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# 1 Introduction and Basic Equations

## 1 Introduction and Basic Equations

It is increasingly important to develop an improved theoretical understanding of the nonlinear dynamics of charged particle beams in high energy accelerators and storage rings . An individual particle propagating in an accelerator experiences a growth of amplitude of betatron oscillations in a plane transverse to the particle orbit whenever a perturbing force acts on it. This force may be of various origins, for example, high-order multipole magnetic field errors, space-charge forces, beam-beam interaction force, power supply ripples, or other external and collective forces.

There is a growing number of robust analytical methods used to study the effects of the nonlinear behavior of beams in accelerators and storage rings, ranging from classical perturbation theory  to the Lie algebraic approach . The recently developed renormalization group (RG) method has been successfully applied to both continuous dynamical systems  and maps  that are of general interest in the physics of accelerators and beams. The advantage of the RG method is associated with the fact that it is equally powerful to study finite-dimensional, as well as continuous systems. Therefore, it is also useful when applied to analyze the properties of chaotic dynamical systems in both the stability region and the globally stochastic region in phase space .

While the RG method is well established in applications to continuous dynamical systems, the present paper demonstrates that the RG method can also be applied successfully to study discrete dynamical systems. As a particular example, we consider the Henon map  as applied to describe the transverse betatron oscillations in a cyclic accelerator or storage ring possessing a FODO-cell structure with a single thin sextupole. The basic equations and Henon transfer map used in the present analysis are summarized later in section 1, and in section 2 a powerful RG technique is developed that is valid correct to fourth order in the perturbation amplitude. A technique for resolving the resonance structure of the Henon map is discussed in section 3, and in section 4 illustrative numerical results are presented.

The present analysis assumes that a certain multipole nonlinearity is concentrated at a single point azimuthally located at $`\theta _0`$. Then the one-turn transfer map describing the transverse betatron motion in a cyclic accelerator or storage ring can be written in the form

$$𝐳_{n+1}=\widehat{}_t\left[𝐳_n+\frac{l}{R}𝐅(𝐳_n;\theta _0)\right],$$
(1.1)
where $`𝐳`$ is the state vector

$$𝐳=\left(\begin{array}{c}X\\ P_x\\ Z\\ P_z\end{array}\right),$$
(1.2)
$`\widehat{}_t`$ is an orthogonal matrix

$$\widehat{}_t=\left(\begin{array}{cccc}\mathrm{cos}2\pi \nu _x& \mathrm{sin}2\pi \nu _x\hfill & 0& \hfill 0\\ \mathrm{sin}2\pi \nu _x& \mathrm{cos}2\pi \nu _x\hfill & 0& \hfill 0\\ 0& 0\hfill & \mathrm{cos}2\pi \nu _z& \hfill \mathrm{sin}2\pi \nu _z\\ 0& 0\hfill & \mathrm{sin}2\pi \nu _z& \hfill \mathrm{cos}2\pi \nu _z\end{array}\right),$$
(1.3)
and $`𝐅(𝐳;\theta _0)`$ is defined by

$$𝐅(𝐳;\theta _0)=\left(\begin{array}{c}0\\ \frac{V(X,Z;\theta _0)}{X}\\ 0\\ \frac{V(X,Z;\theta _0)}{Z}\end{array}\right).$$
(1.4)
Here, $`(X,Z)`$ is the transverse displacement, $`(P_x,P_z)`$ is the transverse canonical momentum, $`l`$ is the length of the multipole element, $`R`$ is the mean machine radius and $`\nu _{x,z}`$ are the horizontal and the vertical betatron tunes, respectively. Furthermore, $`V(X,Z;\theta )`$ is the nonlinear potential, which can be expressed in the polynomial form

$$V(X,Z;\theta )=\underset{I=2}{\overset{\mathrm{}}{}}\underset{\genfrac{}{}{0pt}{}{k,m=0}{k+m=I}}{\overset{I}{}}b_{km}^{(I)}\left(\theta \right)X^kZ^m,$$
(1.5)
where $`b_{km}^{(I)}\left(\theta \right)`$ are coefficients (generally functions of the azimuthal angle $`\theta `$) representing the strength of the nonlinearity.

## 2 The Henon Map

The simplest nontrivial example of a polynomial transfer map is the so-called Henon map . It can describe the horizontal betatron oscillations in an accelerator possessing a FODO-cell structure with a single thin sextupole. The two-dimensional Henon map can be obtained from equation (1.1) in the case when the potential $`V(X,Z;\theta )`$ \[see equation (1.5)\] contains a single localized cubic nonlinearity. In explicit form it can be written as

$$X_{n+1}=X_n\mathrm{cos}\omega +\left(P_n𝒮X_n^2\right)\mathrm{sin}\omega ,$$
(2.1)
$$P_{n+1}=X_n\mathrm{sin}\omega +\left(P_n𝒮X_n^2\right)\mathrm{cos}\omega ,$$
(2.2)
where

$$\omega =2\pi \nu ,𝒮=\frac{l\lambda _0\left(\theta _0\right)\beta ^{3/2}\left(\theta _0\right)}{2R^3}.$$
(2.3)
In section 1, we briefly discussed the essence of the RG method and emphasized its power to handle a number of problems arising in the theory of continuous dynamical systems. In this section, we will demonstrate that the RG method can be applied successfully to study discrete dynamical systems, and as a particular example, we consider the Henon map. The latter can be further simplified by eliminating the canonical momentum variable $`P`$. Multiplying equation (2.1) by $`\mathrm{cos}\omega `$, multiplying equation (2.2) by $`\mathrm{sin}\omega `$, and summing the two equations, we obtain

$$X_{n+1}\mathrm{cos}\omega P_{n+1}\mathrm{sin}\omega =X_n.$$
(2.4)
Substitution of the recursion relation (2.4) into equation (2.1) yields the second-order difference equation for $`X`$

$$\widehat{}X_n=X_{n+1}2X_n\mathrm{cos}\omega +X_{n1}=ϵ𝒮X_n^2\mathrm{sin}\omega .$$
(2.5)
Here, $`ϵ`$ is a formal small parameter introduced for convenience to take into account the perturbative character of the sextupole nonlinearity.

Next we consider an asymptotic solution of the map (2.5) for small $`ϵ`$ by means of the RG method. The naive perturbation expansion

$$X_n=X_n^{(0)}+ϵX_n^{(1)}+ϵ^2X_n^{(2)}+\mathrm{},$$
(2.6)
when substituted into equation (2.5), yields the perturbation equations order by order

$$\widehat{}X_n^{(0)}=0,$$
(2.7)
$$\widehat{}X_n^{(1)}=𝒮X_n^{(0)\mathrm{𝟐}}\mathrm{sin}\omega ,$$
(2.8)
$$\widehat{}X_n^{(2)}=2𝒮X_n^{(0)}X_n^{(1)}\mathrm{sin}\omega ,$$
(2.9)
$$\widehat{}X_n^{(3)}=𝒮\left(X_n^{(1)\mathrm{𝟐}}+2X_n^{(0)}X_n^{(2)}\right)\mathrm{sin}\omega ,$$
(2.10)
$$\widehat{}X_n^{(4)}=2𝒮\left(X_n^{(0)}X_n^{(3)}+X_n^{(1)}X_n^{(2)}\right)\mathrm{sin}\omega .$$
(2.11)
Solving equation (2.7) for the zeroth-order contribution, we obtain the simple result

$$X_n^{(0)}=Ae^{i\omega n}+c.c.,P_n^{(0)}=iAe^{i\omega n}+c.c.,$$
(2.12)
where $`A`$ is a complex constant amplitude. By virtue of equation (2.12) the first-order perturbation equation (2.8) becomes

$$\widehat{}X_n^{(1)}=𝒮(A^2e^{2i\omega n}+2|A|^2+c.c.)\mathrm{sin}\omega .$$
(2.13)
The solution to equation (2.13) can be expressed as

$$X_n^{(1)}=𝒮\left|A\right|^2\mathrm{cot}\frac{\omega }{2}+\frac{\mathrm{sin}\omega }{2}𝒮_1A^2e^{2i\omega n}+c.c.,$$
(2.14)
where

$$𝒮_1=\frac{𝒮}{\mathrm{cos}\omega \mathrm{cos}2\omega }.$$
(2.15)
To avoid resonant secular terms, we assume in addition that

$$\omega 2k\pi ,\omega \frac{2\pi }{3}+2k\pi ,\omega \frac{4\pi }{3}+2k\pi ,$$
(2.16)
where $`k`$ is an integer. The properties of the Henon map in the case where the betatron tune is near a resonance (in particular the $`1/3`$ resonance) will be considered in the section 3.

The second-order perturbation equation (2.9) becomes

$`\widehat{}X_n^{(2)}=2\mathrm{sin}\omega \left|A\right|^2Ae^{i\omega n}\mathrm{sin}^2\omega 𝒮𝒮_1A^3e^{3i\omega n}+c.c.,`$ (2.17)
where

$$=𝒮\left(\frac{𝒮_1}{2}\mathrm{sin}\omega 𝒮\mathrm{cot}\frac{\omega }{2}\right).$$
(2.18)
The solution to equation (2.17) can be readily expressed in the form

$$X_n^{(2)}=in\left|A\right|^2Ae^{i\omega n}+\frac{\mathrm{sin}^2\omega }{2}𝒮_1𝒮_2A^3e^{3i\omega n}+c.c.,$$
(2.19)
where

$$𝒮_2=\frac{𝒮}{\mathrm{cos}\omega \mathrm{cos}3\omega },\omega (2k+1)\pi ,\omega (2k+1)\frac{\pi }{2}.$$
(2.20)
Continuing further with the third-order calculation, we note that

$`\widehat{}X_n^{(3)}=𝒮\left(\mathrm{\Sigma }_0\right|A|^4+\mathrm{\Sigma }_2|A|^2A^2e^{2i\omega n}+\mathrm{\Sigma }_4A^4e^{4i\omega n}+c.c.)\mathrm{sin}\omega .`$ (2.21)
Here, the notation

$$\mathrm{\Sigma }_0=𝒮^2\mathrm{cot}^2\frac{\omega }{2}+\frac{𝒮_1^2}{2}\mathrm{sin}^2\omega ,$$
(2.22)
$$\mathrm{\Sigma }_2=𝒮_1\left(𝒮_2\mathrm{sin}\omega 𝒮\mathrm{cot}\frac{\omega }{2}\right)\mathrm{sin}\omega +2in,$$
(2.23)
$$\mathrm{\Sigma }_4=\frac{𝒮_1}{4}\left(𝒮_1+4𝒮_2\right)\mathrm{sin}^2\omega ,$$
(2.24)
has been introduced. The solution to the third-order perturbation equation (2.21) is found in a straightforward manner to be

$`X_n^{(3)}={\displaystyle \frac{𝒮}{2}}\mathrm{\Sigma }_0\left|A\right|^4\mathrm{cot}{\displaystyle \frac{\omega }{2}}+\left(+in𝒮_1\mathrm{sin}\omega \right)\left|A\right|^2A^2e^{2i\omega n}`$
$$+\frac{\mathrm{sin}\omega }{2}𝒮_3\mathrm{\Sigma }_4A^4e^{4i\omega n}+c.c.,$$
(2.25)
where

$$=\frac{𝒮_1^2}{2}\left(𝒮_2\mathrm{sin}\omega 𝒮\mathrm{cot}\frac{\omega }{2}\right)\mathrm{sin}^2\omega \frac{𝒮_1^2}{𝒮}\mathrm{sin}\omega \mathrm{sin}2\omega ,$$
(2.26)
$$𝒮_3=\frac{𝒮}{\mathrm{cos}\omega \mathrm{cos}4\omega },\omega \frac{2\pi }{5}+2k\pi ,\omega \frac{4\pi }{5}+2k\pi .$$
(2.27)
Finally, we retain terms proportional to the fundamental harmonic $`e^{i\omega n}`$ in the fourth-order perturbation equation, i.e.,

