Volatiles in Protoplanetary Disks

Planets are assembled from the gas, dust, and ice in the accretion disks that encircle young stars. Ices of chemical compounds with low condensation temperatures (<200 K), the so-called volatiles, dominate the solid mass reservoir from which planetesimals are formed and are thus available to build the protoplanetary cores of gas/ice giant planets. It has long been thought that the regions near the condensation fronts of volatiles are preferential birth sites of planets. Moreover, the main volatiles in disks are also the main C-and O-containing species in (exo)planetary atmospheres. Understanding the distribution of volatiles in disks and their role in planet-formation processes is therefore of great interest.

This thesis addresses two fundamental questions concerning the nature of volatiles in planet-forming disks: (1) how are volatiles distributed throughout a disk, and (2) how can we use volatiles to probe planet-forming processes in disks? We tackle the first question in two complementary ways. We have developed a novel super-resolution method to constrain the radial distribution of volatiles throughout a disk by combining multi-wavelength spectra. Thanks to the ordered velocity and temperature profiles in disks, we find that detailed constraints can be derived even with spatially and spectrally unresolved data -- provided a wide range of energy levels are sampled. We also employ high-spatial resolution interferometric images at (sub)mm frequencies using the Atacama Large Millimeter Array (ALMA) to directly measure the radial distribution of volatiles.

For the second question, we combine volatile gas emission measurements with those of the dust continuum emission or extinction to understand dust growth mechanisms in disks and disk instabilities at planet-forming distances from the central star. Our observations and models support the idea that the water vapor can be concentrated in regions near its condensation front at certain evolutionary stages in the lifetime of protoplanetary disks, and that fast pebble growth is likely to occur near the condensation fronts of various volatile species.

A molecular dynamics study of the microscopic properties of simple dense fluids

The microscopic properties of a two-dimensional model dense fluid of Lennard-Jones disks have been studied using the so-called "molecular dynamics" method. Analyses of the computer-generated simulation data in terms of "conventional" thermodynamic and distribution functions verify the physical validity of the model and the simulation technique.

The radial distribution functions g(r) computed from the simulation data exhibit several subsidiary features rather similar to those appearing in some of the g(r) functions obtained by X-ray and thermal neutron diffraction measurements on real simple liquids. In the case of the model fluid, these "anomalous" features are thought to reflect the existence of two or more alternative configurations for local ordering.

Graphical display techniques have been used extensively to provide some intuitive insight into the various microscopic phenomena occurring in the model. For example, "snapshots" of the instantaneous system configurations for different times show that the "excess" area allotted to the fluid is collected into relatively large, irregular, and surprisingly persistent "holes". Plots of the particle trajectories over intervals of 2.0 to 6.0 x 10^-12 sec indicate that the mechanism for diffusion in the dense model fluid is "cooperative" in nature, and that extensive diffusive migration is generally restricted to groups of particles in the vicinity of a hole.

A quantitative analysis of diffusion in the model fluid shows that the cooperative mechanism is not inconsistent with the statistical predictions of existing theories of singlet, or self-diffusion in liquids. The relative diffusion of proximate particles is, however, found to be retarded by short-range dynamic correlations associated with the cooperative mechanism--a result of some importance from the standpoint of bimolecular reaction kinetics in solution.

A new, semi-empirical treatment for relative diffusion in liquids is developed, and is shown to reproduce the relative diffusion phenomena observed in the model fluid quite accurately. When incorporated into the standard Smoluchowski theory of diffusion-controlled reaction kinetics, the more exact treatment of relative diffusion is found to lower the predicted rate of reaction appreciably.

Finally, an entirely new approach to an understanding of the liquid state is suggested. Our experience in dealing with the simulation data--and especially, graphical displays of the simulation data--has led us to conclude that many of the more frustrating scientific problems involving the liquid state would be simplified considerably, were it possible to describe the microscopic structures characteristic of liquids in a concise and precise manner. To this end, we propose that the development of a formal language of partially-ordered structures be investigated.

