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# REFERENCES

Temperature induced shell effects in deformed nuclei
B. K. Agrawal1, Tapas Sil1, S. K. Samaddar1 and J. N. De2

1Saha Institute of Nuclear Physics, 1/AF Bidhannagar, Calcutta 700 064, India

2Variable Energy Cyclotron Centre, 1/AF Bidhannagar, Calcutta 700 064, India

## Abstract

The thermal evolution of the shell correction energy is investigated for deformed nuclei using Strutinsky prescription in a self-consistent relativistic mean-field framework. For temperature independent single-particle states corresponding to either spherical or deformed nuclear shapes, the shell correction energy $`\mathrm{\Delta }_{sc}`$ steadily washes out with temperature. However, for states pertaining to the self-consistent thermally evolving shapes of deformed nuclei, the dual role played by the single-particle occupancies in diluting the fluctuation effects from the single-particle spectra and in driving the system towards a smaller deformation is crucial in determining $`\mathrm{\Delta }_{sc}`$ at moderate temperatures. In rare earth nuclei, it is found that $`\mathrm{\Delta }_{sc}`$ builds up strongly around the shape transition temperature; for lighter deformed nuclei like $`{}_{}{}^{64}Zn`$ and $`{}_{}{}^{66}Zn`$, this is relatively less prominent.

PACS number(s): 21.10.Ma, 21.60.-n, 27.70.+q

In the backdrop of the nuclear mass formula, the shell-correction energy calculated in the microscopic-macroscopic approach of Strutinsky  plays an extremely important role in properly understanding the ground state masses of atomic nuclei, their equilibrium deformation, double-hump barrier of fissioning nuclei etc. The shell correction energy is evaluated through smoothening of the fluctuations in the single-particle level structure; these fluctuations depend among others on the intrinsic deformation of the nuclear system. With increasing excitation or temperature, occupancies of orbitals tend to wash away the fluctuations arising from the set of single-particle states; it is then found that the shell energy melts away  with temperature at $`T_{shell}\mathrm{}\omega _0/\pi `$ ($`\mathrm{}\omega _041A^{1/3}`$). This is typically $`2.5`$ MeV for rare-earth nuclei. This has however been investigated for a fixed set of single-particle levels corresponding to a fixed intrinsic deformation.

Nuclei, deformed in their ground states undergo phase transition to spherical shapes with increase in temperature . For rare-earth nuclei, these temperatures $`T_p`$ are typically between $`12`$ MeV. In their ground states, the $`m`$states emanating from a given $`j`$shell near the Fermi surface of these nuclei are preferentially occupied driving the system towards a stable deformation. As the nuclei are heated up, these occupancies tend to equalize which tries to restore the spherical symmetry. The different $`m`$states from a given orbital then become bunched and the single-particle level structure becomes more nonuniform at the spherical shape ($`\beta _2=0`$). If one calculates the shell correction energy at $`T=0`$ with the deformed ground state level spectrum and the spectrum obtained by constraining the system at $`\beta _2=0`$, one would always find that the shell correction energy at $`\beta _2=0`$ would be larger in magnitude. With increasing temperature, the deformation of the nuclei reduces and the occupancies of the single-particle states in the vicinity of the Fermi surface tend to become uniform. The uniform occupancy across the Fermi surface would reduce the shell correction whereas the decrease of deformation enhances the shell correction. In a self-consistent tuning-in of the deformation with temperature, the temperature dependence of the shell correction energy would then be governed by the dual role played by the thermal evolution of the single-particle occupancies, i.e., the interplay between their tendency for a drive towards sphericity and their tendency for the washing out of the shell corrections. For example, if $`T_p`$ is considerably less than $`T_{shell}`$, one may find a sharp building-up of the shell correction energy with temperature in the vicinity of $`T_p`$. The aim of this note is to investigate in detail this delicate interplay for a few selected nuclei in the relativistic mean field (RMF) theory. For our study, we have chosen isotopes of $`Sm`$ and $`Dy`$ in the rare-earth region and two lighter nuclei $`{}_{}{}^{64}Zn`$ and $`{}_{}{}^{66}Zn`$. In passing, it may be mentioned that Egido et al  have recently pointed out that at relatively high temperature, the shell-effects which drive deformation disappear but not the ones providing magic numbers in spherical nuclei.

The details of the Lagrangian density and the corresponding field equations used for calculating the thermal evolution of the deformation and single-particle levels are given in Refs. . In the present calculation, we employ the NL3 parameter set . To include the effect of pairing , the occupancies have been modified in the framework of BCS approximation . The single-particle states are calculated using spherical oscillator basis with twelve shells. The values of the chemical potential and the pairing gap at a given temperature are calculated using all the single-particle states up to $`2\mathrm{}\omega _0`$ (the model space) above the Fermi surface without assuming any core. With increase of the basis space to twenty shells and the model space to $`3\mathrm{}\omega _0`$, the changes in the results are insignificant. The continuum corrections are not taken into account in the temperature range explored ($`T3`$ MeV) where it has earlier  been found to be quite small. Once the set of single-particle states are obtained in the RMF theory, the shell corrections are evaluated in the standard Strutinsky  prescription. The shell correction energy $`\mathrm{\Delta }_{sc}`$ is calculated as

$$\mathrm{\Delta }_{sc}=\underset{i}{}n(ϵ_i,\lambda ,T)ϵ_i\stackrel{~}{g}(ϵ)ϵn(ϵ,\stackrel{~}{\lambda },T)𝑑ϵ.$$
(1)
In eq. (1), the sum runs over all the single-particle states with energy $`ϵ_i`$ in the model space. The function $`n`$ is the occupancy and $`\stackrel{~}{g}(ϵ)`$ is the smoothened density of single-particle states . The chemical potentials $`\lambda `$ and $`\stackrel{~}{\lambda }`$ are obtained for the discrete and the smoothened single-particle states, respectively. Results for $`\mathrm{\Delta }_{sc}`$ calculated in this method taking a fixed set of temperature independent single particle levels are found to be in consonance with those obtained by Bohr and Mottelson  using a different prescription.

In Fig. 1 , in the top panel, the changing deformation as a function of temperature for the nuclei $`{}_{}{}^{148}Sm`$ and $`{}_{}{}^{150}Sm`$ are displayed. In the bottom panel, the thermal evolution of the neutron single-particle level spectrum of the nucleus $`{}_{}{}^{150}Sm`$ is also shown. The qualitative features of the evolving proton single-particle spectrum for $`{}_{}{}^{150}Sm`$ or the neutron/proton spectra for the nucleus $`{}_{}{}^{148}Sm`$ are similar and are therefore not displayed here. At $`T=0`$, the preferential occupation of the $`m`$orbitals near the Fermi surface stemming from the $`j`$state forces the system towards a static ground state deformation. As the system heats up, the occupancies of different $`m`$states evolve in a self-consistent manner and drive the single-particle potential towards a more spherically symmetric one which in turn reorganizes the single-particle orbitals. This reorganization becomes very fast at the shape transition temperature $`T_p`$ leading to a sudden collapse of the deformation. This is evident from both the panels of Fig. 1.

The thermal evolution of $`\mathrm{\Delta }_{sc}`$ is shown for $`{}_{}{}^{150}Sm`$ in the top panel of Fig. 2. This nucleus is deformed in its ground state with $`\beta _2=0.19`$. With the set of single-particle energy states fixed corresponding to this ground state, the calculated $`\mathrm{\Delta }_{sc}`$ is shown as the dotted line. The dashed-dot line refers to $`\mathrm{\Delta }_{sc}`$ calculated with the set of single-particle states corresponding to the spherical configuration of this nucleus as obtained at the shape transition temperature $`T_p`$. It may be mentioned that for a fixed spherical shape, the single-particle states are practically independent of temperature below $`T4`$ MeV  and therefore these set of states have been used for the calculation of $`\mathrm{\Delta }_{sc}`$ (dashed-dot line). In a fully self-consistent calculation, as expected, $`\mathrm{\Delta }_{sc}`$ (solid line) coincides at $`T=0`$ with the dotted curve and merges with the dashed-dot curve at and beyond the transition temperature $`T_p`$. The transition temperature so calculated for this nucleus and for other nuclei are in agreement with those calculated recently also in the RMF framework by Gambhir et al . As the temperature approaches $`T_p`$, there is a sudden drop in deformation (see Fig. 1), with an abrupt enhancement of $`3`$ MeV in $`\mathrm{\Delta }_{sc}`$. Beyond this temperature, the nucleus is spherical and $`\mathrm{\Delta }_{sc}`$ decreases monotonically. A nucleus in a spherical equilibrium configuration in its ground state can not have a positive shell correction energy. Strikingly, here we find that though the shape becomes spherical at and beyond $`T_p`$, the shell correction energy is positive (more on this is discussed later). In the bottom panel of Fig. 2, the self-consistent thermal evolution of $`\mathrm{\Delta }_{sc}`$ for the nuclei $`{}_{}{}^{148}Sm`$, $`{}_{}{}^{152}Dy`$ and $`{}_{}{}^{154}Dy`$ are shown. They exhibit the same kind of structure as in the case of $`{}_{}{}^{150}Sm`$.

The self-consistent thermal evolution of the shell correction energy is also studied for two deformed lighter nuclei, namely, $`{}_{}{}^{64}Zn`$ and $`{}_{}{}^{66}Zn`$. In Fig.3, the temperature evolution of deformation (top panel) and the shell correction energy $`\mathrm{\Delta }_{sc}`$ (bottom panel) are displayed for these two systems. It is found that the collapse of the deformation is a little smoother for these two nuclei compared to the isotopes of $`Sm`$ and $`Dy`$ studied. A broad but less prominent bump in $`\mathrm{\Delta }_{sc}`$ around the transition temperature is also seen. As pointed out earlier, the thermal evolution of $`\mathrm{\Delta }_{sc}`$ depends on two competing mechanisms, i.e., the smoothening of the fluctuation effects of the single-particle spectra around the Fermi surface and the bunching of different $`m`$-states with increasing temperature. The counter-balance of these two effects determines the details of the structure in the temperature dependence of $`\mathrm{\Delta }_{sc}`$ for deformed nuclei. This is reflected in Fig.2 as well as in Fig.3.

