thus violating one of the assumptions in the definition of perfect
gases), entropy is a statistical concept, while our argument on the gravitational
potential energy is based on classical mechanics. As we will discuss in the next
chapter, this is exactly the point raised by several scholars against Boltzmanns
interpretation of entropy through the theory of perfect gases. Today, the possibility
of the thermal death of the universe is being examined in the context of modern
cosmology, which includes the current belief that the universe is not only infinite
(and hence, strictly speaking, not a closed system) but is also expanding. One
consequence of the expansion of the universe may be that the maximum possible
entropy of the universe, as a whole, increases (as the universe expands) faster than
its actual entropy does, in which case the actual entropy can never reach a maximum possible value at any future time.
95
20
From the Greek word solg9 (cut) and the negation a- in front of it, i.e. something that cannot
be divided (cut) in smaller parts.
96
Fig. 4.29 Democritus, from a 100-drachmas Greek banknote, issued in 1967 (Bank of Greece)
The situation began to change in the 17th and 18th century with two types of
experiments that renewed interest in the question of the microscopic structure of
matter. The first type of experiments, conducted by the English scholar Boyle and
the French Marriotte, investigated the relationship between pressure and volume of
gases at a constant temperature. The second type of experiments, conducted by the
French chemist Lavoisier, studied the stoichiometric ratio of reactants and products in chemical reactions. The results from both experiments could be interpreted
by assuming that matter is composed of elementary particles and, as a consequence, the theory of Democritus resurfaced again in the early 19th century. The
scientist who formulated the modern atomic theory was John Dalton (17661844),
an English chemist who had also an active interest in physics and meteorology.
Scientists in 19th century concluded that the particles constituting each chemical
element and participating in chemical reactions without losing their identity are the
very same particles whose existence was hypothesized by Democritus.
However, in the beginning of the 20th century, scientists realized that in order
to understand properly the microscopic structure of matter they had to take into
account two important points:
The first point is that there is a difference between the particles constituting a
gas and those that retain their identity during chemical reactions. The elementary
particles of gases are molecules, that is, the smallest quantity of matter that retains
the properties of a substancewhether a chemical element or a chemical compound. On the other hand, an atom is the smallest quantity of matter that retains the
chemical properties of an element. The results of Boyle and Marriotte concerned
molecules, while those of Lavoisier, atoms. Only in noble gases molecules and
atoms coincide.
The second point is that atoms consist of even smaller (subatomic) particles,
namely, protons, neutrons and electrons. As a result scientists assumed that these
subatomic particles are actually the indivisible components of matter that Democritus had proposed; but since the nomenclature had been already established,
the term atom was reserved for those particles that consist of protons, neutrons and
electrons, and retain the chemical properties of a chemical element.
97
In the late 20th century, as the experimental methods for investigating the
structure of matter became more efficient, it was discovered that two of the three
subatomic particles (protons and neutrons) are not, in fact, elementary, since each
one consists of even smaller particles, called quarks. So, once again, the same old
question emerged: do really elementary particles exist that cannot be divided into
smaller particles or, as experimental instruments and methods become more and
more sophisticated, we will continue to discover new elementary particles? The
second prospect, if true, has an important consequence; more specifically, it leads to
a conclusion contradicting the view that has prevailed since the time of Dalton: How
can we maintain that matter consists of particles of different sizes and, hence, that it
is not continuous, if there is no particle that cannot be divided into smaller ones21?
\v [
Z1
f v v2 dv
1
21
In a new mathematical model of theoretical physics, named string theory, the elementary
particles are strings, i.e., one-dimensional objects with a length of the order of 10-35 m, or
twenty orders of magnitude (i.e., a hundred billion, billion times) smaller than a proton. This
leaves ample room for quarks to have a structure.
98
Fig. 4.30 Maxwell-Boltzmann probability density function (usually referred to, incorrectly, as
distribution function) for three different temperatures (drawing by author)
physics. This work is the second major contribution of the great theoretical
physicist to classical physics. Maxwell was able to calculate the basic law of the
theory of perfect gases, whereby the kinetic state of the gas molecules, in thermodynamic equilibrium, is described uniquely by a particular distribution of
velocities, f(v), which he estimated in principle.22 This function gives the probability for a randomly chosen gas molecule to have a velocity between two values
differing by an infinitesimal quantity dvfor example, between v and v ? dv
(Fig. 4.30). From this function, f(v), it is possible to derive theoretically, through
simple mathematics, all the experimentally known laws of gases and, in particular,
the basic law of perfect gases
pV NkT
where k is Boltzmanns constant, N the total number of molecules and T the
absolute temperature. Combining the law of perfect gases with Bernoullis result,
22
It is worth noting that this pioneeringfor that timeresult was received with skepticism.
Many physicists, including Clausius, thought that all molecules in a gas are moving with the same
speed. As we mention in the next paragraph, the correct mathematical form of this function was
proved shortly after by Boltzmann, and from then on the function f(v) is known as Maxwell
Boltzmann distribution function.
99
mentioned above, we find that temperature is related to the mean square velocity
through the equation
T
m
\v2[
3k
and, therefore, it is related to the mean kinetic energy per molecule, m\v2[/2. In
addition to the work that lead to this crucial theoretical result, Maxwell, although a
theoretician, conducted very important experiments in the field of statistical
physics. His motivation was an article by Clausius, where the German physicist
introduced the concept of the mean free path of a gas. According to the model of a
perfect gas, gas molecules behave like hard spheres that collide elastically with
each other and with the walls of the gas container. These collisions are random
and, between two successive collisions, each molecule moves in a straight line
with constant speed. Because the collisions are random, each molecule covers a
line segment of different length between two consecutive collisions. Clausius
realized that the mean of these segments, called the mean free path and denoted by
, is a useful statistical quantity in the mathematical description of the properties of
a gas. The mean free path can be calculated, provided that the velocity distribution,
f(v) is known. Since Maxwell had calculated the velocity distribution function of
the molecules of a gas, he was able to calculate the mean free path and to
determine its dependence on other physical parameters of the model. For example
he showed that the friction coefficient, l, of a gas, called viscosity, depends on the
mean free path, , the gas density, q, and the average speed of molecules, \v[,
through the relation
Z1
1
f v v dv
q \v[ ; where \v[
l
3
1
But it can easily be shown that the mean free path depends on the cross section23 of
molecules, j, the density of the gas, q, and the mass of molecules, m, according to
the relation
m
p
2j q
Eventually, we arrive at the relation
1 m \v[
p
l
3
2j
according to which, viscosity is independent of density! If we combine this result
with the law of perfect gases, we conclude that the friction exerted by a gas is the
23
In this case, the cross section is the area of the section of a sphere defined by a plane passing
through the center of the sphere.
