Planet Migration

Stephen H. Lubow
Space Telescope Science Institute

Shigeru Ida
Tokyo Institute of Technology

Planet migration is the process by which a planet’s orbital radius changes in time. The
main agent for causing planet migration is the gravitational interaction of a young planet with
the disk from which it forms. We describe the migration rates resulting from these interactions
based on a simple model for disk properties. These migration rates are higher than is reasonable
for planet survival. We discuss some proposed models for which the migration rates are lower.
The major uncertainties in migration rates are due to a lack of knowledge about the detailed
physical properties of disks. We also describe some additional forms of migration.

1. INTRODUCTION many giant planets with orbital radii substantially smaller

than Jupiter’s added to the evidence (e.g., Butler et al,
Planet formation occurs in disks of material that orbit
2006). Their existence suggested that migration had oc-
stars (see Chapter 19). At early stages of evolution, the
curred, since giant planet formation close to a star is not
disks are largely gaseous and have masses of typically a few
likely to occur (Bodenheimer et al, 2000; Ida & Lin, 2004).
percent or more of the stellar masses. At later times, after
In Section 2 we describe calculations of migration rates
several 106 y, the gas disperses and disks largely consist of
due to disk-planet interactions. Section 2.2 describes the
solid material. Such disks last for timescales of ∼ 108 y.
migration rate of a low mass planet interacting with a disk,
The interactions of a young planet with its surrounding disk
modeled simply as a set of ballistic particles. This model
affects the planet’s orbital energy and angular momentum.
assumes that disk structure is unaffected by the presence of
One consequence of such interactions is that a planet may
the planet, the so-called Type I regime of planet migration.
move radially through the disk (toward or away from the
This section describes the essential physics of the Type I
central star), a process called migration that is the topic of
migration torque and provides an estimate of the migration
this chapter. Although disks survive only a small fraction of
rate. This estimate reveals a problem with the shortness
the lifetime of the star and planet (∼ 1010 y), calculations of
of migration timescales. With such short timescales, it is
disk-planet interactions described in this chapter show them
difficult for cores of gas giants to form, which is appar-
to be strong enough to have caused substantial migration.
ently inconsistent with observationally inferred fraction of
Early theoretical studies of planet migration such as Gol-
stars having giant planets (& 10%). This disparity is one of
dreich & Tremaine, 1980 understandably concentrated on
the most serious problems in the standard planet formation
the role of migration for the planets in our solar system.
model that is based on core accretion. Sections 2.3 through
These studies suggested that there was substantial migration
2.7 describe improvements to the migration rate calcula-
of Jupiter while it was immersed in the solar nebula. Mi-
tion in Section 2.2, such as accounting for the effects of gas
gration should have occurred both at Jupiter’s early stages
pressure. A reader interested in the the essential basics of
of formation when it was a solid core and at later stages
migration could skip Sections 2.3-2.5. Sections 2.2-2.6 as-
when it was a fully developed gas giant planet interacting
sume that the disk structure is unaffected by the presence of
with the solar nebula. However, the evidence for migra-
the planet. Section 2.7 describes effects of the back reaction
tion was not apparent. The location of Jupiter is just out-
of the disk due to the presence of a higher mass planet. The
side the snow-line, where conditions for rapid core forma-
back reaction can lead to the formation of a gap in the disk,
tion are most favorable. This situation seemed to suggest
resulting in a different form of migration called Type II mi-
that Jupiter formed and remained near its current location.
gration. Section 3 describes some of the outstanding ques-
Therefore, a plausible conclusion was that migration did
tions in planet migration theory. Section 3 also describes
not play an important role for Jupiter and therefore perhaps
some other forms of migration.
for all planets. The situation for Jupiter currently remains
somewhat of a puzzle. 2. Migration Rates Due To Disk-Planet Interactions
Evidence for the importance of migration changed dra-
matically in 1995 with the discovery of the first giant planet, 2.1 Aerodynamic Gas Drag
51 Peg b, that has an orbital period of only about 4 days
(Mayor and Queloz, 1995). Subsequent discoveries of Aerodynamic gas drag provides the dominant influence

1
on the orbital evolution of low mass solids embedded in a
gaseous disk that orbits a star (Weidenschilling, 1977; Cuzzi
& Weidenschilling, 2006). The gas is subject to a radial
pressure force, in addition to the gravitational force of the
star. For a disk with smooth structural variations in radius,
this force induces slight departures from Keplerian speeds
of order (H/r)2 Ωr, where H is the disk thickness and Ω is
the angular speed of the disk at radius r from the star. For a
thin disk (H ≪ r) whose pressure declines in radius, as is
typically expected, the pressure force acts radially outward.
The gas rotation rate required to achieve centrifugal bal-
ance is then slightly below the Keplerian rate. Sufficiently
high mass solids are largely dynamically decoupled from
the gas and orbit at nearly the Keplerian rate, but are sub-
ject to drag forces from the more slowly rotating gas. The
drag leads to their orbit decay. Both the drag force and the
inertia increase with the size of the solid, R. The drag force
on the object increases with its area (∼ R2 ), while its iner-
tia increases with its volume (∼ R3 ). In the high mass solid
regime, the dominance of inertia over drag causes the or-
bital decay rate to decrease with object size as 1/R or with
object mass as 1/M 1/3 .
As we will see in the next section, the orbital migration
rate due to gravitational interactions between an object and
a disk increases with the mass of the object. There is then
a cross-over mass above which the orbital changes due to
disk gravitational forces dominates over those due to drag
forces. For typical parameters, this value is much less than
an Earth mass, 1M⊕ . Consequently, for the purposes of
planet migration, we will ignore the effects of aerodynamic
gas drag.
2.2 Ballistic Particle Model
As an initial description of gravitational disk-planet in-
teractions, we consider the disk to consist of noninteracting
particles, each having mass M much less than the mass of
the planet Mp . The description is along the lines of Lin
& Papaloizou, 1979. The particles are considered to en-
counter and pass by the planet that is on a fixed circular
orbit of radius rp about the star of mass Ms . As a result
of the interaction, the planet and disk exchange energy and
angular momentum. This situation is a special case of the
famous three-body problem in celestial mechanics.
The tidal or Hill radius of the planet where planetary
gravitational forces dominate over stellar and centrifugal
forces is given by

Mp
1/3
RH = rp , (1)
3Ms
where radius RH is measured from the center of the planet.
1 We are applying the so-called impulse approximation. The approxima-
Consider a particle that approaches the planet on a circular
orbit about the star with orbital radius radius r sufficiently
different from rp to allow it to freely pass by the planet with
a small deflection. This condition requires that the closest
approach between the particle and planet ∼ |r − rp | to be
2
somewhat greater than a few times RH . The solid line in
Fig. 1 shows the path of a particle deflected by a planet
whose mass is 10−6 Ms , Hill radius RH ≃ 0.007rp , and
orbital separation r − rp ≃ 3.5RH . The planet and particle
orbit counter-clockwise in the inertial frame with angular
speeds Ωp and Ω(r), respectively. In the frame of the planet,
the particle moves downward in the figure, since its angular
speed is slower than that of the planet (Ω(r) < Ωp for r >
rp ).
To estimate the angular momentum change of a parti-
cle like that in Fig. 1, we consider a Cartesian coordinate
system centered on the planet. The x axis lies along a line
between the star and planet and points away from the star.
The dashed line in Fig. 1 traces the path that the patricle
would take in the absence of the planet, while the solid line
shows the path in the presence of the planet. In both cases,
the particle path is generally along the negative y direction.
The two paths are nearly identical prior to the encounter
with the planet (for y > 0). In that case, the particle veloc-
ity in the frame that corotates with the planet is then given
by
dΩ 3
u ≃ r(Ω(r) − Ωp )ey ≃ x rp e y ≃ − Ωp x e y . (2)
dr 2
Upon interaction with the planet, the particle is deflected
slightly toward it. The particle of mass M experiences
a force Fx = −GM Mp x/(x2 + y(t)2 )3/2 . This force
dominantly acts over a time t when |y(t)| . |x| and is
Fx ∼ −GM Mp /x2 . From equation (2), it follows that the
encounter time ∆t ∼ |x/u| ∼ 1/Ωp , of order the orbital
period of the planet, independent of x. As a result of the
encounter, the particle acquires an x velocity
Fx ∆t GMp
ux ∼ ∼− 2 . (3)
M x Ωp
The particle is then deflected by an angle
   3
ux Mp rp 3 RH
δ∼ ∼ ∼ (4)
u Ms x x
after the encounter (see Fig. 1).
To determine the change in angular momentum of the
particle, we need to determine its change in velocity along
the θ direction, that is the same as the y direction near the
planet. To determine this velocity change, ∆uy , we ignore
the effects of the star during the encounter and apply conser-
vation of kinetic energy between the start and end of the en-
counter in the frame of the planet. The velocity magnitude u
is then the same before and after the encounter, although the
direction changes by angle δ.1 Since the particle in Fig. 1
tion involves the assumption that the duration of the interaction is much
shorter than the orbital period and is only marginally satisfied here. Con-
sequently, the expressions for deflection angle δ and the torque T cannot
be determined with high accuracy in this approximation. They contain the
proper dependences on various physical quantities. But the approximation
moves in the negative y direction, its pre-encounter y ve-
locity is −u and its post-encounter y velocity is −u cos δ.
We then have that the change of the velocity of the particle
along the y direction is
∆uy = −u cos δ + u,
where u ∼ Ωp x is the velocity before the encounter (see
equation (2)). We assume that the perturbation is weak,
δ << 1, and obtain from equations (2), (4), and (5)

Mp
2  
rp 5
∆uy ∼ u δ 2 ∼ rp Ωp . (6)
Ms x
It then follows that the change in angular momentum of the
particle is given by
 2  
Mp rp 5
∆J ∼ M rp ∆uy ∼ M rp2 Ωp . (7)
Ms x friction. The particle gains (loses) angular momentum if it
Fig. 2 plots the particle orbital radius as a function of
time for the particle plotted in Fig. 1, where t = 0 is the
time of closest approach to the planet. Notice that after the
encounter, the particle orbit acquires an eccentricity, as seen
by the radial oscillations, and an increased angular momen-
tum, as seen by the mean shift of the radius for the oscilla-
tions.
Fig. 3 plots the torque on a particle due to the planet as
a function of time. The solid curves are for particles that
follow their actual paths (similar to the solid line in Fig. 1).
The dashed curves are for particles that are made to follow
the unperturbed paths (similar to the dashed line in Fig. 1).
The net angular momentum change is the time-integrated
torque. The torque of a particle along an unperturbed path
(such as the dashed curve in Fig. 1) is antisymmetric in the
time t. Consequently, there is no net change in angular mo-
mentum accumulated along this path. The change in angu-
lar momentum along the unperturbed path from t = −∞ to
t = 0 is linear in the planet mass, since the force due to the
planet is proportional to its mass. The departures from anti-
symmetry of the torque versus time result in the net angular
momentum change. These departures are a consequence of
the path deflection (solid curve in Fig. 1). For the case of
the closer encounter plotted in the top panel, the departures
from the unperturbed case are substantial. But for a slightly
larger orbit (bottom panel), the torque along the perturbed
path differs only slightly from the torque along the unper-
turbed path that integrates to zero. This behavior is a con-
sequence of the steep decline of ∆J with x in equation (7).
For x greater than a few RH , the angular momentum change
acquired before the encounter is nearly completely canceled
by the angular momentum change at later times t > 0. The
net angular momentum change is given by equation (7) and
is quadratic in the planet mass. The quadratic dependence
does not lead to the correct dimensionless numerical coefficients of pro-
portionality for these quantities. An exact treatment of the particle torque
in the limit of weak perturbations exerted by a small mass planet is given
in Goldreich & Tremaine, 1982.
on Mp is a consequence of the deviations in torque between
the perturbed and the unperturbed paths, since the angu-
lar momentum change along the unperturbed path is zero.
These deviations involve the product of the linear depen-
dence of the force on planet mass with the linear depen-
(5) dence of the path deflection on planet mass (equation (4))
and so are quadratic in Mp .
As indicated by equation (7), the particle in Fig. 1 gains
angular momentum. The reason is that the path deflection
occurs mainly after the particle passes the planet, that is for
y < 0. The planet then pulls the particle toward positive
y, causing it to gain angular momentum. Just the opposite
would happen for a particle with r < rp , for x < 0 in equa-
tion (7). The particle would approach the planet in the pos-
itive y direction, be deflected towards the planet for y > 0,
and be pulled by the planet in the negative y direction, caus-
ing it to lose angular momentum. This process behaves like
moves slower (faster) than the planet. The angular momen-
tum then flows outward as a result of the interactions. That
is, for dΩ/dr < 0 as in the Keplerian case, a particle whose
orbit lies interior to the planet gives angular momentum to
the planet, since the planet has a lower angular speed than
the particle. The planet in turn gives angular momentum to
a particle whose orbit lies exterior to it.
Fig. 4 shows the results of numerical tests of equation
(7). It verifies the dependence of ∆J on x/rp and Mp /Ms .
Departures of the expected dependences (solid lines) occur
when x ≃ 3RH . At somewhat smaller values of x, the
particle orbits do not pass smoothly by the planet.
We now apply equation (7) to determine the torque on
the planet for a set of particles that form a continuous disk
with surface density Σ that we take to be constant in the
region near the planet. The particle disk provides a flux of
mass past the planet between x and x + dx
dṀ ∼ uy Σ dx ∼ Σ Ωp x dx. (8)
We evaluate the torque Tout on the planet due to disk
material that extends outside the orbit of the planet from
r = rp + ∆r to ∞ or x from ∆r to ∞, where ∆r > 0.
We use the fact that the torque the planet exerts on the disk
is equal and opposite to the torque the disk exerts on the
planet. We then have
∞
∆J dṀ
Z
Tout ∼ − dx, (9)
∆r M dx