Since spherical nuclei in ground state have negative shell corrections, the positive shell correction energy for the systems turned spherical at or beyond the shape transition temperature at first glance may look counter-intuitive. This, however, can be understood from an examination of the level density of the single-particle states in the vicinity of the Fermi surface within the smearing width taken to be $`1.2\mathrm{}\omega _0`$. We are dealing with open-shell deformed nuclei with temperature induced spherical shapes that have different single-particle structure near the Fermi surface as compared to those in the regular spherical (i.e. closed-shell) nuclei. Thus, one need not expect the same behaviour of the shell corrections though the systems are spherical in both cases. In Fig. 4, the results for the shell correction energy $`\mathrm{\Delta }_{sc}`$ for neutrons and protons are given separately for systems $`{}_{}{}^{150}Sm`$ (top panel) and $`{}_{}{}^{64}Zn`$ (bottom panel). It is found that $`\mathrm{\Delta }_{sc}`$ remains positive for protons and negative for neutrons in case of $`{}_{}{}^{150}Sm`$ and the situation is reversed for $`{}_{}{}^{64}Zn`$. The number of neutrons in $`{}_{}{}^{150}Sm`$ is closer to a magic number (N=82) whereas the number of protons correspond to a mid-shell. This explains the sign of the shell corrections for neutrons and protons; the total shell correction is the sum of these two. For $`{}_{}{}^{64}Zn`$, the sign of the proton and neutron shell correction is reversed; here the proton number as compared to the number of neutrons is closer to the magic number 28.

That the shell correction energy dissolves with increasing temperature for a fixed set of single-particle levels is well-known. For deformed nuclei, because of the self-consistent reorganization of the single-particle field, we now find that there is a strong build-up of the shell correction energy at the shape transition temperature. This is a manifestation of the delicate interplay between the self-consistent evolution of the single-particle states with temperature and their occupancies. In phenomenological analyses of the temperature dependence of the level density of deformed nuclei, the temperature induced shell correction would have a role to play. The temperature dependent shell effects are generally included using a single wave fluctuation of the level density  that corresponds to a fixed set of single particle states; as is seen, for a proper evaluation of the level density for deformed systems the reorganisation of the single particle spectra with temperature need to be considered.

The authors gratefully acknowledge helpful discussions with Prof. S. S. Kapoor.

Figure Captions

* (a) The evolution of the deformation $`\beta _2`$ as a function of temperature for $`{}_{}{}^{148}Sm`$ and $`{}_{}{}^{150}Sm`$. (b) The thermally evolving single-particle neutron spectrum for $`{}_{}{}^{150}Sm`$.
* (a) The shell-correction energy for $`{}_{}{}^{150}Sm`$ is shown for different choices of single-particle states (see text). (b) The self-consistent evolution of $`\mathrm{\Delta }_{sc}`$ as a function of temperature for the nuclei $`{}_{}{}^{148}Sm`$, $`{}_{}{}^{152}Dy`$ and $`{}_{}{}^{154}Dy`$.
* (a) Same as Fig. 2a for the nuclei $`{}_{}{}^{64}Zn`$ and $`{}_{}{}^{66}Zn`$. (b) Same as Fig. 3b for the systems $`{}_{}{}^{64}Zn`$ and $`{}_{}{}^{66}Zn`$.
* The neutron and proton contributions to the total shell-correction energy for the systems $`{}_{}{}^{150}Sm`$ and $`{}_{}{}^{64}Zn`$.


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# 1 Introduction

## 1 Introduction

Physicists are happy. Their resources — amount of problems to solve — is infinite. It is not so, however, in almost all other professions; the numbers of car buyers, voters, butterflies to catch and girls to kiss for the first time are limited. If one takes everything, others have to look for another hobby or job. On the other hand, cooperation is a fingerprint of modern society. All what we get except from our domestic gardens, we get from other people. The aim of this work is to present numerical results of a set of equations, where the above facts are built in as assumptions. The only way to increase one’s power or richness or speed of getting resources, which are treated here as synonymous, is to profit work of somebody else. Then, each agent $`i`$ has $`M`$ neighbours $`\{j(i)\}`$ who feed its with given speeds $`J_{ij}`$. The limitation of resources is taken into account as the global coupling via a nonlinear Verhulst-like term. These are first two r.h.s. terms of our basic equations (1), and these terms do not depend on $`i`$. Third term is to include some action of an $`i`$-th agent. Namely, it selects from his neighbours the one most sensitive for this action, and enhances feeding from this particular neighbour.

The problem belongs to the large class of models designed to describe a competition for resources . Most frequently, however, some kind of dynamic equilibrium is considered, and only a few authors are interested in an ultimate catastrophe. Example giving, although statistical physics provides tools for analysing stock market , the term “bankruptcy” is absent in physical journals (see  and  for exceptions). It seems worthwhile to take a glance on a collision of expanding society with the boundary of limited resources.

## 2 Model

Time evolution of the individual agent power $`P_i`$ is described by differential equation:

$$\begin{array}{c}\hfill \frac{dP_i(t)}{dt}=\lambda _1\underset{j=1}{\overset{M}{}}J_{ij}P_j(t)r_j(t)\lambda _2\left[\frac{1}{N}\underset{j=1}{\overset{N}{}}P_j(t)r_j(t)\right]^2\\ \hfill +\lambda _3\underset{1jM}{\mathrm{max}}\left[d_{ij}P_j(t)r_j(t)\right]\end{array}$$
(1)
Coupling constant $`J_{ij}`$ (speed of feeding) and $`d_{ij}`$ (sensitivity) are random positive reals normalized to unity and fixed during simulation, while $`\lambda _1`$, $`\lambda _2`$ and $`\lambda _3`$ describe intensities of the three terms. The constants $`r_i`$ are equal to one for active agents and to zero in other case. At the beginning, all agents are active, but once $`P_i`$ is negative for given $`i`$, $`r_i`$ is switched to zero and the $`i`$-th agent is eliminated from the game. We deal with a set of differential equations which are piecewisely continuous. At the moments of time $`t^{}`$ when $`P_i(t^{})=0`$ for any up-to-now-active agent $`i`$, the equations are switched from one analytical solution to another one. In this sense, the formalism is equivalent to a coupled map lattice, but the number of equations changes in time. Similar approach was applied already in . Note however that in our case, the maps are to be integrated numerically. We consider two different neighbourhoods: (i) each individual has $`M`$ randomly chosen neighbours, or (ii) each individual has $`M`$ nearest geometrical neighbours. In the latter case, the agents form a one-dimensional chain with periodic boundary conditions. Note that the formed network of agents is a continuous analogue to the Kauffman model , designed for a simulation of genetic systems. We solve (1) numerically and check how the kind of neighbourhood, the number of directly interacting agents $`M`$ and the strengths of interactions influence (i) time evolution of the average power (ii) and number of active agents after very long times. The simulation is started with $`N_0=10^4`$ active agents ($`r_i=1`$ for $`i=1,\mathrm{},N_0`$), each with randomly chosen initial power $`P_i(t=0)`$. The simulation takes $`N_{\text{iter}}=10^4`$ time steps, each $`10^3`$ long, what guarantees the numerical stability.

## 3 Results and discussion

Two subsequent stages of the time evolution can be observed independently of kind of neighbourhood (Fig. 1). Initially, the average power increases distinctly, but its distribution becomes wide. After some transient time, however, resources are exhausted. Richness of some agents falls to zero and they are eliminated. Cooperation becomes less effective, what leads to subsequent falls. Finally, small percent of agents survive in a steady state. Distinct differences are found between the cases of geometrical and random neighbourhood (Fig. 1). For the case of random neighbours, usually only one agent survives, $`i=\text{ult}`$. This simplifies Eq. (1) to

$$\frac{dP_{\text{ult}}(t)}{dt}=\lambda _2P_{\text{ult}}^2(t)$$
(2)
what gives subsequent power decrease of the last agent as $`1/t`$. If two or more cooperating agents survive, we are faced with a set of nonlinear equations. Analytically, a simplified case can be considered, when $`J_{ij}=J`$, $`d_{ij}=d`$. Then, the average power tends to a positive stable fixed point. Numerical results suggest, that this is the rule also in the general case (Fig. 1). The marked difference between the results for random and geometrical neighborhoods is an illustration of the old truth do ut des. In other words, it is better to help friends which can reward than to people randomly selected in the street. A group of agents feeding each other can survive, if they spend resources moderately enough. A kind of an equilibrium with a given environment seems to be possible for the geometrical neighborhood, as long as the Verhulst term is compensated by the remaining terms in Eq. (1).

The results given above refer to the case of the geometrical neighborhood. Let us define as a success of a society the case when more than one cooperating agents survive. Then, Tab. 1 gives the percentage of successes for various sets of $`(\lambda _1,\lambda _3)`$. It is astonishing (at least for us) that the roles of these two terms (first and third) in the r.h.s. of Eq. (1) differ so much. Actually, both these terms are designed to increase the power of a given agent. The difference is only that the third term is a kind of local optimization, while the first one is automatic. It seems that this kind of dynamic reaction of a given agent is particularly relevant at the border of “death” (or “bankruptcy” or so), when $`P_i`$ is close to zero. Average power in asymptotic time, presented in Tab. 2, does not show this effect. There, both terms act in the same way and can be mutually replaced to get approximately the same result.

## 4 Conclusions

We are somewhat surprised with the fury of crisis, which can be observed in Fig. 1. Simultaneously, distinct but continuous progress of the average power is substituted by wild oscillations, and the number of agents is strongly reduced. The effect arises abruptly, without any preceding warnings in the curve shape. Soon, unavoidable elimination of almost all agents is observed for all applied sets of input parameters. We imagine the model as a parabolic description of the process of breaking of bonds and a destruction of a complex system.