100
same both at high and at low pressures! Maxwell could confirm experimentally
this paradox, although his area of expertise was that of theoretical calculations
and not experimentation. After the experimental corroboration of this unexpected
result, the phenomenon was also understood theoretically. In a dense gas, molecules that impinge on a moving surface acquire momentum in the direction of the
surfaces motion and then collide after a short time interval with other molecules
transferring, in this way, momentum over short distances. In a thin gas, molecules
that collide with a moving surface and acquire momentum collide with other
molecules after longer time intervals. During this time intervals, they move further
away from the surface and, thus, carry momentum over long distance. Since in the
first case many molecules carry momentum over short distances, while in the
second case few molecules carry momentum over long distances, the end result is
the same in both cases! This result confirmed Maxwells calculations regarding the
velocity distribution in a perfect gas. Moreover, because viscosity and, hence,
mean free path depend on the cross section of the gas molecules, it became
possible for the first time to measure experimentally the cross section of molecules, their mass and Avogadros number.
The same experiment, however, indicates a second anomaly. Because, as
already mentioned, temperature is related to the mean square velocity through the
relation
T
m
\v2[
3k
101
Along with his teacher, Josef Stefan (18351893), Boltzmann put forward the law
of black body radiation, the well-know StefanBoltzmann law
E r T4
where E is the energy emission rate per unit surface, r is a constant and T is the
absolute temperature of the surface. However, Boltzmanns main field of research
was related to Maxwells work on thermodynamics and perfect gases, a field where
he broke new ground in physics. One of his first results was the rigorous demonstration of the form of the velocity distribution function for perfect gases, which
was derived by Maxwell in a rather heuristic way; for this reason, this function is
usually called MaxwellBoltzmann distribution function. His most important
result, however, was the relationship between the entropy of a thermodynamic
system and the probability for the system to be in a particular energy state. The
result was incredibly simple and elegant:
S k log w
where S is the entropy, w the probability and k Boltzmanns constant. This law had
such an impact in the scientific community at that time, that has been inscribed on
Boltzmanns tombstone in Vienna (Fig. 4.31).
Boltzmanns greatest research effort was devoted to a problem that unfortunately has not been solved yet, although the contribution of this great scientist
towards its solution was very important. The problem is the relation of thermodynamics with the rest of physics and the so-called arrow of time. More specifically, we know that on microscopic level the only forces acting on gas particles are
the known forces of physics. But the laws that describe the effect of these forces on
matter are reversible with respect to time. For example, suppose that a body moves
along a straight line with constant velocity. Then, the differential equation of
motion is
dx
v
dt
The solution of the above differential equation gives the position of the body on
the straight line through the general formula
x v t x0
For a special pair of initial conditions x0 = 0 and
dx
5 the solution is
dx
dt 0
x 5t
For another pair of initial conditions, x0 = 0 and
special solution is
dt 0
x 5t
Notice that if we substitute t with (t) the second special solution becomes
identical to the first, that is, the second solution is essentially the first, but describes
102
motion backwards in time. Both solutions are acceptable, which means that for
every solution of the equation that describes motion towards larger values of x (to
the right) there is a solution that describes motion along the same trajectory but
towards smaller values of x (to the left); this solution is nothing more than the
initial trajectory described backwards in time. Therefore, no one can tell if a
movie showing this body moving along its trajectory is played forward or
backward based solely on the image shown on the screen. For the same reason,
the differential equations of motion of a planet cannot determine if it revolves
clockwise or counterclockwise around the Sun, since both motions are solutions of
the same equations, and therefore equally acceptable, differing only in their initial
conditions.
The above conclusion contradicts everyday experience, which tells us that most
events have a specific time direction. For example, it is easy to determine whether a
movie that shows a glass falling to the floor is played forward or backward, as
the view of fragments sticking together to form a glass that is subsequently lifted
from the floor seems utterly unrealistic. The same applies to gases. If in a closed
room one opens a bottle containing a gas, for example hydrogen sulfide, the gas will
disperse throughout the room; the opposite has never been observedthat is,
hydrogen sulfide already dispersed in a room to be gathered again in the bottle from
which it came in the first place. Thus, statistical phenomena seem to define the socalled arrow of time, indicating that time always flows forward and never backward.
What, really, is the reason for this difference? Maybe the fantastically large number
103
of gas molecules in a room? Modern theory of chaos (see Sect. 5.1.3) points towards
the conclusion that the answer to this question is probably yes, but this remains to be
proved in a rigorous mathematical way. However, from all known physical quantities, only one has a monotonous evolution and, for that reason, is increasing: the
entropy of a system. So, it is reasonable to assume that the arrow of time is connected
to the second axiom of thermodynamics. There are two possibilities:
either the second axiom of thermodynamics can be deduced from the axioms of
the rest of physics, and in particular mechanics, so that the laws of thermodynamics, particularly the arrow of time, can be demonstrated through these laws,
or
or it cannot be deduced from the axioms of the rest of physics, in which case
thermodynamics is a branch of physics independent from the other branches.
Boltzmann devoted most of his research career to this problem. Several times
he thought he had solved it, only to discover later that he had made an assumption
that could not be proven. As mentioned previously, thermodynamics today is
considered as a singular point in physics, in the sense that it cannot be integrated
in the unified edifice of the other branches. However, we believe that mechanics
and thermodynamics should be linked through chaos theory (see Sect. 5.1.3),
which is based on the fact that the majority of solutions of dynamical systems
described by nonlinear differential equations are chaotic, in the sense that two
neighboring orbits diverge exponentially away from each other over time. Because
the position and velocity of a body is inevitably recorded with an accuracy of a
certain number of significant (or decimal) digits (depending on the accuracy of the
measuring instrument), it is obvious that we cannot distinguish between two initial
conditions differing less than the accuracy of the instrument. For example, if our
measuring tape has an accuracy of a millimeter, the positions x = 1.9999 m and
x = 2.0001 m will be recorded as x = 2.000 m. But the real trajectory, with an
initial position x = 1.9999 or 2.0001 m for example, will diverge exponentially
from the one with x = 2.000 m, which we calculate based on the equations of
motion, and after a certain time the true trajectories will differ significantly from
the computed one by so much that we will be forced to believe that the true
trajectory follows a chaotic evolution. If the trajectories we measure or calculate
describe the motions of the molecules of a gas, this means that at this point we no
longer know the real kinetic state of these molecules. This scenario seems
reasonable, but it must be demonstrated mathematically, something that unfortunately has yet to be achieved.
Chapter 5
The evolution of physics did not come to an end in the dawn of the 20th century, as
many physicists believed at that time and as school textbooks seem to imply
sometimes. Simply, the new avenue opened by Galilean transformations had come
to an end at the moment when Lorentz transformations were introduced. Experimental results accumulated in the early 20th century, that could not be included in
the edifice created along the way, gave rise to new questions and problems, which
required a new approach to physics. The change in mainstream physics took place
through the establishment of two novel theories: quantum mechanics and theory of
relativity. What were, however, these new questions and problems? Their
knowledge allows us to appreciate better the revolutionary and, at the same time,
effective nature of both these new theories.