径向双折射滤波器的超分辨性能研究

超分辨技术因其可以超越经典的衍射极限而为人们所熟知．并且．在光存储和共焦扫描成像系统中有着广泛的应用。把由两个偏振器和一个圆对称的双折射元件组成的径向双折射滤波器引入超分辨技术，借助琼斯算法推导出其光瞳函数的表达式。由分析得出通过改变径向双折射滤波器中偏振器的偏振方向和双折射元件的主轴之间的夹角，即可实现光学系统的横向超分辨或轴向超分辨。同时对评价该器件超分辨性能的参量第一零点比、斯特尔比和旁瓣强度抑制比做了详细的讨论。该滤波器用于超分辨技术的优点在于其制作不涉及相位的变化而比较简单，且费用比较低。缺点是

Phase transitions from the solid state of monatomic elements

The principle aims of this thesis include the development of models of sublimation and melting from first principles and the application of these models to the rare gases.

A simple physical model is constructed to represent the sublimation of monatomic elements. According to this model, the solid and gas phases are two states of a single physical system. The nature of the phase transition is clearly revealed, and the relations between the vapor pressure, the latent heat, and the transition temperature are derived. The resulting theory is applied to argon, krypton, and xenon, and good agreement with experiment is found.

For the melting transition, the solid is represented by an anharmonic model and the liquid is described by the Percus-Yevick approximation. The behavior of the liquid at high densities is studied on the isotherms kT/∈ = 1.3, 1.8, and 2.0, where k is Boltzmann's constant, T is the temperature, and e is the well depth of the Lennard-Jones 12-6 pair potential. No solutions of the PercusYevick equation were found for ρσ³ above 1.3, where ρ is the particle density and σ is the radial parameter of the Lennard-Jones potential. The liquid structure is found to be very different from the solid structure near the melting line. The liquid pressures are about 50 percent low for experimental melting densities of argon. This discrepancy gives rise to melting pressures up to twice the experimental values.

Joule-Thomson coefficients of propane and n-butane

Experimental Joule-Thomson measurements were made on gaseous propane at temperatures from 100 to 280˚F and at pressures from 8 to 66 psia. Joule-Thomson measurements were also made on gaseous n-butane at temperatures from 100 to 280˚ and at pressures from 8 to 42 psia. For propane, the values of these measurements ranged from 0.07986˚F/psi at 280˚F and 8.01 psia to 0.19685˚F/psi at 100˚F and 66.15 psia. For n-butane, the values ranged from 0.11031˚F/psi at 280˚F and 9.36 psia to 0.30141˚F/psi at 100˚F and 41.02 psia. The experimental values have a maximum error of 1.5 percent.

For n-butane, the measurements of this study did not agree with previous Joule-Thomson measurements made in the Laboratory in 1935. The application of a thermal-transfer correction to the previous experimental measurements would cause the two sets of data to agree. Calculated values of the Joule-Thomson coefficient from other types of p-v-t data did agree with the present measurements for n-butane.

The apparatus used to measure the experimental Joule-Thomson coefficients had a radial-flow porous thimble and was operated at pressure changes between 2.3 and 8.6 psi. The major difference between this and other Joule-Thomson apparatus was its larger weight rates of flow (up to 6 pounds per hour) at atmospheric pressure. The flow rate was shown to have an appreciable effect on non-isenthalpic Joule-Thomson measurements.

Photographic materials on pages 79-81 are essential and will not reproduced clearly on Xerox copies. Photographic copies should be ordered.

The astrophysics of strongly interacting systems

This thesis presents investigations in four areas of theoretical astrophysics: the production of sterile neutrino dark matter in the early Universe, the evolution of small-scale baryon perturbations during the epoch of cosmological recombination, the effect of primordial magnetic fields on the redshifted 21-cm emission from the pre-reionization era, and the nonlinear stability of tidally deformed neutron stars.

