STUDIES OF THE MICROWAVE INSTABILITY IN THE
SMALL ISOCHRONOUS RING
By
Yingjie Li

A DISSERTATION
Submitted to
Michigan State University
in partial fulfillment of the requirements
for the degree of
Physics—Doctor of Philosophy
2015

ABSTRACT
STUDIES OF THE MICROWAVE INSTABILITY IN THE
SMALL ISOCHRONOUS RING
By
Yingjie Li
This dissertation is devoted to deepening our knowledge and understanding of the
hidden physics regarding the microwave instability of the space-charge dominated beams
in the small isochronous ring, which was observed in our previous numerical and
experimental studies.
The dissertation attempts to provide a further exploration and more accurate
description of the microwave instability by focusing on the following topics:
(a) Derivations of the full-spectrum longitudinal space charge (LSC) impedance
formula, which reflects the realistic configurations of the beam-chamber system
more closely than the existing ones.
(b) Landau damping effect. A two-dimensional (2D) dispersion relation is derived in
the dissertation, by which the microwave instability growth rates of a coasting
beam with any energy spread and emittance in the isochronous regime can be
predicted theoretically.
(c) Evolution of the beam profiles in the nonlinear regime of the microwave instability.
For this purpose, various numerical, experimental and theoretical approaches have
been employed in the research, including the simulation and measurement of the
energy spread evolution, simulated corotation of the two-macroparticle and
 
 

two-bunch models together with their comparisons with the theoretical predictions.
The simulations, experiments and theoretical predictions on the above three
topics all reach good agreements.

 
 

First, I would like to dedicate this doctoral dissertation to my parents. Your eager
anticipation, lasting encouragements, selfless love and dedication without reservation
were crucial for me to overcome the difficulties I met both in my academic study and
daily life overseas. Without your careful nurturing and inculcation from the beginning of
my life, it would have been impossible for me to finish this dissertation. Second, I would
like to say a Big Thank You to the following people: my elder brother, sister-in-law and
cousin for their constant support, encouragement, and generous financial help, as well as
taking good care of my mother and my niece.

iv
 

ACKNOWLEDGEMENTS

My gratitude to the people who helped my graduate study at MSU is beyond words.
First of all, I would like to express my sincere thankfulness to my thesis advisor
Professor Felix Marti, who has provided great guidance on my research and trained me
from a rookie in Beam Physics to grow towards a beam scientist. I really appreciate his
patience and tolerance on my ‘slow growth rate’. His perspective insight, prudence and
strictness in the research work impressed me greatly. Without his long-term academic
supervision and support, I would not have been able to finish this dissertation. I am
particularly grateful to his constant and timely guidance even if his health condition was
sometimes not very well.
I would like to convey my special gratitude to my co-advisor, Professor Thomas
Wangler (LANL). It was a great honor for me to have had the precious opportunity to
discuss problems and receive guidance from such a world-renowned accelerator expert.
His suggestions and guidance on beam instability analysis and beam simulation are
indispensable factors for my accomplishment of the research work.
I would like to thank my committee members Professors Richard York, Michael
Syphers, Vladimir Zelevinsky, Scott Pratt, and former member Professor Jack
Baldwin for their serving in my committee. Their suggestions and guidance on my
graduate study played an important role in my academic progress.
I am greatly indebted to the following experienced researchers: Dr. Gennady
Stupakov (SLAC), Professor Alex Chao (SLAC), Dr. Lanfa Wang (SLAC), Professor S.
Y. Lee (Indiana University), Dr. K. Y. Ng (FermiLab), Dr. Fanglei Lin (JLab). Their
v
 

professional suggestions and discussions were crucial for me to avoid wrong directions
and make further progress in my research; In particular, I would like to pay my special
thanks to Dr. Wang and Dr. Lin for their excellent contributions to the journal papers
collaborated between us, I did benefit and learn a lot from you on analysis methods and
paper writing skills.
I would like to give my heartfelt thanks to my colleagues Dr. Eduard Pozdeyev and
Dr. Jose Alberto Rodriguez. Dr. Pozdeyev often tailored the beam distributions for me
and taught me how to modify the input files for CYCO; Dr. Rodriguez gave me patient
explanations on the structure of SIR along with step-by-step instructions on running SIR
and tuning the beam. Their kind help was important for my research work.
Thanks a lot for the generous help and constructive suggestions on the design and test
of the SIR Energy Analyzer provided by Professor Rami Kishek, Dr. Kai Tian and Dr.
Chao Wu of University of Maryland. Also many thanks for my colleagues John Oliva,
Renan Fontus and Dr. Guillaume Machicoane of NSCL/MSU for their great work on
the design, fabrication and test of the analyzer.
Special thanks to my colleagues of NSCL Dr. Xiaoyu Wu, Dr. Yan Zhang, Dr. Qiang
Zhao, Professor Jie Wei, Professor Betty Tsang and Professor Bill Lynch for their nice
help and useful advice on my graduate study.
I am much obliged to Professors Phillip Duxbury, Wolfgang Bauer, Scott Pratt,
Michael Thoennessen, S. D. Mahanti of Department of Physics and Department
Secretary Mrs. Debbie Barratt for their excellent management and coordination work.
I am so thankful for Mr. Hersh Sisodia, the International Student Advisor at OISS.
Your useful and informative consultation was a great help for me.

vi
 

Thanks to the Editor Dr. William Barletta and the anonymous reviewers of Nuclear
Instruments and Methods in Physics Research A, as well as staff of publisher
Elseiver for their great job in evaluating and publishing my manuscripts.
I will never forget my friend Jack Wang for his lasting encouragement and selfless
support for my graduate study, as well as his invaluable advice on my career plan.
I would like to thank my friends Weihai Liu and his wife Dr. Cuihong Jia, Dr.
Weigang Geng, Dr. Dat Do and his wife Lisa, Mr. Dinh Pham from the bottom of my
heart for their generous financial help, encouragement for my study and concern for my
daily life.
I am very grateful to my roommate Mr. Ward Morris-Spidle and the Writing Center
of MSU for their careful proofreading, grammar corrections and polishing for my
dissertation.
I would also like to express my pure-hearted gratitude for the useful advice,
encouragement and support offered by my friends: Dr. Jianjun Luo, Dr. Wei Chang, Dr.
Chong Zhang, Dr. Liangting Sun, Dr. Yajun Guo, Dr. Xiyang Zhong, Mr. Xiaohong
Guo, Dr. Qiang Nie, Dr. Yixing Wang, Dr. Jiebing Sun, Dr. Bin Guo, Dr. Weisheng
Cao, Mrs. Huan Lian, Mrs. Li Li, Dr. Feng Shi, and Mr. Lixin Zhu.

vii
 

TABLE OF CONTENTS

LIST OF TABLES………………………………………………………....xi
LIST OF FIGURES……………………………………………………...xii
Chapter 1: INTRODUCTION...............…………………………………1
1.1 Brief introduction to cyclotrons………………………………………………….2
1.2 Space charge effects in isochronous cyclotrons………………………………….2
1.2.1 The incoherent transverse space charge field……………………………..3
1.2.2 The coherent radial-longitudinal space charge field………………………3
1.2.3 Vortex motion……………………………………………………………..4
1.2.4 Space charge effects and stability of short circular bunch………………..5
1.2.5 Space charge effects of long coasting bunch……………………………...5
1.2.6 Space charge effects between neighboring turns………………………….6
1.3 CYCO and Small Isochronous Ring……………………………………………..6
1.4 Summaries of previous studies of beam instability in SIR……………………..10
1.5 Major research results and conclusions in this dissertation……………………13
1.6 Brief introduction to contents of the following chapters……………………..14

Chapter 2: BASIC CONCEPTS AND BEAM DYNAMICS..........…….16
2.1 The accelerator model for the SIR……………………………………………...16
2.2 Momentum compaction factor…………………………………………………17
2.3 Dispersion function…………………………………………………………….18
2.4 Transition gamma………………………………………………………………19
2.5 Slip factor………………………………………………………………………19
2.6 Beam optics for hard-edge model of SIR………………………………………20
2.7 Negative mass instability (microwave instability)……………………………..27
2.8 Microwave instability in the isochronous regime………………………………28
2.9 Landau damping………………………………………………………………..29
2.10 Coherent and incoherent motions……………………………………………30

Chapter 3: STUDY OF LONGITUDINAL SPACE CHARGE IMPEDANCES..…………………………………………………………….. 31
3.1
3.2
3.3
3.4

Introduction…………………………………………………………………….31
A summary of the existing LSC field models………………………………….33
Review of analytical methods for derivation of the LSC fields………………..33
LSC impedances of a rectangular beam inside a rectangular chamber and
between parallel plates………………………………………………………….34
3.4.1 Field model of a rectangular beam inside a rectangular chamber………35
3.4.2 Calculation of the space charge potentials and fields…………………….37
3.4.3 LSC impedances…………………………………………………………41
viii

 

3.4.4 Case studies of the LSC impedances……………………………..…….44
3.4.5 Conclusions for the rectangular beam model…….……………..………53
3.5 LSC impedances of a round beam inside a rectangular chamber and between
parallel plates.……………………………………………………………...53
3.5.1 A round beam in free space………………………………………………55
3.5.2 A line charge in free space……………………………………………….55
3.5.3 A line charge between parallel plates……………………………………57
3.5.4 A line charge inside a rectangular chamber……………………………...61
3.5.5 Approximate LSC impedances of a round beam between parallel plates
and inside a rectangular chamber………………………………………..62
3.5.6 Summary of some LSC impedances formulae…………………………..64
3.5.6.1 A round beam inside a round chamber………………………….64
3.5.6.2 A round beam inside a rectangular chamber in the longwavelength limits…………………………………………..66
3.5.6.3 A round beam between parallel plates in the long-wavelength
limits…………………………………………………………….66
3.5.7 Case study and comparisons of LSC impedances……………………….67
3.5.8 Conclusions for the model of a round beam inside rectangular chamber
(between parallel plates)…….…………………………………………..76

Chapter 4: MICROWAVE INSTABILITY AND LANDAU DAMPING
EFFECTS................……………………………………………….………………78
4.1 Introduction…………………………………………………………………….78
4.2 2D dispersion relation…………………………………………………………..80
4.2.1 A brief review of the 1D growth rates formula……..…..…………..80
4.2.2 Limitations of 1D growth rates formula……..……….……………….82
4.2.3 Space-charge modified tunes and transition gammas in the isochronous
regime……………………………………………………………………85
4.2.4 2D dispersion relation……………………………………………………86
4.2.4.1 Review of the 2D dispersion relation for CSR instability of
ultra-relativistic electron beams in non-isochronous regime…...87
4.2.4.2 2D dispersion relation for microwave instability of low energy
beam in isochronous regime…………………………………..91
4.3 Landau damping effects in isochronous ring…………………………………...94
4.3.1 Space-charge modified coherent slip factors………………………….94
4.3.2 Exponential suppression factor………………………………………..97
4.3.3 Relations between the 1D growth rates formula and 2D dispersion
relation ……………….………………………………………………..…99
4.4 Simulation study of the microwave instability in SIR……………………….100
4.4.1 Simulated growth rates of microwave instability………………………100
4.4.2 Growth rates of instability with variable beam intensities……………..107
4.4.3 Growth rates of instability with variable beam emittance……………...108
4.4.4 Growth rates of instability with variable beam energy spread…………109
4.4.5 Possible reasons for the discrepancies between simulations and theory
in the short-wavelength limits…………………………………………..110
4.5 Conclusions……………………………………………………………………113
ix
 

Chapter 5: DESIGN AND TEST OF ENERGY ANALYZER...............114
5.1 Introduction……………………………………………………………………114
5.2 Working principles and design considerations of the RFA……………………114
5.3 Design requirements for the SIR energy analyzer…………………………….119
5.4 A brief introduction to the UMER analyzer…………………………………...120
5.5 Design of the SIR energy analyzer……………………………………………123
5.6 Experimental test of the SIR energy analyzer………………………………...130
5.7 Conclusions……………………………………………………………………132

Chapter 6: NONLINEAR BEAM DYNAMICS OF SIR BEAM ….…133
6.1 Introduction……………………………………………………………………133
6.2 Measurement of the energy spread……………………………………………133
6.2.1 Energy spread measurement system……………………………………134
6.2.2 Data analysis of the energy spread……………………………………..137
6.2.3 Measurement results and comparisons with simulation………………..139
6.3 Corotation of cluster pair in the ×
field………………………………...145
6.4 Binary merging of 2D short bunches………………………………………….150
6.5 Conclusions……………………………………………………………………155

Chapter 7: CONCLUSIONS AND FUTURE WORKS….………………156
7.1 Conclusions……………………………………………………………………156
7.2 Future works…………………………………………………………………..157

APPENDICES……………………………………………………………………159
APPENDIX A : FORMALISM OF THE STANDARD TRANSFER MATRIX
FOR SIR………………………………………………………..160
APPENDIX B : TRANSFER MATRIX USED IN CHAPTER 4 AND REF.
[42]…………………………………………………………..….172

BIBLIOGRAPHY…………………………………………………………………179

x
 

LIST OF TABLES

Table 1.1 Main parameters of SIR………………………..……………………………….9
Table 2.1 Parameters of SIR (hard-edge model)…………………..……………………..21
Table 5.1 Design parameters of the SIR Energy Analyzer…………..………………….119
Table 5.2 Comparisons between the UMER (2nd generation) and SIR Analyzers……...125

xi
 

LIST OF FIGURES

Figure 1.1 A photograph of the SIR with some key elements indicated……………….8
Figure 1.2 Longitudinal bunch profiles measured by the fast Faraday cup right after
injection (turn 0), at turn 10 and turn 20. The current profiles measured at
turn 10 and turn 20 are shifted vertically by 0.3 and 0.6, respectively [15]...11
Figure 1.3 Simulation results of the beam dynamics in SIR for three different peak
densities: 5 A, 10 A, and 20 A [13]………..……….…………..……….11
Figure 2.1 A simplified accelerator model for the SIR, in which x, y, and z denote the
radial, vertical and longitudinal coordinates of the charged particle with
respect to the reference particle O. (The figure is reproduced from Ref.
[20])….……………………………………………………………………..16
Figure 2.2 Layout of the SIR lattice…………………………………………………....21
Figure 2.3 The optical functions v.s distance of a single period of the ring. The black
rectangle schematically shows one of the dipole magnets. The legend items
‘BETX’, ‘BETY’, and ‘DX’ stand for the horizontal beta function bx(s),
vertical beta function by(s), and horizontal dispersion function Dx(s),
respectively. (Note: The figure is reproduced from Ref. [12])…..................22
Figure 2.4 Mechanism of negative mass instability or microwave instability (The figure
is reproduced from Ref. [8])……………………………………………….27
Figure 2.5 Schematic drawing of beam centroid wiggling and the associated coherent
space charge fields (The figure is reproduced from Ref. [15])………29
Figure 3.1 A rectangular beam inside a rectangular chamber……………….…………35
Figure 3.2 Comparisons of the on-axis and average LSC impedances between the
theoretical calculations and numerical simulations for a beam model of
square cross-section inside rectangular chamber with w = 5.7 cm, h =2.4 cm,
a = b = 0.5 cm………....................................................................................47
Figure 3.3 Comparisons of the LSC impedances between the square and round models
(w=h =rw =3.0 cm, a=b=r0 =0.5 cm)………………………………………..47
Figure 3.4 Simulated LSC impedances of the square and round beam models in a square
chamber (w = h =3.0 cm, a = b = r0 = 0.5 cm), respectively……………….48
Figure 3.5 Simulated LSC impedances of a round beam inside square and round
chambers (w = h = rw = 3.0 cm, r0 = 0.5 cm), respectively………………...49
xii
 

Figure 3.6 LSC impedances of rectangular beam model with different half widths a
inside a rectangular chamber (w = 5.7 cm, h = 2.4 cm, a is variable, b = 0.5
cm)………………………………………………………………………….50
Figure 3.7 LSC impedances of a rectangular beam model with different half heights b
inside rectangular chamber (w = 5.7 cm, h = 2.4 cm, a = 0.5 cm, b is
variable)……………..……………………………………………………...51
Figure 3.8 LSC impedances of square beam model inside rectangular chamber (w = 5.7
cm, h is variable, a = b = 0.5 cm)…………………………..………………51
Figure 3.9 LSC impedances of a square beam model inside a rectangular chamber (w is
variable, h = 2.4 cm, a = b = 0.5 cm)…………………………………..…...52
Figure 3.10 A line charge with sinusoidal density modulations between parallel
plates…………… ….………………………………………………………57
Figure 3.11 Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=0.5 cm under different boundary conditions and in different
||
is the modulus of
wavelength limits. l is the perturbation wavelength,
,
LSC impedance. In the legend, ‘Free space’, ‘Round chamber’, and ‘Parallel
plates’ are boundary conditions; ‘LW limits’ stands for the long-wavelength
limits; ‘(approximation)’ and ‘(simulation)’ stand for the theoretical
approximation and simulation (FEM) methods, respectively………………67
Figure 3.12 Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=1.0 cm under different boundary conditions and in different
wavelength limits…………………………………………………………...68
Figure 3.13 Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=1.5 cm under different boundary conditions and in different
wavelength limits…………..……………………………………………….68
Figure 3.14 Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=2.0 cm under different boundary conditions and in different
wavelength limits…..……………………………………………………….69
Figure 3.15 Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=0.5 cm under different boundary conditions and in different
wavelength limits. In the legend, ‘Free space’, ‘Round chamber’, and ‘Rect.
chamber’ are boundary conditions, where ‘Rect.’ is the abbreviation for
‘Rectangular’; The other symbols and abbreviations are the same as those in
Figure 3.11…………………………………………………..……………..72
Figure 3.16 Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=1.0 cm under different boundary conditions and in different
wavelength limits…………………………………………………………...72
xiii
 

Figure 3.17 Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=1.5 cm under different boundary conditions and in different
wavelength limits……………...…………..……………………………….73
Figure 3.18 Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0 =2.0 cm under different boundary conditions and in different
wavelength limits…………………………………………………………..73
Figure 3.19 Comparisons of the average LSC impedances between the round beam and
square beam for a parallel plate field model. For a round beam, r0 is the beam
radius; for a square beam, r0 is the half length of the side. The square beam
model underestimates the LSC impedances………………………………..74
Figure 3.20 Comparisons of the average LSC impedances of a round beam between
parallel plates and a round beam inside a round chamber. The round chamber
model underestimates the LSC impedances at larger l……………………74
Figure 4.1 Slip factors for I0 = 1.0 mA at s=C0 and s=10C0……………………..……96
Figure 4.2 Slip factors for I0 = 10 mA at s=C0 and s=10C0……………….….………96
Figure 4.3 The E.S.F. at  = C0 for a 1.0 mA, 19.9 keV SIR beam. (a) E = 0, and
variable emittance. (b) x,0= 50π mm mrad, and variable E……………...98
Figure 4.4 The E.S.F. at  = 10C0 for a 1.0 mA, 19.9 keV SIR beam. (a) E=0, and
variable emittance. (b) x,0= 50π mm mrad, and variable E……………..98
Figure 4.5 (a) Beam profiles and (b) line density spectrum at turn 0….…………….102
Figure 4.6 (a) Beam profiles and (b) line density spectrum at turn 60………………103
Figure 4.7 (a) Beam profiles and (b) line density spectrum at turn 100……………..103
Figure 4.8 Evolutions of harmonic amplitudes of the normalized line charge
densities……………………………………………..……………………..104
Figure 4.9 Curve fitting results for the growth rates of the normalized line charge
densities for a single run of CYCO. (a) λ = 0.25 cm; (b) λ = 0.5 cm; (c) λ =
1.0 cm; (d) λ = 2.0 cm; (e) λ = 2.857 cm; (f) λ = 5.0 cm………………...104
Figure 4.10 Comparison of the instability growth rates between theory and simulations
for five runs of CYCO……………………………………………………..106
Figure 4.11 Comparisons between the simulated and theoretical normalized instability
growth rates for different beam intensities………………………………108
Figure 4.12 Comparisons of microwave instability growth rates between theory and
simulations for variable initial emittance………………………………..109
xiv
 