Lorentz transformations could not be integrated easily in physics, because their
introduction was completely arbitrary.
There wasnt any experimental evidence for the existence of aether, which was
believed to have both bizarre and contradictory physical properties.
The solution to these two problems was given by Einstein, who introduced the
second axiom of the special theory of relativity, namely that the speed of light in
vacuum is constant for all inertial observers. This axiom, together with the first
axiom of special relativity discussed in the next section, led naturally to the
Lorentz transformations and rendered the assumption about the existence of aether
unnecessary.
The computation of the specific heat of gases showed that diatomic molecules
have fewer degrees of freedom than those anticipated by classical mechanics
(three translational, three rotational and one oscillatory). Similar was also the
case for triatomic molecules.
Experimental studies on the photoelectric effect showed that the emission of
electrons from a material, irradiated by electromagnetic waves of short wavelength (light), is proportional to the flux of radiation, but depends strongly on its
frequency as well. When the frequency is less than a threshold value, no electrons are emitted, no matter how large is the radiation flux (Fig. 5.1).
H. Varvoglis, History and Evolution of Concepts in Physics,
DOI: 10.1007/978-3-319-04292-3_5, Springer International Publishing Switzerland 2014
105
106
= 0.70 m
= 1.77 eV
photon
= 0.55 m
= 2.25 eV
= 0.45 m
= 2.76 eV
photon
photon
= 0.29 eV
= 0.80 eV
e
no electrons
Fig. 5.1 Photoelectric effect. Light illuminates a plate made of caesium, which has a work
function of 1.96 eV, i.e. an electron is emitted from the plate if the electrons energy is increased
by 1.96 eV. Electrons are emitted when the light is blue or yellow-green, but not when it is red.
This result cannot be interpreted classically. The introduction of the concept of photons by
Einstein solves the problem, since red photons have energy below the work function of caesium.
The difference between the electrons energy and the work function appears as kinetic energy of
the electrons (drawing by author)
The theoretical interpretation of the black body radiation, based on the existence
of some, unspecified in principle, oscillators inside the black body, led to the
conclusion that the intensity of the emitted radiation should increase without
bound as frequency increases. Experiments, however, showed that the intensity
reaches a maximum and subsequently, in the ultraviolet spectral range and
beyond, decreases with frequency. This theoretical monotonic, continuous
increase of the intensity with frequency, which was not in agreement with the
experimental results, was called ultraviolet catastrophe (Fig. 5.2).
The existence of stable atoms was a mystery in classical physics. According to
Maxwells theory, an accelerated electron radiates electromagnetic waves.
However, in the prevailing at the beginning the 20th century Rutherfords model
for the atom, electrons revolve around the positively charged nucleus. But they
do not radiate electromagnetic waves, even though they are subjected to centripetal acceleration; otherwise, they would lose energy and eventually fall on
the nucleus!
The discovery of radioactivity by Becquerel was a powerful blow to thermodynamics. Less than 50 years after the universal acceptance of the first axiom of
thermodynamics (according to which total energy is a conserved quantity), a
phenomenon called radioactivity was experimentally observed, during which
heat and radiation are apparently produced without the consumption of another
type of energy.
All five phenomena described above were explained by quantum mechanics.
Finally, the problem of integration of the second axiom of thermodynamics in
the edifice of physics has remained unsolved so far.
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108
proposing that, in nature, radiating bodies never attain thermodynamic equilibrium, as it is assumed in the theoretical models. He proposed a model in which the
heat capacity of each body is represented by a container connected to the containers of other bodies through a system of pipes and outlets. When Jeans concluded his presentation, Poincar made the following brief comment:
It is evident that by a suitable choice of the dimensions of those connecting pipes between
the vessels, on the one hand, and the magnitude of the losses, on the other, Mr. Jeans can
account for any experimental result. However, that is not the role of physical theories. One
must not introduce as many arbitrary constants as there are phenomena to be explained.
The goal of physical theory is to establish a connection between diverse experimental
facts, and above all to predict.
109
Heisenberg published an early form of the uncertainty principle in 1927 based on heuristic
arguments. In this initial form, the principle reads Dx Dp h, where x is the position and p the
corresponding momentum. Soon afterwards, however, a rigorous mathematical proof was
published, according to which, in a series of measurements, the standard deviations of the
position, rx, and of momentum, rp, satisfy the relation rx rp h=4p.
110
The concept of aether, and its modifications and improvements, is reminiscent of Aristotles
theory of motion. In order to save an inadequate theory one has to devise more and more
improvements, which eventually complicate the theory and render it unreliable. Aether was
initially assumed to be simply transparent and weightless, like air; so, it was logical to presume
that only longitudinal waves could propagate through it. When it was determined experimentally
that light waves are transverse, another property was attributed to aether, that of rigidity. But it
turned out that, in order to explain the extremely high value of the speed of light, aethers rigidity
had to be considerably higher than that of steel! Finally, in order to justify the phenomenon of
length contraction, aether should exert a high pressure to bodies that move fast, but not to those
that move slowly! These contradicting qualities introduced serious questions regarding the
existence of aether.
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ardent supporter of this view being the Austrian physicist Ernst Mach
(18381916), and those who attempted to explain the negative experimental result
by introducing new hypotheses. Among the second group of scientists was the
Irish physicist George FitzGerald (George Francis FitzGerald, 18511901), who
suggested that all objects interact with aether as they move through it and, as a
consequence, their length shrinks in the direction of motion. If this really was the
case, then the negative result of the Michelson-Morley experiment could be
explained in a rather straightforward way.
FitzGeralds idea was developed mathematically by Lorentz, who concluded that,
apart from the phenomenon of length contraction, the interaction of matter with
aether should have two additional effects: time dilation and increase of mass with
speed. The final form of this theory was presented on the 5th of June 1905 by Poincar
at a convention of the French Academy of Sciences (see Sect. 4.2.6 as well). Poincar
had developed a theory of spacetime transformations, from which emerged a new
law of velocity transformations, different from that given by the Galilean transformations. According to this law, the speed of light is the same in all inertial frames of
reference and, therefore, the negative result of the Michelson-Morley experiment
could be explained in a rigorous mathematical way. Poincars theory was based on
112
three postulates, one of which was the existence of aether, as a preferred reference
system. A few weeks later, on the 30th of June, Einstein, in a big scientific leap,
united mechanics and electromagnetism, with the proposition of an entirely new
theory: the special theory of relativity (STR). This theory relates the motion of a
body, as perceived by an observer in a reference frame A, to its motion as perceived
by another observer in a reference frame B, moving in a uniform way (that is, in a
straight line and with constant velocity) with respect to A. The STR theory, as
formulated by Einstein, is based on two postulates:
The laws of physics are the same in all inertial reference frames.
