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# Gravitational effects in terms of paths in Minkowski spacePublished in “Gravity and Cosmology”, vol. 8, Suppl. 2, pp. 102-108 (2002)

## 1 Introduction

Gravitational experiments and gravitational effects are usually described and analyzed in the framework of a certain assumption about the geometry of space-time, its belonging to a rather narrow class of geometries . The post-Newtonian approximation for the analysis of gravitational effects in the solar system and Friedmann model for the analysis of data about early Universe are examples of this situation. Sometimes the geometrical model used in the analysis enables one to ascribe a direct physical (geometrical) sense to a certain coordinate system.

However, such a model-dependent analysis is inconvenient if there is no sufficient ground for a reasonable choice of a geometrical model of the space-time region under investigation. In the extreme situation even topology of this region may be indefinite. Then one cannot introduce even structure of manifold, to say nothing about the curvature of the space-time. Even coordinate systems cannot be then correctly introduced. Such a situation may arise in astrophysics and cosmology if regions with strong gravitational field or early stages of Universe are under investigation.

Of course, one may use a number of radically different geometrical models in this case, trying to analyze the data in the framework of each of these models. Nevertheless, any a priori choice of the models may restrict the scope of research, introduce a subjective element into it. An ‘objective’ approach making use of no concrete model of geometry may be advantageous in this situation. We shall present here such an ‘objective’ description of gravitational effects which is independent of any concrete model of geometry. Particularly, no at all coordinate system (in a curved space-time) is used in this approach.

At first sight it seems impossible to do without any model of geometry and even without any coordinate system. However, the following argument shows that the procedures of this type must exist. Indeed, an observer can objectively present his observations if he describes in detail the measuring devices which have been used, his actions with these devices and the readouts obtained in the course of the measurements. In other words, a sort of the measurement protocol presents the observational data in the objective way, with no reference to models of geometry and coordinate systems.

This way of objectification is of course inconvenient from theoretical point of view because it makes use of terms and concepts which are too different from those typical for geometry. We shall present the way of description of observational data which is adequate for geometry, yet quite similar to the measurement protocol. This description is based on the formalism of paths in Minkowski space. This formalism is closely connected with one used in the path-dependent field theory suggested by Mandelstam and Bialynicki-Birula  and in the path-group approach to gauge theory and gravity suggested by the author .

Although the formalism of paths is mathematically well elaborated, we shall only shortly concern here the precise mathematical concepts in Sect. 3. To avoid unessential mathematical details, we shall remain in most part of the paper on the ‘intuitive’ level. The resulting picture is in fact the point of view of a ‘naive’ observer who attempts to present the events, which are actually performed in the curved space-time, in terms of his local (and therefore flat) geometry. We shall call the corresponding procedure ‘flat modelling’ of a curved space-time. More precisely, the procedure provides flat models of curves which are given in a curved space-time. It will be especially important for us to construct flat models for those closed curves in a curved space-time which are characteristic for a gravitational experiment or observation. The result of flat modelling is in fact a kind of a protocol for a this observation.

Particularly, gravitational effects will manifest themselves as ‘discrepancies’ in the flat models of closed curves, or, in other words, as ‘discrepancies’ in observations as they are seen by a ‘naive’ local observer. For example, closed curves in the real (curved) space-time may be presented by non-closed flat models. Another kind of discrepancy which may arise is a Lorentz transformation of local frame after transporting it along the closed curve. In both cases the discrepancies in local (flat) presentation of observations have to be interpreted as evidences of non-zero curvature of the real space-time.

As examples illustrating the method we shall consider the classical effect of the deviation of light by Sun and the effect of gravitational lensing. It will be shown how these effects may be expressed in terms of flat models of the corresponding closed curves and compensating Lorentz transformations of local frames.

## 2 Flat modelling of a curved space

It is known that there is no natural mapping of a curved space onto the flat space (of the same dimension). However, a natural mapping exists of any curve in a curved space onto a curve in the flat space of the same dimension. In  and further publications of the author  this procedure was exploited to define ‘flat modelling’ of a curved space-time (actually of arbitrary curves in it). We shall apply this procedure for analysis of gravitational observations and gravitational effects.

### 2.1 Idea of flat modelling and Equivalence Principle

Consider all curves in a curved space-time $`𝒳`$ beginning at the same point $`x_0𝒳`$. ‘Flat models’ of these curves are constructed in the tangent space to the point $`x_0`$. The tangent space has the structure of Minkowski space, thus the curve in the curved space-time has a curve in Minkowski space-time as its model (call it ‘flat model’). Later on (Sect. 3.1) we shall describe the process of flat modelling in precise terms, but now let us give a simple and obvious idea of this process.

The (tangent) Minkowski space-time will be naturally interpreted as a geometric image of the whole space-time as it is imagined by a ‘naive observer’ located at point $`x_0`$. We thus assume that the ‘naive observer’ thinks of the real space-time as a flat (Minkowski) one.

Having Minkowski space as a flat model of the space-time, the naive observer will try to describe gravitational experiments or observations in terms of this model. Particularly, he will attempt to present the characteristic curves arising in the course of the observation as curves in Minkowski space.

Evidently the local observer can do this. For example at a certain time moment he issues a photon (actually a number of photons) in a certain direction. Then he constructs the flat model of the world line of this photon as a light-like straight line in Minkowski space $``$ starting in the point $`\xi _0`$ which is identified with the location $`x_0`$ of the observer in the real space-time and pointing to the corresponding direction. The world line of the observer himself will be drawn in $``$ as the straight line starting in $`\xi _0`$ and being a trajectory of a body at rest.

Let us assume that at a later time (corresponding, say, to the point $`\xi _1`$ at the flat model of his trajectory) the observer sees a photon (actually a number of photons) coming from a certain direction (determined by the direction of the telescope’s axis). Then he can construct the flat model of the world line of the absorbed photon. This will be a light-like straight line coming from the corresponding direction of the Minkowski space into the point $`\xi _1`$.

Analogously the observer may construct flat models of all curves crossing the point $`x_0`$ or any other point of his world line. If he can by some way or another obtain the information about lengths along any of these lines and directions of these lines in each point, then he will naturally construct the flat models of these lines. (Fig. 1).

The process of flat modelling is similar to creating a topographical survey.

In terms of flat modelling, Equivalence Principle may be formulated in a simple and natural way : the flat model of the world line of any point-like body acted on by no but gravitational forces is a time-like straight line in Minkowski space.

### 2.2 Gravitational Effects

If an observer describes his observations by flat models of the corresponding curves, then gravitational effects manifest themselves as discrepancies in the resulting picture: the curves which are in reality closed may be modelled by non-closed curves, and the motion along these may be accompanied by a certain Lorentz transformation of the local frame.

This may be illustrated by the flat model of a curve consisting of pieces of geodesics on a sphere (Fig. 2).

Imagine that the sphere is a globe. Let us start from a point on the equator, go to East along the quarter of the equator, then turn to the left (to North) and go along the quarter of the meridian (coming to North pole), then again turn to the left (in the direction of South) and go along the quarter of the meridian. As a result we return to the initial point at the equator passing along the closed curve on the globe.

However, the flat model of this curve will be non-closed (right diagram of Fig. 2). It consists of three sides of a square. Besides, the local frame, after being transported along the globe in a natural way (this corresponds to the procedure of parallel transport), will not coincide with the initial local frame. To achieve coincidence, the transported local frame has to be rotated by the angle $`\pi /2`$. Thus, the flat model of a closed curve is non-closed and needs a compensating rotation of a local frame. These ‘discrepancies’ are consequences of non-zero curvature of the sphere. We may consider them to be manifestations of a ‘two-dimensional gravitational effect’.

If the flat models and the compensating transformations of local frames are known for all closed paths with the given initial point, the geometry may be completely reconstructed (see below Sect. 3.2). Real observations cannot of course give this complete information. Instead, the flat models and compensating transformations may be known only for restricted number of closed curves. This determines a class of geometries which lead to the effect. The complete Information about this class is contained in the description of those flat models (together with the corresponding compensating Lorentz transformations) which are obtained from the observations.

For example, if only a single flat model (with the accompanying compensating rotation), namely one of the right diagram of Fig. 2 is known, then the class of geometries which are compatible with this information consists of deformed spheres which however coincide with the ideal sphere in the narrow stripe along the path of the left diagram of Fig. 2. This may be illustrated in the following way. Let us cut out, from the right diagram of Fig. 2, a narrow stripe of paper along which the flat model of our curve is located. Let us glue up the end of this stripe with its beginning after rotating the end by right angle. Then the geometry corresponding to the observation contains this stripe (glued up in this way) but is otherwise arbitrary.

## 3 Mathematical formalism of flat modelling

Here we shall shortly outline the rigorous mathematical formalism which is necessary for the construction and analysis of flat models. A more detailed exposition of this may be found in .

### 3.1 Flat modelling of curves

There is no natural point-to-point mapping of a curved space-time onto the Minkowski space. However, a natural correspondence exists between the curves in the Minkowski space and the curves in the curved space-time provided the starting point of these curves and local reference frame in this point are fixed. We shall give here the main definitions assuming that the (pseudo-Riemannian) geometry is given.

Let $`T_x`$ be a tangent space in the point $`x`$ of the curved space-time $`𝒳`$. Then a local frame $`b`$ in $`x`$ consists of four tangent vectors, one time-like and three space-like, $`b_\alpha T_x`$, $`\alpha =0,1,2,3`$. Each of these vectors $`b_\alpha `$ may be presented by its components (in any given coordinates) $`b_\alpha ^\mu `$, $`\mu =0,1,2,3`$. The set $``$ of all local frames (in all points $`x𝒳`$) form a fiber bundle over $`𝒳`$ as a base. The structure group of $``$ is $`GL(4)`$. The coordinates of points and components of vectors of local frames $`(x^\mu ,b_\beta ^\lambda )`$ may serve as coordinates in $``$.

A local frame $`n`$ is orthonormal if its components are orthonormalized, $`g_{\mu \nu }n_\alpha ^\mu n_\beta ^\nu =\eta _{\alpha \beta }`$, with $`g_{\mu \nu }`$ being metric in $`𝒳`$ and $`\eta _{\alpha \beta }`$ Minkowski tensor. The set $`𝒩`$ of all orthonormal local frames (in all points) is a fiber bundle over $`𝒳`$ with the Lorentz group $`\mathrm{\Lambda }=SO(1,3)`$ as a structure group, $`(n\lambda )_\alpha =n_\beta \lambda _{}^{\beta }{}_{\alpha }{}^{}`$. Actually we need only orthonormal local frames, but the definitions will be simpler if all frames are introduced at intermediate steps (because it is simpler to introduce coordinates in $``$ than in $`𝒩`$).