Figure 4.13 Comparisons of microwave instability growth rates between theory and
simulations for variable uncorrelated RMS energy spread……………...110
Figure 5.1 Schematic of a basic parallel-plate RFA. (b) Ideal I-V characteristic curve
with V2=V0 for monoenergetic particles (c) Usual I-V characteristic cutoff
curve. The slope between V =V0-DV and V=V0 is due to the trajectory effect.
The effect of secondary electron emission is shown in the dotted curve. (Note:
the figure is reproduced from Ref. [48])… ………………………..……115
Figure 5.2 Comparison of the measured energy spectra for electron beamlet with two
different currents inside the analyzer. Curve I is for the current of 0.2 mA, the
RMS energy spread is 2.2 eV; Curve II is for the current of 2.6 mA, the RMS
energy spread is 3.2 eV. (Note: the figure is cited from Ref. [50])……....118
Figure 5.3 A Schematic of the Measurement Box.‘Phos. Screen’, ‘E. A’ and ‘Med. Plane’
stand for the ‘Phosphor Screen’, ‘Energy Analyzer’ and ‘Median Plane’,
respectively…………………………………………………………….. .119
Figure 5.4 A schematic of the SIR energy analyzer with a horizontally (radially)
expanded beam. The beam (green oval) is moving towards the analyzer (into
the paper). The analyzer can scan back and forth along the ring radius. The
thin yellow rectangle in the middle of the analyzer depicts a sampled beam
slice or beamlet……………………………………………………..……120
Figure 5.5 Schematic of the 2nd generation UMER energy analyzer. (a) Field model and
simulated trajectories (left). (b) Mechanical structure (right). (Note: the
figure is cited from Ref. [51])……………………………………………..121
Figure 5.6 Schematic of the 3rd generation UMER energy analyzer. (a) Field model and
simulated trajectories (left). (b) Electronic circuit (right). (Note: the figure is
cited from Ref. [52])………………………………………………………121
Figure 5.7 The movable small mesh model (left) and simulated particle trajectories
(right).……………………………………………………………………126
Figure 5.8 Two schematics of the SIR energy analyzer and particle trajectories simulated
by SIMIOM, where the beam energy is 20.01 keV, the voltages of the
regarding mesh and suppressor are Vretarding=20 kV and Vsuppressor=-300V,
respectively………………………………………………………………127
Figure 5.9 Performance of the SIR analyzer simulated by SIMION 8.0 for a fixed
retarding potential V retarding =20 kV and variable source voltage
Vsource……………………………………………………………………..128
Figure 5.10 The photos of the SIR energy analyzer………………...………………….129
Figure 5.11 Schematic of the ARTEMIS-B Ion Source beam line. The performance test of
the SIR analyzer was carried out in the diagnostic chamber indicated by the
xv
 

red arrow……….………………………………………………………..130
Figure 5.12 Performance of the SIR energy analyzer tested at ARTEMIS-B ECR ion
source……………..…………………………………………………….....131
Figure 5.13 Performance of the SIR energy analyzer tested at SIR by DC beam……...131
Figure 6.1 Schematic of the energy spread measurement system…………..……...…134
Figure 6.2 Energy analyzer assembly including the supporting rod, flange, and motor
drive (left) and motor controller (right)………..………………………..135
Figure 6.3 Energy analyzer assembly in the SIR (left) and a side view with the
Extraction Box (right)……………………………………………………..135
Figure 6.4 Preamplifier (TENNELEC TC-171) (left) and Amplifier (TENNELEC
TC-241S) (right)………………….……………………………………. ...135
Figure 6.5 High voltage power supply (BERTAN 225) for the retarding grid (left) and
oscilloscope (LeCroy LC684DXL) (right)……………..…………………136
Figure 6.6 A sample of the energy spread analysis at turn 10. The upper graph shows the
comparison between the original and reconstructed S-V curves. The lower
graph displays the fitted Gaussian distribution of beam energy. The mean
kinetic energy, RMS and FWHM energy spreads are 10118.7 eV, 44.75 eV
and 105.2 eV, respectively…………………………………………………138
Figure 6.7 Evolutions of the radial beam density………………………..………….140
Figure 6.8 Simulated top views and slice RMS energy spread at (a) turn 4 (b) turn
30………………………………………………..........................................141
Figure 6.9 Simulated slice RMS energy spread at turns 0-8……………….…..……141
Figure 6.10 Comparisons of slice RMS energy spread between simulations and
experiments ……………………………………………………………….142
Figure 6.11 Sketch of clusters and energy analyzer…….……………………………143
Figure 6.12 Corotation of two macroparticles with Q=8ä10-14 Coulomb, E0 = 10.3 keV,
and d 0 =1.5 cm………………………..…………………………..146
Figure 6.13 Simulated distance between the two particles (left) and their corotation angle
with respect to the +z-coordinate (right) in the first corotation period. The
simulated corotation frequency wsim can be fitted from the angle-turn number
curve. The theoretical corotation frequency wthr predicted by Eq. (6.10) is
also plotted for comparison………………………………………………148
Figure 6.14 Simulated corotation frequencies of two macroparticles with different initial
xvi
 

distance d0…………………………………………………………………148
Figure 6.15 Corotation of two short bunches with tb=10 ns, I0=8.0 uA, Q=8ä10-14
Coulomb, d0=1.5 cm, and E0 = 10.3 keV………………………………...149
Figure 6.16 Simulated distance between the centroids of two short bunches (left) and
their angle with respect to the z-coordinate (right) in the first 1/4 corotation
period. The simulated corotation frequency wsim and the theoretical value wthr
predicted by Eq. (6.10) are also provided in the right graph………………150
Figure 6.17 Initial distribution of 2D bunch pair with tb=10 ns, I0=8.0 uA, Q=8ä10-14
Coulomb, E0=10.3 keV and d0=1.5 cm. The upper graph shows the top view
of the beam profile in z-x plane; the lower graph shows the side view of the
beam in z-y plane.………………………………………………………….151
Figure 6.18 Beam profiles of 2D bunch pair in the center of mass frame at turn 2……151
Figure 6.19 Beam profiles of 2D bunch pair in the center of mass frame at turn 5……152
Figure 6.20 Beam profiles of 2D bunch pair in the center of mass frame at turn 12…...152
Figure 6.21 Beam profiles of 2D bunch pair in the center of mass frame at turn 20…..153
Figure 6.22 Beam profiles of the 2D bunch pair in the center of mass frame at turn
30. …………………………………………………………………............153
Figure A.1 Schematic of a half cell of an N-fold symmetric isochronous ring. The ring
center is located at point O. r0 and r1 are the bending radii of the
on-momentum and off-momentum particles with their centers of gyration
located at points A and B, respectively. The solid line passing points P and U
depicts the titled pole face of the magnet. l and l1 are the half drift lengths
traveled by the on-momentum and off-momentum particles, respectively..164
Figure A.2 Schematic of the SIR lattice……………………………………………….167
Figure A.3 Schematic of the optics functions v.s distance S of a single period of the SIR
lattice calculated using transfer matrices…………………………………170

xvii
 

Chapter 1
INTRODUCTION
Isochronous cyclotron is an important family member of modern particle accelerators,
with a relatively compact structure and ability of being operated in continuous wave (CW)
mode. Using a fixed accelerating frequency, it can accelerate the high intensity hadron
beams to medium energy efficiently, typically ranging from several tens of MeV to
several hundred MeV. Now isochronous cyclotrons are widely used in various fields and
applications, such as research in nuclear physics, medical imaging, radiation therapy and
industry, etc.
Since the 1980’s, the successful operation of the high power Ring Cyclotron (capable
of producing a proton beam of 2.4 mA, 590 MeV with a power of 1.4 MW) at Paul
Sherrer Institute (PSI) in Switzerland has greatly inspired the cyclotron community.
Consequently, the possibility of design and operation of more powerful cyclotrons
(typically, 1 GeV, 10 mA, 10 MW) have been discussed extensively and proposed in
some new applications, such as accelerator driven subcritical reactors (ADSR),
transmutation of nuclear waste and energy production, neutrino Physics [1-5], etc. M.
Seidel provided an excellent review on cyclotrons for high intensity beams [6], their
working principles, limitations in the design and operation were briefly introduced. This
dissertation mainly discusses the microwave instability of low energy, high intensity
beams in isochronous regime induced by space charge effects which is a key issue for the
performance of high power cyclotrons.

1
 

1.1 Brief introduction to cyclotrons
The first classical cyclotron was proposed and designed by E. O. Lawrence in the early
1930s, in which charged particles move in a vertically uniform magnetic field with a
constant revolution frequency (cyclotron frequency). An electric field with fixed radio
frequency (RF), which is equal to the cyclotron frequency between two D-shaped
electrodes (the Dees), is utilized to accelerate the particles multiple times resonantly to
high energy. In order to overcome the energy limits posed by the phase slippage due to
relativistic effects and vertical focusing, in 1938, L. H. Thomas proposed the concept of
radial sector focusing isochronous cyclotron of which the radially increasing magnetic
fields provide isochronism, and the azimuthally varying magnetic fields (AVF) provide
vertical focusing (Thomas focusing). In addition, many modern isochronous cyclotrons
adopt spiral-shaped sectors which may enhance the vertical focusing further. The
accelerated beam can be extracted by some popular methods, such as resonance
extraction, stripping extraction for H- ions, etc.

1.2 Space charge effects in isochronous cyclotrons
When the beam intensity increases in isochronous cyclotrons, the collective effects of
the repulsive Coulomb force among the charged particles, which are usually termed space
charge effects, become vital factors for the highest intensity attainable in the machine.
Refs. [6-7] provide enlightening reviews and discussions regarding the space charge
effects in isochronous accelerators.
The space charge effects can be classified into two major categories: incoherent
transverse effects and coherent radial-longitudinal ones.
2
 

1.2.1 The incoherent transverse space charge field
The incoherent transverse space charge field can decrease the vertical focusing
resulting in negative incoherent tune shifts which are proportional to the beam current
and 1/23 [8], where  and  are the relativistic speed and energy factors, respectively.
Usually, in the central region of isochronous cyclotrons, the vertical focusing force
provided by the azimuthally varying magnetic fields (Thomas force) is weaker, thus a
beam of high intensity and low energy may have a large tune shift and vertical beam size.
The vertical chamber size sets the upper limits for the beam intensity. Higher injection
energy is preferred to mitigate the incoherent transverse space charge effects.

1.2.2 The coherent radial-longitudinal space charge field
Different from the incoherent transverse space charge effects which are common for all
types of accelerators, the coherent radial-longitudinal space charge effects in isochronous
cyclotrons demonstrate some characteristics that are unique in isochronous regime. The
longitudinal space charge (LSC) fields within a bunch of finite length may induce energy
spread among the charged particles. In isochronous regime, since the longitudinal motion
is frozen, particles with higher (or lower) energy must have longer (or shorter) path
lengths and larger (or smaller) gyroradii to maintain a constant revolution frequency. This
may result in the vortex motion and an S-shaped beam, the narrowed turn separation
makes clean extraction difficult. For higher power cyclotrons, considerable number of
particles hitting the extraction deflectors may cause serious beam loss, overheating and
activation of extraction device. The required low extraction loss rate is the limiting factor
for the attainable beam intensity in high power isochronous cyclotrons.
3
 

More comprehensive knowledge and deeper understanding of space charge effects are
crucial for the successful design and operation of high power isochronous cyclotrons. In
the past decades, additional extensive studies on this topic have been done through
numerical simulations, experiments and analytical models.

1.2.3 Vortex motion
Gordon is the first researcher who explained that the vortex motion in isochronous
cyclotrons originates from the space charge force

[9], which is equal to half of the

Coriolis force seen by a particle in a reference frame rotating with constant angular

frequency c in the isochronous magnetic field


 
mc  v  qEsc，

(1.1)


where m and q are the mass and charge of the particle, respectively, v is the speed of


particle in the rotating frame, and Esc is the space charge field, c is the cyclotron
frequency vector

qB
c 
.
m


(1.2)

Another half of the Coriolis force in the rotating frame cancels the centrifugal force and
Lorentz force on the particle. Cerfon [10] interpreted the vortex motion in isochronous
regime as nonlinear convection of beam density in the


 Esc  B
v
.
B2

×

velocity field
(1.3)


Since the cyclotron frequency vector c is proportional to the isochronous magnetic

field vector

as shown in Eq. (1.2), in fact, the two different interpretations of vortex
4

 

motion described in Eqs. (1.1) and (1.3) are equivalent to each other essentially. It can be
verified easily by plugging Eqs. (1.2) and (1.3) into Eq. (1.1).

1.2.4 Space charge effects and stability of short circular bunch
By using a closed set of differential equations for the second-order moments of the
phase space distribution functions, taking into account the space charge effects,
neglecting the force from the image charges and neighboring turns, Kleeven [11] proved
that a single free bunch with a circular horizontal cross-section is stationary in a AVF
isochronous cyclotron; for a beam with non-circular horizontal initial cross-section, it
will not be stable until it evolves to a circular one. This property has been verified and
utilized in the successful operation of PSI Injector II, where a buncher is used to produce
small round bunches with energy of 870 keV before they are injected into and accelerated
in the Injector II. Because the shape of short bunches can barely change during
acceleration, a large enough turn separation can be achieved at extraction energy of 72
MeV with high extraction rate (~99.98%). Cerfon [10] also verified and explained this
phenomenon by both theory and simulations as discussed in Sect. 1.2.3.

1.2.5 Space charge effects of long coasting bunch
The simulation and experimental work done by Pozdeyev and Rodriguez [12-15]
showed that, when a high intensity long bunch with initially uniform longitudinal charge
distribution is injected into the Small Isochronous Ring, it may break up into some small
clusters longitudinally after only several turns of coasting. Later those small clusters
coalesce by consecutive binary cluster merging process. The fast clustering process

5
 

observed in simulations and experiments is just the microwave instability of a
space-charge dominated beam.

1.2.6 Space charge effects between neighboring turns
For high intensity cyclotrons, the turn separation decreases at high energy.
Consequently, the space charge effects contributed from the radially neighboring turns
must be considered in the beam dynamics.
Using a 3D parallel Particle-In-Cell (PIC) simulation code OPAL-CYCL, a flavor of
the Object Oriented Parallel Accelerator Library (OPAL) framework developed by
Adelmann of PSI [17], the space charge effects between neighboring turns in the PSI 590
MeV Ring Cyclotron were simulated by Yang adopting a self-consistent algorithm [18].
The simulation results show that there is a considerable difference between single-bunch
and multi-bunch dynamics. The space charge forces contributing from the radially
neighboring turns may ‘squeeze’ the radial beam size to some extents and play a positive
role in maintaining turn separation and reducing the energy spread.
From the above information, we can see it is challenging to design and operate a high
intensity cyclotron keeping a low level of beam loss and activation. The effects of an
incoherent transverse space charge field, a coherent radial-longitudinal space charge field
and neighboring turns are crucial factors thus must be taken into account. This requires a
better understanding and manipulation of the space charge effects in isochronous regime.

1.3 CYCO and Small Isochronous Ring
Usually it is difficult to study analytically the beam dynamics with space charge in

6
 

isochronous ring due to complex boundary conditions of the accelerator, nonlinear effects
resulting from beam shape and distributions. Thus, the numerical method using
simulation codes and experimental method utilizing a real isochronous accelerator are
heavily relied upon in the research.
Since the beam dynamics of the existing simulation codes were then simplified in the
treatment of space charge effects, Pozdeyev developed a novel 3D Particle-In-Cell
simulation code named CYCO to study the beam dynamics with space charge in
isochronous regime [12]. In the simulation, at first, an initial distribution of a number of
macroparticles (typically 3 ä 105) representing the real long ion bunch (typically 40 cm
long) needs to be created either by the code with a default distribution or by users’
self-definition. Using the classical 4th order Runge-Kutta method, the code can
numerically solve the complete and self-consistent system of six equations of motion of
the charged macroparticles in a realistic 3D field map including the space charge fields.
Because of the large aspect ratio between the vacuum chamber width and height of the
storage ring, the code only includes the image charge effects in the vertical direction. The
rectangular vacuum chamber is simplified as a pair of infinitely large, ideally conducting
plates parallel to the median ring plane. The beam profiles can be output turn by turn for
post-processing and analysis.
In order to validate the simulation code CYCO and study the space charge effects in
the isochronous regime, a low energy, low beam intensity Small Isochronous Ring (SIR)
was constructed during 2001-2004 at the National Superconducting Cyclotron Laboratory
(NSCL) at Michigan State University (MSU). In addition, two graduate students
Pozdeyev and Rodriguez conducted a thesis project and the SIR has been in operation

7
 

until 2010 [12-13]. Accordin
ng to the sccaling laws, the space ccharge regim
me of the low
w
energ
gy, low inten
nsity H2+ beeam in SIR covers a laarge region in beam dyynamics. This
comp
pact acceleraator ring can
n be used to
o simulate tthe space chharge effectss of the largge
scale, high powerr isochronou
us cyclotronss such as thee PSI Injectoor II cyclotroon. Due to thhe
loosee requiremen
nts of timee resolution and beam
m power forr diagnosticc tools, goood
availaability and flexibility
f
in
n the operatiion, the SIR
R is an ideall experimenntal facility tto
study
y the space charge effectss in the isoch
hronous regiime.
Th
he Small Isochronous Riing consists of three maain parts: a m
multi-cusp H
Hydrogen ioon
sourcce, an injectiion line, and
d a storage ring
r
as show
wn in Figure 1.1. Its maiin parameterrs
are listed in Tablee 1.1.

Figure 1.1:
1 A photograph of the SIR with soome key elem
ments indicaated.

8
 

Table 1.1: Main parameters of SIR
Ring circumference
Particle species
Kinetic energy
Peak current
RMS emittance
Ring lattice
Bending radius
Dipole pole face angle
Mag. field strength
Bare horizontal tune nx
Bare vertical tune ny
Bare slip factor 0
Beam life time

6.58 m
H+, H2+, H3+, mainly use H2+
0 -30 keV
0-40 mA for H2+
Typically 2-3 mm mrad
Four 90-degree dipole magnets
0.45 m
26o
800 Gauss
1.14
1.11
~2.0 ä 10-4
~200 turns

The ion source produces three species of Hydrogen ions: H+, H2+, and H3+. An
analyzing dipole magnet under the ion source is used as a magnetic mass separator to
select the H2+ ions which are usually used in the experiments. The H2+ ion beam with
proper Courant-Snyder parameters and desired bunch length can be produced by an
electrostatic quadrupole triplet and chopper in the injection line. The storage ring has a
o

circumference of 6.58 meter. It mainly consists of four identical flat-field 90 bending
o

magnets with edge focusing. The pole faces of each magnet are rotated by 26 in order to
provide both the vertical focusing and isochronism at the same time. After being injected
to the storage ring by two fast-pulsed electrostatic inflectors (Inflector 1 and Inflector 2 in
Figure 1.1), the bunch may coast in the ring up to 200 turns. There is a Measurement Box
located in the drift line between the 2nd and 3rd bending magnets in the ring. A pair of
fast-pulsed electrostatic deflector in the Measurement Box can kick the beam either up to
a phosphor screen above the median ring plane, or down to the fast Faraday cup (FFC)
below the median ring plane. The phosphor screen and fast Faraday cup are used to
monitor the transverse and longitudinal beam profiles, respectively. We can also perform
9
 

energy spread measurements if the fast Faraday cup assembly is replaced by an energy
analyzer assembly.
A double-slit emittance measurement assembly is located in the Emittance Box of the
injection line. It is used to measure the RMS emittance in horizontal and vertical phase
space. An Einzel Lenz right under the ion source can focus the divergent beam. Together
with the electrostatic quadrupole triplet in the injection line, users can obtain the proper
Courant-Snyder parameters. A shielded Faraday cup at the end of the injection line is
used to measure the beam current when the Inflector 1 is turned off. Two pairs of
horizontal and vertical scanning wires are installed in the storage ring to monitor the
transverse beam profiles. In order to adjust the betatron tunes and isochronism, four
electrostatic quadrupoles and four gradient correctors are installed in the ring between the
bending magnets and situated in the dipole magnets, respectively.

1.4 Summaries of previous studies of beam instability in SIR
It was observed both in simulations by CYCO and experiments at SIR, a coasting long
bunch with uniform longitudinal charge density may develop a fast growth of density
modulation. The whole bunch breaks up into many small clusters in the longitudinal
direction quickly. Furthermore, the neighboring small clusters may merge together to
form bigger ones by a consecutive binary merging process. Figure 1.2 shows the
measured temporal evolutions of the longitudinal bunch profiles of a coasting beam with
the beam energy of 20.9 MeV and the peak current of 9.3 A [15]. Figure 1.3 shows the
simulation results of the beam dynamics in SIR for three different peak intensities: 5 A,
10 A, and 20 A [13].
10
 

Figurre 1.2: Long
gitudinal bu
unch profiless measured by the fastt Faraday cuup right afteer
injecttion (turn 0)), at turn 10
0 and turn 20. The curreent profiles measured aat turn 10 annd
turn 20
2 are shifted vertically by 0.3 and 0.6,
0 respectivvely [15].

Figurre 1.3: Simu
ulation results of the beam
b
dynam
mics in SIR for three ddifferent peaak
densiities: 5 A, 10
1 A, and 20
2 A [13].

11
 

In order to study the dependence of beam instability on various initial beam parameters,
Rodriguez carried out extensive simulations and experimental studies [13]. He studied the
temporal evolutions of the number of clusters by means of the cluster-counting technique.
The simulation and experimental results agreed to each other quite well. Finally, several
scaling laws of instability growth rates with respect to the various beam parameters (e.g.,
the beam current, energy, emittance and bunch length) were set up empirically. It was
found that the instability growth rates are proportional to the beam current instead of the
square root of beam current. This property contradicts the prediction by the conventional
theory of microwave instability. Rodriguez also counted the decreasing number of
clusters and fit it to an empirical exponential function of turns.
Pozdeyev explained [14-15] that the centroid wiggling of a long bunch in isochronous
ring plays an important role in the microwave instability. It may produce coherent radial
space charge fields, modify the dispersion function and coherent slip factor, raise the
working point above transition and enhance the negative mass instability. Plugging the
modified coherent slip factor into the conventional 1D formula for microwave instability
growth rates, Pozdeyev derived an instability formula which can predict the linear
dependence of instability growth rates on beam current. While this model overestimates
the growth rate of short-wavelength perturbations. Later, Bi [16] proposed another model
consisting of a round perturbed beam inside a round chamber. This model takes into
account the effect of centroid offsets on transition gamma. Bi derived a 1D dispersion
relation that can predict the fastest-growing mode and explain the various scaling laws.
But this model is not consistent with the scaling laws on beam current, since the DC
current component is neglected in calculating the coherent radial space charge field.

12
 

1.5 Major research results and conclusions in this dissertation
In spite of the pioneering work done by Pozdeyev, Rodriguez and Bi [12-16], some
central questions still remain in regard to the more accurate, comprehensive and deeper
understanding of the microwave instability in isochronous regime. For example,
(a) None of Pozdeyev [14-15] and Bi’s theoretical models [16] utilized the longitudinal
space charge (LSC) field and impedance models that exactly match the geometries of the
real beam-chamber system and can work at any perturbation wavelengths. The validity of
their LSC field and impedance models needs to be verified. It is highly desirable for the
beam physicists to obtain the analytical LSC impedances for a round beam with
sinusoidal density modulations inside a rectangular chamber, or between parallel plates
(e.g., in CYCO). Moreover, the derived LSC impedances should be accurate enough at
any perturbation wavelengths.
(b) Is the 1D growth rate formula or dispersion relation adopted by Pozdeyev [14-15]
and Bi [16] accurate enough to predict the instability growth rates at any wavelengths?
How do the energy spread and emittance neglected in their models affect the instability
growth rates? How to introduce the well-known Landau damping effects in the
isochronous regime?
(c) How does the energy spread of clusters evolve? What is the asymptotic behavior of
the energy spread and why? How and why the cluster pair merge?
This dissertation primarily discusses and answers the above questions. To predict the
microwave instability growth rates more accurately, this dissertation
(1) derives the analytical LSC impedances of a rectangular and round beam inside a
rectangular chamber and between parallel plates;
13
 

(2) derives a 2D dispersion relation incorporating the Landau damping effects
contributed from finite energy spread and emittance. It can explain the suppression of
microwave instability growth rates at short perturbation wavelengths and predict the
fastest-growing wavelength;
(3) studies the evolution of energy spread of SIR bunch by both simulation and
experimental methods. We have designed a compact rectangular electrostatic retarding
field analyzer [19] with a large entrance slit. The simulation and experimental studies of
energy spread evolution of a long coasting bunch show that the slice RMS energy spread
of clusters changes slowly at large turn numbers. This may result from nonlinear
advection of the beam in the

×

velocity field [10].