The speed of light in vacuum is the same in all inertial reference frames.
It is striking that the above axioms do not have any obvious mathematical
form.3 However, it can easily be shown that their combination results in a
mathematical relation, analogous to the Pythagorean theorem, which gives the
distance between two points A and B, not in ordinary three-dimensional space,
but in a special four-dimensional space in which the fourth dimension is time. If
the coordinates of A and B are x, y, z, t and x dx; y dy; z dz; t dt,
respectively, then the elementary proper length, that is, the distance between
points A and B in the four-dimensional spacetime, denoted by ds, is given by the
relation
ds2 c2 dt2 dx2 dy2 dz2
where c is the speed of light. Thus, Einstein introduced in physics the completely
new idea that space and time are not separate entities, but closely linked through
the previous relation. Careful examination of this relation reveals the reason why
we put the word distance in quotes. The squares of the three spatial coordinates
have the same sign, just as in the Pythagorean Theorem, but the time coordinate
has a sign opposite to that of space. Therefore, this distance has different
properties than the usual one we are familiar with. In geometry, the Pythagorean
Theorem indicates that, no matter how a vector is oriented in space, its length
remains always the same. In STR theory, the corresponding relation indicates that,
no matter how an elementary four-dimensional spacetime vector is oriented, the
difference between the square of the three-dimensional length and the square of
the interval between observations does not change. One of the main consequences
of this result is that two events that are simultaneous in an inertial frame of
reference are not, in general, simultaneous in another frame of reference!
In addition to the dependence of the elementary length in four-dimensional
spacetime from time, it is also relatively easy to prove that the combination of the
two postulates of STR theory leads to the Lorentz-Poincar transformations.
Therefore, the two theories are mathematically equivalent, but Einsteins theory
Twenty years later, the Greek mathematician Constantine Caratheodory showed that, under
very general (and maybe trivial) assumptions, one can arrive to a superset of theories of
relativity, of which STR is a special case.
113
uses one less postulate, that is, it does not presuppose the existence of aether!
Furthermore, STR theory is based on axioms that have a physical meaning,
while Poincars theory was just a mathematical conception. Of course, it is
impossible to present in a single paragraph all changes STR theory brought about
to the ideas and concepts of classical physics. However, we should note one of the
most important ones. Galileos rule for transforming velocities is given by the
relation.
vB vA VAB
According to this rule, the velocity of a body in an inertial reference frame B
equals the velocity of the body in an inertial reference frame A plus the velocity of
system B with respect to A. Therefore, if one of the velocities vA or VAB is large,
vB might turn out to be larger than the speed of light, c. However in the frame of
the STR, Galileos rule of adding velocities is an approximate relationship, valid
only for speeds much smaller than the speed of light. When one of the velocities vA
or VAB approaches the speed of light, the exact relation of STR
vB vA VAB = 1 vA VAB =c2 ;
derived from Einsteins postulates, gives always a sum smaller than c. Thus, we
see that compatibility of mechanics with electromagnetism was achieved by
sacrificing one of the oldest axioms of physics, the Galilean transformations.
3 X
3
X
l0 m0
glm xl xm
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where glm is a tensor of second rank (i.e. a matrix with special properties) and
indices l and m assume values from 0 to 3; coordinate x0 represents time, while x1,
x2 and x3 are the three spatial coordinates. Note that the elementary length, ds2,
ds2 c2 dt2 dx2 dy2 dz2 ;
appearing in the context of STR, is a special case of the GTR theory that results by
setting g00 c2 ; g11 g22 g33 1 and gij 0 for i 6 j.
In fact, the difference between Einsteins theories of relativity, STR and GTR,
is far greater than indicated by the difference in names or the difference in the
calculation of the elementary length. The STR theory is simply a correction of
the laws of physics, which applies for speeds approaching the speed of light. On
the other hand, GTR theory is a new theory of gravity, where the force given by
the law of universal gravitation, which Newton considered as an action at a
distance, is nothing more than the result of a local curvature of spacetime,
caused by the presence of a mass in this area. This new theory of gravity overcomes the problematic points of Newtons theory (presented in Sect. 4.1.2),
namely, the concept of action at a distance and the inability to describe the universe as a whole, due to the existence of physical quantities that assume infinite
values. Moreover the GTR theory predicts several phenomena that were unknown
at the time of Einstein, for example that light is bent by massive objects (Fig. 5.4).
Today, the GTR theory is a generally accepted physical theory, because most of
the phenomena it predicts have been detected experimentally, except one: gravitational waves. At present (2013), several experiments are in progress for the
purpose of detecting gravitational waves; hopefully, the first positive results will
be recorded soon, verifying fully the GTR theory (Fig. 5.5).
It is important to emphasize that at the time that Einstein put forward his GTR
theory, there werent experimental results that could justify such a revolutionary
idea. Einstein based his proposed theory solely on philosophical arguments, just
like ancient Greek natural philosophers did. Therefore, we see that modern science
has not abolished the ancient Greeks way of thinking; instead, the method of
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ancient Greek philosophers, to predict experimental results from theories conceived on general principles, was supplemented by the modern method of formulating theories to interpret existing experimental results.
He based his conclusion on the belief that the validity of the laws of physics is
universal and that the mathematical equations describing these laws can be solved
exactly. Therefore, according to Laplace, the concept of probability is due only to
our imperfect knowledge of the laws of physics and of the initial conditions at the
moment universe was created. In this case, the basic law that Laplace had in mind
was Newtons second axiom, according to which the motion of a body can be
described by an equation that relates its acceleration with the force applied to it.
The importance of the conclusion in philosophy and ethics is obvious: if the
motion of all bodies, from the smallest atoms in our body to the biggest stars in a
4
Laplace, Pierre Simon, A Philosophical Essay on Probabilities, translated from the 6th French
edition by Frederick Wilson Truscott and Frederick Lincoln Emory, Dover Publications (New
York, 1951) p. 4.
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galaxy, is dictated by strict mathematical laws, then the concept of free will is
meaningless!
A 100 years or so after Laplace, the great French mathematician and astronomer Poincar discovered a phenomenon that could restore the value of free will.
This was the existence of chaotic motions even in the simplest systems of classical
mechanics, such as the famous three-body problem (see Sect. 4.1.2). Because of
this property, the solutions of the equations of motion are not analytic with respect
to the initial conditions; for example, we cannot write a solution that has initial
conditions for position and velocity x x0 Dx0 and v v0 Dv0 , respectively,
as a Taylor series about the solution with initial conditions x0 and v0. At the heart
of the problem lies the extreme complexity of the solutions, which Poincar
realized when he attempted to solve the three-body problem and described in this
way:
When we try to represent the figure formed by these two curves and their infinitely many
intersections, each corresponding to a doubly asymptotic solution, these intersections form
a type of trellis, tissue, or grid with infinitely fine mesh. Neither of the two curves must
ever cut across itself again, but it must bend back upon itself in a very complex manner in
order to cut across all of the meshes in the grid an infinitely many times. The complexity
of this figure is striking, and I shall not even try to draw it.5
H. Poincar, New Methods of Celestial Mechanics (transl. D.L. Goroff), vol. III, AIP (New
York), 1992 (p. 1059).