$`\widehat{}X_n^{(4)}=\left(𝒞2in^2\mathrm{sin}\omega \right)\left|A\right|^4Ae^{i\omega n}+c.c.,`$ (2.28)
where

$$𝒞=2𝒮\left(+\frac{𝒮_1^2𝒮_2}{4}\mathrm{sin}^3\omega \frac{𝒮\mathrm{\Sigma }_0}{2}\mathrm{cot}\frac{\omega }{2}\right)\mathrm{sin}\omega .$$
(2.29)
We obtain the secular fourth-order contribution to the fundamental harmonic in the form

$$X_n^{(4)}=\left(in𝒟\frac{n^2^2}{2}\right)\left|A\right|^4Ae^{i\omega n}+c.c.,$$
(2.30)
where the coefficient $`𝒟`$ is defined by

$$𝒟=\frac{𝒞+^2\mathrm{cos}\omega }{2\mathrm{sin}\omega }.$$
(2.31)
Close inspection of the naive perturbation solution starting from the second-order result (2.19) shows that secular terms (proportional to $`n`$, $`n^2`$, etc.) are present. To remove these terms, we define the renormalization transformation $`A\stackrel{~}{A}(n)`$ by collecting all terms proportional to the fundamental harmonic $`e^{i\omega n}`$. This gives

$$\stackrel{~}{A}(n)=\left[1+iϵ^2n\left|A\right|^2+ϵ^4\left(in𝒟\frac{n^2^2}{2}\right)\left|A\right|^4\right]A.$$
(2.32)
Solving perturbatively equation (2.32) for $`A`$ in terms of $`\stackrel{~}{A}(n)`$, we obtain

$$A=\left[1iϵ^2n\left|\stackrel{~}{A}(n)\right|^2+O\left(ϵ^3\right)\right]\stackrel{~}{A}(n).$$
(2.33)
A discrete version of the RG equation can be defined by considering the difference

$$\stackrel{~}{A}(n+1)\stackrel{~}{A}(n)=iϵ^2\left|A\right|^2A+ϵ^4\left(i𝒟\frac{^2}{2}n^2\right)\left|A\right|^4A.$$
(2.34)
Substituting the expression for $`A`$ in terms of $`\stackrel{~}{A}(n)`$ \[see equation (2.33)\] into the right-hand-side of equation (2.34), we can eliminate the secular terms up to $`O\left(ϵ^4\right)`$. This gives

$$\stackrel{~}{A}(n+1)=\left[1+iϵ^2\left|\stackrel{~}{A}(n)\right|^2+ϵ^4\left(i𝒟\frac{^2}{2}\right)\left|\stackrel{~}{A}(n)\right|^4\right]\stackrel{~}{A}(n).$$
(2.35)
This naive RG map does not preserve the symplectic symmetry of the original system and does not have a constant of the motion. To recover the symplectic symmetry, we regularize  the naive RG map (2.35) by noting that the coefficient in the square brackets multiplying $`\stackrel{~}{A}(n)`$ can be exponentiated as

$$\stackrel{~}{A}(n+1)=\stackrel{~}{A}(n)\mathrm{exp}\left[i\stackrel{~}{\omega }\left(\left|\stackrel{~}{A}(n)\right|\right)\right],$$
(2.36)
where

$$\stackrel{~}{\omega }\left(\left|\stackrel{~}{A}(n)\right|\right)=ϵ^2\left|\stackrel{~}{A}(n)\right|^2+ϵ^4𝒟\left|\stackrel{~}{A}(n)\right|^4.$$
(2.37)
Although the renormalization procedure described above may seem somewhat artificial, it holds in all orders. By extracting a symplectic implicit map in terms of the real part and the argument (phase) of the renormalized amplitude $`\stackrel{~}{A}(n)`$, a partial proof (up to fourth order) of this assertion will be presented in the next paragraph. It is clear now that the regularized RG map (2.36) possesses the obvious integral of motion

$$\left|\stackrel{~}{A}(n+1)\right|=\left|\stackrel{~}{A}(n)\right|=\sqrt{\frac{𝒥}{2}}.$$
(2.38)
It is important to note that the secular terms encountered in the higher harmonics $`(e^{2i\omega n},e^{3i\omega n},\mathrm{etc}.)`$ can be summed to give the renormalized amplitudes, which when expressed in terms of $`\stackrel{~}{A}(n)`$ do not contain secular terms. This means that once the amplitude of the fundamental harmonic is renormalized, any problems associated with divergences in higher harmonics are being remedied automatically. To demonstrate this, we express the amplitude of the second harmonic as

$$A_2=ϵ\left[\frac{𝒮_1}{2}\mathrm{sin}\omega +ϵ^2\left(+in𝒮_1\mathrm{sin}\omega \right)\left|A\right|^2\right]A^2,$$
(2.39)
which by virtue of equation (2.33) acquires the form

$$A_2=ϵ\left[\frac{𝒮_1}{2}\mathrm{sin}\omega +ϵ^2\left|\stackrel{~}{A}(n)\right|^2\right]\stackrel{~}{A}^2(n).$$
(2.40)
By analogy, the amplitude of the third harmonic

$$A_3=ϵ^2\left[\frac{𝒮_1𝒮_2}{2}\mathrm{sin}^2\omega +ϵ^2\left(_3+\frac{3in}{2}𝒮_1𝒮_2\mathrm{sin}^2\omega \right)\left|A\right|^2\right]A^3$$
(2.41)
can also be renormalized. The result is

$$A_3=ϵ^2\left[\frac{𝒮_1𝒮_2}{2}\mathrm{sin}^2\omega +ϵ^2_3\left|\stackrel{~}{A}(n)\right|^2\right]\stackrel{~}{A}^3(n).$$
(2.42)
Proceeding in a manner similar to above, we can represent the canonical conjugate momentum $`P_n`$ according to

$$P_n=i\stackrel{~}{B}(n)e^{i\omega n}+c.c.+\mathrm{higher}\mathrm{harmonics},$$
(2.43)
where

$$\stackrel{~}{B}(n+1)=\stackrel{~}{B}(n)\mathrm{exp}\left[i\stackrel{~}{\omega }\left(\left|\stackrel{~}{A}(n)\right|\right)\right].$$
(2.44)
Using now the relation (2.4) between the canonical conjugate variables $`(X_n,P_n)`$, we can express the renormalized amplitude $`\stackrel{~}{B}(n)`$ in terms of $`\stackrel{~}{A}(n)`$ as

$$\stackrel{~}{B}(n)=\frac{i\stackrel{~}{A}(n)}{\mathrm{sin}\omega }\left[e^{i\left(\omega +\stackrel{~}{\omega }\right)}\mathrm{cos}\omega \right].$$
(2.45)
In addition, the sextupole nonlinearity shifts the closed orbit by the constant value (in normalized coordinates)

$$X_{co}=\frac{ϵ𝒮𝒥}{2}\left[1+\frac{ϵ^2}{4}\mathrm{\Sigma }_0𝒥+O\left(ϵ^3\right)\right]\mathrm{cot}\frac{\omega }{2},P_{co}=X_{co}\mathrm{tan}\frac{\omega }{2},$$
(2.46)
which is a common property for all odd multipole nonlinearities.

Neglecting higher harmonics and iterating the regularized RG maps (2.36) and (2.44), the renormalized solution of the Henon map can be expressed as

$$X_n^{(1)}=X_{co}+\sqrt{2𝒥}\mathrm{cos}\psi (𝒥;n),$$
(2.47)
$$P_n^{(1)}=P_{co}+\sqrt{2𝒥}\left[\alpha _H^{(1)}(𝒥)\mathrm{cos}\psi (𝒥;n)\beta _H^{(1)}(𝒥)\mathrm{sin}\psi (𝒥;n)\right],$$
(2.48)
where

$$\psi (𝒥;n)=\left[\omega +\stackrel{~}{\omega }(𝒥)\right]n+\stackrel{~}{\varphi },$$
(2.49)
$$\alpha _H^{(1)}(𝒥)=\frac{\mathrm{cos}\omega \mathrm{cos}\left[\omega +\stackrel{~}{\omega }(𝒥)\right]}{\mathrm{sin}\omega },\beta _H^{(1)}(𝒥)=\frac{\mathrm{sin}\left[\omega +\stackrel{~}{\omega }(𝒥)\right]}{\mathrm{sin}\omega }.$$
(2.50)
It is evident that the integral of motion $`𝒥`$ has the form of a generalized Courant-Snyder invariant , which can be expressed as

$$2𝒥=\left(X^{(1)}X_{co}\right)^2+\frac{\left[P^{(1)}P_{co}\alpha _H^{(1)}(𝒥)\left(X^{(1)}X_{co}\right)\right]^2}{\beta _H^{(1)\mathrm{𝟐}}(𝒥)}.$$
(2.51)
It is important to emphasize that equation (2.51) represents a transcendental equation for the invariant $`𝒥`$ as a function of the canonical variables $`(X,P)`$, because the coefficients $`\alpha _H`$ and $`\beta _H`$ depend on $`𝒥`$. Note also that the sextupole nonlinearity gives rise to a nonlinear tune shift $`\stackrel{~}{\omega }`$, leading to the distortion of the invariant curves \[circles in normalized phase space $`(X,P)`$\]Note that $`\alpha _H=0`$ and $`\beta _H=1`$ for $`\stackrel{~}{\omega }=0`$. even in an approximation where only the contribution of the first harmonic is taken into account. Further distortions of the phase-space trajectories are introduced by higher harmonics.

Taking into account all harmonics up to the fifth harmonic, we can express the renormalized fourth-order solution of the Henon map in the form

$$X_n=X_n^{(1)}+\underset{M=2}{\overset{5}{}}𝒳_M\mathrm{cos}M\psi (𝒥;n),$$
(2.52)
$$P_n=P_n^{(1)}+\underset{M=2}{\overset{5}{}}𝒳_M\left[\alpha _H^{(M)}\mathrm{cos}M\psi (𝒥;n)\beta _H^{(M)}\mathrm{sin}M\psi (𝒥;n)\right].$$
(2.53)
The amplitudes $`𝒳_M`$ of the various harmonics are given by the expressions

$$𝒳_2=\frac{ϵ𝒥}{2}\left(𝒮_1\mathrm{sin}\omega +ϵ^2𝒥\right),𝒳_4=\frac{1}{4}ϵ^3𝒮_3\mathrm{\Sigma }_4𝒥^2\mathrm{sin}\omega ,$$
(2.54)
$$𝒳_3=\frac{ϵ^2𝒥\sqrt{𝒥}}{2\sqrt{2}}\left(𝒮_1𝒮_2\mathrm{sin}^2\omega +ϵ^2_3𝒥\right),𝒳_5=\frac{1}{2\sqrt{2}}ϵ^4𝒞_5𝒥^2\sqrt{𝒥}.$$
(2.55)
Furthermore, similar to equation (2.50), the generalized $`\alpha _H^{(M)}`$ and $`\beta _H^{(M)}`$ functions can be expressed as

$$\alpha _H^{(M)}(𝒥)=\frac{\mathrm{cos}\omega \mathrm{cos}M\left[\omega +\stackrel{~}{\omega }(𝒥)\right]}{\mathrm{sin}\omega },\beta _H^{(M)}(𝒥)=\frac{\mathrm{sin}M\left[\omega +\stackrel{~}{\omega }(𝒥)\right]}{\mathrm{sin}\omega }.$$
(2.56)
## 3 Resonance Structure of the Henon Map

The solution to the first-order perturbation equation (2.13) was obtained in the form (2.14) assuming that the unperturbed betatron tune $`\nu `$ is far from the third-order resonance $`3\nu =1`$. It is important to study the properties of the Henon map near a nonlinear resonance by means of the RG method. In what follows, we demonstrate how the RG reduction of the Henon map works near the one-third resonance. A similar procedure can be performed near all other resonances.