Let us introduce now the so-called basis vector fields in the fiber bundle $``$ of local frames:

$$B_\alpha =b_\alpha ^\mu \frac{}{x^\mu }+b_\alpha ^\mu b_\beta ^\nu \mathrm{\Gamma }_{\mu \nu }^\lambda (x)\frac{}{b_\beta ^\lambda }.$$
(1)
Here $`\mathrm{\Gamma }_{\mu \nu }^\lambda (x)`$ are coefficients of the connection which for simplicity (but not necessarily) may be taken to coincide with Christoffel symbols. The vector fields $`B_\alpha `$ are horizontal in the fiber bundle $``$ (in respect to the given connection) and their restrictions on the fiber bundle $`𝒩`$ of orthonormal local frames are horizontal in $`𝒩`$.111Actually we need only these restrictions, but it is easier to introduce the field in $``$ first.

Let a curve $`[\xi ]`$ in the Minkowski space $``$ be given. The horizontal vector fields enable one to define, as an ordered exponential of an integral along this curve, the following operator acting in the space of functions on $`𝒩`$:

$$V[\xi ]=Pe^{{\scriptscriptstyle B_\alpha 𝑑\xi ^\alpha }}=\underset{N\mathrm{}}{lim}e^{B_\alpha \mathrm{\Delta }\xi _N^\alpha }\mathrm{}e^{B_\alpha \mathrm{\Delta }\xi _1^\alpha }.$$
(2)
In terms of these operators, the mapping $`nn[\xi ]`$ may be defined as follows:

$$(V[\xi ]\mathrm{\Psi })(n)=\mathrm{\Psi }(n[\xi ]).$$
(3)
This mapping associate the end of the curve $`[n]`$ with its initial point. Applying the same procedure to an initial part of the curve $`[\xi ]`$ (instead of the complete curve), we may obtain also an arbitrary intermediate point of the curve $`[n]`$. The projection of this curve onto the space-time $`𝒳`$ (the base of the fiber bundle $`𝒩`$) gives the curve $`[x]`$ for which $`[\xi ]`$ is a flat model.

This definition may be formulated also in terms of differential equations. The curve $`[x]`$ in the curved space $`𝒳`$, the corresponding curve $`[n]`$ in the fiber bundle $`𝒩`$ and the flat model $`[\xi ]`$ of the curve $`[x]`$ (i.e. the corresponding curve in Minkowski space $``$) are connected by the following differential equations:

$`\dot{x}^\mu (\tau )`$ $`=`$ $`\dot{\xi }^\alpha (\tau )n_\alpha ^\mu (\tau ),`$
$`\dot{n}_\beta ^\lambda (\tau )`$ $`=`$ $`\dot{x}^\mu (\tau )n_\beta ^\nu (\tau )\mathrm{\Gamma }_{\mu \nu }^\lambda (x(\tau )).`$ (4)
All local frames $`n(\tau )`$ belonging to the curve $`[n]`$ are automatically orthonormal provided that the local frame in the initial point is chosen to be orthonormal.

### 3.2 Path Group, Holonomy Subgroup and reconstruction of the space-time geometry

Geometry of a (curved) space-time $`𝒳`$ can be reconstructed if all elements of the so-called Holonomy Subgroup of the Generalized Poincaré Group are known. In the simplified language used in this paper this means that the flat models and compensating Lorentz transformations are known for all closed curves beginning in an (arbitrary) fixed point $`x_0`$. We shall present here the general scheme of the definitions, the details may be found in .

Generalized Poincaré Group $`Q`$ is defined as a semidirect product of the Lorentz group $`\mathrm{\Lambda }`$ and the Path Group $`P`$, the latter being a generalization of the translation group, consisting of classes of curves in Minkowski space (flat models in our context). A generic element $`q`$ of $`Q`$ may be presented as a product, $`q=p\lambda `$, of a path $`pP`$ and a Lorentz transformation $`\lambda \mathrm{\Lambda }`$. Products of any elements of $`Q`$ are defined unambiguously if the following relation is accepted:

$$\lambda [\xi ]\lambda ^1=[\lambda \xi ].$$

The action of paths $`pP`$ on the fiber bundle $`𝒩`$ of orthonormal local frames is defined above (Sect. 3.1), and Lorentz transformations act on $`𝒩`$ as a structure group. Therefore, the action of any element of $`Q`$ on $`𝒩`$ is defined naturally as $`q:nnq=(np)\lambda `$.

Let us choose an arbitrary orthonormal local frame $`n_0𝒩`$ which will play the role of ‘origin’. Define the Holonomy Subgroup $`HQ`$ as the set of elements conserving $`n_0`$:222The same definition but with another choice of $`n_0`$ would give an isomorphic Holonomy Subgroup.

$$H=\{hQ|n_0h=n_0\}.$$

Each element $`hH`$ has the form $`h=p\lambda `$ where $`pP`$ is a flat model of some closed curve in the curved space-time $`𝒳`$ and $`\lambda \mathrm{\Lambda }`$ a corresponding compensating Lorentz transformation.

If one knows the whole subgroup $`H`$ (i.e. flat models and compensating Lorentz transformations for all closed curves in $`𝒳`$ with the given initial point), then the geometry of $`𝒳`$ can be completely reconstructed. The procedure of reconstruction consists of the following steps.

* The fiber bundle of orthonormal local frames, $`𝒩=H\mathtt{\backslash }Q`$, is a quotient space of the group $`Q`$ in respect to the subgroup $`H`$ so that a local frame is a coset, $`n=Hq=\{hq|hH\}`$.
* The space-time $`𝒳`$ is a quotient space, $`𝒳=𝒩/\mathrm{\Lambda }`$, of the fiber bundle $`𝒩`$ by its structure group $`\mathrm{\Lambda }`$ so that a point of this space is a set (fiber) of local frames, $`x=n\mathrm{\Lambda }=\{n\lambda |\lambda \mathrm{\Lambda }\}`$. Therefore, the mapping $`\pi :nx=n\mathrm{\Lambda }`$ is the canonical projection of the fiber bundle $`𝒩`$ onto its base $`𝒳`$.
* In order to define the metric on the space $`𝒳`$, consider an arbitrary (orthonormal) local frame $`n𝒩`$ and the neighboring local frames $`np(a)`$ which are obtained from $`n`$ by action of short straight paths $`p(a)P`$, coinciding with the four-vectors $`a`$. Then the interval between the point $`x=\pi (n)`$ and $`x+dx=\pi (np(da))`$ is equal to $`ds^2=\eta _{\alpha \beta }da^\alpha da^\beta `$.

## 4 Examples

Consider two examples of gravitational effects analyzed with the help of paths (flat models of curves). In each case we shall consider closed curves characteristic for the observation and construct their flat models (elements of holonomy). The first example is the well known experiment on light bending near Sun. The second example is gravitational lensing.

### 4.1 Light bending in terms of paths

The effect of light bending by Sun is easily analyzed by the conventional method. We shall speak about this effect only to illustrate our method. In the observation of light bending the direction of the light ray issued by a star turns out to be different in two cases: when this ray passes near Sun and when it passes far from Sun. It is shown at Fig. 3a

how the observer construct flat models of the world lines of the two photons seen in the two points of his world line (flying correspondingly near Sun and far from it). For the analysis of the gravitational effect a closed curve is necessary. It may be formed by the world lines of the two photons together with the world lines of the observer and the star.

In order to obtain a flat model of this curve, one needs to assume that the only gravitational effect is caused by Sun deflecting the photon. If this hypothesis is accepted, then the flat model of the closed curve may be reconstructed as it is shown in Fig. 3b. The flat model of the closed curve (i.e. the path $`p`$ in the expression $`h=p\lambda `$ of the element of the Holonomy Subgroup) is also a closed curve consisting of two light-like lines and two world lines of the bodies at rest.333Actually the path $`p`$ is non-closed, but this effect is very small and may be neglected because the distance from the observer to the star is much longer than to Sun.

The observed effect is a consequence of the fact that the local frame is rotated during its parallel transport along the closed curve. To make the local frame identical to the initial one, it has to be rotated after the parallel transport. This is a compensating Lorentz transformation $`\lambda `$ in the expression $`h=p\lambda `$ of the element of holonomy.

### 4.2 Gravitational lensing

In case of gravitational lensing the observer sees light issued by some object (a star) as if coming from two (or more) different directions (Fig. 4a).

Trajectories of photons issued by the star are curved because of being attracted by a heavy object located between the star and the observer. As a result, the observer sees two separate light spots in different directions. The flat model of the world lines of the two photons passing the attracting object from different sides will be as in Fig. 4b: two light-like lines belonging to the past light cone of the observer.

However, with the help of the analysis of the radiation the observer knows that the two photons are in fact issued simultaneously from the same point. The result of this analysis is that the passage along one of these lines to the past leads to the event of radiation of the photon by the star. Passing from this event along the world line of the second photon to the future returns to the initial event of the perception of both photons by the observer.

The line consisting of two world lines of two photons is therefore closed. Its flat model is shown in Fig. 4c and presents the path $`p`$ in some element of holonomy $`h=p\lambda `$. The above arguments do not give the value of the compensating Lorentz transformation. One may assume that $`\lambda =1`$ so that the local frame parallelly transported along the given closed curve will be identical with the initial one. In principle astrophysical data may give the information about $`\lambda `$ too, for example if the source issues polarized photons.

## 5 Conclusion

We shortly discussed here the way of objective presentation of observations of gravitational effects. The analysis was based on the mapping of curves in a curved space-time onto curves (paths) in Minkowski space. The most adequate development of such a formalism is presented in terms of Path Group, Generalized Poincaré group and Holonomy Subgroup . In correct terms of this formalism the observational data provide some elements of the Holonomy Subgroup, but we preferred to use also a simple image of ‘flat models’ of closed curves in a curved space-time (but a more rigorous terminology in Sect. 3).

It is important that the real observations give only some elements of holonomy (flat models of some closed curves) while the precise reconstruction of the geometry is possible only from the knowledge of the whole Holonomy Subgroup (flat models of all closed curves). Knowing a restricted set of elements of holonomy (as they are obtained from the observations), one may point out a class of geometries having these elements in its Holonomy Subgroup. The presentation of this class by paths and compensating Lorentz transformations (as in the examples considered here) is adequate because it is not based on any a priori choice of the class of geometries.