6
It became possible to draw this complex figure only after the invention of computers and the
ensuing possibility to calculate numerically the solutions of any dynamical system.
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other planets, etc. Usually, we assume that other small bodies in the solar system
(such as asteroids and comets) and all distant stars have negligible influence on
Earth. This is the method of successive approximations. Of course, by following this
method it is assumed (although it is not clearly stated) that the small perturbations caused by the forces of the Moon and other planets, when applied to the
simplified orbit of the Earth, do not alter significantly the orbit that Earth
would follow if it were only under the influence of the attracting force of the Sun.
This means that we accept that the actual orbit of the Earth approximates the
calculated orbit by solving the problem of two bodies or, in other words, that the
actual solution can be written as a Taylor series about the solution of the twobody problem. As mentioned earlier, Poincar had shown that this is not possible,
but scientists at his time did not realize the importance of his discovery and continued to work with traditional methods of successive approximations.
Examining carefully the results calculated by the computer, Lorentz found that
something was wrong with the solutions: small changes in the initial conditions
gave rise to completely different states of the atmosphere. This was contradicting
the prevailing, at the time, view that small changes in the initial conditions lead
also to small changes in the solutions. After various attempts to correct any possible errors in the numerical code used to solve the set of equations, Lorentz
arrived at a revolutionary conclusion. The classical method of the successive
approximations for solving complex systems, which was introduced by Newton
300 years ago, could not be used to address the problem of weather forecasting,
since minor changes in the initial conditions lead to radically different solutions!
Lorenz used this conclusion, stated in a poetic manner, in the title of the lecture
he delivered in a conference in 1972: Does the flap of a butterflys wings in Brazil
set off a tornado in Texas? This concept, which is known today as the butterfly
effect, marked the beginning of the theory of chaos in modern times. It should be
noted that the anomaly discovered by Lorenz does not characterize all solutions
of a complex system. There are regions of initial conditions in space and velocity
where there is an obvious sensitivity in the initial conditions resulting in chaotic
trajectories. However, there are other regions of initial conditions corresponding to
regular orbits, where this sensitivity does not appear. But these two regions are
intermingled in a complicated way.
In the years following Lorentzs discovery, chaos theory evolved rapidly
through experimentation (either actual experiments or computer simulations) and
the development of new theoretical tools and concepts. Today, our understanding
regarding nature and the solutions of equations describing the temporal evolution
of various phenomena is radically different from that of scientists 50 years ago.
Chaotic phenomena, similar to those discovered by Lorenz, are observed in almost
any dynamical system, from the motion of planets around the Sun to the fluctuations of stock indices (Fig. 5.6). Thus, in line with what we mentioned in Sect. 4.
1.5, it turns out that the accurate solution of differential equations describing the
evolution of a phenomenon requires infinite precision in the initial conditions,
something that is not feasible. This phenomenon generates chaotic solutions and
free will becomes again meaningful.
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0.4
0.2
-0.2
-0.4
-0.4
-0.2
0.2
0.4
The basic attributes of all chaotic dynamical systems, as systems with chaotic
solutions are called, are two:
the existence of geometric complexity, which did not allow Poincar to draw
any figures at his time, and
the sensitive dependence on the initial conditions (Fig. 5.7).
As a consequence of the latter property, the longer is the period over which we
want to calculate a solution, the more decimal digits are required in the initial
values of quantities describing a dynamical system (for example, pressure and
temperature in the case of the atmosphere). The accuracy of a thermometer or a
barometer, for example, is limited to a maximum of four significant digits, and, as
a result, weather can be forecast with some confidence for a strongly limited time
interval, usually up to two or three days. Thus, the paradox numerical result of
Lorenz was finally explained.
Today, the scientific community not only has realized the importance of the
discovery of the phenomenon of chaos by Poincar, but attempts, through chaos
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theory, to find the answer to one of the oldest problems in physics: the link of
thermodynamics with the other main branches of physics. In the late 19th century,
Lord Kelvin and Helmholtz tried unsuccessfully to incorporate thermodynamics in
the classical physics of their time. The problem was eventually solved by Maxwell,
who concluded that the second axiom of thermodynamics (which states that heat
cannot be fully converted into mechanical work) cannot be proven as a theorem
from the laws of Newtonian mechanics. This seems paradoxical, since heat is
essentially a measure of how rapidly molecules move in a gas or atoms in a
bodya motion which, of course, obeys Newtons three axioms of motion.
Today we believe that the property of sensitive dependence on the initial
conditions can provide the solution to the above open problem. If a system consisting of a few objects can posses both regular and chaotic motions, then it is
reasonable to expect that a system consisting of a very large number of bodies
would possess practically no regular motions. Considering the fact that each cubic
centimeter of air contains one billion trillions of molecules, we realize the rationale of the above argument.
In recent years, there have been many attempts by experimental physicists,
theoretical physicists and mathematicians to prove the above hypothesis. In 1970,
the Russian mathematician Yakov Sinai (Yakov Grigorevich Sinai, 1935) showed
that a perfect (in the mathematical sense) gas posses only chaotic motions.
Unfortunately, this gas is only an ideal model, since it is assumed that molecules
have no dimensions and that they do not exert forces to each other except when
they collide. Instead, all systems of physical importance that have been tested so
far were found to possess, even in small percentage, regular (i.e. non-chaotic)
motions. The proof that the second axiom of thermodynamics is a consequence of
chaos theory and, therefore, of the laws of classical mechanics will be a major step
for physicists in their effort towards the unification of the laws of physics.
Chapter 6
After the detailed presentation of the evolution of concepts and ideas in various
branches of physics, we can arrive at some interesting general conclusions concerning the dependence of this evolution on various parameters, such as the
geographical area, the model for the development of research and the personality
of scientists.
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appeared. This situation changed radically in the 20th century, when the United
States government realized the importance of research in the achievement of
economic growth and military development and followed a policy of generous
funding of science. During the same period, organization of research in the USSR
was based on the concept of central planning, but with considerably less success
than this policy had in Germany at the end of the 19th century. As a result, today,
at the dawn of the 21st century, the best European researchers are attracted by
salaries, resources and organization offered by the United States; so, we notice that
the situation regarding scientific research and development in the 21th century has
been completely reversed from what it was 100 years earlier.
