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Michele Campisi

Lectures on the Mechanical

Foundations of Thermodynamics
1st ed. 2021
Michele Campisi
Istituto Nanoscienze, Consiglio Nazionale delle Ricerche, Pisa, Italy

ISSN 2191-5423 e-ISSN 2191-5431

SpringerBriefs in Physics
ISBN 978-3-030-87162-8 e-ISBN 978-3-030-87163-5
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To Elisa.
My life.
To the memory of Prof. Donald H. Kobe.
Mentor and example.
Foreword
Thermodynamics, conceived more than 150 years ago by Carnot,
Clausius and others, has been experiencing a remarkable resurgence
over the last two decades, spurred by major experimental and
technological advances that enable the direct observation and
manipulation of quantum gases, DNA molecules and other nanoscale
systems. Originally developed to describe heat exchange and work
extraction processes at the macroscopic scales, it has become
increasingly clear in recent years that thermodynamic concepts and
principles provide an equally powerful framework for the theoretical
description of energy and information transfer in microscopic systems,
from quantum heat engines to biological cells. Michele Campisi, whom I
first met while still a doctoral student in Peter Hä nggi’s group at
Augsburg, has been one of the pioneers at the forefront of this rapidly
expanding research field.
In his monograph Lectures on the Mechanical Foundations of
Thermodynamics, which is based on courses he taught at the University
of Florence, Michele discusses how a thermodynamic framework can be
systematically constructed from Hamiltonian dynamics. This
fundamental question has a long and interesting history, dating back to
seminal work by Boltzmann, Gibbs and Hertz at the turn of the
twentieth century, and it has regained critical importance with recent
applications of thermostatistical concepts to small systems. While many
modern textbooks adopt an axiomatic approach that starts from an
abstract set of thermodynamic postulates, the constructive ‘bottom-up’
approach pursued in this monograph shows how a reduced
thermodynamic description emerges naturally by linking dynamical
time averages with statistical ensemble averages through the ergodicity
hypothesis.
Rather than aiming for a broad scope of applications, Michele’s
lectures focus on building a deep and succinct understanding of
thermostatistical core concepts. Carefully chosen pedagogical examples
highlight the different physical assumptions underlying the
microcanonical and canonical ensembles. Ensemble equivalence, often
taken for granted in the thermodynamic limit, can be and is violated in
small (and many not-so-small) systems, which has profound
implications for the accurate description of energy conversion and
transfer in microbiological and quantum processes. Students and
researchers interested in developing a strong foundational
understanding of thermodynamic concepts will greatly appreciate the
guidance provided by this monograph.
Over the last fifteen-plus years, I have learned immensely from my
many discussions with Michele, as well as from studying his original
research papers and review articles—after reading his monograph, you
will surely feel the same way.
Jörn Dunkel
Cambridge, MA, USA
August 2021
Preface
The largest majority of textbooks presents the subject of statistical
mechanics by adding one or more postulates to the microscopic theory
that describes the dynamics of the constituents of matter, be it classical
mechanics or quantum mechanics. Typically one postulates the entropy
and then derives thermodynamics therefrom. However, that is not
desirable from a foundational point of view, because when adding a
postulate to an existing theory, there is always a risk that it is not fully
coherent with it.
The present series of lectures provides an introduction to statistical
mechanics, specifically the theory of statistical ensembles, that does not
require any further postulate besides the laws that govern the
Hamiltonian (classical) dynamics of the constituents of macroscopic
bodies. Rather it requires an assumption: the ergodic hypothesis. The
approach adopted here can be traced back to the early works of
Boltzmann [1], following an underground line (mostly unknown to the
modern readers) that has received important later contributions by
Helmholtz [2, 3], Boltzmann himself [4], Gibbs [5], P. Hertz [6], and
Einstein [7]. I tried to present the material in an original and organic
manner, casted in modern language and notation, and integrated with
basic ergodic theory (as presented, e.g., in the textbook of Khinchin [8]),
avoiding as much as possible unnecessary mathematical abstraction
and complications.
The material presented is rather limited in comparison to what is
customarily taught in a graduate course of statistical mechanics. It is
meant only to cover the foundations of statistical ensembles and can be
used as the first set of lectures of a complete course. It constitutes an
ideal continuation of a graduate course in classical mechanics.
Knowledge of basic calculus in many dimensions (including differential
forms), thermodynamics, basic probability theory, and Hamiltonian
mechanics are prerequisites for these lectures. Special attention is
devoted to the Massieu potentials (the Legendre transforms of the
entropy) which are most natural in statistical mechanics and also allow
for a more direct treatment of the topic of ensemble equivalence. A
number of exercises are scattered through the text, to stimulate
learning and understanding. Many derivations, due to their simplicity,
are skipped and proposed as exercises.
An important remark is in order for the teacher who wishes to use
these lectures in a course of statistical mechanics. The theory presented
here leads univocally to identify the thermodynamic entropy of an
isolated system as the logarithm of the Liouville measure of the region
of phase space enclosed by the energy hyper-surface, which is often
referred to as volume entropy. That is in contrast with the standard
textbook approach that postulates entropy as the logarithm of the
invariant measure of said hyper-surface (the surface entropy), or, for
the discrete system, the logarithm of the number of microstates
according to Boltzmann’s famous formula . The latter
formula is customarily used to treat various classic topics in the
statistical mechanics of discrete systems (for example, when discussing
the absence of phase transitions in the 1D Ising model, i.e., the
argument of Landau and Peierls) which poses the question of how they
should be treated within the present approach. In my experience, the
formula could always be avoided, and that typically helped
in improving the clarity. For example, the Landau and Peierls argument
can be consistently presented as an application of the variational
principle according to which the functional is
always larger or equal than the thermodynamic free energy that is
attained by the equilibrium canonical distribution . The

argument goes smoothly in this way and avoids the questionable habit,
that permeates the whole literature, of calling non-equilibrium
quantities, such as or , with the name of thermodynamic
potentials (free energy and entropy, respectively), which instead are, by
definition, equilibrium quantities.
Chapter 1 is a quick review of the central statements of
thermodynamics; the Massieu and standard potentials are introduced
here. Chapter 2 presents the most minimal mechanical model of a
thermodynamic system, namely a single particle in a 1D box. Thanks to
the Helmholtz theorem that helps in realising that the thermodynamic
structure is implicit in Hamiltonian mechanics. The chapter serves as
an introduction to the ergodic theory, the microcanonical ensemble,
and the generalised Helmholtz theorem, which are the subject of Chap.
3. Chapter 4 is devoted to the canonical ensemble, which is presented
as the statistics that describes a system in weak contact with a large
ideal gas. Chapter 5 deals with releasing the constraint on volume and
presents the -ensemble as the ensemble that emerges from the
canonical ensemble when the position of a movable piston is raised to
the rank of a dynamical variable. Chapter 6 deals with the release of the
constraint on the number of particles, namely, the grand-canonical
ensemble. At variance with the standard textbook presentation, it is
presented as an almost direct consequence of an assumption of
“complete randomness” of the statistics of particle number (i.e., its
Poissonian character is assumed), which is often implicit in standard
derivations. Finally, Chap. 7 discusses the topic of ensemble
equivalence, following a personal approach influenced by the works of
Ruffo and others [9]. For all ensembles presented, their statistical-
dynamical origin is highlighted, and thermodynamics is, according to
the early Boltzmann spirit, never used as an input for their
construction, rather it is presented as an aftermath.
The material is based on lectures delivered at the University of
Florence in the academic years 2019/2020 and 2020/2021 as part of
the course of Statistical Mechanics.

