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# Disorder-induced rounding of certain quantum phase transitions

## Abstract

We study the influence of quenched disorder on quantum phase transitions in systems with over-damped dynamics. For Ising order parameter symmetry disorder destroys the sharp phase transition by rounding because a static order parameter can develop on rare spatial regions. This leads to an exponential dependence of the order parameter on the coupling constant. At finite temperatures the static order on the rare regions is destroyed. This restores the phase transition and leads to a double-exponential relation between critical temperature and coupling strength. We discuss the behavior based on Lifshitz-tail arguments and illustrate the results by simulations of a model system.

The influence of quenched disorder on phase transitions is an important problem in condensed matter physics. Initially it was suspected that disorder destroys any critical point Grinstein . However, it was soon found that classical continuous phase transitions generically remain sharp in the presence of weak disorder. If a clean critical fixed point (FP) fulfills the Harris criterion Harris74  $`\nu 2/d`$, where $`\nu `$ is the correlation length exponent and $`d`$ is the spatial dimensionality, weak disorder is renormalization group irrelevant. The system becomes asymptotically homogeneous at large length scales. Even if the Harris criterion is violated, the transition will generically be sharp. In this case the inhomogeneities either remain finite at all length scales, leading to a finite disorder FP, or the relative magnitude of the disorder diverges under coarse graining corresponding to an infinite-randomness FP. A prominent example of the latter occurs in the McCoy-Wu model McCoyWu , a disordered 2D Ising-model in which the disorder is perfectly correlated in one dimension. These correlations increase the effects of the disorder.

An important aspect of phase transitions in disordered systems are the Griffiths phenomena Griffiths . They are caused by large spatial regions that are devoid of any impurities and can be locally in the ordered phase even if the bulk system is in the disordered phase. Since these regions are of finite size, no true static order develops. The fluctuations of these regions are very slow because they require changing the order parameter in a large volume. Griffiths Griffiths  showed that this leads to a singular free energy. In generic classical systems this is a weak effect, since the singularity is only an essential one. An exception is the McCoy-Wu model McCoyWu . Here, the disorder correlations lead to stronger effects, with the average susceptibility diverging in a finite region of the phase diagram.

Recently disorder effects have gained a lot of attention in the context of quantum phase transitions QPT . At these transitions order-parameter fluctuations in space and time have to be considered. Quenched disorder is time-independent, it is thus always correlated in one of the relevant dimensions making disorder effects at quantum phase transitions generically stronger than at classical transitions. A prototypical model is the random quantum Ising ferromagnet. Its quantum phase transition in 1D McCoy69 ; dsf9295 ; YoungRieger96  and 2D Pich98 ; Motrunich00  is controlled by an infinite-randomness FP with activated rather than power-law dynamical scaling. The Griffiths singularities are enhanced, too: Several observables including the average susceptibility display power-law singularities with continuously varying exponents over a finite region of the disordered phase. Similar phenomena have also been found in quantum Ising spin glasses ThillHuse95 ; gbh96 ; RiegerYoung96 .

The systems in which infinite-randomness FPs and quantum Griffiths phenomena have been shown unambiguously all have undamped dynamics (a dynamical exponent $`z=1`$ in the corresponding clean system). However, in itinerant electronic systems the order parameter couples to fermionic modes leading to overdamped dynamics (clean dynamical exponent $`z>1`$). A prototype example is the itinerant quantum antiferromagnetic phase transition. The conventional perturbative renormalization group for this transition BelitzKirkpatrick96  yields a finite-disorder FP. However, by taking into account the effects of rare regions it was shown NVBK99  that this FP is unstable, and the renormalization group flow is towards large disorder. The meaning of this runaway flow is presently not fully understood. In addition to the transition itself, quantum Griffiths phenomena in itinerant systems have also attracted much attention since they are of potential importance for a variety of heavy-fermion systems. It has been suggested CastroNetoJones  that overdamped systems show quantum Griffiths phenomena very similar to that of undamped systems. However, recently it has been argued MillisMorrSchmalian  that for Ising symmetry the overdamping prevents the rare regions from tunneling leading to superparamagnetic rather than quantum Griffiths behavior.

In this Letter we reconsider the important question of disorder and rare regions at quantum phase transitions. We show that for Ising order parameter symmetry and Landau overdamped dynamics, the sharp quantum phase transition is destroyed by rounding, because static order can develop on isolated rare regions. Our results can be summarized as follows: The relation between the order parameter $`m`$ and the distance $`t`$ from the clean critical point is exponential for small $`m`$. The precise form depends on the disorder distribution. For a Gaussian coupling constant distribution, $`m`$ is finite for all $`t`$. Asymptotically it behaves as

$$\mathrm{log}(m)t^{2d/\varphi }\text{for }t\mathrm{}.$$
(1a)
Here $`\varphi `$ is the finite-size scaling shift exponent of the clean system. If the disorder is of dilution type a finite order parameter starts to develop at the clean transition, i.e., for $`t<0`$ huse\_private . For small $`|t|`$ it behaves as
$$\mathrm{log}(m)|t|^{d/\varphi }\text{for }t0.$$
(1b)
At finite temperatures the static order on the rare regions is destroyed, and a finite interaction between them is required for long-range order. This restores a sharp phase transition. The dependence of the critical temperature on $`t`$ is double-exponential. For small $`T_c`$ we obtain

$`\mathrm{log}(a\mathrm{log}T_c)`$ $``$ $`t^{2d/\varphi }\text{Gaussian},`$ (2a)
$`\mathrm{log}(a\mathrm{log}T_c)`$ $``$ $`|t|^{d/\varphi }\text{dilution},`$ (2b)
Moreover, in finite-size samples strong sample-to-sample fluctuations occur if the number of rare regions displaying static order becomes of order one. Asymptotically for large linear system size $`L`$, the coupling strength $`t_L`$ at which these fluctuations start behaves like

$`t_L`$ $``$ $`(\mathrm{log}L)^{1/(2d/\varphi )}\text{Gaussian},`$ (3a)
$`|t_L|`$ $``$ $`(\mathrm{log}L)^{\varphi /d}\text{dilution}.`$ (3b)
Thus, finite size effects are suppressed only logarithmically. In the remainder of this Letter, we sketch the derivation of these results, illustrate them by numerical results from a model system and discuss their relevance for experiments as well as simulations.