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does not impress us today (Lord Kelvin, Helmholtz). Some were involved in
establishing new scientific fields and, although their pioneering efforts were not
recognized in their time (since few could understand them), today are considered
as founders of physics (such as Maxwell). Many are known primarily for the part
of their work which was ultimately less important in the evolution of physics
(Galileo, Newton). Finally, there were direct and significant collaborations
between experimentalists and theoreticians (Kirchhoff-Bunsen, Faraday-Maxwell).
6.4 Conclusions
The final conclusion is therefore that, in science, the development of new ideas and
concepts does not necessarily follow a specific preferred path. This versatility
provides the necessary dynamics and vivacity to continuously produce new results,
open new roads, and widen existing ones. This feature, along with generous
funding of research projects and strategic cooperation within research groups, is
giving today the general impression that science is constantly advancing. At the
same time, it creates the illusionespecially to school children and studentsthat
the edifice of physics is integrated and uniform and that scientists simply complete
some details here and there and perfect it. The lesson that should be learned from
studying the evolution of ideas and concepts in physics up to the end of the 20th
century is that, if there is anything certain in research today, is that our ideas about
the world and the laws governing it will change in the future. In order to appreciate
fully this conclusion we simply have to remember what happened to the ideas and
concepts that prevailed in classical physics in the late 19th century:
Newtons gravity proved to be merely an approximation of Einsteins general
theory of relativity.
Galilean transformations are an approximation of Lorentz transformations.
Newtons law, F = ma, does not apply within the context of special theory of
relativity, unless it is assumed that mass depends on velocity.
The photoelectric effect showed the dual nature of light: namely that light can be
thought of as consisting either of waves or particles, depending on the phenomenon being observed.
Maxwells electromagnetism turned out to be subset of a more general theory,
which includes a force unknown in the 19th century, the weak nuclear force.
Finally, thermodynamics remains until today a singular point in physics. It
finds applications in classical physics, the general theory of relativity and
quantum mechanics, but no one knows why it describes so successfully phenomena in practically all branches of physics.
One should avoid the misconception that all problems of physics, except that
concerning the second axiom of thermodynamics, have been solved within the
framework of the theory of relativity and quantum mechanics. These two theories
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were simply put forward in response to problems that remained unresolved at the
dawn of the 20th century. Unfortunately, or fortunately, the development of both
these theories, as well as experiments conducted during the 20th century, resulted
in more unresolved problems, some of which are the following:
General relativity and quantum mechanics are not compatible.
Astronomical observations suggest the existence of dark matter, i.e. matter of
unknown origin, which cannot be observed directly but can be detected by the
gravitational attraction it exerts to neighboring bodies. Dark matter might
consist of exotic particles or of a class of celestial bodies not yet observed.
Another puzzling fact is that, according to recent astronomical observations,
distant galaxies are receding with velocities larger than predicted by standard
cosmology, a fact that is presently interpreted by invoking a new force in the
universe, related to the existence of the so-called dark energy. If this is true, then
the existing forces in nature are five and not four, as it is stated in all physics
textbooks.
So, at the dawn of the 21st century, we are expecting a new revolution in
science, similar to the one brought about by quantum mechanics and the theory of
relativity. We hope that this revolution will provide a deeper understanding of
nature and physics through the integration of all physical theories into a unified
theory, which has been already given the appropriate name theory of everything.
Will we ever manage to accumulate all knowledge required to fully understand
nature? The question is basically a philosophical one, since it cannot be answered
with an experiment and, consequently, it does not belong in the realm of science.
However, all scientific experience accumulated so far makes many scientists to
believe that the journey of knowledge will never end.
Chapter 7
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126
Fig. 7.1 Digital reconstruction of the Gymnasium of Eudemus, the central gymnasium of the
ancient city of Miletus; based on material brought out by excavations (FHW)
Phalereus (ca. 350 BCca. 280 BC), one of the most eminent Aristotles disciples.
After successive periods of acme and decline, the Museum ceased to exist shortly after
391, a time when the Byzantine emperor Theodosius A0 abolished by imperial decree
all polytheistic temples. The last Director of the Museum was Theon, father of
Hypatia, the first eminent woman mathematician in the history of science. The
Museum was the first institution with an organization similar to that of modern
universities, as the scientists working there were paid by the state and had access to the
hundreds of thousands of books kept in the Library of Alexandria. Until the Roman
times, the Museum was functioning more or less like a contemporary research institute
analogous, strangely enough, to the Institute for Advanced Study in Princeton. The
Emperor gathered in the Museum all the greatest scientists of the time to help them
pursue undistracted their various research activities. In parallel, however, with their
research activities, the Museums scientists were also teaching in student classes.
During the transitional period of Late Antiquity, the Byzantine emperor
Theodosius II (401450 AD) founded in Constantinople, in 425 AD, a new higher
education institution, which originally had 30 professors and a library with 100,000
books. The institution was known with various names, such as University or
Academy of Constantinople, but it was usually called Pandidakterion (Fig. 7.2).
Attendance at Pandidakterion was at some periods free and at some others by
tuition; Pandidakterion was reformed several times until the fall of Constantinople
to the Turks, when it was abolished by Sultan Mahomet II (14321481).
Constantine VII Porphyrogenitus (905959) was one of the Byzantine emperors
who, in the mid 10th century AD, had expressed an interest in developing the
Academy (as Pandidakterion was called at that time); according to the historians, he
127
Fig. 7.2 A class assumed to be in Pandidakterion; miniature from the 12th century John
Skylitzes Chronicle (Spanish National Library, photo by V. Tsamakda)
had appointed four professors: Constantine Protospathario in the chair of philosophy, archbishop of Nicea Alexander in the chair of rhetoric, patrician Nicephorus in
the chair of geometry, and secretary Gregory in the chair of astronomy.
Many regard as the first universities in history the philosophical schools of
Athens, others the Museum of Alexandria and others Pandidakterion. The prevailing view is that todays universities should be seen as direct descents of the
medieval universities of Western Europe, since the institutions mentioned above
were lacking some important characteristics that, as we believe, modern university
have. For example, there wasnt any specialization in these institutions, such as
schools, departments or faculties; moreover, they were not awarding any titles
granting professional rights.
128
in Greek or Arabic. These writings were translated into Latin, the language of
science and religion then, and became the official textbooks of the universities of that
era. This led to three cycles of studies, organized in a manner similar to that of
ancient Greek philosophical schools. In the first two cycles were taught seven core
courses,1 under the title liberal arts,2 because they were addressed to free citizens
and not slaves. The study of those seven basic subjects was mandatory for a student
in order to be able to proceed to the third graduating cycle of studies.
The first cycle, called trivium, included grammar, rhetoric and logic (or dialectic). By todays standards, this cycle could be classified as theoretical or
humanitarian science.
The second cycle, called quadrivium, included arithmetic, geometry, music and
astronomy. By todays standards, this cycle could be classified as science.
