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978-1-107-00825-0 - Turbulence, Coherent Structures, Dynamical Systems and Symmetry: Second Edition
Philip Holmes, John L. Lumley, Gahl Berkooz and Clarence W. Rowley
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Turbulence, Coherent Structures, Dynamical Systems and Symmetry

Turbulence pervades our world, from weather patterns to the air entering our lungs. This book
describes methods that reveal its structures and dynamics. Building on the existence of coherent
structures – recurrent patterns – in turbulent flows, it describes mathematical methods that reduce
the governing (Navier–Stokes) equations to simpler forms that can be understood more easily.
This Second Edition contains a new chapter on the balanced proper orthogonal decomposition: a
method derived from control theory that is especially useful for flows equipped with sensors and
actuators. It also reviews relevant work carried out since 1995.
The book is ideal for engineering, physical science, and mathematics researchers working in fluid
dynamics and other areas in which coherent patterns emerge.

P H I L I P H O L M E S is Eugene Higgins Professor of Mechanical and Aerospace Engineering and

Professor of Applied and Computational Mathematics, Princeton University. He works on nonlinear
dynamics and differential equations.
J O H N L . L U M L E Y is Professor Emeritus in the Department of Mechanical and Aerospace
Engineering, Cornell University. He has authored or co-authored over two hundred scientific papers
and several books.
G A H L B E R K O O Z leads the area of Information Management for Ford Motor Company, covering
all aspects of Business Information Standards and Integration.
C L A R E N C E W . R O W L E Y is an Associate Professor of Mechanical and Aerospace Engineering
at Princeton University. His research interests lie at the intersection of dynamical systems, control
theory, and fluid mechanics.

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Established in 1952, this series has maintained a reputation for the publication of outstanding monographs cov-
ering such areas as wave propagation, fluid dynamics, theoretical geophysics, combustion, and the mechanics of
solids. The books are written for a wide audience and balance mathematical analysis with physical interpretation
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Turbulence, Coherent Structures,

Dynamical Systems and Symmetry
SECOND EDITION

PHILIP HOLMES
Princeton University

JOHN L. LUMLEY
Cornell University

GAHL BERKOOZ
Information Technology Division, Ford Motor Company

CLARENCE W. ROWLEY
Princeton University

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Philip Holmes, John L. Lumley, Gahl Berkooz and Clarence W. Rowley
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CAMBRIDGE UNIVERSITY PRESS

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Singapore, São Paulo, Delhi, Mexico City
Cambridge University Press
The Edinburgh Building, Cambridge CB2 8RU, UK
Published in the United States of America by Cambridge University Press, New York

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c P. Holmes, J. L. Lumley, G. Berkooz, C. W. Rowley 2012

This publication is in copyright. Subject to statutory exception

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

First published 1996

First paperback edition 1998
Second edition published 2012

Printed in the United Kingdom at the University Press, Cambridge

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

Library of Congress Cataloging in Publication data

Turbulence, coherent structures, dynamical systems and symmetry / Philip
Holmes . . . [et al.]. – 2nd ed.
p. cm. – (Cambridge monographs on mechanics)
Rev. ed. of : Turbulence, coherent structures, dynamical systems, and
symmetry / Philip Holmes, John L. Lumley, and Gal Berkooz.
ISBN 978-1-107-00825-0 (hardback)
1. Turbulence. 2. Differentiable dynamical systems. I. Holmes, Philip, 1945–
II. Holmes, Philip, 1945– Turbulence, coherent structures, dynamical systems, and symmetry.
QA913.H65 2012
532 .0527–dc23
2011041743

ISBN 978-1-107-00825-0 Hardback

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Philip Holmes, John L. Lumley, Gahl Berkooz and Clarence W. Rowley
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Contents

Preface to the first edition page ix

Preface to the second edition xiii
Acknowledgements xv

PART ONE TURBULENCE 1

1 Introduction 3
1.1 Turbulence 3
1.2 Low-dimensional models 5
1.3 The contents of this book 8
1.4 Notation and mathematical jargon 11

2 Coherent structures 17
2.1 Introduction 17
2.2 Flows with coherent structures 21
2.3 Detection of coherent structures 32
2.4 The mixing layer 35
2.5 The turbulent boundary layer 50
2.6 A preview of things to come 65

3 Proper orthogonal decomposition 68

3.1 Introduction 69
3.2 On domains and averaging 73
3.3 Properties of the POD 74
3.4 Further results 86
3.5 Stochastic estimation 91
3.6 Coherent structures and homogeneity 93
3.7 Some applications 96
3.8 Appendix: some foundations 100