1.6 Brief introduction to contents of the following chapters
Chapter 2 gives a brief introduction to some most important concepts and dynamics
regarding the isochronous ring, including the momentum compaction factor, dispersion
function, slip factor, beam optics of SIR lattice (hard-edge model), microwave instability,
Landau damping, etc.
Chapter 3 derives the analytical LSC fields and impedances of (a) a rectangular beam
and (b) a round beam with planar and rectangular boundary conditions, respectively. The
derived LSC impedances match well with the numerical simulations. We study the effects
of the cross-sectional geometries of both the beam and chambers on the LSC impedances.
Chapter 4 discusses the Landau damping effects of a coasting long bunch in the SIR.
The limits of the conventional 1D formalisms used in the existing models are pointed out;
a modified 2D dispersion relation suitable for the beam dynamics in the isochronous

14
 

regime is derived, by which the Landau damping effects are studied. It can explain the
suppression of instability growth and predict the fastest-growing wavelength.
Chapter 5 introduces the working principles, simulation design, and mechanical
structure of a rectangular retarding field energy analyzer with large entrance slit. The
dissertation provides the tested performance and sensitivity of the analyzer.
Chapter 6 is devoted to studying the nonlinear beam dynamics of the microwave
instability, including (a) energy spread measurements and simulations. First, this chapter
gives a brief introduction to the measurement system, and then the measurement and data
analysis methods. The simulation and experimental results are compared with each other;
their physical meaning is interpreted by simple analysis. (b) verification of Cerfon’s
theory [10] on the vortex motion in

×

field by two-macroparticle model and

two-bunch model.
Chapter 7 summarizes the main research results addressed in this dissertation and
points out some possible research directions in the future.

15
 

Ch
hapter 2
BAS
SIC CON
NCEPTS AND BE
EAM DY
YNAMIC
CS
Forr the conven
nience of fu
urther discusssions on miicrowave insstability in tthe followinng
chaptters, this ch
hapter briefly
y summarizzes some baasic but impportant conccepts that arre
essen
ntial in underrstanding thee unique beaam dynamicss in the isochhronous regiime.

2.1 The
T accellerator model for the
t SIR
In this
t dissertaation, the sam
me accelerattor model ass the one useed in Ref. [220] is adopteed
for th
he SIR. Fig
gure 2.1 sho
ows the sch
hematic view
w of the cooordinate syystem for thhe
accelerator modeel.

Figurre 2.1: A sim
mplified acccelerator model for the S
SIR, in whicch x, y, andd z denote thhe
radiall, vertical an
nd longitudiinal coordin
nates of the charged parrticle with rrespect to thhe
refereence particlee O. (Note: th
he figure is reproduced
r
ffrom Ref. [220]).
Thee SIR is assu
umed to be an
a ideal circu
ular storage ring with a ccircumference of C0=2pR,
where R is the av
verage ring radius.
r
A beaam is coastinng in the rinng. Assume a hypotheticaal
refereence particlee O within th
he bunch circulates alongg the designn orbit turn aafter turn witth

16 

the exact design energy E  mH  c 2 , where g is the relativistic energy factor of the
2

on-momentum particle, mH  is the rest mass of the Hydrogen molecular ion H 2 , c is the
2

speed of light. The reference particle has a velocity of v=bc, where b is the relativistic
speed factor. The distance traveled by the reference particle with respect to a fixed point
of the storage ring is s=vt=bct. For an arbitrary particle in the bunch, x, y, and z denote its
radial, vertical and longitudinal coordinates with respect to the reference particle O,
respectively. Then the motion of an arbitrary particle can be described by a
six-component vector (x, x£, y, y£, z, d) in phase space, where x£=dx/ds, and y£=dy/ds are
the radial and vertical velocity slopes relative to the ideal orbit, d=Dp/p is the fractional
momentum deviation. For a coasting SIR beam, we can choose a hypothetical
on-momentum particle at the bunch center as the reference particle. For those
off-momentum particles in a circular accelerator, there are three important parameters
describing their motions: momentum compaction factor a, dispersion function D(s) and
phase slip factor h.

2.2 Momentum compaction factor
In a circular accelerator, the particles of different energy circulate around different
closed orbits resulting in different path length C and different equilibrium radius. In beam
dynamics, the ratio between the fractional path length deviation DC/C0 (or fractional
equilibrium radius deviation DR/R) and the fractional momentum deviation d=Dp/p is
customarily defined as the momentum compaction factor:



C / C0 R / R

.
p / p
p / p

17 

(2.1)

It is a measure for the change in equilibrium radius due to the change in momentum.

2.3 Dispersion function
The off-momentum particles with d=Dp/p may have different closed (equilibrium)
orbits from that of the on-momentum reference particle, yielding a horizontal (radial)
displacement x(s) in x-coordinate. Then the periodic dispersion function in a circular
accelerator is defined as

D( s ) 

x( s)



.

(2.2)

Both the momentum compaction factor a and the periodic dispersion function D(s)
reflect the radial-longitudinal coupling of circular accelerators, which is an intrinsic
property of the circular accelerators resulting from the guiding magnetic fields. Moreover,

a and D(s) are related to each other by (Eq. (3.136) of Ref. [21])


D( s)
1 D( s)
ds  
,

C0  ( s )
 (s)

(2.3)

where r(s) is the local radius of the curvature of trajectory, ‚ÿÿÿÚ stands for the average
value over the accelerator circumference. Let us assume all the bending magnets in the
storage ring are identical to each other with bending radius r0. Since a straight section has
a bending radius of r(s)=¶, only the dispersion function in the bending magnets
contributes to a, then Eq. (2.3) can be written as



1
C0  0



bend

D ( s ) ds.

(2.4)

If the total length of bending magnets is Lbend=2pr0, the average value of dispersion
function in the bending magnet is

18 

 D ( s )  bend 

1
20



bend

D ( s )ds.

(2.5)

Then Eq. (2.4) reduces to



20  D ( s ) bend  D ( s ) bend

.
C0  0
R

(2.6)

where R=C0/2p is the average ring radius.

2.4 Transition gamma
The transition gamma gt in circular accelerators is defined as

 t2 

p / p
.
R / R

(2.7)

It is easy to learn from Eq. (2.1) and Eq. (2.7) that



1

 t2

.

(2.8)

The total energy of a particle with transition gamma is just the transition energy which is
equal to Et   t mc 2 .

2.5 Slip factor
The revolution period of a particle is T  2R / c , the fractional deviations of the
relativistic speed and momentum are related by  /    /  2 , then with Eq. (2.7),
T
 R 
1
1


 ( 2  2 )   ,
T0
0
R

t 

(2.9)

where T0 and w0 are the revolution period and angular revolution frequency of the
on-momentum reference particles, respectively, h is the phase slip factor defined as

19 



1



2
t



1



2

 -

1

2

(2.10)

.
-4

For the SIR, the bare slip factor without the space charge effect is h0º2ä10 .
The revolution time and frequency of an off-momentum particle is determined by its
changes in both velocity and path length. A particle with higher energy (d>0) has a faster
velocity and travels along a longer path length compared with the on-momentum
reference particle (d=0). For the case of g<gt, below the transition, h<0, the faster speed
of the higher energy particle (d>0) may compensate for the longer path, this will result in
a shorter revolution period (DT<0 in Eq. (2.9)) or higher revolution frequency (Dw>0 in
Eq. (2.9)) compared with the on-momentum reference particle. While for the case of g>gt,
above the transition, h>0, the increase of path length of the higher energy particle (d>0)
may dominate over the increase of velocity. This will result in a longer revolution period
(DT>0 in Eq. (2.9)) or lower revolution frequency (Dw<0 in Eq. (2.9)) compared with the
on-momentum reference particle.
At transition, g=gt, h=0, the revolution period (or frequency) of the particle is
independent of its energy (or momentum). For a coasting bunch, if the space charge
effects among the particles are excluded, all the particles with different energy will
circulate along the accelerator rigidly with the same period (or frequency). This is the
isochronous regime, in which the Small Isochronous Ring (SIR) is designed to be
operated. Unfortunately, this is a regime which is most vulnerable to the perturbations
and prone to beam instability for a space-charge dominated beam.

2.6 Beam optics for hard-edge model of SIR
Figure 2.2 depicts the layout of the SIR lattice. In consists of four 90-degree bending
20 

magn
nets (B1-B4)) connected by
b four straiight drift secctions (S1-S
S4). The polee face of eacch
bendiing magnet is
i rotated by
y an angle j for
f isochronnism and verttical focusinng.

Fig
gure 2.2: Lay
yout of the S
SIR lattice.

Table 2.1: Parameters of SIR (haard-edge moodel)
Number off magnets N
4
Rotationn angle of poole face j 225.159o
Bending
g radius r0
0.45 m
Horrizontal tunee nx
1.14
Drift length
l
L
0.79714 m
V
Vertical tune ny
1.17

Tab
ble 2.1 lists the main parrameters of the
t hard-edgge model of the SIR lattiice [12]. Herre
the teerm ‘hard–ed
dge’ means all
a the fringee magnetic fiields are negglected.
Fig
gure 2.3 sho
ows the simu
ulated opticaal functions

( ),

s of a single perio
od of the ring
g calculated by code DIM
MAD.

21 

( ), and Dx(ss) v.s distancce

Figurre 2.3: The optical funcctions v.s disstance of a single periood of the rinng. The blacck
rectan
ngle schemaatically show
ws one of the
t dipole m
magnets. Thhe legend iteems ‘BETX
X’,
‘BET
TY’, and ‘DX’ stand forr the horizo
ontal beta fuunction
( ), vertical beta functioon
( ),
) and horiizontal disp
persion funcction Dx(s), respectivelyy. (Note: T
The figure is
repro
oduced from Ref. [12]).
Th
he design of SIR by the hard-edge
h
model
m
is baseed on the asssumption: all the particlees
in a bunch with
h different energy
e
deviaations travell along theiir individuaal equilibrium
m
(closeed) orbits with
w
the sam
me nominall revolutionn period T0. These partticles do noot
perfo
orm betatron
n oscillationss. Let us asssume a nonn-relativisticc particle wiith a positivve
fractiional momen
ntum deviatiion d=Dp/p>
>0 travels allong its equiilibrium orbbit as indicteed
by th
he red dashed
d line in Fig
gure 2.2. In order
o
to obtaain isochronnism, in one period of thhe
ring, the followin
ng equality should hold

L  P L1  P1

v
v1

(2.111)

where L, P are the
t straight and curved path lengthh of the on--momentum particle witth
veloccity v, resp
pectively. L1, P1 and v1 are thee corresponnding quanttities of thhe
off-m
momentum particle. Eq. (2.11)
(
dictatees the rotatioon angle of ppole face [122]
22 

tan( ) 

L/2
.
L/2
0 

tan( )
4

(2.12)

By smooth approximation, the design orbit of SIR lattice can be treated as an ideal
circle with average radius R as indicated by the blue dashed circle in Figure 2.2.
Neglecting the vertical motion, the Hamiltonian of a single particle coasting in SIR
without space charge field and applied electric field is

2
x 2 k x x 2 x
H

  2,
2
2
R
2

(2.13)

where kx is the radial (horizontal) focusing strength. According to the Hamiltonian
mechanics,

dx H
,

ds x

dx 
H

,
ds
x

dz H

,
ds 

d
H

,
ds
z

(2.14)

the equations of motion of a single particle are

dx
 x ,
ds

dx'

 k x x  ,
ds
R

(2.15)

dz
x 
  2,
ds
R 

d
 0.
ds

(2.16)

Radial (horizontal):

Longitudinal:

The two radial equations of motion in Eq. (2.15) can also be combined as
d 2x

 k x x  .
2
ds
R
Using smooth approximation, k x 

 x2
R2

(2.17)

, where nx is the radial (horizontal) betatron tune,

Eq. (2.17) can be rewritten as
d 2 x  x2

 2 x .
2
R
ds
R

23 

(2.18)

Its general solution is
x ( s )  A cos(

x( s)  - A

x
R


vx
R
s )  B sin( x s )  2  ,
R
R
x

(2.19)

vx


s)  B x cos( x s),
R
R
R

(2.20)

sin(

where the coefficients A and B depend on the initial conditions of the particle.
In smooth approximation, the dispersion function is D(s)=R/nx2, the motion of an
off-momentum particle travelling along the equilibrium orbit can be analyzed
conveniently using the above equations. Assume at s=0, a particle’s initial radial offset,
slope and fractional momentum deviation are x(0)  D  R / x2 , x(0)  0, and   0,
respectively. From Eqs. (2.19) and (2.20), it is easy to obtain A=B=0, then the radial
equation of motion is simplified as
R

x( s ) 

 x2

(2.21)

.

Substituting Eq. (2.21) into Eq. (2.16), the longitudinal equation of motion becomes



dz
 2  2.
ds
x 

(2.22)

The longitudinal coordinate z(s) can be solved by integration as
z ( s )  z ( 0) - (

1



2
x

-

1

2

)s.

(2.23)

The one-turn slip factor at s=0 can be calculated as



1 z (C0 )  z (0) 1
1
 2  2.
C0

x 

(2.24)

Note that for an isochronous ring, the term 1 / x2 in Eq. (2.24) should be replaced by

24 

1 /  t2 , where gt is the transition gamma defined in Eq. (2.7). Then the slip factor in Eq.

(2.24) becomes
1



t



2

1

2

 0 ,

(2.25)

where h0 is the bare slip factor.
The slip factor in Eq. (2.25) is derived for an off-momentum particle without betatron
oscillation. Here comes a question, if a particle performs radial (horizontal) betatron
oscillation around its equilibrium orbit, how does the slip factor change? Let us study the
motion of a particle with the initial condition of x(0)  0, x(0)  0, and   0. The
particle will perform betatron oscillation around its equilibrium orbit with radial offset
xeq  D 

R

 x2

. From Eqs. (2.19) and (2.20), the radial equation of motion is solved as

x( s) 

R



2
x

x

[1  cos(

R

s )],

(2.26)

which yields the longitudinal equation of motion


dz


  2 [1  cos( x s)]  2 .
ds
R
x


(2.27)

Then the longitudinal coordinate z(s) is obtained by integration as
z ( s )  z0 - (

1



2
x

-

1



2

)s 

R



3
x

x

sin(

R

s ),

(2.28)

The last term in Eq. (2.28) is an oscillatory function of s. The 1-turn slip factor at s=0 is

1 turn (0)  

1 z (C0 )  z (0)
1
1
1
（ 2  2 ）
sin( 2 x ).
C0

x 
2 x3

(2.29)

Replacing the term 1 / vx2 by 1 /  t2 , then the 1-turn slip factor at s=0 in Eq. (2.29) for

25 

the isochronous ring becomes

1 turn (0) （

1



2
t



1



2

）

1
2 x3

sin( 2 x ).

(2.30)

The comparison between Eqs. (2.25) and (2.30) indicates that, for an off-momentum
particle performing betatron oscillation around its equilibrium orbit, there is an extra term


1
2 x3

sin( 2 x ) in the slip factor. A similar extra term also appears in the 2D dispersion

relation Eq. (4.41) derived in Chapter 4. For the hard-edge model of SIR lattice, the two
terms in Eq. (2.30) are
1



2
t



1



2

  0  0，

and

-

1
2 x3

sin( 2 x )  -0.083,

(2.31)

respectively. Then the total slip factor taking into account betatron oscillation effect
becomes negative (below transition). Note that in the conventional definitions of the
momentum compaction factor a and slip factor h, the effects of betatron oscillation are all
neglected. For conventional circular accelerators whose working points are far from
transition, the extra term in the new slip factor can be neglected. While in the isochronous
ring, due to smallness of the bare slip factor h0, this extra term should be taken into
account in the instability analysis. The above discussions show that the betatron
oscillation may destroy the isochronism.
Assume an on-momentum particle coasts along the design trajectory of SIR with
x( s )  0，x( s )  0， ( s )  0. The particle may maintain its isochronous motion for ever

if there are no external perturbing forces. At a given position s1, for some reasons (e.g.,
LSC field, RF electric field), the particle receives a sudden longitudinal kick, so that x(s1)
and x£(s1) are not changed but  ( s1 )  0. Then according to the above analysis, the
26 

particcle will perfo
orm betatron
n oscillation and lose its isochronism
m.
Wee can see thaat, even if in
n an ideal iso
ochronous riing, not all tthe particless can keep thhe
isoch
hronous motiion. Only tho
ose particless whose radiial offset, raddial slope annd momentum
m
deviaation satisfy the closed orbit conditio
on can mainttain the isochhronous mottion.
Ap
ppendix A provides
p
morre studies on
n the beam optics of thhe SIR latticce (hard-edgge
modeel) using the standard maatrix formaliism.

2.7 Negative
N
mass
m
instab
bility (miccrowave in
nstability))

Figurre 2.4: Mech
hanism of neegative masss instability or microwaave instabilitty (The figurre
is rep
produced from Ref. [8]).
Assume at a giiven time, th
here are smaall longitudiinal charge ddensity pertuurbations in a
bunch
h circulating
g in an accelerator abov
ve transition as shown inn Figure 2.44. The chargge
densiity variation
ns will produce a self-ffield (or spaace charge ffield) directting from thhe
densiity peak regiion to the deensity valley
y region. Thee particles oon the forwaard side of thhe
densiity bump succh as P2 will see a pushin
ng force F annd gain enerrgy, while thhe particles oon
the trrailing side of
o the densiity bump succh as P1 willl see a pullling self-forcce F and losse
energ
gy. The on-m
momentum reference
r
paarticle locateed right at thhe density peak sees zerro
self-fforce and keeeps a consttant energy. The discusssion in Sectt. 2.5 tells uus that, abovve
transiition, the higher energy
y particle lik
ke P2 has a lower revollution frequeency than thhe
27 

on-momentum reference particle, while the lower energy particle like P1 has a higher
revolution frequency than the on-momentum reference particle. This may result in an
enhancement of the azimuthal density modulation amplitude. In beam instability analysis,
this self-bunching phenomenon is usually termed the negative mass instability. The term
comes from the illusion that the particles seem to move in the opposite directions from
the self-force or space charge force exerting on them. Usually the space–charge driven
negative mass instability is characterized by density perturbation wavelengths which are
much shorter than the bunch length. For this reason, it is also named microwave
instability in modern literature.

2.8 Microwave instability in the isochronous regime
The microwave instability in the isochronous regime is the main topic of this
dissertation. It demonstrates some unique features that cannot be explained by the
conventional theory of microwave instability. For example, the instability growth rate is
proportional to the unperturbed beam intensity I0 instead of the square root of I0. This
confusing phenomenon is first explained by Pozdeyev in Refs. [14-15]. He pointed out
that, in a circular accelerator, the longitudinal density modulation produces the
longitudinal space charge (LSC) field modulation and the coherent energy modulation
along the beam. In consequence, the local beam centroid wiggling takes place due to
dispersion function as shown in Figure 2.5. The coherent radial space charge field on the
local centroid is proportional to the local centroid offset, which in turn will modify the
dispersion function D, momentum compaction factor a and produce a positive increment
of the coherent slip factor Dhcoh of the local centroid. For a space-charge dominated beam,

28 

Dhcohh is proportio
onal to I0 an
nd dominatees over the vvanishingly small bare sslip factor h0.
Thereefore, the wo
orking pointt of the nomiinal isochronnous ring turrns out to bee raised abovve
transiition where the
t microwaave instabilitty may take pplace with a growth ratee proportionaal
to I0.

m centroid w
wiggling andd the associaated coherennt
Figurre 2.5: Scheematic drawiing of beam
spacee charge field
ds (The figure is reprodu
uced from R
Ref. [15]).
Pozdeyev’s theory clearly
y shows thaat the radiall-longitudinaal coupling and centroiid
wigglling play a key role in the mechanism off the microowave instaability in thhe
isoch
hronous regim
me.

2.9 Landau
L
damping
d
As discussed in
i Sects. 2.6
6 and 2.8, the
t betatron motion, thee space chaarge field annd
centroid wiggling may destrroy the isocchronism. T
Therefore, ann ideal isocchronous rinng
becom
mes a quasii-isochronou
us ring with a non-zero slip factor. For a buncch with giveen
energ
gy (or momeentum) spreaad and emitttance coastinng in a quassi-isochronous ring, therre
will be a revolu
ution frequeency spread among thee particles. The resultinng revolutioon

29 

frequency spread may tend to counteract and smear out the longitudinal self-bunching,
and then the beam instability will be prevented or suppressed. This mechanism of
instability suppression is termed Landau damping in the literature. Chapter 4 discusses
the Landau damping in the isochronous regime in detail by a 2D dispersion relation.

2.10 Coherent and incoherent motions
The terms of coherent and incoherent are used to describe the properties of a local
beam centroid and a single particle in this dissertation, respectively. The subscripts ‘coh’
and ‘inc’ are added to the corresponding parameters to tell them apart. For example, the
equations of coherent and incoherent radial motions of a SIR beam can be expressed as:
xc 

eEx ,coh
vx2
 coh
x


,
c
R2
R mH   2c 2

(2.32)

eEx,inc
vx2

x  inc 
,
2 
R
R mH   2c 2

(2.33)

2

x 

2

where nx is the bare radial betatron tune which is the number of betatron oscillations per
revolution without space charge effects; coh and inc are the coherent and incoherent
fractional momentum deviations, Ex,coh and Ex,inc are the coherent and incoherent radial
space charge fields, respectively.

30 

Chapter 3
STUDY OF LONGITUDINAL SPACE CHARGE
1
IMPEDANCES
3.1 Introduction
When a charged beam travels along a surrounding metallic vacuum chamber, the space
charge field inside the beam will perturb the beam resulting in beam instability under
some circumstances. For example, the space charge effect plays an important role in the
microwave instability of low energy beam with high intensity near or above transition
[14-16]. The space charge field is also one of the important reasons causing the
microbunching instability for free-electron lasers (FELs) [22]. An accurate calculation of
the LSC fields and impedances is helpful to explain the beam behavior and predict the
growth rates of the beam instability with a good resolution. Both the direct self-fields of
the beam and its image charge fields due to the conducting chamber wall should be taken
into account in the analysis. The image charges may reduce the LSC fields inside the
beam and the associated LSC impedances compared with a beam in free space. This is the
so-called shielding effect of the vacuum chamber.
The LSC field depends on not only the geometric configurations of the cross-sections
of the beam-chamber system, but also the distributions of the beam profiles. Therefore,
the space charge field models which are either exactly the same as or close to the real
beam-chamber system are preferred in beam instability analysis. It is also highly
                                                             
1
[1] Y. Li, L. Wang, Nuclear Instruments and Methods in Physics Research A 747, 30 (2014).
[2] Y. Li, L. Wang, Nuclear Instruments and Methods in Physics Research A 769, 44 (2015).
 