In the first part of the thesis, we study the asymmetry-driven resonant production of 7 keV-scale sterile neutrino dark matter in the primordial Universe at temperatures T >~ 100 MeV. We report final DM phase space densities that are robust to uncertainties in the nature of the quark-hadron transition. We give transfer functions for cosmological density fluctuations that are useful for N-body simulations. We also provide a public code for the production calculation.

In the second part of the thesis, we study the instability of small-scale baryon pressure sound waves during cosmological recombination. We show that for relevant wavenumbers, inhomogenous recombination is driven by the transport of ionizing continuum and Lyman-alpha photons. We find a maximum growth factor less than ≈ 1.2 in 10⁷ random realizations of initial conditions. The low growth factors are due to the relatively short duration of the recombination epoch.

In the third part of the thesis, we propose a method of measuring weak magnetic fields, of order 10^-19 G (or 10^-21 G if scaled to the present day), with large coherence lengths in the inter galactic medium prior to and during the epoch of cosmic reionization. The method utilizes the Larmor precession of spin-polarized neutral hydrogen in the triplet state of the hyperfine transition. We perform detailed calculations of the microphysics behind this effect, and take into account all the processes that affect the hyperfine transition, including radiative decays, collisions, and optical pumping by Lyman-alpha photons.

In the final part of the thesis, we study the non-linear effects of tidal deformations of neutron stars (NS) in a compact binary. We compute the largest three- and four-mode couplings among the tidal mode and high-order p- and g-modes of similar radial wavenumber. We demonstrate the near-exact cancellation of their effects, and resolve the question of the stability of the tidally deformed NS to leading order. This result is significant for the extraction of binary parameters from gravitational wave observations.

Mössbauer effect investigations of the hyperfine interactions and relaxation phenomena in salts of thulium

Two new phenomena have been observed in Mössbauer spectra: a temperature-dependent shift of the center of gravity of the spectrum, and an asymmetric broadening of the spectrum peaks. Both phenomena were observed in thulium salts. In the temperature range 1˚K ≤ T ≤ 5˚K the observed shift has an approximate inverse temperature dependence. We explain this on the basis of a Van Vleck type of interaction between the magnetic moment of two nearly degenerate electronic levels and the magnetic moment of the nucleus. From the size of the shift we are able to deduce an “effective magnetic field” H = (6.0 ± 0.1) x 10⁶ Gauss, which is proportional to ‹r^-3›_M‹G|J|E› where ‹r^-3›_M is an effective magnetic radial integral for the 4f electrons and |G› and |E› are the lowest 4f electronic states in Tm Cl₃·6H₂O. From the temperature dependence of the shift we have derived a preliminary value of 1 cm^-1 for the splitting of these two states. The observed asymmetric line broadening is independent of temperature in the range 1˚K ≤ T ≤ 5˚K, but is dependent on the concentration of thulium ions in the crystal. We explain this broadening on the basis of spin-spin interactions between thulium ions. From size and concentration dependence of the broadening we are able to deduce a spin-spin relaxation time for Tm Cl₃·6H₂O of the order of 10^-11 sec.

Heteroepitaxy of Group IV and Group III-V semiconductor alloys for photovoltaic applications

Photovoltaic energy conversion represents a economically viable technology for realizing collection of the largest energy resource known to the Earth -- the sun. Energy conversion efficiency is the most leveraging factor in the price of energy derived from this process. This thesis focuses on two routes for high efficiency, low cost devices: first, to use Group IV semiconductor alloy wire array bottom cells and epitaxially grown Group III-V compound semiconductor alloy top cells in a tandem configuration, and second, GaP growth on planar Si for heterojunction and tandem cell applications.

Metal catalyzed vapor-liquid-solid grown microwire arrays are an intriguing alternative for wafer-free Si and SiGe materials which can be removed as flexible membranes. Selected area Cu-catalyzed vapor-liquid solid growth of SiGe microwires is achieved using chlorosilane and chlorogermane precursors. The composition can be tuned up to 12% Ge with a simultaneous decrease in the growth rate from 7 to 1 μm/min^-1. Significant changes to the morphology were observed, including tapering and faceting on the sidewalls and along the lengths of the wires. Characterization of axial and radial cross sections with transmission electron microscopy revealed no evidence of defects at facet corners and edges, and the tapering is shown to be due to in-situ removal of catalyst material during growth. X-ray diffraction and transmission electron microscopy reveal a Ge-rich crystal at the tip of the wires, strongly suggesting that the Ge incorporation is limited by the crystallization rate.