References
1. Boltzmann, L.: Wiener Berichte. 53, 195 (1866)

2. von Helmholtz, H.: Journal fü r die reine und angewandte

Mathematik. 97, 111 (31 Dec. 1884). https://​doi.​org/​10.​1515/​
9783112342169-008

3. von Helmholtz, H.: Journal fü r die reine und angewandte

Mathematik. 97, 317 (31 Dec. 1884). https://​doi.​org/​10.​1515/​
9783112342169-019

4. Boltzmann, L.: Journal fü r die reine und angewandte Mathematik.

98, 68 (1885). https://​doi.​org/​10.​1515/​crll.​1885.​98.​68
5. Gibbs, J.: Elementary Principles in Statistical Mechanics. Yale
University Press, New Haven (1902)

6. Hertz, P.: Ann. Phys. (Leipzig) 338, 225 (1910). https://​doi.​org/​10.​

1002/​andp.​19103381202

7. Einstein, A.: Ann. Phys. (Leipzig) 339, 175 (1911). https://​doi.​org/​

10.​1002/​andp.​19113390111

8. Khinchin, A.: Mathematical Foundations of Statistical Mechanics,

Dover, New York, (1949)

9. Campa, A., Dauxois T., Ruffo S.: Phys. Rep. 480(3–6), 57 (2009).
http://​dx.​doi.​org/​10.​1016/​j.​physrep.​2009.​07.​001

Michele Campisi
Pisa, Italy
July 2021
Contents
1 The Constitutive Statements of Thermodynamics
1.​1 First and Second Law
1.​1.​1 First Law of Thermodynamics
1.​1.​2 Second Law of Thermodynamics
1.​2 Massieu Potentials
1.2.1 The Potential (Free Entropy)

1.2.2 The Potential

1.2.3 The Potential

1.2.4 The Massieu Grand Potential

1.​3 Common Thermodynamic Potentials

1.3.1 The Internal Energy

1.3.2 The Helmholtz Free Energy

1.3.3 The Enthalpy

1.3.4 The Gibbs Free Energy

1.3.5 The , Grand Potential

References
2 Minimal Mechanical Model of Thermodynamics
2.​1 A Particle in a 1D Box
2.​1.​1 Remarks
2.​2 Helmholtz Theorem
 2.​3 First Encounter with Ergodicity and the Microcanonical
Ensemble
2.​4 Non-uniqueness of Integrating Factors
2.​5 Examples and Applications
2.​5.​1 Thermodynamics of a Harmonic Oscillator
2.​5.​2 The Peculiar Thermodynamics of a Log-Oscillator
2.​5.​3 Particle in a Double Well Potential
References
3 The Microcanonical Ensemble
3.​1 Many-Body Model of Thermodynamics
3.​2 Remarks on Ergodicity
3.​2.​1 Metric Indecomposabilit​y
3.​2.​2 The Invariant Measure
3.​3 Properties of the Structure Function
3.​4 Ideal Gas
3.​4.​1 Remarks
3.​5 Some History
3.​5.​1 Boltzmann Expressions of Microcanonical Entropy
References
4 The Canonical Ensemble
4.​1 A System in Weak Interaction with a Large Ideal Gas
4.​2 Validity of the Heat Theorem within the Canonical
Ensemble
4.​3 Properties of the Partition Function
4.​4 Ideal Gas
4.​5 Linear Response Coefficients and Fluctuations
4.​6 Finite Bath Ensemble
 4.​7 A System in Weak Contact with a Logarithmic Oscillator
References
5 The TP Ensemble
5.​1 A System in Contact with a Thermal Reservoir and Subject
to a Constant Pressure
5.2 Validity of the Heat Theorem within the Ensemble
5.​3 Fluctuations
5.​4 Ideal Gas
5.​5 Thermally Insulated System Subject to a Constant Pressure
References
6 The Grandcanonical Ensemble
6.1 Relaxing the Constraint on

6.​2 A Slight Detour:​Gibbs “Correct” Counting

6.​3 Validity of the Heat Theorem within the Grandcanonical
Ensemble
6.​4 Ideal Gas
6.​4.​1 Fluctuations
6.​5 Remarks
References
7 Ensemble (in)-Equivalence
7.​1 The Problem
7.​2 Full Equivalence
7.​3 Equivalence
7.​3.​1 Hilbert and Dunkel Model of Evaporation
7.​3.​2 The Saddle Point Approximation
7.​4 Partial Equivalence
7.​5 Inequivalence
7.​5.​1 Thirring Artificial Model of a Star
7.​6 (In)-equivalent Expressions of the Microcanonical Entropy
References
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021
M. Campisi, Lectures on the Mechanical Foundations of Thermodynamics,
SpringerBriefs in Physics
https://doi.org/10.1007/978-3-030-87163-5_1

1. The Constitutive Statements of

Thermodynamics
Michele Campisi1
(1) Istituto Nanoscienze, Consiglio Nazionale delle Ricerche, Pisa, Italy

Michele Campisi
Email: michele.campisi@nano.cnr.it

1.1 First and Second Law

1.1.1 First Law of Thermodynamics
In its differential form the first law of thermodynamics reads [1]:
(1.1)
where dE is the change in internal energy, is the heat added to the
system and is the work done on the system during an infinitesimal
transformation. The first law is the energy conservation law applied to
a system in which there is an exchange of energy by both work and
heat.
Of crucial importance for the understanding of the first law is that
and are, generally, inexact differentials, whereas dE is exact.
The internal energy E is a state variable, namely a quantity that
characterizes the thermodynamic equilibrium state of the system. On
the other hand, W and Q are quantities that characterize
thermodynamic energy transfers only and are not properties of the
state of the system.

1.1.2 Second Law of Thermodynamics

Experience tells that:

Proposition 1.1 (The Heat Theorem) For a quasi-static infinitesimal

transformation, the differential is exact.

where T is the temperature at which the heat is exchanged.

Proposition 1.1, also known as the heat theorem [2], is perhaps the
most central statement of thermodynamics: Although is not an
exact differential, it admits an integrating factor, namely the the inverse
temperature.
This is equivalent to stating that that there exist a state function S,
such that

(1.2)

The function S is called the thermodynamic entropy of the system.

In the following we adopt the convention of expressing temperature
in units of energy. Accordingly, entropy is adimensional. Standard units
can be covered by the change , , with
Boltzmann’s constant.
Proposition 1.1 can be expressed in an equivalent way also in
integral form, by stating that the integral of along a reversible
path connecting a state A to a state B in the state variables’ space, does
not depend on the path but only on its endpoints A and B. This in turn
says that there exists a state function S (i.e. the thermodynamic
entropy), such that

(1.3)
From Eq. (1.1) it is . In general, the work is performed
by changing a certain number of external parameters , e.g. volume,
magnetic field, electric field, etc. . Then the work is given by
, where denote the corresponding conjugate forces, i.e.,
pressure, magnetization, electric polarization, respectively, etc. .
Therefore it is:

(1.4)

In this case Proposition 1.1 can be re-expressed as:

(1.5)

or, in equivalent terms: there exists a function such

that:

(1.6)

(1.7)

To use the language of vector fields, this says that the vector field ,
acting on the space
(1.8)
with components

(1.9)

is a conservative vector field. This is a highly non trivial fact. It implies

the very existence of a potential function such that
 (1.10)
where is the gradient operator in the space . In analogy with
electric field and electric potential, we shall refer to as the
thermodynamic field, and to entropy S as the thermodynamic potential.
It is worth emphasizing that any inexact differential, like for
example , does not enjoy the same property: it is
generally not possible to find a function of state such that
and .
Another remark is in order. While given a differential form defined
on a 2-dimensional space it is always possible to find an integrating
factor; that is not guaranteed in higher dimensional spaces. In other
words, the very fact that the integrating factor 1/T, and hence the
potential S exist is highly non trivial. But that is what experience told
Carnot, Clausius and Co.
Since for a system that is thermally insulated there is no heat
exchange, an immediate consequence of Proposition 1.1 is that

Proposition 1.2 For a quasi-static process occurring in a thermally

isolated system, the entropy change between two equilibrium states is
zero,
(1.11)

Proposition 1.1 refers to a quasi static transformation. The second law

of thermodynamics is a statement regarding any thermodynamic
transformation:

Proposition 1.3 (Second law) For a generic process occurring in a

system in thermal contact with a body of temperature T it is
(1.12)
with the equality holding when the transformation is quasi-static.
The latter proposition implies that

Proposition 1.4 For a generic process occurring in a thermally

insulated system it is

(1.13)

A crucial point that must not be overlooked is that Propositions 1.2 and
1.4 pertain to thermally isolated systems. This means that the system is
not in contact with a thermal bath, by means of which one could in
principle control either its temperature or its energy. Thus the
processes mentioned therein are processes in which only the external
parameters are varied in a controlled way and there is no control
over the variable E. In Statement 1.2 the change of the parameter is
so slow that at any instant of time the system is almost at equilibrium
(quasi-static process). In Statement 1.4, this requirement is relaxed.
Note also that in Statement 1.3 it is implied that that the infinitesimal
transformation is between two equilibrium states.

Exercise 1.1 Consider the case of a single parameter with

conjugate force . Consider a closed path in the space .
Show that the work W can be expressed as the flux through the
surface bounded by the path of the “magnetic like” field

(1.14)

where

(1.15)

Note that because of the first law for a closed path.