31 

desirable that the derived space charge fields and impedances are valid at any
perturbation wavelengths. The coasting SIR beam is typically a long bunch with a
roughly round cross-section; the vacuum chamber is roughly rectangular with large
aspect ratio, which can also be simplified as a pair of infinitely large parallel plates (e.g.,
in the simulation code CYCO [12]). Unfortunately, at present, there are no ready-to-use
LSC impedance formulae available for the SIR beam-chamber system in the existing
literature, which satisfy the requirements of both the geometric configuration and the
range of validity in perturbation wavelength. Beam physicists have to use other field
models to approximate the LSC fields of SIR beam instead. For example, Pozdeyev [15]
and Bi [16] use the LSC impedance formulae of a round beam in free space, and a round
beam inside a round chamber to approximate the LSC impedances of SIR beam,
respectively. The accuracies and range of validity of these models sometimes are
questionable. Hence, derivations of more accurate analytical LSC impedance formulae
for the SIR beam-chamber system become the major pursuits of this chapter.
First, this chapter summarizes the existing LSC field models and some popular
methods for analytical derivations of the LSC impedances. Second, this chapter studies
the LSC impedances of a rectangular beam with sinusoidal line charge density
modulations inside a rectangular chamber, and between a pair of parallel plates as a
limiting case. Third, based on the rectangular beam model, this chapter continues to
derive the approximate analytical LSC impedances of a round beam with sinusoidal line
density modulations under planar and rectangular boundary conditions, respectively. The
derived analytical LSC impedances are valid at any perturbation wavelength and are
consistent well with the numerical simulation results.

32 

3.2 A summary of the existing LSC field models
Various space charge field models with different cross-sections of the beam and
chamber have been investigated in existing literatures. For example, a round beam in free
space [23-26], a round beam inside a round chamber [16, 24, 25, 27, 28], a round beam
inside an elliptic chamber [29], a uniformly charged line between two parallel plates [30],
a uniformly charged round beam between two parallel plates [31], a uniformly charged
round beam inside a rectangular chamber [32], a rectangular beam inside a rectangular
chamber [33-34], a rectangular beam between parallel plates [35], a single particle
between parallel plates [36], a line charge inside rectangular chamber and between
parallel plates [37], a vertical ribbon beam between parallel plates [38], etc.
The above-mentioned models are either not for a round beam, or/and not for a
rectangular chamber (or between parallel plates), or/and not valid at any perturbation
wavelengths. To our knowledge, at present, there are no analytical LSC impedance
formulae available in modern publications for a round beam inside a straight rectangular
chamber (or between parallel plates) which are valid in the entire wavelength spectrum.

3.3 Review of analytical methods for derivation of the LSC fields
Some (not all) popular methods are used to calculate the analytical LSC fields.
(a) Faraday’s law and rectangular integration loop [21, 32]. This method is only valid in
the long-wavelength limits. When the charge density modulation wavelength l is small,
the electric fields at the off-axis field points have both normal and skew components with
respect to the beam axis. The three-dimensional (3D) effects of the electric fields become

33 

important making this method invalid.
(b) Direct integration methods. Usually the direct integration methods are only applicable
to the field models with simple charge distributions in free space. Some literatures use
this method to calculate the LSC fields assuming the gradient of the charge density d/dz
is independent of the longitudinal coordinate z and is put outside of the integral over z
(e.g., Refs. [21, 35]). In fact, this assumption is invalid for a beam with short-wavelength
density modulations (e.g., (z) = kcos(kz), where k=2p/l). Thus the results are only
valid in the long-wavelength limits too.
(c) Separation of variables. In some special cases, the exact analytical 3D space charge
fields of a beam with sinusoidal longitudinal charge density modulations can be solved by
the method of separation of variables, such as a round beam in free space and inside a
round chamber [16, 23, 27]. The 3D space charge fields solved by this method are exact
and valid in the whole spectrum of perturbation wavelengths. But this method is critical
of the configurations of the cross-sectional geometry of the beam-chamber system. Hence,
it is not applicable to all field models.
(d) Image method. According to the superposition theorem of the electric fields, the space
charge field of a beam is equal to the sum of the direct self-field in free space (open
boundary) and its image fields. If these fields can be calculated separately, it is easy to
obtain the total LSC field and impedance.

3.4 LSC impedances of a rectangular beam inside a rectangular
chamber and between parallel plates
By separation of variables technique, this section will derive the LSC impedance for a
field model consisting of a rectangular beam with sinusoidal line charge density

34 

modu
ulations und
der two boun
ndary condittions: (a) innside a rectaangular vacuuum chambeer,
and (b
b) between parallel
p
platees. The resullts are valid at any pertuurbation wavelengths.

3.4.1
1 Field mo
odel of a reectangularr beam insside a recttangular cchamber
Thee geometry of
o the cross--section of th
he field moddel is shownn in Figure 33.1. The beam
m
and the chamber are coaxial with the axees located att (w, 0). Thee full width and height oof
the in
nner boundarry of the chaamber are 2w
w and 2h, reespectively. T
The full widdth and heighht
of thee beam are 2a and 2b, respectively
y. The horizoontal beam dimension 22a is variablle
and can
c be as wid
de as the fulll chamber width
w
2w.

Fig
gure 3.1: A rectangular
r
beam
b
inside a rectangulaar chamber.
Asssume the vertical particlle distributio
on is uniform
m in the regiion of –b  y  b. For thhe
longitudinal charrge distributtions along z-axis,
z
sincee the unpertturbed chargge density 0
does not affect th
he LSC fieldss, we can neeglect this DC
C componennt.
In the lab fram
me, let us assume
a
that the line chaarge densityy and beam current havve
sinusoidal modullations along
g the longitud
dinal coordinate z, and ccan be writteen in the form
m
of pro
opagating waves
w
as

35 

( z, t )  k exp[i(kz  t )],

I ( z, t )  I k exp[i(kz  t )]，

(3.1)

respectively, where  k and I k are the amplitudes, I k   k c , β is the relativistic speed of
the beam, c is the speed of light in free space, ω is the angular frequency of the
perturbations, k is the wave number of the line charge density modulations. In order to
calculate the LSC fields inside the beam in the lab frame, first, we can calculate the
electrostatic potentials and fields in the rest frame of the beam, and then convert them
into the lab frame by Lorentz transformation.
In the rest frame, the line charge density of a beam can be simplified as
(3.2)

 ( z )   k cos( k z ),
where the symbol prime stands for the rest frame.

For general purpose, we assume there are no restrictions for the horizontal beam
distributions within the chamber. If the dependence of the perturbed volume charge
density  ( x, y, z) on x£ in the rest frame can be described by a function of G(x£), then

 k cos(k z)
G ( x)
 ( x, y, z)  
,
2b

0,

| y | b.
b | y | h.

(3.3)

where G(x£) satisfies the normalization condition of



2w

0

G ( x)dx  1,

(3.4)

and the volume charge density correlates with the line charge density
h

2w

h

0

 d y    ( x , y , z ) d x    ( z ).

(3.5)

In order to solve the Poisson equation in the Cartesian coordinate system analytically

36 

and conveniently using the method of separation of variables, the normalized horizontal
distribution function G(x£) can be written as a Fourier series. Since the charge must
vanish on the chamber side walls at x£ = 0 and x£ = 2w, we can expand G(x£) to a
sinusoidal series
G ( x) 

1 
 g n sin( n x),
2 w n1

n 

The dimensionless Fourier coefficient

(3.6)

n
.
2w

(3.7)

can be calculated by

2w

g n  2  G ( x) sin( n x) dx.

(3.8)

0

From Eq. (3.3) and Eq. (3.6), the volume charge density in the rest frame can be
expressed as

 k cos( k z) 
g n sin( n x),


 ( x, y, z)   4bw
n 1

0,

| y | b,
b | y | h.

(3.9)

3.4.2 Calculation of the space charge potentials and fields
In Region I (charge region) and Region II (charge free region), the electrostatic space
charge potentials

( ,

, ) and

( ,

, ) in the rest frame satisfy the Poisson

equation and Laplace equation, respectively. Then we have

(

k cos(kz) 
2
2
2








)

(
x
,
y
,
z
)
 gn sin(n x),
I
x2 y2 z2
4 0bw n1

37 

(3.10)

(

2
2
2


) II ( x, y, z)  0,
x2 y2 z2

(3.11)

where 0 = 8.8510-12 F/m is the permittivity in free space.
The basic components of the solutions to Eq. (3.11) and the homogeneous form of Eq.
(3.10) can be written as

h  X ( x)Y ( y) cos(k z).

(3.12)

The possible configurations of the solutions to X(x£) and Y(y£) may have the forms of

X ( x) ~ cos(n x), sin(n y) or their combinations,

(3.13)

Y ( y) ~ cosh(vn y), sinh(vn y) or their combinations,

(3.14)

and

respectively, where
2
2
vn   n  k 2 ,

n=1, 2, 3 ……

Considering the boundary conditions (a)  £ = 0,

= 0 at x£ = 0, 2w; (b)  £ = 0,

(3.15)
=0

at y£=≤h, and the potential £(x£, y£, z£) should be even functions of y£, the basic
components of solutions to Eq. (3.11) and the homogeneous form of Eq. (3.10) may have
the following forms:
In region I (charge region):

 h ,I ~ sin( n x) cosh(vn y) cos( k z),

In region II (charge free region):  h , II ~ sin( n x ) sinh[ v n (h  | y  |)] cos( k z ).
The particular solution to the inhomogeneous Eq. (3.10) can be written as

38 

(3.16)
(3.17)



i,I ( x, y, z)  cos(k z) Cn sin(n x).

(3.18)

n1

Plugging Eq. (3.18) into Eq. (3.10) and comparing the coefficients of the like terms of the
two sides gives the coefficients

Cn 

k gn
.
2
40bwvn

(3.19)

Then in region I (charge region), the field potentials in the rest frame are


 I ( x, y , z )   h , I   i, I  cos( k z )  sin( n x)[ An cosh( vn y )  C n ].

(3.20)

n 1

In region II (charge free region), the field potentials in the rest frame are


 II ( x , y , z )  cos( k z )  B n sin(  n x ) sinh[ v n ( h  | y  |)].

(3.21)

n 1

The boundary conditions between Region I and Region II are: at y£=≤b,
/

′=

/

′. Then the coefficients
An  

cosh[ vn (h  b)]
Cn ,
cosh( vn h)

and
Bn 

=

,

can be determined as
sinh(vn b)
Cn .
cosh(vn h)

(3.22)

Finally, the space charge potentials in the rest frame are
(a) In region I (charge region), 0  |y£| b,

 (x, y, z) 
I

cosh[vn (h  b)]
k cos(kz)  gn
sin(n x){1
cosh(vn y)}.

2
4 0bw n1 vn
cosh(vn h)

(3.23)

(b) In region II (charge free region), b<|y£|h,

 II ( x, y, z) 

k cos(k z)  g n sinh(vn b)
sin(n x) sinh[vn (h | y |)].

4 0bw n1 vn 2 cosh(vn h)

39 

(3.24)

For a beam with rectangular cross-section and uniform transverse charge density, the
volume charge density in the rest frame can be expressed as

 k

cos(k z),
 ( x, y, z)   4ab

0,

w  a  x  w  a,| y | b.
x  w  a, x  w  a,b | y | h.

(3.25)

Comparing Eq. (3.25) with Eq. (3.3) gives G(x£) is equal to 1/2a inside the beam and 0
outside of the beam, respectively. Then

g n 

can be calculated from Eq. (3.8) as

2
sin( n w ) sin( n a )
na

(3.26)

inside the beam and 0 outside of the beam, respectively.
According to Eq. (3.23), the LSC field inside the beam in the rest frame can be
calculated as
d(z)

g
cosh[ n (h  b)]
I (x, y, z)
Ez,I (x, y, z)  
cosh( n y)}.
  dz  n2 sin(n x){1
4 0bw n1  n
cosh( n h)
z

(3.27)

According to the theory of relativity, the relations of parameters between the rest
frame and the lab frame are
(a) The longitudinal electric field is invariant, i.e.,

(b) The wave number
(c) The coordinates

E z , I  E z , I ,

(3.28)

k  k /  ,

(3.29)

x  x ,

y  y,

z   ( z   ct ),

(3.30)

(d) The line charge density amplitude

k   k /  ,
40 

(3.31)

vn   n  k 2   n 
2

(e)

2

2

k2

2

,

(3.32)

d( z)
k
 k k sin(k z)   2k sin(kz  t ).
dz


(f)

(3.33)

If we choose exponential representation as used in Eq. (3.1), then Eq. (3.33) can also
be expressed as
d( z) 1 ( z, t )
,
 2
dz

z

(3.34)

where  is the relativistic factor. Then the LSC field in the lab frame becomes
( z, t )
Ez ,I ( x, y, z, t )   z 2
4 0bw



gn


n1

2

sin(n x){1 

n

cosh[ n (h  b)]
cosh( n y)},
cosh( n h)

(3.35)

where

g n  g n 

2
sin( n w ) sin( n a ),
na

2
2
vn  vn2   n  k 2   n 
2

k2

2

.

(3.36)

(3.37)

3.4.3 LSC impedances
The average LSC field over the cross-section of the beam at z and time t is
b

 Ez,I (z, t) 

wa

1
dy Ez, I (x, y, z, t)dx
4ab b wa

( z, t )

g
cosh[ n (h  b)]
  z 2  n2  sin(n x)  {1 
 cosh( n y ) },
4 0bw n 1  n
cosh( n h)

41 

(3.38)

where

 sin(n x) 

w a

1
1
sin(n x)dx  g n ,

2a w  a
2

(3.39)

b

1
1
 cos(vn y ) 
cosh(vn y )dy 
sinh(vnb).

2b  b
bvn

(3.40)

Finally, the average LSC fields in the beam region can be expressed as
 Ez,I (z,t)  

(z,t)
1
 (k)
,
2 rect
z
4 0bw

(3.41)

where


 rect ( k )  
n 1

gn
cosh[ n ( h  b )]
{1 
sinh( n b )}.
2
 n b cosh( n h )
2 n
2

(3.42)

The sum of the infinite series in Eq. (3.42) can be evaluated by truncating it to a finite
number of terms, as long as the sum converges well.
The average energy loss per turn of a unit charge in a storage ring due to the average
LSC field is

  Ez,I (z, t)  C0  Z0||,sc (k )Ik exp[i(kz  t)],

(3.43)

where C0 is the circumference of the storage ring, Z 0||,sc (k ) is the LSC impedance of the
rectangular beam inside the rectangular chamber. It is easy to obtain from Eqs. (3.1),
(3.41) and (3.43) that the LSC impedance (Ω) is
Z 0||,rect ,rect (k )  i

Z 0C0 k
 rect，rect (k ),
4bw 2

(3.44)

where Z0 = 377 Ω is the impedance of free space, R is the average radius of the storage

42 

ring. If the impedance is evaluated by the LSC fields on the beam axis (w, 0), since in Eq.
(3.35), sin(nx)= sin(n/2), cosh(ny)=1, then rect,rect(k) in Eq. (3.42) should be replaced
by


axis
 rect
, rect ( k )  
n 1

gn

n

2

sin(

n
cosh[ n ( h  b )]
){1 
}.
2
cosh( n h )

(3.45)

For a special case of infinite h, i.e., the rectangular chamber becomes a pair of vertical
parallel plates separated by 2w, since when hض, the limit of cosh[vn (h  b)] / cosh(vn h)
approaches cosh(vnb)  sin(vnb) , the parameter rect,rect(k) in Eq. (3.42) can be simplified
as


 rect ,vpp ( k )  
n 1

gn
cosh( n b )  sinh( vn b )
[1 
sinh( n b )].  
2
 nb
2 n
2

(3.46)

Eqs. (3.44) and (3.46) give the LSC impedances of a rectangular beam between a pair of
vertical parallel plates separated by 2w. In Eq. (3.46), if b is infinite, i.e. a rectangular
beam with infinite height between two vertical parallel plates, since the last part in the
right hand side of Eq. (3.46) becomes zero, then


2

g
 rect,vpp (k ) |b   n 2 .    
n1 2 n

(3.47)

For a special case of w, i.e., the rectangular chamber becomes a pair of horizontal
parallel plates separated by 2h, if we make exchanges a↔b, w↔h, it is easy to obtain its
impedances from Eqs. (3.44) and (3.46) that

Z0||,rect,hpp(k)  i

Z0C0k
rect,hpp(k),
4ah 2

43 

(3.48)



rect,hpp(k)  
n1

2

gn,hpp
2

2
n,hpp

[1

cosh( n,hppa)  sinh(vn,hppa)

 n,hppa

n,hpp 

where



2
n,hpp



2
n,hpp

g n , hpp 



k2

 n , hpp b

n
,
2h

,

(3.49)

(3.50)

n=1, 2, 3 ……,

(3.51)

sin( n , hpp h ) sin( n , hpp b ).

(3.52)

2

2

sinh( n,hppa)],  

Eqs. (3.48)-(3.52) give the LSC impedances of a rectangular beam between a pair of
horizontal parallel plates separated by 2h. In Eq. (3.49), if a  , i.e. a rectangular beam
with infinite width between two horizontal parallel plates, since the limit of
[cosh(vn,hppa)-sinh(vn,hppa)]sinh(vn,hpp a)/vn,hppa  0, then
2



g n ,hpp

n 1

2 n ,hpp

 rect ,hpp ( k ) |a   

2

.   

(3.53)

3.4.4 Case studies of the LSC impedances
In this subsection, we will calculate the LSC impedances of SIR beam by both
analytical formulae and numerical method.
Lanfa Wang of Stanford Linear Accelerator Center (SLAC) developed a simulation
code that can solve the Poisson equation numerically based on the Finite Element Method
(FEM) [39]. The code can be used to calculate the space charge potentials, fields and
impedances of the beam-chamber system with any configurations of the charge
distributions and boundary shapes. In the rest frame, assume the harmonic volume charge
density can be written as product of the transverse and longitudinal components
44 

 ( x, y, z)    ( x, y)( z)    ( x, y)k eik z  ,
where

   ( x, y)dxdy  1.


(3.54)

Similarly, the potential due to the harmonic charge density

is written as

( x, y, z)   ( x, y)eik z  .

(3.55)

The Poisson equation with Eqs. (3.54) and (3.55) becomes
(2  k 2 )    k

  ( x, y)
,
0

(3.56)

where 2   2 / x2   2 / y2 and   0 on the metal boundary. The potentials given
by Eq. (3.56) with arbitrary beam and chamber shapes can be solved using the FEM. The
whole domain is first divided into many small element regions (finite element). For each
element, the strong form of the Poisson equation Eq. (3.56) can be rewritten as the FEM
equation

M  k 2B  Q,

(3.57)

where
M ije 

 N i N j N i N j 
dxdy  ,







x
y
y
e

S

  x

Bie   Ni N j dx' dy ' ,
S

(3.58)

(3.59)

e

Qie 

qi

0

.

(3.60)

Here N(x£, y£) is called the shape function in FEM, by which the potentials at a field point
P(x£, y£) within an element can be interpolated by the potentials of its neighboring nodes.
N(x£, y£) is related to the coordinates of the field point P(x£, y£) and the nodes of the

45 

element region. M is the stiffness matrix with matrix element M ie, j , i and j are the node
indices of the finite element, Se is the integration boundary of the finite element, qi is the
charge at the node i, which is proportional to the harmonic line charge density amplitude
Λ . The

of Eq. (3.57) at all nodes satisfying equations Eqs. (3.57)-(3.60) and the

boundary condition

= 0 on the chamber wall can be solved numerically. Then the

total potentials in the rest frame can be calculated from Eq. (3.55), the corresponding
LSC fields and impedances in the lab frame can be calculated using the similar
procedures in Sect. 3.4.3. 
Now we can use the rectangular beam and chamber model to estimate the LSC
impedances of the coasting

beam in the Small Isochronous Ring (SIR) at Michigan

State University (MSU) [12]. The ring circumference is C0 = 6.58 m, the kinetic energy of
the beam is Ek=20 keV (  0.0046,   1.0), the cross-section of the vacuum chamber is
rectangular with w=5.7 cm, h=2.4 cm, the real beam is approximately round with radius
r0 =0.5 cm. We can use a square beam model with a=b=r0=0.5 cm to mimic the round
beam.
Figure 3.2 shows the comparisons of the on-axis and average LSC impedances of SIR
beam between the theoretical calculations and numerical simulations using a square beam
model. We can see that the theoretical and simulated impedances match quite well. Note
that the on-axis LSC impedances are higher than the averaged ones. The former may
overestimate the LSC effects. For this reason, we only plot the average LSC impedances
in Figures 3.3-3.9.

46 

14

x 10

6

On axis(theory)
On axis(simulation)
Average(theory)
Average(simulation)

12

|Z||0,sc| ( )

10
8
6
4
2
0
0

5

10

15
20
 (cm)

25

30

35

Figure 3.2: Comparisons of the on-axis and average LSC impedances between the
theoretical calculations and numerical simulations for a beam model of square
cross-section inside rectangular chamber with w = 5.7 cm, h =2.4 cm, a = b = 0.5 cm.

14

x 10

6

Round beam&chamber(theory)
Round beam&chamber(simulation)
Square beam&chamber(theory)
Square beam&chamber(simulation)

12

|Z||0,sc| ( )

10
8
6
4
2
0
0

5

10

15
20
 (cm)

25

30

35

Figure 3.3: Comparisons of the LSC impedances between the square and round models
(w=h =rw =3.0 cm, a=b=r0 =0.5 cm).
Figure 3.3 shows the comparisons of the LSC impedances between the square and
round field models. The LSC impedances of a round beam of radius r0 inside a round
chamber of radius rw can be derived from Ref. [16] as

47 

Z0||,round,round (k )  i

where

round,round (k ) 

Z0C0k



 round,round (k ),

(3.61)

 I (kr) 
1
 0
[K1 (kr0 )I 0 (krw )  K0 (krw )I1 (kr0 )],
2
(kr0 ) kr0 I 0 (krw )

(3.62)

I0(x), I1(x), K0(x), and K1(x) are the modified Bessel functions, k  k /  and

 I 0 (k r ) 

r0
1 2
2 I (k r )
d  I 0 (k r )rdr  1 0 .
2 0
0
k r0
r0

(3.63)

The parameters used in the calculations are w=h=rw =3.0 cm, a=b=r0 =0.5 cm. We can
observe that the model with square beam and chamber shapes has lower LSC impedances
compared with the round ones. At large perturbation wavelengths, the impedances of the
two field models are close to each other.

12

x 10

6

10

|Z||0,sc| ( )

8
6
4
2
0
0

Round beam inside square chamber
Square beam inside square chamber
5

10

15
20
 (cm)

25

30

35

Figure 3.4: Simulated LSC impedances of the square and round beam models in a square
chamber (w = h =3.0 cm, a = b = r0 = 0.5 cm), respectively.

48 

Figure 3.4 shows the simulated LSC impedances of the square and round H2+ beam of
20 keV inside a same square chamber. The parameters used in the calculations are w=h
=3.0 cm, a=b=r0 =0.5 cm. We can observe that the square beam has relatively lower LSC
impedances than the round beam. The difference of impedances is caused by the different
beam shapes. At large perturbation wavelengths, the LSC impedances of the two field
models are close to each other.