Finally, after the successful conclusion of the basic studies in liberal arts, the
student could proceed to higher level subjects and study philosophy and
theology (today we would refer to them as graduate studies).
In addition to these courses, that were directly taken from the curricula of the
schools of Late Antiquity, medieval universities soon expanded the scope of the
offered courses, introducing three new basic sciences, law, theology and
medicine.3
It is known that, perhaps as early as the 9th century, a medical school had been
established in Salerno (near the city of Naples in Italy). Universities, in the modern
sense, that were offering degrees in law, theology and medicine were first founded
in the 12th century; the first two of them were those of Bologna and Paris. The
University of Oxford was founded in the 13th century by professors and students
of the University of Paris and, soon after, other universities were also established.
The first universities did not have buildings or classrooms. They were simply a
group of professors and students, organizedaccording to the medieval practice
in guilds, called universitas magistorum et scholarium (group of teachers and
students). After a while, this title was reduced to universitas, from which came the
modern name university (Fig. 7.3).
Students were living in communes, called colleges (collegia). Originally,
teachers borne religious titles: master (in Latin, magister), lecturer and reader (in
Latin, lector), regent (in Latin, regens), and the degrees were awarded by the
chancellor, who was the representative of the church. In many countries these
titles are still in use. The title of professor was similar to the current title doctor
and characterized someone with a higher degree; this title was initially awarded
1
A difference between American and British terminology should be noted here: the equivalent
of the American term course is, in UK, a subject. In British terminology a course is a superset of a
subject.
2
The term liberal arts is still in use in American universities to differentiate the set of natural
sciences and humanitarian sciences, from medicine, agriculture and engineering.
3
Therefore, it should not come as a surprise that many of the first physicists were holding a degree
in medicine, since there was no other relevant degree for those who wanted to study science.
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only for theological studies, in which case the full title was: professor of sacred
theology (sacrae theologiae professor, STP). Then, in the 16th century, the use of
this title extended to other subjects and, since the most diligent students remained
in universities to teach younger ones, it was mainly associated with teaching. Only
at the end of the 18th century the title professor acquired the meaning it has today
(Table 7.1).
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Medieval universities were international, in The Latin language was gradually replaced
the sense that the teaching language was
by local, national languages; colleges
Latin, something that allowed teachers
recruited teachers and admitted students
and students to move within Europe
mainly from their founding country
regardless of their nationality
2a Universities were under the trusteeship of the Universities are separated from the church
church
2b There was no freedom of teaching and
The long and harsh religious struggles
research. The purpose of studies was to
resulted in the predominance of liberal
convey the established doctrines and
spirit and religious tolerance, from which
recognized teachings
research benefited significantly (see, for
example, the cases of Holland and France,
in contrast to that of Italy)
2c
Universities become centers of free teaching
and free scientific research
2d
Universities become institutions controlled
by the state (either public or privately
owned), but financially and
administratively independent
3 Teaching was based on scholastic philosophy, The scholastic philosophy and the scholastic
following the method of scholastic
method were abandoned and new
commentary of the texts and dialectical
textbooks were introduced, written by
debate (this explains the form of several
contemporary scientists (primarily by the
Galileos books, which were written in the
professors themselves)
form of dialogues)
4 There were no studies of natural sciences, in New subjects are introduced and the old ones
the sense that there was no objective
gradually lose their importance, resulting
recording of natural phenomena or
in curriculum changes as well. Also, the
experimental research, nor any attempt to
method of teaching is changing, from
determine the sequence of events (causal
commenting on old texts and dialectical
relationship) and the laws that govern
discussion to lecturing by professors and
them
tutoring by assistants
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key building block of this system was the university laboratory, whose director
was a professor with increased administrative responsibilities. The professor was
directing and supervising the work of the other members of the laboratory, namely,
of the dozents, assistants and chief-assistants; he was setting the research directions of the team, managing the laboratorys financial matters and, furthermore, he
had the exclusive right to teach (together with dozens) and supervise doctoral
theses. In addition, only professors were entitled to university administrative posts,
such as those of a rector or a dean. During the 20th century, and in particular after
World War II, the organization of universities changed almost everywhere, and
most countries followed the model presented in the following paragraph.
In the early 20th century, the American university model began to influence
academic institutions and research in Europe, first in countries with a tradition in
liberal ideas, such as Netherlands and Denmark, and later in countries dominated
by bureaucracy, such as the former Soviet Union. The following event, which
happened in 1961 during the visit of the great Danish physicist Niels Bohr (Nobel
Prize in Physics, 1922) in the Soviet Union, demonstrates this difference in
mentality between the scientists in the two countries. During one of the lectures he
delivered there, a Soviet physicist asked Bohr how he managed to set up in a small
country, such as Denmark, a brilliant school of physicists. Bohrs answer was
Presumably because I was never embarrassed to confess to my students that Im a
fool. By mistake, however, his response was translated in the Russian proceedings as Presumably because I was never embarrassed to declare to my students
that they are fools. When later the Russian theoretical physicist Evgeny Lifshitz
(Evgeny Mikhailovich Lifshitz 19151985) read to a gathering of colleagues
Bohrs reply from the official transcript, sensation was created in the audience.
Lifshitz, then, referring to the original English text, translated correctly Bohrs
reply and said that the error was an oversight of the translator. But the great
physicist Pyotr Kapitza (Pyotr Leonidovich Kapitza 18941984, Nobel prize in
Physics 1978), who attended the event, commented that the initial translation was
not an oversight. It reflected accurately the main difference between the school of
Bohr and that of Lev Landau (Lev Davidovich Landau 19081968, Physics Nobel
1962), of which Lifshitz was a member. While in Denmark Bohr had associates, in
the Soviet Union Landau had assistants.
The model upon which teaching and research was organized in the United
States became the generally accepted model around the world. The building block
of the university is the department, which awards degrees in a specific field. A
department may have professors of various statuses, their differences being primarily on salary and tenure and not on teaching and research rights. For example,
in Greek universities, faculty members of all levels can teach and supervise
doctoral theses, while professors of the upper two levels can be elected to
administrative positions, such as department chairman, dean, chancellor and rector. Research is conducted by groups, large or small. The group leader is usually a
scientist who has original and interesting ideas for research. Based on these ideas,
research proposals are prepared and then submitted for funding to public or private
agencies; these agencies issue periodically bidding calls to fund research
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reader to refer to the cited work: the authors name and the year of publication. At
the end of our paper we include a complete list of all references contained therein,
starting with the name of the author and continuing with the journal title, volume,
page and year of publication. Each entry in this list is a citation to a publication of
another author. The number of citations to the work of a scientist that is considered
as small, sufficient or large varies from one discipline to another. It could,
however, be said generally that a few hundred citations are definitively adequate,
fewer than one hundred is surely not enough, and more than a thousand are
certainly many. Some scientists have tens of thousands of citations to their work.