4 Galerkin projection 106

4.1 Introduction 106
4.2 Some simple PDEs revisited 110

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vi Contents

4.3 The Navier–Stokes equations 116

4.4 Towards low-dimensional models 121
5 Balanced proper orthogonal decomposition 130
5.1 Balanced truncation 131
5.2 Balanced POD 133
5.3 Output projection 136
5.4 Connections with standard POD 137
5.5 Extensions of balanced POD 139
5.6 Some examples 143

PART TWO DYNAMICAL SYSTEMS 153

6 Qualitative theory 155
6.1 Linearization and invariant manifolds 156
6.2 Periodic orbits and Poincaré maps 162
6.3 Structural stability and genericity 165
6.4 Bifurcations local and global 168
6.5 Attractors simple and strange 179
7 Symmetry 190
7.1 Equivariant vector fields 190
7.2 Local bifurcation with symmetry 194
7.3 Global behavior with symmetry 195
7.4 An O(2)-equivariant ODE 202
7.5 Traveling modes 211
8 One-dimensional “turbulence” 214
8.1 Projection onto Fourier modes 215
8.2 Local bifurcations from u = 0 217
8.3 The second bifurcation point 220
8.4 Spatio-temporal chaos 226
9 Randomly perturbed systems 236
9.1 An Ornstein–Uhlenbeck process 237
9.2 Noisy heteroclinic cycles 240
9.3 Power spectra of homoclinic attractors 247
9.4 Symmetry breaking 249

PART THREE THE BOUNDARY LAYER 253

10 Low-dimensional models 255
10.1 Equations for coherent structures 256
10.2 The eigenfunction expansion 259
10.3 Symmetries 260
10.4 Galerkin projection 262
10.5 Geometrical structure of the model 269

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Contents vii

10.6 Choosing subspaces and domains 272

10.7 The energy budget 275
10.8 Nonlinear feedback 281
10.9 Interaction with unresolved modes 285
11 Behavior of the models 289
11.1 Backbones for the models 290
11.2 Heteroclinic cycles 293
11.3 Bursts and sweeps 297
11.4 The pressure term 299
11.5 More modes and instabilities 303
11.6 A tentative summary 307
11.7 Appendix: coefficients 312

PART FOUR OTHER APPLICATIONS AND RELATED WORK 315

12 Some other fluid problems 317
12.1 The circular jet 317
12.2 The transitional boundary layer 321
12.3 A forced transitional mixing layer 326
12.4 Flows in complex geometries 328
12.5 “Full channel” wall layer models 331
12.6 Flows in internal combustion engines 335
12.7 A miscellany of results: 1995–2011 341
12.8 Discussion 342
13 Review: prospects for rigor 345
13.1 The quality of models 345
13.2 A short-time tracking estimate 349
13.3 Stability, simulations, and statistics 352
13.4 Spatial localization 356
13.5 The utility of models 360

References 364
Index 382

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Preface to the first edition

On physical grounds there is no doubt that the Navier–Stokes equations provide an excel-
lent model for fluid flow as long as shock waves are relatively thick (in terms of mean free
paths), and in such conditions of temperature and pressure that we can regard the fluid as a
continuum. The incompressible version is restricted, of course, to lower speeds and more
moderate temperatures and pressures. There are some mathematical difficulties – indeed,
we still lack a satisfactory existence-uniqueness theory in three dimensions – but these
do not appear to compromise the equations’ validity. Why then is the “problem of turbu-
lence” so difficult? We can, of course, solve these nonlinear partial differential equations
numerically for given boundary and initial conditions, to generate apparently unique tur-
bulent solutions, but this is the only useful sense in which they are soluble, save for certain
non-turbulent flows having strong symmetries and other simplifications. Unfortunately,
numerical solutions do not bring much understanding.
However, three fairly recent developments offer some hope for improved understanding:
(1) the discovery, by experimental fluid mechanicians, of coherent structures in certain
fully developed turbulent flows; (2) the suggestion that strange attractors and other ideas
from finite-dimensional dynamical systems theory might play a rôle in the analysis of the
governing equations; and (3) the introduction of the statistical technique of Karhunen–
Loève or proper orthogonal decomposition. This book introduces these developments and
describes how the three threads can be drawn together to weave low-dimensional models
that address the rôle of coherent structures in turbulence generation.
We have uppermost in our minds an audience of engineers and applied scientists wishing
to learn about some new methods and ways in which they might contribute to an under-
standing of turbulent flows. Additionally, applied mathematicians and dynamical systems
theorists might learn a little fluid mechanics here, and find in it a suitable playground for
their expertise.
The fact that we are writing for a mixed audience will probably make parts of this book
irritating to almost all our readers. We have tried to strike a reasonable balance, but experts
in turbulence and dynamical systems may find our treatments of their respective fields
superficial.
Our approach will be somewhat schizophrenic. On the one hand we hope to suggest a
broad strategy for modeling turbulent flows (and, more generally, other spatio-temporally
complex systems) by extracting coherent structures and deriving, from the governing