Mp
2 
rp 3
4 2
Tout = −CT Σrp Ωp , (10)
Ms ∆r
where CT is a dimensionless positive constant of order
unity. The torque on the planet due to the disk interior to
the orbit of the planet from x = −∞ to x = ∆r with
∆r < 0 evaluates to Tin = −Tout or
 2  3
2 4 Mp rp
Tin = CT ΣΩp rp . (11)
Ms |∆r|
3
 The equations of motion for particles subject only to
gravitational forces are time-reversible. If we time-reverse
the particle-planet encounter in Fig. 1, we see that the ec-
centric orbit particle would approach the planet (both on
clockwise orbits) and then lose angular momentum (apply
t → −t in Fig. 2). What determines whether a disk particle
gains or loses angular momentum? We have assumed that
the particles always approach the perturber on circular or-
bits. The particles in the disk re-encounter the planet on the
synodic period, of order rp /x planetary orbital periods. But
we saw in Fig. 2 that the particles acquire eccentricity after
the encounter. For this model to be physically consistent,
we require that this eccentricity damp on the synodic pe-
riod. The eccentricity damping produces an arrow of time
for the angular momentum exchange process that favors cir-
cular orbits ahead of the encounter as shown in Fig. 1, re-
sulting in a gain of angular momentum for particles with
r > rp .
Equations (10) and (11) have important consequences.
The torques on the planet arising from the inner and outer
disks are quite powerful and oppose each other. This does
not mean that the net torque on the planet is zero because
we have assumed perfect symmetry across r = rp . The
symmetry is broken by higher order considerations, such
as the radial density gradient. For this reason, migration
torques are often referred to as differential torques.
Since the torques are singular in ∆r, they are domi-
nated by material that comes close to the planet. Conse-
quently, the asymmetries occur through differences in phys-
ical quantities at radial distances ∆r from the planet. Con-
sider for example the effect of the density variation in radius
that we have ignored up to this point. If we expand the disk
density in a Taylor expansion about the orbit of the planet,
we have that
dΣ
Σout − Σin ≃ 2∆r , (12)
dr
where Σin and Σout are the surface densities at r = rp −
∆r and r = rp + ∆r, respectively. Consequently, for
|dΣ/dr| ∼ Σp /rp , we expect that the sum of the inner and
outer torques to be smaller than their individual values by
an amount of order ∆r/rp . Similar considerations apply to
variations in other quantities. That is, we have that the abso-
lute value of the net torque T on the planet is approximately
given by
|T | = |Tin + Tout |, (13)
|∆r|
∼ |Tin | , (14)
rp

Mp
2 
rp
2
2 4
∼ ΣΩp rp . (15)
Ms |∆r|
Equation (15) must break down for small ∆r, in order
to yield a finite result. For values of |∆r| . 3RH , the
particles become trapped in closed orbits in the so-called
coorbital region (see Fig. 9). We exclude this region from
current considerations, since the torque derivation we con-
sidered here does not apply in this region. In particular, the
4
assumption that particles pass by the planet with little de-
flection is invalid in this region. Using equation (15) with
|∆r| ∼ RH , we obtain a torque
 4/3
2 4 Mp
|T | ∼ ΣΩp rp . (16)
Ms
Another limit on ∆r comes about due to gas pressure.
We have not yet described gas pressure effects, but will do
so in Sections 2.4 and 2.5. One effect of gas pressure is to
cause the disk to have a nonzero thickness H. The gas den-
sity is then smeared over distance H out of the orbit plane.
Near the planet, the gas gravitational effects are smoothed
over distance H. Distance ∆r is then in effect limited to H.
The torque is then estimated as

Mp
2  
rp 2
|T | ∼ ΣΩ2p rp4 . (17)
Ms H
Which form of the torque applies (equation (16) or (17))
to a particular system depends on the importance of gas
pressure. We expect equation (16) to be applicable in the
case that H < RH and equation (17) to be applicable oth-
erwise. For typically expected conditions in gaseous proto-
stellar disks, it turns out that equation (17) is the relevant
one for planets undergoing (nongap) Type I migration. The
migration rate T /Jp with planet angular momentum Jp is
then linear in planet mass, since T is quadratic while Jp
is linear in planet mass. Therefore, the Type I migration
rate increases with planet mass, as asserted in Section 2.1.
This somewhat surprising result that more massive planets
migrate faster is in turn a consequence of quadratic varia-
tion of ∆J with planet mass in equation (7). This quadratic
dependence occurs because the possible linear dependence
of ∆J on planet mass vanishes due to the antisymmetry of
the torque as a function of time along the unperturbed par-
ticle path, as discussed in the second paragraph following
equation (7).
Based on equation (17) with typical parameters for
the minimum mass solar nebula at rp = 5AU (Σ =
150 g/cm2, Ω = 1.8 × 10−8 s−1 , and H = 0.05rp ), we
estimate the planetary migration timescale Jp /T for a plan-
etary core of mass Mp = 10M⊕ embedded in a minimum
mass solar nebula at 5AU as 4 × 105 y. This timescale is
short compared to the disk lifetime, estimated as several
106 y or the Jupiter formation timescale of & 106 y in the
core accretion model. The relative shortness of the mi-
gration timescale is a major issue for understanding planet
formation. Since the migration is generally found to be in-
ward, as we will see later, the timescale disparity suggests
that a planetary core will fall into the central star before it
develops into a gas giant planet. Research on planet migra-
tion has concentrated on including additional effects such
as gas pressure and improving the migration rates by means
of both analytic theory and multi-dimensional simulations.
A more detailed analysis reveals that the torque in equa-
tion (17) does provide a reasonable estimate for migration
rates in gaseous disks in the so-called Type I regime in
which a planet does not open a gap in the disk. The model purposes of describing waves in this section, we will ignore
provides considerable physical insight, but is crude. In fact, viscous forces, as well as gas self-gravity.
it does not specify whether the migration is inward or out- We now consider the linear departures from the unper-
ward (i.e., whether T is negative or positive). The density turbed state consisting of an axisymmetric disk that orbits
asymmetry about r = rp (see equation (12)) typically in- the central star. The planet is taken to be on a circular orbit
volves a higher density at smaller r, as in the case of the about the star. We express these perturbations as complex
minimum mass solar nebula. This variation suggests that quantities for which it is implicit that the real part should be
torques from the inner disk dominate, implying outward mi- taken. We consider a Fourier decomposition of the gravita-
gration, as was thought to be the case in early studies. But tional potential in angle and time given by
this conclusion is incorrect. As we will see in Section 2.4, X
inward migration is typically favored. We have not included Φ(r, θ, t) = Φm (r) exp [im(θ − Ωp t)], (22)
the effects of gas pressure in a proper way. A disk with gas m
pressure propagates density waves launched by the planet.
where m is a nonnegative integer, Φm is real, and Ωp is
The analysis has only considered effects of material that
the orbital frequency of the planet. Physical quantities are
passes by the planet. In addition, there are effects from ma-
expressed as
terial that lies closer to the orbit of the planet. It is trapped
in librating orbits of the coorbital region (see Fig. 9). This Σ(r, θ, t) =
X
Σm (r) exp [i(m(θ − Ωp t)], (23)
region can also provide torques. We have also assumed that m
the disk density is undisturbed by presence of the planet. X
Feedback effects of the disk disturbances and gaps in the u(r, θ, t) = um (r)exp[im(θ − Ωp t)], (24)
m
disk can have an important influence on migration. Finally, X
there are other physical effects such as disk turbulence that v(r, θ, t) = vm (r)exp[im(θ − Ωp t)], (25)
should be considered. m
X
p(r, θ, t) = pm (r)exp[im(θ − Ωp t)]. (26)
2.3 Waves in 2D Gas Disks m

In this section and the next section, we improve the par- We assume here that in lowest order the axisymmetric den-
ticle disk description of the migration torque by consider- sity component Σ0 (r) is equal to the unperturbed disk den-
ing a fluid disk, along the lines of Goldreich & Tremaine, sity. That is, the presence of the planet does not substan-
1979, 1980 and Meyer-Vernet & Sicardy, 1987 (see also tially Σ0 . We return to this point in Section 2.7. We also
Shu, 1991). A fluid disk introduces some additional physi- assume that in the lowest order the axisymmetric azimuthal
cal effects. Unlike free particle orbits, disk fluid streamlines velocity v0 is equal to the Keplerian speed ΩK (r)r. Pres-
cannot cross each other. Tidal disturbances in a fluid disk sure pm is assumed to involve an imposed axisymmetric
generally result in the propagation of waves, often referred locally isothermal (density independent) temperature varia-
to as density waves. tion. We then have that
The disk is taken to be thin so that its thickness
pm (r) = c2 (r)Σm (r). (27)
c
H= ≪ r, (18)
Ω Such a temperature variation arises in the case of an opti-
where c is the gas sound speed. We model the disk as cally thin disk that is heated by a central star. This tempera-
two-dimensional and utilize a cylindrical coordinate system ture distribution corresponds to a gas sound speed described
(r, θ) centered on the star. The disk has a density distribu- as c(r).
tion Σ and velocity field (u, v). The equations for mass For each m > 1, the linearized forms of equations (19) -
conservation, radial, and azimuthal force balance in the in- (21) are
ertial frame are d(rum Σ0 ) imvm Σ0
−iω̂Σm + + = 0, (28)
∂Σ ∂(ruΣ) ∂(vΣ) rdr r
+ + = 0, (19)
∂t r∂r r∂θ 1 dpm dΦm
−iω̂um − 2Ωvm = − − , (29)
∂u ∂u v ∂u v 2 1 ∂p ∂Φ Σ0 dr dr
+u + − =− + fvr − , (20)
∂t ∂r r ∂θ r Σ ∂r ∂r and
impm imΦm
and −iω̂vm + 2Bum = − − , (30)
rΣ0 r
∂v ∂v v ∂v uv 1 ∂p ∂Φ
+u + + =− + fvθ − , (21) where ω̂ = m(Ωp − Ω) is the Doppler shifted frequency,
∂t ∂r r ∂θ r rΣ ∂θ r∂θ B(r) = Ω+1/2r(dΩ/dr). For a Keplerian disk, B = Ω/4.
where Φ is the gravitational potential due to the star and We seek solutions to equations (28) - (30) by applying
planet, p is the gas pressure, and fv is the viscous force per the WKB or tight-winding approximation. The approxima-
unit disk mass to model the effects of turbulence. For the tion is that perturbed quantities vary much more rapidly in