For definiteness we consider the antiferromagnetic quantum phase transition of itinerant electrons with Ising spin symmetry. The Landau-Ginzburg-Wilson free energy functional of the clean transition reads BelitzKirkpatrick96 ; Hertz76

$$S=𝑑x𝑑ym(x)\mathrm{\Gamma }(x,y)m(y)+u𝑑xm^4(x)$$
(4)
Here $`x(𝐱,\tau )`$ comprises position $`𝐱`$ and imaginary time $`\tau `$, and $`𝑑x𝑑𝐱_0^{1/T}𝑑\tau `$. $`\mathrm{\Gamma }(x,y)`$ is the bare two-point vertex, whose Fourier transform is $`\mathrm{\Gamma }(𝐪,\omega _n)=(t+𝐪^2+|\omega _n|)`$. Here $`t=(gg_c)/g_c`$ is the distance of the coupling constant $`g`$ from the critical point. The dynamical part of $`\mathrm{\Gamma }`$ is proportional to $`|\omega _n|`$ reflecting the overdamping of the dynamics (undamped dynamics leads to $`\omega _n^2`$). Quenched disorder is introduced by making $`t`$ a random function of position, $`tt+\delta t(𝐱)`$. We consider two different disorder distributions. The first is a Gaussian distribution with zero mean and a correlation function $`\delta t(𝐱)\delta t(𝐲)=\mathrm{\Delta }^2\delta (𝐱𝐲)`$. The second disorder distribution is of dilution type, $`\delta t(𝐱)=0`$ everywhere except on randomly distributed finite-size islands (impurities) of spatial density $`c`$ where $`\delta t(𝐱)=W>0`$.

In the presence of disorder there are rare large spatial regions which are locally in the ordered phase while the bulk system is not. For the Gaussian disorder distribution which is unbounded, these regions exist for all $`t`$. For the dilution case they appear below the transition of the clean system, i.e. for $`t<0`$. At zero temperature a single such region is equivalent to a classical Ising model in a rod-like geometry. It is finite in the $`d`$ space dimensions but infinite in imaginary time. If the interaction in the time direction is short-ranged, as is the case for undamped dynamics, true static order cannot develop on such a rare region. Instead, the order parameter displays slow fluctuations leading to quantum Griffiths phenomena. This is drastically different in a system with overdamped dynamics. The linear frequency dependence in $`\mathrm{\Gamma }`$ is equivalent to a long-range interaction in time of the form $`(\tau \tau ^{})^2`$. 1D Ising models with $`1/r^2`$ interaction are known to develop long-range order at finite temperatures Ising1r2 . Thus, in our quantum system, true static order develops on those rare regions which are locally in the ordered phase. In agreement with Ref. MillisMorrSchmalian  we therefore do not find the usual quantum Griffiths phenomena. Once static order has developed on a few isolated rare regions, an infinitesimally small interaction or an infinitesimally small symmetry-breaking field are sufficient to align them. Consequently, a macroscopic order parameter arises.

We now use Lifshitz tail arguments Lifshitz  to derive the leading thermodynamic behavior for small order parameter $`m`$. In the dilution case, the probability $`w`$ to find a region of linear size $`L_R`$ devoid of any impurities ($`\delta t=0`$) is given by $`w\mathrm{exp}(cL_R^d)`$ (up to pre-exponential factors). Such a rare region develops static order at a some $`t_c(L_R)<0`$. Finite size scaling yields $`|t_c(L_R)|L_R^\varphi `$ where $`\varphi `$ is the finite-size scaling shift exponent of the clean system shiftexponent . Thus, the probability for finding a rare region which becomes critical at $`t_c`$ is given by

$$w(t_c)\mathrm{exp}(B|t_c|^{d/\varphi })\text{for }t0.$$
(5a)
For a Gaussian distribution similar arguments HalperinLax  give
$$w(t_c)\mathrm{exp}(\overline{B}t_c^{2d/\varphi })\text{for }t\mathrm{}.$$
(5b)
Here $`B`$ and $`\overline{B}`$ are constants. The total order parameter $`m`$ is obtained by integrating over all rare regions which are ordered at $`t`$, i.e., all rare regions having $`t_c>t`$. This leads to eqs. (1b). Note that the functional dependence on $`t`$ of the order parameter on a given island is of power-law type and thus only influences the pre-exponential factors.

At finite temperatures the static order on the rare regions is destroyed, and a finite interaction of the order of the temperature is necessary to align them. This means a sharp phase transition is recovered. To estimate the transition temperature we note that the interaction between two rare regions depends exponentially on their spatial distance $`r`$, $`E_{int}\mathrm{exp}(r/\xi _0)`$, where $`\xi _0`$ is the bulk correlation length. The typical distance $`r`$ itself depends exponentially on $`t`$ via $`rw^{1/d}`$. The leading dependence of the critical temperature $`T_c`$ on $`t`$ is thus

$$T_c\mathrm{exp}(r/\xi _0)\mathrm{exp}(aw^{1/d}/\xi _0),$$
(6)
where $`a`$ is a constant. Inserting eqs. (5b) for $`w`$ leads to eqs. (2). Above this exponentially small critical temperature the rare regions essentially behave classically.