12

x 10

6

10

|Z||0,sc| ( )

8
6
4
2
0
0

Round beam inside square chamber
Round beam inside round chamber
5

10

15
20
 (cm)

25

30

35

Figure 3.5: Simulated LSC impedances of a round beam inside square and round
chambers (w = h = rw = 3.0 cm, r0 = 0.5 cm), respectively.
Figure 3.5 shows the simulated LSC impedances of a round

beam of 20 keV inside

the round and square chambers, respectively. The parameters used in the calculations are
w=h=rw=3.0 cm, r0 =0.5 cm. We can observe that the two curves are close to each other,
and the square chamber model has relatively higher LSC impedances than the round
chamber model. The reason for this tiny difference is that the four corners of the square
chamber are relatively farther away from the beam axis compared with a round chamber
inscribing the square chamber, thus the shielding effects of the square chamber due to

49 

image charges are weaker, and therefore the LSC field becomes stronger. At large
perturbation wavelengths, the impedances of the two field models are close to each other.
Figures 3.3-3.5 show that the lower impedances of the rectangular beam and chamber
model in Figure 3.3 mainly originate from the different beam shapes rather than the
chamber shapes.

14

x 10

6

1 = 1.0 cm
2 = 2.0 cm

12

3 = 5.0 cm

|Z||0,sc| ( )

10

4 = 10.0 cm

8
6
4
2
0
0

1

2

3

4

5

6

a (cm)

Figure 3.6: LSC impedances of rectangular beam model with different half widths a
inside a rectangular chamber (w = 5.7 cm, h = 2.4 cm, a is variable, b = 0.5 cm).
Figure 3.6 shows the calculated LSC impedances of four perturbation wavelengths for a
20 keV

beam model with rectangular cross-section inside the rectangular chamber

of SIR. The parameters used in the calculations are w = 5.7 cm, h = 2.4 cm, b = 0.5 cm,
the half beam width a is variable. We can see the LSC impedances decrease with beam
width 2a for a fixed beam height 2b.
Figure 3.7 shows the calculated LSC impedances of four perturbation wavelengths for
a 20 keV

beam model with rectangular cross-section inside a rectangular chamber of

SIR. The parameters used in the calculations are w = 5.7 cm, h = 2.4 cm, a = 0.5 cm, the

50 

half beam height b is variable. We can see the LSC impedances decrease with beam
height 2b for a fixed beam width 2a.

14

x 10

6

1 = 1.0 cm
2 = 2.0 cm

12

3 = 5.0 cm

|Z||0,sc| ( )

10

4 = 10.0 cm

8
6
4
2
0
0

0.5

1

1.5

2

2.5

b (cm)

Figure 3.7: LSC impedances of a rectangular beam model with different half heights b
inside rectangular chamber (w = 5.7 cm, h = 2.4 cm, a = 0.5 cm, b is variable).

10

x 10

6

h = 1.5 cm
h = 2.0 cm
h = 2.4 cm
h = 5.0 cm
h = Inf.

|Z||0,sc| ( )

8

6

4

2

0
0

5

10

15
20
 (cm)

25

30

35

Figure 3.8: LSC impedances of square beam model inside rectangular chamber (w = 5.7
cm, h is variable, a = b = 0.5 cm).

51 

Figure 3.8 shows the calculated LSC impedances of a 20 keV

beam model with

square cross-section inside a rectangular chamber of SIR. The parameters used in the
calculations are w = 5.7 cm, a = b = 0.5 cm, the half chamber height h is variable. For
short wavelengths  < 5.0 cm, the LSC impedances are almost independent of the
changes of h. For longer wavelengths  > 5.0 cm, when h > 5.0 cm, the impedances are
insensitive to the changes of h and are close to the limiting case of h =  (vertical parallel
plates).

10

x 10

6

w = 1.5 cm
w = 2.0 cm
w = 3.0 cm
w = 5.7 cm
w = Inf.

|Z||0,sc| ( )

8

6

4

2

0
0

5

10

15
20
 (cm)

25

30

35

Figure 3.9: LSC impedances of a square beam model inside a rectangular chamber (w is
variable, h = 2.4 cm, a = b = 0.5 cm).
Figure 3.9 shows the calculated LSC impedances of a 20 keV

beam model with

square cross-section inside a rectangular chamber of SIR. The parameters used in the
calculations are h = 2.4 cm, a = b = 0.5 cm, the half chamber width w is variable. For
short wavelengths <5.0 cm, the LSC impedances are almost independent of the changes
of w. For longer wavelengths >5.0 cm, when w > 3.0 cm, the impedances are insensitive
to the changes of w and are close to the limiting case of w =  (horizontal parallel plates).

52 

3.4.5 Conclusions for the rectangular beam model
We introduced a 3D space charge field model of rectangular cross-section to calculate
the perturbed potentials, fields and the associated LSC impedances. The calculated LSC
impedances are consistent well with the numerical simulation results. A rectangular beam
shape with a=b=r0 may help to reduce the LSC impedances compared with the
conventional round beam with radius r0. This result is consistent with Ref. [35] in which
a planar geometry was investigated. For fixed b(or a), when a(or b) increases, the LSC
impedance will decrease. The LSC impedances of a rectangular beam inside a pair of
infinitely large parallel plates are also derived in this paper. Theoretical calculations
demonstrate that, when the transverse chamber dimensions are approximately more than
five times of the transverse beam dimensions, the rectangular chamber of the Small
Isochronous Ring (SIR) can be approximated by a pair of parallel plates. This result
validates the simplified boundary model of parallel plates used in the Particle-In-Cell
(PIC) simulation code CYCO to simulate the rectangular chamber of SIR [12].

3.5 LSC impedances of a round beam inside a rectangular chamber
and between parallel plates
This section presents the approximate analytical solutions to the LSC impedances of a
round beam with uniform transverse distribution and sinusoidal line density modulations
under two boundary conditions: (a) between parallel plates (b) inside a rectangular
chamber, respectively. Since the transverse dimensions of almost all the beam chambers
are much larger than the transverse beam size, the image charge fields of a round beam
can be approximated by those of a line charge. Then the approximate LSC fields and

53 

impedances of the two models in discussion can be calculated by image method.
In order to obtain the approximate analytical LSC impedances of a round beam with
planar and rectangular boundary conditions, first, we need to know the LSC fields Ez of
the following four component field models:
(a) A round beam in free space, Ez,round,fs.
(b) A line charge in free space, Ez,line,fs.
(c) A line charge between two parallel plates, Ez,line,pp.
(d) A line charge inside a rectangular chamber Ez,line,rect.
For a round beam between a pair of parallel plates, when the separation between the
plates is much larger than the beam diameter, its image LSC fields can be approximated
image
by those of a line charge between the parallel plates as Ezimage
,round, pp  Ez,line, pp  Ez,line, pp  Ez,line, fs ,

to

Ez,round, pp  Ez,round, fs  Ezimage
,round, pp

 Ez,round, fs  Ezimage
,line, pp  Ez,round, fs  Ez,line, pp  Ez,line, fs ; similarly, for

a round beam inside a

its

total

LSC

fields

are

approximately

equal

rectangular chamber, when the full chamber height is much larger than the beam
diameter, its image LSC fields Ezimage
,round ,rect and total LSC fields E z , round , rect can be
approximated as Ezimage
Ez,round,rect  Ez,round, fs  Ez,line,rect  Ez,line, fs
,round,rect  Ez,line,rect  Ez,line, fs and
respectively. Next, we will derive the LSC fields of the four component field models
listed in (a)-(d).

54 

3.5.1 A round beam in free space
In the lab frame, assume there is an infinitely long round beam of radius r0 with
sinusoidal line density L and beam intensity modulations I of

( z, t )  k exp[i(kz  t )], and

I ( z, t )  I k exp[i(kz  t )],

(3.64)

respectively. According to Ref. [26], its LSC field in the lab frame is

Ez ,round , fs (r , z , t )  

( z , t )
1
[1  K1 (k r0 ) I 0 (k r )].
2 2 2
z
 0 r0 k 

where 0 = 8.8510-12 F m-1 is the permittivity in free space,

(3.65)

= / ,  is the relativistic

factor, I0(x) and K1(x) are the modified Bessel functions of the first and second kinds,
respectively.

3.5.2 A line charge in free space
In the lab frame, assume there is an infinitely long line charge in free space with
sinusoidal line charge density and beam intensity modulations described in Eq. (3.64).
First, we can calculate its potentials and fields in the rest frame of the beam, and then
convert them into the lab frame by Lorentz transformation. In the rest frame of the beam,
the line charge density is

( z)  k cos(k z),

(3.66)

where the parameters with primes stand for those in the rest frame. The electrostatic
potentials can be calculated easily in cylindrical coordinate system by direct integration
as

55 

 , fs (r , z) 
line

k
4 0







cos(k z )
1
2 2

dz  

[( z   z)  r  ]
2

( z)
K 0 (k r ).
2 0

(3.67)

The LSC field in the rest frame is
d( z )
K 0 (k r ).
2 0 dz
1

E z, line , fs ( r , z )  

(3.68)

In the lab frame, according to the theory of relativity, we have

Ez  Ez ,

(3.69)

r  r,

(3.70)

z    ( z   ct ),

(3.71)

k   k /  ,

(3.72)

k 

k



 k,

d( z)
k
 k k sin(k z)   2k sin(kz  t ).
dz'


(3.73)

(3.74)

If we choose exponential representation as used in Eq. (3.64), then Eq. (3.74) can also be
expressed as
d( z) 1 ( z, t )
.
 2
dz

z

(3.75)

From Eqs. (3.68)-(3.75), the LSC fields in the lab frame become
Ez , line , fs (r , z , t )  

 ( z , t )
K 0 (k r ).
z
2 0
1

2

56 

(3.76)

3.5.3
3 A line ch
harge betw
ween paralllel plates
Th
he schematicc view of an infinitely long line ccharge betw
ween two inffinitely large,
perfectly conducting parallell plates is shown
s
in Figgure 3.10. IIts sinusoidaal line chargge
densiity and beam
m intensity modulations
m
are
a describedd by Eq. (3.664).

Figu
ure 3.10: A line
l charge with
w sinusoid
dal density m
modulations between parrallel plates.
Asssume the tw
wo plates aree separated by
b a distancee H, the linee charge is pparallel to thhe
platess and its disstance to thee lower platee is , the ppotentials onn the two plaates are all 00.
Thou
ugh Ref. [37] provided solutions
s
to the LSC fieelds and imppedances of a line chargge
betweeen parallel plates and inside
i
a rectangular cham
mber, the fieeld potentiall is solved bby
2D Green
G
functiion neglectin
ng the 3D effects
e
caus ed by the line density modulationns.
Hencce, the resultts are only valid
v
in the long-waveleength limits.. Ref. [40] ssolved the 2D
D
electrrostatic poteentials of a uniform lin
ne charge beetween two parallel plaates using thhe
metho
od of separaation of variaables. We caan use the sam
ame method and similar pprocedures tto
solvee the 3D fiellds of our model.
m
We ch
hoose the Caartesian coordinate xoy with o as thhe
origin
n. Assume in
n the rest fraame of the beam,
b
the bassic harmonicc componennt of the spacce

57 

charge potential can be written in the form
 , pp ( x, y, z)  X ( x)Y ( y) cos(k z),
line

(3.77)

which satisfies the Laplace equation

 , pp 2line
 , pp 2line
 , pp
2line


 0.
x2
y2
z2

(3.78)

Plugging Eq. (3.77) into Eq. (3.78) results in
1 d 2 X 1 d 2Y

 k 2 .
X dx  2 Y dy  2

(3.79)

Considering the boundary conditions £line,pp (y £ = 0) = £line,pp (y £= H) = £line,pp (x£= )
= 0, we can choose
1 d2X
 k 2   2，
X dx2

1 d 2Y
  2 ,
2
Y dy 

(3.80)

where  > 0. Then the solutions to Eq. (3.80) can be written as
X ( x )  A1e

k  2  2 x 

 A2 e 

k 2  2 x

Y ( y )  B1 sin(  y )  B 2 cos(  y ).

,

(3.81)

(3.82)

 , pp (y£=0)= line
 , pp (y£=H)=0 give B2 =0,=n/H, then Y(y£)sin(n
The boundary conditions line
y£/H).

Because at x£=0, there is a line charge which produces singularity, we should

 , pp ,  for x£ < 0 separately.
 , pp ,  for x£ > 0 and line
calculate the electrostatic potentials  line

58 

 , pp ,  0, then the coefficient A1 =0; when x£ -,
In Eq. (3.81), when x£ +,  line
 , pp ,  0, then the coefficient A2 =0. The solutions of X can be written as
line

X  ( x )  A e 

k  2  2 x 

(3.83)

where‘+ ’and ‘–’stand for x>0 and x<0, respectively.
The potentials including all harmonic components can be expressed as



2

 , pp,    Cn e
line

 n 
 k  2 
 x
 H 

n1

sin(

n
y) cos(k z),
H

(3.84)

where Cn and Cn- are the coefficients to be determined by the boundary conditions for
 , pp ,  = line
 , pp ,  which gives Cn = Cn = Cn .
x>0 and x<0, respectively. At x£=0, y£,  line

If the line charge is rewritten in the form of surface charge density
    ( z ) ( y   ),

(3.85)

where (x) is the Dirac Delta function, then on the plane x£ = 0, the boundary condition
D2n£– D1n£ = £ gives

0 (

 pp,- line
 , pp, 
line,

) |x0  k cos(k z) ( y  ).
x
x

(3.86)

Eqs. (3.84) and (3.86) give
2


n
 n 
2Cn k  2  
y )  k  ( y   ).
 sin(

0
H
H 
n 1


(3.87)

Multiplying the two sides of Eq. (3.87) by sin(ny£/H) and integrating y£ from 0 to H

59 

gives the coefficient

C n 

 k
 n 
0H k  

 H 

2

sin(

2

n
 ).
H

(3.88)

Then the potentials in Eq. (3.84) can be expressed as

( z ) 
 , pp ( x, y, z ) 
line

 0 H n1


n
sin(
)e
2
H
 n 
k 2  

H 

1

2

 n 
k 2 
 | x|
 H 

sin(

n
y).
H

(3.89)

Let’s consider a special case of =1=h=H/2, i.e., the line charge is on the median
plane of the two plates as shown in Figure 3.10, if we choose a new coordinate system
x1o1y1 with o1 as the origin (see Figure 3.10), according to x£ = , y£=

+h, the potentials

in the rest frame of the beam become
( z ) 
 , pp ( x1 , y1 , z ) 
 line

2 0 h n1

If we use cylindrical coordinate system,

(z) 
 , pp (r, , z) 
line

2 0h n1

2

 n  
k 2 
 | x1 |
 2h 

n 
sin( )e
2
2
 n 
k 2  

 2h 
1

= r£cos(£),

n 
sin( )e
2
2
 n 
k 2   
 2h 
1

The LSC field in the rest frame is

60 

sin[

n
( y1  h)]. (3.90)
2h

=r£sin(£), Eq. (3.90) becomes
2

 n 
k2   r|cos( )|
 2h 

n
sin[ (r sin( )  h)]. (3.91)
2h

1 d(z) 
Ez',line, pp (r, , z)  

2 0 h dz n1

n 
sin( )e
2
2
 n 
k 2   
 2h 
1

2

 n 
k2   r|cos( )|
 2h 

n
sin[ (r sin( )  h)].
2h

(3.92)

Using the Lorentz transformation of Eqs. (3.69) - (3.75), and £=, the LSC field in the
lab frame becomes

1 (z, t ) 
Ez,line, pp (r, , z, t )  

2 0 h 2 z n1

n 
sin( )e
2
2
 n 
k 2  
 2h 
1

2

 n 
k 2   r|cos( )|
 2h 

n
sin[ (r sin( )  h)]. (3.93)
2h

3.5.4 A line charge inside a rectangular chamber
In the lab frame, assume there is an infinitely long line charge centered inside a
rectangular chamber, the sinusoidal line charge density and beam intensity modulations
are described in Eq. (3.64). The full chamber width and height are W=2w and H=2h,
respectively. Sect. 3.4.2 derives the potential of an infinitely long beam with rectangular
cross-section and uniform transverse charge density inside a rectangular chamber. In the
rest frame of beam, in the charge-free region inside the chamber (b|y£|h), the potentials
are

 II , rect , rect ( x, y , z ) 

where

 k cos( k z )  g n sinh( vn b )
sin[ n ( x  w)] sinh[ vn ( h  | y  |)],

4 0bw n 1. vn 2 cosh( vn h )
(3.94)

g n  g n 

2
a n

sin( n w) sin( n a )，

(3.95)

and n=n/2w, n£2=n2+k£2, n=1, 2, 3,…. In the limiting case of a=b=0, the rectangular

61 

£
£
£
beam shrinks to a line charge. Because a=0, gn =gn=2sin(nw) and b=0, sinh(n b)/b=n ,

then Eq. (3.94) becomes

 II , line , rect ( x, y , z ) 

 ( z )  sin( n w)
sin[ n ( x  w)] sinh[ vn ( h  | y  |)].

2 0 w n 1. vn cosh( n h )
(3.96)

Using the Lorentz transformation of x£= x, y£ = y, and Eqs. (3.69), (3.71)-(3.75), the LSC
field in the lab frame becomes

Ez ,line,rect ( x, y, z, t )  

1 ( z, t )  sin(n w)
sin[n ( x  w)]sinh[vn (h | y |)]，

2 0 w 2 z n1. vn cosh( n h)
(3.97)

2
where vn2  vn  n2  k 2  n2  k 2 /  2 .

3.5.5 Approximate LSC impedances of a round beam between parallel
plates and inside a rectangular chamber
The average longitudinal wake potential (or energy loss per turn of a unit charge) in a
circular accelerator due to the LSC field is

V( z, t )    Ez  C0  Z0|| (k )Ik exp[i(kz  t )],

(3.98)

where <Ez> is the LSC field averaged over the cross-section of the round beam and can
be calculated using the formula

62 

 f (r , ) 

1
r02



2

0

r0

d  f (r , )rdr .
0

(3.99)

(a) For a round beam midway between parallel plates, the average LSC impedance can
be calculated by Eqs. (3.65), (3.76), (3.92), and (3.98) with Ez  Ez,round, pp 
Ez,round, fs  Ez,line, pp  Ez,line, fs   as

Z0||,round, pp (k )  i

2I (kr )
ZC
Z0C0
line, pp (k )  i 0 0 K1 (kr0 )[1 1 0 ]，
r0
2h
kr0

(3.100)

where

n
sin( )  e
2
2
 n 
1 

 2k h 



1

 line , pp ( k )  
n 1

2

 n 
1
 k r |cos( )|
 2kh 

sin[

n
( r sin( )  h )] . (3.101)
2h

(b) For a round beam inside and coaxial with a rectangular chamber, the approximate
average LSC impedance can be calculated by Eqs. (3.65), (3.76), (3.97), and (3.98)
with Ez  Ez,round,rect  Ez,round, fs  Ez,line,rect  Ez,line, fs as

Z 0|| ,round ,rect ( k )  i

2 I (k r )
Z 0C 0
Z C
 line ,rect ( k )  i 0 0 K 1 ( k r0 )[1  1 0 ]，
2  w
 r0
k r0

(3.102)

where

k sin(n w)
 sin[n (r cos( )  w)]sinh[vn (h  r | sin( ) |)]  .     (3.103)
 nh)
n1. vn cosh(


line,rect(k )  
    

In the derivations of Eqs. (3.100) and (3.102), two identities of integrals

63 





 xK ( x)dx  1  K ( ) and  xI ( x)dx  I ( ) are used. Note that the first terms on the
0

1

0

0

1

0

right hand side of Eqs. (3.100) and (3.102) are contributed from the average LSC fields
of a line charge midway between parallel plates and inside a rectangular chamber,
respectively; the second terms are contributed from the differences of the average LSC
fields within beam radius r0 between a round beam and a line charge in free space. Eqs.
(3.101) and (3.103) can be evaluated by truncating the infinite series to a finite number of
terms, as long as the sum converges well.

3.5.6 Summary of some LSC impedances formulae
For the purpose of comparisons in Sect. 3.5.7, here we would like to summarize some
LSC impedance formulae in both the long-wavelength and short-wavelength limits,
which are often used in literatures.
3.5.6.1 A round beam inside a round chamber

For a round beam with radius r0 and uniform transverse distribution centered inside a
round chamber with inner chamber wall radius rw, the LSC impedance is repeated here as

Z 0||, round , round (k )  i

where

=

2 RZ 0
f1
{1 
[ K1 (k r0 ) I 0 ( k rw )  K 0 ( k rw ) I 1 ( k r0 )]}. (3.104)
2
I 0 (k rw )
k r0

for the on-axis impedance [24, 25] and

one (see Eqs. (3.61)-(3.63)), respectively.
(a) In the long-wavelength limits

64 

=2 (

) for the average

The total LSC impedance of a uniform disk beam with radius r0 inside a round
chamber with radius rw in the long-wavelength limits is [20, 25]

Z 0||,, LW
round , round ( k )  i

where

k RZ 0



( f 2  ln

= 1/2 for the on-axis impedance and

rw
),
r0

(3.105)

= 1/4 for the average one,

respectively.
(b) In the short-wavelength limits
If rw>>r0, the image charge effects of the chamber wall can be neglected in the
short-wavelength limits, the LSC impedance of a round beam is approximately equal to
that in free space. Refs. [22, 23] give the on-axis LSC impedance of a round beam in the
short-wavelength limits as

, SW
||, axis
Z 0||,,axis
round ,round ( k )  Z 0 ,round , fs ( k )  i

2 RZ 0
[1  k r0 K1 ( k r0 )].
 k r0 2

(3.106)

The LSC impedances in Eq. (3.106) are derived from the on-axis LSC fields of the 1D
space charge field model. While Ref. [25] pointed out that the 1D field model does not
hold any more for l<4pr0/g or kr0/g >0.5. In addition, the off-axis LSC fields always
decrease from the beam axis r=0 to the beam edge r=r0. Ref. [41] studied these 3D space
charge effects analytically and made a conclusion that, if the LSC fields were averaged
over the beam cross-section, the 1D and 3D field models predict almost the identical LSC
fields. The average LSC impedance is given in Refs. [24, 26] as

65 

Z 0|| ,round , fs ( k )  i

2 RZ 0
[1  2 I1 ( k r0 ) K1 ( k r0 )].
 k r0 2

(3.107)

3.5.6.2 A round beam inside a rectangular chamber in the long-wavelength limits

Let’s assume an infinitely long, transversely uniform round beam with radius r0 is
inside and coaxial with a rectangular chamber. The full chamber width and height are
W=2w and H=2h, respectively. Then according to Eq. (23) of Ref. [32], the LSC
impedance of an accelerator ring in the long-wavelength limits is

Z 0||,,LW
round ,rect ( k )  i

where

k RZ 0



{ f 3  ln[

4h
w
tanh( )]},
2h
r0

= 1/2 for the on-axis impedance and

(3.108)

= 1/4 for the average one,

respectively.