Let us remark that the formalism of Path Group and Generalized Poincaré Group has also other applications, among them the application to Quantum Equivalence Principle . This gives an evidence that the formalism is natural in gravity and particularly in quantum gravity.

ACKNOWLEDGEMENT

The author acknowledges fruitful discussions with H.von Borzeszkowsky. The work was supported in part by the Deutsche Forschungsgemeinschaft.


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# Mixed-Mode Shell-Model Calculations

## Abstract

A one-dimensional harmonic oscillator in a box is used to introduce the oblique-basis concept. The method is extended to the nuclear shell model by combining traditional spherical states, which yield a diagonal representation of the usual single-particle interaction, with collective configurations that track deformation. An application to 24Mg, using the realistic two-body interaction of Wildenthal, is used to explore the validity of this mixed-mode shell-model scheme. Specifically, the correct binding energy (within 2% of the full-space result) as well as low-energy configurations that have greater than 90% overlap with full-space results are obtained in a space that spans less than 10% of the full-space. The theory is also applied to lower pf-shell nuclei, $`{}_{}{}^{4448}Ti`$ and $`{}_{}{}^{48}Cr`$, using the Kuo-Brown-3 interaction. These nuclei show strong SU(3) symmetry breaking due mainly to the single-particle spin-orbit splitting. Nevertheless, the results also show that yrast band B(E2) values are insensitive to fragmentation of the SU(3) symmetry. Specifically, the quadrupole collectivity as measured by B(E2) strengths remains high even though the SU(3) symmetry is rather badly broken. The IBM and broken-pair models are considered as alternative basis sets for future oblique-basis shell-model calculations.

Typically, two competing modes characterize the structure of a nuclear system. The spherical shell model is the theory of choice when single-particle behavior dominates. When deformation dominates, it is the Elliott SU(3) model. This manifests itself in two dominant elements in the nuclear Hamiltonian: the single-particle field, $`H_0=_i\epsilon _in_i`$, and a collective quadrupole-quadrupole interaction, $`H_{QQ}=QQ`$. It follows that a simplified Hamiltonian $`H=_i\epsilon _in_i\chi QQ`$ has two solvable limits associated with these modes.

To probe the nature of such a system, we first consider the simpler problem of a one-dimensional harmonic oscillator in a box of size $`2L`$. As for real nuclei, this system has a finite volume and a restoring harmonic potential $`\omega ^2x^2/2`$. Depending on the value of $`E_c=\omega ^2L^2/2`$, which plays the role of a critical energy, there are three spectral types: (1) for $`\omega 0`$ the spectrum is simply that of a particle in a box; (2) at some value of $`\omega `$, the spectrum begins with $`E_c`$ followed by the spectrum of a particle in a box perturbed by the harmonic potential; and (3), for sufficiently large $`\omega `$ there is a harmonic oscillator spectrum below $`E_c`$ followed by the perturbed spectrum of a particle in a box. The last scenario is the most interesting one since it provides an example of a two-mode system. For this case, the use of two sets of basis vectors, one representing each of the two limits, has physical appeal. One basis set consists of the harmonic oscillator states; the other set consists of basis states of a particle in a box. Even thought a mixed spectrum is expected around $`E_c`$, a numerical study that includes up to 50 harmonic oscillator states below $`E_c`$ shows that first order perturbation theory works well after the breakdown of the harmonic spectrum. Although the spectrum seems to be well described in this way, the wave functions near $`E_c`$ have an interesting coherent structure.

An application of the theory to 24Mg, using the realistic two-body interaction of Wildenthal, demonstrates the validity of the mixed-mode shell-model scheme. In this case the oblique-basis consists of the traditional spherical states, which yield a diagonal representation of the single-particle interaction, together with collective SU(3) configurations, which yield a diagonal quadrupole-quadrupole interaction. The results obtained in a space that spans less than 10% of the full-space reproduce the correct binding energy (within 2% of the full-space result) as well as the low-energy spectrum and structure of the states that have greater than 90% overlap with the full-space results. In contrast, for a $`m`$-scheme spherical shell-model calculation one needs about 60% of the full space to obtain results comparable with the oblique basis results.

Studies of the lower pf-shell nuclei, $`{}_{}{}^{4448}Ti`$ and $`{}_{}{}^{48}Cr`$, using the realistic Kuo-Brown-3 (KB3) interaction show strong SU(3) symmetry breaking due mainly to the single-particle spin-orbit splitting. Thus the KB3 Hamiltonian could also be considered a two-mode system. This has been further supported by the behavior of the yrast band B(E2) values that seems to be insensitive to fragmentation of the SU(3) symmetry. Specifically, the quadrupole collectivity as measured by the B(E2) strengths remains high even though the SU(3) symmetry is rather badly broken. This has been attributed to a quasi-SU(3) symmetry where the observables behave like a pure SU(3) symmetry while the true eigenvectors exhibit a strong coherent structure with respect to each of the two bases. This provides the opportunity for further study of the implications of two-mode calculations.

Future research may extend to multi-mode oblique calculations. An immediate extension of the current scheme might use the eigenvectors of the pairing interaction within the Sp(4) algebraic approach to the nuclear structure, together with the collective SU(3) states and spherical shell model states. Hamiltonian driven basis sets can also be considered. In particular, the method may use eigenstates of the very-near closed shell nuclei obtained from a full shell model calculation to form Hamiltonian driven J-pair states for mid-shell nuclei. This type of extension would mimic the Interacting Boson Model (IBM) and the so-called broken-pair theory. In particular, the three exact limits of the IBM can be considered to comprise a three-mode system. Nonetheless, the real benefit of this approach is expected when the spaces encountered are too large to allow for exact calculations.

Acknowledgments. We acknowledge support from the U.S. National Science Foundation under Grant No. PHY-9970769 and Cooperative Agreement No. EPS-9720652 that includes matching from the Louisiana Board of Regents Support Fund. V. G. Gueorguiev is grateful to the Louisiana State University Graduate School for awarding him a dissertation fellowship and to the U. S. National Science Foundation for the support for young scientists to attend the International Nuclear Structure Conference on “Mapping the Triangle” held May 22-25, 2002 in Grand Teton National Park, Wyoming, and in so doing allowing him to present the main results of his Ph.D. dissertation.


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# Free energy and criticality in the nucleon pair breaking process

## I Introduction

One of the most spectacular pairing phase transitions in nature is the transition from a normal to a superconducting phase in large electron systems. The transition is triggered at low temperature by massive pairing of two and two electrons into spin $`J=0`$ pairs, so called Cooper pairs.

For atomic nuclei, the pairing phase transition is expected to behave differently. First of all, the nucleus is an isolated, few body system with two species of fermions. Surface effects are prominent, and the coherence length of nucleons coupled in Cooper pairs is larger than the nuclear diameter. Furthermore, there are non-negligible energy spacings between the single particle orbitals. All these facts make the nucleus an inherently small system. Also, other types of residual interactions than pairing are of importance. The influence of these peculiar constraints on the nucleus has been investigated theoretically for a long time , however, only limited experimental information is available to describe the nature of pairing within the nucleus.

The Oslo group has developed a method to derive simultaneously the level density and $`\gamma `$-ray strength function from a set of primary $`\gamma `$-ray spectra . The method has been well tested and today a consistent data set for eight rare earth nuclei is available. In the present work we report for the first time on a comprehensive analysis of the evolution of the pairing phase transition as a function of the nuclear excitation energy.

## II Experimental level densities

Level densities for 171,172Yb, 166,167Er, 161,162Dy, and 148,149Sm have been extracted from particle-$`\gamma `$ coincidences. The experiments were carried out with 45 MeV 3He projectiles accelerated by the MC-35 cyclotron at the University of Oslo. The data were recorded with the CACTUS multidetector array using the pick up (3He,$`\alpha \gamma `$) reaction on 172,173Yb, 167Er, 162,163Dy, and 149Sm targets and the inelastic (3He,3He’$`\gamma `$) reaction on 167Er and 149Sm targets. The charged ejectiles were detected with eight $`\mathrm{\Delta }E`$$`E`$ particle telescopes placed at an angle of 45 relative to the beam direction. Each telescope comprises one Si front and one Si(Li) back detector with thicknesses of 140 and 3000 $`\mu `$m, respectively. An array of 28 NaI $`\gamma `$-ray detectors with a total efficiency of $``$15% surrounds the target and particle detectors. From the reaction kinematics, the measured ejectile energy can be transformed into excitation energy $`E`$. Thus, each coincident $`\gamma `$ ray can be assigned to a $`\gamma `$ cascade originating from a specific energy $`E`$. These spectra are the basis for the extraction of level density and $`\gamma `$-strength function as described in Ref. . Several interesting applications of the method have been demonstrated, see, e.g., Refs. .

The level densities for 171,172Yb, 166,167Er, 161,162Dy, and 148,149Sm are shown in Fig. 1. The level densities are normalized at low excitation energies where (almost) all levels are known, and at the neutron binding energy $`B_n`$ where the level density can be estimated from neutron-resonance spacings. The spin window populated in the reactions is typically $`I2`$$`6\mathrm{}`$. Already, three general comments can be made to these data: (i) above 2 MeV excitation energy, all level densities are very linear in a log plot, suggesting a so-called constant temperature level density, (ii) the level densities of the odd-even isotopes are larger than for their neighboring even-even isotopes, and (iii) the even-even isotopes show a strong increase in level density between 1 and 2 MeV, indicating the breaking of Cooper pairs.

It should be noted that the transitions considered here are low temperature phenomena. The 171,172Yb, 166,167Er, and 161,162Dy nuclei have well deformed shapes, and various calculations in this mass region  indicate that the transition from deformed to spherical shape occurs at much higher temperatures than the temperature at which the first pairs break. However, for nuclei closer to the $`N=82`$ shell gap, e.g., 148,149Sm, the coexistence between deformed and spherical shapes at low temperatures cannot be excluded, as discussed in Ref. .