We now turn to finite-size effects at zero temperature. Since the total order parameter is the sum of contributions of many independent islands, finite size-effects in a macroscopic sample are governed by the central limit theorem. However, for $`t\mathrm{}`$ (Gaussian distribution) or $`t0`$ (dilution) very large and thus very rare regions are responsible for the order parameter. The number $`N`$ of rare regions which start to order at $`t_c`$ in a sample of size $`L`$ behaves like $`NL^dw(t_c)`$. When $`N`$ becomes of order one, strong sample-to-sample fluctuations arise. Using eqs. (5b) for $`w(t_c)`$, this leads to eqs. (3).

To illustrate the rounding of the phase transition we now present numerical data for a model system, viz., a disordered classical Ising model with two space dimensions and one time-like dimension. The disorder is of dilution type and completely correlated in time direction. The interaction is short-ranged in the space directions but infinite-ranged in the time-like direction. This simplification retains the crucial property of static order on the rare regions but allows us to treat system sizes large enough for the investigation of exponentially rare events. The Hamiltonian of the model reads

$$H=\frac{1}{L}_\tau \underset{𝐱,𝐲,\tau ,\tau ^{}}{}S_{𝐱,\tau }S_{𝐲,\tau ^{}}\frac{1}{L}_\tau \underset{𝐱,\tau ,\tau ^{}}{}J_𝐱S_{𝐱,\tau }S_{𝐱,\tau ^{}}$$
(7)
Here $`𝐱`$ and $`\tau `$ are the space and time coordinates, respectively. $`L_\tau `$ is the system size in time direction and $`𝐱,𝐲`$ denotes pairs of nearest neighbors. $`J_𝐱`$ is a quenched binary random variable with the distribution $`P(J)=(1c)\delta (J1)+c\delta (J)`$. In this classical model $`L_\tau `$ takes the role of the inverse temperature in the corresponding quantum system and the classical temperature takes the role of the coupling constant $`g`$. Because the interaction is infinite-ranged in time, the time-like dimension can be treated in mean-field theory. For $`L_\tau \mathrm{}`$, this leads to a set of coupled mean-field equations (one for each x)

$$m_𝐱=\mathrm{tanh}\beta [J_𝐱m_𝐱+\underset{𝐲(𝐱)}{}^{}m_𝐲+h],$$
(8)
where we have added a very small symmetry-breaking magnetic field, $`h=10^8`$. These equations are solved numerically in a self-consistency cycle.

Fig. 1 shows the total magnetization and the susceptibility (which corresponds to the inverse energy gap of the quantum system) as functions of temperature for linear size $`L=100`$ and impurity concentration $`c=0.2`$. The data are averages over 200 disorder realizations average .

At a first glance these data suggest a sharp phase transition close to $`T=4.88`$. However, a closer investigation, Fig. 2,

shows that the singularities are rounded. If this rounding was a conventional finite-size effect the magnetization curve should become sharper with increasing $`L`$ and the susceptibility peak should diverge. This is not the case here, instead the transition remains rounded for $`L\mathrm{}`$.

For comparison with the analytical results, Fig. 3 shows the logarithm of the average magnetization as a function of $`1/(T_c^0T)`$ where $`T_c^0=5`$ is the critical temperature of the clean system ($`c=0)`$.

The data follow eq. (1b) over almost four orders of magnitude in $`m`$ with the expected shift exponent of $`\varphi =2`$. This figure also shows ”typical”, i.e., logarithmically averaged magnetization data for different system sizes. Deviations between the typical and the average values (which are essentially size-independent) reflect strong sample-to-sample fluctuations. The data show that the onset $`T_L`$ of these fluctuations shifts to larger temperatures with increasing system size. A more detailed analysis shows that $`t_L=(T_LT_c^0)`$ follows eq. (3b) in good approximation.

In the remaining paragraphs we discuss the generality of the results and their consequences for experiments and simulations. The rounding of the transition is due to the fact that at zero temperature static order can develop on a finite spatial region in a Landau-damped system. We thus expect all quantum phase transitions with discrete order parameter symmetry and overdamped dynamics (i.e., a low frequency dependence $`|\omega |`$ or slower in the Gaussian propagator) to be rounded by disorder. Systems with continuous symmetry behave differently. It is known bruno01  that classical 1D XY and Heisenberg systems develop long-range order at finite $`T`$ only if the interaction falls off more slowly than $`1/r^2`$. Consequently, in a quantum system at zero temperature static order on a rare region only develops if the frequency dependence in the Gaussian propagator is slower than $`|\omega |`$. The itinerant ferromagnetic or antiferromagnetic quantum phase transitions with XY or Heisenberg symmetries will thus remain sharp in the presence of disorder AbanovChubukov .

The rounding of the quantum phase transition leads to an unusual phenomenology in experiments. Data taken at larger order parameter and not too low temperature do not resolve the exponentially small order parameter tail but probe the rounded transition. However, with increasing precision and decreasing temperature the apparent critical point shifts further and further towards the disordered phase, accompanied by the onset of strong sample-sample fluctuations. Similar effects will also occur in simulations. In a recent Monte-Carlo simulation of a related model us\_mc  a sharp transition was found controlled by an infinite randomness fixed point. However, in this simulation the linear system sizes are below $`L=30`$, therefore it likely probes the rounded transition rather than the exponentially small magnetization tail.

In this Letter we have concentrated on the behavior of the system for very small order parameter values, i.e., in the ”tail region” of the rounded transition. The above arguments suggest that the properties of the rounded transition itself are experimentally also very important because they control the behavior in a wide pre-asymptotic region. However, these properties are likely to be non-universal, so far they are not very well understood.

We thank D. Belitz, D. Huse, T.R. Kirkpatrick, J. Schmalian and R. Sknepnek for helpful discussions, and we acknowledge support from the University of Missouri Research Board. Part of this work has been performed at the Aspen Center for Physics.