Tandem Ga_1-xIn_xP/Si microwire array solar cells are a route towards a high efficiency, low cost, flexible, wafer-free solar technology. Realizing tandem Group III-V compound semiconductor/Si wire array devices requires optimization of materials growth and device performance. GaP and Ga_1-xIn_xP layers were grown heteroepitaxially with metalorganic chemical vapor deposition on Si microwire array substrates. The layer morphology and crystalline quality have been studied with scanning electron microscopy and transmission electron microscopy, and they provide a baseline for the growth and characterization of a full device stack. Ultimately, the complexity of the substrates and the prevalence of defects resulted in material without detectable photoluminescence, unsuitable for optoelectronic applications.

Coupled full-field optical and device physics simulations of a Ga_0.51In_0.49P/Si wire array tandem are used to predict device performance. A 500 nm thick, highly doped "buffer" layer between the bottom cell and tunnel junction is assumed to harbor a high density of lattice mismatch and heteroepitaxial defects. Under simulated AM1.5G illumination, the device structure explored in this work has a simulated efficiency of 23.84% with realistic top cell SRH lifetimes and surface recombination velocities. The relative insensitivity to surface recombination is likely due to optical generation further away from the free surfaces and interfaces of the device structure.

Finally, GaP has been grown free of antiphase domains on Si (112) oriented substrates using metalorganic chemical vapor deposition. Low temperature pulsed nucleation is followed by high temperature continuous growth, yielding smooth, specular thin films. Atomic force microscopy topography mapping showed very smooth surfaces (4-6 Å RMS roughness) with small depressions in the surface. Thin films (~ 50 nm) were pseudomorphic, as confirmed by high resolution x-ray diffraction reciprocal space mapping, and 200 nm thick films showed full relaxation. Transmission electron microscopy showed no evidence of antiphase domain formation, but there is a population of microtwin and stacking fault defects.

大型干涉仪镜子的支承设计与温度变形分析

在星间激光通信中，涉及对大口径衍射极限激光波面的检测，为保证测量精度，必须严格控制波面十涉仪镜子的自重和温度变形。采用有限元方法对大型干涉仪镜子在不同支承方式下的表面变形进行了分析，结果表明，接触角为180°的钢带支承是较好的支承方式，反射镜表面变形峰-谷(P-V)值仅为1．35nm，均方根(RMS)值为0．363nm根据这一结论，设计了一个同定支承点与浮动支承相结合的超静定钢带支承结构。在该结构下，分析了镜子轴向、径向、周向的温度梯度效应，分析数据表明，镜子的热弹性变形远大于自重变形，建议采取一定的温控

Particle fluid mechanics in shear flows, acoustic waves, and shock waves

Three different categories of flow problems of a fluid containing small particles are being considered here. They are: (i) a fluid containing small, non-reacting particles (Parts I and II); (ii) a fluid containing reacting particles (Parts III and IV); and (iii) a fluid containing particles of two distinct sizes with collisions between two groups of particles (Part V).

Part I

A numerical solution is obtained for a fluid containing small particles flowing over an infinite disc rotating at a constant angular velocity. It is a boundary layer type flow, and the boundary layer thickness for the mixture is estimated. For large Reynolds number, the solution suggests the boundary layer approximation of a fluid-particle mixture by assuming W = W_p. The error introduced is consistent with the Prandtl’s boundary layer approximation. Outside the boundary layer, the flow field has to satisfy the “inviscid equation” in which the viscous stress terms are absent while the drag force between the particle cloud and the fluid is still important. Increase of particle concentration reduces the boundary layer thickness and the amount of mixture being transported outwardly is reduced. A new parameter, β = 1/Ω τ_v, is introduced which is also proportional to μ. The secondary flow of the particle cloud depends very much on β. For small values of β, the particle cloud velocity attains its maximum value on the surface of the disc, and for infinitely large values of β, both the radial and axial particle velocity components vanish on the surface of the disc.