3.5.6.3 A round beam between parallel plates in the long-wavelength limits

In the limiting case of Wض, the rectangular chamber becomes a pair of parallel plates,
according to Eq. (3.108), Eqs. (A6) and (A7) in Appendix of Ref. [31], its LSC
impedance becomes

Z 0||,,LW
round , pp ( k )  i

where

k RZ 0



[ f 4  ln（

= 1/2 for the on-axis impedance and

respectively.

66 

4h
）
],
r0

(3.109)

= 1/4 for the average one,

3.5.7 Case study and comparisons of LSC impedances
In this section, as a case study, we will calculate the approximate LSC impedances of a
coasting

beam in the SIR, compare them with the simulation results and the

theoretical values predicted by other models. The kinetic energy of the beam is Ek = 20
keV (  0.0046,   1), the beam radius r0 is variable. Since w>>h, the rectangular
chamber can also be simplified as a pair of infinitely large parallel plates. The LSC
impedances are calculated by both theoretical and numerical methods using the Finite
Element Method (FEM) code.
x 10

6

14

Free space
Round chamber, LW limits
Parallel plates, LW limits
Parallel plates(simulation)
Parallel plates(approximation)

12

|Z||0,sc| ( )

10
8
6
4
2
0
0

5

10

15
20
 (cm)

25

30

35

Figure 3.11: Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=0.5 cm under different boundary conditions and in different wavelength
||
limits. l is the perturbation wavelength,
is the modulus of LSC impedance. In the
,
legend, ‘Free space’, ‘Round chamber’, and ‘Parallel plates’ are boundary conditions;
‘LW limits’ stands for the long-wavelength limits; ‘(approximation)’ and ‘(simulation)’
stand for the theoretical approximation and simulation (FEM) methods, respectively.

67 

9

x 10

6

Free space
Round chamber, LW limits
Parallel plates, LW limits
Parallel plates(simulation)
Parallel plates(approximation)

8
7

|Z||0,sc| ( )

6
5
4
3
2
1
0
0

5

10

15
20
 (cm)

25

30

35

Figure 3.12: Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=1.0 cm under different boundary conditions and in different wavelength
limits.

5

x 10

6

|Z||0,sc| ( )

4

3

2

1

0
0

Free space
Round chamber, LW limits
Parallel plates, LW limits
Parallel plates(simulation)
Parallel plates(approximation)
5
10
15
20
25
 (cm)

30

35

Figure 3.13: Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=1.5 cm under different boundary conditions and in different wavelength
limits.

68 

5

x 10

6

Free space
Round chamber, LW limits
Parallel plates, LW limits
Parallel plates(simulation)
Parallel plates(approximation)

|Z||0,sc| ( )

4

3

2

1

0
0

5

10

15
20
 (cm)

25

30

35

Figure 3.14: Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=2.0 cm under different boundary conditions and in different wavelength
limits.
Figures 3.11- 3.14 show the simulated (blue dashes) and theoretically approximated
(Eqs. (3.100) and (3.101), red circles) average LSC impedances of a round SIR beam
with radii r0 =0.5 cm, 1.0 cm, 1.5 cm and 2.0 cm midway between the parallel plates with
h=2.4 cm. For the purpose of comparisons, the theoretical average LSC impedances of
the round beam predicted by three existing models are also plotted. (a) In free space (Eq.
(3.107), black lines with circles). (b) Inside a round chamber with rw=h=2.4 cm, in the
long-wavelength limits (Eq. (3.105), green lines). (c) Between parallel plates with h=2.4
cm, in the long-wavelength limits (Eq. (3.109), magenta lines). For a small beam size, for
instance r0<1.0 cm, the theoretical approximations are consistent well with the
simulations in all the wavelengths. A small discrepancy appears for large beam size case
when the image charge effect becomes large, for instance r0=2.0 cm. The
long-wavelength model with a round chamber gives smaller impedance as expected
because of the larger shielding effect compared with a pairs of parallel plates. The
difference of the impedance between a round chamber and a pairs of parallel plates
becomes larger when the beam size increases.
69 

Figures 3.15-3.18 show the simulated (blue dashes) and theoretically approximated
(Eqs. (3.102) and (3.103), red circles) average LSC impedances of a round SIR beam
with radii r0 =0.5 cm, 1.0 cm, 1.5 cm and 2.0 cm inside and coaxial with a rectangular
chamber with w=5.7 cm, h=2.4 cm. For the purpose of comparisons, the theoretical
average LSC impedances predicted by three existing models are also plotted. (a) In free
space (Eq. (3.107), black lines with circles). (b) Inside a round chamber with rw=h=2.4
cm, in the long-wavelength limits (Eq. (3.105), green lines). (c) Inside a rectangular
chamber with w=5.7 cm, h=2.4 cm, in the long-wavelength limits (Eq. (3.108), magenta
lines).
Figures 3.11-3.18 show that, for both the parallel plates and rectangular chamber
models, the simulated (blue dashes) and theoretical (red circles) average LSC
impedances match quite well for the cases r0 = 0.5 cm, 1.0 cm and 1.5 cm (r0/hº0.21,
0.42, and 0.63). For the case of r0=2.0 cm (r0/h º 0.83), the relative errors between the
theoretical and simulated peak LSC impedances are about 3.8% and 4.0% for the parallel
plates and rectangular chamber models, respectively. This shows the line charge
approximation in calculation of the image fields of a round beam is valid. Only at r0 = 2.0
cm may this assumption underestimate the shielding effects of the image fields resulting
in overestimation of the LSC impedances to some small noticeable extents. When the
transverse beam dimension approaches the chamber height, the line charge assumption
for the image charge fields of a round beam may induce bigger but still acceptable errors.
For the wavelengths in the range of 0<§5 cm, the theoretical (red circles) and simulated
(blue dashes) average LSC impedance curves overlap the impedance curves for a beam
in free space (black lines with circles) predicted by Eq. (3.107). It denotes that the

70 

shielding effects due to the image charges are on a negligible level, it is valid to calculate
the average LSC impedances by Eq. (3.107) directly for the parallel plates and
rectangular chamber models. For >5 cm, the average LSC impedances predicted by the
model of a round beam in free space (black lines with circles) gradually deviate from and
are larger than the theoretical (red circles) and simulated (blue dashes) LSC impedances
of the two models discussed in this paper. This is caused by the neglect of the important
shielding effects of beam chambers at large wavelengths. When  approaches 35 cm, the
theoretical (red circles) and simulated (blue dashes) average LSC impedance curves
approach the magenta curves predicted by Eq. (3.109) in Figures 3.11-3.14 and Eq.
(3.108) in Figures 3.15-3.18 in the long-wavelength limits, respectively. These
comparison results indicate the derived average LSC impedance formulae Eqs.
(3.100)-(3.103) are consistent well with the simulations and the existing LSC impedance
models in both the short-wavelength and long-wavelength limits. In the long-wavelength
limits, for r0<<h, the average LSC impedances of the round chamber model (green lines)
are consistent with the ones predicted by the parallel plates and rectangular models (see
the red circles and blue dashes in Figure 3.11 and Figure 3.15); while as r0 increases and
approaches h, the round chamber model (green lines) predicts smaller LSC impedances
gradually than the parallel plates and rectangular chamber models (red circles and blue
dashes) at large wavelengths (see Figures 3.12-3.14 and Figures 3.16-3.18). This result
indicates that, at large perturbation wavelengths, the round chamber model has larger
shielding effects on the LSC fields than the models with planar and rectangular
boundaries, and the shielding effects of the round chamber become more significant
when r0/hØ1.

71 

x 10

6

14

Free space
Round chamber, LW limits
Rect. chamber, LW limits
Rect. chamber(simulation)
Rect. chamber(approximation)

12

|Z||0,sc| ( )

10
8
6
4
2
0
0

5

10

15
20
 (cm)

25

30

35

Figure 3.15: Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=0.5 cm under different boundary conditions and in different wavelength
limits. In the legend, ‘Free space’, ‘Round chamber’, and ‘Rect. chamber’ are boundary
conditions, where ‘Rect.’ is the abbreviation for ‘Rectangular’; The other symbols and
abbreviations are the same as those in Figure 3.11.

8

x 10

6

7

|Z||0,sc| ( )

6
5
4
3
2
1
0
0

Free space
Round chamber, LW limits
Rect. chamber, LW limits
Rect. chamber(simulation)
Rect. chamber(approximation)
5
10
15
20
25
 (cm)

30

35

Figure 3.16: Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=1.0 cm under different boundary conditions and in different wavelength
limits.

72 

5

x 10

6

|Z||0,sc| ( )

4

3

2
Free space
Round chamber, LW limits
Rect. chamber, LW limits
Rect. chamber(simulation)
Rect. chamber(approximation)

1

0
0

5

10

15
20
 (cm)

25

30

35

Figure 3.17: Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0=1.5 cm under different boundary conditions and in different wavelength
limits.

3.5

x 10

6

3

|Z||0,sc| ( )

2.5
2
1.5
Free space
Round chamber, LW limits
Rect. chamber, LW limits
Rect. chamber(simulation)
Rect. chamber(approximation)

1
0.5
0
0

5

10

15
20
 (cm)

25

30

35

Figure 3.18: Comparisons of the average LSC impedances of a round SIR beam with
beam radius r0 =2.0 cm under different boundary conditions and in different wavelength
limits.

73 

6

x 10

Round beam, r0=5 mm (Simulation)
12

Round beam, r0=5 mm (Theory)
Square beam, r0=5 mm (Theory)

10

Round beam, r0=20 mm (Simulation)

|Z||0,sc| ( )

Round beam, r0=20 mm (Theory)
8

Square beam, r0=20 mm (Theory)

6

4

2

0

0

5

10

15

20

25

30

35

 (cm)

Figure 3.19: Comparisons of the average LSC impedances between the round beam and
square beam for a parallel plate field model. For a round beam, r0 is the beam radius; for
a square beam, r0 is the half length of the side. The square beam model underestimates
the LSC impedances.
6

x 10

Parallel plates, r0=5 mm (Simulation)
12

Parallel plates, r0=5 mm (Theory)
Round chamber, r0=5 mm (Theory)

|Z||0,sc| ( )

10

Parallel plates, r0=20 mm (Simulation)
Parallel plates, r0=20 mm (Theory)

8

Round chamber, r0=20 mm (Theory)

6

4

2

0

0

5

10

15

20

25

30

35

 (cm)

Figure 3.20: Comparisons of the average LSC impedances of a round beam between
parallel plates and a round beam inside a round chamber. The round chamber model
underestimates the LSC impedances at larger l.
Figure 3.19 shows the average LSC impedances of a SIR beam with beam radii r0=0.5
cm and 2.0 cm midway between a pair of parallel plates with h=2.4 cm. The theoretical
impedances are calculated by both the round beam model using Eq. (3.100) and square
beam model (a=b=r0), respectively. For a round beam, the square beam model with

74 

length of side a=b=r0 may underestimate the average LSC impedances compared with
the round beam model with radius r0.
Figure 3.20 shows the average LSC impedances of a round SIR beam with beam radii
r0 =0.5 cm and 2.0 cm midway between a pair of parallel plates with h=2.4 cm and
inside a round chamber with rw=h=2.4 cm. The theoretical impedances of the parallelplate model and round chamber model are calculated by Eq. (3.100) and Eq. (3.104),
respectively. For a round beam with fixed radius and energy, the round chamber model
may underestimate the average LSC impedances compared with the parallel plates model
with radius h=rw. This difference is caused by the stronger shielding effects of the image
fields produced by the round chamber compared with the parallel plates. Some literatures
use the round chamber model to approximate the LSC field and impedance of a round
beam between parallel plates or inside a rectangular chamber (e.g., Ref. [16]). Figure 3.20
clearly indicates that this approximation only holds when l is small, where the shielding
effect is negligible. For a 20 keV SIR beam with r0 =0.5 cm inside a rectangular chamber
with w=5.7 cm and h=2.4 cm, the round chamber approximation for the LSC impedance
is only accurate for l§ 5 cm. For l> 5 cm, the round chamber approximation will induce
larger errors.
In summary, Figures 3.11-3.20 show that, for a typical 20 keV SIR beam with r0 =0.5
cm inside a rectangular chamber, when l§ 5 cm, the image charge effects are negligible.
In this case, for simplicity, we can use the LSC impedance formula for a round beam in
free space (Eq. (3.107)) to calculate the LSC impedance with a good accuracy; For l¥35
cm, we can use the impedance formulae in the long-wavelength limits Eq. (3.108) for a
rectangular chamber model or Eq. (3.109) for a parallel plates model to estimate the LSC

75 

impedance. While for 5 cm<l<35 cm, none of the existing models and formulae can be
used to evaluate the LSC impedance accurately. In this case, we have to use the
approximate theoretical impedance formulae Eqs. (3.102) and (3.103) for a rectangularchamber model or Eqs. (3.100) and (3.101) for a parallel-plate model. This is the merit of
the approximate analytical LSC impedance formulae derived in this chapter.

3.5.8 Conclusions for the model of a round beam inside rectangular
chamber (between parallel plates)
In this subsection, we mainly derive the approximate average LSC impedance
formulae for a round beam under two boundary conditions: (a) Midway between a pair of
infinitely large, perfectly conducting parallel plates. (b) Inside and coaxial with a
perfectly conducting rectangular chamber. In most accelerators, since w>>r0, h>>r0, the
image charge fields of a round beam can be treated as those of a line charge in calculation
of the LSC fields inside the beam. Consequently, the associated LSC impedances can be
approximated by means of image methods based on the superposition theorem of the
electric fields. The approximate theoretical average LSC impedances of the parallel-plate
model and the rectangular-chamber model are consistent well with the numerical
simulation results in a wide range of the radios of r0/h. In addition, the theoretical LSC
impedances predicted by the two field models also match well with the existing field
models in both the short-wavelength (l§5 cm) and the long-wavelength (lØ35 cm)
limits. In particular, for 5 cm<l<35 cm, the approximate theoretical LSC impedances
formulae have better accuracies than the existing models and formulae. Hence, they are
valid at any perturbation wavelengths and can be used as general expressions of the
average LSC impedances in the future research work on space-charge induced

76 

instabilities, even for large ratios of r0/h. At last, the image method together with the line
charge approximation employed in this paper can also be used to derive the LSC
impedances of field models with other cross-sectional geometries.

77 

Chapter 4
MICROWAVE INSTABILITY AND LANDAU DAMPING
2
EFFECTS
4.1 Introduction
Our previous simulation and experimental results indicated that the instability growth
rates of SIR beam are proportional to the unperturbed beam intensity I0 instead of the
square root of I0 [13]. Pozdeyev [14, 15] and Bi [16] developed their own models and
theories separately to explain the mechanisms of microwave instability in the isochronous
regime, respectively. Pozdeyev pointed out that, in the isochronous regime, the radial
coherent space charge fields of a coasting bunch with centroid wiggling may modify the
slip factor, raise the working point above transition and enhance the microwave instability.
This makes the instability growth rates linearly dependent on the beam intensity [14, 15].
While Bi’s model [16] is not consistent with the scaling law on beam intensity, since the
unperturbed beam density component is neglected in calculation of the coherent radial
space charge force of the perturbed local centroid.
It is also found in the simulations that the spectral evolutions of the line charge
densities are not pure exponential functions of time, instead, they are often characterized
by the betatron oscillations superimposed on the exponential growth curves. These
betatron oscillations are the dipole modes in the longitudinal structure of the beam due to
dipole moment of the centroid offsets [20].
                                                             
2
Y. Li, L. Wang, F. Lin, Nuclear Instruments and Methods in Physics Research A 763, 674 (2014).

78

In the isochronous regime, the longitudinal motion of particles was usually thought to
be frozen. If and how the Landau damping affects the instability growth rates in the
isochronous regime is still unknown for beam physicists. The theoretical and simulation
studies in this chapter demonstrate that the Landau damping mechanism can also take
effect and suppress the microwave instability for a beam with space charge in the
isochronous regime.
Both Pozdeyev and Bi’s models use the 1D (longitudinal) conventional instability
growth rates formula derived exclusively for a monoenergetic beam and neglects the
emittance effect. As a result, the radial-longitudinal coupling effects in an isochronous
ring are not included completely. This may overestimate the instability growth rates,
especially for the short-wavelength perturbations, because the Landau damping effects
caused by the finite energy spread and the emittance are all neglected. Though Pozdeyev
explained the suppression of the instability growth of short-wavelength perturbations by
the radial-longitudinal coupling effects qualitatively [15], till now, no quantitative
discussions on the Landau damping effects are available for a coasting bunch with space
charge in the isochronous regime.
To predict the microwave instability growth rates more accurately than the existing
conventional 1D formula, this chapter introduces and derives a 2D dispersion relation
with Landau damping effects considering the contributions from both the finite energy
spread and emittance. By doing this, it can explain the suppression of the microwave
instability growth rates of the short-wavelength perturbations and predict the
fastest-growing wavelength.
This chapter is organized as follows. Sect. 4.2 discusses the limitations of the

79

conventional 1D growth rates formula and presents a modified 2D dispersion relation.
Sect. 4.3 discusses the Landau damping effects in the isochronous ring by 2D dispersion
relation. Sect. 4.4 carries out the simulation study of microwave instability in SIR and
provides benchmarking of the 2D dispersion relation with different initial beam
parameters.

4.2 2D dispersion relation
4.2.1 A brief review of the 1D growth rates formula
The conventional 1D growth rates formula for the microwave instability of a
monoenergetic and laminar beam used in Ref. [15] is:
 1 (k )  0  i

eI0 kRZ (k )
,
2 2 E

(4.1)

where 0 is the angular revolution frequency of the on-momentum particles, =–1/2 is
the slip factor,  is the momentum compaction factor,  is the relativistic energy factor of
the on-momentum particle, e is the electron charge, I0 is the unperturbed beam intensity, k
is the perturbation wavenumber of the longitudinal charge density, R is the average ring
radius, Z(k) is the longitudinal space charge (LSC) impedance,  is the relativistic speed
factor, E is the total energy of the on-momentum charged particle. Essentially, the 1D
dispersion relation Eq. (23) of Ref. [16] is the same as the 1D growth rates formula Eq.
(4.1), if we express the LSC field by the LSC impedance.
For the circular SIR beam with radius r0, the transverse dimension of the vacuum
chamber is much greater than the beam diameter. Hence, Ref. [15] neglects the image
charge effects of the chamber in the short-wavelength limits, and chooses Z(k) is equal to
80

the on-axis LSC impedance of the monopole mode [15]:
Z ( k )  Z 0|| , sc ( k )  i

2Z 0 R
k r0

2

[1 

kr0



K1 (

kr0



)],

(4.2)

where Z0 = 377 Ohm () is the impedance of free space, K1(x) is the modified Bessel
function of the second kind.
For a coasting long bunch with strong space charge effects in the isochronous ring, the
LSC fields may induce the coherent energy deviations and the associated radial offsets of
the local centroids. Consequently, there is centroid wiggling along the bunch. Ref. [15]
assumed that the longitudinal distribution of the radial centroid offsets is a sinusoidal
function of the longitudinal coordinate z with a wavenumber kc. In the first-order
approximation, we can choose k  kc and use the same k in the expressions of (k) and
Z(k) in Eq. (4.1) just as treated in Ref. [15] (please check Eqs. (2), (12), (13), and (14) in
Ref. [15]).
Ref. [15] uses the following formalism to derive the space-charge modified coherent
slip factor of a local centroid: due to centroid wiggling, there will be coherent radial
space charge field Ex,sc. It produces positive increments in the dispersion function D
(which is approximated by D  1 / x2 ), the momentum compaction factor , and the
coherent slip factor (k). Finally, the space-charge modified coherent slip factor sc(k) can
be determined, i.e., Ex,scDscscsc(k)sc(k). In the end, sc(k) may be
approximated as [14, 15]
   sc (k ) 

eI 0
kr
kr
[1  0 K1 ( 0 )].
3 2


2 0mH  0 r0 R

(4.3)

2

Note the relativistic factor  is introduced in Eq. (4.3) to make the original expressions of

81

sc(k) in Refs. [14, 15] compatible with the high energy beams. Plugging Eqs. (4.2) and
(4.3) into Eq. (4.1) gives the instability growth rates 1/ ∝

[1 −

].

4.2.2 Limitations of 1D growth rates formula
Though the above formalism adopted in Ref. [15] may explain the origin of the
microwave instability of SIR beam and is consistent with the scaling law on beam
intensity, it is not accurate enough and still has some limitations.
First, the LSC impedance in Eq. (4.2) is evaluated from the on-axis LSC field of a 1D
space charge field model. As discussed in Chapter 3, due to the 3D effects on the LSC
fields, Eq. (4.2) should be replaced by the average LSC impedance formula to account
for the LSC field more accurately in the short-wavelength limits:
Z ( k )  Z 0|| , sc ( k )  i

kr
kr
2Z0 R
[1  2 I1 ( 0 ) K1 ( 0 )].
2


k r0

(4.4)

Second, the space-charge modified coherent slip factor is not accurate enough since it
does not include the betatron oscillation effect of the local centroid (please refer to Eq.
(2.30) of Sect. 2.6). In Ref. [42], the transformation of the longitudinal coordinate z with
respect to the bunch center is

z  z0  R51x0  R52 x0  R56 ,

(4.5)

where x0 and x0 = dx0/ds are the initial radial betatron motion amplitude and velocity
slope at s=0, respectively, δ=Δp/p is the fractional momentum deviation, R51(s), R52(s),
and R56(s) are the transfer matrix elements and depend on the path length s. Note that in
Ref. [42],  was defined differently as the fractional energy deviation =E/E of an

82

ultra-relativistic electron particle with 1, since =p/p(E/E)/2E/E; in addition,
the definition of R51(s), R52(s), and R56(s) in Eq. (4.5) and Ref. [42] are different from the
standard ones (please refer to Appendices A and B for details). For a coasting beam with
space charge in the isochronous ring, in the conventional 1D (longitudinal) beam
dynamics, the space–charge modified parameters of the slip factor sc, the momentum
compaction factor αsc, the transition gamma t,sc, the element R56,sc, and the local
dispersion function Dsc(s) are related to each other by:

sc   sc 
 sc 

1



2
t , sc



1



2



R56, sc (C0 )
C0

1





2
t , sc

1



2




1



2



R56, sc (C0 )
C0

,

1 Dsc ( s)
D (s)
ds  sc
,

C0 L  ( s)
 (s)

(4.6)

(4.7)

where (s) is the local radius of curvature of trajectory, <ÿÿÿ> denotes the average value
over the ring circumference C0. From Eqs. (4.6), (4.7) and the formalism used in Ref.
[15], we can see that only the contribution of the momentum compaction factor sc or the
element R56,sc is considered in the modification of sc(k). While Eq. (4.5) shows z =z-z0
is determined by R51, R52, and R56, the ring is isochronous if z=0 after one revolution.
The space-charge modified coherent slip factor of a local centroid should be dependent
on both R56 and R51, R52. In Ref. [42], where the method of characteristics is employed,
the parameters x0, x0 , and z0, at s=0 are regarded as constants of motion, they are related
to the current coordinates of the particle x, x  and z at position s by a canonical
transformation
x 0 ( x , x ,  , s ) 

ˆ
ˆ 0
( x  D  ) cos   ˆ 0 ˆ [ x   D '   ( x  D  )] sin  ，
ˆ
ˆ

83

x 0 ( x , x  ,  , s ) 

ˆ
ˆ
[ x   D  
( x  D  )] cos  ，
ˆ
ˆ 0

x  D
sin  
ˆ ˆ
0

(4.8)



z（
0 x, x ,  , s)  z  R56  x0 R51  x0 R52，
where ˆ，ˆ0，and ˆ are the Courant-Snyder parameters, y is the phase advance. Their
derivatives with respect to δ are
x0
ˆ
ˆ
  0 D cos  ˆ0 ˆ ( D  D) sin，

ˆ
ˆ
x0



D
sin  
ˆˆ
0

ˆ
ˆ
( D   D ) cos  ，
ˆ
0
ˆ

(4.9)

z0
x
x
  R56  0 R51  0 R52，



which usually are non-zero parameters. Accordingly, the exact expression of the slip
factor at s can be calculated as (s, k)=-(dDz/d)/C0= -[R51(s, s+C0)∑x0/∑+R52(s, s+C0)
∑ /∑ +R56(s, s+C0)]/C0, and it also depends on R51(s, s+C0), R52(s, s+C0) if ∑x0/∑0

and ∑ /∑0. Here R51(s, s+C0), R52(s, s+C0) and R56(s, s+C0) are the transfer matrix
elements between s and s+C0. The space–charge modified slip factor expressed in Eq.
(4.6) is only a special case at s=0, ∑ x0/∑ =0, and ∑ /∑=0. The contributions of R51,sc
and R52,sc to the coherent slip factor are related to the betatron motion of the centroid and
should not be neglected in the isochronous regime.
Third, Ref. [15] only takes into account the coherent motion of the local beam centroid
neglecting the incoherent motions of individual particles in the beam slices. In fact, a
local beam slice usually has a finite energy spread and emittance. Eq. (4.5) and the above
analysis indicate that, the betatron motions of particles in a beam slice with different d, x0,

84

and

may have different longitudinal path length differences Dz which are not the

same as that of the local centroid. This may cause smearing of the beam intensity
perturbations and is the very reason of Landau damping.