ix

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x Preface to the first edition

Navier–Stokes equations, relatively small sets of ordinary differential equations that

describe their dynamical interactions. We freely admit that there is much speculation and
there are few firm results in this, although a number of (partial) successes have been
achieved. In collecting our thoughts and those of others, we hope to stimulate research
which might ultimately put some of these ideas on a firmer footing. This is the “vision” side
of the book. In contrast, and since we need these methods to analyze our low-dimensional
models, we provide a brief introduction, with many simple examples, to relevant and well-
established ideas from dynamical systems theory. This is the “technical manual” side of
the book. We occasionally switch from vision to technical mode, or vice versa, with scant
warning. We guarantee that we have a mode to annoy every reader.
Our (tedious) working of simple examples may make for impatience on the part of those
hurrying to get to the main attraction, or attractor. In our defense we remark that full appre-
ciation of an “application” as complex as turbulence must rest on a firm understanding of
simpler cases. Equally, our use of the symbolic and abstract notation of dynamical sys-
tems theory may be a stumbling block for some. We encourage them to stagger on to the
examples. (A glossary of technical terms and notations is provided at the end of Chapter 1.)
But while we may irritate, we hope not to confuse. The term “low-dimensional model”
is already problematic. Our models ideally contain enough “modes” to permit reasonable
spatial as well as temporal behavior of the larger scales in the flow: those dominant in
the sense of average turbulent kinetic energy. Our models do not contain, nor shall we
be concerned with, the inertial or dissipative ranges. We have in mind sets of ordinary
differential equations containing perhaps 10–100 dependent variables: substantially larger
than that of, say, Lorenz. This is drastically low in comparison to the number of modes
(or nodes) necessary even in a large eddy simulation, let alone a direct numerical sim-
ulation, but it is high in the context of dynamical systems, in which we have relatively
complete understanding only of systems of dimension ≤ 2! We approach the analysis of
such “low but high”-dimensional models by building on yet lower dimensional models,
for which more complete analyses are possible. In this, one of our prominent illustrative
examples is provided by the heteroclinic attractor: a strongly nonlinear type of solution that
occurs robustly in systems possessing certain symmetries. Heteroclinic attractors lead to
“bursting” behavior in which systems exhibit relatively long quasisteady phases involving
few modes, interrupted by violent events in which other groups of modes become active.
The reader should not interpret our emphasis to mean that we think turbulence is a hete-
roclinic attractor, although such attractors do appear to represent some key features of the
burst/sweep cycle in the boundary layer. Rather, the study of these attractors provides a nice
example of the power of qualitative methods applied to equations which are, in dynamical
systems terms, of high dimension (≥ 4).
A second area of potential confusion is in our use of linear spaces and linear analysis
for the description and study of nonlinear objects. This is, of course, a quite normal tactic.
Linear theory is well developed, relatively complete, and powerful. There is no contradic-
tion in defining a nonlinear differential equation on a linear state space, or in representing
a spatio-temporal field u(x, t) as a linear combination of basis functions or “modes” ϕ j (x)
multiplied by suitable time-dependent coefficients a j (t). The Fourier representation is a
prime example. Of course, if u(x, t) is a solution of a nonlinear partial differential equation,