5
 the radial direction than in the azimuthal direction. We re- (OLR). The ILR occurs for r < rp and the OLR for r > rp .
gard azimuthal wavenumber m to be of order unity. The For a Keplerian disk, the turning point locations rm are de-
approximation is that |dym /dr| ≫ m |ym |/r, where ym is termined by
Σm , um , vm , or pm . From eqs (29) and (30) it follows that mΩp
ΩK (rm ) = (37)
|um | ∼ |vm |. Under these approximations, equations (28) - m∓1
(30) simplify in lowest order to or  2/3
m∓1
dum rm = rp . (38)
−iω̂Σm + Σ0 = 0, (31) m
dr
Fig. 6 plots rm as a function of m with lighter dots. For
i(κ2 − ω̂ 2 ) c2 dΣm dΦm 2mΩΦm large m, the resonances approach the orbital radius of the
um = − − + , (32)
ω̂ Σ0 dr dr ω̂r planet, |rm − rp | ∼ 2rp /(3m).
where equation (32) resulted from combining equations The sign of kr determines the direction of wave propa-
(29) and (30). gation. The radial group velocity of these waves is given
If we ignore the driving terms involving Φm in the above by
equations, we determine the behavior of free waves having dω̂
frequency mΩp . We express cg = , (39)
dkr
kr c2
Z r
ym (r) = ym exp [i kr (r′ )dr′ ], (33) = . (40)
ω̂

where ym is um or Σm , kr (r) is the radial wavenumber,
and ym on the right-hand side is taken to be constant. We
assume |kr |r ≫ m (tight-winding approximation) and ap-
ply equation (33) in equations (31) and (32) with Φm = 0.
We then obtain the following dispersion relation
ω̂ 2 − κ2 = kr2 c2 , (34)
where κ is the epicyclic oscillation frequency defined by
κ2 = (1/r3 )(dr4 Ω2 /dr) = 4BΩ. For a Keplerian
disk, κ = Ω. The dispersion relation determines radial
wavenumber kr (r) as a function of frequency ω̂(r). The
dispersion relation describes sound waves that are modified
by the presence of rotation and shear.
Dispersion relation (34) shows that the waves are prop-
agating (kr is real) for |ω̂| > κ and evanescent otherwise.
Equation (34) tells us that kr ∼ Ω/c ∼ H −1 for m of order
unity.2 Therefore, the WKB approximation, kr rp ≫ m,
then requires that H ≪ rp , as stated in equation (18). That
is, the disk is thin and the gas is cold. For a given m, each
radius where
kr (rm ) = 0 (35)
is a radial wave turning point. The wave turning points
coincide the locations of resonances, called Lindblad res-
onances. The turning points (or resonances) occur for
ω̂ = ∓κ, (36)
where we follow the notation throughout that the upper
sign denotes the condition for the inner Lindblad resonance
(ILR) and the lower sign for the outer Lindblad resonance
2 Since
the radial wavelength is comparable to the disk thickness, 3D effects
may be important. If the waves have a locally isothermal equation of state,
the 2D assumption is valid. But if not, e.g., they are adiabatic or if the disk
temperature varies with height from the orbit plane, then the waves have a
3D character (Lubow & Pringle, 1993; Lubow & Ogilvie, 1998). In such
cases, the wave propagation and damping properties are quite different.
Since ω̂ is negative for an ILR and positive for an OLR,
it then follows that for kr > 0, the waves propagate away
from the orbit of the planet (cg < 0 at an ILR and cg > 0 at
an OLR). Such waves also have the property that they are
”trailing”. That is, their wave fronts bend towards negative
θ with increasing r (see Fig. 5). Along a path of constant
wave phase kr ∆r + m∆θ = 0, so dθ/dr = −kr r/m < 0
for kr > 0. Leading waves have the opposite properties:
they have kr < 0 and propagate towards the orbit of the
planet.
Up to this point we have disregarded the effects of the
driving by the potential Φm . The key physical point is that
the propagating waves generally do not interact with the po-
tential because their wavelengths are short compared to the
radial variations of the potential. To see this, consider the
tidal torque per unit disk radius on the disk
2π
dTd ∂Φ
Z
(r) = −r Σ(r, θ) dθ, (41)
dr 0 ∂θ
X
= iπr m Σm (r) Φm (r), (42)
m
X dTm
= (r), (43)
dr
m
where we applied equations (22) and (23) in going from
equation (41) to (42) and used the fact that Φm is real. It is
implicit that the real part of equation (42) should be taken.
Each term in the sum involves the product Σm Φm . But
in the wave propagating region, Σm (r) is rapidly varying in
radius for a cold disk, since |kr |r ≫ 1, while Φm (r) is non-
oscillatory and varies more slowly in r. Consequently, over
a finite radial interval δr ≫ 2π/|kr | in the wave propagat-
R r+δr
ing region, the net torque r (dTm /dr′ ) dr′ is in some
sense small. However, near the Lindblad resonance, where
kr is small (see eq (35)), the radial oscillations are not rapid
and this integral develops a more substantial contribution.

6
We then expect that torques develop near r = rm that we xAi(x) = 0 and Airy function Gi(x) satisfies Gi′′ (x) −
evaluate below. xGi(x) = 1/π. These functions are described in Abramow-
We determine the solution for equations (28) - (30) in icz & Stegun, 1972.
the vicinity of the resonance located at radius rm , where
equation (35) is satisfied, by applying a Taylor expansion 2.3 Lindblad Torques
about r = rm
κ2 − ω̂ 2 ≃ Dm x, (44) To determine the torque on the disk for a given m, we
2 2 apply the equation of mass conservation (28) and eliminate
where x = (r − rm )/rm and Dm = rd(κ − ω̂ )/dr
vm by equation (48), to express Σm near the resonance in
evaluated at r = rm . For a Keplerian disk, using Ω = κ
terms of um as
and equation (37), we have Dm = ±3mΩ(rm )Ωp =
±3m2 Ω2p /(m ∓ 1).
 
i d(rum Σ0 ) mum κΣ0
We reconsider equations (31) and (32) to find a solution Σm (r) = − ∓ . (53)
ω̂ rdr 2Ωr
for driven waves that this valid near a Lindblad resonance.
We eliminate Σm in favor of um , again apply the approxi- We then obtain from equations (41) - (43) that
mation |dΣm /dr| ≫ m|Σm |/r together with equation (44)
dTm
Z
to obtain that Tm = (r)dr, (54)
dr
2 2
c d um iκ(rm )Ψm (rm ) Z
2 dx2
− um Dm x = , (45) = iπm rΣm (r)Φm (r)dr, (55)
rm rm
Σ0 Ψ m
Z
where = πm um dr, (56)
2mΩ dΦm κ
Ψm = Φm ± r . (46)
κ dr
where the integrals extend over all r. Equation (56) is ob-
The left-hand side of equation (45) can readily be seen to be
tained from equation (55) by applying the expression for
equivalent to the dispersion relation equation (34) by recog-
Σm given by equation (53), integrating by parts, and drop-
nizing d/dx → ikr rm and Dm x → κ2 − ω̂ 2 . The right-
ping the surface term. We used the fact that ω̂ 2 = κ2 near
hand side introduces the forcing. In addition, from equation
the resonance and applied Ψm given by equation (46). If we
(29) and (30), it follows from solving for um and vm near
assume Σ0 , Ψm , Ω, and κ are nearly constant in the region
the resonance that
near the resonance, we obtain from equations (50) and (56)
2iBum that
vm = ± (47)
κ
π 2 mΣΨ2m ∞
Z
iκum Tm = − Ai(±x/w)dx, (57)
= ± . (48) Dm w −∞
2Ω
π 2 mΣΨ2m
We seek solutions with the property that the waves prop- Tm = − . (58)
Dm
agate away from and not towards a resonance. That is, we
impose a causality condition that waves are emitted from a Fig. 7 shows that the torque contributions to the integral in
resonance. These waves behave as trailing waves far from equation (57) come from a radial region of order wrp ≪ rp .
the resonance, as we saw in equation (40). That is, we re- There is no dissipation in this model. One might ex-
quire pect the system to be time-reversible, so that the net torque
on the planet is zero. But, we have imposed an arrow of
d log um (r) time by the causality condition (49) that waves are only
kr (r) = −i >0 (49)
dr emitted at the resonance, implying that only trailing waves
in the wave propagating region away from the resonance. are present. In a dissipationless system of finite size, the
The solution with these properties is trailing waves would reflect at the disk center and outer
 x  x edge as leading waves that propagate back to the resonance
um = Cm [Ai ± ± i Gi ± ], (50) (Fig. 5). These waves would cancel the torque from the
w w trailing waves, resulting in a zero net torque. Consequently,
with the model implicitly assumes some dissipation somewhere
c2 in the disk prevents leading waves from returning to the res-
w3 = 2 |D |
(51) onance. Dissipation is needed for gas to produce a torque,
rm m
as it was needed in the case of ballistic particles in Section
and 2.2.
πκΨm
Cm = − , (52) For a given m value there are ILR and OLR contributions
rm Dm w
from the gas interior and exterior to the orbit of the planet,
where again the upper (lower) signs refer to inner (outer) respectively. We denote these contributions with subscripts
Lindblad resonances. Airy function Ai(x) satisfies Ai′′ (x)−

7
in and out. The torque on the planet T is minus the sum of not get arbitrarily close to the planet with increasing m, as
the torques on the disk indicated in Fig. 6. As a consequence, Ψm does not diverge
X as m goes to infinity, as seen in Fig. 8. Instead, it decays
T = −Td = − (Tm,in + Tm,out ). (59) exponentially for m & rp /c and the total torque T is fi-
m nite. 3D effects due to the disk thickness produce a similar
drop-off. This means that m is effectively limited to
Tm,in is Tm evaluated at the ILR and similarly Tm,out is Tm
evaluated at the OLR. Ωp rp r
Since Dm > 0 at the ILRs, the torques given by equation m . mcr = = . (62)
c H
(58) on the planet due to the inner disk, −Tm,in, are posi-
tive, i.e, outward. The direction changes to inward for the This critical value mcr is referred to as the torque cutoff.
outer disk containing OLRs, since Dm < 0. This behavior The m limit implies that the contributing resonances come
is the same as we found for particle disks. Notice that the from a region no closer to the planet than |∆r| ∼ H, as we
resonant torque T has a similar form to the particle torques applied in our torque estimate equation (17).
in equations (10) and (11). Both depend on the square of
2.4 Differential Lindblad Torques
the planet mass Mp (equation (58) involves Ψ2m that de-
pends on Mp2 ). For a Keplerian disk, it can be shown that
In this section, we describe the net torque on the planet
the correspondence between the particle torque and the gas
that results from the effects of the opposing torque contri-
torque on the planet is nearly exact. Notice that gas torque
butions from the ILRs and OLRs, along the lines of Ward,
is independent of the gas sound speed in the Keplerian case,
1997. A more rigorous and complete way to determine the
since Tm in equation (58) has that property. However, the
torque involves considering the equations of motion in 3D
resonance description for the gas disk torques is more pre-
and improving the validity of the equations near r = rp . In
cise than the particle description and allows us to include
this section, we will describe the main qualitative features
the nonKeplerian effects due to gas pressure. In this way,
of the torque that remain valid when more accurate treat-
the sign and magnitude of the net torque can be determined.
ments are applied.
For large m, the resonances lie close to the planet (light
We now describe the main reason why planets migrate
dots in Figs. 6 and 8) and the torque T becomes singular.
inward. At the same distance d > 0 inside and outside the
The singularity is mainly due to the Ψ2m factor in equation
orbit of the planet, quantity Ψ2m (rp + d) outside the planet
(58) (m/Dm is nearly independent of m). This singularity
orbit is slightly larger than Ψ2m (rp − d) inside. This asym-
is related to the ones we encountered for Tout and Tin in
metry is due to the circular geometry of the orbit. Quantity
equations (10) and (11), since m ∼ 1/∆r. Since the physi-
Ψm , defined in equation (46), contains a linear combina-
cal torque cannot be infinite, something must be wrong with
tion of radial and azimuthal derivatives of the gravitational
our description. One issue is that we have approximated
potential Φm that are multiplied by radius r. It is the mul-
the disk as being two-dimensional. A 3D disk would have
tiplication by r that causes Ψ2m (rp + d) > Ψ2m (rp − d).
thickness H = c/Ω. Within a radial distance ∆r = r − rp
In addition, the resonance radius rm at the OLR is slightly
of order H, we expect this description to break down, since
closer to the planet orbital radius rp than is rm at the ILR.
the gas will be spread away from the planet in the direction
This effect further strengthens torques at OLRs. It can also
perpendicular to the orbit plane. There is, however, another −1
be seen that the effects of factor Dm favor the Tm,out over
effect that yields a finite torque in the large m limit for a
Tm,in . As a result, inward planet migration is the suggested
2D disk. The dispersion relation (34) can be shown to have
outcome.
corrections due to azimuthal wave propagation. This ”ex-
These geometric effects are called curvature effects.
tended” WKB approximation involves the replacement of
They are of course not the only influences on the torque. In
kr2 → kr2 + kθ2 , where kθ2 = m2 c2 /r2 (Artymowicz, 1993a).
the remainder of this section, we will more fully describe
We then have that
various effects on migration.
m 2 c2 We consider a simplified disk model in which c(r) is
ω̂ 2 − κ2 = kr2 c2 + . (60) taken to be constant in radius and the unperturbed density
r2
distribution is taken to be a power law in radius with con-
Recall that the site of wave excitation occurs where the stant β defined by
wavelength is relatively large, equation (35). For large m,
the wave turning point (where kr (rm ) = 0) in equation (60) Σ0 (r) ∝ r−β . (63)
becomes ω̂ = ∓mc/rp , since |ω̂| ≫ κ. For a Keplerian
disk, we have We consider some contributions to the gas disk rotation rate
c Ω2 = Ω2K + Ω2pr + Ω2pg , (64)
∆rm = rm − rp ∼ ∓ ∼ ∓H, (61)
rp
which are respectively due to the gravity of the star (Ke-
for large m. So unlike the case of the standard WKB ap- plerian rotation), the axisymmetric component of the disk
proximation (equations (34) and (36)), the resonances do pressure force, and the axisymmetric component of planet