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# Kinematics of the Galactic populations in the GAIA era

## 1. Introduction

GAIA will provide detailed phase space coordinates for about 1 billion stars within a sphere of 20 Kpc. In addition to this on board multicolour photometry and spectroscopy will give complete chemical measurements (including $`\alpha `$, $`s`$, $`r`$ process elements) down to V=17-19 mag. Owing to the precision of the data, the problem of the formation of the Milky Way will be addressed. In the standard cold dark matter scenario the Galaxy should have formed by merges of small substructures. However this scenario is at odds with several observational constraints: i.e. a small scale length of the disk of the order of 300 pc is expected instead of 2000-3000 pc (Steinmetz & Navarro 1999); the formation process predicts that the Milky Way should have a thousand of satellites which are missing in the Local Group. A substantial revision of the model is necessary, by means of a detailed comparison with high quality data. GAIA will bring into evidence fossil remnants of the galaxy formation tracing back the star formation history and revealing gradients in the star formation intensity, chemical abundances, and kinematics across the disk. Chemical and age gradients are not expected inside the thin disk. N-body simulations show that radial mixing can wash out gradients close to the Galactic plane after a few Gyr. Concerning the thick disk, if it was formed by an heating event (merge with a satellite) traces of it should still be detectable (Freeman & Hawthorn 2002). In fact vertical gradients in metallicity and velocity dispersions which are still uncertain from the present data are possibly not washed out by the radial mixing far from the Galactic plane and can be used to trace back the formation history. In order to simulate Galactic data we update the Padova Galaxy Model including velocity space and we apply it to the GAIA science.

## 2. Padova Galaxy Model

The Galaxy is modeled with the code already described by Bertelli et al. (1995) and revised as in Vallenari et al (2000) where more detail can be found. The Padova model has been newly updated including:

1) the usage of new stellar tracks from Z=0.0001 till Z=0.03 with low mass stars down to 0.15 (Girardi et al 2000). 0.1 M track is taken from Baraffe et al (1998);

2) the use of the carbon star models taking into account the effect of the variation of the stellar molecular opacities during the evolution as a result of the dredge-up (Marigo 2002);

3) the extinction along the line of sight derived following Drimmel & Spergel (2001) model obtained from COBE-DIRBE infrared data.

4) the velocity space simulated in a consistent way as described in the following Section.

## 3. The kinematic model

The velocity distribution for the whole disk has been computed using the velocity ellipsoids formulation by Schwarzschild. Concerning the thin disk, the assumed local values of velocity dispersions are taken as in Mendez et al (2000). The Vlag is derived following Binney & Tremaine (1994). The diagonal terms of the dispersion velocity tensor are from Lewis & Freeman (1989):

$`\sigma _{RR}^2`$ $`=`$ $`\sigma _{RR,0}^2exp((RR_0)/H_R)`$ (1)
$`\sigma _{\mathrm{\Phi }\mathrm{\Phi }}^2`$ $`=`$ $`1/2(1+(dlnV_{LSR}(R))/(dlnR))\times \sigma _{RR}^2)`$ (2)
$`\sigma _{ZZ}^2`$ $`=`$ $`\sigma _{ZZ,0}^2exp((RR_0)/H_R)`$ (3)
The vertical gradient in the velocity dispersions is taken from Fuchs & Wielen (1987) for $`\sigma _{RR}^2`$ and $`\sigma _{\mathrm{\Phi }\mathrm{\Phi }}^2`$ and the non vertical isothermality of the thin disk from Amendt & Cutterford (1991) which is in good agreement with the observations till 1 Kpc for $`\sigma _{ZZ}^2`$. The off diagonal term $`\sigma _{RZ}`$ is derived from Amend & Cutterford (1991):

$$\sigma _{RZ}^2(R,Z)=\sigma _{RZ}^2(R,0)+z/z\sigma _{R,Z}^2(R,0)$$
(4)
where

$$/z\sigma _{RZ}^2(R,0)=\lambda (R)(\sigma _{RR}^2\sigma _{ZZ}^2/R)(R,0)$$
(5)
and

$$\lambda (R)=(R^2\mathrm{\Phi }_{Rzz}/3\mathrm{\Phi }_R+R\mathrm{\Phi }_{RR}4R\mathrm{\Phi }_{ZZ})(R,0)$$
(6)
where $`\mathrm{\Phi }_{RZZ},\mathrm{\Phi }_{RR},\mathrm{\Phi }_{ZZ}`$ are the derivatives of the Galactic potential $`\mathrm{\Phi }`$ obtained from the density model by Dehnen & Binney (1998) by inverting the Poisson equation with the Bessel integrals (Quinn & Goodman 1986). $`\lambda `$ is an approximate expression of the vertical tilt of the velocity ellipsoid close to the Galactic plane (at z=0). $`\lambda `$ is 1 in the case of a spherical potential, when the ellipsoid is pointing towards the Galactic center , while $`\lambda `$ is 0 for a cylindrical potential when the ellipsoid is always parallel to the Galactic plane. Amendt & Cutterford (1991) show that $`\lambda `$ is related to the mass gradient in the Galactic plane. No vertex deviation is included in the model although a deviation decreasing from 250 for young stars to near zero for an old population has been found by various authors (Dehnen & Binney 1998, Bienayme 1999, Soubiran et al 2002). The thick disk is isothermal with $`(\sigma _{RR},\sigma _{\mathrm{\Phi }\mathrm{\Phi }},\sigma _{zz})=(70,50,45)`$ Km s-1 as starting values. The $`V_{lag}`$ is assumed to have a canonical value of 35 Km s-1. The possibility of simulating a vertical gradient in the rotational velocity of the thick disk is included as suggested by Chiba & Beers (2000). The halo has $`(\sigma _{RR},\sigma _{\mathrm{\Phi }\mathrm{\Phi }},\sigma _{zz})=(130,95,95)`$ Km s-1. The projection matrixes of the space velocities are derived from Mendez et al (2000). In the following Sections we show a few examples of applications to the GAIA science. In particular the thin and thick disk are discussed.