1.2 Massieu Potentials
We restrict to the case of a single external parameter (volume)
and conjugated force (pressure), and we introduce the
notation1:
(1.16)

(1.17)
The entropy S(E, V) is a function of energy of the system and external
parameter V and its differential reads:
(1.18)
This way of writing emphasises the existence of thermodynamically
conjugated entropic pairs2

By Legendre transforming the entropy, one obtains new

thermodynamic potentials, the Massieu potentials, where one or more
among the variables E, V are exchanged with their conjugate.
In ordinary stable matter, the entropy is a concave function of
(E, V),3 implying:

(1.19)

The Legendre transform are obtained accordingly through a

maximisation.

1.2.1 The Potential (Free Entropy)

The “free entropy”, , is the Legendre transform of entropy with
respect to the change

(1.20)

Under the condition of stability the Legendre transform

then amounts to
(1.21)
where is the unique solution of the equation

(1.22)

Unicity being a consequence of . The differential of the

free entropy then reads

(1.23)

Noting that , (where

is the heat capacity at constant V), we see that the

condition , is equivalent to the condition:

(1.24)

1.2.2 The Potential

Similarly, the Legendre transform of entropy with respect to V gives the
Massieu potential
 (1.25)

Under the concavity condition

(1.26)

one can now define the function as unique solution of

(1.27)

and the Massieu potential gets the form

(1.28)

with differential
(1.29)

1.2.3 The Potential

By double Legendre transform one defines the potential

(1.30)

Under the condition

(1.31)

it amounts to
(1.32)

where is the unique solution of

 (1.33)

The differential then reads

(1.34)

1.2.4 The Massieu Grand Potential

Lastly, we introduce the Massieu grand potential. The idea is to
explicitly express the N dependence of the potential , and
make a change of variables to the entropic partner of N. Let’s call that
. Its differential reads

(1.35)
Typically is a concave function of N, accordingly the grand
Massieu potential is defined as

(1.36)

Strict concavity of with respect to N, implies there exist a

unique solution to:

(1.37)

Then the grand Massieu potential gets the form

(1.38)
The quantity is related to the chemical potential by the relation:

(1.39)
1.3 Common Thermodynamic Potentials
Massieu potentials, the Legendre transforms of the entropy, are rather
uncommon in the literature, but, as we shall see, they emerge most
naturally in the theory of statistical ensembles. Furthermore, the
entropy S is the primordial potential. Accordingly its Legendre
transforms are the fundamental potentials. For historical and practical
reasons, much more common are the potentials obtained by Legendre
transform of the internal energy.

1.3.1 The S, V Internal Energy E

Assuming is non-negative, one first defines the function
E(S, V) by inverting S(E, V) with respect to E and then proceeds to
evaluate the Legendre transforms. By Eq. (1.5) it is:

(1.40)

which defines the set of thermodynamically conjugated energetic pairs4

In standard stable matter, the internal energy is a convex function of

(S, V), implying:

(1.41)

Accordingly now the Legendre transforms are implemented as infima,

rather than suprema.

1.3.2 The T, V Helmholtz Free Energy F

The Helmholtz Free energy is defined as

(1.42)
Under the assumption , it amounts to

(1.43)

with S(T, V) being defined as the unique solution of

(1.44)

The differential reads:

(1.45)

The concavity condition , is equivalent to the requirement

that .
Note that

(1.46)

1.3.3 The S, P Enthalpy H

Similarly, the change is achieved by the transform

(1.47)

Under the condition , it simplifies into

(1.48)

with V(S, P) the unique solution of

(1.49)

The differential reads

 (1.50)

Noting that by definition and that , the meaning of

the stability condition is , or , where
is the adiabatic compressibility. It means that
as the volume decreases adiabatically, the pressure increases (and vice-
versa).

1.3.4 The T, P Gibbs Free Energy G

The Gibbs free energy is obtained by Legendre transform of the
Enthalpy

(1.51)

The condition of stability reads , leading to

(1.52)

where S(T, P) is the unique solution of

(1.53)

The differential reads, accordingly:

(1.54)

The stability condition implies . To see that, note that,

at constant P, . Therefore
, which under the assumption that ,

amounts to .
Note that
 (1.55)

1.3.5 The , Grand Potential

Consider the free energy F as a function of (T, V, N), and Legendre-
transform with respect to N introducing its energetic partner to
obtain the grand potential:

(1.56)

Assuming that F is strictly convex function of N, implies that the

equation

(1.57)

admits a unique solution for fixed T, V, leading to:

(1.58)

For standard thermodynamical systems the potentials are extensive. In

particular . Since , it is ,

hence , and . Accordingly we get

(1.59)
Note that

(1.60)

References
1. Fermi, E.: Thermodynamics. Dover, New York (1956)
[zbMATH]
2.
Gallavotti, G.: Statistical Mechanics: A Short Treatise. Springer, Berlin (1999)
[Crossref]
3.
Callen, H.B.: Thermodynamics: An Introduction to the Physical Theories of
Equilibrium Thermostatics and Irreversible Thermodynamics. Wiley, New York
(1960)
[zbMATH]

Footnotes
1 The discussion can be repeated or generalised including the magnetic field H and
magnetisation M, electric field E and polarisation , etc....

2 The product of two variables that form an entropic pair has the dimension of
entropy, i.e., with our convention of units, it is adimensional.

3 This is not always so, and we shall come back to this when discussing ensemble
equivalence. A lot should be said regarding the topic of stability of matter. A good
account is in the textbook of Callen [3].

4 The product of two variables forming an energetic pair has the dimension of
energy.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2021
M. Campisi, Lectures on the Mechanical Foundations of Thermodynamics,
SpringerBriefs in Physics
https://doi.org/10.1007/978-3-030-87163-5_2

2. Minimal Mechanical Model of

Thermodynamics
Michele Campisi1
(1) Istituto Nanoscienze, Consiglio Nazionale delle Ricerche, Pisa, Italy

Michele Campisi
Email: michele.campisi@nano.cnr.it

2.1 A Particle in a 1D Box

It is rather clear that the first law of thermodynamics can be
understood as the macroscopic manifestation of the energy
conservation law, that already holds at the microscopic level.
Is the “conservative” character of the thermodynamic field as well a
consequence of the very Hamiltonian nature of the laws that govern the
motion of the microscopic constituents of matter? The answer is “yes”.
Or better: “yes, provided one makes one further hypothesis, namely the
ergodic hypothesis”. We shall come back to this later.
In the meanwhile let us gain insight into the above question by
considering the simplest model of a thermodynamic system one can
think of: a particle in a 1D box.
We shall consider as external parameter the length L of the box, so
that the Hamiltonian that describes the dynamics of the particle is:

(2.1)

where
 (2.2)

The dynamics is very simple: The particle moves forth and back inside
the box with constant speed |v|.
Let us now calculate the average force that the particle exerts on
one wall in a period. The momentum transferred to a wall in a collision
at fixed L is , hence the momentum transferred per unit
time (let us call it P, like “pressure”, the force conjugated to the
“volume” L), is

(2.3)

The heat differential, Eq. (1.​4), reads, accordingly,

(2.4)

First of all note that the above differential form, defined on the space
(E, L) is not exact. To see that note that the differential form is not
closed. Let us recall that (i) a differential form
is said to be closed if and (ii)
all exact forms are closed. Here the coefficient multiplying dE (i.e., the
constant function 1) has null partial derivative with respect to L, while
the coefficient multiplying dL, (i.e., the function 2E/L), has non null
partial derivative with respect to E. The differential form is not closed,
hence not exact.
The question is then, does there exists an integrating factor, g(E, L),
such that

(2.5)

is exact? The answer is “yes”. In fact it is always possible to find an

integrating factor on 2-dimensional spaces, such as the present one [1].
As mentioned in Chap. 1 this is however not guaranteed to be always
the case on larger spaces, and it will be important to keep this last point
in mind. We also note that in fact there are infinitely many integrating
factors, see Sect. 2.4.

Exercise 2.1 Before reading further, try and see if you can find an
integrating factor g(E, L) such that the differential form
is exact. It might be helpful to first find
an integrating factor g that makes the form closed, and then see if you
can single out the associated primitive function G(E, L) such that
.