Let us expand $`\omega `$ according to

$$\omega =\omega _0+ϵ\delta _1+ϵ^2\delta _2+\mathrm{},\omega _0=\frac{2\pi }{3}.$$
(3.1)
Equation (2.5) can then be expressed in alternate form

$$\widehat{}_0X_n=X_{n+1}2X_n\mathrm{cos}\omega _0+X_{n1}=2X_n\left(\mathrm{cos}\omega \mathrm{cos}\omega _0\right)ϵ𝒮X_n^2\mathrm{sin}\omega .$$
(3.2)
The perturbation expansion (2.6), when substituted into equation (3.2), yields the perturbation equations

$$\widehat{}_0X_n^{(0)}=0,$$
(3.3)
$$\widehat{}_0X_n^{(1)}=\frac{\sqrt{3}}{2}\left(2\delta _1X_n^{(0)}+𝒮X_n^{(0)\mathrm{𝟐}}\right),$$
(3.4)
$$\widehat{}_0X_n^{(2)}=\sqrt{3}\delta _1X_n^{(1)}+\left(\frac{\delta _1^2}{2}\sqrt{3}\delta _2\right)X_n^{(0)}+𝒮\left(\frac{\delta _1}{2}X_n^{(0)\mathrm{𝟐}}\sqrt{3}X_n^{(0)}X_n^{(1)}\right).$$
(3.5)
Noting that $`2\omega _0=2\pi \omega _0`$, equations (3.3)-(3.5) can be solved, yielding the result

$$X_n^{(0)}=Ae^{i\omega _0n}+c.c.,P_n^{(0)}=iAe^{i\omega _0n}+c.c.,$$
(3.6)
$$X_n^{(1)}=\frac{𝒮\sqrt{3}}{3}\left|A\right|^2+in𝒢(A,A^{})e^{i\omega _0n}+c.c.,$$
(3.7)
$$X_n^{(2)}=𝒜+in+\left(in𝒞+n^2𝒟\right)e^{i\omega _0n}+c.c.,$$
(3.8)
where

$$𝒢(A,A^{})=\delta _1A+\frac{𝒮}{2}A^\mathrm{𝟐},$$
(3.9)
$$𝒜=\frac{2\delta _1}{3}𝒮\left|A\right|^2,=\frac{\sqrt{3}𝒮}{3}\left(𝒢^{}A𝒢A^{}\right),$$
(3.10)
$$𝒟=\frac{1}{2}\left(\delta _1𝒢+𝒮𝒢^{}A^{}\right),𝒞=\frac{\mathrm{\Sigma }+𝒟}{\sqrt{3}},$$
(3.11)
$$\mathrm{\Sigma }=\left(\frac{\delta _1^2}{2}\sqrt{3}\delta _2\right)A+\frac{\delta _1𝒮}{2}A^\mathrm{𝟐}+𝒮^2\left|A\right|^2A.$$
(3.12)
Proceeding as before, we define the renormalized amplitude by

$$\stackrel{~}{A}(n)=A+iϵn𝒢+ϵ^2\left(in𝒞+n^2𝒟\right).$$
(3.13)
Taking into account the expression

$$A=\stackrel{~}{A}iϵn𝒢(\stackrel{~}{A},\stackrel{~}{A}^{})+O\left(ϵ^2\right),$$
(3.14)
which relates the amplitude $`A`$ to the renormalized amplitude $`\stackrel{~}{A}(n)`$, we obtain the renormalized resonant map

$$\stackrel{~}{A}(n+1)=\stackrel{~}{A}(n)+iϵ\stackrel{~}{𝒢}(n)+ϵ^2\left[i\stackrel{~}{𝒞}(n)+\stackrel{~}{𝒟}(n)\right],$$
(3.15)
where

$$\stackrel{~}{\mathrm{\Lambda }}(n)=\mathrm{\Lambda }[\stackrel{~}{A}(n),\stackrel{~}{A}^{}(n)],$$
(3.16)
and $`\mathrm{\Lambda }`$ represents $`𝒞`$, $`𝒟`$ or $`𝒢`$.

It is important to note that the resonant shift in the closed orbit is automatically renormalized, once the renormalization transformation $`A\stackrel{~}{A}(n)`$ has been performed. The result is

$$X_{co}(n)=\frac{ϵ𝒮}{3}\left[\sqrt{3}+2ϵ\delta _1+O\left(ϵ^2\right)\right]\left|\stackrel{~}{A}(n)\right|^2.$$
(3.17)
Note that the closed orbit can be corrected up to third order (in the sextupole strength $`𝒮`$) by choosing the first-order resonance detuning $`\delta _1`$ to be $`\delta _1=\sqrt{3}/2`$. In terms of betatron tune, this implies

$$\mathrm{\Delta }\nu =\frac{\sqrt{3}}{4\pi }.$$
(3.18)
Since the naive RG map (3.15) does not preserve the symplectic structure of the original Henon map, an important step at this point consists of constructing a symplectic map in appropriate variables equivalent to (3.15). Unfortunately, the regularization procedure described in the previous paragraph cannot be applied to the map (3.15). The reason is that in the resonant case $`\left|\stackrel{~}{A}(n)\right|`$ is no longer an integral of motion. An alternative way to overcome this difficulty is to represent $`\stackrel{~}{A}(n)`$ as

$$\stackrel{~}{A}(n)=\sqrt{𝒥_n}e^{i\phi _n},$$
(3.19)
and attempt to find an (implicit) map in terms of the new variables $`(\phi _n,𝒥_n)`$ of the form

$$\phi _{n+1}=\phi _n+g(𝒥_{n+1},\phi _n),𝒥_{n+1}=𝒥_n+f(𝒥_{n+1},\phi _n).$$
(3.20)
Expanding the unknown functions $`f`$ and $`g`$ in a perturbation series

$`f={\displaystyle \underset{k=1}{\overset{\mathrm{}}{}}}ϵ^kf_k,g={\displaystyle \underset{k=1}{\overset{\mathrm{}}{}}}ϵ^kg_k,`$ (3.21)
and substituting equation (3.19) into equation (3.15), we can determine $`f`$ and $`g`$ up to second order. We obtain

$$f_1(\phi ,𝒥)=𝒮𝒥^{3/2}\mathrm{sin}3\phi ,g_1(\phi ,𝒥)=\delta _1+\frac{𝒮}{2}\sqrt{𝒥}\mathrm{cos}3\phi ,$$
(3.22)
$$f_2(\phi ,𝒥)=3\delta _1𝒮𝒥^{3/2}\mathrm{cos}3\phi \frac{\delta _1𝒮\sqrt{3}}{2}𝒥^{3/2}\mathrm{sin}3\phi +\frac{3𝒮^2}{4}𝒥^2\mathrm{cos}6\phi ,$$
(3.23)
$`g_2(\phi ,𝒥)=\delta _2{\displaystyle \frac{5𝒮^2\sqrt{3}}{12}}𝒥{\displaystyle \frac{3\delta _1𝒮}{4}}\sqrt{𝒥}\mathrm{sin}3\phi `$
$$\frac{\delta _1𝒮\sqrt{3}}{4}\sqrt{𝒥}\mathrm{cos}3\phi \frac{𝒮^2}{4}𝒥\mathrm{sin}6\phi ,$$
(3.24)
The map (3.20) is symplectic provided the condition

$$\frac{g}{\phi _n}+\frac{f}{𝒥_{n+1}}=0$$
(3.25)
holds. To verify equation (3.25), we evaluate the determinant of its Jacobian

$`det\left(\widehat{𝒥}_{}\right)=det\left(\begin{array}{cccc}1+g_{\phi _n}+g_{𝒥_{n+1}}\frac{𝒥_{n+1}}{\phi _n}& g_{𝒥_{n+1}}\frac{𝒥_{n+1}}{𝒥_n}\hfill & & \\ f_{\phi _n}+f_{𝒥_{n+1}}\frac{𝒥_{n+1}}{\phi _n}& 1+f_{𝒥_{n+1}}\frac{𝒥_{n+1}}{\phi _n}\hfill & & \end{array}\right),`$ (3.28)
where subscripts denote differentiation with respect to the variables indicated. Taking into account

$`{\displaystyle \frac{𝒥_{n+1}}{\phi _n}}=f_{\phi _n}+f_{𝒥_{n+1}}{\displaystyle \frac{𝒥_{n+1}}{\phi _n}}{\displaystyle \frac{𝒥_{n+1}}{\phi _n}}={\displaystyle \frac{f_{\phi _n}}{1f_{𝒥_{n+1}}}},`$ (3.29)
$`{\displaystyle \frac{𝒥_{n+1}}{𝒥_n}}=1+f_{𝒥_{n+1}}{\displaystyle \frac{𝒥_{n+1}}{𝒥_n}}{\displaystyle \frac{𝒥_{n+1}}{𝒥_n}}={\displaystyle \frac{1}{1f_{𝒥_{n+1}}}},`$ (3.30)
we obtain

$`det\left(\widehat{𝒥}_{}\right)={\displaystyle \frac{1+g_{\phi _n}}{1f_{𝒥_{n+1}}}}.`$ (3.31)
The requirement that $`det\left(\widehat{𝒥}_{}\right)=1`$ leads to the condition (3.25). It is straightforward to verify that $`f`$ and $`g`$ as given by equations (3.22) - (3.24) satisfy equation (3.25).

The representation (3.19) of the renormalized amplitude $`\stackrel{~}{A}(n)`$ together with (3.20) can be used as an alternate way to obtain the exponential form (2.36) of the RG map (2.35). The expansions

$`f={\displaystyle \underset{k=1}{\overset{\mathrm{}}{}}}ϵ^{2k}f_{2k},g={\displaystyle \underset{k=1}{\overset{\mathrm{}}{}}}ϵ^{2k}g_{2k},`$ (3.32)
when substituted into equation (2.35), after some straightforward algebra lead to the result

$$f_2(\phi ,𝒥)0,f_4(\phi ,𝒥)0,$$
(3.33)
$$g_2(\phi ,𝒥)=𝒥,g_4(\phi ,𝒥)=𝒟𝒥^2.$$
(3.34)
Thus, we obtain the symplectic implicit map

$$\phi _{n+1}=\phi _n+ϵ^2𝒥_{n+1}+ϵ^4𝒟𝒥_{n+1}^2,𝒥_{n+1}=𝒥_n,$$
(3.35)
which is the RG map (2.36) written for the real part and the argument of the amplitude $`\stackrel{~}{A}(n)`$.

## 4 Numerical Results

In this section we present illustrative numerical results revealing the stability properties of the Henon map. We use the analytical renormalized solution expressed by equations (2.52) - (2.56) to construct the phase portrait of the Henon map near the third-order resonance with $`\nu =0.323`$ (also $`\nu =0.34525`$), near the fourth-order resonance with $`\nu =0.24`$, and near the fifth-order resonance with $`\nu =0.19`$. All calculations are performed for a relatively large value of the sextupole strength corresponding to $`𝒮=0.1`$.

In Figure 1 the phase portrait of the Henon map near the third-order resonance with $`\nu =0.323`$ is depicted. It shows the stability region and the invariant curves for different values of the modulus squared of the renormalized amplitude $`\stackrel{~}{A}`$ \[see equation (2.38)\]. As the value of the invariant $`𝒥`$ increases, it reaches a value $`𝒥_{max}`$ above which the phase trajectories begin to intersect. This is due to the fact that the perturbation renormalization technique, valid for unperturbed betatron tunes sufficiently far from resonances, does not work well in this region, and the reduction procedure near resonances developed in section 3 should be employed. However, the quantity $`𝒥_{max}`$ is closely related to the dynamic aperture. For the case where $`\nu =0.323`$ it is approximately $`𝒥_{max}=3.85`$. Figure 2 represents the phase portrait of the Henon map for $`\nu =0.34525`$. The value of $`𝒥_{max}`$ is the same as in the case where $`\nu =0.323`$.

Figures 3 and 4 show the phase portrait of the Henon map near the fourth-order and the fifth-order resonances where $`\nu =0.24`$ and $`\nu =0.19`$, respectively. The dynamic aperture in the case of the fourth-order resonance is approximately $`𝒥_{max}=19.01`$, while in the case of the fifth-order resonance it is $`𝒥_{max}=28.5`$.