## 4. Disentangling various stellar populations

Spectrograph aboard on GAIA operating in the near-IR will measure radial velocities with an accuracy better than 2 Km s-1 if an high dispersion of 0.25 A$`.^{}/`$pix is chosen for stars brighter than V= 16 mag. The expected accuracy will still be better than 8 Km s-1 for magnitudes as faint as V=17, but will drop to 30 Km s-1 at V=18 (Zwitter 2002) for a G2V stars. This amount of unprecedented good quality data will allow to disentangle thin disk, thick disk and halo populations, deriving ages, metal content and kinematics. Fig. 1 presents a simulation of the expected radial velocities at (l,b)=(270,-45) for a 2.5 $`\times `$2.5 deg2 field for stars brighter than V=17, 17.5, and in the magnitude range 17.5-18 at an heliocentric distance of 2000-4000 pc where the contribution of the thick disk is relevant. Expected observational uncertainties are included. The thick disk population begins to contribute significantly at magnitudes fainter than V=17. In order to disentangle thin and thick disk populations, a fainter magnitude limit would be more effective, unless kinematic information is coupled with chemical abundances determinations.

## 5. The thick disk velocity gradient

The presence of a gradient in the thick disk velocity dispersion or a multi-component structure is indicative of the formation process as described in Section 1. From the observational point of view the situation is far from being clear. Soubiran et al (2002) find a thick disk with a moderate rotational and vertical kinematics, but no vertical gradient suggesting a quick heating of the precursor thin disk. Chiba & Beers (2000) suggest that far from the plane the thick disk has lower rotational velocity and higher velocity dispersion than close to the Galactic plane. These data are interpreted as a vertical gradient of about 30 Km/s/Kpc. Gilmore et al (2002) propose a different interpretation of the data: the thick disk has a composite form, indicating the presence of relics of disrupted satellites. Fig. 2 shows a simulation of the thick disk population in a column of 0.09$`\times `$ 0.09 deg2 at (l,b)=(270,-45) for stars brighter than V=17.5. Even including the expected GAIA accuracy for an intermediate dispersion of 0.5 A$`.^{}/`$pix, still the effect of a vertical gradient of 10 Km/s/Kpc is visible.

## 6. The vertical tilt of the thin disk velocity ellipsoid

Up to now the vertical tilt parameter $`\lambda (R)`$ of the thin disk velocity ellipsoids is ill-determined. $`\lambda `$ is in fact strongly related to the coupling of the U and W velocities and is better constrained by 3-dimensional velocities. It is found to vary from 0.4 to 0.6 at the solar circle (Amendt & Cutterford 1991, Bienaymé 1999). Fig.3 shows the expected proper motions and radial velocities of the thin disk population under different assumptions for $`\lambda (R)`$, namely 0, 1 and following Amendt & Cutterford (1991) in the direction (l,b)=(26,6). The simulations take into account the uncertainties on GAIA determinations for stars brighter than V=17. In comparison to the models having $`\lambda (R)=0`$ or 1, the model with $`\lambda (R)`$ related to the potential predicts differences of the mean value of the radial velocities going from 5 to 15 Km/s, depending on the distance. On the proper motion $`\mu _l`$ the effect is at maximum 0.2-0.4 mas/yr, while it is definitely less than 0.08 mas/yr on $`\mu _b`$. GAIA expected precision on radial velocities and proper motions will be able to put strong constraints on the determination of the tilt of the velocity ellipsoid.

## 7. Conclusions

GAIA data will create a precise 3-dimensional map of the Galaxy, providing positional information, radial velocities, luminosity, temperature and chemical composition of a representative sample of stars. Here we present a new implementation of the Padova Galaxy Model, where kinematics simulations are included. This model includes a description of the vertical tilt of the ellipsoids of the velocity of the thin disk following Amendt & Cutterford (1991), in addition to isothermal thick disk and halo. This formulation might be specially useful to simulate the kinematics of the thin disk till a vertical height of 1 Kpc. A few examples of application to the GAIA science are presented, in particular concerning radial velocities determinations. The main conclusions are:

1) the expected accuracy on radial velocities will put strong constraints on the determination of the vertical tilt of the velocity ellipsoids of the thin disk;

2) since the thick disk begins to contribute significantly at magnitudes fainter than V=17, to disentangle thin and thick disk populations at high latitude, a fainter magnitude limit would be more effective, unless kinematic information are coupled with chemical abundances determinations;

3) finally, the expected accuracy on radial velocities at intermediate dispersion will allow the determination of a possible vertical velocity gradient in the thick disk of at least 10 Km s-1.

### Acknowledgments.

The authors wish to thank U. Munari and the Organizing Committee for the excellent organization of this extremely stimulating meeting.

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# Influence of the beam-size or MD-effect on particle losses at B-factories PEP-II and KEKB

## 1 Introduction: beam-size or MD-effect

The so called beam-size or MD-effect is a phenomenon discovered in experiments  at the MD-1 detector (the VEPP-4 accelerator with $`e^+e^{}`$ colliding beams , Novosibirsk 1981). It was found out that for ordinary bremsstrahlung, macroscopically large impact parameters should be taken into consideration. These impact parameters may be much larger than the transverse sizes of the interacting particle bunches. In that case, the standard calculations, which do not take into account this fact, will give incorrect results. The detailed description of the MD-effect can be found in review .