In order to find an integrating factor let the physics guide us. We have
found an expression for “pressure” P(E, L). Can we similarly write down
a function T(E, L) to which we can assign a meaning analogous to that
of temperature? We know from basic kinetic theory of gases, that, in 3
dimensions, the temperature is 2/3 times the average kinetic energy of
each single particle in the gas. Noting that in the present case the
energy is all kinetic, and we are in 1 dimensions, we might assign to the
following expression
(2.6)

the meaning of temperature. Is 1/T(E, L) an integrating factor? It is easy

to show that the resulting differential form

(2.7)

is closed. We recall that there exists a theorem according to which any

closed differential form defined on an open simply connected set is
exact [1]. In the present case the differential form is defined onto the
set which is open and simply

connected, therefore the differential form is exact. Finding the primitive

function S(E, L) is straightforward: Since the differential is the sum of
two differential forms defined each on , it suffices to integrate them
separately and sum the results:

(2.8)

If we agree to name T the temperature and P the pressure, then we are

obliged to agree to name the function

(2.9)

the entropy of the system. What we have just proved is, in fact, that the
gradient of S(E, L) gives the thermodynamic field:

(2.10)

(2.11)

2.1.1 Remarks
The equation , or is the ideal gas law, for the case of a
single particle in 1D.
The condition of constant S defines the equation , or

using the equation of state, which is the adiabat’s

equation.

Exercise 2.2 Evaluate the specific heat at constant L, , and the

specific heat at constant P, . Compare their ratio with
the exponent of the adiabat’s equation.

The entropy S(E, L) has another crucial property, namely it is an

adiabatic invariant.1 To see that, let us imagine to vary L slowly in time
according to a prescribed schedule L(t). For simplicity let us assume a
linear ramp , with (expansion). Slowly means that

the time scale of variation of L is long compared to the system’s

characteristic time. That is:
(2.12)
where is the period of the motion of the particle at fixed L,
and v is the particle’s velocity. The slowness condition then reads:
(2.13)
Let us consider one collision. It is not difficult to show that if the
particle velocity before the collision is v, then the post-collision velocity
is . Accordingly the speed |v| decreases linearly with

: .

Similarly, the energy changes by the amount

(2.14)

with the leading order being the linear one.

We now ask ourselves: does there exist a quantity which remains
almost unvaried (that is whose change is at least quadratic in the
slowness parameter ) during the motion? For our particle in a box

it is not difficult to see that the quantity is an adiabatic

invariant, in fact, in the time span of one period

(2.15)
The quantity C admits a geometric interpretation: apart from a
multiplicative factor it is the area A in phase space x, p enclosed by the
trajectory that the particle draws for fixed L and velocity v:
 . Note that |p| is a function of the energy
of the particle, hence A is a function of E and L:

(2.16)

Apart for a non important constant term, our entropy S(E, L) is the log
of the quantity A(E, L). Since A(E, L) is an adiabatic invariant, so is the
entropy S(E, L) as well. We thus see that the function S(E, L) not only is
the thermodynamic potential, but also is in perfect accordance with
Proposition 1.​2, according to which entropy is a quantity that remains
unvaried in a slow process occurring in a thermal isolation, such as the
one described here.

Fig. 2.1 Point particle in a harmonic potential . Top left panel:

potential energy at fixed as function of position x. Top right panel: potential

energy at fixed as function of position x. Bottom left panel: particle’s

orbit in phase space at energy and . Bottom right panel: particle’s orbit
in phase space at energy and . The couple of parameters E, V, single out

one closed orbit in the phase space, which represent an equilibrium state.
Reproduced from Ref. [3], with the permission of the American Association of
Physics Teachers

2.2 Helmholtz Theorem

The result in the previous section is a special case of a much more
general result. Consider a generic 1D system with U-shaped potential
that depends on an external parameter , see Fig. 2.1 for an
example. Let

(2.17)

be its Hamiltonian. Define:

(2.18)

(2.19)

where

(2.20)

is the time average of the phase function f(x, p) over the closed
trajectory specified by . Here is the according period.
For simplicity of notation we have dropped the explicit dependence of
, x(t), p(t) on E, .
represents the average generalised force that the
dynamical systems exerts on whatever external body keeps the
parameter at its fixed value.
Exercise 2.3 Using the limit expression
where , show that .

That is, show that the definition of is consistent with that of average
force (momentum transferred per unit time) exerted on the wall in the
case a free particle in a 1D box.

We are now ready to state the following2:

Theorem 2.1 (Helmholtz) The differential is exact,

that is,

(2.21)

and

(2.22)

Here

(2.23)

denotes the momentum as a function of x, for the trajectory specified by

E and , and are the according turning points.
Note that

(2.24)

is the area in phase space enclosed by the trajectory specified by .

Exercise 2.4 Prove Theorem 2.1. Hint: first prove that the period of
motion is related to the area enclosed by the trajectory by the relation3

(2.25)

It is worth recalling that in general4:

Theorem 2.2 (Adiabatic Theorem) Given a 1D system with U-shaped

potential that depends on an external parameter , the
specification of uniquely singles out a closed trajectory in phase
space, whose enclosed area:

(2.26)

is an adiabatic invariant.

2.3 First Encounter with Ergodicity and the

Microcanonical Ensemble
Imagine we want to calculate the time average of a phase function
f(x, p) over the orbit specified by E and :

(2.27)

Since , the differential dt can be expressed as:

(2.28)

where for simplicity we omitted the dependence of p. With this we

obtain:
 (2.29)

where the factor 2 stems from the fact that the particle goes from to
in a half period, i.e., . Now consider the following integral

(2.30)

where denotes Dirac’s delta function. Using the formula

, where the ’s are the zeroes of f(p),
and =1, we get:

(2.31)

Then Eq. (2.29) becomes:

(2.32)

where the integration extremes need not be specified, being implied

by the Dirac . The period is given by5:

(2.33)

Hence we arrive at

(2.34)

where
 (2.35)

denotes average over the following phase space distribution

(2.36)

From Eq. (2.36) it is clear that is the normalization of the

distribution. The distribution is called the microcanonical
distribution. Equation (2.34) says that the time average of a phase
space quantity f(x, p) over one period, is equal to its microcanonical
average on phase space. This property is called ergodicity. We have just
proved that all one-dimensional systems with a U-shaped potential are
ergodic.

2.4 Non-uniqueness of Integrating Factors

We remark that, if there exist an integrating factor for a differential
form, then, there exist infinitely many. Let g(x, y) be an integrating
factor for the form , namely there exist a G(x, y),
such that

(2.37)
Consider now the function , with F a differentiable
function with non null derivative . Then
(2.38)
which tells that is an integrating factor. Due to the freedom in
choosing F we see that there exist infinitely many integrating factors.
The above argument can be repeated for differential forms in higher
dimensions.
 In light of the above, the Helmholtz theorem says that (i) the heat
differential admits an infinite number of integrating
factors each associated to a primitive function of the form ,
which are all adiabatic invariants, (ii) among the integrating factors is
the inverse of the average kinetic energy, which is associated to the
primitive function .

2.5 Examples and Applications

2.5.1 Thermodynamics of a Harmonic Oscillator
Consider the following Hamiltonian of a one-dimensional harmonic
oscillator with angular frequency

(2.39)

Exercise 2.5 (a) Calculate the area enclosed by the trajectory

of energy E and angular frequency . Use Eq. (2.25) and check that the
period of the orbit is, as expected, given by . (b) Use
Theorem 2.1 to show that and . (c) Show
that the differential form , with as in part (b) is not
exact. (Hint: show that the differential form is not closed.). Show that
the integral of over the rectangular path with corners
, and , is not zero.
(d) Consider the differential form , with
and as in part (b). Find a primitive function
for . Show that, apart from an additive constant, it is
 , as dictated by Theorem 1. Check that is a
closed differential form.