4.2.3 Space-charge modified tunes and transition gammas in the
isochronous regime
The radial space charge fields may modify the radial tunes and transition gammas in
the isochronous regime [14-16]. Due to the large ratios between the full chamber width
(~11.4 cm), full chamber gap (~4.8 cm) and the beam diameter (~1 cm), the image
charge effects caused by the vacuum chamber are small for perturbation wavelength l§ 5
cm as shown in Chapter 3. Then Pozdeyev’s model [14, 15] of a uniform circular beam
with centroid wiggling in free space can be used to calculate the radial space charge fields
and modified tunes. Assuming the total radial offset of a particle is x=xc +xβ, where xc is
the beam centroid offset xc=accos(kz), k is the wavenumber of radial offset perturbations
of local beam centroids with respect to the design orbit along z, xβ is the radial offset of a
single particle due to the betatron oscillation. The equations of coherent and incoherent
radial motions can be expressed as:
xc 

eEx,coh
vx2

,
x  coh 
2 c
R
R mH   2c 2

(4.10)

eEx ,inc
vx2

,
x  inc 
2 
R
R mH   2c 2

(4.11)

2

x 

2

where nx is the bare radial betatron tune, coh and inc are the coherent and incoherent
fractional momentum deviations, Ex,coh and Ex,inc are the coherent and incoherent radial
space charge fields [15, 16], respectively, and can be expressed as

85

Ex,coh   cohmH  0 xc / e,

E x ,inc   incmH  0 x / e.

2

2

2

2

(4.12)

Here

coh 

eI0
kr
kr
[1  0 K1 ( 0 )],
3 2


20mH  0 r0 R

inc 

2

eI0
，
3
20mH  0 r02 R

(4.13)

2

are two unitless parameters. For a typical SIR beam with 0 < coh << 1 and 0 < inc << 1,
the coherent and incoherent radial tunes can be easily obtained from Eqs. (4.10)-(4.13) as

 x ,coh   x (1 

coh
2v

2
x

),

 x ,inc   x (1 

inc
2vx2

).

(4.14)

Here the coherent radial tune x,coh and incoherent radial tune x,inc stand for the number
of betatron oscillations per revolution of a local centroid and a single particle,
respectively. According to Ref. [16], the space-charge modified coherent and incoherent
transition gammas in an isochronous accelerator are

 t2,coh 

p / p
 1  n  coh ,
R / R

 t2,inc 

p / p
 1  n  inc ,
R / R

(4.15)

where n= -(r/B)(∑B/∑r) is the magnetic field index. For the SIR with n < 0, |n|<<1, if the
space charge effects are negligible (i.e., coh=inc =0,  t2,0  1  n ), the bare slip factor is 0
= 1 /  t2,0  1 /  2  1  n  1 /  2  2  10-4. Then

1



2
t , coh



1



2

1

 0  coh ,



2
t , inc



1

2

 0  inc .

(4.16)

4.2.4 2D dispersion relation
For a hot beam with large energy spread and emittance in an isochronous ring, the
Landau damping effects are important due to the strong radial-longitudinal coupling.

86

Hence, a multi-dimensional dispersion relation including both the longitudinal and radial
dynamics is needed. Usually the vertical motions of particles can be regarded as
decoupled from their radial and longitudinal motions. In this section, first, we would like
to summarize and comment the main procedures and definitions used in Ref. [42], where
a 2D (longitudinal and radial) dispersion relation was derived for the coherent
synchrotron radiation (CSR) instability of an ultra-relativistic electron beam in a
conventional storage ring. Based on this model, we can derive a 2D dispersion relation
for the microwave instability of the non-relativistic

beam in an isochronous ring.

4.2.4.1 Review of the 2D dispersion relation for CSR instability of ultra-relativistic
electron beams in non-isochronous regime

First, Ref. [42] defined a 2D Gaussian beam model with an initial equilibrium beam
distribution function
2
x0  (ˆ0 x0 ' )2
f0 
]g (  uˆz0 ),
exp[
2x,0
2 x,0 ˆ0

nb

where

2
g ( ) 
exp(
),
2
2 
2  
1

(4.17)

(4.18)

nb is the linear number density of the beam, εx,0 is the initial radial emittance, x0 is the
initial radial offset, x0 =dx0/ds is the initial radial velocity slope, ˆ0 is the betatron
function at s=0, d is the uncorrelated fractional momentum deviation, uˆ is the chirp
parameter which accounts for the correlation between the longitudinal position z of the
particle in the bunch and its fractional momentum deviation d, δ is the uncorrelated
fractional RMS momentum spread (Note in Ref. [42], δ was defined differently as the
uncorrelated fractional RMS energy spread for an ultra-relativistic electron beam with

87

1). Then the perturbed distribution function f1 is assumed to have a sinusoidal
dependence on z0 as

f1(x0 , x0 , z0 ,0 , s)  fk (x0 , x0 ,0 , s)eikz0 ,

(4.19)

where 0    uˆz0 is the total fractional momentum deviation including both the
uncorrelated and correlated fractional momentum deviation. Plugging the distribution
function of f=f0+f1 into the linearized Vlasov equation, after lengthy derivations, a
Volterra integral equation is derived as
s

g k ( s )  g k( 0 ) ( s )   K ( s, s ) g k ( s) ds，
0

(4.20)

where
g k ( s )   dx0 dx0 d 0 f k ( x0 , x0 ,  0 , s ) exp{ikC ( s )[ 0 R56 ( s )  x0 R51 ( s )  x0 R52 ( s )]}， (4.21)
g k( 0 ) ( s )   dx0 dx0 d 0 f k ( x0 , x0 ,  0 ,0) exp{ikC ( s )[ 0 R56 ( s )  x0 R51 ( s )  x0 R52 ( s )]}， (4.22)

C (s) 

1
，
1  uˆR56 ( s )

(4.23)

is the bunch length compression factor, K(s£, s) is the kernel of integration. The perturbed
harmonic line density with wave number k at (z, s) is
n1,k ( z , s )   dx0 dx0 d 0 f1  C ( s )g k ( s )e  ikC ( s ) z .

(4.24)

We can see that |C(s)gk(s)| is just the amplitude of the perturbed line density at s. For
storage rings, the linear chirp factor uˆ  0 , the compression factor C(s) =1. By smooth
approximations of x,0 x2x / R, ˆ  R/x ,  xs / R , DR/x2 , ˆ  0 , D  0 , the integral
kernel in Eq. (4.20) is simplified as

K (s, s)  K1 (  )

88



2 2 2
2
ie 0
R
 
kZ (k )[ sin( x )   ]e( k x / x ) [1cos( x  / R )]( k / x )  / 2， (4.25)
vx
R
vx me cC0

2

where 0=enb is the unperturbed line charge density, me  is the rest mass of electron, Z(k)
is the CSR impedance in unit of Ohm, x is the RMS beam radius, =s-s£ is the relative
path length difference between two positions at s and s£, specifically, if we choose s£ =0,
then =s. Note that the Eq. (4.25) uses the SI instead of CGS system of units as in Ref.
[42]. By smooth approximation, the kernel K(s£, s) is only dependent on the parameter

=s-s£ and radial tunex. Applying Laplace transform to the two sides of Eq. (4.20) yields
an algebraic equation
gˆ k (  ) 

gˆ k( 0) (  )
,
1  Kˆ (  )

(4.26)

where  is the complex Laplace variable and


gˆ k (  )   dsg k ( s )e  s ,
0



(4.27)

gˆ k( 0 ) (  )   dsg k( 0 ) ( s )e  s ,

(4.28)


Kˆ (  )   dK1 (  )e   ,

(4.29)

0

0

are the Laplace images of gk(s), gk(0)(s) and K1(), respectively. The relation of
1  Kˆ (  )  0 for the denominator of Eq. (4.26) determines the dispersion relation.

Finally the 2D dispersion relation for the CSR instability of an ultra-relativistic electron
beam in a non-isochronous storage ring is derived in Appendix B of Ref. [42] as


1 

2 2 2
2
 
ie 0
R
kZ (k )  de  [   sin x ]e  ( k x / x ) [1 cos( x  / R )] ( k E / E x )  / 2 .
2
vx
R
vx me  cC0
0

(4.30)

Note sdºsE/E has been used in Eq. (4.30), where sE is the RMS energy spread, and the

89

SI system of units is used in Eq. (4.30). Eq. (4.30) is an integral equation which
determines the relations between the wavenumber k and the complex Laplace variable .
For a fixed k, the values of  can be solved numerically.
Ref. [42] did not explicitly interpret the CSR instability growth rates from the solutions
to Eq. (4.30). Theoretically speaking, gk(s) can be calculated by inverse Laplace
transform (Fourier-Mellin transform)
gk ( s) 

0)
gˆ k( （
1   i
） s
d
e ，


2i   i 1  Kˆ (  )

(4.31)

where  is a positive real number. The integration is along the Bromwich contour, which
is a line parallel to the imaginary -axis and to the right of all the singularities satisfying
1  Kˆ (  )  0 in the complex -plane. In practice, the integral in Eq. (4.31) poses a great

difficulty in mathematics due to complexity of the integrand. A popular method dealing
with this difficulty is widely used in the Plasma Physics [43-46] by applying Cauchy’s
residue theory to an equivalent Bromwich contour. First, the Bromwich contour is
deformed by analytic continuation, and then the solutions of gk(s) can be evaluated by the
residues of the poles using Cauchy’s residue theorem as

g k ( s)   Rsd[ gˆ k (  )e s ,  j ]   lim [(   j ) gˆ k (  )e s ]   e
j

j

 u j

 js

Rsd[ gˆ k (  ),  j ]，(4.32)

j

where Rsd [ gˆ k (  ),  j ] stands for the residue of gˆ k (  ) at the pole j. Using the relation s
= ct, where t is the time, the temporal evolution of gk(s) becomes

g k (t )   e

 j ct

Rsd [ gˆ k (  ),  j ].

(4.33)

j

For a storage ring, C(s)=1, Eq. (4.24) gives the amplitude of perturbed harmonic line
density with wavenumber k as
90

| n1, k ( z , t ) || g k (t ) | .

(4.34)

Eqs. (4.33) and (4.34) show that, for a pole at j, (a) if Re(j)<0, the k-th Fourier
component of the line density damps exponentially at a rate of  -1 =Re(j)c; (b) if
Re(j)>0, this pole may induce the CSR instability which grows exponentially at a rate of

 -1 =Re(j)c. The total instability growth rates are dominated by the pole j which has
the greatest positive real part.
4.2.4.2 2D dispersion relation for microwave instability of low energy beam in
isochronous regime

The 2D dispersion relation Eq. (4.30) can be modified to study the space-charge
induced microwave instability of a low energy coasting

bunch in the SIR. In the

derivation of Eq. (4.30), the term which is proportional to 1/2 is neglected in the
longitudinal equation of motion due to  >>1. In addition, in Eq. (4.30), the method of
smooth approximation is used to express all the beam optics parameters, such as the
betatron function, phase advance, dispersion function, R51, R52, and R56 as functions of
radial tune νx. Because the space charge effects are also neglected, the radial betatron tune
νx in Eq. (4.30) is a k-independent constant. While for a coasting beam with space charge
in the SIR, the space charge fields may modify the radial tunes and beam optics
parameters. These neglected terms and space charge effects should be considered in the
2D dispersion relation for the SIR beam. Hence Eq. (1) and Eq. (4) of Ref. [42] should be
modified as

dz
x
x


 2,
ds
 (s)
 (s) 

91

(4.35)

s

R 56 ( s )   
0

D ( s )
D ( s )
s
d s     sc
d s  2 .


 (s )
 (s )

0
s

(4.36)

Consequently, using relative path length difference =s-s£, the increment of R56 from s£
to s in Eq. (B4) of Ref. [42] should be modified as
R56 ( s, s)  

1

x

2

  (

1



2
t ,sc



1

2

).

(4.37)

When the elements R51 and R52 are included, the corresponding modified increment of
R56 becomes
 
1
1 1
R 
R
~
R56(s, s)   2 [  sin( x )]( 2  2 )  3 sin( x,sc ).
x
R
t,sc 
 x,sc
R
x

(4.38)

where x,sc is the space-charge modified radial tune.
Note that:
(a) In Eq. (4.37), for the longitudinal dynamics in the isochronous regime, we cannot
use the method of smooth approximation to express R56(s£, s) by -( 1 / x2, sc –1/2)
directly due to smallness of the slip factor, otherwise it will induce considerable errors.
We may use R56(s£, s) = -( 1 /  t2,sc – 1/2) instead. While the sinusoidal function term in
Eq. (4.38) is contributed from R51 and R52, and it can be estimated as a function of the
radial betatron tune x,sc using the smooth approximation. 
(b) In Eqs. (4.36)-(4.38), R56(s)= ∑z/∑ is the linear correlation coefficient between the
longitudinal coordinate z at s and the fractional momentum deviation  at s=0. R56 (s£, s)
is the increment of R56 between s£ and s without the effects of R51 and R52
R56 ( s, s)  R56 ( s)  R56 ( s).

92

(4.39)

~
£
R56 ( s, s ) differs from R56(s) and R56(s , s) by including the effects of R51 and R52.

~
According to Appendix A of Ref. [42], for a coasting beam in the SIR, R56 ( s, s) can
be simplified as
x
x
~
R56 ( s, s)  R56 ( s, s) |s R51 ( s, s) 0 |s R52 ( s, s) 0 |s .



(4.40)

Now we can substitute Eqs. (4.37) and (4.38) into Eq. (4.30) to obtain the 2D
dispersion relation for the SIR beam. In the substitution, in the square bracket of the
integrand between the two exponential functions of Eq. (4.30), the space-charge modified
transition gamma t,sc and the radial tune νx,sc should be replaced by the coherent ones of

t,coh and νx,coh, respectively. While t,sc and νx,sc in the last exponential function of Eq.
(4.30) should be replaced by the incoherent ones of t,inc and νx,inc, respectively. If the
uncorrelated fractional RMS momentum spread sd is replaced by the RMS energy spread
sE using the relation sd =sE/(b2E), where E is the total energy of the on-momentum

particle, finally, the 2D dispersion relation for a low energy SIR beam in the SI system of
units becomes
1 


 1
 
ie 0
R
1 
||
kZ 0, sc (k )  de   [ 2  2    3 sin x , coh ]
vx , coh
R
mH 2  cC0
0
  t , coh  
1 k
 ( k x /  x ,inc ) [1 cos( x ,inc  / R )]  [ 2 E (1 /  t2,inc 1 /  2 )  ] 2
2  E

(4.41)

2

e

.

Note that the 2D dispersion relation Eq. (4.41) is derived for a Gaussian beam model
without the coherent radial centroid offsets and energy deviations. Therefore it is only
valid for predictions of the long-term microwave instability growth rates in an
isochronous ring neglecting the line charge density oscillations due to dipole moments of

93

the centroid offsets. Here the term ‘long-term’ stands for multi-periods of betatron
oscillations in the time scale. When the dispersion relation Eq. (4.41) is to be solved
numerically, a large but finite real number can be set as the upper limit of c instead of
infinity to calculate the integral.

4.3 Landau damping effects in isochronous ring
4.3.1 Space-charge modified coherent slip factors
For the SIR beam with typical beam intensities, usually |0| << coh, when the space
charge effects are considered. Then in the first-order approximation, according to Eq.
(4.16), the space-charge modified coherent slip factor without the effects of R51 and R52
(e.g., neglect the betatron motion effects) may be estimated as

coh  R 56 

1



2



t , coh

1

 0  coh  coh ,

2

(4.42)

which is essentially the same as Eq. (12) in Ref. [15].
For a ring lattice with average radius R and space-charge modified radial tune nx,sc, by
smooth approximation of ˆ  R/x ,  xs / R , DR/x2, ˆ  0 , D  0 , the increments of
R51 and R52 between s£ and s can be calculated from Eq. (B2) and Eq. (4) of Ref. [42] as
R51 (s, s)  -

R52 ( s, s ) 

 x,sc
1



 x,sc

1

2
x , sc

[sin(

v
s)  sin( x,sc s)],
R
R

 x ,sc

[cos(

R

s )  cos(

According to Eq. (4.9) (i.e., Eq. (20) of Ref. [42]),

94

v x ,sc
R

s)].

(4.43)

(4.44)

v
x0
R
|s  - 2 cos( x,sc s),
R

 x,sc

(4.45)

v
x0
1
|s'  sin( x,sc s).

 x,sc
R

(4.46)

Then by Eqs. (4.40) ， (4.43)-(4.46), in the second-order approximation, taking into
account the contributions from the matrix elements R51 and R52 (e.g., the betatron motion
effects) to the longitudinal beam dynamics, the space-charge modified coherent slip
factor can be calculated as
~
R56(s, s C0 )
x
x
~
coh [R56(s, s C0 ) |s R51(s, s C0 ) 0 |s R52(s, s C0 ) 0 |s ]/ C0


C0

 R56 R51(s) R52(s)  R56 

1
2x3,coh

sin(2x,coh)，

(4.47)

where
R51(s)  R51(s, s  C0 )




x0
1
|s / C0  [sin( x,coh (s  C0 ))  sin( x,coh s)]cos( x,coh s)，
3

R
R
R
2x,coh

(4.48)

R52(s)  R51(s, s  C0 )




x0
1
|s / C0 
[cos( x,coh (s  C0 ))  cos( x,coh s)]sin( x,coh s)，
3

R
R
R
2x,coh

(4.49)

R56  R56(s, s C0 ) / C0 

1



2
t,sc

1
 2，



(4.50)

are the slip factors contributed from the matrix elements R51, R52 and R56, respectively. We
can see hR51 and hR52 are functions of s, while hR56 is independent of s. The last term of Eq.
(4.47) is contributed from the combined effects of R51 and R52 and is independent of s. In
fact, Eq. (4.47) is the same as Eq. (2.30) which describes an off-momentum particle
performing betatron oscillation around a closed orbit.
Assuming a SIR bunch has beam intensity I0 = 1.0 mA, kinetic Energy Ek0 = 19.9 keV,

95

radial and vertical emittance x,0=y,0=50p mm mrad, the calculated slip factors by Eqs.
(4.47)-(4.50) as functions of the line charge perturbation wavelength l at s= C0 and s=10
C0 are shown in Figure 4.1. If we increase the beam intensity to 10 mA, the calculated slip
factors at s= C0 and s= 10 C0 are shown in Figure 4.2.
0.01

R56

0

R51(s=C0)



-0.01

R52(s=C0)

-0.02

R51(s=10C0)

-0.03

R52(s=10C0)

-0.04

R51+R52

-0.05

R51+R52+R56

-0.06
-0.07
-0.08
-0.09

0

0.5

1

1.5

2

2.5

3

3.5

4

4.5

5

 (cm)

Figure 4.1: Slip factors for I0 = 1.0 mA at s=C0 and s=10 C0.

0.08

R56
R51(s=C0)

0.06

R52(s=C0)

0.04

R51(s=10C0)
R52(s=10C0)



0.02

R51+R52

0

R51+R52+R56

-0.02

-0.04

-0.06

-0.08

0

0.5

1

1.5

2

2.5

3

3.5

4

4.5

5

 (cm)

Figure 4.2: Slip factors for I0 = 10 mA at s=C0 and s=10 C0.
Figure 4.1 and Figure 4.2 demonstrate that, for a beam in an isochronous ring, because
of smallness of hR56, the component of the space-charge modified slip factor hR51+hR52
contributed from the elements of R51 and R52 plays an important role in the longitudinal
beam dynamics and cannot be neglected. The situation is different from a storage ring
working far from transition. Note that in Figure 4.1 and Figure 4.2, the total slip factor

96

hR51+hR52+hR56 can be negative for some given perturbations wavelengths and beam

parameters.

4.3.2 Exponential suppression factor
We can define the exponential function of the integrand in Eq. (4.41) as exponential
suppression factor (E.S.F.)

E.S .F .  e

 ( k x / inc ) 2 [1 cos( inc  / R )]2

e

1 k
 [ 2 E (1 /  t ,inc 2 1 /  2 )  ] 2
2  E

.