We feel that in this text, full of analogies, we are at the border of abuse of language. We apologize for that. However, we have found that it is particularly difficult to describe a transient process in precise terms of statistical physics, most of them designed for stationary processes. Our process could be treated as stationary, if we allow the population of agents to be slowly reproduced, maybe with retaining some fruitful information, and the whole story is repeated many times. This kind of investigation could link to a Penna-like model  and to some kind of self-organization  of the structure and strength of bonds between agents.

## Acknowledgment

The authors are grateful to Dietrich Stauffer for criticism on manuscript and paying our attention to term “bankruptcy” and Ref. . The numerical calculations were carried out in ACK-CYFRONET-AGH.


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# Thermodynamic properties of the quantum vacuum

## 1 Introduction

The vacuum fluctuations of the fields are one of the most remarkable predictions of the relativistic quantum theory of nature. The study of the physical consequences of the quantum vacuum on classical bodies began with the discovery of Casimir . In the last 50 years the zero point energy has become a challenging subject of investigation for scientists of many branches of physics. Generalized Casimir forces were studied for all kind of mathematically solvable geometries, for static and moving boundaries, for hard and penetrable classical backgrounds. Casimir energies were studied in the context of the bag models for hadrons, in cosmology and in the background of strong fields (gravitational, for instance . The most complete and updated review of the applications of the Casimir effect is still ). Recently some authors published works dealing with the possibility of using the Casimir plates as a device to extract energy from the vacuum  (see also ). The silence of the “orthodox” part of the community expresses the deep scepticism on such developments. However the policy of ignoring publications does not contribute to the progress of science. Discussion is always positive as long as it remains on the track of scientific argumentation. We also point out that a rigorous quantum field theoretical analysis of the ideas lying at the basis of the proposed machines is still lacking. This subject gives the opportunity to investigate the thermodynamics of the quantum fluctuations of the vacuum. More exactly we would like to address the question: does any thermodynamics in the vacuum exist? The problem was already touched in , however always in connection with finite temperature fields. Furthermore a generalization of the laws of thermodynamics has been explored in classical and quantum black hole physics . In this paper we are only interested in quantum states with no real particles and set in flat Minkowski spacetime. The question weather the Casimir effect could be used for purposes useful for the mankind is an old one and it attracts many adepts to the study of this area of physics. The author has been frequently asked from students weather the virtual particles of the vacuum stand as an infinite reservoir of energy at our disposal (a short discussion about this can be found in section 1.3 of  and in the references therein). With this paper we intend to cast some light into the topic and remove some superstitions. For instance it seems necessary to clarify the up to now not deeply investigated interplay between Casimir energy and the second law of thermodynamics. This law is a classical one and a counterpart valid for the sea of vacuum fluctuations in flat spacetime is by now not known.

In the next section the possibility of treating the vacuum as a relativistic quantum gas with finite thermodynamic variables is discussed. In section III the first and the second law of thermodynamics and the concept of entropy for the Casimir energy are investigated. In section IV a concrete cyclic machine projected to mine the vacuum is analyzed. In the last section the results are briefly summarized and discussed.

## 2 The meaning of $`_j\frac{1}{2}\omega _j`$ in QFT

Quantum field theory (QFT) predicts the existence of a constant which adds to the energy of each system of particles. In fact, the complete Hamiltonian of a system reads

$$H=\pm \underset{j}{}\omega _j\left(n_j+\frac{1}{2}\right),$$
(1)
where $`\omega _j`$ are the one particle energies and $`n_j`$ is the number of particles in the quantum state $`j`$ present in the system. The sign of the Hamiltonian depends on the statistics, it is positive for bosonic fields and negative for fermionic fields. The contribution

$$E_0=\pm \frac{1}{2}\underset{j}{}\omega _j,$$
(2)
which is independent of the occupation number, is the so called vacuum energy or zero point energy. The momentum operator of the field suffers as well the presence of a divergent vacuum contribution which is independent of the number of real particles present in the system. In fact the canonical momentum operator111we restrict here, for sake of brevity, to the scalar case with canonical field operators $`\widehat{\varphi }(\stackrel{}{x},t)`$ and $`\widehat{\pi }(\stackrel{}{x},t)`$

$$\widehat{\stackrel{}{P}}=\frac{1}{2}d^3x[\widehat{\pi }(\stackrel{}{x},t)\stackrel{}{}\widehat{\varphi }(\stackrel{}{x},t)+\stackrel{}{}\widehat{\varphi }(\stackrel{}{x},t)\widehat{\pi }(\stackrel{}{x},t)]$$
(3)
reads in terms of the creation and annihilation operators $`\widehat{a}_\stackrel{}{p}^{}`$ and $`\widehat{a}_\stackrel{}{p}`$ in the Fock space

$$\widehat{\stackrel{}{P}}=\frac{1}{2}d^3p\stackrel{}{p}(\widehat{a}_\stackrel{}{p}^{}\widehat{a}_\stackrel{}{p}+\widehat{a}_\stackrel{}{p}\widehat{a}_\stackrel{}{p}^{}),$$
(4)
which in the discrete formulation, after applying the usual commutation relations, becomes

$$\widehat{\stackrel{}{P}}=\underset{j}{}\stackrel{}{p}_j(\widehat{n}_j+\frac{1}{2});$$
(5)
since the vacuum momenta are isotropically distributed in all directions of empty space, the total momentum results to be zero. However the total vacuum pressure does not vanish so trivially. Contribution (2) has undergone a number of different interpretations: for many it represents a mere mathematical protuberance to the Hamiltonian due to the imperfect formulation of the theory and with no physical meaning. For others the second addendum in the parenthesis in (1) has the same dignity as the first addendum and it must have precise physical consequences. The discovery of the Casimir effect and its recent experimental verifications  seems to let no doubts nowadays on the reality of the renormalized vacuum energy, i.e. small differences in the zero point energy (2) are indeed physically real quantities. However some mystery about the nature of the whole contribution $`\frac{1}{2}_j\omega _j`$ remains. If this contribution has to be considered as unphysical on the other hand it can not be neglected in the calculations. Furthermore it is unclear how the difference between two unphysical quantities 222for instance the vacuum energies $`\frac{1}{2}_j\omega _j^{IN}`$ and $`\frac{1}{2}_j\omega _j^{OUT}`$ inside and outside a Casimir cavity could be a physical one! The trick is hidden in the well known procedure of renormalization. Still the subtraction of the poles of a function possesses a mathematical and not a genuine physical motivation. If we examine equation (1) we see that the addenda between the parenthesis are dimensionless numbers indicating the number of quanta of the field. However, while the first addendum depends on the quantum index $`j`$, the second addendum does not. So if we have three particles in the state $`j=1`$ each with energy $`\omega _1`$ formula (1) tells us we have also a half particle in that state with energy $`\omega _1`$. In each eigenstate of the Hamiltonian we have a half particle which is present even if the number of “integer” particles in the Fock space is zero. This gas of “half particles” is the quantum vacuum. Unlike the gas of Fock particles which obeys the statistics (Bose-Einstein or Fermi-Dirac) of the field at finite temperature, the gas of half particles does not have a frequency and temperature dependent distribution function. The distribution function is merely $`\frac{1}{2}`$. In the Fock state $`|0>`$ only this entity, or virtual gas, fills the Minkowski space. In order to give a meaning to this statement let us investigate whether in each finite volume of empty space there exist a finite vacuum energy. For simplicity let us take a slab of empty space of size $`L`$x$`L`$x$`d`$, with $`L>>d`$ in the vacuum of the electromagnetic field. We impose periodic boundary conditions on the surface of the slab. No material boundary delimits this volume, what we are assuming here is that the electromagnetic waves propagate continuously all through space. The total energy present in the volume $`V=L`$x$`L`$x$`d`$ is given by 333the reader is assumed to be familiar with this type of expressions

$$E_0^{slab}=\underset{n}{}\frac{1}{2}\omega _n^{slab}=\frac{\mathrm{}cL^2}{4\pi ^2}_0^{\mathrm{}}𝑑k_1𝑑k_2\underset{n}{\overset{\mathrm{}}{}}\sqrt{k_1^2+k_2^2+(2\pi n/d)^2}.$$
(6)
We regularize this expression with the help of zeta-functional techniques , i.e. we introduce a complex power $`s`$

$$E_0^{slab}=\frac{\mathrm{}cL^2}{4\pi ^2}_0^{\mathrm{}}𝑑k_1𝑑k_2\underset{n}{\overset{\mathrm{}}{}}\sqrt{k_1^2+k_2^2+(2\pi n/d)^2}^{(12s)}.$$
(7)
For $`\mathrm{}s>3/2`$ this expression converges. The analytic continuation to $`s=0`$ can be performed as follows. We introduce polar coordinates $`(k,\phi )`$ in the $`(k_1,k_2)`$-plane. Because of the presence of the regularization parameter, the integration over $`k`$ and $`\phi `$ can be performed. With the use of the Riemann zeta function $`\zeta _R=_{n=1}^{\mathrm{}}n^s`$ we obtain

$$E_0^{slab}=\frac{\mathrm{}cL^2}{2\pi }\frac{(2\pi /d)^{32s}}{2s3}\zeta _R(2s3).$$
(8)
For $`s=0`$, with $`\zeta _R(3)=B_4/4=1/120`$, the energy turns out to be

$$E_0^{slab}=\frac{\mathrm{}cL^2}{d^3}\frac{\pi ^2}{360},$$
(9)
which it is just half of the Casimir energy between to perfectly conducting plates. This means that to each finite volume of empty Minkowski space it can be associated a finite vacuum energy density. This quantity exists even if no material object is put into the vacuum to perturb it. The derivative of (9) with respect to $`d`$ yields a pressure

$$P_0^{slab}=\frac{\mathrm{}c}{d^4}\frac{\pi ^2}{120},$$
(10)
which is a quantity intrinsic of the unbounded volume $`V`$ as well. We find then ourselves in the situation of having two non-vanishing fundamental thermodynamic variables associated to each finite region of empty space. However these variables depend on the parameter $`d`$, which makes them ambiguous. Furthermore energy density and pressure change with the geometry of the considered volume. For this reason no general equation of state binding $`V`$, $`E_0`$ and $`P_0`$ can be written.