8
 gravity. The effects of disk self-gravity are ignored. The and
planet and disk are subject to nearly the same axisymmetric 1 m2 β
∆rm,2 = − − − , (74)
gravitational forces at the location of the planet. But, the 9 9m2cr 3
disk feels the gravitational force of the planet that is not felt where f1 and f2 are dimensionless, order unity, positive
by the planet (no self-force). The disk feels pressure, while functions of |rm,1 |/rp that contains a curvature term. Quan-
the planet does not. The angular frequency of the planet is tity ∆rm,2 is the mean shift of resonance locations for the
the Keplerian rate ILR and OLR. The first term, -1/9, is a curvature term,
Ωp = ΩK (rp ). (65) while the next two terms involve pressure. Equation (73)
shows that the first order antisymmetric shift rm,1 provides
The torque sum T in equation (59) is dominated by con- a net torque at the same level as the second order symmet-
tributions having m ∼ mcr = Ωp rp /c. We consider an ric (mean) shift, ∆rm,2 . Since typically β > 0, we have
expansion of resonance radius rm and orbital frequency that ∆rm,2 < 0 and both terms on the right-hand side of
squared Ω2 (rm ) in powers of ǫ = 1/mcr ≪ 1 of the form equation (73) contribute to inward migration. The effect of
a negative ∆rm,2 can be understood as moving the OLR
rm = rp + ǫrm,1 + ǫ2 rm,2 + . . . , (66)
closer to the planet and the ILR further away. These shifts
dΩ2K in turn cause the OLR torque to dominate and provide a
Ω2K (rm ) = Ω2K + ǫ rm,1 + . . . , (67)
dr negative torque contribution (see equation (10)). The ef-
q r
3 p fects of Ωpg are contained in the γ term. But since γ does
Ω2pg (rm ) = ǫ2 Ω2 + . . . , (68)
2πrm,1 p not contribute to the mean shift ∆rm,2 , the planet gravity
Ω2pr (rm ) = −ǫ2 β Ω2p + . . . , (69) does not influence migration, provided that Mp ∼ ǫ3 Ms .
κ(r) = ΩK + ǫκ1 + . . . , (70) We now consider the contribution to the differential
torque due to the density factor that appears in equation
where all functions of r on the right-hand side of the above (58). For a given m value, the net torque depends on the
are evaluated at the planet’s orbital radius rp . The scaled density change between the ILR and OLR that is related to
planet to star mass ratio q3 = Mp /(ǫ3 Ms ) is assumed to be β. This torque can be seen to be
of order unity.
Substituting expansions (66) - (70) into equation (60), β |rm,1 |
Tm,Σ = CΣ |Tm,in |, (75)
we obtain mcr rp
rm,1 2p where constant CΣ is positive. For β > 0 as is typically the
= ∓ 1 + (m/mcr )2 , (71)
rp 3 case, torque Tm,Σ is positive. It can be shown that torque
rm,2 1 m2 β Tm,Σ is be comparable to and opposite to Tm,cpg , but some-
= − − − ∓ γ, (72)
rp 9 9m2cr 3 what weaker. As a result, the differential (net) Lindblad
torque is typically negative.
where quantity γ describes radius changes that are equal Notice that by summing equations (73) plus (75) over m,
and opposite about r = rp . we have that the differential torque
We see that the lowest order radius shifts rm,1 are equal
and opposite. As we described above, the curvature asym-
X
T ∼ Tm,cpg (76)
metry favors inward migration for resonances located at m
equal distances inside and outside radius rp . The torque ∼ mcr Tmcr ,cpg (77)
contributions due to these resonance position and angular  2
velocity shifts are obtained by applying equations (58) and Mp
∼ −m2cr Σrp4 Ω2p (78)
(59).3 We first consider the differential torque contribution Ms
2
that does not involve the density factor Σ in equation (58).  r 2 
p 4 2 Mp
We denote this differential torque as Tm,cpg , since it in- ∼ − Σrp Ωp , (79)
H Ms
volves curvature, pressure, and planet gravity. After con-
siderable algebra, it follows that Tm,cpg due to the ILR and which agrees with equation (17). A more careful evaluation
OLR for some 1 ≪ m . mcr is given by of the sum can be performed to provide the detailed depen-
 2 dence of T on β. We will reconsider this issue in Section
4 2 Mp 2.6.
Tm,cpg = −mcr Σrp Ωp
Ms
     
|rm,1 | |rm,1 | ∆rm,2 2.5 Coorbital Torques
f1 + f2 (73)
rp rp rp
Thus far we have considered torques that arise from gas
3 The derivation of equation (58) assumed that ω̂ 2 = κ2 at the Lindlabd that passes the planet in the azimuthal direction (the y di-
resonances. There are corrections to this condition and therefore the torque rection in Fig. 1). These torques can be described by Lind-
in the extended WKB approximation (equation (60)). For simplicity, we blad resonances, as we saw in Section 2.4. Gas that resides
ignore such effects here.

9
closer to the planet, |r − rp | . 3RH , in the so-called coor-
bital region, does not pass by the planet. Instead, it follows
librating orbits in the corotating frame of the planet as seen
in Fig. 9. We consider orbits that nearly fully circulate, the
so-called horseshoe orbits. They approach the planet at both
θ < θp and θ > θp , as seen in the figure. As the gas ap-
proaches the planet, it gets pulled by the planet from r > rp
to r < rp or vice versa. This change in angular momen-
tum of the gas in turn causes a torque to be exerted on the
planet. Away from the region where the orbit transitions
between different radii, the gas follows an approximately
circular Keplerian path.
For a disk with no dissipation and a planet on a fixed cir-
cular orbit, the net torque on the planet is zero. The reason
is that the gas follows periodic orbits in the frame of the
planet, so there is no change in angular momentum of the
gas over a complete period of its motion. Whatever angular
momentum is gained by a gas element as it changes from
the inner radius ri to outer radius ro is lost when it later
encounters the planet and shifts from ro to ri . So although
gas on horseshoe orbits can come close to the planet, the
symmetry limits the torque that it exerts on the planet.
To analyze this situation more carefully, consider the la-
beled regions in Fig. 9. We describe the disk as consisting
of a gas fluid, but will ignore the effects of gas pressure,
and follow the approach of Ward, 1991. Gas loses angular
momentum in going from position o+ to i+. This angular
momentum is continuously gained by the planet. Similarly,
the planet continuously loses angular momentum from the
gas that passes from i− to o− . The gas spends a relatively
short time in transition between ri and ro compared to the
time it spends between encounters that is of order the syn-
odic timescale ∼ rp /((ro − rp )Ωp ). Between encounters,
the gas may experience the effects of turbulent viscosity. It
acts to establish a characteristic density profile Σ0 (r) that
would be present in the absence of the planet. As the gas
re-encounters the planet, it does so with the turbulence-
enforced background density. Such effects give rise to a
net torque on the planet.
The net torque on the planet due to a streamtube that
extends on both the θ < θp and θ > θp sides of the planet
is given by
dr2 Ω
δTco = (Ṁ+ − Ṁ− ) w, (80)
dr
where w = ro − ri is the radius change along the stream-
tube, Ṁ− is the flux of mass passing the planet for θ < θp
and analogously for Ṁ+ . Both mass fluxes are defined to
be positive and are approximately given by
Ṁ ∼ Ṁ± ∼ Σrp (Ω(ri ) − Ωp )δr, (81)
where δr is the radial width of the streamtube away from
the planet, on the circular portion of the orbit. The ratio
of the mass fluxes depends on the density Σ just ahead of
the encounter, with density Σ(ri ) at position i− and density
10
Σ(ro ) at position o+. The ratio is given by
Ṁ+ Σ(ro ) B(ri )
∼ , (82)
Ṁ− Σ(ri ) B(ro )
where the ratio of B values comes into play because of a
change in the area of fluid elements between ri and ro . We
then obtain an expression for the torque on the planet due
to the streamtube as
!
Ṁ+
δTco ∼ Ṁ − 1 Ωp rp w, (83)
Ṁ−
 