## 5 Conclusions

While the renormalization group method is well established in applications to continuous dynamical systems, the present paper demonstrates that the renormalization group method can also be applied successfully to study discrete dynamical systems. As a particular example, we considered the Henon map as applied to describe the transverse betatron oscillations in a cyclic accelerator or storage ring possessing a FODO-cell structure with a single thin sextupole. The basic equations and Henon transfer map used in the present analysis were summarized in section 1, and in section 2 a powerful renormalization group technique was developed that is valid correct to fourth order in the perturbation amplitude. A technique for resolving the resonance structure of the Henon map was discussed in section 3, and in section 4 illustrative numerical results were presented. To the best of our knowledge, the present calculation represents the first successful application of a powerful renormalization group method to the study of discrete dynamical systems in a unified manner. In section 3 it was shown that the renormalization group map can be further expressed in terms of an implicit symplectic map in both cases, far from and close to resonances. Further applications to discrete dynamical systems will include generic polynomial transfer maps, the standard Chirikov-Taylor map, etc.

### Acknowledgments

It is a pleasure to thank Prof. Alex Chao and Prof. Y. Oono for careful reading of the manuscript and for making valuable comments and suggestions. This research was supported by the U.S. Department of Energy.


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# Quantum Phase Transitions and Correlated Electrons

## I Quantum criticality meets non-Fermi liquids

### A Fermi liquid theory and its breakdown

The basic ingredient of the Fermi liquid theory is that the elementary excitations of an interacting many-electron system are quasiparticles. These quasiparticles are sufficiently long-lived at low energies, and have the same intrinsic quantum numbers as a bare electron (spin $`\frac{\mathrm{}}{2}`$ and charge $`\pm e`$, with $`e`$ for quasiholes – see below).

The meaning of an elementary excitation can be best illustrated by considering a system of $`N`$ (of the order of $`10^{22}`$) non-interacting electrons in a periodic potential. The quantum mechanical eigenstates of such an ideal electron system can be specified in terms of those for a single electron in the same periodic potential. The latter, as explained in any elementary solid state textbook, are Bloch states that are characterized by a “crystal wavevector” $`𝐤`$ and a band index. These parameters specify the bandstructure as illustrated in Fig. 1. The intrinsic quantum numbers of these Bloch states remain charge $`e`$ and spin $`\pm \frac{\mathrm{}}{2}`$. The eigenstates of the $`N`$-ideal-electron system are simply Slater determinants of the Bloch states. The many-body ground state is the Slater determinant of $`N`$ lowest-energy Bloch states; this is the filled Fermi sea shown in Fig. 1. The many-body excited states can be constructed by moving $`m`$ ($`<N`$) electrons from Bloch states in the Fermi sea to those above the Fermi energy. Pictorially, an excited state wavefunction can be constructed by digging $`m`$ “holes” (an empty circle in Fig. 1 below the Fermi energy) and adding $`m`$ “particles” (filled dots in Fig. 1 above the Fermi energy). Each “particle” or “hole” is then an elementary excitation. It is obvious from this construction that our elementary excitations have charge $`\pm e`$ and spin $`\pm \frac{\mathrm{}}{2}`$.

Real electrons in solids of course do interact with each other. Once these interactions are included, the many-body spectrum becomes hard to construct exactly (except for simplified models in one spatial dimension). The assumption of the Fermi liquid theory is that, the low-lying many-body excited states can still be constructed from the many-body ground state by simply adding quasiparticles and quasiholes. Compared to the dots and holes of Fig. 1, a quasiparticle is much more complex. It can be pictured as a bare electron with a polarization cloud attached. Nonetheless, in many ways a quasiparticle/quasihole behaves just like a bare electron/hole in a non-interacting electron system: it has charge $`\pm e`$ and spin $`\pm \frac{\mathrm{}}{2}`$, and it obeys Fermi statistics. The lower the energy, the more precise this construction is, as reflected in the quasiparticle lifetime that goes to infinity as the wavevector approaches the Fermi surface.

These phenomenological statements can be proven by treating the electron-electron interactions perturbatively, to infinite orders. (Unless special bandstructure effects such as nesting come into play, the only perturbative instability occurs when the effective interaction in some pairing channel is attractive; the resulting state is the celebrated, and well-understood, BCS superconductor.) In this sense, the Fermi liquid theory is internally consistent when the interactions are not too strong.

But how strong is too strong? The answer to this question is a priori unknown.

### B Quantum phase transitions

Just like ice melts as the thermal fluctuations are increased with increasing temperature, an ordered state (such as an antiferromagnet) at zero temperature can become disordered as the zero-point motion is tuned. The latter can be achieved through varying an external parameter such as pressure. The vanishing of the order parameter characterizes a quantum phase transition. For definiteness and also with the heavy fermion metals in mind, we will take the ordered state to be an antiferromagnetic metal; the corresponding order parameter is the staggered magnetization. With appropriate modifications, the discussions below would apply to other types of ordered states. There are also quantum phase transitions for which neither of the phases has an obvious order parameter, as exemplified by the metal-insulator transitions in disordered interacting electron systems; we will not consider such situations here.

A quantum critical point arises when the zero-temperature transition is continuous. Here, the order parameter fluctuations are critical. In the magnetic case, the spin susceptibility diverges in the limit of zero frequency and zero temperature and as the wavevector approaches the ordering wavevector.

### C The connection between a quantum critical point and non-Fermi liquid

Quantum critical points are especially complex in correlated electron systems. Besides the order parameter fluctuations, we also have to deal with the electronic excitations near the Fermi energy. A key observation, known since the original work of John Hertz, is that the effective interactions between the electrons can be infinite due to the divergence of the order parameter susceptibility. Such a divergence invalidates the aforementioned condition of internal consistency for the Fermi liquid theory, opening the door to a non-Fermi liquid critical state.

The effective electron-electron interactions become finite away from the quantum critical point. In principle, Fermi liquid theory may break down before the onset of magnetic order. For the systems under discussion, it is generally believed theoretically and supported experimentally that the system remains a Fermi liquid on the paramagnetic side and turns into a non-Fermi liquid only at the quantum critical point. In other words, the emergence of non-Fermi liquid behavior coincides with the onset of magnetic ordering.

Such a linkage between quantum critical points and non-Fermi liquids has two important sides to it. On the one hand, it already says that quantum criticality provides a mechanism for non-Fermi liquid behavior. Experimentally, the situation is especially clear-cut in heavy fermion metals. In the quantum critical regime, the electrical resistivity is linear (or close to being linear) in temperature; the specific heat divided by temperature either diverges as temperature goes to zero or at least has a non-analytic dependence on temperature. Away from the quantum critical regime, both the electrical resistivity and specific heat coefficient recover the Fermi liquid form ($`T^2`$ and constant, respectively).

On the other hand, the fact that the Fermi liquid - non-Fermi liquid transition coincides with the magnetic phase transition raises a more drastic possibility: the non-Fermi liquid physics can in turn change the universality class of the quantum phase transition itself. This converse effect has not been discussed until recently.

## II Gaussian quantum critical metals

To appreciate how non-Fermi liquid behavior can modify the quantum critical physics, we first outline the standard theory of metallic quantum critical points. This picture was introduced in the modern form by John Hertz in 1975. It can be traced back even further, to the literature on paramagnons in the 1960’s; the field theoretical formulation most commonly used today is referred to as the Hertz-Millis theory. In spite of its non-Fermi liquid nature, the electronic states are not considered as a part of the critical theory; instead, they are treated as bystanders. The only critical modes are the long-wavelength fluctuations of the magnetic order parameter - the paramagnons. The critical theory describes the non-linear couplings of such paramagnons, and assumes the form of the standard “$`\varphi ^4`$” theory with an effective dimensionality of $`d_{eff}=d+z`$. The effective dimensionality is raised from the spatial dimension $`d`$ by $`z`$, the dynamic exponent, reflecting the mixing of statics and quantum dynamics. The primary effect of the bystanding electrons is to provide extra channels for the critical spin fluctuations to decay into, leading to an over-damped situation: the spin-damping term is the strongest term in the frequency dependence. This makes the dynamic exponent $`z`$ larger than one – $`z=2`$ for the antiferromagnetic case. As a result, in three or two spatial dimensions $`d_{eff}`$ is larger than or equal to $`4`$, the upper critical dimension of the $`\varphi ^4`$ theory. The critical theory is then Gaussian, and physical properties are expected to have a very simple mean-field behavior. For instance, the dynamical spin susceptibility is expected to be linearly dependent on the frequency $`\omega `$.

Can the non-Fermi liquid electronic excitations really be taken as bystanders? And would such electronic excitations directly participate in the critical theory leading to a breakdown of the Gaussian picture? These turned out to be not just academic questions. The past few years has witnessed a systematic experimental test of the Gaussian picture. The experiments have become possible because quantum critical points have been explicitly identified in a number of heavy fermion metals, including $`\mathrm{YbRh}_2\mathrm{Si}_2`$, $`\mathrm{CeCu}_{6\mathrm{y}}\mathrm{Au}_\mathrm{y}`$, $`\mathrm{CePd}_2\mathrm{Si}_2`$ and $`\mathrm{CeIn}_3`$. Inelastic neutron scattering experiments, particularly those of Almut Schröder and co-workers, have raised the most striking puzzles:

* The frequency and temperature dependences of the dynamical spin susceptibility display an anomalous exponent, $`\alpha <1`$, as well as $`\omega /T`$ scaling. The critical theory cannot be Gaussian.
* The same anomalous exponent $`\alpha `$ is seen essentially everywhere in the wavevector space, suggesting new local physics.

The non-Gaussian and local nature calls for new critical physics beyond the paramagnons.

## III Local quantum critical metals

To address the interplay between the onset of magnetic ordering and the development of non-Fermi liquid behavior, we have to go into some microscopics about the electronic excitations. Our focus is on the heavy fermion metals, though the discussion may be extended to other strongly correlated electron systems as well. The name “heavy fermions” itself refers to the fact that materials containing partially-filled $`f`$-orbitals often behave as though the electrons have a very heavy mass (typically a few hundred times of the value given by bandstructure calculations).

On the paramagnetic side, the formation of a heavy Fermi liquid – and the associated heavy quasiparticles – is an intricate many-body process. A microscopic Hamiltonian, appropriate for heavy fermions at low energies (typically 100 K and below) is the Kondo lattice model: a lattice of spin-$`\frac{\mathrm{}}{2}`$ local magnetic moments, which are only weakly coupled to a separate conduction electron band. (There are seven $`f`$-orbitals, but at the energy scale of interest we can focus on only one of them – the lowest Kramers doublet.) The formation of local magnetic moments itself is the result of very strong Coulomb interactions between two electrons occupying the same $`f`$-orbital. Double occupancy of an $`f`$-orbital is excluded as a result of a microscopic Coulomb blockade. The empty orbital is also unfavorable when the $`f`$-orbital is a deep level ($`i.e.`$ its energy is much lower than the chemical potential). Only spins are left as the low-lying degrees of freedom, as illustrated in Fig. 2.

### A Kondo resonance

The electronic excitations of a heavy Fermi liquid are composed of Kondo resonances. The notion of Kondo resonance is most clearly understood in the case of a single-impurity Kondo problem. The Kondo resonance appears in the $`f`$-electron spectral function as a peak in the vicinity of the Fermi energy. The width of this peak is of the order of $`kT_K^0k\rho _0^1\mathrm{e}^{1/\rho _0J}`$, where $`\rho _0`$ is the conduction electron density of states at the Fermi energy and $`J`$ the antiferromagnetic Kondo exchange coupling between the magnetic moment and spin of the conduction electrons. The center of the peak is in the vicinity of the Fermi energy, with a separation that is smaller than $`kT_K^0`$.