2.5.2 The Peculiar Thermodynamics of a Log-

Oscillator
Let us consider a system confined by a logarithmic potential, namely a
so-called log-oscillator [4]:

(2.40)

where M is the mass, b is some positive constant with the dimension of

length, and T is a positive constant with the dimension of energy.
Figure 2.2 depicts some trajectories in phase space of different
energies. Solving the equation for X, one sees that the
trajectories are given by the equations:

(2.41)

That is the trajectories have a Gaussian shape. Note that, accordingly,

the maximal excursion grows exponentially with E/T: .
Another random document with
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believe my right arm is broken.”
“I have some knowledge of healing,” he declared; “let me look at it.”
Before she could answer, he had ripped the sleeve away. “It is only a
sprain,” he said. “Wait.” He went inside for an amber liquid and
bandages. When he had laved the injured muscles, he bound them
round.
“How did it happen?” she asked, as he worked. He was so courteous
and professional that her alarm was gone.
“Your horse was frightened by a rattlesnake in the road. I heard it
whir.”
She shuddered. “I ought to be thankful that I didn’t come my cropper
on it,” she said, laughing nervously.
He went inside again, this time to prepare a cupful of herbs. When
he offered her the draught, she screwed up her face over its
nauseating fumes.
“If that acts as strongly as it tastes,” she said, after she had drunk it,
“I’ll be well soon.”
“It is to keep away inflammation.”
“Oh! Can I go now?”
“Yes. But to-morrow return, and I will look at the arm.” He took the
lamp away and replaced his red-buttoned cap with a black felt hat.
Then he silently preceded her down the steps to the road. Only when
the light of her home shone plainly ahead of them, did he leave her.
They had not spoken on the way. But as he bowed a good-night, she
addressed him. “I thank you,” she said. “And may I ask your name?”
“Kwa”—he began, and stopped. Emotion for an instant softened his
impassive countenance. He turned away. “Fong Wu,” he added, and
was gone.
The following afternoon the crunch of cart wheels before the square-
fronted house announced her coming. Fong Wu closed “The Book of
Virtue,” and stepped out upon the porch.
A white man was seated beside her in the vehicle. As she sprang
from it, light-footed and smiling, and mounted the steps, she
indicated him politely to the Chinese.
“This is my husband,” she said. “I have told him how kind you were
to me last night.”
Fong Wu nodded.
Barrett hastened to voice his gratitude. “I certainly am very much
obliged to you,” he said. “My wife might have been bitten by the
rattler, or she might have lain all night in pain if you hadn’t found her.
And I want to say that your treatment was splendid. Why, her arm
hasn’t swollen or hurt her. I’ll be hanged if I can see—you’re such a
good doctor—why you stay in this——”
Fong Wu interrupted him. “I will wet the bandage with medicine,” he
said, and entered the house.
They watched him with some curiosity as he treated the sprain and
studied the pulse. When he brought out her second cup of steaming
herbs, Mrs. Barrett looked up at him brightly.
“You know we’re up here for Mr. Barrett’s health,” she said. “A year
or so after we were married, he was hurt in a railway collision. Since
then, though his wounds healed nicely, he has never been quite well.
Dr. Lord, our family physician, prescribed plenty of rough work, and a
quiet place, far from the excitement of a town or city. Now, all this
morning, when I realised how wonderful it was that my arm wasn’t
aching, I’ve been urging my husband—what do you suppose?—to
come and be examined by you!”
Fong Wu, for the first time, looked fully at the white man, marking the
sallow, clayey face, with its dry, lined skin, its lustreless eyes and
drooping lids.
Barrett scowled at his wife. “Nonsense, dear,” he said crossly; “you
know very well that Lord would never forgive me.”
“But Fong Wu might help you, Anthony,” she declared.
Fong Wu’s black eyes were still fixed searchingly upon the white
man. Before their scrutiny, soul-deep, the other’s faltered and fell.
“You might help him, mightn’t you, Fong Wu?” Mrs. Barrett repeated.
An expression, curious, keen, and full of meaning, was the answer.
Then, “I might if he——” Fong Wu said, and paused.
Past Mrs. Barrett, whose back was toward her husband, the latter
had shot a warning glance. “Come, come, Edith,” he cried irritably,
“let’s get home.”
Mrs. Barrett emptied her cup bravely. “When shall we call again?”
she asked.
“You need not come again,” Fong Wu replied. “Each day you have
only to dampen the bandages from these.” He handed her a green-
flowered box containing twelve tiny compartments; in each was a
phial.
“And I sha’n’t have to take any more of this—this awful stuff?” she
demanded gaily, giving back the cup.
“No.”
“Ah! And now, I want to thank you again, with all my heart. Here”—
she reached into the pocket of her walking-skirt—“here is something
for your trouble.” Two double-eagles lay on her open palm.
Fong Wu frowned at them. “I take no money,” he said, a trifle gruffly.
And as she got into the cart, he closed the door of his home behind
him.
It was a week before Mrs. Barrett again took up her rides for the
mail. When she did, Fong Wu did not fail to be on his porch as she
passed. For each evening, as she cantered up the road, spurring the
mustang to its best paces, she reined to speak to him. And he met
her greeting with unaccustomed good humour.
Then she went by one morning before sunrise, riding like the wind. A
little later she repassed, whipping her horse at every gallop. Fong
Wu, called to his door by the clatter, saw her face was white and
drawn. At noon, going up to the post-office, he heard a bit of gossip
that seemed to bear upon her unwonted trip. Radigan was
rehearsing it excitedly to his wife, and the Chinese busied himself
with his mail and listened—apparently unconcerned.
“I c’n tell you she ain’t afraid of anythin’, that Mrs. Barrett,” the post-
master was saying; “neither th’ cayuse she rides or a critter on two
legs. An’ that fancy little drug-clerk from ’Frisco got it straight from th’
shoulder.”
“S-s-sh!” admonished his wife, from the back of the office. “Isn’t there
someone outside?”
“Naw, just th’ chink from Kennedy’s. Well, as I remarked, she did jus’
light into that dude. ‘It was criminal!’ she says, an’ her eyes snapped
like a whip; ‘it was criminal! an’ if I find out for sure that you are
guilty, I’ll put you where you’ll never do it again.’ Th’ young gent
smirked at her an’ squirmed like a worm. ‘You’re wrong, Mrs. Barrett,’
he says, lookin’ like th’ meek puppy he is, ‘an’ you’ll have t’ look
some place else for th’ person that done it.’ But she wouldn’t talk no
longer—jus’ walked out, as mad as a hornet.”
“Well, well,” mused Mrs. Radigan. “I wonder what ’twas all about.
‘Criminal,’ she said, eh? That’s funny!” She walked to the front of the
office and peeked through the wicket. But no one was loitering near
except Fong Wu, and his face was the picture of dull indifference.
That night, long after the hour for Mrs. Barrett’s regular trip, and long
past the time for his supper-song, Fong Wu heard slow, shuffling
steps approach the house. A moment afterward, the knob of his door
rattled. He put out his light and slipped a knife into his loose sleeve.
After some mumbling and moving about on the porch, a man called
out to him. He recognised the voice.
“Fong Wu! Fong Wu!” it begged. “Let me in. I want to see you; I want
to ask you for help—for something I need. Let me in; let me in.”
Fong Wu, without answering, relit his lamp, and, with the air of one
who is at the same time both relieved and a witness of the expected,
flung the door wide.
Then into the room, writhing as if in fearful agony, his hands palsied,
his face a-drip and, except for dark blotches about the mouth, green-
hued, his eyes wild and sunken, fell, rather than tottered, Anthony
Barrett.
“Fong Wu,” he pleaded, from the floor at the other’s feet, “you helped
my wife, when she was sick, now help me. I’m dying! I’m dying! Give
it to me, for God’s sake! give it to me.” He caught at the skirt of Fong
Wu’s blouse.
The Chinese retreated a little, scowling. “What do you want?” he
asked.
A paroxysm of pain seized Barrett. He half rose and stumbled
forward. “You know,” he panted, “you know. And if I don’t have some,
I’ll die. I can’t get it anywhere else. She’s found me out, and scared
the drug-clerk. Oh, just a little, old man, just a little!” He sank to the
floor again.
“I can give you nothing,” said Fong Wu bluntly. “I do not keep—what
you want.”
With a curse, Barrett was up again. “Oh, you don’t,” he screamed,
leering frenziedly. “You yellow devil! You almond-eyed pigtail! But I
know you do! And I must have it. Quick! quick!” He hung, clutching,
on the edge of Fong Wu’s wide ironing-table, an ashen wreck. Fong
Wu shook his head.
With a cry, Barrett came at him and seized his lean throat. “You
damned highbinder!” he gasped. “You saddle-nosed monkey! You’ll
get me what I want or I’ll give you away. Don’t I know why you’re up
here in these woods, with your pretty clothes and your English talk.
A-ha! You bet I do! You’re hiding, and you’re wanted;”—he dropped
his voice to a whisper—“the tongs would pay head-money for you. If
you don’t give it to me, I’ll put every fiend in ’Frisco on your trail.”
Fong Wu had caught Barrett’s wrists. Now he cast him to one side.
“Tongs!” he said with a shrug, as if they were beneath his notice. And
“Fiends!” he repeated contemptuously, a taunt in his voice.
The white man had fallen prone and was grovelling weakly. “Oh, I
won’t tell on you,” he wailed imploringly. “I won’t, I won’t, Fong Wu; I
swear it on my honour.”
Fong Wu grunted and reached to a handy shelf. “I will make a
bargain with you,” he said craftily; “first, you are to drink what I wish.”
“Anything! anything!” Barrett cried.
From a box of dry herbs, long untouched, the Chinese drew out a
handful. There was no time for brewing. Outraged nature demanded
instant relief. He dropped them into a bowl, covered them with water,
and stirred swiftly. When the stems and leaves were broken up and
well mixed, he strained a brown liquid from them and put it to the
other’s lips.
“Drink,” he commanded, steadying the shaking head.
Barrett drank, unquestioning.
Instantly the potion worked. Calmed as if by a miracle, made drowsy
to a point where speech was impossible, the white man, tortured but
a moment before, tipped sleepily into Fong Wu’s arms. The Chinese
waited until a full effect was secured, when he lifted his limp patient
to the blanket-covered ironing-table. Then he went out for fuel, built a
fire, and, humming softly—with no fear of waking the other—sat
down to watch the steeping of more herbs.