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Preface to the first edition xi

linear superposition will fail in the sense that the sum of two solutions will not generally
produce a third, but we can still represent individual solutions via such series. Moreover,
in spite of all the recent advances in nonlinear analysis, the tools of linear operator theory,
including Fourier analysis and linearization of partial and ordinary differential equations,
are still crucial in the study of nonlinear systems. The proper orthogonal or Karhunen–
Loève decomposition, one of our major tools, also relies on linear theory and produces
representations of functions and fields in linear spaces, within which we may then con-
struct strongly nonlinear dynamical systems whose attractors quite happily display their
nonlinear character.
The book falls into four parts. In the first – Turbulence – we introduce our general strat-
egy and recall some key ideas from fluid mechanics and “classical” turbulence theory,
which establish basic properties of some canonical turbulent flows. We describe coherent
structures from the viewpoint of an experimental observer and follow this with a descrip-
tion of the Karhunen–Loève decomposition, with sufficient mathematical detail that the
reader can appreciate the advantages and limitations of the low-dimensional, optimal rep-
resentations of turbulent flows in terms of empirical eigenfunctions that it affords. We
conclude this part by describing how the Navier–Stokes equations can be projected onto
subspaces spanned by a few empirical eigenfunctions to yield a low-dimensional model,
and outlining some of the additional “modeling” that must be done to account for modes
and effects neglected in such radical truncations.
The second part – Dynamical systems – contains a review of some aspects of dynami-
cal systems theory that are directly useful in the analysis of low-dimensional models. We
discuss local and global bifurcations and important ideas such as structural stability and
strange attractors. Symmetries play a central rôle in our ideas, and we devote a chapter
to showing how they influence dynamical and bifurcation behaviors. We then gather our
methods for a dry run: a study of the Kuramoto–Sivashinsky partial differential equation
which, while much simpler than the Navier–Stokes equations, displays some of the same
features and allows us to illustrate our techniques. The final chapter introduces some basic
ideas from the theory of stochastic differential equations: ideas that we need in dealing
with systems subject to (small) random disturbances. This part is a fairly relentless essay
in the technical manual mode.
The third part – The boundary layer – returns to the Navier–Stokes equations and a
specific class of models of the turbulent boundary layer. This is the problem to which
our approach was first applied and it is probably still the most widely studied from this
viewpoint. It is certainly the one that we understand best, shortcomings and all. We offer
this description and critical commentary partly in the hope that it may help others avoid
our mistakes.
In the final part – Other applications and related work – we briefly review a number of
applications of this and similar strategies to other turbulent open flow problems. We do
not consider applications in other areas, such as pattern-forming chemical reactions, flame
dynamics, etc., although many such are now appearing. We close by speculating on the
kind of understanding of turbulence that this approach is likely to yield, and on how some
recent developments, such as inertial manifolds, are related to it.
We promise not to mention the word “fractal” in this book.

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Philip Holmes, John L. Lumley, Gahl Berkooz and Clarence W. Rowley
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Preface to the second edition

Much work has been done on low-dimensional models of turbulence and fluid systems in
the 16 years since the first edition of this book appeared. In preparing the second edition,
we have not attempted a comprehensive review: indeed, we doubt that this is possible, or
even desirable. Rather, we have added one chapter and several sections and subsections on
some new developments that are most closely related to material in our first edition. We
have also made minor corrections and clarifications throughout, and added comments in
several places, as well as correcting a number of errors that readers have pointed out. Here,
to orient the reader, we outline the major changes.
Clancy Rowley (the new member of our team) has contributed a chapter on balanced
truncation, a technique from linear control theory that chooses bases that optimally align
inputs and outputs. Over the past ten years this has led to the method of balanced proper
orthogonal decomposition (BPOD), which is especially useful for systems equipped with
sensors and actuators. Since low-dimensional models provide a computational means for
studying control of turbulence, we feel that BPOD has considerable potential. This new
chapter (5) now closes the first part of the book (readers familiar with the first edition must
therefore remember to add 1 to correctly identify the following eight chapters). The only
other entirely new sections are 7.5, a discussion of traveling modes in translation-invariant
systems, 12.6, a review of work on coherent structures in internal combustion engines, and
12.7, which gathers a miscellany of recent results.
New materials also appear in Chapter 3, where we modestly generalize the derivation
of the POD in Section 3.1, adding subsections on specific function spaces, and in Sec-
tion 3.4, where the relationship between the method of snapshots and the classical singular
value decomposition is described, where we introduce an inner product for compress-
ible flows, and where we comment on using a fixed set of empirical eigenfunctions to
represent data over a range of parameter values (e.g. Reynolds numbers). In Chapter 4
we now provide more details on Galerkin projection (Section 4.1), give an example of a
PDE with time-dependent boundary conditions and explain how quadratic nonlinearities,
such as those in the Navier–Stokes equations, permit analytical determination of coef-
ficients in the projected ODEs (Section 4.2). We also describe the important notion of
shift modes in Section 4.4. Section 8.4 now ends with remarks on spatially-localized mod-
els of the Kuramoto–Sivashinsky equation, Section 10.7.2 notes a model that uses shift
modes to couple a time-varying “mean” flow and secondary modes, and in Section 12.4