The key to the existence of a Kondo resonance is the singlet nature of the ground state. This can already be seen in a simple atomic Kondo problem. Consider a spin-$`\frac{\mathrm{}}{2}`$ local moment (call it $`𝐒`$) coupled to a single conduction electron orbital (call it $`a`$), as specified by the Hamiltonian

$`H=J𝐒{\displaystyle \underset{\sigma ,\sigma ^{}}{}}a_\sigma ^{}{\displaystyle \frac{\stackrel{}{\tau }_{\sigma ,\sigma ^{}}}{2}}a_\sigma ^{}+ϵ_a{\displaystyle \underset{\sigma }{}}a_\sigma ^{}a_\sigma ,`$ (1)
where $`\stackrel{}{\tau }`$ represents the Pauli matrices. Such a Kondo Hamiltonian arises by projecting the Hilbert space of the impurity $`f`$orbital to the low-energy local-moment subspace as already shown in Fig. 2. This projected atomic problem has a reduced Hilbert space, of eight dimensions. For our illustrative purpose, it suffices to consider the case $`ϵ_a=0`$. (The Kondo lattice model we will be considering is particle-hole asymmetric; but this distinction is unimportant at the moment.) The ground state is a singlet:

$`|0>={\displaystyle \frac{1}{\sqrt{2}}}(|>_f|>_a|>_f|>_a)`$ (2)
The ket with a subscript $`f`$ ($`a`$) acts in the local-moment (conduction electron) space. The first low-lying exited states are two doublets,

$`|\sigma >_1`$ $`=|\sigma >_f|0>_a`$ (3)
$`|\sigma >_2`$ $`=|\sigma >_f|2>_a`$ (4)
To determine the $`f`$-electron spectral function, we need to know the form of the $`f`$-electron operator in the projected local-moment subspace (again, c.f. Fig. 2). A relatively straightforward calculation (through the same Shrieffer-Wolff canonical transformation that leads to the Kondo Hamiltonian Eq. 1) shows that this projected operator reads

$`F_\sigma =\sqrt{{\displaystyle \frac{2J}{U}}}[\sigma S_za_\sigma +(S_x\sigma iS_y)a_\sigma ]`$ (5)
The parameter $`U`$ is the original on-site Coulomb interaction between two $`f`$-electrons; this parameter also characterizes the spacing between the singly-occupied and doubly occupied levels shown in Fig. 2. It is easily seen that $`F_\sigma |0>=\sigma \frac{3}{2}\sqrt{\frac{J}{U}}|\sigma >_1`$ and $`F_\sigma ^{}|0>=\frac{3}{2}\sqrt{\frac{J}{U}}|\sigma >_2`$. This finite matrix element of the $`f`$-electron creation/annihilation operator between the singlet ground state and the first excited doublets establishes the existence of a small amount of the $`f`$-electron spectral weight at low energy, of order $`J`$ as opposed to $`U`$. This excitation is precisely the Kondo resonance as manifested in this atomic model; when we go beyond the atomic limit, the scale $`J`$ turns into the Kondo scale $`T_K^0`$. Such low-lying excitations would be absent if the ground state were not a singlet.

### B Destruction of the Kondo resonance

On the paramagnetic side, every local moment is fully screened. The ground state is a global singlet. Each local moment would contribute one Kondo resonance, as inferred from the discussion of the previous subsection. Since they have the quantum numbers of an electron, these Kondo resonances would combine with the conduction electron band. The result is a heavy quasiparticle band, with a “large” Fermi surface: the volume that the Fermi surface encloses counts the number of both the local moments and conduction electrons.

The necessary condition for the Kondo resonances to form is that the local moments are fully screened by the spins of the conduction electrons, as we saw in the previous subsection. This condition is equivalent to saying that the local spin susceptibility must have a Pauli form. In other words, the zero-temperature and zero-frequency limit of the local spin auto-correlation function must be finite.

Can this local spin susceptibility remain finite as the system approaches the magnetic quantum critical point? To address this question, we note that in a translationally-invariant system the local spin susceptibility is equal to the average of the wavevector-dependent dynamical spin susceptibility $`\chi (𝐪,\omega ,T)`$. Now, at an antiferromagnetic QCP, by construction the peak susceptibility $`\chi (𝐐,\omega ,T)`$ is divergent (where $`𝐐`$ is the antiferromagnetic ordering wavevector). When the peak susceptibility diverges, the average susceptibility can either stay finite or become divergent as well. If the average susceptibility is finite, then the local Kondo physics proceeds without much modification. On the other hand, a divergent average susceptibility would be incompatible with the expected Pauli form of the local spin susceptibility of a fully developed Kondo state.

This consideration already raises the possibility of two classes of quantum critical metals. For the more exotic type, the local spin susceptibility is divergent and fully developed Kondo resonances are absent at the quantum critical point. The heavy fermion physics then becomes a part of the critical theory. This is a concrete example in which the emergence of non-Fermi liquid must be treated on an equal footing with the onset of magnetic ordering: fermions cannot simply be taken as innocent bystanders.

### C Local quantum critical points

Since the Kondo effect and Kondo resonance formation are largely spatially local phenomena, we have treated the interplay between the Kondo resonance formation and onset of magnetic ordering within an extended dynamical mean field theory of the Kondo lattice model. The more exotic type of quantum critical behavior arises when the magnetic fluctuations are two-dimensional. The schematic phase diagram is shown in Fig. 3. The vanishing of the energy scale $`E_{loc}^{}`$ at the QCP signals the destruction of Kondo resonances in the quantum critical regime: the local susceptibility is Pauli only below $`E_{loc}^{}`$. If the magnetic fluctuations are three dimensional, and if there is no magnetic frustration, then $`E_{loc}^{}`$ would be finite at the QCP corresponding to a crossover scale towards the eventual Gaussian behavior.

In the quantum-critical regime, the local susceptibility is neither Pauli nor Curie (the Curie behavior is recovered only above some cut-off scale $`T^0`$). It diverges logarithmically,

$`\chi _{loc}(\omega )={\displaystyle \frac{1}{2\mathrm{\Lambda }}}\mathrm{ln}{\displaystyle \frac{\mathrm{\Lambda }}{i\omega }}`$ (6)
where $`\mathrm{\Lambda }T_K^0`$. One can also introduce a “spin self-energy”, which captures the spin damping. It has the following form,

$`M(\omega )`$ $`I_𝐐+A(i\omega )^\alpha `$ (7)
Our recent numerical work for a Kondo lattice model with an Ising anisotropy (done in collaboration with D. Grempel) yields a nearly universal value for $`\alpha `$ that is close to $`0.7`$.

At finite temperature, the spin self-energy displays an $`\omega /T`$ scaling. Both the fractional exponent and $`\omega /T`$ scaling reflect the non-Gaussian nature of the fixed point. The corresponding critical theory captures both the spatially-long-ranged fluctuations corresponding to the onset of magnetic ordering, and spatially local fluctuations reflecting the destruction of Kondo resonances. Based on Ginzburg-Landau considerations, we have also argued that the results are robust beyond the extended dynamical mean field theory.

### D Experiments in heavy fermion metals

The above analysis leads to a dynamical spin susceptibility with $`\omega /T`$ scaling and, for every wavevector, a fractional exponent ($`\alpha <1`$). The results are consistent with the inelastic neutron scattering experiments of Schröder and co-workers mentioned earlier.

There is also a prediction that the NMR relaxation rate contains a temperature-independent component. Recent NMR experiments in $`\mathrm{YbRh}_2\mathrm{Si}_2`$, by Kenji Ishida and co-workers, have provided evidence for this.

Finally, the destruction of the Kondo resonance at the quantum critical point implies that the Fermi surface undergoes a reconstruction at the QCP, from being “large” (enclosing a volume that counts the local moments) to being “small” (counting only the conduction electrons and with a different topology) as the system orders. There are de Haas-van Alphen experiments in heavy fermions by Yoshichika Ōnuki’s group which are suggestive of such a Fermi-surface reconstruction. Additional evidence is also emerging from the Hall-coefficient measurements of Silke Paschen and co-workers.

## IV Summary and outlook

We have emphasized the important role electronic excitations play in the quantum critical phenomena of correlated metallic systems. Due to their non-Fermi liquid nature, these electronic excitations may not simply serve as bystanders as traditionally assumed in the Gaussian quantum critical metal picture. Instead, they can become a part of the critical degrees of freedom. The critical theory is then much richer than the $`\varphi ^4`$ theory of paramagnons, opening the door to non-Gaussian quantum critical metals.

Concrete progresses have been made in the context of quantum critical heavy fermions. Here, the electronic excitations are in fact the Kondo resonances. In the local quantum critical picture, these Kondo resonances are part of the critical theory along with the paramagnons: a destruction of the Kondo resonances accompanies an onset of magnetic ordering. The non-Gaussian nature of the critical theory allows fractional exponents and $`\omega /T`$ scaling. This picture is largely consistent with existing and emerging experiments.

Some aspects of the heavy fermion phenomenology, such as $`\omega /T`$ scaling, have also been reported in high temperature cuprate superconductors, including in the angle resolved photoemission spectra over a wide range of wavevectors. Microscopically, a common feature between the cuprates and heavy fermions is the strong Coulomb interaction, as manifested through the formation of local magnetic moments in heavy fermions and by the emergence of Mott insulating phase in the cuprates. While quantum critical points in the cuprates have yet to be explicitly identified, it appears hard to understand the scaling aspects of the phenomenology without invoking quantum critical physics. In any event, to the extent that quantum criticality plays a role in the cuprates, the photoemission results would suggest that the non-Fermi liquid electronic spectrum are also a part of the critical theory. As in the locally critical quantum phase transitions, this can in turn make the quantum critical point non-Gaussian.

I would like to gratefully acknowledge D. Grempel, K. Ingersent, E. Pivovarov, S. Rabello, J. L. Smith, J.-X. Zhu and L. Zhu for collaborations, APCTP and Professor H. Y. Choi for the invitation to write this article, and NSF, TcSAM and Welch foundation for support.


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# A note and a new perspective on particle horizon problem

## 1 Introduction

Particle horizon problem is an interesting problem in cosmology. It origins in big bang model, where people find that if we go back to the early universe we can see the observed universe is divided into many causal unconnected regions, which need people answer the question–why the observed universe is homogeneous? The inflation model seems like a good candidate to the question. In fact inflation is only a project but not a specific model. Specifically we choose the Guth’s ”old inflation model”. The methods of analyzing on particle horizon problem are almost the same to all inflation models. The literatures usually did not analyze particle horizon problem directly. Some mistakes or misunderstandings then arise, for example the figure of particle horizon Guth and Steinhardt giving in a popular science magazine. Many authors think ”the perturbations exit horizon(they mean Hubble radius) have no casual relation”, for example. We will point their mistakes and give the correct answers. Also do we point out the weakness of the inflationary solution to particle horizon problem.

In this paper we will give a method to solve particle horizon problem without inflation.

We always discuss in 4-dimensional universe and the density is critical density.

## 2 Particle horizon and Hubble radius

### 2.1 On matter dominated epoch and radiation dominated epoch

In FRW(Friedmann-Robertson-Walker) universe whose density is critical density the metric can be written as

$$ds^2=dt^2a^2(t)(dx^2+dy^2+dz^2),$$
(1)
where $`a(t)`$ is scale factor. In matter dominated epoch,

$$a(t)=c_1t^{\frac{2}{3}},$$
(2)
where $`c_1`$ is a constant, which leads the particle horizon

$$H_{ph}=a(t_{ph})_0^{t_{ph}}\frac{1}{a(t)}𝑑t=3t_{ph},$$
(3)
and the Hubble radius

$$H_r=\frac{1}{H(t_r)}=\frac{a(t_r)}{\frac{da}{dt}|_{t=t_r}}=\frac{3t_r}{2}.$$
(4)
It is easy to see on the same simultaneous hypersurface of standard 1+3 decomposition of FRW universe where $`t_{ph}=t_r`$ the particle horizon and the Hubble radius have the relation

$$H_{ph}=2H_r.$$
(5)
Through almost the same way we obtain the relation of the particle horizon and the Hubble radius in the epoch of radiation dominated as follow

$$H_{ph}=H_r=2t_{ph}=2t_r.$$
(6)
So we can say in radiation or matter dominated epoch the Hubble radius can crudely represents the particle horizon.