## III Free energy and critical temperature

The statistical microcanonical ensemble is an appropriate working frame for describing an isolated system like the nucleus. In this ensemble the excitation energy $`E`$ is fixed, in accordance with the observables of our experiments. The microcanonical entropy is given by the number of levels $`\mathrm{\Omega }`$ at $`E`$

$$S(E)=k_B\mathrm{ln}\mathrm{\Omega }(E),$$
(1)
where the multiplicity $`\mathrm{\Omega }`$ is directly proportional to the level density $`\rho `$ by $`\mathrm{\Omega }(E)=\rho (E)/\rho _0`$. The normalization denominator $`\rho _0`$ is adjusted to give $`S0`$ for $`T0`$, which fulfills the third law of thermodynamics. Here, we assume that the lowest levels of the ground state bands of the 172Yb, 166Er, 162Dy, and 148Sm nuclei have temperatures close to zero, giving on the average $`\rho _0=2.2`$ MeV-1. In the following, this value is used for all eight nuclei and Boltzmann’s constant is set to unity ($`k_B=1`$).

In order to analyze the criticality of low temperature transitions, we investigate the probability $`P`$ of a system at the fixed temperature $`T`$ to have the excitation energy $`E`$, i.e.,

$$P(E,T,L)=\mathrm{\Omega }(E)\mathrm{exp}\left(E/T\right)/Z(T),$$
(2)
where the canonical partition function is given by $`Z(T)=_0^{\mathrm{}}\mathrm{\Omega }(E^{})\mathrm{exp}\left(E^{}/T\right)𝑑E^{}`$. Implicitly, the multiplicity of states $`\mathrm{\Omega }(E)`$ depends on the size of the system, denoted by $`L`$. Often, it is more practical to use the negative logarithm of this probability $`A(E,T)=\mathrm{ln}P(E,T)`$, where we in the following omit the $`L`$ parameter. Lee and Kosterlitz showed  that the function $`A(E,T)`$, for a fixed temperature $`T`$ in the vicinity of a critical temperature $`T_c`$ of a structural transition, will exhibit a characteristic double-minimum structure at energies $`E_1`$ and $`E_2`$. For the critical temperature $`T_c`$, one finds $`A(E_1,T_c)=A(E_2,T_c)`$. It can be easily shown that $`A`$ is closely connected to the Helmholtz free energy and the previous condition is equivalent to

$$F_c(E_1)=F_c(E_2),$$
(3)
a condition which can be evaluated directly from our experimental data. Here, it should be emphasized that $`F_c`$ is a linearized approximation to the Helmholtz free energy at the critical temperature $`T_c`$ according to $`F_c(E)=ET_cS(E)`$, thereby avoiding the introduction of a caloric curve $`T(E)`$. The free-energy barrier at the intermediate energy $`E_m`$ between $`E_1`$ and $`E_2`$, is given by

$$\mathrm{\Delta }F_c=F_c(E_m)F_c(E_1).$$
(4)
Now, the evolution of $`\mathrm{\Delta }F_c`$ with increasing system size $`L`$ may determine the order of a possible phase transition . These ideas have, e.g., recently been applied to analyze phase transitions in a schematic pairing model .

Figure 2 displays a schematic description of the entropy for even-even, odd-mass and odd-odd nuclei as function of excitation energy. In the lower excitation energy region of the even-even nucleus, only the ground state is present, and above $`E2\mathrm{\Delta }`$ the level density is assumed to follow a constant temperature formula. It has been shown  that the single particle entropy $`s`$ is an approximately extensive thermodynamical quantity in nuclei at these temperatures. The increase in entropy at the breaking of the first proton or neutron pair, i.e., at $`E=2\mathrm{\Delta }`$, is roughly $`2s`$ in total for the two newly created unpaired nucleons. The requirement $`F_c(E_1)=F_c(E_2)`$, where $`T=T_c`$, gives $`E_2E_1=T_c\left[S(E_2)S(E_1)\right]`$. Thus, with the assumed estimates above, we obtain the relation $`\mathrm{\Delta }=T_cs`$, which may be used to extract the critical temperature for the pairing transition. Adopting typical values of $`\mathrm{\Delta }=1`$ MeV and $`s=2k_B`$ , we obtain $`T_c=0.5`$ MeV. For the odd-mass case, one starts out with one quasiparticle which gives roughly one unit of single-particle entropy $`s`$ around the ground state. The three quasiparticle regime appears roughly at $`E=2\mathrm{\Delta }`$ with a total entropy of $`3s`$. The region between $`E=0`$ and 2 MeV is modeled with a step at $`2`$ MeV, however, in real nuclei the level density is almost linear in a log-plot for the whole excitation energy region due to the smearing effects of the valence nucleon. In the case of an odd-odd nucleus, one starts out with two units of single-particle entropy. The two valence nucleons represent a strong smearing effect on the level density and the modeled step structure in entropy at $`E=2\mathrm{\Delta }`$ for the onset of the four quasiparticle regime is completely washed out.

In the higher excitation region, further steps for transitions to higher quasiparticle regimes are also washed out due to the strong smearing effects of the already present, unpaired nucleons. The slope of the entropy with excitation energy is determined by two competing effects: the quenching of pairing correlations which drives the cost in energy lower for the breaking of additional pairs, and the Pauli blocking which reduces the entropy created per additional broken pair. The competing influence of both effects is modeled by a constant-temperature level density with the same slope for all three nuclear systems and a slightly higher critical temperature. In this region of the model, there are infinitely many excitation energies where the relation $`F_c(E_1)=F_c(E_2)`$ is fulfilled.

The breaking of proton or neutron pairs are thought to take place at similar excitation energies due to the approximate isospin symmetry of the strong interaction. It is indeed commonly believed that the pairing gap parameter $`\mathrm{\Delta }`$ and, thus, the critical temperature $`T_c`$ for the breaking of Cooper pairs, are approximately the same for protons and neutrons. Furthermore, interactions between protons and neutrons will certainly wash out any differences in behavior between the proton and neutron fluids. In Fig. 3, the influence of differences in proton and neutron pair breaking is investigated within our schematic model. Here, we assume that neutrons break up at $`2\mathrm{\Delta }`$ creating an entropy of $`2s`$. The protons are assumed to break up at 10% higher excitation energy (since $`Z<N`$) creating 10% less entropy (due to the larger proton single particle level spacing). The entropy of the total system of either proton or neutron pair breaking gives

$$S(E)=\mathrm{ln}\left[e^{S_p(E)}+e^{S_n(E)}\right]\mathrm{ln}2,$$
(5)
where the last term assures that $`S=0`$ in the ground state band. The requirement $`F_c(E_1)=F_c(E_2)`$ gives $`T_c^{(n)}=\mathrm{\Delta }/s`$ for neutrons (as in Fig. 2) and $`T_c^{(p)}=1.1\mathrm{\Delta }/0.9s=1.22\mathrm{\Delta }/s`$ for protons. In the combined system of both neutrons and protons, a value of $`T_c=(T_c^{(n)}+T_c^{(p)})/2=1.11\mathrm{\Delta }/s`$ is deduced from Fig. 3. Thus, typical fluctuations in the pairing gap parameter and the single particle entropy for neutrons and protons give only small changes in the extracted critical temperature.

## IV Experimental results

In order to experimentally investigate the behavior for even isotopes, linearized free energies $`F_c`$ for certain temperatures $`T_c`$ are displayed in Fig. 4. The data clearly reveal two minima with $`F_c(E_1)=F_c(E_2)=F_0`$, which is due to the general increase in level density around $`E2`$ MeV, as schematically shown in Fig. 2. For all nuclei, we obtain $`E_10`$ and $`E_22`$ MeV which compares well with $`2\mathrm{\Delta }`$. We interpret the results of Fig. 4 as the transition due to the breaking of the very first nucleon pairs. The deduced critical temperatures are $`T_c=0.47`$, 0.40, 0.47 and 0.45 MeV for 172Yb, 166Er, 162Dy, and 148Sm, respectively.

Recently , another method was introduced to determine the critical temperatures in the canonical ensemble. Here, the constant temperature level density formula for the canonical heat capacity $`C_V(T)=(1T/\tau )^2`$ was fitted to the data in the temperature region of 0–0.4 MeV corresponding to excitation energies between 0–2 MeV, and the fitted temperature parameter $`\tau `$ was then identified with the critical temperature $`T_c`$. Since a constant temperature level density formula implies a constant linearized Helmholtz free energy $`F_c(E)`$ (provided $`\tau =T_c`$), this former method is almost equivalent to the present method, i.e., of identifying the temperature $`T_c`$ for which the linearized Helmholtz free energy is in average constant. Therefore, it is not surprising that the extracted critical temperatures $`T_c=0.49`$, 0.44, 0.49 and 0.45 MeV for the respective nuclei using the older method  coincide well with the critical temperatures presented in this work. However, while the previous method was based on an ad-hoc assumption of the applicability of a constant temperature level density formula, the present method has a much firmer theoretical foundation.

The height of the free-energy barrier should show a different dependence on the system size $`L`$ according to the order of a possible phase transition . The barriers deduced from Fig. 4 yield $`\mathrm{\Delta }F_c0.5`$–0.6 MeV, values which seem not to have any systematic dependence on the mass number $`A`$ within the experimental uncertainties. Even with better data, an unambiguous dependence of the barrier height on the system size would be unlikely when using $`A`$ as a measure for the parameter $`L`$ since the relevant system size for the very first breaking of Cooper pairs might be characterized by only a few valence nucleons. Another complicating interference is that other properties of the nuclear system which might influence the onset of pair breaking also change with mass number, e.g., deformation, pairing gap, and locations of single particle levels around the Fermi surface.

In the schematic model of Fig. 2, we would expect a free energy barrier of $`\mathrm{\Delta }F_c=2\mathrm{\Delta }2`$ MeV at $`E=2\mathrm{\Delta }2`$ MeV. However, the data are more consistent with the dotted lines of Fig. 2 indicating a smoother behavior around the expected steps due to the existence of collective excitations like rotation and $`\beta `$, $`\gamma `$, and octupole vibrations between 1 and 2 MeV for the even-even nuclei, and due to the increasing availability of single-particle orbitals for the odd nucleon in the case of odd nuclei. Thus, we expect the centroid of the barrier to be shifted down in energy with a corresponding proportional reduction of the barrier height, and an inspection of Fig. 4 indeed shows that the free energy barrier is 0.5–0.6 MeV at $`0.6`$ MeV excitation energy for the even-even nuclei. A similar analysis of the odd isotopes is difficult to accomplish since there seems not to be any common structures. Here, the unpaired valence neutron smears out the effects of the depairing process too much to be visible in the present data. However, it has been attempted in Ref.  to interpret the structure in the level density of 167Er around 1 MeV in terms of a first order phase transition.