2 2 ∆Σ ∆B
∼ ΣΩp rp w − δr, (84)
Σ B
d log (Σ/B)
∼ ΣΩ2p w3 δr, (85)
d log r
where ∆Σ = Σo − Σi and ∆B = Bo − Bi . Integrating over
all streamtubes to width w, we estimate the coorbital torque
as
d log (B/Σ)
Tco ∼ −ΣΩ2p w4 , (86)
d log r
where we now interpret w as the width of the coorbital re-
gion that is a few times RH .
Quantity B/Σ is sometimes called the vortensity, since
B is related to the vorticity or curl of rΩeθ . The coorbital
torque then depends on the gradient of the vortensity. A
time-reversible system (no dissipation), with arbitary ini-
tial conditions would evolve towards a state in which the
vortensity is constant in the coorbital region. This process
occurs through ”phase mixing” on the libration timescale
∼ rp /(Ωp w) (see Fig. 10). The coorbital torque drops to
zero or is said to be saturated. As discussed above, main-
taining a density gradient and a nonzero torque could be
accomplished by the effects of turbulent viscosity.
We compare the coorbital torque with the net Lind-
blad torque for a particle (pressureless) disk as we dis-
cussed in Section 2.2. Taking w ∼ RH in equation
(86), we see that the unsaturated coorbital torque (taking
|d log (B/Σ)/d log r| ∼ 1 and nonzero) is comparable to
the differential Lindblad torque in equation (16). It can be
shown that this is also true for a disk where pressure effects
are important, where H > RH . For such a disk, the coor-
bital torque is generally of the same order as the differential
Lindblad torque, equation (17). The direction of the coor-
bital torque contribution depends on the sign of the vorten-
sity gradient. For the minimum mass solar nebula model,
Σ ∝ r−3/2 and B ∝ r−3/2 . Consequently, the coorbital
torque is zero in that case. For smaller values of β < 3/2,
the torque is positive. For the turbulent viscosity to prevent
torque saturation, the viscous timescale across the coorbital
region should be shorter than the libration timescale. This
constraint can be translated into a condition on the minu-
mum magnitude of the turbulent viscosity required for a
nonzero corotation torque (see equation (89)).
With pressure effects, the gas communicates distur-
bances with neighboring gas. But the gas is incapable of
 launching a propagating wave because the region near rp
is evanescent, as seen in Fig. 5. Instead, the acoustic dis-
turbances remain trapped within a radial distance H of the
planet’s orbit. The trapping of disturbances near the coro-
tation radius rp limits the amount of angular momentum
that a planet can gain. But in the case of a viscous disk,
mass and angular momentum in the coorbital region can be
transferred to the remainder of the disk by viscous torques.
The corotation torque can then act without saturation.
Although the coorbital torque is of the same order as the
differential Lindblad torque, more detailed calculations as
described in the next section show it typically does not dom-
inate over Lindblad torques.
2.6 Type I Migration Torques
Thus far, our estimates of migration rates have assumed
that the axisymmetric gas surface density is not perturbed
by the presence of the planet. This regime is sometimes
called the Type I case of migration.
More detailed 3D linear analytic calculations of the Type
I migration rates have been carried out by Tanaka et al,
2002. They assumed that the gas sound speed is constant
in radius. For the case of saturated (zero) coorbital coro-
tation torques, where only differential Lindblad torques are
involved, the migration rate is given by
 2  
Mp rp 2
T = − (2.34 − 0.10 β) Σp Ω2p rp4 , (87)
Ms H troughs in the figure. The theory in Section 2.4 and 2.5 also
where β is given by equation (63). The torque on the planet
resulting from the action of both Lindblad and (unsaturated)
coorbital corotation torques is given by
 2  
2 4 Mp rp 2
T = − (1.36 + 0.54 β) Σp Ωp rp . (88)
Ms H
These migration rates are consistent with the estimate in
equation (79). Notice that the Lindblad-only torque, equa-
tion (87), contains a small coefficient of β. The reason is
that there is a near cancellation of the inward migration ef-
fects of the pressure in equation (73) (in ∆rm,2 ) with the
outward migration effects of the density in equation (75).
The differential Lindblad torque is then mainly due to the
curvature effects. In going from equation (87) to equation
(88), the effects of the coorbital torque reduce the inward
migration rate for β < 1.5 and nearly vanish for β = 1.5.4
This behavior is consistent with equation (86) for which
the coorbital torque is positive for β < 1.5 and is zero for
β = 1.5.
Based on scaling arguments, the condition on the turbu-
lent viscosity for the coorbital torque to be effective (unsat-
urated), as discussed in Section 2.5, is given by
 3/2 
Mp r 7/2
α& . (89)
Ms H ting the lowest order density distribution Σ0 to the unper-
4 The small nonzero coorbital torque at β = 1.5 is due to 3D effects.
11
where α the dimensionless disk viscosity parameter in the
standard α disk model (Ward, 1992). For disk parameters
α = 0.004 and H/r = 0.05, this constraint implies that for
planets of order 10 M⊕ or greater, the corotation torques
should be saturated (small) and equation (87) should be ap-
plied.
Nonlinear 3D hydrodynamical calculations have been
carried out to test the migration rates, under similar disk
conditions used to derive the analytic model. Figs. 11 and
12 show that the migration rates agree well with the expec-
tations of the theory.
We examine the comparison between simulations and
theory in more detail by comparing torque distributions in
the disk as a function of disk radius. We define the distribu-
tion of torque on the planet per unit disk mass as a function
of radius as dT /dM (r) = 1/(2πrΣ(r)) dT /dr(r). Fig. 13
plots (Ms /Mp )2 dT /dM as a function of radial distance
from the planet based on 3D simulations. The distributions
show that the torque from the region interior (exterior) to
the planet provides and positive (negative) torque, as pre-
dicted in equations (11) and (10) for a particle disk and as
shown in Section 2.3 for a gas disk. Also, the integrated
total torque is negative, as expected. The theory predicts
that the torque density peak and trough occur at distance
from the planet r − rp = ∆r ∼ ∓H, where the torque
cut-off takes effect as indicated in equation (61). For the
case plotted in Fig. 13 that adopts H = 0.05r, the predicted
locations agrees well with the locations of the peaks and
predicts that for a fixed gas sound speed, the shape of the
scaled torque density distribution (Ms /Mp )2 dT /dM (r) is
independent of planet mass. The reason is that the width of
each contributing resonance is independent of planet mass,
but depends on the sound speed (see equation (51)). In ad-
dition, the set of of contributing resonances (range of m val-
ues) is also independent of planet mass (see equation (62)).
Furthermore, the overall torque scales with the square of the
planet mass. As seen in Fig. 13, these expectations are well
met for the two cases plotted.
2.7 Disk Response
The various torque expressions (e.g., equations (17),
(73), and (88)), contain a density term. This density is the
lowest order density at the radius of the planet. Up to this
point, we have assumed that this density is the unperturbed
disk density, the disk density that occurs in the absence of a
planet. If the planet mass is sufficiently small or the level of
turbulent viscosity is sufficiently large, then the presence of
the planet does not substantially modify the density distri-
bution. But these conditions may be violated and the den-
sity can be affected.
In particular, some our approximations, such as in going
from equation (56) to equation (58), were reliant on set-
turbed density distribution. Modifications to Σ0 caused by
the planet need not be small and can produce a significant
change in the migration torque. reminiscent of the case of ocean waves. They are gener-
To analyze the disk response, we consider equations (19) ated by wind far from land, but undergo final decay when
and (21) and include the effects of shear viscosity with kine- they break at the shore. Notice that the planet obtains its
matic viscosity ν = αcH by taking torque from gas near the Lindblad resonance, independent
of where the waves damp and the disk gets torqued. Re-
∂G call that it is necessary that the waves damp somewhere for
fvθ = − , (90)
∂r there to be a nonzero Lindblad migration torque.
dΩ c) Disk with strong dissipation and tidal forces
G = −2πr3 νΣ , (91)
dr In this case, the waves damp immediately by the strong
and we will ignore fvr . We write the azimuthal velocity as dissipation and therefore Fw = 0. We have seen that disk-
planet torques from an outer disk cause an inward torque
v = Ω(r)r + v ′ , (92) on the planet and an outward torque on the disk. Similarly,
the interactions cause an inward torque on the inner disk.
where velocity v ′ denotes the nonaxisymmetric departures As a result of these torques, material is pushed away from
from circular rotation that are assumed small compared to the orbit of the planet. In the case that the planet produces
the axisymmetric circular velocity Ωr. strong tidal force, we may expect that a gap is created near
Multiplying equation (21) by rΣ, applying equation the orbit of the planet. Consequently, we expect that near
(19), and integrating in θ, we obtain to high accuracy the the planet Ṁ = 0 and Td = G in equation (93).
torque equation
2.8 Type II migration
dr2 Ω ∂Td ∂Fw ∂G
Ṁ = − − , (93)
dr ∂r ∂r ∂r Type II migration occurs for case c above when the re-
with gion near the planet is strongly depleted of gas and a gap
forms (Lin & Papaloizou, 1986). Gap formation occurs for
2π
Td = G in equation (93). Tidal forces on the disk interior
Z
Ṁ = r Σudθ, (94)
0
or exterior to the planet are estimated by equation (10) with
∂Td
Z 2π
∂Φ ∆r ∼ H, as we argued at the end of Section 2.3. For a
= −r Σ dθ, (95) given level of disk turbulent viscosity, the gap opening con-
∂r 0 ∂θ
Z 2π
dition Td = G becomes a constraint on the planet mass.
Fw = r2 Σ0 uv ′ dθ, (96) The condition is estimated as
0  1/2  3/2
Mp 40ν H
& . (98)
where Ṁ is the mass flux through the disk, dTd /dr is the Ms 2
rp Ω rp
torque per unit radius on the disk, and Fw is the flux of an-
gular momentum carried by waves. By integrating equation For disk parameters α = 0.004 and H/r = 0.05, the pre-
(19) in θ we have that dicted gap opening at the orbit of Jupiter occurs for planets
having a mass Mp & 0.2MJ . This prediction is in good
∂Σ0 1 ∂ Ṁ agreement with the results of 3D numerical simulations (see
=− . (97)
∂t r ∂r Fig. 14).
In addition to the above viscous condition, an auxiliary
We briefly consider some specific cases of interest be-
condition for gap opening has been suggested based on the
low.
stability of a gap. This condition is to preclude gaps for
a) Unperturbed viscous disk
which steep density gradients would cause an instability
Consider the case of a steady state viscous disk in which
that prevents gap opening. This condition, called the ther-
no planet is present, Fw = Td = 0. For a steady state,
mal condition, is given by rH & H (Lin & Papaloizou,
equation (97) requires that Ṁ is constant. From equation
1986). The critical mass for gap opening by this condition
(93), we have that Ṁ Ωr2 = −G. For a Keplerian disk, we
is given by
then recover the standard result that Ṁ = −3πν(r)Σ0 (r).  3
Mp H
b) Disk with planet and little dissipation &3 . (99)
Consider the case that there is no dissipation in some re- Ms rp
gion of space where waves are generated (i.e., near the res- For H/r = 0.05, this condition requires a larger planet
onance). In that region Ṁ = 0, since there is reversibility. mass for gap opening than equation (98) for α . 0.01.
By equation (93) with G = 0 we have that Td = Fw . That Even if both the thermal and viscous conditions are satis-
is, the disk torque exerted near the planet is transferred by fied, a substantial gas flow, Ṁ ∼ −3πν(r)Σ0 (r), may oc-
the wave flux Fw to some other region of the disk. Wher- cur in the presence of a gap in certain circumstances (Arty-
ever the wave damps, there is an imbalance between Td and mowicz & Lubow 1996).5
Fw , resulting in a nonzero mass flux Ṁ that will generally
result in a density change (equation (97)). This situation is 5 Near the end of Section 2.7 we asserted that Ṁ = 0, since the density