## 3 The fundamental laws of thermodynamics

We try here to extend the principles and the equations of the classical theory of heat to the renormalized energy of the fluctuating quantum fields. We start with the second law of thermodynamics. In the formulation of Thomson (Lord Kelvin ), the second law of thermodynamics prevents from extracting energy from a single bath of heat at a certain temperature. This would not violate conservation of energy, however, it would decrease the total entropy of the system. Such a transformation is, to our knowledge, forbidden by nature 444more exactly, a decrease in entropy characterizes extremely improbable transformations.. To extract energy we need at least two baths of heat which are at two different temperatures. Then, energy can be taken from the hotter bath releasing a part of it to the bath at lower temperature. No matter how sophisticated the mining machine is, the ratio of the net gained energy over the total extracted energy cannot be larger than the Carnot coefficient $`\eta <1`$, given by

$$\eta =\frac{T_1T_2}{T_1},$$
(11)
where $`T_1`$ and $`T_2`$ are the temperatures of the hot and of the cold bath respectively. The coefficient $`\eta `$ expresses the efficiency of a thermal machine . It also fixes mathematically the statement of the second law of thermodynamics 555A rigorous mathematical formulation of the second law of thermodynamics is the following: for each transformation which involves a heat variation $`\delta Q`$ in a bath at temperature $`T`$, the quantity $`\delta Q/T=dS`$ is an exact differential (see for instance ).. We would like to investigate if an analogous of formula (11) exists for the zero point fluctuations. It happens that to energy (9), as well as to the Casimir energy inside two perfectly conducting plates, it can be associated a finite effective temperature. In fact the energy density $`\frac{\pi ^2\mathrm{}c}{d^4}\frac{1}{360}`$ can be given by the integral

$$\frac{\pi ^2\mathrm{}c}{d^4}\frac{1}{360}=\frac{\mathrm{}}{\pi ^2c^3}_0^{\mathrm{}}\frac{d\omega \omega ^3}{e^{\frac{\mathrm{}\omega }{k_BT_{eff}}}1},$$
(12)
where $`k_B`$ is the Boltzmann constant and $`T_{eff}d^1`$ is the so called effective temperature of the vacuum. The r.h.s of (12) is an integration over the frequencies of a thermal bath of photons having temperature $`T_{eff}`$. This means that under certain circumstances the renormalized vacuum formally coincides with a photon gas having a Planckian spectrum and a finite temperature 666This property was first analyzed in  for the one dimensional cavity. It is also widely treated in chapter 5 of reference . The main critic that can be raised to this idea is that the Casimir energy inside a cavity is not homogeneously distributed like it is the black body radiation. It has been shown (see again ) that the spatial distribution of the Casimir energy density has asymptotes on the surface of the boundaries. The exact value of $`T_{eff}`$ for the periodic slab reads777There are actually four solutions to eq. (12). The solutions differ in the coefficients and in the sign, keeping the same dependence on $`d`$. We have taken here one of the two positive solutions. The result which follows in a few lines is independent of the solution chosen

$$T_{eff}^{periodic}=\frac{(1)^{3/4}}{2^{3/4}3^{1/4}}\frac{c\mathrm{}}{k_Bd}$$
(13)
and for the volume inside the conducting plates

$$T_{eff}^{conduct}=\frac{(1)^{3/4}}{2^{3/4}3^{1/4}}\frac{c\mathrm{}}{2k_Bd}.$$
(14)
They are both imaginary. However, if one only considers the moduli of the energies on both sides of (12), one finds the real temperatures

$$T_{eff}^{periodic}=\frac{1}{2^{3/4}3^{1/4}}\frac{c\mathrm{}}{k_Bd}$$
(15)
$$T_{eff}^{conduct}=\frac{1}{2^{3/4}3^{1/4}}\frac{c\mathrm{}}{2k_Bd}.$$
(16)
Now we want to find the Carnot coefficient $`\eta _0`$ for a machine working between two Casimir cavities with sizes $`d_1`$ and $`d_2`$, with $`d_1<d_2`$. We will adopt formula (11) understanding $`T_1`$ and $`T_2`$ as effective temperatures. Let us first consider the case of the perfectly conducting plates and let us take up the real temperatures given by (16) for $`d=d_1`$ and $`d=d_2`$. Inserting them in to (11) we find the simple result

$$\eta _0=\frac{d_2d_1}{d_2},$$
(17)
using the imaginary temperatures given by (14) the factors $`i`$ simplify and we obtain the same result. Furthermore, we calculated $`\eta _0`$ for the case of periodic boundary conditions and we obtained again result (17). The coefficient (17) has to some extent a universal meaning, it does not depend on the boundary conditions, it only depends on the parameter $`d`$. We would also like to note that an analogous coefficient must exist and could be calculated in black hole physics, where an effective temperature is associated to the mass of an evaporating singularity. We would like to make a further remark: Eq.(11) does not depend on the kind of statistics of the considered field. For massless Bose and Fermi fields the energy density is $`uT^4`$ and equation (11) can be rewritten as follows:

$$\eta =1\left(\frac{u_1}{u_2}\right)^{1/4},$$
(18)
where $`u_1`$ is the energy density of the hotter thermal bath and $`u_2`$ the energy density of the cooler one. By means of (18) the Carnot efficiency in vacuum can be calculated without the use of the effective temperature, by simply inserting the Casimir energy density of the chosen configuration. Let us find the coefficient in the case of unpenetrable spherical shells. The renormalized Casimir energy for a perfectly conducting hollow sphere with radius $`R`$ is the well known

$$E_0^{shell}=+0.09235\frac{hc}{2R}.$$
(19)
The corresponding energy density reads

$$u^{shell}=+0.09235\frac{3hc}{8\pi R^4}.$$
(20)
Inserting in (18) the energy density (20) taken for two shells of radii $`R_1`$ and $`R_2`$ with $`R_1<R_2`$, we find

$$\eta ^{shell}=1\frac{R_1}{R_2},$$
(21)
which is again result (17). The coefficient $`\eta _0`$ seems then to be independent on the geometry of the system. Equation (17) establishes a connection between quantum fluctuations of the fields and the second law of thermodynamics, giving the efficiency of a Carnot machine in vacuum. The coefficient $`\eta _0`$ tell us that if $`d_2`$ (i.e. the size of the “cold” cavity) reaches infinity, a hundred per cent of the available energy can be transformed in to work for human purposes. However, this means 100 per cent of the renormalized energy $`u_1`$ confined in the small cavity and not of the huge energy $`\frac{1}{2}_j^{\mathrm{}}\omega _j`$ outside it. Now some authors suggested that a machine working between two reservoirs at different Casimir energy densities should be able to extract an unlimited quantity of energy from the vacuum. In the next section we will analyze this possibility in detail.

An important consequence of the second law of thermodynamics is that, for every transformation, the variation in entropy $`S`$ is always positive or zero. This drives the whole universe toward a state of maximum entropy determining the time direction of the events. As Clausius pointed out , the universe marches toward its thermal death: a global state in which the total entropy has reached its maximum. In this universe no thermodynamic transformation can take place. In the definition given by Clausius, the variation in entropy for an isothermal transformation is calculated by:

$$dS=\frac{dQ}{T}.$$
(22)
Boltzmann  gives a more elegant definition, involving purely probabilistic considerations for the entropy of a system which is in the state $`s`$:

$$S=k_BN\mathrm{ln}W_s.$$
(23)
Here $`N`$ is the number of particles of the system and $`W_s`$ is the probability for the state $`s`$. It can be shown that definition (22) and (23) are equivalent 888In statistical quantum mechanics, the entropy is commonly expressed as $`S=k\mathrm{ln}Z+kT\frac{\mathrm{ln}Z}{T}`$, where $`Z`$ is the sum-over-states: $`Z=_n\mathrm{exp}[E_n/kT]`$, the quantities $`E_n`$ being the energy eigenvalues for all the different steady state solutions $`n`$ of which the system is capable. For a proof of the validity of equations (11), (22) and of eq.(24) in quantum statistical mechanics, see sections 129, 130 and 131 of . The author of the present paper finds of interest to investigate the variation in entropy for transformations in vacuum involving Casimir cavities. We find ourself immediately in the difficulty of defining the quantity $`dQ`$. In fact we do not have any heat exchange in Casimir like situations. It is a very remarkable property that the walls of a Casimir cavity do not transmit energy between the two regions of space which are at two different energy densities. Given this peculiarity, it seems necessary to redefine the fundamental equation of the first principle of thermodynamics, which in classical physics reads:

$$dQ=dU+dW.$$
(24)
This states that in each system a variation of heat $`dQ`$ is partially transformed into work $`dW`$, while a part of it is used to change the internal energy of the system $`dU`$. When dealing with the quantum vacuum, the internal energy can always be defined by means of the renormalized (Casimir) energy and eventually by means of the effective temperature. A work $`W`$ can always be defined when the size of the cavity is changed, therefore, we can always define “adiabatic” transformations, as transformations for which $`dQ=0`$ and $`dU=dW`$. We now ask ourselves whether an energy variation can take place when the size of the cavity remains fixed. This is indeed the case when the boundary conditions are changed. A change in the physical properties of the walls of the cavity results in a change of the Casimir (internal) energy and, if the cavity is free to expand or contract this change will also produce work. It corresponds to a heat exchange $`dQ`$ in classical physics. The first law of thermodynamics may then be rewritten as:

$$dB=dC+dW,$$
(25)
where $`dB`$ is the energy expended to the vary the boundary conditions and $`dC`$ is the variation in the renormalized vacuum energy inside the cavity. If we vary the boundary conditions of a cavity while keeping its size unchanged, all the energy $`dB`$ is turned into Casimir energy and no work is performed. We have then an isochoric transformation:

$$dB=dC.$$
(26)
If otherwise we compensate the variation of the boundary conditions with a change in the volume of the cavity, so that the Casimir energy remains unchanged, we have an “isothermal” transformation:

$$dB=dW.$$
(27)
In full analogy with the classical theory, the law of entropy may be rewritten as follows:

$$dS_c=\frac{dB}{T_{eff}},$$
(28)
where $`S_c`$ indicates a kind of modified or Casimir entropy. We want to study the sign of $`dS_c`$. We will not accomplish rigorous calculations here, we only propose an approach to the study of $`S_c`$. Let us first consider the spherical geometry. For dimensional reasons, a conducting spherical shell with radius $`R`$, in the electromagnetic vacuum, has an effective temperature of the form

$$T_{eff}^{spher}\sigma \frac{hc}{k_BR},$$
(29)
where $`\sigma `$ is a number. Let us suppose to have a spherical shell with radius $`R_1`$ and with a boundary condition (a hardness) $`_1`$ on its surface which is close to the perfect reflectivity. Inside the sphere we have a finite and positive Casimir energy to whom it can be associated an effective temperature of the form (29) 999the calculation of this temperature is of course a hard task and a simple analytical form in terms of $`R_1`$ and $`_1`$ may even not exist. We now let the shell expand under the effect of the repulsive Casimir force until it reaches the radius $`R_2`$. During this process a work is done. At a same time we change the boundary conditions toward a higher hardness $`_2`$, so that the two effects compensate each other and the renormalized energy and effective temperature remain unchanged. In passing form the boundary condition $`_1`$ to the boundary condition $`_2`$ an energy $`\mathrm{\Delta }B`$ must be expended, in fact more frequencies are trapped inside the shell and the Casimir mechanism, generating positive energy is enhanced. The change in entropy is given by

$$\mathrm{\Delta }S_c^{spher}=_{B_1}^{B_2}\frac{dB}{T_{eff}^{spher}}.$$
(30)
Being $`B_2>B_1`$ and $`T_{eff}^{spher}>0`$, this quantity is clearly positive.
In the case of two parallel plates embedded in the vacuum, we calculate the entropy variation for the following transformation: We let two highly reflective boundaries initially at a distance $`d_1`$ move one toward another under the effect of the attractive Casimir force and we compensate the change in Casimir energy by a reduction of the hardness of the boundaries ($`_2_1`$). The effective temperature remains unchanged and we have an entropy variation

$$\mathrm{\Delta }S_c^{plat}=_{B_2}^{B_1}\frac{dB}{T_{eff}^{plat}}.$$
(31)
This quantity is positive, since the work we must do to diminish the reflectivity of the plates is positive. If we let the parallel plates or the spherical shell freely move under the effect of the vacuum forces, without any change in the boundary conditions, we have an adiabatic transformation ($`dB=0`$) and the entropy variation is $`0`$.

We have then introduced in (28) a sort of entropy, which applies to quantum problems where the boundary conditions play a relevant role. We found (at least in the above considered class of examples) that in vacuum this quantity never decreases.

## 4 Casimir machines

The principal idea in an energy extraction cycle which adopts the Casimir effect is to let the Casimir force do a work and take the energy released in this process. For instance we can let the Casimir plates freely “fall” one toward another from a distance $`d_1`$ to a distance $`d_2`$. The plates may “impact” at the distance $`d_2`$, where the repulsive intermolecular forces become overwhelming and the kinetic energy could be transformed into electrostatic energy to be stored in a capacitor. The stored energy is very small. To restart the process again one must bring the two plates apart. This costs an amount of work which is $`C(d_1)C(d_2)`$, where $`C(x)`$ represents the Casimir energy of two perfectly conducting plates kept at a distance $`x`$. This amount of work exactly compensates the gained energy. We will now being assuming that this compensation is not due to any fundamental law of nature, but rather to a lack of our extraction device. We shall therefore consider a more complex extraction cycle, like, for instance, that proposed in . In that paper, “adiabatic” and “non adiabatic” transformations are used to form a closed cycle which looks very similar to a Carnot cycle when displayed in a diagram having the plates separation on the abscissa and the Casimir pressure on the ordinate. The machine proposed in  uses the electromagnetic vacuum and two parallel plates whose dielectric (reflectivity) properties vary periodically, enhancing or diminishing the Casimir force. The change in the dielectric properties of the medium is accomplished by illuminating the medium with suitable radiation. The flow of radiation through the boundaries made of semi conducting material ionizes the atoms of the medium, causing an increase in the number of free electrons and in the conductivity properties of the boundaries. We are not interested here in the details of optics, therefore this description is sufficient for our purposes. We will analyze a simplified version of the machine proposed in . It is displayed in Fig. 2. At phase A two highly transparent thin boundaries are kept at a large distance from each other, so that the Casimir force/energy is negligible. At a certain time (picture B) two suitable lamps are turned on before the two boundaries. This increases the conductivity of the medium and the modes of the vacuum will be scattered by the boundaries. Previously the boundaries were almost totally penetrable and no scattering took place. The scattering of the modes inside the cavity causes the creation of stationary waves and the change of the energy spectrum which activates the Casimir mechanism; this represents a non-adiabatic transformation. The plates will attract and the vacuum will be doing work moving the two boundaries and bringing them closer, this motion represents an adiabatic transformation. In the phase C the motion is stopped at an arbitrary distance $`d_2`$. In order to drastically reduce the Casimir attraction, the lamps are turned off (picture D). The boundaries become again almost fully transparent and they can be taken away from each other with a negligible amount of external work. When the plates are sufficiently distant the lamps are turned on again and a new cycle may start. This is an intriguing apparatus in which the reduction of the Casimir potential by turning off the lamps at the stage D of the cycle seems to happen at absolutely no cost of energy. During the whole cycle, the only energy that must be yielded to the system from outside is that necessary to ionize the atoms of the medium in order to increase the reflectivity of the boundaries. However, when the lamps are turned on at the beginning of the cycle (stage B), the Casimir potential is reduced since we create a negative energy density inside the plates, this should not cost us energy, on the contrary energy should be released, since the system tends toward the state of lowest potential. Now, is hard to imagine how, by emitting photons, we can collect energy from the vacuum! On the other hand when turning off the lamps (stage D) some external work is done, because the Casimir potential is increased (remember that the sign of the potential is negative), however one could hardly imagine to yield energy to the environment by stopping emitting photons in it! To get rid of this paradox let us analyze the entire cycle again, this time neglecting all forces and energy changes which have nothing to do with the Casimir effect and which certainly obey conservation laws. At stage A, when the transparent boundaries are kept at a large distance, a weak Casimir force will tend to bring the potential to the lowest state, i.e. to increase the modulus of the Casimir energy. This includes a weak force which will tend to ionize the atoms of the medium in order to render the boundary more reflective. No lamp is turned on. As the boundaries begin to move one toward another, the Casimir force gets larger and a larger number of atoms is ionized. The decrease in potential energy is compensated by an increase in kinetic energy of the plates. As the boundaries reach the minimum distance and the kinetic energy is stored for human purposes, the potential energy reaches its minimum, the Casimir force reaches its maximum and a large part of the atoms of the boundaries is kept ionized. Now if we wish to restore the initial conditions and restart the cycle again we must first render the material of the boundaries transparent, to do so we have to perform work against the forces of the vacuum which tend to keep the electrons free and the material highly reflective. This is the crucial point. The work we must do to recombine the electrons with the atoms is of course larger when the distance of the plates is small and it is presumably equal to the total energy released by the vacuum during the compression phase. One may object that the vacuum releases energy in ionizing the atoms just like it releases kinetic energy in bringing the plates closer. This is indeed true. We could markedly distinguish between 1. the energy released from the vacuum in bringing two dielectrics closer and 2. the energy released from the vacuum to render two close dielectric boundaries highly reflective. However the humans who want to restore the initial conditions will have to do the opposite jobs as well: they will have to 1. recombine the free electrons against the forces of vacuum, 2. take the two weakly reflective boundaries away one from another against the forces of vacuum. The two contributions may smoothly overlap during the transformation, but the final result is the same: the energy budget is zero at the end of the cycle. The introduction of other variables in the system, like the electrostatic forces of the atoms which tend to keep the electrons bounded, or the photons of the lamp which help in the ionization, does not alter this conclusion: no energy is extracted cyclically by means of a machine mixing “adiabatic” and “non-adiabatic” Casimir transformations.

## 5 Conclusions

Investigating the thermodynamic properties of the ground state fluctuations of the quantum fields a number of interesting features appear. We have studied the possibility of associating finite thermodynamic quantities like energy density and pressure, to a finite region of empty space; this is possible by renormalization, but the thermodynamic variables depend on the geometry of the chosen region. We have also discussed the first and the second principle of thermodynamics in connection with Casimir energies. We found an expression for the thermal efficiency of a machine working between two cavities confining the electromagnetic vacuum at different energy densities. We also faced the problem of entropy in vacuum physics. We defined a modified version of the entropy $`S_c`$, which depends on the boundary conditions introduced in a system. We reached a result which suggests that for plane and spherical geometries the variation in $`S_c`$ is always positive. We note that this result is not in contradiction with Nernst theorem 101010The problem of the validity of the Planck-Nernst theorem is also discussed within black holes thermodynamics . The latter in fact applies to the classical concept of entropy. The quantity $`S_c`$ not only takes into account boundary condition effects, but it picks up the effective temperatures of the bounded regions instead of the value T=0 which classical physics trivially attributes to the vacuum. The effective temperature may be then regarded to as a kind of renormalized temperature, which allows to construct a thermodynamic theory of the vacuum fluctuations 111111We have here another interesting analogy with the physics of black holes: In classical gravitation the temperature of a black hole is $`T=0`$ and no energy escapes the event horizon. However, when quantum effects are taken into account a finite temperature must be assigned to the black hole, which radiates particles thermally..