We start with a few words about history of this effect. In $`1980`$$`1981`$ a dedicated study of the process $`e^+e^{}e^+e^{}\gamma `$ has been performed at the collider VEPP-$`4`$ in Novosibirsk using the detector MD-1 for an energy of the electron and positron beams $`E_e=E_p=1.8`$ GeV and in a wide interval of the photon energy $`E_\gamma `$ from $`0.5`$ MeV to $`E_\gamma E_e`$. It was observed  that the number of measured photons was smaller than that expected. The deviation from the standard calculation reached $`30\%`$ in the region of small photon energies and vanished for large energies of the photons. A. Tikhonov  pointed out that those impact parameters $`\varrho `$, which give an essential contribution to the standard cross section, reach values of $`\varrho _m5`$ cm whereas the transverse size of the bunch is $`\sigma _{}10^3`$ cm. The limitation of the impact parameters to values $`\varrho \sigma _{}`$ is just the reason for the decreasing number of observed photons.

The first calculations of this effect have been performed in Refs.  and  using different versions of quasi–classical calculations in the region of large impact parameters. Further experiments, including the measurement of the radiation probability as function of the beam parameters, supported the concept that the effect arises from the limitation of the impact parameters. Later on, the effect of limited impact parameters was taken into account when the single bremsstrahlung was used for measuring the luminosity at the VEPP–$`4`$ collider  and at the LEP-I collider . In the case of the VEPP–$`4`$ experiment , it was checked that the luminosities obtained using either this process or using other reactions (such as the double bremsstrahlung process $`e^+e^{}e^+e^{}\gamma \gamma `$, where the MD-effect is absent) agreed with each other.

A general scheme to calculate the finite beam size effect had been developed in paper  starting from the quantum description of collisions as an interaction of wave packets forming bunches. Since the effect under discussion is dominated by small momentum transfer, the general formulae can be considerably simplified. The corresponding approximate formulae were given. They are obtained from an analysis of Feynman diagrams and it allows to estimate the accuracy of approximation. In a second step, the transverse motion of the particles in the beams can be neglected. The less exact (but simpler) formulae, which are then found, correspond to the results of Refs.  and . It has also been shown that similar effects have to be expected for several other reactions such as bremsstrahlung for colliding $`ep`$–beams , , $`e^+e^{}`$– pair production in $`e^\pm e`$ and $`\gamma e`$ collisions . The corresponding corrections to the standard formulae are now included in programs for simulation of events at linear colliders. The influence of MD-effect on polarization had been considered in Ref. .

In 1995 the MD-effect was experimentally observed at the electron-proton collider HERA  on the level predicted in .

The possibility to create high-energy colliding $`\mu ^+\mu ^{}`$ beams is now wildly discussed. For several processes at such colliders a new type of beam-size effect will take place — the so called linear beam-size effect . The calculation of this effect had been performed by method developed for MD-effect in .

It was realized in last years that MD-effect in bremsstrahlung plays important role for the problem of beam lifetime. At storage rings TRISTAN and LEP-I, the process of a single bremsstrahlung was the dominant mechanism for the particle losses in beams. If electron loses more than $`1\%`$ of its energy, it leaves the beam. Since MD-effect reduced considerable the effective cross section of this process, the calculated beam lifetime in these storage rings was larger by about $`25\%`$ for TRISTAN  and by about $`40\%`$ for LEP-I  (in accordance with the experimental data) then without taken into account the MD-effect.

In next Section we present the qualitative description of the MD-effect. In Sect. 3 we calculate the MD-effect and its influence on the beam losses at the existing B-factories. We find out that this effect reduces beam losses due to bremsstrahlung by about 20%.

At the end of this section we also mention about recent paper  in which previous results , ,  about bremsstrahlung spectrum had been revised. It was claimed that an additional subtraction related to the coherent contribution has to be done. However, this additional subtraction is negligible small for the real parameters of the existing B-factories. Besides, paper , in our opinion, is incorrect. In our critical remark  we analyzed in detail the coherent and incoherent contributions in the conditions, considered in paper , and, in contrast to above claims, we found out that under these conditions the coherent contribution is completely negligible and, therefore, there is no need to revise the previous results.

## 2 Qualitative description of the MD-effect

Qualitatively we describe the MD–effect using as an example the $`epep\gamma `$ process111Below we use the following notations: $`N_e`$ and $`N_p`$ are the numbers of electrons and protons (positrons) in the bunches, $`\sigma _H`$ and $`\sigma _V`$ are the horizontal and vertical transverse sizes of the proton (positron) bunch, $`\gamma _e=E_e/(m_ec^2)`$, $`\gamma _p=E_p/(m_pc^2)`$ and $`r_e=e^2/(m_ec^2)`$ is the classical electron radius.. This reaction is defined by the diagrams of Fig. 1 which describe the radiation of the photon by the electron (the contribution of the photon radiation by the proton can be neglected). The large impact parameters $`\varrho \sigma _{}`$, where $`\sigma _{}`$ is the transverse beam size, correspond to small momentum transfer $`\mathrm{}q_{}(\mathrm{}/\varrho )(\mathrm{}/\sigma _{})`$. In this region, the given reaction can be represented as a Compton scattering (Fig. 2) of the equivalent photon, radiated by the proton, on the electron. The equivalent photons with frequency $`\omega `$ form a “disk” of radius $`\varrho _m\gamma _pc/\omega `$ where $`\gamma _p=E_p/(m_pc^2)`$ is the Lorentz-factor of the proton. Indeed, the electromagnetic field of the proton is $`\gamma _p`$–times contracted in the direction of motion. Therefore, at distance $`\varrho `$ from the axis of motion a characteristic longitudinal length of a region occupied by the field can be estimated as $`\lambda \varrho /\gamma _p`$ which leads to the frequency $`\omega c/\lambda \gamma _pc/\varrho `$.