The evaluation of a journal is based on the citations to papers published in it.
This information is available in various electronic data bases, such as the
following:
The first two of these are accessible only to subscribers, while the latter two are
freely available. Each of the electronic databases consists of a list including the
following information:
The data of all papers published each year (authors, journal, volume and page).
All citations to these papers, sorted by the name of the (first) author of the
publication being cited.
The so-called impact factor (IF) of each scientific journal published in the
world, that is, the average number of citations to papers published in this journal
during the last 2 years. Obviously, the higher this number, the higher is the
standard of the journal, since papers published in this journal have a higher
impact than those published in other journals with a lower IF.
Therefore, authors obviously prefer to publish their results in journals with high
IF, firstly because it adds points to their curriculum vitae and secondly because
their work will be read by more scientists, since these journals are considered by
the international scientific community as publishing the most interesting research
results. As a result, journals with high IF receive many papers to be published,
much more than can be included in the limited number of pages of each issue; so,
the journal editors require from their referees to be strict in their evaluations.
Consequently, journals with high IF reject most of the papers submitted.
7.3.2 Conferences
Another way of publicizing research results is the presentation of papers in conferences. A 100 years ago, this method was far more effective, because the publication of a paper in a journal was a time consuming process: the time taken from
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the moment of submission of the work to the journal until the arrival of the printed
issue in a library was typically more than a year! One has only to contemplate the
procedure. In the beginning the author mailed the manuscript to the journal. There,
the editor, a distinguished scientist at a university or research center who often
worked without pay, read the manuscript and forwarded it to a suitable referee (or
refereessome journals used one referee, others two and a few journals three for
each submitted manuscript). Then the manuscript was mailed to the referee, who
had to evaluate it in 1 or 2 months. If the referee decided that the manuscript could
be published as it is, the paper was accepted without further delays. If the referee
decided that the manuscript was of poor quality and had to be rejected, the paper
was returned to the author and that was the end of the line. But if the referee
proposed certain corrections or improvements, which was usually the case, the
editor had to mail the referees comments to the author, who responded, writing a
new, improved (in principle) version of the paper. If the referee judged that the
new version was satisfactory, he would consent for its publication. Then, the
manuscript was sent to the printing office for typesetting the text (which usually
included complex mathematical or chemical formulas and diagrams or photographs) and after this step was also completed the journal mailed the proofs to the
author, in order to make sure that there werent any typographical errors. After the
final corrections by the author and the approval of the printed version, the article
was sent to press, to be included in one of the future issues of the journal. Finally,
the issue was mailed to university libraries and research centers. It is obvious that
news was circulating much faster in conferences, which were often organized
during summer vacations. In conferences, any scientist could present the recent
results of his research workin the early years only verbally but later, in the form
of a poster as well.
In recent decades the situation began to change because, on the one hand, the
development of telecommunications and air-transport made communication
between scientists much easier. On the other hand, the time between the submission of a manuscript and the final release of the journal issue has been
shortened significantly, because submission of the manuscript can now be done
electronically, and so does the answer of the referee(s). Furthermore, typesetting
time has shrunk to zero, because authors send the manuscript written in special
electronic forms supplied by the various journals; so if a manuscript is approved
for publication it is practically ready for printing. Having said that, one might think
that the importance of conferences has shrunk. However, the exactly opposite has
happened, for a reason that is not obvious from the outset. With the rapid
development of science, especially after World War II, the number of scientists,
and hence the number of publications produced each year, increased dramatically.
To address this extremely large output of scientific publications, and to satisfy the
need for publishing papers in completely new areas such as biotechnology,
materials science, computing, etc., many new journals appeared on the market.
Today (2013), at least one hundred times more papers are published each year than
before 1940. This flood of publications reversed the situation that prevailed a
century ago. Then, there was a lack of sufficient or timely information, so scientists
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Further Reading
The interested reader might consult some of the following books for information beyond what is
contained in the book.
Asimov, I. (1982). Biographical Encyclopedia of Science & Technology. New York: Doubleday
(Online form: OCLC 523479).
Asimov, I. (1985). The History of Physics. New York: Walker Publishing Company.
Butterfield, H. (1997). The Origins of Modern Science, 13001800 (revised ed.). New York: Free
Press.
Crombie, A. C. (1969). Augustine to Galileo: The History of Science A.D. 4001650 (revised
ed.). London: Penguin.
Duhem, Q. (1969). To save the phenomena, an essay on the idea of physical theory from Plato to
Galileo. Chicago: University of Chicago Press (Online form: OCLC 681213472).
Einstein, A., & Infeld, L. (1967). The Evolution of Physics. New York: Touchstone (also
available in electronic form, free of charge, from: http://archive.org/stream/
evolutionofphysi033254mbp/evolutionofphysi033254mbp_djvu.txt).
Farrington, B., & Needham, J. (2000). Greek Science: Its Meaning for Us. Nottingham:
Spokesman Books.
Feynman, R. (1994). The Character of Physical Law. New York: Modern Library (Seven
lectures, available also live in Youtube).
Gamow, G. (1985). Thirty Years that Shook Physics: The Story of Quantum Theory. New York:
Dover.
Gillispie, C. C. (1966). The edge of objectivity. Princeton: Princeton University Press.
Gleick, J. (2008). Chaos: making a new science. London: Penguin.
Heath, T. L. (1991). Greek Astronomy. New York: Dover.
Heisenberg, W. (1958). The Physicists Conception of Nature. Westport: Greenwood Press.
Heisenberg, W., & Davies, P. (2000). Physics and Philosophy: The Revolution in Modern
Science. London: Penguin Classics.
Kirk, G. S., Raven, J. E., & Schofield, M. (1983). The Presocratic Philosophers, a Critical
History with a Selection of Texts (2nd ed.). Cambridge: Cambridge University Press.
Neugebauer, O. (1969). The Exact Sciences in Antiquity. New York: Dover.
Rossi, Q. (2001). The Birth of Modern Science. Hoboken: Wiley-Blackwell.
Schneer, C. J. (1984). The Evolution of Physical Science: Major Ideas from Earliest Times to the
Present. Lanham: University Press of America.
Segr, E. (2007). From Falling Bodies to Radio Waves: Classical Physicists and Their
Discoveries. New York: Dover
Segr, E. (2007). From X-rays to Quarks: Modern Physicists and Their Discoveries. New York:
Dover.
Sorabji, R. (Ed.). (1987). Philoponus and the Rejection of Aristotelian Science. Cornell: Cornell
University Press.
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Further Reading
For those with a good background in mathematics, a very interesting book is the classic:
Whittaker, E. T. (1989). A History of the Theories of Aether & Electricity: The Classical
Theories/The Modern Theories (Vol. 2). New York: Dover (Vol. 1 is available also in
electronic form, free of charge, from: http://archive.org/details/historyoftheorie00whitrich).