In the last section we have critically examined the possibility of extracting energy from the zero point fluctuations, reviewing the device proposed in  and showing that a closed cycle with a net positive energy budget cannot be realized. A Casimir machine transforms into work only a small and finite quantity of energy, namely the Casimir energy involved with the geometry the cavity. Once this quantity is consumed, there is no way to restore the initial conditions of the cavity by varying some physical parameters without spending out all the gained energy.

The hypothesis that the vacuum contribution $`\frac{1}{2}_j^{\mathrm{}}\omega _j`$, predicted by quantum field theory, is an infinite heat reservoir from which we can take unlimited energy for our purposes does not find confirmation in the present paper. We are only able to manipulate renormalized energies, which the vacuum makes us available. It may be nonetheless possible to rescue the concept of the renormalized vacuum as a kind of quantum relativistic gas pervading empty space, in this case the principles of thermodynamics seem to be still valid, when some opportune modifications are included. Accepting this picture many questions still remain open, the author hopes to return on them in a future paper.

## 6 Acknowledgments

I would like to thank the Italian foundation ONAOSI for support during this research.


text:
# Spectator Response to the Participant Blast

## I INTRODUCTION

One of the major goals of intermediate and high-energy heavy-ion collision studies is the determination of the nuclear equation of state (EOS). The EOS constrains the nucleon-nucleon interactions in nuclear matter  and is an important ingredient for a detailed understanding of the supernovae explosions , the structure of neutron stars , and the evolution of the early Universe . While the precise relationship between the EOS and the nucleon-nucleon interaction remains complicated , the EOS continues to be an important ingredient for developing an understanding for a range of nuclear processes including many heavy-ion reaction-phenomena .

Phenomenological parameterizations of the EOS are usually constrained with the properties of nuclear-matter at normal density $`\rho _0`$ and diverge at much higer densities that can be probed in energetic heavy-ion reactions. An important complication for heavy-ion collisions results from the fact that the duration of the initial high-density stage of the collision is very short compared to the time scale for the whole reaction process. E.g., in an 800 MeV/nucleon $`b=5`$ fm collision of 124Sn + 124Sn, the high-density stage with a central density $`\rho _c>1.5\rho _0`$ lasts about $`13`$ fm/c, while the elapsed time from the initial impact to the complete seperation of target and projectile is $``$ $`40`$ fm/c. The spectator properties continue to develop well beyond this time. Given the short duration of the high-density stage, signals which carry information about the high-density phase of the collision could be easily washed out by other signals generated at a later stage. In consequence, reaction simulations are needed to provide guidance for the measurement of signals which not only probe the high-density stage but survive through the entire duration of the collision process.

The collective flow of participants has been observed for a long time . The flow is believed to result from early stage compression and an expansion , and can carry information on the initial high-density phase. The relation between the nuclear EOS and the flow phenomena has been explored extensively in simulations and a recent example is the analysis of the transverse-momentum dependence of the elliptical flow . The elliptical flow is shaped by an interplay of geometry and mean field and, when gated by the transverse momentum, reveals the momentum dependence of mean field at supranormal densities.

The elliptical flow pattern of the participant matter is affected by the presence of the cold spectators , as will be reiterated. When nucleons are deccelerated in the participant region, the longitudinal kinetic energy associated with the initial colliding nuclei is converted into the thermal and potential compression energy. In a subsequent rapid expansion or explosion, the collective transverse energy develops  and many particles from the participant region get emitted in the transverse directions. The particles emitted towards the reaction plane can encounter the cold spectator pieces and, hence, get redirected. In contrast, the particles emitted essentially perpendicular to the reaction plane are largely unimpeded by the spectators. Thus, for beam energies leading to a rapid expansion in the vicinity of the spectators, elliptic flow directed out of the reaction plane (squeeze-out) is expected. This squeeze-out is related to the pace at which the expansion develops, and is, therefore, related to the EOS.

On the other hand, since the spectators serve to deflect particle emissions toward the reaction plane, their properties may be significantly modified. This prompts us to analyze the characteristics of the spectators resulting from the collision process. In one sense, the spectators can be viewed as probes which were present at the site of the nuclear explosion leading to the rapid particle emission. Thus, a careful study of their characteristics could complement the results from the elliptic flow and provide further information on the properties of high-density nuclear matter.

Long-time evolution of spectators has been studied in recent past by Gaitanos et al.. A comprehensive summary of experimental results for spectators produced in reactions at different centralities has been presented by Pochodzalla . In particular, universal features of spectator multifragmentation has been well documented . The transverse momentum change of the spectator during a semicentral collision, to be addressed here, was looked at in the past via emulsions by Bogdanov et al.  (see also ). The systematics of the longitudinal momentum transfer to spectators in energetic reactions induced by light projectiles can be found in Ref. .

In this paper, we present an analysis of the interplay between participant and spectator matter during the violent stage of a heavy-ion reaction. We examine the impact of the interplay on the evolution of different physical characteristics within the two reaction zones. We investigate whether the spectator properties can be related in any fashion to the high-density EOS.

The paper is organized as follows. A brief description of our transport model is given in Section II. The reaction process and the participant-spectator interaction are described in Section III. The sensitivity of the emerging spectator characteristics to the nuclear EOS is investigated in Section IV. The paper is summarized in Section V.

## II Transport model

In this work, we utilize a set of transport equations of the Boltzmann-Uhlenbeck-Uehling (BUU) type to simulate central heavy-ion reactions . Within the approach, the reacting system is represented by quasiparticles with definite momentum and energy. Those quasiparticles move within the mean field (MF) produced by other quasiparticles and undergo collisions that represent fluctuations in the interaction with the medium beyond the mean field. With this, the phase-space distributions of quasiparticles, $`f_Xf_x(𝐩,𝐫,t)`$, follow the set of equations:

$$\frac{f_X}{t}+\frac{ϵ_X}{𝐩}\frac{f_X}{𝐫}\frac{ϵ_X}{𝐫}\frac{f_X}{𝐩}=𝒦_X^<(1f_X)𝒦_X^>f_X.$$
(1)
The l.h.s. in the above accounts for the changes in the distribution caused by the the MF and the r.h.s. for the changes in the distribution due to collisions. The single-particle energies $`ϵ_X`$ are variational derivatives of the total system energy with respect to the phase-space distribution. The dependence of the total energy on phase-space distributions yields in the equilibrium the system EOS.

We carry out our calculations utilizing strongly momentum-dependent (MD) and momentum-independent (MI) MFs. In the calculations with the MI MFs, the energy density in the system is

$$e=\underset{X}{}g_X\frac{d𝐩}{(2\pi )^3}f_X(𝐩)\sqrt{p^2+m_X^2(\rho _s)}+_0^{\rho _s}𝑑\rho _s^{}U(\rho _s^{})\rho _sU(\rho _s).$$
(2)
where $`m_X(\rho _s)=m_X+A_XU(\rho _s)`$, $`A_X`$ is baryon number and $`\rho _s`$ is scalar baryon density. The single-particle energy is then

$$ϵ_X(p,\rho _s)=\sqrt{p^2+m_X^2(\rho _s)},$$
(3)
and we parametrize the scalar field $`U`$ with

$$U(\rho _s)=\frac{a\left(\rho _s/\rho _0\right)+b\left(\rho _s/\rho _0\right)^\nu }{1+\left(\frac{\rho _s}{2.5\rho _0}\right)^{\nu 1}},$$
(4)
where $`\rho _0`$ is the normal density and $`a`$, $`b`$ and $`\nu `$ are parameters. In the calculations with MD MFs, the energy density is represented in the local baryon frame as

$$e=\underset{X}{}g_X\frac{d𝐩}{(2\pi )^3}f_X(𝐩)\left(m_X+_0^p𝑑p^{}v_X^{}(p^{},\rho )\right)+_0^\rho 𝑑\rho ^{}U(\rho ^{}).$$
(5)
The adopted form for $`U(\rho )`$ is the same as in (4) and the local particle velocity is parameterized with

$$v_X^{}(p,\rho )=\frac{p}{\sqrt{p^2+\frac{m_X^2}{\left(1+c\frac{m_N}{m_X}\frac{A_X(\rho /\rho _0)}{(1+\lambda p^2/m_X^2)^2}\right)^2}}}.$$
(6)
With the above, the single-particle energy in the local frame is:

$$ϵ_X(p,\rho )=m_X+_0^p𝑑p^{}v_X^{}+A_X\left[\rho _0^{p_1}𝑑p^{}\frac{v^{}}{\rho }+U(\rho )\right].$$
(7)
The parameters for the MFs are given in Table I. Other details of our calculations, such as concerning the initialization of nuclei and the lattice Hamiltonian method for integrating the equations, can be found in Ref. . For nucleon-nucleon collisions, a moderated elastic in-medium cross section is utilized through out this paper (same as Ref. ), unless otherwise indicated.

## III Spectators and Participants

The important concept of spectators and participants in collisions was first introduced by Bowman et al. and later employed for the description of a wide-angle energetic particle emission by Westfall et al.. The two nuclei slamming against one other can be viewed as producing cylindrical cuts through each other. The swept-out nucleons or participants (from projectile and target) undergo a violent collision process. The remnants of the projectile and target, the spectators, continue in the meantime with largely undisturbed velocities, and are much less affected by the collision process than the participant nucleons. On one hand, this picture is supported by features of the data and, on the other, by dynamic simulations. During the violent stage of a reaction the spectators can influence the behavior of participant matter. Specifically, the spectators can inhibit the collective transverse expansion of the decompressing participant matter and effectively shadow particle emission directed toward the reaction plane. A consequence of this shadowing is the observation of preferential squeeze-out of particles perpendicular to the reaction plane as illustrated below.