12
 The migration rate of a planet embedded in a gap is quite
different from the Type I (nongap) case that we have already
considered. A planet that opens a gap in a massive disk, a
disk whose mass is much greater than the planet’s mass,
would be expected to move inward, pushed along with the
disk accretion inflow. The planet simply communicates the
viscous torques across the gap by means of tidal torques
that balance them. The Type II migration timescale is then
of order the disk viscous timescale
rp2 rp2  r 2 1
p
tvis ∼ ∼ ∼ , (100)
ν αcH H αΩp
which is ∼ 105 years for α = 0.004, H = 0.05rp , and
Ωp = 2π/12 y −1 . Therefore, the migration timescale can
be much longer than the Type I migration timescale for the
higher mass planet that open gaps, as is found in simulations
(Mp > 0.1MJ in Figs. 11 and 12). However, this timescale
is still shorter than the observationally inferred global disk
depletion timescales ∼ 106 − 107 years. The actual mi-
gration rate may be somewhat smaller, in order to explain
the abundant population of observed extrasolar giant plan-
ets beyond 1AU (Ida & Lin 2008). Such retardation is also
required to retain terrestrial planets in habitable zones that
are located inside the likely formation regions of gas giants
that may be beyond the snow lines.
In practice, the conditions for pure Type II migration are
unlikely to be satisfied. The disk mass may not be very large
compared to the planet mass and the disk gap may not be
fully clear of material. However, simulations have shown
that to within factors of a few, the migration timescale is of
order the viscous timescale of the disk over a wide range
of parameters, provided the tidal clearing is substantial and
the disk mass is at least comparable to the planet mass (e.g.,
Fig. 12). This appears to be true even if there is a significant
mass flow in the gap. The planet in Fig. 12 has mass ∼ 1MJ
at a time 1000 orbits and is migrating at the disk viscous
rate. At this time, the planet is accreting mass through a
deep gap at a substantial rate, comparable to the accretion
rate of the disk in the absence of a planet.
Another way of understanding the Type II torques is to
recognize that the distribution of tidal torques per unit disk
mass, as seen in Fig. 13 still applies, even if the disk has
a deep gap that is not completely clear of material. The
disk density through the gap region adjusts so that the planet
migration rate is compatible with the evolution of the disk-
planet system.
3. OUTSTANDING QUESTIONS
3.1 Limiting Type I Migration
As seen in Fig. 11, the timescales for Type I migration
are short compared to disk lifetimes. They become even
is low in a tidally produced gap. But, the mass flux need not be small,
even if the density is small, provided that the radial velocity u increases
sufficiently in the gap, as occurs certain situations.
13
shorter for a disk having a mass greater than the minimum
mass solar nebula. For retention of habitable planets and
giant planet cores, the short timescales for Type I migration
is a serious problem. To be consistent with the ubiquity of
extrasolar gas giants and formation of Jupiter and Saturn,
some studies suggest that the Type I migration rates must
be reduced by more than a factor of 10 (Alibert et al. 2005;
Ida & Lin 2008). One major question is whether there are
processes that could slow the migration. Several ideas have
been proposed. The major uncertainty with them concerns
our knowledge of the true state of the disk.
Many young stars, such as the T Tauri stars, are sur-
rounded by gaseous disks and have observational signatures
of gas accretion. How the accretion operates on a global
scale is not known. There are observational signatures of
accretion onto T Tauri stars. Some form of turbulence is
likely needed to produce the observationally inferred accre-
tion rates. The nature of disk turbulent viscosity has an in-
fluence on the global disk structure and the disk response
to the presence of a planet. Disk turbulence within planet-
forming regions of the disks in early stages of evolution is
likely to be dominated by gravitational instability and later
by magnetic instability. In the latter case, a major unknown
is the level of disk ionization. Unless the gas is sufficiently
ionized, magnetic instability will not occur, e.g., Salmeron
& Wardle, 2008.
We briefly discuss below a few of the several suggested
mechanisms for slowing Type I migration.
Low viscosity regions
Disk viscosity suppresses the formation of the weak disk
perturbations that are produced by a small mass planet,
as suggested by equation (98). The perturbations are
smoothed by viscous diffusion. But if the disk turbulent
viscosity is sufficiently low, the disk density distribution
can be affected by the presence of a low mass planet. We
have seen that the ILR and OLR torques push material
away from the orbit of the planet. If the planet is on a fixed
orbit, the density perturbation is almost symmetric about
r = rp . This near symmetry is broken by the migration
of the planet. In the comoving frame of the planet, there
is a radial steady-state gas flow past the planet. For an
inwardly migrating planet, this flow causes a feedback ef-
fect that enhances the gas density, interior to the orbit, and
lowers the density exterior to the orbit (Ward, 1997). The
feedback then enhances the positive torques that arise in
the inner disk and slows inward migration. This feedback
grows with planet mass. Above some critical planet mass
Mcr the steady-state radial flow of gas past the planet is
not possible. As a result, the planet migration stops, and
gap formation begins. Planet migration can be halted for
a certain critical planet mass Mcr that depends on the gas
sound speed, the turbulent viscosity, and the rate at which
wave damping occurs. Shocks can provide wave damp-
ing, although the damping is not instantaneous. The waves
launched by a low mass planet propagate some distance
as they steepen and ultimately dissipate. The values of
Mcr caused by shocks in 2D disks are typically ∼ 10M⊕
(Rafikov, 2002; Li et al, 2008). Suppose a planet core could
form in less than the migration timescale prior to reach-
ing this mass, typically less than a few times 105 y. In this
case, the overall migration timescale may be comparable
to Type II migration timescale that is also long due to the
small values of α (see equation (100)). Type I migration
might then nearly stall before the planet migrates through
the disk. Analytic calculations and simulations suggest that
the feedback is strong, typically for α values up to of a few
times 10−4 . For α & 0.001, Type I migration proceeds with
little reduction (see Fig. 15).
Disk Property Jumps
We have seen in Section 2 that the torque on the planet
depends on differences in disk properties across rp . We
expect the density and temperature to generally smoothly
decrease in radius with the outcome being inward migra-
tion (see equation (88)). However, this need not always be
the case. It is possible that sudden changes in disk prop-
erties with radius could occur as a consequence of sud-
den changes in disk opacity, turbulent viscosity, or gravity
variations (due to the planet itself). In such regions, it is
possible that inner disk contributions could be enhanced or
even be greater than the outer disk contributions. A planet
could then experience slowed migration or even be trapped
in such a region with no further inward migration (Menou
& Goodman, 2004; Masset et al, 2006).
Turbulent Fluctuations
We have modeled the effects of disk turbulence by means
of a turbulent viscosity in equation (91). But, in addition
there are time-dependent small-scale density fluctuations
that give rise to a fluctuating random torque on the planet.
Unlike the Type I torque that acts continuously in the same
direction, the fluctuating torque undergoes changes in direc-
tion on timescales characteristic of the turbulence that are
short compared with the migration timescale. The fluctuat-
ing torque causes the planet to undergo a random walk. For
the random walk to compete with Type I migration, the am-
plitude of the fluctuating torque must be much larger than
the Type I torque. The change in angular momentum √ of the
planet due to a random torque TR is given by ∼ N TR τ ,
where N is the number of fluctuations felt by the planet
and τ is the characteristic timescale for the torque fluctu-
ation. The angular momentum change caused by Type I
torques Tin over time t is simply ∼ tTin . Since N = t/τ ,
it follows that √for the random migration to dominate, we
require TR > N Tin . If we take τ to be the orbital pe-
riod of the planet and t to be the Type I migration timescale
∼ 105 y, the condition becomes TR > 300Tin. Torque TR
depends linearly on the planet mass, while torque Tin in-
creases quadratically with the planet mass and the migra-
tion time t decreases with the inverse of the planet mass.
The random torque is then more important for lower mass
planets. The nature of the random torque depends on the
properties of the disk turbulence, in particular its power
spectrum, that are generally not well understood. If there
is power in the turbulence spectrum at low frequencies,
then the fluctuating torques are more effective at counter-
14
acting the Type I torques. The reason is that the effective
N value is smaller. Some simulations and analytic mod-
els suggest that turbulent fluctuations arising from a mag-
netic instability (the magneto-rotational instability Balbus
& Hawley, 1991) are important for migration of lower mass
planets (Nelson, 2005; Johnson et al., 2006; see Fig. 18).
However, if turbulent fluctutations are important for mi-
gration, then the eccentricities of planetesimals are pumped
up so highly that collisions between them may result in de-
struction rather than accretion (Ida et al., 2008). Therefore,
although the turbulent fluctuations may inhibit the infall of
planetary cores into the central star by migration, they tend
to inhibit the build up of the cores necessary for giant planet
formation in the core accretion model.
3.2 Other Forms of Migration
Kozai Migration
A planet that orbits a star in a binary star system can peri-
odically undergo a temporary large increase in its orbital ec-
centricity through the a process known as the Kozai effect.
Similar Kozai cycles occur in multi-giant planet systems.
The basic idea behind Kozai migration is that the increased
eccentricity brings the planet closer to the star where it loses
orbital energy through tidal dissipation. In the process, the
planet’s semi-major axis is reduced and inward migration
occurs (Wu & Murray, 2003). We describe this in more de-
tail below.
Consider a planet in a low eccentricity orbit that is
well interior to the binary orbit and is initially highly in-
clined with respect to it. The orbital plane of the planet
can be shown to undergo tilt oscillations on timescale of
∼ Pb2 /Pp , where Pb is the binary orbital period, Pp is the
planet’s orbital period, and by assumption Pb ≫ Pp . Un-
der such conditions, it can be shown that the component
of the planet’s angular momentum perpendicular to the bi-
nary orbit plane q (the z-component) is approximately con-
served, Jz = Mp GMs ap (1 − e2p ) cos I, where ap and ep
are respectively the semi-major axis and eccentricity of the
planet’s orbit and I is the inclination of the orbit with re-
spect to the plane of the binary. The conservation of Jz is
easily seen in the case that the binary orbit is circular and the
companion star is of low mass compared to the mass of the
star about which the planet orbits. On such long timescales
≫ Pb , the companion star can be considered to be a contin-
uous ring that provides a static potential. In that case, the
azimuthal symmetry of the binary potential guarantees that
Jz is conserved. By assumption, we have cos I ≪ 1 and
ep ≪ 1 in the initial state of the system. As the planet’s
orbital plane evolves and passes into alignment with the bi-
nary orbital planet, cos I ∼ 1, conservation of Jz requires
ep ∼ 1. In other words, Jz is initially small because of the
high inclination of the orbit. When the inclination drops,
the orbit must become more eccentric (radial), in order to
maintain the same small Jz value. The process then period-
ically trades high inclination for high eccentricity.
 During the times of increased eccentricity, the planet
may undergo a close encounter with the central star at peri-
astron distance ap (1 − ep ). During the encounter, the tidal
dissipation involving the star and planet results in an energy
loss in the orbit of the planet and therefore a decrease in ap .
This process then results in inward planet migration. The
energy loss may occur over several oscillations of the orbit
plane.
Another requirement for the Kozai process to operate is
that the system must be fairly clean of other bodies. The
presence of the other object could induce a precession that
washes out the Kozai effect. Given the special requirements
needed for this process to operate, it is not considered to
be the most common form of migration. However, there is
good evidence that it does operate in some systems. The
Kozai effect can also occur in two-planet systems, where
the outer planet plays the role of the binary companion. The
process can be robust due to the proximity of outer planet
(Nagasawa et al. 2008).
Runaway Coorbital Migration
In Section 2.5 we saw that the coorbital torque will be
saturated (reduced to zero) unless some irreversibility is in-
troduced, such as turbulent viscosity. However, planet mi-
gration itself introduces irreversibility and could therefore
act to prevent torque saturation. The coorbital torque model
presented in Section 2.5 ignored the effects of planet mi-
gration on the horseshoe orbits near the planet (Fig. 9). The
coorbital torque for a migrating planet could then depend
on the rate of migration. Under some conditions, the coor-
bital torque could in turn cause faster migration and in turn
a stronger torque, resulting in an instability and a fast mode
of migration (Masset & Papaloizou, 2003). The resulting
migration is sometimes referred to as Type III migration. To
see how this might operate in more detail, we consider the
evolution of gas trapped in the coorbital region (Artymow-
icz, 2004; Ogilvie & Lubow, 2006). For a sufficiently fast
migrating planet, the topology of the streamlines changes
with open streamlines flowing past the planet and closed
streamlines containing trapped gas (see Fig. 16). The lead-
ing side of the planet contains trapped gas acquired at larger
radii, while the gas on the trailing side is ambient material
at the local disk density. The density contrast between ma-
terial on the trailing and leading sides of the planet gives
rise to a potentially strong torque. A major question centers
around the conditions required for this form of migration to
be effective. If the planet mass is very small, the process
appears ineffective. Once a more massive planet forms a
gap, there is an insufficient amount of gas in the coorbital
region to cause a substantial torque. Some simulations sug-
gest that this type of migration requires a somewhat massive
planet that is not allowed grow in mass to be immersed in
a disk and allowed to migrate before gap opening is com-
plete, artificially bypassing the gap opening that would oc-
cur naturally for a growing planet (e.g, Zhang et al, 2008;
D’Angelo & Lubow 2008). These simulations suggest that
this form of migration may not typically arise, due the the
special conditions required.
15
Migration Driven By Nonisothermal Effects in the Coor-
bital Region
Many studies of disk planet interactions simplify the
disk temperature structure to be locally isothermal. The
locally isothermal assumption, frequently applied in nu-
merical simulations and as we applied in equation (27),
means that the temperature structure is prescribed and is
independent of disk density. The behavior in the isother-
mal limit tends to suggest that coorbital torques do not typ-
ically dominate migration (e.g., equation (88)). The non-
isothermal regime has been recently explored in simula-
tions by Paardekooper & Mellema, 2006 who find that out-
ward migration due to coorbital torques may occur in cer-
tain regimes. The conditions required for this possible ef-
fect is an active area of investigation.
Migration in a Planetesimal Disk
After the gaseous disk is cleared from the vicinity of the
star, after about 107 y, there remains a disk of solid material
in the form of low mass planetesimals. This disk is of much
lower mass than the original gaseous disk. But the disk is
believed to have caused some migration in the early solar
system with important consequences (Hahn & Malhotra,
1999; Tsiganis et al, 2005).
There is strong evidence that Neptune migrated outward
due to the presence of Kuiper belt objects that are reso-
nantly trapped exterior, but not interior, to its orbit. The
detailed dynamics of a planetesimal disk are somewhat dif-
ferent from the case of a gaseous disk, as considered in
Section 2. The planetesimals behave as a nearly collision-
less system of particles. Jupiter is much more massive than
the other planets and can easily absorb angular momen-
tum changes in Neptune. As Neptune scatters planetesi-
mals inward and outward, it undergoes angular momentum
changes. It is the presence of Jupiter that breaks the sym-
metry in Neptune’s angular momentum changes. Once an
inward scattered planetesimal reaches the orbit of Jupiter, it
gets flung out with considerable energy and does not inter-
act again with Neptune. As a result of the loss of inward
scattered particles, Neptune gains angular momentum and
migrates outward, while Jupiter loses angular momentum
and migrates slightly inward.
A similar process occurs in gaseous decretion disks of
binary star systems (Pringle, 1991). The circumbinary disk
gains angular momentum at the expense of the binary. The
binary orbit contracts as the disk outwardly expands. A gap-
opening planet embedded in a circumbinary disk (or under
some conditions, a disk that surrounds a star and massive
inner planet) would undergo a form of Type II migration
that could carry the planet outward (Martin et al, 2007). In
the solar system case, the Sun-Jupiter system plays the role
of the binary. Viscous torques are the agent for transfer-
ring the angular momentum from the binary outward in the
gaseous circumbinary disk, while particle torques play the
somewhat analogous role in the planetesimal disk.
In a planetesimal disk, another process can operate to
cause migration. This process is similar to the runaway
coorbital migration (Type III migration) described above,
but applied to a collisionless system of particles (Ida et al.
2000). Interactions between the planestimals and the planet
in the planet’s coorbital zone can give rise to a migration
instability.
Migration of Eccentric Orbit Planets
The analysis in Section 2 assumed that planets reside on
circular orbits. This assumption is not unreasonable, since
there are strong damping effects on eccentricity for a planet
that does not open a gap in the disk (Artymowicz, 1993b).
Some eccentricity may be continuously produced by turbu-
lent fluctuations in the gas, as described above, or by inter-
actions with other planets. In general, eccentricity damping
is faster than Type I migration. For planets that open a gap,
it is possible that they reside on eccentric orbits in the pres-
ence of the gaseous disk. In fact, one model for the observed
orbital eccentricities of extra-solar planets attributes the ex-
citation of eccentricities to disk-planet interactions (Goldre-
ich & Sari, 2003; Ogilvie & Lubow, 2003).
A planet on a sufficiently eccentric orbit embedded in a
circular disk will orbit more slowly at apoastron than the ex-
terior gas with which it tidally interacts. Similarly, a planet
can orbit more rapidly than the tidally interacting gas at pe-
riastron. These angular velocity differences can change the
nature of the ”friction” between the planet and the disk dis-
cussed in Section 2.2. For example, at apoastron the more
slowly orbiting planet could gain angular momentum from
the more rapidly rotating gas. This situation is then just the
opposite of the case in Section 2.2. Furthermore, since the
planet spends more time at apoastron than periastron, the
effects at apoastron could dominate over effects at perias-
tron. It is then possible that outward migration could occur
for eccentric orbit planets undergoing Type I migration, as-
suming such planets could maintain their eccentricities (Pa-
paloizou, 2002).
In the case of a planet that opens a gap, simulations
suggest that outward torques dominate as the planet gains
eccentricity from disk-planet interactions (D’Angelo et al,
2006). If giant planet orbits evolve this way, then their or-
bital distribution might favor their presence at larger radii,
beyond the snowline where they may form (see Chapter 19).
The situation is complicated by the fact that the gaseous
disk generally gains eccentricity from the planet by a tidal
instability (Lubow, 1991). For the outward torque to be ef-
fective, there needs to be a sufficient difference in the mag-
nitude and/or orientation between the planet and disk eccen-
tricities, so that the planet moves slower than nearby disk
gas at apoastron.
Multiplanet Migration
Thus far, we have only considered single planet systems.
Of the more than 200 planetary systems detected to date by
Doppler techniques, over 20 reside in multi-planet system
(Butler et al, 2006). About 5 systems have been found to
have orbits that lie in mutual resonance, typically the 2:1
resonance. The resonant configurations are likely to be the
result of convergent migration, migration in which the sep-
aration of the orbital radii decreases in time. This process
occurs as the outer planet migrates inward faster than the
16
inner planet. Planets can become locked into resonant con-
figurations and migrate together, maintaining the planetary
orbital frequency ratio of the resonance. The locking can
be thought of as a result of trapping the planets within a
well of finite depth. Just which resonance the planets be-
come locked into depends on their eccentricities and the
relative rate of migration that would occur if they migrated
independently. As planets that are initially well-separated
come closer together, they lock into the first resonance that
provides a deep enough potential to trap them against the
effects of their convergence. We discuss below the conse-
quences of resonant migration.
To maintain a circular orbit, a migrating planet must ex-
perience energy and angular momentum changes that sat-
isfy dE/dt = Ωp (t)dJ/dt, where Ωp is the angular speed
of the planet. As the planets migrate together, their mutual
interactions cause deviations from this relation. As a result,
their energies and angular momenta evolve in a way that is
incompatible with maintaining a circular orbit. Orbital ec-
centricities, as well as mutual inclinations, can develop (Lee
& Peale, 2002; Yu & Tremaine, 2001; Thommes & Lissauer,
2003).
To see how this process operates in more detail, consider
the case that the mass of the inner planet Mi is much less
than the mass of the outer planet planet Mo . We assume
the planets undergo convergent migration. As the planets
migrate together locked in a resonance, the inner planet un-
dergoes energy and angular momentum changes as result
of its interaction with the outer planet. The much more
massive outer planet is unperturbed by the small mass in-
ner planet. We ignore the effects of the disk interactions
on the inner planet compared with the effects of the outer
planet. We assume that the outer planet migrates inward
due to its interaction with the disk and maintains a circu-
lar orbit. We consider a cylindrical coordinate system as in
Section 2. The energy of the inner planet is given by
Mi vi2
Ei = + Mi Φs (ri ) + Mi Φo (ri , ro (t), θo (t) − θi ),
2
(101)
where Φs is the potential due to the star. Potential
Φo (ri , ro (t), θo (t) − θi ) is due to the outer planet. It con-
tains an explicit time dependence due to the position of the
outer planet at (ro (t), θ0 (t)). Taking the time derivative of
the energy of the inner planet, we obtain
dEi