### 2.2 On vacuum dominated epoch

In most inflation models there is an epoch when the vacuum dominates. In that epoch the spacetime metric is de Sitter metric

$$ds^2=dt^2a^2(t)(dx^2+dy^2+dz^2),$$
(7)
where

$$\begin{array}{c}a(t_0)=a_0,\hfill \\ a(t)=a_0e^{\chi (tt_0)}.\hfill \end{array}$$
(8)
$`\chi `$ is a parameter, $`t_0`$ denotes the time when the universe enters vacuum dominated epoch and $`t`$ denotes any time in the vacuum dominated epoch. The particle horizon in the vacuum dominated epoch can be calculated as follow

$$H_{ph}=a(t_{ph})_{t_0}^{t_{ph}}\frac{1}{a(t)}𝑑t$$

$$=H_{ph}(t_0)+\frac{1}{\chi }(e^{\chi (tt_0)}1),$$
(9)
Mimicking the definition of Hubble radius in matter and radiation dominated epoch we define Hubble radius

$$H_r=\frac{1}{H}=\frac{1}{\chi }=constant.$$
(10)
It is obvious the Hubble radius $`cannot`$ represent the particle horizon in vacuum dominated epoch. So the sentences such as the perturbation waves exited Hubble horizon(means Hubble radius) have no casual relation is nonsense.

## 3 Particle horizon problem in inflation model

It is generally believed that the particle horizon problem in big bang model has been conquered by inflation model. But this result need carefully consider. Let’s review the horizon problem. As approximate calculation we take present Hubble constant $`H_0=65km.sec^1.Mpc^1`$ and the universe is at critical density. In big bang model from the first section the particle horizon is

$$H_{ph}=2H_r=\frac{2}{H}=2.8510^{26}m.$$
(11)
The presently observable universe is the section of the whole universe in particle horizon now. Based on the red-shift of galaxy and the red-shift of CMB(cosmological microwave background) we know the observed universe is the same order of the presently observable universe, which means the supposition that most time of our universe is dominated by matter is correct. So in practical number calculation we consider the presently observable universe is the same as the observed universe. We have known the fact that the observed universe is homogenous. Let’s consider the presently observed universe and particle horizon when we come back to the early universe. We know the radius of the observed universe $`D_b`$ is proportional to $`a(t)(=c_1t^{\frac{2}{3}}`$,for matter dominated;$`=c_2t^{\frac{1}{2}}`$,for radiation dominated) where the radius of the particle horizon $`D_{ph}`$ is proportional to $`t(=3t`$,for matter dominated;$`=2t`$ for radiation dominated) and they are of the same order now. So when we come back to the early universe we find that the universe we observed now is perfectly out of horizon. For example when $`t=10^5`$ year

$$D_b(t)=D_b(t_n)(\frac{t}{t_n})^{\frac{2}{3}}=1.310^{23}m,$$
(12)
where $`t_n=\frac{2}{3}\frac{1}{H}`$ is the age of our universe. At the same time the particle horizon is

$$D_{ph}(t)=D_{ph}(t_n)\frac{t}{t_n}=2.810^{21}m.$$
(13)
We can see that $`D_b=46D_{ph}`$ when $`t=10^5`$ year. The problem is more serious when we come back nearer to the big bang singularity. In the very early universe the universe is radiation dominated, but the conclusion is the same. When we trace back to the Planck epoch $`t_p=10^{43}s`$ according to standard big bang model, following the method we just mentioned we can obtain $`D_b(t_p)=10^{30}D_{ph}(t_p)`$. If we require the universe we observed now was in particle horizon one time, there must exist an epoch when the scale factor $`a(t)`$ grows $`10^{30}`$ times than the radius of particle horizon. Let’s take a look on inflation model. There are many kinds of inflation models. The core of inflation model is the universe has undergone a much faster increasing than the standard FRW model. The inflation is vacuum dominated epoch. Supposing the initial time of inflation is $`t_i`$ and the ending time is $`t_e`$. Also will we point that in most literatures people use the ”Hubble radius” represents the particle horizon. From the second section we see that in matter dominated epoch or radiation dominated epoch it is right. The key flaw of past analysis, such as , are people mistakenly regard the Hubble radius as the particle horizon in the vacuum dominated epoch. Based on the second section the correct analysis of particle horizon in vacuum dominated epoch is presented here. Generally we suppose before inflation the universe is dominated by radiation. From Eq.(9)

$$H_{ph}=H_{ph}(t_0)+\frac{1}{\chi }(e^{\chi (tt_0)}1).$$
(14)
From Eq.(6)

$$H_{ph}(t_0)=2t_0,$$
(15)
Define enlargement factor in inflation epoch

$$Z=\frac{x_{t_e}}{x_{t_i}},$$
(16)
where $`t_i`$ is initial time of inflation , $`t_e`$ is the ending time of inflation and $`x`$ is arbitrary function.

The enlargement factor of scale factor $`a(t)`$ is

$$Z_a=\frac{a(t_e)}{a(t_i)},$$
(17)
from Eq.(8)

$$Z_a=e^{\chi (t_et_i)}.$$
(18)
The enlargement factor of particle horizon $`H_{ph}`$ is,from Eq.(14),

$$\begin{array}{c}Z_{H_ph}=\frac{H_{ph}(t_e)}{H_{ph}(t_i)}=\frac{1}{2}e^{\chi (t_et_i)}+\frac{1}{2}.\hfill \end{array}$$
(19)
The parameter $`\chi `$ can be written as

$$\chi =(8\pi G\rho /3)^{(1/2)}=10^{34}s^1,$$
(20)
where $`\rho `$ is chosen as GUT density scale. The proportion of enlargement factor of $`a`$ to the enlargement factor of $`H_{ph}`$ can be written as

$$\frac{Z_a}{Z_{ph}}=2.$$
(21)
Let $`t_i=10^{34}s`$ and $`t_e=10^{32}s`$, we can calculate both $`Z_a`$ and $`Z_{ph}`$ are of order $`10^{43}`$.

## 4 A thorough analyzing on particle horizon problem in inflation model

Without inflation, we know the size of observed universe is $`10^{30}`$ times to size of casual connected region when we trace back to Planck time. If we think the size of observed universe to be the $`same`$ size of the presently observable universe, or equivalently the present particle horizon, which requires there exists an epoch when the proportion of enlargement factor of $`a`$ to the enlargement factor of $`H_{ph}`$ is $`10^{30}`$, we see the inflation model can’t do its work. We need restudy the observed universe and the observable universe counting inflation. The contents of observed universe ,such as galaxies and CMB, are all formed quite after inflation. The distances of far celestial bodies are measured with methods not affected by physical procession before the formation of these bodies. So the size of observed universe in big bang model is as the same as the size of observed universe in inflation model. But the age of the universe and the observable universe are different. They rely on the whole procession of the universe, from big bang to now. So it is necessary to investigate the influence of inserted inflation on the them. From the following proofs we can see the inflation hardly do any work on the age of the universe and may do some work on the observable universe.

Let us consider the solution of Friedmann equation with arbitrary constants on condition that matter dominates. Because the properties of radiation dominated epoch is much alike the the properties of radiation dominated epoch comparing to the properties of vacuum dominated epoch. we may use the equations for matter dominated to substitute equations for radiation dominated for estimation.

$$D_b(t)=(B_1t+B_2)^{2/3},$$
(22)
where $`D_b(t)`$ is the size of presently observed universe at time $`t`$,$`B_1`$ and $`B_2`$ are arbitrary constants decided by boundary conditions.

$$D_b(t_n)=(B_1t_n+B_2)^{2/3},$$
(23)
$$D_b(t_e)=(B_1t_e+B_2)^{2/3},$$
(24)
where $`t_n`$ is the time from big bang to now (considering inflation), $`t_e`$ is the time when inflation ends. Here we think the matter dominated epoch begin at $`t_e`$ for estimation. If we exclude inflation ,the equation can be written as, roughly thinking matter dominating through all universe history,

$$D_b(t)=D_b(t_n)(\frac{t}{t_n})^{2/3}.$$
(25)
It is easy to obtain

$$t_n=\frac{2}{3}\frac{\frac{dD_b}{dt}}{D_b}=\frac{2}{3}H^1(now),$$
(26)
It is obviously that only if we can proof that $`\frac{\frac{B_2}{B_1}}{t_n}`$ is a small quantity we proof the inflation’s influence on the age (which is calculated by Hubble constant) can be literally omitted. In fact, from Eq.(23) and Eq.(24)

$$\frac{B_1t_n+B_2}{B_1t_e+B_2}=(z+1)^{3/2},$$
(27)
then

$$(z+1)^{3/2}1=\frac{t_nt_e}{t_e+\frac{B_2}{B_1}}<\frac{t_n}{t_e+\frac{B_2}{B_1}}<\frac{t_n}{\frac{B_2}{B_1}},$$
(28)
where $`z`$ is redshift factor, which is much larger than redshift factor of CMB(1100), because the end of inflation is much earlier than the CMB decoupling. So the age of our universe can also be denoted by Hubble constant in inflation model. To the particle horizon thing is different. Based on the Section 2 the calculation is straightforward. The result is plotted on the figure 1, which is just a sketch. The curve which is upper at the end of time represents particle horizon and the other represents presently observed universe. We give a summary on the particle horizon problem and relative problems in inflation model comparing to big bang.

1. The age of universe is shortened, but little, which means if inflation really happened the true age of our universe is shorter than we think in big bang model(experimentally measured by $`H^1`$).

2. The presently causal connected region (or the particle horizon ,or the the presently observable universe) is larger ,more or less,depending on the enlargement factor of $`\frac{a(t_e)}{a(t_i)}`$, than we think in big bang model.

3. The observed universe may intersect the particle horizon one, two or three times depending on $`\frac{a(t_e)}{a(t_i)}`$.

It is clear the particle horizon is larger than the observed universe(larger by about $`610^{17}m`$). The two curves intersect three times. Simple calculation give them$`(t_1=2.210^{83}s,t_2=3.0610^4s,t_3=3.1610^{17}s)`$. Just the same calculation gives $`610^{24}m,t_1=2.210^{97}s,t_2=1.2510^{15}s,t_3=2.9510^{17}s`$ in the situation of Guth and Steinhardt($`\frac{a(t_e)}{a(t_i)}=10^{50},t_i=10^{34}s`$), which is very different from their figure where no intersect is presented after inflation. Note that the first intersect point in both of them make no sense because of immersing into Planck epoch. Obviously if $`\frac{a(t_e)}{a(t_i)}`$ is large enough the situation of no intersect after inflation appears. The critical point is $`Z_c=\frac{a(t_e)}{a(t_i)}=7.0210^{50}.`$ If the enlargement factor $`Z<Z_c`$ there exist bulks(parts of observed universe) exit and then reenter the particle horizon after inflation. But this is fundamentally deferent from reference–there are no particle horizon exiting in inflation epoch in our scenario. So a matter bulk crossing apparent horizon(Hubble radius) during inflation does not mean its outer parts losing causal connection. We can see this scheme for particle horizon problem depends on the physics before Planck time, which we are not sure. It has to suppose the equation $`H_{ph}=2t`$ from $`t=0`$. In some sense we do not know if we can say ”before” when physics plunging into Planck time. The same problem exists in the analysis of big bang model without inflation. In next section we will give a new project to conquer the particle horizon problem. This project is independent of physics plunging into Planck time.