Figure 1 summarizes the results obtained from simulations of 197Au + 197Au collisions at a beam energy $`T_{lab}=1`$ GeV/nucleon and an impact parameter $`b=8`$ fm. Unless indicated otherwise, a hard momentum-dependent (HM) EOS (cf. Table I) was used. Figure 1(a) shows the time evolution of the density of both participant and spectator matter. The solid and dashed curves show, respectively, the baryon density $`\rho _c`$ at the center of the collision system (participants) and the baryon density in the local frame at the geometric center of the spectator matter $`\rho _{spec}`$. Here, the operational definition of spectator matter is that the magnitude of the local longitudinal velocity exceeds half of the velocity in the initial state and that the local density exceeds one tenth of the normal density. The solid line in Fig. 1(a) clearly illustrates the rapid density build-up (for $`t5`$ fm/c) followed by expansion of the participant matter. The dashed-line also points to a weak compression of the spectator matter during the expansion phase of the participants. The latter observation is consistent with the expected delay associated with the time it takes a compression wave to reach the center of the spectator matter, starting from an edge.

Figure 1(b) shows the time evolution of the elliptic flow parameter $`v_2`$ for all mid-rapidity particles. The parameter is defined as

$$v_2=\mathrm{cos}(2\varphi ),$$
(8)
where $`\varphi `$ is the azimuthal angle in the X-Y plane perpendicular to the beam axis Z; the X-Z plane defines the reaction plane. The value of $`v_2`$ conveys information about the pattern of particle emission from the central participant region. The hot participant region has an initial elliptical shape in the X-Y plane due to the overlap geometry. Since the long and short axes of the ellipse point in the Y-direction and in the X-direction, respectively, the matter starts out with stronger MF and pressure gradients in the X-direction. Given the shape of the emission source and the gradients, the matter is first expected to develop a stronger expansion in the X direction and, hence, to give rise to positive values of $`v_2`$. If the spectators are nearby during the expansion phase, they can serve to stall the expansion in the X direction and a compression wave then develops within the spectator matter (cf. Fig. 1(a)). The resulting dominant expansion of participant matter in the Y direction gives rise to negative values of $`v_2`$. Figure 1(b) indicates that this preferential out-of-plane emission pattern begins after $`7`$ fm/c. The time correlation between the change in sign of $`v_2`$ and the decrease in the magnitude of the central density should be noted in the figure. The central density of participant matter $`\rho _c`$ begins to drop at about $`7`$ fm/c and the most rapid declines ends at $`16`$ fm/c; during this time the elliptical flow drops from its maximum positive value to its maximum negative value.

A comparion of Figs. 1(b) and 1(c) illustrates the important role of the MF in shaping the elliptical flow magnitude. Figure 1(c) shows the time dependence of $`v_2`$ obtained when the calculations are performed without the inclusion of a MF (cascade mode). In contrast to the evolution with the mean field (cf. Figs. 1(b)) where $`v_2`$ first achieves significant positive and then negative values, Fig. 1(c) indicates $`v_2`$ values which stay close to zero over the entire time evolution of the system. This trend is related to the fact that in the cascade model the transverse expansion is slow compared to the time duration for which the spectators are in close proximity to the participant matter, or compared to the time required for longitudinal motion to thin the matter. The important role of the MF for the generation of elliptic flow and the sensitivity of this flow to the EOS has been stressed .

The temporal difference of $`v_2`$ for all midrapidity particles in the system, and for those particles that have left the system can be observed by comparing Figs. 1(b) and 1(d). Figure 1(b) shows the change in $`v_2`$ with time as discussed above. On the other hand, Fig. 1(d) indicates little or no change of $`v_2`$ (over time) for midrapidity particles that have left the system. That is, out-of-plane emission is favored (negative $`v_2`$) for all emission times. Figures 1(b) and 1(d) also show $`v_2`$ as a function of time for particles with transverse momentum $`p_t>0.55`$ GeV/c; these panels indicate that faster particles are more sensitive to the obstructions as well as to any directionality in the collective motion.

The analyses of elliptical flow and related works have established connections between features of the participant matter resulting from the participant-spectator interaction and the nuclear EOS . On the other hand, it is not know whether the same interaction (during the violent stage of a reaction) leaves any lasting effects in the spectators that could be related to EOS. Extensive studies of the statistical behavior of spectator matter have been carried out for time scales which are long compared to the collision time. Such studies do not address the dynamical impact of the violent reaction stage on spectators. During the violent stage of a collision, the spectators remain close to the participant matter, so they might serve as a good sensor for the explosion. Thus, we proceed to take a closer look at the changes which may occur in the spectator matter following their interaction with the participants. In addition we investigate whether or not such changes have a connection to the EOS.

Figure 2 shows contour plots of different quantities within the reaction plane now from 124Sn + 124Sn reaction simulations at the beam energy of $`T_{\mathrm{lab}}=800`$ MeV/nucleon, at the impact parameter $`b=5`$ fm, carried out with a soft momentum-dependent (SM) mean field. The columns from left to right represent the reaction at 5 fm/c time increments. The top and middle rows show the baryon density in the system frame $`\rho `$ and the local excitation energy $`E^{}/A`$, respectively. The bottom row shows the density $`\rho _{\mathrm{bnd}}`$ of baryons that are bound in their local frame ($`ϵ_X<m_X`$). As may be expected, the excitation energies reach rather high values in the participant region but remain low within the spectator region throughout the violent stage of the reaction. Most of the particles in the the participant region are found to be unbound i.e. $`\rho _{\mathrm{bnd}}`$ is low. On the other hand, most of the particles within the spectator region are bound. They move with velocities that are close to each other, and this keeps $`\rho _{\mathrm{bnd}}`$ sizeable throughout the violent collision stage.

Figure 3 provides next a detailed time development of the selected quantities in the 800 MeV/nucleon 124Sn + 124Sn system for which the contour plots were given. Figure 3(a) displays the evolution of baryon density at the system center, $`\rho _c`$, and of baryon density at the center of the spectator region, $`\rho _{\mathrm{spec}}`$. The high-density stage for the participant matter in Fig. 3(a), characterized by $`\rho _c>\rho _0`$, lasts over a time that is short in comparison to the time needed for a clear separation of the target and projectile spectators from the participant zone, cf. Fig. 2. To observe a stabilization of the spectator properties we needed to follow the particular reaction up to $`60`$ fm/c. Longer-term studies of the spectator development have been carried out within the BUU approach . However, as the spectators approach equilibrium, they might be described in terms of the statistical decay method owning at this stage advantages over the BUU equation.

Figure 3(b) shows the average transverse momentum per nucleon of the spectator, in the reaction plane, as a function of time. In calculating the average, we can include all spectator particles as specified before (dashed line in the panel) or the subset of particles that are bound in the local frames (solid line). The averages, obviously, approach the same asymptotic value over time, but the approach is faster for the bound-particle average. Note that the extra lines in Fig. 3(b) represent the evolution of the average momenta past the 40 fm/c of the abscissa. Calculated in either manner, the spectator average momentum $`P^X/A`$ reaches its magnitude during the high-density stage in the participant matter and only somewhat reduces to stable during the expansion that follows. This suggests that the spectators can, indeed, provide information on the high-density stage of the collision.

Figure 3(c) shows the average excitation energy per nucleon $`E^{}/A`$ of the spectator as a function a time. Within the studied time interval, the excitation energy rapidly rises and decreases and then changes at a slower pace. During the violent reaction stage, some particles traversing from the participant into the spectator matter contribute to the excitation of the spectator matter. As time progresses, some of those particles will travel through the matter and leave the spectators. Some other will degrade their energy within the spectator frame. (Note: we consistently continue with definition where the spectator matter is that for which the c.m. local velocity is larger than half the beam velocity and the local density exceeds the tenth of normal.)

Figure 3(d) shows the mass number of a spectator region as a function of time. The spectator mass number decreases rapidly as particles dive into the participant region and then the mass recovers somewhat, around the time of 20 fm/c, as some particles get through the opposite moving corona matter and join the bulk of the spectator matter moving along the beam direction. Later, a gradual deexcitation slowly reduces the spectator mass.

We have demonstrated in this section the interplay between the participants and spectators. We have shown how the elliptic flow is generated due to that interplay and how the interplay affects the spectator characteristics. In the next section we explore the sensitivity of spectator characteristics to the EOS for the nuclear matter in collision.

## IV Spectator Sensitivity to the Nuclear Equation of State

In the light that the changes of the spectator properties could probe the compression and explosion of the participant matter, we follow the reaction simulations till a clear separation of the spectators from the participant matter and a stabilization of the spectator characteristics. We explore the sensitivity of the emerging spectator properties to different assumptions on the nuclear EOS. The results could serve to initialize statistical decay calculations for a complete description of a reaction.

In the following, we shall present a sample of our spectator investigations, within the 124Sn + 124Sn system in the beam energy range of 250 MeV/nucleon to 1 GeV/nucleon at impact parameters $`b=57`$ fm. We shall also quote results from 197Au + 197Au at 1 GeV/nucleon. We utilized four different EOS explored in the past, of which the parameters are given in Table I. We concentrated on the quantities that could be experimentally determined for the spectator, and thus the average transverse momentum per nucleon $`P^X/A`$, the change in the average c.m. momentum per nucleon $`\mathrm{\Delta }|𝐏/A|`$, the average excitation energy per nucleon $`E^{}/A`$, and the average mass $`A`$ following the violent stage of the reaction. The change in the average c.m. momentum is $`\mathrm{\Delta }|𝐏/A|=\sqrt{P^X/A^2+P^Z/A^2}(P/A)_i`$.