What happened next at the square-fronted house was the

unexpected. Again there was a sound of approaching footsteps,
again someone gained the porch. But this time there was no pausing
to ask for admission, there were no weak requests for aid. A swift
hand felt for the knob and found it; a strong arm pushed at the
unlocked door. And through it, bareheaded, with burning eyes and
blanched cheeks, her heavy riding-whip dangling by a thong from
her wrist, came the wife of Anthony Barrett.
Just across the sill she halted and swept the dim room. A moment,
and the burning eyes fell upon the freighted ironing-table. She gave
a piercing cry.
Fong Wu neither spoke nor moved.
After the first outburst, she was quiet—the quiet that is deliberative,
threatening. Then she slowly closed her fingers about the whip butt.
Fixing her gaze in passionate anger upon him, she advanced a few
steps.
“So it was you,” she said, and her voice was hollow.
To that he made no sign, and even his colourless face told nothing.
She came forward a little farther, and sucked in a long, deep breath.
“You dog of a Chinaman!” she said at last, and struck her riding-skirt.
Fong Wu answered silently. With an imperative gesture, he pointed
out the figure on the ironing-table.
She sprang to her husband’s side and bent over him. Presently she
began to murmur to herself. When, finally, she turned, there were
tears on her lashes, she was trembling visibly, and she spoke in
whispers.
“Was I wrong?” she demanded brokenly. “I must have been. He’s not
had it; I can tell by his quick, easy breathing. And his ear has a faint
colour. You are trying to help him! I know! I know!”
A gleaming white line showed between the yellow of Fong Wu’s lips.
He picked up a rude stool and set it by the table. She sank weakly
upon it, letting the whip fall.
“Thank God! thank God!” she sobbed prayerfully, and buried her face
in her arms.
Throughout the long hours that followed, Fong Wu, from the room’s
shadowy rear, sat watching. He knew sleep did not come to her. For
now and then he saw her shake from head to heel convulsively; as
he had seen men in his own country quiver beneath the scourge of
bamboos. Now and then, too, he heard her give a stifled moan, like
the protest of a dumb creature. But in no other ways did she bare her
suffering. Quietly, lest she wake her husband, she fought out the
night.
Only once did Fong Wu look away from her. Then, in anger and
disgust his eyes shifted to the figure on the table. “The petal of a
plum blossom”—he muttered in Chinese—“the petal of a plum
blossom beneath the hoofs of a pig!” And again his eyes dwelt upon
the grief-bowed wife.
But when the dawn came stealing up from behind the purple Sierras,
and Mrs. Barrett raised her wan face, he was studiously reviewing
his rows of bottles, outwardly unaware of her presence.
“Fong Wu,” she said, in a low voice, “when will he wake?”
“When he is rested; at sunrise, maybe, or at noon.”
“And then?”
“He will be feeble. I shall give him more medicine, and he will sleep
again.”
He rose and busied himself at the fire. Soon he approached her,
bringing the gold-incrusted teapot and a small, handleless cup.
She drank thirstily, filling and emptying the cup many times. When
she was done, she made as if to go. “I shall see that everything is all
right at home,” she told him. “After that, I shall come back.” She
stooped and kissed her husband tenderly.
Fong Wu opened the door for her, and she passed out. In the road,
unhitched, but waiting, stood the mustang. She mounted and rode
away.
When she returned, not long afterward, she was a new woman. She
had bathed her face and donned a fresh waist. Her eyes were alight,
and the scarlet was again flaming in her cheeks. Almost cheerfully,
and altogether hopefully, she resumed her post at the ironing-table.
It was late in the afternoon before Barrett woke. But he made no
attempt to get up, and would not eat. Fong Wu administered another
dose of herbs, and without heeding his patient’s expostulations. The
latter, after seeking his wife’s hand, once more sank into sleep.
Just before sunset, Fong Wu, who scorned to rest, prepared supper.
Gratefully Mrs. Barrett partook of some tender chicken and rice
cakes. When darkness shut down, they took up their second long
vigil.
But it was not the vigil of the previous night. She was able to think of
other things than her husband’s condition and the doom that, of a
sudden, had menaced her happiness. Her spirits having risen, she
was correspondingly impatient of a protracted, oppressive stillness,
and looked about for an interruption, and for diversion. Across from
her, a Celestial patrician in his blouse of purple silk and his red-
buttoned cap, sat Fong Wu. Consumed with curiosity—now that she
had time to observe him closely—she longed to lift the yellow,
expressionless mask from his face—a face which might have
patterned that of an Oriental sphinx. At midnight, when he
approached the table to satisfy himself of Barrett’s progress, and to
assure her of it, she essayed a conversation.
Glancing up at his laden shelves, she said, “I have been noticing
your medicines, and how many kinds there seem to be.”
“For each ailment that is visited upon man, earth offers a cure,” he
answered. “Life would be a mock could Death, unchallenged, take
it.”
“True. Have you found in the earth, then, the cure for each ailment of
man?”
“For most, yes. They seek yet, where I learned the art of healing, an
antidote for the cobra’s bite. I know of no other they lack.”
“Where you were taught they must know more than we of this
country know.”
Fong Wu gave his shoulders a characteristic shrug.
“But,” she continued, “you speak English so perfectly. Perhaps you
were taught that in this country.”
“No—in England. But the other, I was not.”
“In England! Well!”
“I went there as a young man.”
“But these herbs, these medicines you have—they did not come
from England, did they?”
He smiled. “Some came from the hills at our back.” Then, crossing to
his shelves and reaching up, “This”—he touched a silk-covered
package—“is from Sumbawa in the Indian Sea; and this”—his finger
was upon the cork of a phial—“is from Feng-shan, Formosa; and
other roots are taken in winter from the lake of Ting-Ting-hu, which is
then dry; and still others come from the far mountains of Chamur.”
“Do you know,” Mrs. Barrett said tentatively, “I have always heard
that Chinese doctors give horrid things for medicine—sharks’ teeth,
frogs’ feet, lizards’ tails, and—and all sorts of dreadful things.”
Fong Wu proffered no enlightenment.
“I am glad,” she went on, “that I have learned better.”
After a while she began again: “Doubtless there is other wonderful
knowledge, besides that about doctoring, which Chinese gentlemen
possess.”
Fong Wu gave her a swift glance. “The followers of Laou-Tsze know
many things,” he replied, and moved into the shadows as if to close
their talk.
Toward morning, when he again gave her some tea, she spoke of
something that she had been turning over in her mind for hours.
“You would not take money for helping me when I was hurt,” she
said, “and I presume you will refuse to take it for what you are doing
now. But I should like you to know that Mr. Barrett and I will always,
always be your friends. If”—she looked across at him, no more a part
of his rude surroundings, than was she—“if ever there comes a time
when we could be of use to you, you have only to tell us. Please
remember that.”
“I will remember.”
“I cannot help but feel,” she went on, and with a sincere desire to
prove her gratitude, rather than to pry out any secret of his, “that you
do not belong here—that you are in more trouble than I am. For what
can a man of your rank have to do in a little town like this!”
He was not displeased with her. “The ancient sage,” he said slowly,
“mounted himself upon a black ox and disappeared into the western
wilderness of Thibet. Doubtless others, too, seek seclusion for much
thinking.”
“But you are not the hermit kind,” she declared boldly. “You belong to
those who stay and fight. Yet here you are, separated from your
people and your people’s graves—alone and sorrowful.”
“As for my living people, they are best without me; as for my people
dead, I neither worship their dust nor propitiate devils. The wise one
said: ‘Why talk forever on of men who are long gone?’”
“Yet——” she persisted.
He left the stove and came near her. “You are a woman, but you
know much. You are right. My heart is heavy for a thing I cannot do
—for the shattered dreams of the men of Hukwang.” He beat his
palms together noiselessly, and moved to and fro on soft sandals.
“Those dreams were of a young China that was to take the place of
the old—but that died unborn.”
She followed his words with growing interest. “I have heard of those
dreams,” she answered; “they were called ‘reform.’”
“Yes. And now all the dreamers are gone. They had voyaged to
glean at Harvard, Yale, Cornell, and in the halls of Oxford. There
were ‘five loyal and six learned,’ and they shed their blood at the
Chen Chih Gate. One there was who died the death that is meted a