dvi

∂Φo
= Mi vi  + ∇i (Φs + Φo ) + Mi , (102)
dt dt ∂t
where the gradient ∇i is taken in the inner planet coordi-
nates (ri , θi ). The first term on the right-hand side of equa-
tion (102) vanishes as a consequence of the equation of mo-
tion of the planet. We then have that
dEi ∂Φo
= Mi , (103)
dt ∂t
dro ∂Φo ∂Φo
= Mi − M i Ωo , (104)
dt ∂ro ∂θi
where Ωo = dθo /dt and we have used the fact that Φo de-
pends on θo (t) − θi . We recognize that −Mi ∂Φo ∂θi is the
torque on the inner planet that is equal to dJi /dt. The ratio
of the first term to the second term in equation (104) is then
easily shown to be ∼ Mo /Ms ≪ 1. We then have to high
accuracy that
dEi dJi
= Ωo (t) . (105)
dt dt
The inner planet is assumed to initially be on an ap-
proximately circular orbit, but locked in resonance, at
t = 0. Using the standard Keplerian p relations that
Ei p = −GMs Mi /(2ai ), Ωo = GMs /a3o , and Ji =
Mi GMs ai (1 − e2i ), with semi-major axis ai , it is straight-
forward to show from equation (105) that
s codes is determined by the grid spacing, while the resolu-
p ai (0)
2
1 − ei (t) = λ + (1 − λ) , (106)
ai (t)
where λ = Ωi /Ωo > 1 is the ratio of orbital frequencies
that is a constant for resonantly locked planets. The result
implies that eccentricity formally goes to unity where
 2
ai (t) λ−1
= . (107)
ai (0) λ
For planets locked in a 2:1 resonance, we have that λ = 2
and the eccentricity goes to unity for ai (t) = ai (0)/4. The
analysis has assumed the orbits remain coplanar. Numerical
simulations have shown that before reaching a radial orbit,
the inner planet becomes strongly inclined relative to the
outer one, if it starts with a small nonzero initial inclination.
If the inner planet manages to miss striking the star as it
passes ei = 1, further inward migration can cause the inner
planet’s orbit to flip over and change the sense of its orbital
motion to be counterrotating. Qualitatively similar effects
occur for planetary systems with nonextreme mass ratios.
Eccentricity is generated in both planets (see Fig. 17). Ex-
citation of inclination requires that Mo > Mi /2.
Planetary system GJ876 is a well-studied case in which
the planets are in a 2:1 resonance. If the system’s measured
eccentricities are due to resonant migration, then accord-
ing to theory (Lee & Peale, 2002), the system migrated in-
ward by less than 10%. Such a small amount of migration is
hard to understand. It is possible that eccentricity damping
through disk-planet interactions could have limited the ec-
centricities to the observed levels as the planets underwent
further migration. But the required damping rate is quite
high. This level of damping is more than an order of mag-
nitude higher than is found in hydrodynamic simulations of
this system (Kley et al, 2005). Once the disk dissipates, mi-
gration ceases and eccentricity growth by this mechanism is
terminated. The disk might have dissipated after the plan-
ets achieved convergent migration and underwent a small
amount of further migration, but the timing seems some-
what unlikely.
3.3 Validity of Numerical Simulations
17
Numerical simulations provide an important tool for an-
alyzing planet migration. They can provide important in-
sights in cases where nonlinear and time-dependent effects
are difficult to analyze by analytic methods. Some power-
ful grid-based hydrodynamics codes (such as the Zeus code
Stone & Norman, 1992) have been adapted to the study of
disk-planet interactions. In addition, particle codes based
on the Smoothed Particle Hydrodynamics (SPH) (Mon-
aghan, 1992) have sometimes been employed. A systematic
comparison between many of the codes has been carried out
by de Val-Borro et al, 2006.
We discuss a few basic points. For planets that open
a gap, grid-based codes offer an advantage over particle-
based codes. The reason is that the resolution of grid based
tion of particle-based codes is determined by the particle
density. If a planet opens an imperfect gap, the particle den-
sity and resolution near the planet is low. Poor resolution
near the planet can give rise to artificial torques. Higher res-
olution occurs where the particle density is higher, but this
occurs in regions that interact less strongly with the planet.
There have been variable resolution techniques developed
for grid-based codes in which the highest resolution is pro-
vided in regions near the planet where it is needed, such
as nested grid methods (D’Angelo et al, 2002). Such tech-
niques need to provide a means of joining the regions of
high and low resolution without introducing artifacts (such
as wave reflections) or lowering the overall accuracy of the
scheme.
Grid-based codes that simulate disk-planet interactions
typically employ numerical devices to improve conver-
gence. For example, the gravitational potential of the planet
is often replaced by one that does not diverge near the
planet. The potential is limited by introducing a smooth-
ing length, a distance within which the potential does not
increase near the planet. Another limitation is that the sim-
ulated domain of the disk is typically limited to a region
much smaller than the full extent of the disk. Techniques
have been developed to ensure that reflections from the
boundaries do not occur, e.g., by introducing enhanced
wave dissipation near the boundary or approximate out-
going wave boundary conditions.
The time-steps of codes are limited by the Courant con-
dition. Short time-steps often result from the region near
the inner boundary of the computational domain (smaller
radii) where the disk rotation is fastest. As a result, it is dif-
ficult to extend the disk very close to the central star. The
FARGO scheme (Masset, 2000) is very useful in overcom-
ing this limitation. However, the method is difficult to apply
to a variable grid spacing code.
Convergence is a major issue with these simulations.
Ideally, one should demonstrate that the results of the sim-
ulations are sufficiently insensitive to the locations of the
boundaries, the size of the smoothing length, the size of the
time steps, and the grid resolution. Even the direction of
migration can be affected by the size of potential smoothing
length in certain cases. In a 2D simulation, a finite smooth-
ing length ∼ H provides a means of simulating the reduced
effects of planet gravity on a disk of finite thickness. But in
the 2D case, the limit of zero smoothing length is unphysi-
cal. In practice, testing for convergence is computationally
expensive, but can be done for a subset of the models of
interest, perhaps over a limited time range. Demonstrating
convergence is important for providing reliable results.