The smearing effect is expected to be even more pronounced for the breaking of additional pairs. Figure 5 shows the linearized Helmholtz free energy for all eight nuclei investigated, but at slightly higher critical temperatures than in Fig. 4. The critical temperature $`T_c`$ is found by a least $`\chi ^2`$ fit of a constant value $`F_0`$ to the experimental data. The fit region is from $`E=2`$ MeV up to 5 and 7 MeV for the odd and even isotopes, respectively, giving normalized $`\chi ^2`$ values in the range from 0.5 to 2.5. Here, instead of a double-minimum structure, a continuous ”minimum” of $`F_c`$ is displayed for several MeV. This observation allows us to conclude that the further depairing process cannot under any circumstances be interpreted as an abrupt structural change in the nucleus typical for a first order phase transition. The constant lines of Fig. 5 visualize how surprisingly well $`F_0`$ fits the data: the deviations are typically less than 100 keV.This fact might also settle the discussion in Ref.  and discard the possible interpretation of the many negative branches of the microcanonical heat capacity observed in Fig. 8 of this reference as indicators of separate first-order phase transitions. The ongoing breaking of further Cooper pairs overlapping in excitation energies above 2 MeV is therefore contrary to what is found in the schematic model of Ref. . This is probably due to strong residual interactions in real nuclei, like the quadrupole-quadrupole interaction, which were not taken into account in the model calculation. Thus, (nearly) all excitation energies above 2 MeV will energetically match with the costs of breaking nucleon pairs. Here, all excess energy goes to the process of breaking pairs. Since the gain in entropy $`dS`$ is proportional to $`dE`$, the microcanonical temperature, $`T(E)=(dS/dE)^1`$, remains constant as function of excitation energy, and the level density displays a straight section in the log plot.

At higher excitation energies than measured here, the pairing correlations vanish and the system behaves more like a Fermi gas. Here, the free energy will indicate the closing stage of the depairing process by increasing $`F_c`$, with $`F_c>F_0`$. However, in this regime also shape transitions and fluctuations as well as the melting of the shell structure may play a role and give deviations from a simple Fermi gas model with $`\rho \mathrm{exp}(2\sqrt{aE})`$, $`a`$ being the level density parameter. Unfortunately, these very interesting phenomena cannot be investigated with the present experimental data.

The fitted value $`F_0`$ contains information on the entropy of the system at $`T_c`$ through $`S=(EF_0)/T_c`$. In Fig. 6, we have compared the entropy for the various nuclei at an excitation energy $`E=4`$ MeV, an energy where all nuclei seem to ”behave” equally well (see Fig. 5). Figure 6 also shows that the odd mass nuclei display generally higher entropy regardless of the mass number $`A`$ being one higher or lower than the neighboring even isotope. We also observe that since the 148,149Sm nuclei are not mid-shell nuclei, they show less entropy, reflecting the lower single particle level density when approaching the $`N=82`$ shell gap. By evaluating the odd-even $`\delta S=S_{\mathrm{odd}}S_{\mathrm{even}}`$, we find $`\delta S2`$ for all four isotopes, as shown in the lower panel of Fig. 6. This means that excited holes and particles have the same degree of freedom with respect to the even mass nuclei.

## V Conclusion

Unique experimental information on level densities for eight rare earth nuclei is utilized to extract thermodynamic quantities in the microcanonical ensemble. The linearized Helmholtz free energy is used to obtain the critical temperatures of the depairing process. For a critical temperature just below $`T_c0.5`$ MeV, we observe a structural transition of even nuclei in the $`E=02`$ MeV region due to the breaking of the first nucleon pair. Unfortunately, it was not possible to use the development of the barrier height $`\mathrm{\Delta }F_c`$ with the size of the system $`L`$ to conclude on the presence of a thermodynamical phase transition and its order. The critical temperature for the melting of other pairs is found at slightly higher temperatures. Here, we obtain a surprisingly constant value for the linearized Helmholtz free energy, indicating a continuous melting of nucleon Cooper pairs as function of excitation energy. The conspicuous absence of a double-minimum structure in $`F_c`$ for this process is at variance with the presence of a first-order phase transition in the thermodynamical sense. The entropy difference between odd and even systems is found to be constant with respect to excitation energy and is consistent with the expected values of the single particle entropy in these nuclei.

## ACKNOWLEDGMENTS

Financial support from the Norwegian Research Council (NFR) is gratefully acknowledged. Part of this work was performed under the auspices of the U.S. Department of Energy by the University of California, Lawrence Livermore National Laboratory under Contract No. W-7405-ENG-48. Research at Oak Ridge National Laboratory was sponsored by the Division of Nuclear Physics, U.S. Department of Energy under contract DE-AC05-00OR22725 with UT-Battelle, LLC.


text:
# Do we live in an anthropic universe?

## References

Barrow, J.D. & Tipler, F.J. 1986, The Anthropic Cosmological Principle (Oxford University Press, Oxford)

Carter, B. 1974, in Confrontation of Cosmological Theories with Observation, ed. M.S. Longair (Reidel, Dordrecht), p. 291

Guth, A.H. 1997, The Inflationary Universe: The Quest for a New Theory of Cosmic Origins (Addison-Wesley Publishing Company, Reading)

Soares, D.S.L. 2001, arXiv:astro-ph/0108180

Tegmark, M. 2002, arXiv:astro-ph/0207199

Turner, M.S. 2002, arXiv:astro-ph/0207297


text:
# Application of Volume diffraction grating for terahertz lasing in Volume FEL (VFEL)

## I Introduction

Generation of radiation in millimeter and far-infrared range with nonrelativistic and low-relativistic electron beams gives rise difficulties. Gyrotrons and cyclotron resonance facilities are used as sources in millimeter and sub-millimeter range, but for their operation magnetic field about several tens of kiloGauss ($`\omega \frac{eH}{mc}\gamma `$) is necessary. Slow-wave devices (TWT, BWT, orotrons)in this range require application of dense and thin (¡0.1 mm) electron beams, because only electrons passing near the slowing structure at the distance $`\lambda \beta \gamma /(4\pi )`$ can interact with electromagnetic wave effectively. It is difficult to guide thin beams near slowing structure with desired accuracy. And electrical endurance of resonator limits radiation power and density of acceptable electron beam. Conventional waveguide systems are essentially restricted by the requirement for transverse dimensions of resonator, which should not significantly exceed radiation wavelength. Otherwise, generation efficiency reduces abruptly due to excitation of plenty of modes.

The most of the above problems can be overpassed in VFEL. In VFEL the greater part of electron beam interacts with electromagnetic wave due to volume distributed interaction. Transverse dimensions of VFEL resonator could significantly exceed radiation wavelength $`D>>\lambda `$. In addition, electron beam and radiation power are distributed over the whole volume that is beneficial for electrical endurance of the system. Multi-wave Bragg dynamical diffraction provides mode discrimination in VFEL.

Dispersion equations, describing instability and threshold conditions of generation for VFEL were investigated in details in fer -mm . There were shown that threshold values of current can be significantly reduced in conditions of multi-wave Bragg diffraction. But there mainly relativistic and ultrarelativistic electron beams were considered. Essential distinctions appear at use of nonrelativistic and low-relativistic electrons. For example, in slow-wave devices radiation conditions can not be fulfilled simultaneously with conditions of Bragg diffraction if refraction index $`n<c/u`$. Generation in spatially-periodic structure composed from dielectric threads was studied in exp  for low-relativistic (300 keV)electron beam.

Present paper investigates instability of electron beam in volume diffraction structures composed from strained threads. There are frequency ranges, in which such systems can generate, and those in which they work as amplifiers. It should be mentioned that generation can occur even in one-periodic diffraction structure. In this case Bragg conditions are not fulfilled and back-wave is used for generation. Tuning of radiation frequency in such a system can be provided either by change of radiation angle or by grating rotation or by change of direction and value of electron beam velocity. Nonrelativistic and low-relativistic electron beams passing through such structures can generate in wide frequency range up to terahertz.

## II Amplification and generation in diffraction structure

Let us consider an electron beam with velocity $`\stackrel{}{u}`$ passing through a periodic structure composed from either dielectric or metal threads (see Figure 1.)

Fields, which appear at electron beam passing through a volume spatially-periodic medium are described by the following set of equations 3 :

$`DE\omega ^2\chi _1E_1\omega ^2\chi _2E_2\omega ^2\chi _3E_3\mathrm{}`$ $`=`$ $`0`$
$`\omega ^2\chi _1E+D_1E_1\omega ^2\chi _{21}E_2\omega ^2\chi _{31}E_3\mathrm{}`$ $`=`$ $`0`$ (1)
$`\omega ^2\chi _2E\omega ^2\chi _{12}E_1+D_2E_2\omega ^2\chi _{12}E_1\mathrm{}`$ $`=`$ $`0,`$
Set (1)is obtained by the use of Bloch representation for field

$$\stackrel{}{E}(\stackrel{}{r};\omega )=\stackrel{}{E}_i\mathrm{exp}\{i(\stackrel{}{k}+\stackrel{}{\tau }_i)\stackrel{}{r}\}$$

and permittivity in a spatially-periodic medium ($`\epsilon (\stackrel{}{r}+\stackrel{}{a}_n,\omega )=\epsilon (\stackrel{}{r},\omega )`$)

$$\epsilon (\stackrel{}{r},\omega )=1+\underset{\{\tau \}}{}\chi _\tau (\omega )\mathrm{exp}(i\stackrel{}{\tau }\stackrel{}{r}),.$$

$`\stackrel{}{\tau }_i=\{\frac{2\pi }{a}i_1;\frac{2\pi }{b}i_2;\frac{2\pi }{c}i_3\}`$ are the reciprocal lattice vectors, $`\stackrel{}{a}_n=n_1\stackrel{}{a}+n_2\stackrel{}{b}`$ $`+n_3\stackrel{}{c}`$ are the translation vectors of periodic medium, $`i_1÷i_3`$, $`n_1÷n_3`$ are the integer numbers. $`D_\alpha =k_\alpha ^2c^2\omega ^2\epsilon +\chi _\alpha ^{(b)}`$ , $`\stackrel{}{k}_\alpha =\stackrel{}{k}+\stackrel{}{\tau }_\alpha `$ is the wave vector of diffracted photon, $`\chi _\alpha ^{(b)}`$ is the part dielectric susceptibility, caused by the presence of electron beam:

$`\chi _\alpha ^{(b)}`$ $`=`$ $`{\displaystyle \frac{1}{\gamma }}(\omega _b/\omega )^2(\mathrm{𝐮𝐞}^\alpha /c)^2\times {\displaystyle \frac{k_\alpha ^2c^2\omega ^2}{(\omega \stackrel{}{k}_\alpha \stackrel{}{u})^2}}`$
”cold” beam limit,
$`\chi _\alpha ^{(b)}`$ $`=`$ $`{\displaystyle \frac{i\sqrt{\pi }}{\gamma }}(\omega _b/\omega )^2(\mathrm{𝐮𝐞}^\alpha /c)^2\times {\displaystyle \frac{k_\alpha ^2c^2\omega ^2}{\delta _\alpha ^2}}x_\alpha ^t\mathrm{exp}[(x_\alpha ^t)^2]`$
”hot” beam limit.
$`x_\alpha ^t=(\omega \stackrel{}{k}_\alpha \stackrel{}{u})/\sqrt{2}\delta _\alpha `$, $`\delta _\alpha ^2=(k_{\alpha 1}^2\mathrm{\Psi }_1^2+k_{\alpha 2}^2\mathrm{\Psi }_2^2+k_{\alpha 3}^2\mathrm{\Psi }_3^2)u^2`$ and $`\stackrel{}{\mathrm{\Psi }}=\mathrm{\Delta }\stackrel{}{u}/u`$ spread of electron’s velocities in a beam. Values of $`\chi _\alpha ^{(b)}`$ in (II) are cited for two opposite limits. First case is described by the inequality $`|\omega \stackrel{}{k}_\alpha \stackrel{}{u}|\delta _\alpha `$ and corresponds to the so called hydrodynamic or ”cold” beam limit. In this case all electrons participate in interaction with electromagnetic wave. Kinetic or ”hot” beam limit $`|\omega \stackrel{}{k}_\alpha \stackrel{}{u}|\delta _\alpha `$ supposes that only part of electrons participates in interaction process.

As it was mentioned above, synchronism conditions are incompatible with conditions of dynamic diffraction for nonrelativistic and low-relativistic electron beams. In this case generation can appear due to transition radiation in periodic medium and electron beam interacts with slightly coupled component corresponding to the wave vector $`\stackrel{}{k}_\tau =\stackrel{}{k}+\stackrel{}{\tau }`$. According to (1) the dispersion equation, which describes instability of electron beam is as follows:

$$(k^2c^2\omega ^2\epsilon )(k_\tau ^2c^2\omega ^2\epsilon +\chi _\tau ^{(b)})\omega ^2\chi _\tau \chi _\tau =0.$$
(3)
As synchronism conditions are incompatible with Bragg those, then $`k^2k_\tau ^2`$ in the instability range. At the same time two different types of instability exist depending on radiation frequency. Amplification takes place when electron beam is in synchronism with electromagnetic component $`\stackrel{}{k}+\stackrel{}{\tau }`$, which has positive projection $`k_z`$. If projection $`k_z`$ is negative and generation threshold is reached, then generation occurs. In the first case radiation propagates along the transmitted wave, which has positive projection of group velocity $`v_z=\frac{c^2k_z^{(0)}}{\omega }`$ ($`k_z^{(0)}=\sqrt{\omega ^2\epsilon k_{}^2}`$), and beam disturbance moves along it. In the second case the group velocity has negative projection $`v_z=\frac{c^2k_z^{(0)}}{\omega }`$ and radiation propagates along back-wave and electromagnetic wave comes from the range of the greatest beam disturbance to the place, where electrons come into the interaction area. For one-dimensional structure such mechanism is realized in backward-wave tube.

Dispersion equation, which describes the roots, corresponding interaction of electron beam with electromagnetic wave at $`k^2k_\tau ^2`$ can be rewritten as:

$$u_z^2\left(k_za_1\right)^2(k_zk_z^{(0)})(k_z+k_z^{(0)})=\frac{a\omega _L^2(\stackrel{}{u}\stackrel{}{e}^\tau )^2\omega ^4r}{c^4\left(k_\tau ^2c^2\omega ^2\epsilon _0\right)},$$
(4)
where $`a_1=\frac{\omega \stackrel{}{k}_{}\stackrel{}{u}_{}}{u_z}\tau _z`$. For amplification case (4) gives for increment of instability:

$$Imk_z^{}=\frac{\sqrt{3}}{2}f,$$
(5)
where $`f=\sqrt[3]{\frac{a\omega _L^2(\stackrel{}{u}\stackrel{}{e}^\tau )^2\omega ^4r}{2k_z^{(0)}c^4u_z^2\left(k_\tau ^2c^2\omega ^2\epsilon _0\right)}}`$, if condition $`2k_z^{}f\frac{\omega ^2\chi _0\mathrm{"}}{c^2}`$ is fulfilled. In case $`2k_z^{}f\frac{\omega ^2\chi _0\mathrm{"}}{c^2}`$ dissipative instability evolves. Its increment is

$$Imk_z=\frac{c}{\omega }\sqrt{\frac{k_z^{(0)}f^3}{\chi _0}}.$$
(6)
If inequalities $`k_z^{\mathrm{`}2}2k_zk_z^\mathrm{`}`$ and $`k_z^{\mathrm{`}2}\frac{\omega ^2\chi _0\mathrm{"}}{c^2}`$ are fulfilled, spatial increment of instability can be expressed as:

$$Imk_z^\mathrm{`}=\left(\frac{a\omega _L^2(\stackrel{}{u}\stackrel{}{e}^\tau )^2\omega ^4r}{c^4\left(k_\tau ^2c^2\omega ^2\epsilon _0\right)u_z^2}\right)^{1/4},$$
(7)
but parameters providing dependence (7) correspond to the conversion from amplification to generation regime. For Compton instability (at proper electron beam density) this situation takes place at $`k_z^{(0)}0`$

Frequency of amplified radiation is defined as:

$$\omega =\frac{\stackrel{}{\tau }\stackrel{}{u}}{1\beta _x\eta _x\beta _y\eta _y\beta _z\sqrt{\epsilon \eta _x^2\eta _y^2}}.$$
(8)
Instability in generation regime is described by the temporal increment and can not be described by the spatial that. Increment of absolute instability can be found solving the equation

$$Imk_z^{(+)}(\omega )=Imk_z^{()}(\omega )$$
(9)
with respect to imaginary part of $`\omega `$. Roots of (4) are expressed as:

$$k_{z1}^{()}=a_1\frac{a_1+k_z^{(0)}}{3}+A+B$$
(10)
$$k_{z2,3}^{(+)}=a_1\frac{a_1+k_z^{(0)}}{3}\frac{A+B}{2}\pm i\frac{AB}{2}\sqrt{3},$$

where

$$A=\sqrt[3]{\frac{f^3}{2}\left(\frac{a_1+k_z^{(0)}}{3}\right)^3+\sqrt{\frac{f^6}{4}f^3(a_1+k_z^{(0)})^3}}$$

$$B=\sqrt[3]{\frac{f^3}{2}\left(\frac{a_1+k_z^{(0)}}{3}\right)^3\sqrt{\frac{f^6}{4}f^3(a_1+k_z^{(0)})^3}}.$$

Calculated dependence of temporal increment on parameter of detuning is presented in Fig.2.

Axes in Fig.2 are denoted as: $`d=\frac{a_1+k_z^{(0)}}{f}`$, $`n=\frac{\frac{\omega \mathrm{"}}{u_z}+\frac{2\omega \omega \mathrm{"}\epsilon _0+\omega ^2\chi _0\mathrm{"}}{c^2k_z^{(0)}}}{f}`$. It follows from Fig.2 that at certain value of parameter of detuning:

$$\frac{a_1+k_z^{(0)}}{f}0.3$$
(11)
increment of instability has maximum peak

$$\frac{\frac{\omega \mathrm{"}}{u_z}+\frac{2\omega \omega \mathrm{"}\epsilon _0+\omega ^2\chi _0\mathrm{"}}{c^2k_z^{(0)}}}{f}0.98.$$
(12)
Increment of absolute instability can be found from (12). It is easy to see that absolute instability can evolve if current exceed start value, which is determined by dissipation. Amplification regime has no threshold and deciding influence of dissipation causes dissipative instability (6).

Frequencies, corresponding to generation regime, are defined by the expression different from (8):

$$\omega =\frac{\stackrel{}{\tau }\stackrel{}{u}}{1\beta _x\eta _x\beta _y\eta _y+\beta _z\sqrt{\epsilon \eta _x^2\eta _y^2}}.$$
(13)
Thus, it follows from (8, 13) that change of radiation angle causes smooth frequency tuning. At that, generation frequencies are less than those corresponding to amplification regime. Hence, using system as amplifier one should add dispersion elements in it to raise dissipation in frequency range, in which generation occurs.

Use of Bragg multiwave distributed feedback increases generation efficiency and provides discrimination of generated modes. If conditions of synchronism and Bragg conditions are not fulfilled simultaneously, diffraction structures with two different periods can be applied nonrel . The first of them provides synchronism of electromagnetic wave with electron beam $`\omega \stackrel{}{k}\stackrel{}{u}=\stackrel{}{\tau }_1\stackrel{}{u}`$, where $`\stackrel{}{\tau }_1`$ is the reciprocal lattice vector of this structure. The second diffraction structure evolves distributed Bragg coupling $`|\stackrel{}{k}||\stackrel{}{k}+\stackrel{}{\tau }_j|`$, $`\stackrel{}{\tau }_j`$ ($`j=2÷n`$)are the reciprocal lattice vectors of the second structure. Conditions of synchronism and Bragg conditions can be fulfilled even for one diffraction structure, because diffraction structure with one period has unlimited set of reciprocal lattice vectors. Then reciprocal lattice vectors providing synchronism and Bragg conditions are significantly different in value.