slave at the court of the Son of Heaven. And one there was”—his
face shrank up, as if swiftly aging; his eyes became dark, upturning
slits; as one who fears pursuit he cast a look behind him—“and one
there was who escaped beyond the blood-bathed walls of the
Hidden City and gained the Sumatra Coast. Then, leaving Perak, in
the Straits Settlements, he finally set foot upon a shore where men,
without terror, may reach toward higher things.”
“And was he followed?” she whispered, comprehending.
“He fled quietly, quietly. For long are the claws of the she-panther
that is crouched on the throne of the Mings.”
Both fell silent. The Chinese went back to the stove, where the fire
was dying. The white woman, wide awake, and lost in the myriad of
scenes his tale had conjured, sat by the table, for once almost
forgetful of her charge.
The dragging hours of darkness past, Anthony Barrett found sane
consciousness. He was pale, yet strengthened by his long sleep,
and he was hungry. Relieved and overjoyed, Mrs. Barrett ministered
to him. When he had eaten and drunk, she helped him from the table
to the stool, and thence to his feet. Her arm about him, she led him
to the door. Fong Wu had felt his pulse and it had ticked back the
desired message, so he was going home.
“Each night you are to come,” Fong Wu said, as he bade them good-
bye. “And soon, very soon, you may go from here to the place from
which you came.”
Mrs. Barrett turned at the door. A plea for pardon in misjudging him,
thankfulness for his help, sympathy for his exile—all these shone
from her eyes. But words failed her. She held out her hand.
He seemed not to see it; he kept his arms at his sides. A “dog of a
Chinaman” had best not take a woman’s hand.
She went out, guiding her husband’s footsteps, and helped him climb
upon the mustang from the height of the narrow porch. Then, taking
the horse by the bridle, she moved away down the slope to the road.
Fong Wu did not follow, but closed the door gently and went back to
the ironing-table. A handkerchief lay beside it—a dainty linen square
that she had left. He picked it up and held it before him by two
corners. From it there wafted a faint, sweet breath.
Fong Wu let it flutter to the floor. “The perfume of a plum petal,” he
said softly, in English; “the perfume of a plum petal.”
 YEE WING, POWDER-MAN
YEE CHU, wife of Yee Wing, sank low before her husband, resting
her clasped hands upon a knee. “Surely, Kwan-yin, the Merciful, has
thought me deserving,” she said, “for she has set me down in a
place where soft winds blow unceasingly.”
The Powder-man glanced out of the one window of their little home,
past the pot of ragged chrysanthemums and the white-and-brown
pug that held the sill. “I shall burn an offering to her,” he promised
gravely.
“It is so sweetly warm,” she continued, rising and standing at his
side; “though the new year is almost upon us. See, I have put off the
band of velvet that I wear upon my head of a winter, and changed to
these flower-bouquets. Esteemed, will it always be spring-time
here?”
Yee Wing’s face lost its expression of studied indifference. He let his
look rest upon her hair, blue-black, and held at each side by a cluster
of mock jewels; let it travel down to the young face,—a clear,
polished white except for deep-carmine touches on cheeks and
eyelids and on the lower lip of the pouting mouth—to the brown
eyes, whose charm was enhanced by a curious little wrinkle just
above the darkened brows, a petulant little wrinkle that changed with
each passing thought.
“Assuredly,” he answered. “In California, it is always spring-time,
Jasmine Blossom.”
Again she sank, bracelets clinking as her fingers met. “Just so it is
for a good while each year on the hills of Hupeh, where dwell my
illustrious pocket parents. From our hut, during the sunny days, we
looked across the tea fields upon groves of bamboo, feather-topped,
and rocking gently.”
She stumped to the open door, balancing herself with partly
outstretched arms. “Am I free to go forth to-day as yesterday?” she
inquired over a shoulder. “The green invites, and there be some
beautiful plants yonder, red as the face of the god of war. I can fill the
pottery jar.”
“Go,” he bade, “but not over far, lest you tire the two lilies of gold.”
She smiled back at him tenderly. “I spend my heart upon you,” she
said in farewell, and went balancing away.
Yee Wing watched her difficult progress across the grassy level that
divided the powder-house and his own habitation from Sather, the
solitary little railway station of the near-by line. “She has brought
tranquillity,” he murmured, “Where now are the five causes of
disquietude?” And he, too, smiled tenderly.
The week that followed, which was only the second of the girl-wife’s
residence in the new land, found the two supremely happy. They had
no visitors other than the superintendent from the works at Pinole,
and an expressman from Oakland, bearing an order for a keg of
explosive. Yee Wing enjoyed abundant leisure, and he spent it with
his bride. They puttered together about the dove-cotes behind the
square, black magazines; they shared the simple cares of their
single room; in a comradeship as strange to their kind as was the
civilisation in which they had come to live; they sallied forth like two
children, gathering the fragrant peony, pursuing the first butterflies.
But one morning there arrived a man of their own race. Yee Wing
was lolling upon a bench, playing with the white-and-brown pug. Yee
Chu, in purple trousers and cherry-hued jacket, was sitting upon a
stool, the gay, tinsel rosettes over each tiny ear bobbing merrily as
she finished a careful toilet. The white paste had been put on face
and throat and carefully smoothed. Now she was dyeing her long
nails and rouging her palms. Of a sudden, a shadow fell across the
doorway. The two looked up. Outside, staring in, was a Chinese, his
round, black, highbinder hat, silk blouse and dark-blue broadcloth
breeches proclaiming him above the coolie class.
“Stay within,” cautioned the Powder-man, in a low voice. He went out
hastily, and closed the door after him.
There passed between Yee Wing and his caller none of the
elaborate greetings that mark the meeting of two equals. The
strange Chinese gave the other a proud nod of the kind that is fit for
a foreign devil, and, with no evasiveness and something of the
bluntness that characterises the despised white, at once stated his
errand.
“I come from the most worthy Bazar-man, to whom you stand in debt
to the measure of twenty-five dollars,” he began. “I have to remind
you that to-morrow is New Year’s day. And for you the sun does not
rise unless the sum be paid.”
Yee Wing drew a startled breath. True, to-morrow would be New
Year’s Day! How had it come so near without his knowing? It found
him without what was due. His very “face”—that precious thing,
appearance—was threatened!
“I am from the South of the Heavenly Empire,” he made haste to
answer, catching, as it were, at a saving device. “I am a son of Tang,
therefore. Now, with us, there is a custom——”
Without explaining further, he took hold of a wooden button upon his
cotton blouse and pulled it loose. Then, with profound courtesy, he
tendered it to the Collector of Monies.
The latter received it with a courtesy that was feigned, withdrawing a
covert glance from the partly screened window. “A son of Tang,” he
repeated. “There be rich men in the South. Now, perhaps your
honoured father—” He paused inquiringly.
Yee Wing understood. In the land of the Son of Heaven, a father is
held strictly responsible for the obligations of a son. But—the
province of Kwangtung was far.
“My poor but excellent father was only a dealer in salt,” he said
gravely. “His mound is upon a desolate stretch beside the Yang-tse.”
To save any questions concerning other male members of the family,
—who also might be held accountable—he added, “I alone survive to
feed and clothe his spirit continuously.”
A baleful light shone in the slant, searching eyes, but the words of
the Collector of Monies were gracious enough. “Filial piety,” he
observed, “has first place among the virtues.” Then, with pompous
deprecation, “My humble parent is but a kouang-fou in the Customs
Service of Shanghai.”
Yee Wing lowered his own look in becoming deference. The son of a
civil officer carries power.
The stranger now gave a second nod and moved away,—not,
however, without again peering through the window; and soon,
seated on the dummy of an electric car, he was spinning out of sight
in the direction of Fruitvale.
Yee Wing watched him go, then hastily entered the house.
Fireworks, for the frightening away of evil spirits, might not be
exploded near the powder. So he sought for a tiny gong and beat it
roundly.
“I like not that man’s countenance,” he told Yee Chu. “Did you note
how he spied upon the place? He is of the sort that would steal food
like a dog.”
Saying which, the Powder-man beat his gong more loudly than
before, and burned at the entrance to his home handful upon handful
of propitiatory paper.