Part II

The “inviscid” equation for a gas-particle mixture is linearized to describe the flow over a wavy wall. Corresponding to the Prandtl-Glauert equation for pure gas, a fourth order partial differential equation in terms of the velocity potential ϕ is obtained for the mixture. The solution is obtained for the flow over a periodic wavy wall. For equilibrium flows where λ_v and λ_T approach zero and frozen flows in which λ_v and λ_T become infinitely large, the flow problem is basically similar to that obtained by Ackeret for a pure gas. For finite values of λ_v and λ_T, all quantities except v are not in phase with the wavy wall. Thus the drag coefficient C_D is present even in the subsonic case, and similarly, all quantities decay exponentially for supersonic flows. The phase shift and the attenuation factor increase for increasing particle concentration.

Part III

Using the boundary layer approximation, the initial development of the combustion zone between the laminar mixing of two parallel streams of oxidizing agent and small, solid, combustible particles suspended in an inert gas is investigated. For the special case when the two streams are moving at the same speed, a Green’s function exists for the differential equations describing first order gas temperature and oxidizer concentration. Solutions in terms of error functions and exponential integrals are obtained. Reactions occur within a relatively thin region of the order of λ_D. Thus, it seems advantageous in the general study of two-dimensional laminar flame problems to introduce a chemical boundary layer of thickness λ_D within which reactions take place. Outside this chemical boundary layer, the flow field corresponds to the ordinary fluid dynamics without chemical reaction.

Part IV

The shock wave structure in a condensing medium of small liquid droplets suspended in a homogeneous gas-vapor mixture consists of the conventional compressive wave followed by a relaxation region in which the particle cloud and gas mixture attain momentum and thermal equilibrium. Immediately following the compressive wave, the partial pressure corresponding to the vapor concentration in the gas mixture is higher than the vapor pressure of the liquid droplets and condensation sets in. Farther downstream of the shock, evaporation appears when the particle temperature is raised by the hot surrounding gas mixture. The thickness of the condensation region depends very much on the latent heat. For relatively high latent heat, the condensation zone is small compared with Ʌ_D.

For solid particles suspended initially in an inert gas, the relaxation zone immediately following the compression wave consists of a region where the particle temperature is first being raised to its melting point. When the particles are totally melted as the particle temperature is further increased, evaporation of the particles also plays a role.

The equilibrium condition downstream of the shock can be calculated and is independent of the model of the particle-gas mixture interaction.

Part V

For a gas containing particles of two distinct sizes and satisfying certain conditions, momentum transfer due to collisions between the two groups of particles can be taken into consideration using the classical elastic spherical ball model. Both in the relatively simple problem of normal shock wave and the perturbation solutions for the nozzle flow, the transfer of momentum due to collisions which decreases the velocity difference between the two groups of particles is clearly demonstrated. The difference in temperature as compared with the collisionless case is quite negligible.

Optimization and Control of Power Flow in Distribution Networks

Climate change is arguably the most critical issue facing our generation and the next. As we move towards a sustainable future, the grid is rapidly evolving with the integration of more and more renewable energy resources and the emergence of electric vehicles. In particular, large scale adoption of residential and commercial solar photovoltaics (PV) plants is completely changing the traditional slowly-varying unidirectional power flow nature of distribution systems. High share of intermittent renewables pose several technical challenges, including voltage and frequency control. But along with these challenges, renewable generators also bring with them millions of new DC-AC inverter controllers each year. These fast power electronic devices can provide an unprecedented opportunity to increase energy efficiency and improve power quality, if combined with well-designed inverter control algorithms. The main goal of this dissertation is to develop scalable power flow optimization and control methods that achieve system-wide efficiency, reliability, and robustness for power distribution networks of future with high penetration of distributed inverter-based renewable generators.