It follows from (1) that dispersion equation for distributed feedback supplied by two-wave diffraction with one low coupled wave is expressed as:

$$F_3(\stackrel{}{k};\stackrel{}{k}_1;\stackrel{}{k}_2)=\chi _1^{(b)}F_2(\stackrel{}{k};\stackrel{}{k}_2)$$
(14)
where:

$`F_3(\stackrel{}{k};\stackrel{}{k}_1;\stackrel{}{k}_2)`$ $`=`$ $`(k^2c^2\omega ^2\epsilon )(k_1^2c^2\omega ^2\epsilon )(k_2^2c^2\omega ^2\epsilon )`$
$`\omega ^4(k^2c^2\omega ^2\epsilon )\chi _{12}\chi _{21}\omega ^4(k_1^2c^2\omega ^2\epsilon )\chi _2\chi _2`$
$`\omega ^4(k_2^2c^2\omega ^2\epsilon )\chi _1\chi _1\omega ^6(\chi _1\chi _2\chi _{21}+\chi _2\chi _1\chi _{12})`$
$`F_2(\stackrel{}{k};\stackrel{}{k}_2)`$ $`=`$ $`(k^2c^2\omega ^2\epsilon )(k_2^2c^2\omega ^2\epsilon )\omega ^4\chi _2\chi _2.`$
(14) is derived with the assumption that synchronism conditions are fulfilled for reciprocal lattice vector $`\stackrel{}{\tau }_1`$ ($`\omega (\stackrel{}{k}+\stackrel{}{\tau }_1)\stackrel{}{u}0`$), while two-wave diffraction evolves at planes with reciprocal lattice vector $`\stackrel{}{\tau }_2`$ ($`|\stackrel{}{k}||\stackrel{}{k}+\stackrel{}{\tau }_2|`$). Threshold conditions of generation and increment of temporal instability for the latter geometry were obtained in nonrel :

$$\omega ^{\prime \prime }=\frac{\omega }{2(1\beta )}\{G(\frac{\gamma _0u}{\stackrel{}{n}\stackrel{}{u}})^3\frac{16\pi ^3n^2}{\beta (k\chi _2L_{})^2kL_{}}\chi _0^{\prime \prime }(1\beta \pm \sqrt{\beta }\frac{r^{\prime \prime }}{|\chi _2|\chi _0^{\prime \prime }})\}$$
(15)
where:

$`G`$ $`=`$ $`(kL_{})^2{\displaystyle \frac{\pi ^2n^2}{4\gamma }}({\displaystyle \frac{\omega _b}{\omega }})^2({\displaystyle \frac{\stackrel{}{u}\stackrel{}{e}_1}{\stackrel{}{n}\stackrel{}{u}}})^2(l_1+\chi _0)`$
$`\times {\displaystyle \frac{l\chi _{12}\chi _{21}+l_2\chi _1\chi _1+\chi _1\chi _2\chi _{21}+\chi _2\chi _1\chi _{12}}{l_1^2}}f(y),`$
$`l=\frac{k_0^2c^2\omega ^2\epsilon }{\omega ^2}`$, $`l_1=\frac{(\stackrel{}{k}_0+\stackrel{}{\tau }_1)^2c^2\omega ^2\epsilon }{\omega ^2}`$, $`l_2=\frac{(\stackrel{}{k}_0+\stackrel{}{\tau }_2)^2c^2\omega ^2\epsilon }{\omega ^2}.`$ Condition $`\omega ^{\prime \prime }=0`$ in (15) defines the start current of generation. Threshold conditions for s-wave diffraction is converted to:

$$G^{(s)}=\frac{a_s^3}{(k\chi L_{})^{2s}kL_{}}+\chi _0^{\prime \prime }b_s.$$
(16)
For developed dynamic diffraction, when $`k|\chi |L_{}1`$, either generation start current or length of generation zone at certain current value can be reduced.

Each Bragg condition holds one of free parameters. For example, for certain geometry and electron beam velocity two conditions for 3-wave diffraction entirely determine transverse components of wave vector $`k_x`$ and $`k_y`$, and therefore generation frequency (see (8, 13)). Hence, volume diffraction system provides mode discrimination due to multiwave diffraction.

## III  Discussion.

The above results affirm that volume diffraction structure provides both amplification and generation regimes even in the absence of dynamic diffraction. In latter case generation evolves with backward-wave similarly backward-wave tube. Frequency in such structure is changed smoothly either at smooth variation of radiation angle (variation of $`k_x`$ and $`k_y`$) or at rotation of diffraction grating or electron beam (change of $`\stackrel{}{\tau }\stackrel{}{u}`$)(see (8), (13)). For certain geometry and reciprocal lattice vector amplification corresponds higher frequencies then generation. Rotation of either diffraction grating or electron beam also changes value of boundary frequency, which separates generation and amplification ranges. Use of multiwave distributed feedback owing to Bragg diffraction, let either to increase generation efficiency or to reduce length of interaction area ((15), (14)). In this case generation is available with both backward and following waves.

In particular, the proposed volume structure can be used for generation of sub-millimeter radiation by accelerator LIU-3000. Parameters of this setup: electron beam energy $`E=800`$ keV, beam current $`I=100÷200`$ A. To generate radiation with wavelength 0.3 mm in such a system volume structure composed from strained threads should has period $``$ 2 mm, and period of diffraction grating providing Bragg coupling is $``$ 0.16 mm.


text:
# Equilibrium under flow

## Abstract

Using information theory we derive a thermodynamics for systems evolving under a collective motion, i.e. under a time-odd constraint. An illustration within the Lattice gas Model is given for two model cases: a collision between two complex particles leading to a incomplete relaxation of the incoming momentum, and a self-similar expansion. A semi-quantitative connection with the determination of thermodynamical quantities in multifragmentation reactions is done showing that they are affected in a sizeable way only when the flow dominates the global energetic.

Heavy ion collisions represent a unique opportunity to probe the interdisciplinary field of phase transitions in mesoscopic systems for which a non standard thermodynamics giving rise to negative heat capacities is predicted cneg\_theo . An indication of negative heat capacities has been experimentally found cneg\_exp  in multifragmentation reactions. These results can be considered as a first step towards a quantitative determination of the nuclear phase diagram. Negative heat capacities have also been observed in simulations of self-gravitating systemsgrav  and in the melting and boiling of clusters haberland .

An important conceptual problem linked with multifragmentation experiments is that the outcomes of a nuclear collision are not confined in an external container but dynamically deexcite in the vacuum. In the absence of boundary conditions, collective flows can be present at the fragmentation time. Because of this time odd component, one may doubt about the applicability of equilibrium concepts. However, we will show that information theory allows a thermodynamically consistent description of open finite systems in evolution under a collective flow. We will apply this formalism to the Lattice Gas Model LGM  for the particular cases of a memory of the entrance channel (transparency) and radial expansion. In both cases the properties of the system appear to be affected in a sizeable way when flow dominates the global energetics.

In the Gibbs formulation of statistical mechanics an equilibrium is defined as a collection of different microstates all corresponding to the same macrostate (or statistical ensemble) defined through the average value of (a collection of) collective variables. A practical realization of a Gibbs ensemble is given by the collection of different snapshots of an isolated ergodic system evolving in time, provided that the observation time is much longer than a typical equilibration time . This type of statistical ensemble is not very useful for short-lived open systems as the transient excited states formed in a nuclear collisions. However, ergodicity is not the unique way to produce a Gibbs ensemble . Indeed, within information theory, an equilibrium corresponds to any ensemble of states that maximizes the entropy in a given space under the constraint of (a number of) observables known in averagebalian . Therefore, if the nuclear dynamics is sufficiently sensitive to the initial conditions, the ensemble of outcomes of similarly prepared nuclear collisions can be considered as a statistical ensemble for which the important observables are controlled by the dynamics (and by the event sorting performed on specific observables). As an example, in the standard freeze out hypothesis the configurations are fixed when the nuclear interaction among prefragments becomes negligible; then the ensemble of events is characterized by several variables such as the energy and the spatial extension $`R^2`$ which for open systems is fluctuating event by event. This can be accounted for by considering the ensemble average $`<R^2>`$ as a state variable and introducing a Lagrange multiplier $`\lambda `$ closely related to a pressure. In this information theory approach, the state variables are determined by the dynamics and can also be time odd quantities such as transparency or radial flow.

Let us first consider a symmetric head-on collision with a too short reaction time to fully relax the incoming momentum. This situation seems to be verified at relativistic energies rami . It corresponds to the observation of an additional one body state variable, the memory of the initial momenta $`<ϵp_z>`$, where $`p_z`$ is the momentum along the beam axis and $`ϵ=1(+1)`$ for the particles initially belonging to the target (projectile). Let us assume that the total energy $`E`$ is also known only in average. The maximization of the entropy leads to the partition sum of the incomplete momentum relaxation ensemble (IMRE)

$$Z_{\beta ,\alpha }=\underset{n}{}exp\left(\beta E^{(n)}+\alpha \underset{i=1}{\overset{A}{}}ϵ_ip_{iz}^{(n)}\right)$$
(1)
where the indice $`i`$ stands for the $`i`$-th particle while $`(n)`$ counts the events. $`\beta `$ and $`\alpha `$ are Lagrange multipliers associated to the constraint of the degree of incomplete stopping $`<ϵp_z>`$ and of the total center of mass energy $`<E>`$. The relative probability of an event $`(n)`$ results

$$p^{(n)}exp\left[\beta \left(\underset{i=1}{\overset{A}{}}\frac{\left(\stackrel{}{p}_i^{(n)}+ϵ_i\stackrel{}{p}_0\right)^2}{2m}+\underset{ij}{\overset{A}{}}U_{ij}\right)\right]$$
(2)
where $`U_{ij}`$ is the two body interaction and we have introduced $`\stackrel{}{p}_0=m\alpha /\beta \stackrel{}{u_z}`$. The average kinetic energy is $`<E_k>/A=3/(2\beta )+p_0^2/(2m)`$ while the equation of states related to $`\alpha `$ leads to $`<ϵp_z>=Ap_0`$. In the limit $`p_0=0,`$ these expressions correspond to the usual canonical ensemble while in the general case they can be interpreted as two thermalized sources with a non zero relative velocity $`2\stackrel{}{p}_0/m`$ along the beam axis $`\stackrel{}{u_z}`$ .

In actual heavy ion experiments the centrality selection criteria imply a sorting of data according to the total deposited energy cneg\_exp  or to variables which are strongly correlated to it. This means that a total energy conservation has to be implemented to eq.(2). In this case the equations of state are not analytical but can still be numerically evaluated.

This theory can be extended to take into account other observables. if for example the average momentum dispersion along the beam axis is known, an extra term $`\delta p_{iz}^{(n)2}`$ can be added in eq.(1) to control the collective flow fluctuation, while a term $`\lambda R^{(n)2}`$ can be used to impose an average freeze out volume. For simplicity in the following calculations the longitudinal momentum dispersion has been kept fixed, $`(\beta /2m+\delta )^1=0.04ϵ`$.