Tau Lot, Bazar-man, sat behind a little counter of polished ebony. His
were the calm, unmoved—and fat—face and the quick, shifting eye
of the born speculator; his, the smooth, long-nailed hands that do no
labor, and that were now toying with one of the Nine Classics. On his
head rested a tasseled cap. His jacket was of Shang-tung silk, dyed
purple. His breeches were of dark crape, tied down upon socks
spotlessly white. The shoes that rested upon the middle rung of his
stool were of velvet and embroidered.
The Dupont street shop was small, but it held a bewildering mass of
merchandise. Silk rolls, matting, bronzes, porcelain, brass, carved
furniture, lacquered ware, Chinese fans made in Japan, imported
purses worked within a stone’s throw of the store, devil masks, dolls
and gowns—gowns of brocade; gowns of plain silk, quilted in finest
lines and herring-bone rays and bordered with figured-ribbon bands;
gowns of embroidered satin,—mulberry-red wrought with sprigs and
circles of flowers, green, with gold thread tracings, black, with silver
cranes winging across. Yet though the store was small, and choked
to the lantern-hung ceiling, the clerks were many. Some were ranged
behind the row of shining glass cases, others lounged in a group
near the rear room entrance. There were honourable younger
brothers here, and honourable cousins, but not one of a different
blood. For Tau Lot thought well of the ancient proverb: When the fire
is lighted, all the family should be kept warm.
Outside the bazar was the tall, upright beckoning-board with its
heavy gold characters on a vermilion ground. A Chinese now halted
beside it, and glanced casually up and down the street. Then he
came through the door, examining a box of sandalwood just within
the entrance, leaning over some silk handkerchiefs at the counter-
end. Presently he advanced to the ebony counter.
“Your trifling servant salutes you, Illustrious,” he said.
The Bazar-man scowled. Two hours had he given up to business—
two hours of the three spent so daily. Soon he would return to the
dreams and sleep of the enslaving pipe. And what babble had Chow
Loo to say?
“Welcome,” he returned. “Too long you have deprived me of your
instructive speech.”
“My speech is but a breath in my neighbour’s face. Will the Most
Noble not lighten the hour with his voice?”
A party of women tourists came crowding in at that moment, picking
at everything not under cover, pulling at the hanging gowns on the
wall, stretching to see what was behind the cases. Tau Lot looked
them over,—there were five—mentally tagging them with price-
marks. The old woman was not worth her keep, the next younger
little more, the two thin ones perhaps four hundred——.
“But the round one,” said Chow Loo, keen to see what the Bazar-
man was thinking.
“Eight hundred, truly,” and the tasselled cap was gravely wagged.
“So I think, though her feet be as big as the feet of a Tartar woman.”
They surveyed the attractive young lady with the judgment of
merchants both.
“It nears the time for my going,” said Tau Lot, his Oriental dislike of
coming to the point in business overweighed by the dread of wasting
time that belonged to the pipe. “So what of the collect to-day?”
Chow Loo ran a hand into the pocket of his blue broadcloth
breeches. “From Berkeley, where I led my contemptible way,
eighteen dollars,—so much owed the washer of clothes. From
Oakland, six, and the vender of vegetables sends his lowly greeting.
But the Powder-man at Sather was as naked of coin as a robber.
See—here is only a button from his coat!”
“The debt is owed since the Ninth Moon.”
“So I said—Yes, the round one would be worth fully eight hundred.”
The attractive young lady had come closer, anxious for a near view
of the Bazar-man. A clerk accompanied her, advancing at the farther
side of the counter as she advanced, but taking no trouble to display
his wares.
“So I said,” repeated the Collector of Monies. Then, with a meaning
glance at the Bazar-man, for an honourable younger brother was at
the latter’s elbow. “But though he is so miserably poor, he grows a
rose,—one more beautiful than a man of his rank should have. In
your crowded garden is there room for another such?”
Instantly, Tau Lot’s slant eyes narrowed in their slits, his ponderous
body lost its attitude of indolence. He stepped down from his stool
with alacrity. “You will have a taste of steamed rice,” he said, “—rice
savoured with salt fish—and a cup of hot samschu at my despicable
board.” And he led the way to the rear room.
The Collector of Monies followed, and the two seated themselves at
a table, where a servant brought food and rice-wine. And here, nose
to nose, they chattered low, gesticulated, haggled.
“How far is it to Sather?” asked the Bazar-man.
“Near to thirty li. One can reach there in an hour.” The Collector of
Monies proudly displayed a large, nickel-plated watch.
“But still—the price is too high.”
“O Magnificent One! for a little-foot woman? Her dowry was at the
lowest fifty taels. Doubtless, that was what beggared him. She is
truly a picked beauty, a very pearl.”
“It is settled then. The half will be paid when the rose is plucked, the
second half when the filthy foreign police accept a commission and
promise no interference.”

At sundown, a few days later, the superintendent at Pinole heard the

bell of his telephone summoning him. The receiver at his ear, he
caught the petulant “Well, wait a minnit, can’t y’?” of the operator
and, punctuating it, a weak gasping, as if some one in agony were at
the distant transmitter.
“What is it?” demanded the superintendent. “This is Bingham.”
The gasping ceased. A choking voice answered him: “Yee Wing,
Mista Bingham. Say, my hab got sick bludder—oh, velly sick. Must
go San Flancisco heap quick. S’pose you likee, my can tell olo
Chinaman flom Flootvale. He come all light.”
“Yes, old Wah Lee, you mean.” The superintendent knew it would be
useless to try to learn the real cause of Yee Wing’s sudden going or
to attempt to stop him.
“Olo Wah Lee,” returned the Powder-man, eagerly. “Say, Mista
Bingham, I come back plitty soon. Jessie now, I wanchee know, I no
lose my job?”
“No, Wing, your job’s safe. You attend to that sick brother and get
back as soon as you can.”
“All light. Good-bye,” and the receiver was hung up.
In the morning, when the superintendent reached Sather, he found
Wah Lee on guard. The old Chinese substitute was stretched upon
an army cot by the dove-cotes, the white-and-brown pug beside him.
Yee Wing’s little home was locked. Bingham shaded his eyes and
looked in—upon the kitchen, dining and sleeping room in one. Cups
and bowls littered the table. Clothing was tossed here and there
upon the benches and floor. Each drawer of a high case against the
farthest wall had been jerked out and not replaced.
“Something’s up,” muttered the superintendent. “Well, I knew there’d
be trouble when that pretty little wife came. Wah Lee, what’s the
matter with Yee Wing?”
“No sabe,” declared the old man, and to every suggestion returned
the same reply.
That day, and the six that followed, found Yee Wing in San
Francisco, where he walked Chinatown continuously,—watching,
watching, watching. And as he travelled, he kept his right hand
tucked in his wide left sleeve, his left hand tucked in the right one.
His way led him always through squalid alleys; narrow, dark alleys,
where there were no shops, and no coolies going by with heavy
baskets swinging from their carrying-poles; but where, from tiny,
barred windows, the faces of young Chinese girls looked out—ivory-
yellow faces, wondering, wistful.
Before them, passing and repassing, his own face upturned, went
Yee Wing.
The slave women gazed down at him with little interest, their dull
eyes, their sullen mouths, bespeaking the spirit that is broken but still
resentful. He could not call to them, could not question, for among
them was surely a spy. He could only pass and repass. Then, to
another dark alley, with the same barred windows, the same wistful
faces. Enter one of these places, he dared not, if he hoped to live to
save her. The Sam Sings guarding the slave trade—those quick-
working knife-men who are as quick to get away from the “foreign