The above mentioned quantities, towards the end of our simulations, are shown as a function of the impact parameter at $`T_{\mathrm{lab}}=800`$ MeV/nucleon in Fig. 4, by open symbols, and as a function of the beam energy at $`b=5`$ fm in Fig. 5, respectively. The resulting spectator $`P^X/A`$ exhibits a clear sensitivity to the stiffness of EOS. We can see in both figures that a stiffer EOS results in a stronger sidewards push to the spectator. However, even more prominent is the sensitivity to the momentum dependence of the mean field. A strong momentum dependence results in a stronger push to the spectator than the lack of such dependence. Recall that the interplay between the spectator and the participant matter generates also the elliptic flow for the participant matter and it was possible to exploit the latter in the determination of the mean-field momentum-dependence at supranormal densities .

The final momentum of the spectator reflects the momentum exchanges with the participant zone throughout the reaction. Intially, the nucleons from the opposing nucleus move nearly exclusively along the beam axis relative to the spectators. As equilibration progresses, the momenta in the participant zone acquire a level of randomness. Random exchanges of momentum between spectators and participants generally would drive the spectator momentum towards the average for the system, i.e. zero. However, the participant nucleons reach the spectators moving away from the system center, coming with momentum directed on the average outward, delivering an outward push to the spectator pieces.

The order of magnitude for the transverse push may be obtained from a simple estimate. Thus, in Sn + Sn at 800 MeV/nucleon, taking for the pressure in the compressed region from the nonrelativistic ideal-gas estimate,

$$p\rho \frac{2}{3}T_{\mathrm{lab}}/4A$$
(9)
with $`\rho 2\rho _02/6`$ fm-3, we get $`p40`$ MeV/fm3. The size of the high-density region in the X-Z plane for Sn + Sn at medium $`b`$ is $`4`$ fm, cf. Fig. 2. The push to the spectator is then of the order of

$$P^xpS\mathrm{\Delta }t,$$
(10)
where $`S`$ is the transverse area pushed by the participant matter and $`\mathrm{\Delta }t`$ is the duration of the push. With $`S=\pi R^2/413`$ fm2 and $`\mathrm{\Delta }t5`$ fm/c, cf. Figs. 2 and 3, we get

$$\frac{P^x}{A}=\frac{40\text{MeV/fm}^3\mathrm{\hspace{0.17em}13}\text{fm}^2\mathrm{\hspace{0.17em}5}\text{fm/c}}{50}50\frac{\text{MeV}}{\text{c}},$$
(11)
This appears to agree as to the general magnitude with what is found in the simulations. When the impact parameter increases, the fireball pressure decreases while the spectator mass increases. Thus, the momentum per nucleon decreases. With regard to the beam energy variation in the simulations, at low energies the pressure in the fireball region drops, resulting in smaller push to the spectators, with some compensation coming from a longer time for the spectators in the reaction zone and a longer fireball lifetime. With the rise in the beam energy from the low energy end, the rise in the transverse fireball pressure is moderated by the pion production and an increasing transparency. The spectator time in the vicinity of the explosion continuously drops resulting in a level of saturation in the spectator momentum per nucleon.

With regard to the changes in the magnitude of the c.m. momentum per nucleon $`\mathrm{\Delta }|𝐏/A|`$, we see in Figs. 4 and 5 that the results for MD MFs significantly differ from the results for MI MFs for Sn + Sn, with the latter MFs giving more momentum loss. The spectator mass and excitation energy, in contrast to the momentum, are rather insensitive to the MF in the present system.

While the results discussed till now have been obtained with reduced in-medium nucleon-nucleon cross sections , we also carried out calculations with the free nucleon-nucleon cross sections. The latter calculations for the same system at $`T_{\mathrm{lab}}=800`$ MeV/nucleon $`b=5`$ fm, are represented by filled symbol in Fig. 4. With free cross sections, the remnant masses are a bit lower, the excitation energies are higher, and so is the transverse push. The transverse push is more sensitive to the change in the EOS, than to the change in cross section, as evident in the figure. Contrary to what one might naively expect, less momentum per nucleon is lost in the free cross section case. We will come back to the last issue later.

In investigating the differences in results for the different EOS, we obviously looked at the details in the time development of the systems for the different EOS. Figure 6 shows the central participant density as a function of time. For the hard momentum-independent EOS a maximal density is reached earlier and the expansion sets faster than for the soft momentum-independent EOS. The S EOS allows for a higher compression than the H EOS. An MD EOS allows for a lower compression than a corresponding MI EOS. Moreover, the expansion develops earlier for an MD EOS than a corresponding MI EOS. Evidently, the momentum dependence plays a similar role to the stiffness of nuclear matter; it renders the matter less compressible in a dynamic situation.

Figure 7 shows next the spectator transverse momentum in the X-direction as a function of time. As we have already pointed out before, the spectator transverse momentum per nucleon rises within a relatively short time interval. The rise starts about at the time when the maximal density is reached at the participant center; the rise stops due to combined effects of the spectator passing by and of the dilution of the participant zone. While there are up to 2 fm/c differences in the start and end of the rise interval in Fig. 7, it is apparent that the differences in the final $`P^X/A`$ must be due to the differences in magnitude of the transverse pressure (transverse momentum flow) for the different EOS and not in the duration of the rise. In fact, the slopes of the dependence of transverse momentum on time differ considerably more than do the final transverse momenta. A faster dilution for the more incompressible EOS shuts off the momentum rise sooner than for the more compressible EOS and moderates the differences in the final spectator momenta. Figure 8 shows differences in the Landau effective mass, $`m^{}=p/v`$, in cold nuclear matter at different densities for MI and MD MFs. Lower masses for the MD MF means that particles move out faster at same momenta.

The change in the magnitude of the c.m. momentum per nucleon $`\mathrm{\Delta }|𝐏/A|`$ is generally dominated by the change in the longitudinal momentum per nucleon. In Figs. 4 and 5 the net momentum per nucleon is seen to decrease in the Sn + Sn reactions under all conditions. That change in the momentum might be considered a measure of the friction involved in the interaction of the spectator with the participant zone. The friction is due to mentioned random changes of momenta in collisions between participants and spectators that, besides knocking particles off spectators, over time drive the average momentum towards the system average of zero. When examining the net spectator momentum per nucleon as a function of time in the Sn + Sn reactions, the momentum is first found to decrease but then found to recover somewhat. The late increase and part of the early momentum decrease could partly be attributed to our inability of cleanly separating the spectators from the participants, other than by a convention; the particles are intermittedly intermixed and then separate. The above view on the net spectator momentum, however, needs to be revised once the changes in the momentum are examined in the Au + Au system. The change in the net momentum per nucleon is shown for 1 GeV/nucleon reaction as a function of the impact parameter in Fig. 9, by open symbols for the in-medium reduced cross section. For low impact parameters and MD MFs, the average spectator momentum per nucleon increases in the reaction simulations!

The speeding up of the spectator at low $`b`$ in Au + Au may be, again, understood in terms of the explosion of the participant zone. On one hand, the spectator acquires the transverse momentum. On the other, in the longitudinal direction the explosion acts more on the rear of the spectator piece than on the front. If the explosion is strong enough, the ordered push may overcome the friction effects, producing a net longitudinal acceleration for a piece. There is no issue of energy conservation since the work is done by the participant on the spectator zone. The difference between Sn + Sn and Au + Au is in the equilibration time scale relative to the duration of the fireball. Differences in the net final momentum per nucleon between different MFs for both systems, with significantly higher net momenta for the MD than MI MFs, may be understood in terms of the violence of the explosion that accelerates the spectator.

An important aspect of the spectator momentum per nucleon, underscoring the interpretation above, is its dependence on the nucleon-nucleon cross section. In Fig. 9, the results of $`b=6`$ fm Au+Au simulation with the free cross sections are represented by filled symbols. With the larger free cross sections, the spectator remnants emerge even faster from the reaction than the with the lower cross sections! This is because for higher cross sections, the equilibration is faster, which allows the participant to explode more violently when the spectators are still nearby. Quantitatively, in the $`b=6`$ fm HM free cross-section case, the gain in the longitudinal momentum per nucleon contributes as much as 17 out of 24 MeV/c of the gain in the net spectator momentum per nucleon in Fig. 9. In the $`b=6`$ fm HM reduced cross-section case, the longitudinal gain contributes about 4 out of 8 MeV/c of the net momentum gain per nucleon.

The mass and the excitation energy of the spectator in Figs. 4 and 5 do not exhibit a sensitivity to the EOS likely because they are determined by the geometry and the capability of matter to retain the energy, respectively. As to the momentum changes, though, we have demonstrated that they can provide information on the violent stage of energetic reactions and constrain the properties of high density nuclear matter.

## V Summary and conclusion

Within semiclassical transport simulations of energetic semicentral collisions of heavy ions, we have carried out an investigation of the interplay between the participant and spectator regions. The spectators pass by the participant region when the participant matter undergoes a violent explosion. On one hand, the spectators block the expansion of the participant matter in the in-plane direction producing the elliptic flow for the participant matter. On the other hand, the explosion pushes the spectators giving them transverse momentum pointed away from the reaction zone. The momentum transfer to the spectators and the shadow left in the pattern of the participant emission depend on the speed of the explosion. The speed, in turn, depends on the EOS of the dense matter. Due to their nature, the spectators represent a perfectly timed probe right at the reaction site. A careful analysis of in-plane transverse momentum of a spectator may yield information on the EOS comparable to that provided by elliptic flow analysis. An analysis of the longitudinal momentum transfer may yield information on the momentum dependence of the MFs in the reactions. The signatures in the spectator momenta per nucleon rise with the lowering of the impact parameter, but at the cost of the lowering of a spectator mass, reducing the chances of identifying the spectator remnants. Significantly, for most repulsive MFs and low impact parameters in a heavy system, spectators may emerge from the reaction with a higher net average momentum per nucleon than the original momentum.

###### Acknowledgements.

The authors would like to thank K.-H. Schmidt and B. Tsang for discussions. This work was partially supported by the National Science Foundation under Grant PHY-0070818 and by the Department of Energy under Grant DE-FGO2-87ER40331.A008.