To understand the effect of transparency on the evaluation of thermodynamical quantities we have used the Lattice Gas hamiltonian LGM  where occupied sites on a three dimensional cubic lattice interact via a constant closest neighbors coupling $`ϵ`$. This simple but numerically solvable model is isomorphous to the Ising model in the grancanonical ensemble and constitutes therefore a paradigm of standard equilibrium statistical mechanics with first and second order phase transitions. Calculations in the IMRE eq.(1) are performed for a system of $`A=216`$ particles at a subcritical pressure $`\lambda =3.310^4`$ and clusters are defined within the standard Coniglio-Klein prescriptiondasgupta . Since in this classical approach the configurational and kinetic partition sums are factorized, for a given $`\beta `$ the lattice configurations will be independent of the degree of transparency $`p_0`$. However the active bond probability will explicitly depend on $`p_0`$ meaning that cluster observables can be affected by the incomplete relaxation.

Figure 1a shows the cluster size distributions for a temperature $`\beta ^1=0.65ϵ`$ which corresponds to the transition temperature in the canonical ensemble, and different quadrupolar deformations in momentum space

$$\frac{\mathrm{\Delta }p}{p}=\frac{\sqrt{2}<|p_z|><|p_{}|>}{2(\sqrt{2}<|p_z|>+<|p_{}|>)}$$
(3)
A quantitative comparison with experimental data would require to fix the Lagrange parameters $`\lambda `$, $`\beta `$, $`p_0`$ from each specific set of data and to include quantum effects and symmetry as well as Coulomb terms in the hamiltonian, however from this illustrative example we can clearly see that partitions are affected by a collective longitudinal component and a higher degree of fragmentation does not necessarily imply higher temperatures but can also be consistent with an increased degree of transparency of the collision. To quantify this statement, Figure 1b compares the clusters size distributions of the IMRE at a fixed total energy with the standard microcanonical ensemble (fixed energy, spherical momentum distribution) at the same energy. It is clear that thermal agitation is much more effective than transparency to break up the system: at the energy where the microcanonical ensemble predicts a complete vaporization of the system, a residue persists if the non relaxed momentum component is as large as the relaxed one. This is in qualitative agreement with the trend observed in central collisions at relativistic energies fopi . On the other side up to 10% transparency the distributions are almost identical, meaning that when the velocity difference between the quasi-projectile and the quasi-target is of this order, the debate on equilibrium based on the number of emission sources indra  is an academic question. The important influence of the collective component on the cluster distributions means that, if the incoming momentum is not completely relaxed, the methods used to determine thermodynamical quantities can be strongly biased. Indeed if energy is divided into a kinetic $`e_k`$ and an interaction $`e_i`$ component, the average kinetic energy can be used as a microcanonical thermometer while the normalized partial energy fluctuations are linked to the microcanonical heat capacity noi . The interaction energy can be estimated as the Q-value of the detected fragments cneg\_exp . Figure 2 shows the deformation induced by transparency on the first and second order moments of partial energies that are used to infer the temperature and heat capacity in the microcanonical sorting of fragmentation data cneg\_exp . The Q-value can be computed in the Lattice Gas model in a liquid drop approximation as

$$Q^{(n)}=\underset{i=1}{\overset{M^{(n)}}{}}a_vA_i+a_sA_i^{2/3}$$
(4)
where $`M^{(n)}`$ is the multiplicity of the n-th event and $`a_v`$, $`a_s`$ are the volume and surface energy coefficients. The average kinetic energy and the average Q-value obtained with eq.(4) are shown in the left part of figure 2 for the microcanonical ensemble and for a system with the same total deposited energy and an increasing degree of transparency $`\mathrm{\Delta }p/p`$. The energy range explored corresponds to the phase transition region. The increased probability of heavy clusters with an increasing degree of transparency shown in figure 1 induces an overestimation of the average kinetic energy, hence of the estimated temperature. The peak in the partial energy fluctuation which signals the phase transition noi  disappears in this extreme scenario of an increase of energy going entirely into the relative motion of the two sources, and the normalized fluctuations are systematically lower than in the microcanonical ensemble where the incoming momentum is fully relaxed. Since a negative heat capacity corresponds to abnormally high partial energy fluctuations noi , Figure 2 implies that an incomplete relaxation of the incoming momentum can prevent the observation of negative heat capacity.

Another important form of collective motion in heavy ion collisions is radial flow which starts to be observed in central collisions around 30 A.MeV incident energyindra  and becomes the dominant fraction of the detected energy in the relativistic domain fopi . We can describe this dynamical situation in the framework of information theory as an equilibrium with non random directions for velocities which are preferentially oriented in the radial direction. In the canonical formulation this corresponds to two independent observations of the average energy $`<E>`$ and a the average local radial momentum $`<p_r(r)>`$ . The probability of a microstate $`(n)`$ reads

$$p^{(n)}exp\left(\beta E^{(n)}\underset{i=1}{\overset{A}{}}\gamma (r_i)\stackrel{}{p}_i\stackrel{}{u}_{r_i}\right)$$
(5)
where $`r_i`$ is the center of mass position of the i-th particle and $`\beta ,\gamma \left(r\right)`$ are Lagrange multipliers. Imposing in the local equation of state $`<p_r>=logZ/\gamma `$ that the observed velocity is self-similar $`<p_r(r)>=m\alpha r`$ we obtain $`\gamma (r)=\beta \alpha r`$ which gives for the argument of the exponential in the probability (5)

$$\beta \underset{i=1}{\overset{A}{}}\frac{\left(\stackrel{}{p}_i\stackrel{}{p}_0(r_i)\right)^2}{2m}+\beta \frac{\alpha ^2m}{2}\underset{i=1}{\overset{A}{}}r_i^2\beta E_{pot}$$
(6)
with the local radial momentum $`\stackrel{}{p}_0(r)=m\alpha r\stackrel{}{u}_r`$. The situation is equivalent to a standard Gibbs equilibrium in the local expanding frame. This scenario is often invoked in the literature smm  to justify the treatment of flow as a collective radial velocity superimposed on thermal motion; however eq.(6)contains also an additional term $`r^2`$ which corresponds to an outgoing pressure. This term cannot be avoided in the selfsimilar scenario; indeed the total average energy under flow reads $`<E>=3/(2\beta )+<E_{pot}>+m\alpha ^2/2<R^2>`$ where we have used the fact that the scalar product between the flow and the thermal component is in average zero. The probability under flow eq.(6) diverges at infinity reflecting the trivial dynamical fact that asymptotically particles flow away. This divergence should be cured by introducing an external confining pressure which is not a mathematical artifact but has to be interpreted as discussed above as a Lagrange multiplier imposing a finite freeze out volume. Eq.(6) has then to be augmented by a term $`\lambda _ir_i^2`$ with $`\lambda m\alpha ^2/2T`$ leading to a positive pressure coefficient $`\lambda _{eff}=\lambda m\beta \alpha ^2/2`$.

The effective pressure $`\lambda _{eff}`$ as well as the associated average volume (normalized to the ground state volume $`V_0=A`$) are shown in the upper left part of figure 3 as a function of the collective radial velocity for a given pressure $`\lambda =1.2310^2`$ and temperature $`\beta ^1=0.65ϵ`$. The Lagrange parameter $`\lambda _{eff}`$ being a decreasing function of $`\alpha `$, the flow reduces the effective pressure so that the critical point is moved towards higher pressures in the presence of flow jou . However one can see that the effect is very small up to $`m\alpha .6`$ (which corresponds to $`40\%`$ contribution of flow to the kinetic energy). In this regime the cluster size distributions displayed in the upper right part of figure 3 are only slightly affected. On the other side if the collective flow overcomes a threshold value $`\mathrm{\Delta }E_k/E_k50\%`$ the average volume (dashed line in fig.3a) shows an exponential increase and the outgoing flow pressure leads to a complete fragmentation of the system (dashed grey line in fig.3b). Again an oriented motion is systematically less effective than a random one to break up the system. This is shown in the lower part of figure 3 which compares for a given $`\lambda `$ distributions with and without radial flow at the same total deposited energy: for any value of radial flow equilibrium in the standard microcanonical ensemble corresponds to more fragmented configurations.

Concerning heavy ion collisions, it is important to stress that the pressure $`\lambda `$ as well as the other state variables are consequences of the dynamics. They cannot be accessed by a statistical treatment but have to be extracted from simulations and/or directly infered from data itself cneg\_exp . Different models assume that fragmentation occurs in an average freeze out volume which may depend on the thermal energy but does not depend on flow. This is true if the system fragments at the turning point of its expansion ($`\lambda _{eff}=0`$)papp  or when the interaction between fragment surfaces becomes negligible smm  or more generally insufficient to modify the N-body correlations sator . In this case the presence of flow does not affect the configuration space and can only modify the partitions because of the modified microscopic bonds among particles taken into account by the Coniglio-Klein algorithm. However this effect is negligible as already observed by Das Gupta et al.dasgupta  and shown in the lower part of Figure 3. In this figure the symbols represent the size distributions with collective flow at the same thermal energy and average volume as the standard microcanonical results (full lines). Even for the largest amount of flow considered the two distributions are identical, meaning that in this hypothesis all thermodynamical analysis of fragmentation data stay valid in the presence of even strong collective flows dasgupta .

In this paper we have shown that information theory balian  allows to take into account generic collective motions in a rigorous statistical way leading to the formulation of a consistent ”out of (static) equilibrium” thermodynamics. We have particularized this general statement to two kinds of collective motion which are particularly relevant in nuclear multifragmentation, namely partial transparency and radial selfsimilar flow. We have applied the formalism to the Lattice Gas model which has already shown some pertinence dasgupta  to the multifragmentation phenomenology. We have shown that the disordered thermal motion is always more efficient than the collective motion to break up the system. A consequence of that is that normalized partial energy fluctuations for a system under flow are always reduced respect to the standard microcanonical expectationcneg\_theo  and the negative heat capacity signal experimentally observedcneg\_exp  cannot be due to the possible presence of a collective component neglected in the data analysis. Transparency leaves the configurational energy unmodified, while radial flow, because of the coupling between r and p space, is shown to be equivalent to an external pressure leading to an increased value of the critical pointjou . Concerning the extraction of thermodynamical variables from fragmentation data, radial flow can be simply subtracted from the detected energy dasgupta  while transparency can be neglected only if the relaxation of the incoming momentum exceeds about 90%.