In the reference frame connected with the collider, the equivalent photon with energy $`\mathrm{}\omega `$ and the electron with energy $`E_e\mathrm{}\omega `$ move toward each other (Fig. 3) and perform a Compton scattering. The characteristics of this process are well known. The main contribution to the Compton scattering is given by the region where the scattered photons fly in a direction opposite to that of the initial photons. For such a backward scattering, the energy of the equivalent photon $`\mathrm{}\omega `$ and the energy of the final photon $`E_\gamma `$ and its emission angle $`\theta _\gamma `$ are related by

$$\mathrm{}\omega =\frac{E_\gamma }{4\gamma _e^2(1E_\gamma /E_e)}\left[1+(\gamma _e\theta _\gamma )^2\right]$$
(1)
and, therefore,

$$\mathrm{}\omega \frac{E_\gamma }{4\gamma _e^2(1E_\gamma /E_e)}.$$
(2)
As a result, we find the radius of the “disk” of equivalent photons with the frequency $`\omega `$ (corresponding to a final photon with energy $`E_\gamma `$) as follows:

$$\varrho _m=\frac{\gamma _pc}{\omega }\lambda _e\mathrm{\hspace{0.33em}4}\gamma _e\gamma _p\frac{E_eE_\gamma }{E_\gamma },\lambda _e=\frac{\mathrm{}}{m_ec}=3.8610^{11}\mathrm{cm}.$$
(3)
For the HERA collider with $`E_p=820`$ GeV and $`E_e=28`$ GeV one obtains

$$\varrho _m1\mathrm{cm}\mathrm{for}E_\gamma 0.2\mathrm{GeV}.$$
(4)
Equation (3) is also valid for the $`e^{}e^+e^{}e^+\gamma `$ process with replacement protons by positrons. For the VEPP-4 collider it leads to

$$\varrho _m1\mathrm{cm}\mathrm{for}E_\gamma 15\text{ MeV },$$
(5)
for the PEP-II and KEKB colliders we have

$$\varrho _m1\mathrm{cm}\mathrm{for}E_\gamma 0.1\text{ GeV }.$$
(6)
The standard calculation corresponds to the interaction of the photons forming the “disk” with the unbounded flux of electrons. However, the particle beams at the HERA collider have finite transverse beam sizes of the order of $`\sigma _{}10^2`$ cm. Therefore, the equivalent photons from the region $`\sigma _{}\varrho \varrho _m`$ cannot interact with the electrons from the other beam. This leads to the decreasing number of the observed photons and the “observed cross section” $`d\sigma _{\mathrm{obs}}`$ is smaller than the standard cross section $`d\sigma `$ calculated for an infinite transverse extension of the electron beam,

$$d\sigma _{\mathrm{obs}}=d\sigma d\sigma _{\mathrm{cor}}.$$
(7)
Here the correction $`d\sigma _{\mathrm{cor}}`$ can be presented in the form

$$d\sigma _{\mathrm{cor}}=d\sigma _\mathrm{C}(\omega ,E_\gamma )dn(\omega )$$
(8)
where $`dn(\omega )`$ denotes the number of “missing” equivalent photons and $`d\sigma _\mathrm{C}`$ is the cross section of the Compton scattering. Let us stress that the equivalent photon approximation in this region has a high accuracy (the neglected terms are of the order of $`1/\gamma _p`$). But for the qualitative description it is sufficient to use the logarithmic approximation in which this number is (see, §99)

$$dn=\frac{\alpha }{\pi }\frac{d\omega }{\omega }\frac{dq_{}^2}{q_{}^2}.$$
(9)
Since $`q_{}1/\varrho `$, we can present the number of “missing” equivalent photons in the form

$$dn=\frac{\alpha }{\pi }\frac{d\omega }{\omega }\frac{d\varrho ^2}{\varrho ^2}$$
(10)
with the integration region in $`\varrho `$:

$$\sigma _{}\varrho \varrho _m=\frac{\gamma _pc}{\omega }.$$
(11)
As a result, this number is equal to

$$dn(\omega )=2\frac{\alpha }{\pi }\frac{d\omega }{\omega }\mathrm{ln}\frac{\varrho _m}{\sigma _{}},$$
(12)
and the correction to the standard cross section with logarithmic accuracy is (more exact expression is given by Eq. (18)) 222Within this approximation, the standard cross section has the form (more exact expression is given by Eq. (17))
$$d\sigma =d\sigma _\mathrm{C}\frac{\alpha }{\pi }\frac{d\omega }{\omega }\frac{dq_{}^2}{q_{}^2}=\frac{16}{3}\alpha r_e^2\frac{dy}{y}\left(1y+\frac{3}{4}y^2\right)\mathrm{ln}\frac{4\gamma _e\gamma _p(1y)}{y}$$
with the integration region $`\mathrm{}\omega /(c\gamma _p)\mathrm{}q_{}m_ec`$ corresponding to the impact parameters $`\varrho `$ in the interval $`\lambda _e\varrho \varrho _m`$.

$$d\sigma _{\mathrm{cor}}=\frac{16}{3}\alpha r_e^2\frac{dy}{y}\left(1y+\frac{3}{4}y^2\right)\mathrm{ln}\frac{4\gamma _e\gamma _p(1y)\lambda _e}{y\sigma _{}},y=\frac{E_\gamma }{E_e}.$$
(13)
## 3 MD-effect for PEP-II and KEKB