Proposed solutions to power flow control problems in the literature range from fully centralized to fully local ones. In this thesis, we will focus on the two ends of this spectrum. In the first half of this thesis (chapters 2 and 3), we seek optimal solutions to voltage control problems provided a centralized architecture with complete information. These solutions are particularly important for better understanding the overall system behavior and can serve as a benchmark to compare the performance of other control methods against. To this end, we first propose a branch flow model (BFM) for the analysis and optimization of radial and meshed networks. This model leads to a new approach to solve optimal power flow (OPF) problems using a two step relaxation procedure, which has proven to be both reliable and computationally efficient in dealing with the non-convexity of power flow equations in radial and weakly-meshed distribution networks. We will then apply the results to fast time- scale inverter var control problem and evaluate the performance on real-world circuits in Southern California Edison’s service territory.

The second half (chapters 4 and 5), however, is dedicated to study local control approaches, as they are the only options available for immediate implementation on today’s distribution networks that lack sufficient monitoring and communication infrastructure. In particular, we will follow a reverse and forward engineering approach to study the recently proposed piecewise linear volt/var control curves. It is the aim of this dissertation to tackle some key problems in these two areas and contribute by providing rigorous theoretical basis for future work.

电控径向滤波器的横向超分辨与轴向焦移

提出一种光瞳滤波器来同时实现横向超分辨和轴向焦移效应的电控制．该光瞳滤波器由两偏光镜及包含有径向双折射元件的任意偏振态的电控旋光器组成。利用径向双折射元件对光偏振态的空间调制作用，结合旋光器对任意偏振态光的旋光作用，与两个偏光镜结合，实现了空间偏振态的重新分布．利用庞加莱球及琼斯理论进行了分析，结果表明，借助这种电致位相延迟来实现的偏振态调制效应，可同时实现横向超分辨与轴向焦移效应。对能够同时获得横向超分辨与轴向焦移的情况进行了分析，得到了系统各组成参量及电光调制范围。

Super-resolution with annular binary phase filter in the 4Pi-confocal system

In order to realize super-resolution in the 4Pi-confocal systems, the annular binary pure phase filter is designed with the vector diffraction theory. The relations between the super-resolved parameters, such as S, G(T), G(A), and the radial position theta(i) of each zone, are obtained. For simple illumination of the design procedure, three-zone binary pure phase filters are studied, and several numerical simulation results show that in the 4Pi-confocal system with the properly designed binary pure phase filter the super-resolution can be realized with low sidelobes.

Distributed Control and Optimization for Communication and Power Systems

We are at the cusp of a historic transformation of both communication system and electricity system. This creates challenges as well as opportunities for the study of networked systems. Problems of these systems typically involve a huge number of end points that require intelligent coordination in a distributed manner. In this thesis, we develop models, theories, and scalable distributed optimization and control algorithms to overcome these challenges.

This thesis focuses on two specific areas: multi-path TCP (Transmission Control Protocol) and electricity distribution system operation and control. Multi-path TCP (MP-TCP) is a TCP extension that allows a single data stream to be split across multiple paths. MP-TCP has the potential to greatly improve reliability as well as efficiency of communication devices. We propose a fluid model for a large class of MP-TCP algorithms and identify design criteria that guarantee the existence, uniqueness, and stability of system equilibrium. We clarify how algorithm parameters impact TCP-friendliness, responsiveness, and window oscillation and demonstrate an inevitable tradeoff among these properties. We discuss the implications of these properties on the behavior of existing algorithms and motivate a new algorithm Balia (balanced linked adaptation) which generalizes existing algorithms and strikes a good balance among TCP-friendliness, responsiveness, and window oscillation. We have implemented Balia in the Linux kernel. We use our prototype to compare the new proposed algorithm Balia with existing MP-TCP algorithms.