xiii

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xiv Preface to the second edition

we summarize low-dimensional models of unsteady wakes behind cylinders. We have also

revised Section 13.4 to reflect the fact that the results on spatially-localized models with
pressure rather than velocity boundary conditions described there are incomplete and do
not completely resolve well-posedness of the Navier–Stokes equations with mixed velocity
and pressure boundary conditions. Finally, the index has been substantially expanded and
improved, and we have added over 80 references.

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Acknowledgements

Many people have contributed their ideas, support, criticism, and time to help make this
book possible. We wish first to thank our former and present students, postdoctoral fellows,
and colleagues who, over the past ten years, worked directly on the project that led to the
first edition of this book: Dieter Armbruster, Nadine Aubry, Peter Blossey, SueAnn Camp-
bell, Hal Carlson, Brianno Coller, Juan Elezgaray, John Gibson, Ziggy Herzog, Berengère
Podvin, Andrew Poje, Emily Stone, and Edriss Titi. As anyone who does them knows:
teaching, learning, and research are inextricably joined, and without these students’ and
colleagues’ demands that we explain what we mean, we would not have made the first
halting steps upon which they could then improve. Many of the results and ideas in this
book originated in their work.
Among our immediate colleagues, John Guckenheimer and Sidney Leibovich have been
particularly helpful. Steve Pope helped with some of the probabilistic ideas in Chapters 3
and 13. At a greater distance, Keith Moffatt and Larry Sirovich have been useful crit-
ics, forcing us to examine our assumptions more closely. Ciprian Foias, Mark Glauser,
and Dietmar Rempfer shared their expertise, and explained their insights and results to
us. The opportunity to give lectures and short courses on this work has also clarified our
understanding and, we believe, improved our presentation. PH would like to thank Klaus
Kirchgässner, Jean-Claude Saut, John Brindley, Colin Sparrow, and Silvina Ponce Dawson
and Gabriel Mindlin for arranging courses at Universität Stuttgart, Université de Paris-Sud,
the University of Leeds, the Newton Institute, Cambridge, and the Fourth Latin American
Workshop on Nonlinear Phenomena, San Carlos de Bariloche, Argentina, respectively. JLL
would like to thank Yousuff Hussaini and Jean-Paul Bonnet for arranging courses at NASA
Langley Research Center and The International Center for the Mechanical Sciences, Udine,
respectively. CWR would like to thank Tim Colonius, the late Jerry Marsden, and Richard
Murray for introducing him to this field.
The manuscript was typed in LATEX, much of it by ourselves, but with the able assistance
of Gail Cotanch and Phebe Tarassov. Alison Woolatt of CUP also helped us with LATEXand
CUP formats. Harry Dankowicz computed some of the figures in Chapter 8. Teresa Howley
patiently redrew and improved all the figures. Jonathan Mattingly and Ralf Wittenberg read
the manuscript and suggested numerous corrections and improvements. Jo Clegg’s patient
copyediting kept us on the (fairly) straight and narrow. Our thanks go to all of them.

xv

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xvi Acknowledgements

Numerous Governmental Agencies have supported and encouraged this work: the Office
of Naval Research has been with us from the beginning, joined subsequently by the Air
Force Office of Scientific Research, the National Science Foundation, the Department of
Energy, and NATO. GB was partially supported by ONR contract N00014-94-C-0024,
NASA contract NAS1-20408, and AFOSR contract F49620-95-C-0027. A fellowship from
the John Simon Guggenheim Memorial Foundation in 1993–94 gave PH the leisure to
begin this project and to harass his co-authors for their contributions. We thank these
organizations for their support.
In preparing the second edition, and especially Chapter 5 and Section 12.6, we have
benefited from the work of Sunil Ahuja, Mark Fogelman, Miloš Ilak, and Zhanhua Ma,
and the copy-editing of Richard Smith.
Finally, we are grateful to Simon Capelin of the Cambridge University Press, who
encouraged us to complete this book almost from its beginning, and who invited us to
prepare a second edition.

Philip Holmes, John L. Lumley, Gahl Berkooz, and Clancy W. Rowley

Princeton, NJ, Ithaca, NY, and Ann Arbor, MI

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