Usually in experiments the cross section is found as the ratio of the number of observed events per second $`d\dot{N}`$ to the luminosity $`L`$. Also, in our case it is convenient to introduce the “observed cross section”, defined as the ratio

$$d\sigma _{\mathrm{obs}}=\frac{d\dot{N}}{L}.$$
(14)
Contrary to the standard cross section $`d\sigma `$, the observed cross section $`d\sigma _{\mathrm{obs}}`$ depends on the parameters of the beams which scatter. To indicate explicitly this dependence we introduce the “correction cross section” $`d\sigma _{\mathrm{cor}}`$ as the difference between $`d\sigma `$ and $`d\sigma _{\mathrm{obs}}`$:

$$d\sigma _{\mathrm{obs}}=d\sigma d\sigma _{\mathrm{cor}}.$$
(15)
The relative magnitude of the MD-effect is given, therefore, by quantity

$$\delta =\frac{d\sigma _{\mathrm{cor}}}{d\sigma }.$$
(16)
Let us consider the number of photons emitted by electrons in the process $`e^{}e^+e^{}e^+\gamma `$. The standard cross section for this process is well known:

$$d\sigma =\frac{16}{3}\alpha r_e^2\frac{dy}{y}\left(1y+\frac{3}{4}y^2\right)\left[\mathrm{ln}\frac{4\gamma _e\gamma _p(1y)}{y}\frac{1}{2}\right],y=\frac{E_\gamma }{E_e}.$$
(17)
The correction cross section is given by expression

$$d\sigma _{\mathrm{cor}}=\frac{16}{3}\alpha r_e^2\frac{dy}{y}\left[\left(1y+\frac{3}{4}y^2\right)L_{\mathrm{cor}}\frac{1y}{12}\right]$$
(18)
where

$`L_{\mathrm{cor}}`$ $`=`$ $`\mathrm{ln}{\displaystyle \frac{2\sqrt{2}\gamma _e\gamma _p(1y)(a_H+a_V)\lambda _e}{a_Ha_Vy}}{\displaystyle \frac{3+C}{2}},`$
$`\lambda _e`$ $`=`$ $`{\displaystyle \frac{\mathrm{}}{m_ec}}=3.8610^{11}\mathrm{cm},`$ (19)
$`C=0.577\mathrm{}`$, quantities $`a_H=\sqrt{\sigma _{eH}^2+\sigma _{pH}^2}`$ and $`a_V=\sqrt{\sigma _{eV}^2+\sigma _{pV}^2}`$ related to the r.m.s. transverse horizontal and vertical bunch sizes $`\sigma _{jH}`$ and $`\sigma _{jV}`$ for the electron, $`j=e`$, and positron, $`j=p`$, beams. In calculations we used data from Review of Particle Physics–2002  (see Table 1).

Table 1

The observed number of photons is smaller due to MD-effect than the number of photons calculating without this effect. The relative magnitude of MD-effect is given by quantity $`\delta `$ from Eq. (16) (see Table 2). It is seen that MD-effect reduced considerable the differential cross section.

To estimate the integrated contribution of the discussed process into particle losses, we should integrate the differential observed cross section from some minimal photon energy. It is usually assumed that an electron leaves the beam when it emits the photon with the energy $`10`$ times larger than the beam energy spread. In other words, the relative photon energy should be $`y=E_\gamma /E_ey_{\mathrm{min}}`$ where $`y_{\mathrm{min}}=0.0061`$ for PEP-II and $`y_{\mathrm{min}}=0.007`$ for KEKB. After integration of the observed cross section from $`y_{\mathrm{min}}1`$ up to $`y_{\mathrm{max}}=1`$, we obtain

$`\sigma _{\mathrm{obs}}`$ $`=`$ $`{\displaystyle \frac{16}{3}}\alpha r_e^2\{(\mathrm{ln}{\displaystyle \frac{1}{y_{\mathrm{min}}}}{\displaystyle \frac{5}{8}})[\mathrm{ln}{\displaystyle \frac{\sqrt{2}a_Ha_V}{(a_H+a_V)\lambda _e}}+{\displaystyle \frac{2+C}{2}}]`$ (20)
$`+`$ $`{\displaystyle \frac{1}{12}}(\mathrm{ln}{\displaystyle \frac{1}{y_{\mathrm{min}}}}1)\}.`$
Let us note that the standard cross section integrated over the same interval of $`y`$,

$`\sigma `$ $`=`$ $`{\displaystyle \frac{16}{3}}\alpha r_e^2\{(\mathrm{ln}{\displaystyle \frac{1}{y_{\mathrm{min}}}}{\displaystyle \frac{5}{8}})[\mathrm{ln}(4\gamma _e\gamma _p){\displaystyle \frac{1}{2}}]+{\displaystyle \frac{1}{2}}\left(\mathrm{ln}{\displaystyle \frac{1}{y_{\mathrm{min}}}}\right)^2`$ (21)
$``$ $`{\displaystyle \frac{3}{8}}{\displaystyle \frac{\pi ^2}{6}}\},`$
is larger than the observed cross section by about $`20`$ % (see Table 3).

To understand the importance of the bremsstrahlung channel for particle losses, we estimate the corresponding partial beam lifetime. The number of particles, which the single electron bunch losses during a second, equals to

$$\mathrm{\Delta }\dot{N}_e=L\sigma _{\mathrm{obs}}/n_b$$
(22)
where $`L`$ is a luminosity and $`n_b`$ is the number of bunches. Therefore, the partial lifetime of the electron bunch, corresponding to bremsstrahlung process at a given luminosity, can be estimated as

$$\tau _{\mathrm{brem}}^e=\frac{N_e}{\mathrm{\Delta }\dot{N}_e}=\frac{N_en_b}{L\sigma _{\mathrm{obs}}}.$$
(23)
The obtained numbers for the electron and positron beams are presented in Table 3. They can be compared with the luminosity lifetime $`\tau _L`$ from Table 1 which is some average characteristics of lifetimes for both beams. More detailed comparison with the experimental numbers for lifetimes of beams at KEKB shows that the bremsstrahlung process is important for the electron beam lifetime, but has rather small influence on the positron beam lifetime.

## Acknowledgments

We are very grateful to A. Bondar, S. Heifets, I. Koop, A. Onuchin and E. Perevedenzev for useful discussions.