Our second focus is on designing computationally efficient algorithms for electricity distribution system operation and control. First, we develop efficient algorithms for feeder reconfiguration in distribution networks. The feeder reconfiguration problem chooses the on/off status of the switches in a distribution network in order to minimize a certain cost such as power loss. It is a mixed integer nonlinear program and hence hard to solve. We propose a heuristic algorithm that is based on the recently developed convex relaxation of the optimal power flow problem. The algorithm is efficient and can successfully computes an optimal configuration on all networks that we have tested. Moreover we prove that the algorithm solves the feeder reconfiguration problem optimally under certain conditions. We also propose a more efficient algorithm and it incurs a loss in optimality of less than 3% on the test networks.

Second, we develop efficient distributed algorithms that solve the optimal power flow (OPF) problem on distribution networks. The OPF problem determines a network operating point that minimizes a certain objective such as generation cost or power loss. Traditionally OPF is solved in a centralized manner. With increasing penetration of volatile renewable energy resources in distribution systems, we need faster and distributed solutions for real-time feedback control. This is difficult because power flow equations are nonlinear and kirchhoff's law is global. We propose solutions for both balanced and unbalanced radial distribution networks. They exploit recent results that suggest solving for a globally optimal solution of OPF over a radial network through a second-order cone program (SOCP) or semi-definite program (SDP) relaxation. Our distributed algorithms are based on the alternating direction method of multiplier (ADMM), but unlike standard ADMM-based distributed OPF algorithms that require solving optimization subproblems using iterative methods, the proposed solutions exploit the problem structure that greatly reduce the computation time. Specifically, for balanced networks, our decomposition allows us to derive closed form solutions for these subproblems and it speeds up the convergence by 1000x times in simulations. For unbalanced networks, the subproblems reduce to either closed form solutions or eigenvalue problems whose size remains constant as the network scales up and computation time is reduced by 100x compared with iterative methods.

Dynamical models for the Earth's geoid

The Earth's largest geoid anomalies occur at the lowest spherical harmonic degrees, or longest wavelengths, and are primarily the result of mantle convection. Thermal density contrasts due to convection are partially compensated by boundary deformations due to viscous flow whose effects must be included in order to obtain a dynamically consistent model for the geoid. These deformations occur rapidly with respect to the timescale for convection, and we have analytically calculated geoid response kernels for steady-state, viscous, incompressible, self-gravitating, layered Earth models which include the deformation of boundaries due to internal loads. Both the sign and magnitude of geoid anomalies depend strongly upon the viscosity structure of the mantle as well as the possible presence of chemical layering.

Correlations of various global geophysical data sets with the observed geoid can be used to construct theoretical geoid models which constrain the dynamics of mantle convection. Surface features such as topography and plate velocities are not obviously related to the low-degree geoid, with the exception of subduction zones which are characterized by geoid highs (degrees 4-9). Recent models for seismic heterogeneity in the mantle provide additional constraints, and much of the low-degree (2-3) geoid can be attributed to seismically inferred density anomalies in the lower mantle. The Earth's largest geoid highs are underlain by low density material in the lower mantle, thus requiring compensating deformations of the Earth's surface. A dynamical model for whole mantle convection with a low viscosity upper mantle can explain these observations and successfully predicts more than 80% of the observed geoid variance.

Temperature variations associated with density anomalies in the man tie cause lateral viscosity variations whose effects are not included in the analytical models. However, perturbation theory and numerical tests show that broad-scale lateral viscosity variations are much less important than radial variations; in this respect, geoid models, which depend upon steady-state surface deformations, may provide more reliable constraints on mantle structure than inferences from transient phenomena such as postglacial rebound. Stronger, smaller-scale viscosity variations associated with mantle plumes and subducting slabs may be more important. On the basis of numerical modelling of low viscosity plumes, we conclude that the global association of geoid highs (after slab effects are removed) with hotspots and, perhaps, mantle plumes, is the result of hot, upwelling material in the lower mantle; this conclusion does not depend strongly upon plume rheology. The global distribution of hotspots and the dominant, low-degree geoid highs may correspond to a dominant mode of convection stabilized by the ancient Pangean continental assemblage.