## 5 Solve the particle horizon problem

The particle horizon is relative to a particle(an observer). Holding this in mind tightly we solve the particle horizon problem only need an idea.
In figure 2 A,B,C are three points and the circles around them denote the particle horizons separately at time $`t=t_0`$. Point 1 and 2 in the particle horizon of A, 2 and 3 in B, etc. We can choose an physical quantity, such as temperature $`T`$ to represent the thermal equilibrium. The early literature has proofed the very early universe can reach thermal equilibrium in the particle horizon of a particle, such as A,B,C, which equal to say

$$T_1=T_2,T_2=T_3,T_3=T_4.$$
(29)
$$T_1=T_4,$$
(30)
although the two points have no casual relation. Processing this derivation again and again, we get the conclusion that all the universe despite whether there exists casual relation in it is in thermal equilibrium. The horizon of an arbitrary point encloses a neighbor of the point. A compact region of a spacetime manifold can be covered by limited such open sets(neighbors of spacetime points). This proof seems reasonable. But if we check it enough cautiously we can find a flaw. The flaw is ”the circles around them denote the particle horizons separately at time $`t=t_0`$.” It is no problem we can set up local RW coordinates in a particle horizon because of the homogeneous of spacetime in a particle horizon. But generally speaking no such good coordinates exist on the manifold (We always consider physics after the universe can be regarded as a manifold). So we must show particle horizons of different points share the same simultaneous hypersurface. In figure 3, $`l`$ and $`m`$ are two world lines representing two particles in communal parts of two particle horizons, say, of A and B in figure 2. Supposing the two particle horizons have different simultaneous hypersurfaces $`DE`$ and $`DF`$ we will get contradictory result. We choose a physical quantity representing physical homogeneousness, for example, temperature $`T`$. Because of the thermal equilibrium in a particle horizon in the very early universe, we have

$$T_D=T_E,T_D=T_F,$$
(31)
$$T_F=T_E,$$
(32)
which contradicts to the fact that the universe is not static. So we conclude that the whole universe manifold share a communal slicing if we require the space is homogeneous in a particle horizon and the universe is not static, which gives the proof of Eq.(29) and Eq.(30) a sound base.

A puzzle may appear. We know no particle travel faster than light in vacuum. How do the causal discrete areas ”know” temperature of each other? We give a naive analogy of this situation. A theater has fifty rows. All of the rows are full except the first row. Now all the audience stand up and then sit down to the front row, which seems like the people in the last row reach to the first raw at once.

## Acknowledgments

This research is supported by a grant from Chinese academy of sciences.


text:
# Indefinite Information Processing in Ever-expanding Universes

## I Introduction

There have been a number of investigations into the possible future cosmological constraints on information processing in the universe . Information processing is regarded as a necessary condition for life by all commentators and as a sufficient condition by some. Thus, if information processing were to become impossible in the future, ’life’ would die out. This simple verdict hides all manner of subtleties. It requires us to understand what we mean by ’time’, what we mean by ’impossible’, and what we mean by ’die out’. For example Dyson  considers information processing to ’tick’ in comoving proper time whereas Barrow and Tipler  consider the merits of a curvature or York time tied to the structure of space-time geometry for the pulse of abstract life. Some studies consider life to die out if only a finite number of bits of information can be processed to the future. However, Dyson, has stressed the effectiveness of hibernation in extending life and the divergent properties of the harmonic series might thereby offer a means for life to continue forever. Yet it is the need to find plausible physical processes that can store and process information that is crucial to these speculations.

Most investigators consider the sources of free energy that are made available by transitions between elementary particle states , proton decay , gravitating systems of stellar or post-stellar objects , or black hole evaporations . However, as Barrow and Tipler stressed, the most abundant form of free energy in the late stages of a generic ever-expanding universe is in the form of gravitational waves. In effect, intelligent ’life’ can extract tidal energy from the expansion of the universe.

Simple processes for extracting energy from stellar systems in an isotropically expanding universe are not effective for the indefinite survival of information processing when the cosmological constant is zero . Worse still, if the cosmological constant is positive, as observations suggest, then information inevitably dies out . Here, we want to show that if small anisotropies in the expansion of the universe are taken into account then it is possible for information processing to continue into the infinite future and to process an infinite number of bits of information. The source of free energy derives from small anisotropies in the three-curvature of the universe. They create a distinctive form of anisotropic expansion that is stable at late time. If a sphere of massless particles were set up in the universe then it would steadily deform into an ellipsoid and the temperatures of orthogonally moving photons would become unequal. Temperature gradients would be created and useful work could be extracted for information processing by exploiting these temperature gradients for arbitrarily small anisotropy.

We will first derive a general limit on entropy production in an expanding universe and then display some explicit examples of almost-isotropic open universes that permit an infinite amount of entropy to be produced to the future. We stress that these anisotropic universes are general in the sense that they are stable in the class of all spatially homogeneous cosmological models.

## II Irreversible Thermodynamics

In relativistic cosmology, fluids are usually taken to be perfect fluids in thermal equilibrium. These fluids generate no entropy by frictional heating. However, real fluids behave irreversibly and, compared to reversible thermodynamics, irreversible thermodynamics is poorly understood. The second law of thermodynamics requires that for any physical process the total entropy cannot decrease:

$$\mathrm{\Delta }S0.$$

In general, the expression for the increase of the entropy is not known, but for a reversible process we have the first law of thermodynamics

$$TdS=dU+pdV\mu dN.$$

This equation is valid for systems in equilibrium but for irreversible processes the equality has to be replaced by an inequality and the quantities are no longer exact differentials.

Some useful relations have been derived for the increase of entropy in cosmological models, especially when they are close to equilibrium. Consider a dissipative term

$$𝒟=3H\mathrm{\Pi }+q_{}^{\mu }{}_{;\mu }{}^{}+\dot{u}_\mu q^\mu +\sigma ^{\mu \nu }\pi _{\mu \nu }$$

where $`\mathrm{\Pi }`$ is the bulk viscous pressure, $`H`$ is the Hubble factor, $`q^\mu `$ is the energy flux in the particle frame, $`u^\mu `$ is the velocity four-vector, $`\sigma ^{\mu \nu }`$ is the shear tensor, and $`\pi _{\mu \nu }`$ is the trace-free anisotropic stress.

The entropy production in a dissipative model can be calculated using the second law of thermodynamics. For a close-to-equilibrium process the first law is

$$Tn\dot{S}=𝒟.$$
(1)
Hence, for the second law to be valid, we have to assume that $`𝒟0`$. The entropy in a comoving volume of the fluid is given by

$$𝒮=a^3nS$$

where $`a`$ is the geometric-mean expansion scale factor of the cosmological model. Integrating eq. (1) it follows that the growth in the entropy for the comoving volume over a proper time interval $`t_0t`$ is

$$𝒮(t)=𝒮_0_{t_0}^t\frac{a^3}{T}\left(3H\mathrm{\Pi }+q_{}^{\mu }{}_{;\mu }{}^{}+\dot{u}_\mu q^\mu +\sigma ^{\mu \nu }\pi _{\mu \nu }\right)𝑑t.$$

The term $`3H\mathrm{\Pi }`$ is a bulk viscous heating term and is the only contributor to $`𝒮(t)`$ if the expansion is isotropic, while $`q_{}^{\mu }{}_{;\mu }{}^{}+\dot{u}_\mu q^\mu `$ is contributed by thermal conductivity. In this paper, we will only consider the last term, $`\sigma ^{\mu \nu }\pi _{\mu \nu }`$. This is the shear stress term which describes the dissipative effects due to tidal shear and pressure anisotropy. Thus, we will assume $`𝒟=\sigma ^{\mu \nu }\pi _{\mu \nu }`$, and the entropy production considered will be a lower bound on the total that could be produced by including other transport processes. In order to process an infinite amount of information as $`t\mathrm{}`$ it is necessary for entropy production to be able to increase without bound as $`t\mathrm{}`$. ’Something’ would always be happening in such universes and computations could be done which exploit the scope for indefinite entropy production. The disequilibrium process which gives rise to the entropy production provides the physical basis for the information processing. The effectiveness of this machine is strongly limited by the laws of thermodynamics but to give an upper estimate of the entropy generated by such a machine we can apply the second law of thermodynamics. In terms of information theory, the entropy of a statistical ensemble is just the information needed to completely describe the microscopic state of the system. Information processing and entropy generation are therefore closely related. If we process an amount $`\mathrm{\Delta }I`$ of information, the entropy increases with $`\mathrm{\Delta }S=k_B\mathrm{ln}2\mathrm{\Delta }I`$. Thus this estimate is, up to a constant factor, also an estimate of the amount of information one can process.

## III An upper bound on the production of entropy

We will first derive a bound on entropy production from dissipative fluids. The bound will be derived from a theorem by Stewart . We will assume the following:

* The Ricci three-curvature scalar is non-positive: This is true for all spatially homogeneous cosmological models except for those of Bianchi type IX and Kantowski-Sachs types.
* The speed of sound for the fluid in every spatial direction is smaller or equal to the speed of light.

The first of these assumptions ensures that the universe is ever-expanding; the second is equivalent to saying that the matter obeys the dominant energy condition.

To acquire the desired entropy-generation bound we have to maximize the function $`|\sigma ^{\mu \nu }\pi _{\mu \nu }|`$ under the conditions $`\pi _\mu ^\mu =\sigma _\mu ^\mu =0`$ and $`\rho _r|p_\mu |`$ where the $`p_\mu `$ are the principal pressures of the dissipative fluid. We can always find a frame where $`\pi _{\mu \nu }`$ is diagonal, and choosing such a frame we see that $`p_r+\pi _{\mu \mu }=p_\mu `$ (no summation). Hence, the criterion $`\rho _r|p_\mu |`$ implies

$`\rho _rp_r\pi _{\mu \mu }\rho _rp_r`$ (2)
We will also assume that the anisotropic stress is of ultra-relativistic origin***These are the types of fluids we will consider here, but one could equally well consider, for example, pressure-free matter with $`p=0`$., thus we will assume that $`p_r=\frac{1}{3}\rho _r`$ for the dissipative fluid. The anisotropic stress will now obey the bound

$`|\sigma ^{\mu \nu }\pi _{\mu \nu }|{\displaystyle \frac{4}{9}}\mathrm{\Omega }\left(1\mathrm{\Omega }\right)^{\frac{1}{2}}\theta ^3`$ (3)
where $`\theta =\dot{V}/V`$ is the volume expansion factor and $`\mathrm{\Omega }`$ is the total expansion-normalized matter-density which obeys $`0\mathrm{\Omega }1`$.

There are some special cases worth noting. First, in a flat FRW universe we have $`\mathrm{\Omega }=1`$. Hence, in this case the bound is zero; the universe can support no anisotropic stresses. Second, in a vacuum Kasner universe $`\mathrm{\Omega }=0`$, which also implies that the bound is zero; there are no dissipative fluids which could process information.

One might wonder if it is possible to have an equality sign in eq. (3). If we were to extract entropy from these dissipative processes, the second law of thermodynamics implies $`\sigma ^{\mu \nu }\pi _{\mu \nu }0`$ (see e.g. ). Then it is possible to show that for a flat universe, say, with only a dissipative fluid present, we have at late timesThere are solutions having $`\mathrm{\Omega }\left(1\mathrm{\Omega }\right)^{\frac{1}{2}}=`$ constant at late times (e.g. the magnetic solutions of Jacobs ). These solutions, however, do not obey $`\sigma ^{\mu \nu }\pi _{\mu \nu }0`$ and thus cannot produce entropy. In fact they expand adiabatically. $`\mathrm{\Omega }\left(1\mathrm{\Omega }\right)^{\frac{1}{2}}0`$. Hence, for our purposes, the bound (3) will decrease faster than $`\theta ^3`$ at late times for flat universes.

The bound (3) therefore places a serious restriction on the information processing capacity of an expanding universe. Typically, $`\theta t^1`$ at late times, and hence the bound (3) decreases faster than $`t^3`$. An expansion of the universe caused by, for example, inflationary fluids, will smooth out the anisotropies too rapidly (i.e. $`\mathrm{\Omega }1`$) to allow for infinite information processing; while a flat dust-dominated universe expands too slowly to compensate for the $`t^3`$ decrease of the bound (3). Effectively, information processing therefore requires a universe that expands faster than the Friedmann dust model but slower than the curvature-dominated Milne model.