4. FUTURE PROSPECTS

The theory of planet migration is interwined with the

theory of planet formation (Chapter 19). The timescale for
a planet to grow within a disk is a key element in under-
standing whether planet migration is a major obstacle to
planet formation. We have pointed out that the formation
timescales for gas giant planets in the core accretion model
do present a problem for the simplest planet migration theo-
ries. However, alternative migration models, some of which
are described in Section 3, may be appropriate. Future Fig. 1.— Path of a particle that passes by a planet of mass
prospects for resolving this issue depend on advances in the Mp = 10−6 Ms . The coordinates are in units of the orbital radius
theory of planet formation. of the planet rp . The planet lies at the origin, while the star lies at
As we have seen in Section 2, planet migration in disks (−1, 0). The dashed line follows the path that is undisturbed by
is a consequence of the action of Lindblad and corotational the planet with x = 0.025rp , while the solid line follows the path
resonances. The Lindblad resonances are better understood. resulting from the interaction with the planet. In the frame of the
Their linear and nonlinear properties have been analyzed planet, the particle moves in the negative y direction.
in more detail. The corotational resonances are somewhat
more delicate and less well understood. Progress on the
theory planet migration will likely involve further investi-
gations of the role of corotational resonances.
Improvements to computer capabilities should allow
longer simulations to be carried out with higher resolution.
Progress will be made by also including more physical ef- 1.030

fects. For example, most multi-dimensional simulations

have made only the simplest assumptions about the thermal
properties of the disk.
Some calculations have suggested that higher mass ec-
centric orbit planets could migrate outwards due to their in-
teractions with a gaseous disk. But we do not know whether
such planets have acquired their eccentricities at this early
stage. Observations of young planets would be quite valu-
able in understanding this issue.
A major uncertainty in the theory of planet migration is
the physical state of the disk. We have seen in Section 3 that
low mass planet migration behaves very differently depend-
ing on the level of disk turbulence and the structural prop-
erties of the disk. For example, in weakly turbulent disks,
feedback effects can limit Type I migration, while in highly
turbulent disks torque fluctuations may play a role in mod-
ifying Type I migration. The presence of rapid radial den-
sity variations in the disk can substantially alter migration,
since it depends on the competition between torques involv-
ing material just inside and outside the orbit of the planet.
The better determination of disk properties will likely rely
on some combination of improved theory and observations.
It is unlikely that theory alone will be able to make much
1.028
1.026
1.024
1.022
-3 -2 -1 1 2 3
Fig. 2.— The solid line plots the particle distance from the star
r/rp as a function of time in units of planet orbit periods for the
particle that follows the perturbed path in Fig. 1. The particle
passes the planet at time t = 0. Immediately after passage by
the planet, the particle is deflected toward smaller radii, toward
the planet, and acquires an eccentricity, as indicated by the radial
oscillations. The dashed line plots the mean radius of these os-
cillations. Since the mean radius of the oscillations is larger than
the initial orbital radius (dashed versus solid line at t < −1), the
particle gained energy and angular momentum, as a consequence
of its interaction with the planet.

18
Fig. 3.— Torque on the particle normalized by M Ω2p rp2 as a func-
tion of time in units of planet orbit periods along the unperturbed
(dashed lines) and perturbed paths (solid lines). The planet mass
Mp = 10−6 Ms . Top panel is for a particle having x = 0.02rp ,
the case in Fig. 1. The bottom panel is for particle for a particle
with x = 0.03rp .
Fig. 5.— Schematic of acoustic (pressure) wave propagation
in a gas disk. Leading waves (dashed wavefronts) propagate to-
wards corotation (CR), towards the orbit of the planet. Trailing
waves (solid wavefronts) propagate away from corotation (CR),
away from the orbit of the planet. The region between the inner
Lindblad resonance (ILR) and outer Lindblad resonance (OLR) is
evanescent (nonpropagating) and propagating elsewhere.

Fig. 6.— Radius of a Lindblad resonance in units of rp as a

function of azimuthal wave number m. The two sets of lighter dots
follow the standard WKB dispersion relation for density waves
with pressure, equation (34), in a Keplerian disk with radii given
by equation (38). The two sets of darker dots follow the extended
Fig. 4.— Numerical test of equation (7) based on orbit integra-
WKB dispersion relation (60) that accounts for azimuthal effects
tions. Top panel: Log-log plot of 104 ∆J/(M rp2 Ωp ) as a func-
with c = 0.1Ωr. The dashed line is the location of the planet.
tion of x/rp . The lower set of points is for a planet of mass
Points below (above) the dashed line are for inner (outer) Lindblad
Mp = 10−6 Ms . The upper set is for Mp = 10−3 Ms . The solid
resonances. In the standard WKB approximation, the resonances
lines are for ∆J ∝ x−5 that pass through the respective right-
get closer to the planet with increasing m. In the extended WKB
most points. Bottom panel: Log-log plot of 105 ∆J/(M rp2 Ωp ) as
approximation, the resonances maintain a fixed separation from
a function of 105 Mp /Ms . The points are the results of numerical
the planet with increasing m.
simulations for a fixed value of x = 0.2rp . The solid line is for
∆J ∝ (Mp /Ms )2 that passes through the left-most point.

19
Fig. 7.— Cumulative outer Lindblad resonance torque in a gas
disk starting at some radius well inside the resonant radius rm to
some radius r. The abscissa is the scaled radial distance from the
resonance y = (r − rm )/(wrm ), where w ≪ 1 is the dimen-
sionless resonance width. The cumulative torque is normalized by
its value at large y. A wave launched at the resonance propagates
for y > 0 and is evanescent for y < 0. The torque accumulates
within a distance of ∼ wrm from rm .
Fig. 8.— Ψ2m /(Mp2 Ω4p rp4 ), defined in equation (46), versus m.
The vertical axis is plotted with logarithmic spacing. The lighter
dots are evaluated for a Keplerian disk at radii of outer Lindblad
resonances given by the standard WKB approximation, while the
darker dots are evaluated at radii of outer Lindblad resonances
given by the extended WKB approximation with c = 0.1Ωp rp .
These radii are plotted in Fig. 6. For m & Ωp rp /c = 10, quantity
Ψ2m declines in the extended WKB approximation.
20
Fig. 9.— Coorbital streamlines near a Saturn mass planet Mp =
3 × 10−4 Ms located at the origin in the corotating frame of the
planet. Angle θ increases to the left. Solid streamlines are the
horseshoe orbits. Locations i∓ and o∓ label the positions near
the encounter with the planet.
Fig. 10.— Total angular momentum for a set of 60 particles, each
of mass M , on horseshoe orbits in units of M rp2 Ωp as a function
of time in units of the planet orbit period in a star-planet system
with Mp = 3 × 10−6 Ms . The particles start at t = 0 distributed
between r = rp + RH /60 to r = rp + RH (with RH ≃ 7 ×
10−3 rp ) along the star-planet axis 180 degrees from the planet.
The changes in angular momentum cause a torque to be exerted
on the planet. The torque oscillates and declines in time as angular
momentum becomes more constant in time because the particles
undergo phase mixing on the libration timescale ∼ 150 planet
periods.

Fig. 11.— Migration timescales versus planet mass for a planet
embedded in a 3D disk of mass ∼ 0.02Ms with density Σ ∝
r −1/2 and H/r = 0.05. The planets are on fixed circular orbits
and have fixed masses. The dots with error bars denote results
of 3D numerical simulations with the same disk parameters and
α = 0.004 (Bate et al, 2003). The dashed line plots equation (88)
based on linear theory (Tanaka et al, 2002). Above about 0.1MJ ,
the planet opens a gap in the disk, Type I theory becomes invalid,
and Type II migration occurs.
21
Fig. 12.— Migration of a planet undergoing growth via gas ac-
cretion. The disk parameters are similar to those in Fig 11. Top:
The vertical axis is the orbital radius in units of the initial orbital
radius 5.2AU . The horizontal axis is time in units of the initial
orbital period 12y. The solid curve is the result of 3D hydrody-
namical simulations. The lower and upper short dashed curves are
based on equations (87) and (88) respectively, applied to a planet
of variable mass. The long dashed curve corresonds migration on
the disk viscous timescale. Bottom: Average disk density near the
planet relative to the initial value as a function of time. The density
is averaged over a band of radial width 2H centered on the orbit
of the planet and is normalized by its initial value. The first solid
circle marks the time when Mp = 16.7M⊕ , subsequent circles
occur at integer multiples of 33M⊕ . The planet initially follows
the predictions of Type I migration theory in the top panel while
there is no substantial gap in the disk (no drop in the curve on
the bottom figure). After gap opening, the planet follows Type II
migration. Obtained from D’Angelo & Lubow, 2008.
Fig. 13.— Scaled torque per unit disk mass on the planet as
a function of (r − rp )/rp based on 3D simulations. The verti-
cal scale is in units of GMs (Mp /Ms )2 /rp . The solid and long-
dashed curves are for 1 M⊕ and 10 M⊕ mass planets, respectively.
The disk parameters are H/r = 0.05 and α = 4 × 10−3 for both
the cases. According to linear theory, these two curves should
overlap. Torque distributions are averaged over one orbital period.
Figure based on D’Angelo & Lubow, 2008.
Fig. 14.— Azimuthally averaged disk surface density normal-
ized by the unperturbed value at r = 1 as a function of r in units
of rp = 5.2AU . The disk is simulated in 3D with parameters
H/r = 0.05 and α = 0.004. The density profiles are for plan-
ets with masses of 1 (long-dashed), 0.3 (dot-dashed), 0.1 (dotted),
0.03 (short-dashed), and 0.01 (thin solid) MJ . Only planets with
masses Mp & 0.1MJ produce significant perturbations. The thick
solid line is based on a 2D simulation of a 1MJ planet by Lubow
et al (1999). Obtained from Bate et al, 2003.
22
Fig. 15.— Influence of disk viscosity parameter α on the migra-
tion of a planet with mass 10M⊕ in a disk with H/r = 0.035 and
disk of mass ∼ 0.1M⊙ based on 2D simulations. The vertical axis
is the orbital radius in units of the initial orbital radius. The hor-
izontal axis is the time in units of the initial planet orbital period.
For α = 8 × 10−4 the migration follows the Type I rate. At the
lower values, the migration halts due to a feedback effect. Figure
based on Li et al, 2008.
Fig. 16.— Coorbital streamlines near an inwardly migrating Sat-
urn mass planet Mp = 3 × 10−4 Ms located at the origin in
the comoving frame of the planet. The inward migration rate is
0.002Ωp rp . Angle θ increases to the left. The heavy streamlines
are open and pass by the planet. The light streamlines are closed
and contain trapped material on the leading side of the planet
(streamlines based on Ogilvie & Lubow, 2006). The trapped ma-
terial is retained from regions further from star acquired at earlier
time. The open streamlines carry ambient disk material. In con-
trast to nonmigrating case in Fig. 9, the asymmetry and the density
differences between the trapped (retained) and open (ambient) gas
gives rise to a coorbital torque.

Fig. 17.— Evolution of orbital eccentricity (top) and inclination
(bottom) of a two planet system in which an inward migration of
10−5 AU y −1 is imposed on the outer one. The horizontal axis is
in units of years. Both planets have Mp = 1MJ . The orbital ec-
centricities of the planets grow as a result of resonant migration
in the 2:1 resonance. The eccentricity of the inner planet grows
faster than the outer one. A small initial mutual inclination grows
to large values as the eccentricities increase. From Tommes & Lis-
sauer, 2003.
Fig. 18.— Orbital radius as a function of time in orbits for 3M⊕
planets embedded in a gaseous disk based on simulations. The
dotted lines plot the migration of planets in a laminar disk, a disk
without turbulent fluctuations. The solid lines plot the migration
of planets in a disk with turbulent fluctuations due to the MHD
turbulence. The random motions are due to the fluctuating torques.
Obtained from Nelson, 2005.
23
progress along these lines because the density structure de-
pends on the disk turbulence which is difficult to accurately
model from first principles. The resolution of disk proper-
ties in the inner parts of protostellar disks is important for
such purposes. New telescopes such as ALMA and JWST
may be quite valuable in making such determinations.
Acknowledgments. This work was partially supported
by NASA grant NNX07AI72G to SL. We thank Gennaro
D’Angelo and Jim Pringle for carefully reading a draft and
suggesting improvements.
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