## IV Plane-wave spacetimes

An interesting set of solutions to the Einstein field equations with the required properties for information processing are the plane-wave solutions of type VIIh. They are future attractor solutions for a large class of open universe models which contain the open Friedmann universe as a special case . They are exact vacuum solutions of both the Einstein equations and the linearised Einstein equations. In the special case where they are isotropic they reduce to the Milne universe but in general they are anisotropic and possess both expansion shear and anisotropic spatial curvature. They are members of the most general family of spatially homogeneous universes and are attractors for the late-time evolution of Bianchi VIIh universes. In particular, they describe what happens to perturbed open Friedmann universes at late times when the matter content satisfies $`\rho +3p>0`$ . Thus, they are anisotropic universes which are stable into the future for a large class of different matter configurations. This means that general spatially homogeneous open universes will evolve towards a state where the Weyl tensor will dominate the Ricci tensor at late times . Hence, most of the “energy” in the gravitational field is stored in the shear and the three-curvature anisotropy of the spacetime. This is exactly the feature we need if we want to be able to generate an infinite amount of entropy by information processing to the future in an ever-expanding universe. The mean expansion scale factor of the type VIIh plane-wave universes is

$$a(t)t^{1/(1+2\mathrm{\Sigma })},$$
(4)
where $`\mathrm{\Sigma }`$ $`\sigma /H`$ is the ratio of the shear to the mean Hubble expansion rate, and for these plane-wave solutions of Einstein’s equations, $`\mathrm{\Sigma }`$ is a constant that satisfies $`0\mathrm{\Sigma }<1`$. When $`\mathrm{\Sigma }=0`$ we recover the isotropic vacuum Milne universe with $`at`$. Note the behaviour of the mean scale factor. The universe expands more slowly as $`\mathrm{\Sigma }`$ increases and it becomes more anisotropic due to the effects of anisotropic three-curvature. The bounding case of $`\mathrm{\Sigma }=1`$ would correspond to a universe expanding at the same rate as a spatially-flat dust-filled universe even though the three-curvature is negative and the matter content is dynamically insignificant. This corresponds to the limiting case of the maximum shear anisotropy that is permitted in a cosmological model with positive matter density. This situation of maximal anisotropy for an expanding universe corresponds to constant $`\sigma /H`$ and hence to $`\sigma t^1`$, . Asymptotic increase in $`\sigma /H`$ with time is not possible. The generic late-time asymptote of spatially homogeneous universes that include the open Friedmann universe is asymptotic to this behaviour as $`t\mathrm{}`$ . The combination of slower expansion rate and constant shear distortion is what create new possibilities for information processing.

Before we look at the consequences of this generic plane-wave asymptote for information processing to the far future, we should note the circumstances in which our conclusions do not apply. The plane-wave asymptotes are not achieved if there exists a positive cosmological constant, $`\mathrm{\Lambda }`$. In general, $`\mathrm{\Lambda }>0`$ leads to the expansion approaching a de Sitter state with small perturbations which are seen to die away exponentially rapidly within the event horizon of a geodesically moving observer. This makes the eventual extinction of information processing inevitable . The expansion and curvature anisotropies that are needed to sustain temperature anisotropies all die away faster than the (constant) $`\mathrm{\Lambda }`$ stress in accord with the cosmic no hair theorem . Similar pessimistic conclusions for indefinite information processing are expected to hold when the expansion is dominated by stable forms of quintessence with $`\rho +3p<0`$ at late times. Here, we shall consider the quite different scenario that results if there is neither stable quintessence nor a positive cosmological constant at late times, so a plane-wave asymptote of the form (4) is approached as $`t\mathrm{}`$.

## V Information Processing in an Anisotropic universe

Let us consider an irreversible process which exploits the tidal effect of the shear to generate entropy for the benefit of a civilisation. In principle, this process can be used to drive an information-processing machine so long as the shear energy does not decay too rapidly. Consider a uniform sphere of expanding photons sent out at a given time $`t_0`$. Due to the shear in the expansion, photons travelling in different directions will suffer different red shifting at times later than $`t_0`$. The spherical distribution of photons will steadily be distorted into an ellipsoid. Hence, if photons were sent out with the same temperature, $`T_0`$, the temperature of the photons will be a function of both the time and the direction in which they are traveling. The temperature will therefore be

$$T(t,\theta ,\varphi )=\overline{T}(t)\mathrm{\Omega }(t,\theta ,\varphi )$$

in suitable chosen coordinates. Here, $`\overline{T}(t)_{S^2}T(t,\theta ,\varphi )𝑑\theta 𝑑\varphi `$ is the average temperature of the photons. Hence, since collisionless photons develop an anisotropic momentum distribution, temperature gradients form which can be used to do work. Therefore, in principle, we can construct an information processor, driven by temperature gradients of radiation.

Thermodynamics is most successful and predictive for processes close to equilibrium and when applied to processes where a temperature can be defined. At late times the universe may be very far from equilibrium and it is unlikely that a temperature can be defined in a simple way. Massless and massive particles will eventually become collisionless in an open universe and the decays of unstable particles will create mixtures of non-equilibrium distributions with different mean energies. Any anisotropy in the expansion will act to transform Planckian distributions into non-Planckian distributions. This complicated thermodynamic behaviour makes the study of the asymptotic evolution of spatially flat universes very difficult to determine because their dynamics are sensitive to the distribution of matter and radiation they contain. However, open universes are simpler to deal with. Asymptotically, gravitationally attractive forms of matter will have a negligible effect on the expansion dynamics and the universe will be increasingly well described by a vacuum solution of the gravitational field equations (which we assume to be those of general relativity). In this situation only the role played by the matter and radiation in generating entropy need be considered.

Consider information processing driven by irreversible processes in radiation. If the anisotropic pressure stresses of the radiation fluid are $`\pi _{\mu \nu },`$ then close to equilibrium, we will maximise entropy generation when

$$d𝒮_{\text{max}}\frac{a^3(t)}{T(t)}\sigma ^{\mu \nu }\pi _{\mu \nu }dt.$$

If we are able to construct a machine with efficiency $`ϵ(t)`$, the machine generates an amount of entropy given by

$$d𝒮_M\frac{a^3(t)}{T(t)}\sigma ^{\mu \nu }\pi _{\mu \nu }ϵ(t)dt.$$

Now, assume that asymptotically $`\sigma _{\mu \nu }t^\alpha `$, $`\pi _{\mu \nu }t^\beta `$ and $`ϵt^\gamma `$ at late times. Let us also use the average background temperature $`\overline{T}(t)`$ as a lower limit on the temperature. Hence, $`T(t)\overline{T}a^1`$. Thus, at late times, we get

$$d𝒮_Ma^4(t)t^{\alpha \beta \gamma }dt.$$

For the plane-wave solutions $`a(t)t^{1/(1+2\mathrm{\Sigma })}`$, where $`0<\mathrm{\Sigma }1`$ and $`\alpha =1`$. If we assume that the machine takes advantage of stresses of electromagnetic origin of the type $`\pi _{\mu \nu }=C_{\mu \nu }\rho _r`$ , then $`\beta =4/(1+2\mathrm{\Sigma })\delta `$, where $`\delta `$ is a small constant obeyingThis bound arises from the requirement that the plane-wave solutions should be future stable. $`2(12\mathrm{\Sigma })/(1+2\mathrm{\Sigma })>\delta ,`$ . Thus we get indefinite information-processing so long as the efficiency parameter obeys the weak bound

$$\gamma \delta .$$

The constant $`\delta `$ arises from the $`\sigma _{\mu \nu }\pi ^{\mu \nu }`$ term, and should be positive due to entropy arguments. Thus, as long as the efficiency parameter $`\gamma `$ is less or equal to $`\delta `$, the machine can process an indefinite amount of information in these plane-wave futures. More specifically, we have at late times

$$𝒮_M\{\begin{array}{cc}\mathrm{ln}t,\hfill & \gamma =\delta ,\hfill \\ t^{\delta \gamma },\hfill & \gamma <\delta .\hfill \end{array}$$

Hence, the efficiency of the machine can actually approach zero at late times, but still manage to generate an unbounded amount of information. Note also that the parameter $`\mathrm{\Sigma }`$ can be arbitrarily small and positive. In the limit where $`\mathrm{\Sigma }0`$, we recover the isotropic Milne universe. Hence, these solutions can be arbitrary close to isotropy and still generate infinite amounts of entropy as $`t\mathrm{}`$.

Another way of seeing why it is possible to process information indefinitely in these universes is to look at the evolution of the Weyl curvature as $`t\mathrm{}`$. As universes asymptotically approach the plane-wave asymptotes there will be infinite number of oscillations of the Weyl curvature to the future (see  and  for demonstrations of these late-time oscillations in other spatially homogeneous universes of Bianchi types VII0 and VIII. We suggest that infinite information processing should also be possible in universes of these types by utilising the Weyl curvature oscillations).

This analysis has used massless particles as the source of entropy generation. If we were to use the lightest stable massive particles then they would ultimately be non-relativistic and their temperatures would fall, on the average, as $`Ta^2`$. Their momentum distribution would become anisotropic and it would be easier to obtain divergent entropy production from this anisotropy than from that in massless particles as $`t\mathrm{},`$ because their averaged enegy density redshifts away more slowly than that of a trace-free gas of collisionless radiation.

We have taken an averaged approach to the evolution of the ’temperature’ of the particles. We can look in more detail at the development of anisotropy in the temperature distribution. In a type VIIh plane-wave space-time photons moving in orthogonal directions will develop a temperature anisotropy pattern corresponding to a twisted quadrupole that is focussed by the negative spatial curvature into a region of the sky determined by the radius of curvature . The temperature of photons that move in orthogonal directions will fall off as $`Tt^1`$ in two orthogonal directions and as $`Tt^{2/(1+\mathrm{\Sigma })}`$ in the third. In a slightly inhomogeneous situation the alignment of these axes will be position dependent, but in all cases an extremely ellipsoidal distribution will result, with accompanying temperature gradients.

This conclusion is only possible if there is no positive cosmological constant or stable stress with $`\rho +3p<0.`$ Both would drive the expansion anisotropy to zero too rapidly for information processing to persist with $`a(t)=\mathrm{exp}(t\sqrt{\mathrm{\Lambda }/3})`$ in the cosmological constant case.

Predictions as to the asymptotic behaviour of cosmological models as $`t\mathrm{}`$ are of course very precarious. The tiniest of changes, however insignificant now, can dominate the ultimate behaviour. For example, very slow variations in the supposed constants of Nature could ultimately be the determining factor at late times .

Other corrections to Einstein’s equations may also be important, although we note that the plane-wave spacetimes are stable exact solutions of gravity theories more general than Einstein’s that are generated from a Lagrangian that is an analytic function of the scalar curvature so long as the cosmological constant is zero .

The models we have been considering have been spatially homogeneous. We do not expect this to be a significant restriction at late times. Inhomogeneities will freeze out and locally the universe will look increasingly like a homogeneous model; any inhomogeneities in the shear anisotropy will only increase the scope for entropy production by enhancing the local temperature gradients.

A more interesting constraint arises from the global topology of the universe. We have been assuming that the topology of the open universes is the natural $`^3`$ topology and so their spatial volume is infinite. The conclusions change if their 3-spaces are compactified. The Mostow rigidity theorem ensures that Bianchi type VIIh universes must be isotropic if they possess a compact spatial topology . In that case the Lukash plane waves are not solutions of the Einstein equations unless $`\mathrm{\Sigma }=0,`$ and the possibility of indefinite information processing in type VIIh universes is removed, but it appears to remain in cosmologies of Bianchi type VIII .

## VI Conclusions and Outlook

We have shown that if there is no positive cosmological constant (or similar stable stress with $`\rho +3p<0`$) and the topology of space is non-compact, then it is possible to generate an infinite amount of entropy in an ever-expanding open universe by taking advantage of cosmological shear and curvature anisotropy in universes with generic asymptotic behaviour. To show this we used the plane-wave solutions which are general in the sense that they are stable late-time attractors in the class of spatially homogeneous universes. An important feature of these spacetimes is that they are Weyl-curvature dominated as $`t\mathrm{}`$ . They allow indefinite information processing to continue by extracting the shear energy created by anisotropic expansion and three-curvature. Ultimately, information processing in these universes is made possible by the effects of gravitational waves on the temperature distributions of collisionless particles. Civilisations who are technologically agile enough to make use of these gradients and space-time oscillations will be living proof of the unlimited cosmological potential of tidal power.

## Acknowledgements

SH was funded by the Research Council of Norway and an Isaac Newton Studentship.