(4.51)

The first exponential function in Eq. (4.51) originates from the smooth approximation
of R51(s£, s)=R51(s)–R51(s£), R52(s£, s)=R52(s) –R52 (s£) and the emitttance εx,0 =x2x,inc/R.
While the second exponential function in Eq. (4.51) originates only from the RMS energy
spread and R56(s£, s)=R56(s)–R56(s£) without the contributions of R51 and R52. The E.S.F.
is a measure of Landau damping effects for the microwave instability of SIR beam.
For a SIR beam with the current of 1.0 mA, mean kinetic energy of 19.9 keV, Figure 4.3(a)
shows the calculated E.S.F. at =C0 with E=0 and variable emittance. Figure 4.3(b)
shows the calculated E.S.F. at =C0 with x,0=50π mm mrad and variable E. Note for a
beam without uncorrelated energy spread (E=0 eV), the E.S.F. in the short-wavelength
limits is still small due to the finite beam emittance effect. Since the E.S.F. is related to
exp[-A(kx)2]=exp[-A(2x/)2] and exp[-B(kE)2]=exp[-B(2E/)2], where A and B are
coefficients which are independent of x, E and , then the Landau damping effects are
more effective for a beam with large uncorrelated RMS energy spread and emittance at
the shortest perturbation wavelengths. Figure 4.4(a) and Figure 4.4(b) show the
calculated E.S.F. at =10C0. Comparison between Figure 4.3(b) and Figure 4.4(b)
97

indicates the E.S.F. decreases significantly with larger relative path length difference 
due to the finite uncorrelated energy spread effect.

(a)

1

0.8

0.8

0.6

0.6

E.S.F.

E.S.F.

1

0.4
0.2

0

1

2

3
4
 (cm)

5

6

0.4
E=0 eV

0.2

10  mm*mrad
30  mm*mrad
50  mm*mrad

0

(b)

E =500 eV
E =1000 eV

0
0

7

1

2

3
4
 (cm)

5

6

7

Figure 4.3: The E.S.F. at  = C0 for a 1.0 mA, 19.9 keV SIR beam. (a) E = 0, and
variable emittance. (b) x,0= 50π mm mrad, and variable E.

1

(a)

1

E=0 eV

(b)

0.8

0.6

0.6

E.S.F.

E.S.F.

E =500 eV

0.8

0.4
0.2

0

1

2

3
4
 (cm)

5

6

0.4
0.2

10  mm*mrad
30  mm*mrad
50  mm*mrad

0

E =1000 eV

0
0

7

1

2

3
4
 (cm)

5

6

7

Figure 4.4: The E.S.F. at =10C0 for a 1.0 mA, 19.9 keV SIR beam. (a) E=0, and variable
emittance. (b) x,0= 50π mm mrad, and variable E.
The radial-longitudinal coupling matrix elements R51 and R52 may affect the microwave
instability in an isochronous ring in two ways. (a) Eqs. (4.47)-(4.50) show R51 and R52
may modify the coherent space-charge modified slip factor for a beam with coherent
energy deviations and the associated radial centroid offsets. (b) Eq. (4.51) shows, if a
coasting beam has finite energy spread and emittance, the incoherent motions of charged

98

particles under the effects of matrix elements R51, R52 and R56 may produce a finite spread
in the longitudinal motion spectrum around the revolution frequency. The revolution
frequency spread can help to smear out the longitudinal charge density modulations and
suppress the microwave instability growth rates, especially for the short-wavelength
perturbations. This is the origin of the Landau damping effects in the isochronous regime.
Since the matrix elements R51, R52 and R56 may affect the beam instability in such a
complicated way, it is difficult to predict how the instability growth rates will change if
only one of these elements is increased or decreased.

4.3.3 Relations between the 1D growth rates formula and 2D dispersion
relation
In the 2D dispersion relation Eq. (4.41), if we neglect the E.S.F. (incoherent motion
effects of single particle) and the sinusoidal term in the square bracket of the integrand
which originates from the coupling matrix elements R51(s) and R52(s) (coherent betatron
motion effects of the local centroids), the 2D dispersion relation is reduced to

 1
ie  0
1 
||
1 
kZ 0 , sc ( k )  d  e    2  2   .
 m H 2  cC 0
0
  t , coh  

(4.52)

With Eq. (4.42) and the equality of


 dse

 s

s

0

1

2

,

(4.53)

the simplified 2D dispersion relation Eq. (4.52) can be reduced further as

 1 (k )  c  0  i

coheI0 kRZ0||,sc
.
2 2 E

Eq. (4.54) is just the Eq. (4.1) for a 1D monoenergetic beam.

99

(4.54)

Though the model and the 1D dispersion relation in Ref. [16] can predict the
fastest-growing wavelength, the predicted growth rates are not proportional to the
unperturbed beam intensity I0. In Ref. [16], the longitudinal line density is
N(z)=Nkcos(kz), and the radial coherent space charge field factor  calculated in Eq. (12)
of Ref. [16] is proportional to N(z). In Eq. (23) of Ref. [16], the constant parameter is
proportional to the unperturbed line density N0 which is from Eq. (18) for the longitudinal
beam dynamics. Considering Eq. (24) of the same paper, since the instability growth rates

i predicted by Eq. (23) are proportional to [N0Nk(z)]1/2 instead of N0 or I0, then the
predicted instability growth rates of this model and theory violate the scaling law with
respect to the unperturbed beam intensity I0 observed in our experiments and simulations.
In reality, the longitudinal line density should be N(z)=N0+Nkcos(kz), the above
discrepancy results from the missing of N0 in the model in calculation of the radial space
charge field factor . Note that the parameter  2 (k ) in Eqs. (17) and (23) of Ref. [16]
has a similar behavior to 1–kr0K1(kr0) plotted in Fig. 5 of Ref. [15], which peaks at
wavelength =0 and decreases monotonically with . If N0 were included in this model,
this model would be similar to the one in Refs. [14, 15]. It can neither explain the
suppression of the short-wavelength perturbations nor predict the fastest-growing
wavelengths properly.

4.4 Simulation study of the microwave instability in SIR
4.4.1 Simulated growth rates of microwave instability
In this section, we will study the simulated spectral evolutions of the microwave

100

instability using the fast Fourier transform (FFT) technique and compare with the
theoretical calculations. Studies of the long-term microwave instability are carried out by
running CYCO up to 100 turns for a macro-particle bunch to mimic a real

bunch in

SIR. The bunch has an initial beam intensity I0 =1.0 mA, monoenergetic kinetic energy
Ek0=19.9 keV, radial and vertical emittance x,0=y,0=50p mm mrad. The initial
distributions are uniform in both the 4-D transverse phase space (x, x£, y, y£) and the
longitudinal charge density. A total of 300000 macroparticles are used in the simulation.
Considering both the curvature effects on the space charge fields when a long bunch
enters the bending magnets, and the edge field effects of a short bunch, a bunch length of

b =300 ns (Lb 40 cm) is selected in the simulation. Due to the strong nonlinear edge
effects in the bunch head and tail, only the beam profiles of the central part of the bunch
with longitudinal coordinates -10 cm § z § 10 cm are analyzed by FFT. At each turn, the
density profiles of the coasting bunch with coordinates of -10 cm § z § 10 cm are sliced
into 512 small bins along z-coordinate, the number of macroparticles in each bin is
counted, and the 512-point FFT analysis is performed with respect to z. The microwave
instability of SIR beam is a phenomenon of line charge density perturbations with typical
wavelengths of only several centimeters. The full chamber height is about 4.8 cm, which
gives the approximate upper limit of the perturbation wavelengths in the simulation study.
According to the Nyquist-Shannon sampling theorem, the shortest wavelength which can
be analyzed by the 512-point FFT is 2ä20 cm/512º0.078 cm. Since the beam diameter is
about 1.0 cm, the simulation results for the shorter wavelengths of l =1.0 cm, 0.5 cm and
0.25 cm may give us some insights on the instabilities of short wavelengths comparable
to or less than the transverse beam size. A series of mode number of 4, 5, 7, 10, 20, 40

101

and 80 are selected for the 20-cm-long beam profiles, which give the corresponding line
charge density perturbation wavelengths of l=5 cm, 4 cm, 2.857 cm, 2 cm, 1 cm, 0.5 cm
and 0.25 cm. The growth rates of these wavelengths are fitted numerically and studied in
the analysis. In order to minimize the effects of randomness in the initial beam
micro-distribution on the simulation results, for each setting of beam parameters, the code
CYCO is run five times for five different initial micro-distributions, and the average
growth rates of the five runs for each given perturbation wavelength are used as the
simulated growth rates in the analysis work.
Figures 4.5- 4.7 show the simulated beam profiles and line density spectra at turn 0,
turn 60, and turn 100 for a single run of CYCO, respectively. In each of these figures, the
left graph displays the top view of the beam distributions (blue dots) superimposed by the
number of macroparticles per bin (red curve); the right graph displays the spectrum of the
line charge density analyzed by FFT. We can see the line density modulation amplitudes
increase with turn numbers, and the peaks of the line density spectra shift to the
frequencies around 1/l º 0.5 cm-1 or the wavelength l º 2.0 cm at large turn number.
3.5

Turn0

(b)

3

Spectrum

2.5
2
1.5
1
0.5
0
0

1

2
3
1/ (cm-1)

4

Figure 4.5: (a) Beam profiles and (b) line density spectrum at turn 0.

102

5

8

Turn60

(b)

Spectrum

6

4

2

0
0

1

2
3
1/ (cm-1)

4

5

Figure 4.6: (a) Beam profiles and (b) line density spectrum at turn 60.

30

Turn100

(b)

Spectrum

25
20
15
10
5
0
0

1

2
3
1/ (cm-1)

4

5

Figure 4.7: (a) Beam profiles and (b) line density spectrum at turn 100.

Figure 4.8 shows the FFT analysis results of the temporal evolutions of the normalized

ˆ /  for the seven chosen line charge density perturbation
line charge densities 
k
0
wavelengths l up to turn 100 for a single run of CYCO. We can see there are some
oscillations superimposed on the exponential growth curves.
Figure 4.9 shows the temporal evolutions of the normalized line charge densities
spectra of six given wavelengths and the fitting results using proper fitting functions.

103

0.1
=5.0 cm
=4.0 cm
=2.857 cm
=2.0 cm
=1.0 cm
=0.5 cm
=0.25 cm

$^ k =$ 0

0.08

0.06

0.04

0.02

0

0

20

40

60

80

100

Turn #

Figure 4.8: Evolutions of harmonic amplitudes of the normalized line charge densities.

4

4


3

-1
0

 = 0.5 (cm)

(a)

= 9e-08 (s-1)

Amplitude (arb. unit)

Amplitude (arb. unit)

 = 0.25 (cm)

2
1
0

Data
Fitting

-1
0

20

40
60
Turn #

80

(b)

= 288 (s-1)

2
1
0

(c)

0

Amplitude (arb. unit)

Amplitude (arb. unit)

-1
0

Data
Fitting
20

40
60
Turn #

80

100

25
 = 1 (cm)
 -1 = 5.51e+03 (s-1)
 = 1.498e+06 (rad. s-1)

6
4
2
Data
Fitting

0
0



-1
0

100

10
8

3

20

40
60
Turn #

80

20

0

(d)
-1

 = 1.505e+06 (rad. s )

15
10
5
0
0

100

 = 2 (cm)
-1
-1
 = 7.67e+03 (s )

Data
Fitting
20

40
60
Turn #

80

100

Figure 4.9: Curve fitting results for the growth rates of the normalized line charge
densities for a single run of CYCO. (a) λ = 0.25 cm; (b) λ = 0.5 cm; (c) λ = 1.0 cm; (d) λ =
2.0 cm; (e) λ = 2.857 cm; (f) λ = 5.0 cm.

104

Figure 4.9 (cont’d)
30

10

 = 2.857 (cm)

(e)
-1

= 7.22e+03 (s )

Amplitude (arb. unit)

Amplitude (arb. unit)

25

-1

0

-1

20

 = 1.501e+06 (rad. s )

15
10
5
0
0

Data
Fitting
20

40
60
Turn #

80

8

 = 5 (cm)
 -1 = 5.74e+03 (s-1)

(f)

0

 = 1.504e+06 (rad. s-1)

6
4
2
Data
Fitting

0
0

100

20

40
60
Turn #

80

100

For the cases of l=0.25 cm and l=0.5 cm, since the oscillations are irregular, we
choose the fitting function as
t

0

ˆe .
| 1 (t ) | 

(4.55)

For the cases of l =1 cm, 2 cm, 2.857 cm, 4 cm, and 5 cm, since there are obvious
sinusoidal oscillations in line charge densities superimposed on exponential growths, we
choose the fitting function as
t

0

ˆ e  PeQt / T0 cos(t  ),
| 1 (t ) | 

where ˆ , P, Q, , , and 0 are the fit coefficients, T0 is the revolution period of

(4.56)
ion,

t=NtT0, Nt is the turn number, 0-1 is just the long-term instability growth rate. Note for
beam energy of 19.9 keV, the nominal angular betatron frequency is =1.499106 rad/s.
The fitting results show the oscillations in the curves for l =1.0 cm, 2.0 cm, 2.857 cm,
and 5.0 cm are just the betatron oscillations, they are the dipole modes in the longitudinal
structure of the beam due to dipole moment of the centroid offsets [20].

105

14000

1D formula
2D dispersion relation
Simulation

Growth Rates (s -1)

12000
10000
8000
6000
4000
2000
0
-2000

0

1

2

3

4

5

6

7

 (cm)

Figure 4.10: Comparison of the instability growth rates between theory and simulations
for five runs of CYCO.
Figure 4.10 shows the comparison of the microwave instability growth rates between
the theoretical values and the average simulation results for five runs of CYCO. Note that
the theoretical values are predicted by the 1D formula of Eq. (4.1) with the slip factor
expressed in Eq. (4.4) plus 0, and the 2D dispersion relation of Eq. (4.41) with the
space-charge modified tunes and transition gammas expressed in Eqs. (4.13)-(4.16). For
both the 1D and 2D formalisms, the LSC impedances are calculated by Eq. (4.3), and the
beam radii r0 are calculated from the solution to the algebraic matched-beam envelope
Eqs. (4.93) of Ref. [47]. Note that in Figure 4.10, the 1D formalism used in Refs. [14, 15]
and the 2D dispersion relation have similar performance in prediction of the growth rates
of the long-wavelength perturbations (l¥4 cm), which are all consistent with the
simulation results. For l<2 cm, the 1D formalism significantly overestimates the
instability growth rates as lØ0 and cannot predict the fastest-growing wavelength (lº 2
cm) correctly, because Eq. (4.1) neglects the Landau damping effects of finite emittance
and energy spread; while the 2D dispersion relation, with the Landau damping effects
106

taken into account, has a much better performance than the conventional 1D formula in
prediction of instability growth rates in the short-wavelength limits (l<2 cm) and the
fastest-growing wavelength, though there still exist some bigger discrepancies between
the simulations and theory for very short wavelength l<1 cm. Therefore we can see the
Landau damping is a necessary mechanism to explain the low instability growth rates of
the short-wavelength perturbations ( is less than or comparable to r0), which cannot be
explained by the conventional 1D formalisms. Only at larger wavelengths ( >> r0) will
the 1D and 2D dispersion relations have the similar performance.

4.4.2 Growth rates of instability with variable beam intensities
In order to study the dependence of microwave instability growth rates on initial beam
intensities, simulations using CYCO are carried out for SIR beams with Ek0 = 19.9 keV,
sE= 0 eV, b = 300 ns (Lb 40 cm), x,0=y,0=50p mm mrad, I0 =0.1, 0.3, 0.5, 5.0, and 20
mA, respectively. The initial distributions are uniform in both the 4-D transverse phase

space (x, x£, y, y£) and the longitudinal charge density. The simulation for each intensity
level is performed five times using five different initial micro-distributions, and the
average simulated growth rates of the selected perturbation wavelengths of the five runs
are used in analysis. For I0 >20 mA, due to fast development of beam instability, the beam
dynamics may enter the nonlinear regime only after several turns of coasting. This makes
the fitting work difficult and inaccurate, therefore the simulation results for the intensities
of I0 >20 mA are not available in this paper.

107

4

1

x 10

0.1 A, Simulation
0.3 A, Simulation
0.5 A, Simulation
5 A, Simulation
20 A, Simulation
0.1 A, Theory
0.3 A, Theory
0.5 A, Theory
5 A, Theory
20 A, Theory

0
-0.5

-1

0

-1

 /I (s /A)

0.5

-1
-1.5
0

1

2

3
 (cm)

4

5

Figure 4.11: Comparisons between the simulated and theoretical normalized instability
growth rates for different beam intensities.
Figure 4.11 shows the comparisons between the simulated and theoretical normalized
instability growth rates for beam intensities ranging from 0.1 mA to 20 mA. We can see,
except for I0 =0.1 mA, the theoretical normalized growth rate curves roughly overlap each
other within a region. The theory and simulations are roughly consistent to each other for
l >2 cm and 0.3 mA§ I0 § 20 mA. For l < 2 cm, the discrepancies between the simulation

and theory become bigger.

4.4.3 Growth rates of instability with variable beam emittance
In order to study the dependence of microwave instability growth rates on initial beam
emittance, simulations using CYCO are carried out for SIR beams with Ek0 =19.9 keV,
sE=0 eV, b =300 ns (Lb  40 cm), I0=1.0 mA, x,0=y,0=30p mm mrad, 50p mm mrad and

100p mm mrad, respectively. The code CYCO is run up to 100 turns and the growth rates
are fitted by proper functions. For each initial emittance, the average growth rates of five
runs with different initial micro-distributions are used in the analysis. Figure 4.12 shows
the comparisons of growth rates between theory and simulations. We can see for l>1.0

108

cm, the simulated and theoretical instability growth rates are consistent with each other,
the larger emittance may help to suppress the instability growth rates. While for l<1.0 cm,
the discrepancies between the simulation and theory become bigger.

4

x 10

30  mm mrad, Simulaion
50  mm mrad, Simulaion
100  mm mrad, Simulaion
30  mm mrad, Theory
50  mm mrad, Theory
100  mm mrad, Theory



-1

(s-1)

2
1.5
1
0.5
0
0

1

2

3
 (cm)

4

5

Figure 4.12: Comparisons of microwave instability growth rates between theory and
simulations for variable initial emittance.

4.4.4 Growth rates of instability with variable beam energy spread
Figure 4.13 shows the comparisons of growth rates between theory and simulations for
SIR beams with Ek0=19.9 keV, b =300 ns (Lb 40 cm), I0 =1.0 mA, x,0=y,0=50 mm mrad,
sE=0, 50, and 75 eV, respectively. The code CYCO is run up to 100 turns and the growth

rates are fitted by proper functions. For each initial RMS energy spread sE, the average
growth rates of five runs with different initial micro-distributions are used in the analysis.
We can see for l>2.0 cm, the simulated and theoretical instability growth rates are
consistent with each other, the larger energy spread may help to suppress the instability
growth rates. While for l<2.0 cm, the discrepancies between the simulation and theory
become bigger.

109

4

1

x 10

 = 0 eV,

Simulaion

E

 = 50 eV, Simulaion

-1

E

-1

(s-1)

0



 = 75 eV, Simulaion
E

 = 0 eV,

Theory

E

-2

 = 50 eV, Theory
E
 = 75 eV, Theory
E

-3
0

1

2

3
 (cm)

4

5

Figure 4.13: Comparisons of microwave instability growth rates between theory and
simulations for variable uncorrelated RMS energy spread.

4.4.5 Possible reasons for the discrepancies between simulations and
theory in the short-wavelength limits
Figures 4.10- 4.13 show there exist bigger discrepancies between the theoretical and
simulated instability growth rates in the short-wavelength limits (especially for § 1.0
cm), they may be caused by one or some of the following reasons:
(a) Deviation from the beam model.
The 2D dispersion relations Eqs. (4.30) and (4.41) are derived from the unperturbed
Gaussian beam distribution described in Eqs. (4.17) and (4.18), which can be rewritten as
product of three Gaussian distribution functions
( x ) 2
(  uˆz 0 ) 2
nb
x0
exp（
f0 
）exp[- 0 ] exp[
].
3
 x ,0
2 2
2 x ,0 ˆ0
2
2
（2） x ,0 
ˆ
2

(4.57)

0

The model assumes the transverse phase space (x0,

) is centered at (<x0>=0, < >=0).

For storage rings, the assumption of the linear chirp factor uˆ  0 , the compression factor
C(s)=1 are also used in the derivations. Therefore the coherent fractional momentum

110

deviation   0    uˆz0    0, and there is no correlation between the transverse
and longitudinal distributions. The initial unperturbed distribution function described in
Eq. (4.57) is just the product of three normal distribution functions with zero-mean.
While as the beam coasts in the ring, there will be local centroid offset <x0> induced by
the coherent fractional momentum deviation <d0> due to dispersion function D:
 x0  D   0  .

(4.58)

In addition, when sinusoidal centroid wiggling takes place due to space charge force, the
correlated fractional moment deviation uˆz 0 should be replaced by a sinusoidal function
of z0, then the compression factor C(s)∫1 and will be dependent on s or t. The non-zero
<x0>, <d0> and non-constant, s-dependent compression factor C(s) will shift the centers
of beam distributions in the longitudinal and transverse phase space, produce a
radial-longitudinal correlation in distribution function. Consequently, the 2D dispersion
relations (4.30) and (4.41) will be modified, the amplitude of perturbed harmonic line
density

| n1, k ( z , t ) || g k (t ) | described

in

Eq.

(4.34)

should

be

replaced

by

| n1, k ( z , t ) || C (t ) g k (t ) | too. This may cause the bigger discrepancies between the

theoretical and simulated instability growth rates in the short-wavelength limits.
(b) Curvature effects
The LSC impedance, space-charge modified betatron tunes and transition gammas
are all derived for an infinite long, straight beam model, while the SIR consists of four
90o bending magnets which account for about 43% of the ring circumference. When the
beam enters these bends, the curvature effects on the longitudinal and transverse beam
dynamics are not taken into account in the theoretical analysis.
(c) LSC fields of the dipole mode
111

The centroid wiggling may induce the LSC fields of the dipole mode which are
neglected in the theoretical analysis.
(d) Spectral leakages
In the data analysis, the line charge density perturbations around the fastest-growing
wavelength (2.0 cm) have larger amplitudes comparing to the modes with smaller
growth rates, and the FFT analysis is applied to a bunch with finite length using
rectangular window. The fastest-growing modes may inevitably create the new frequency
components (false spectrum) spreading in the whole frequency domain, namely, the
so-called spectral leakages. The leaked spectra from the faster-growing modes may mix
with and mask the real spectra of the slower-growing modes, therefore lower the
resolutions of the FFT analysis results.
(e) Initial distribution
In Figures 4.12 and 4.13, because the beams with uniform longitudinal charge density
are used in the simulations, their residual line charge modulation amplitudes are
vanishingly small (theoretically speaking, they should be 0 in ideal conditions). When the
growth rates in short-wavelength limits are negative due to larger beam emittance and
energy spread, they can hardly be detected since the initial density modulation amplitudes
have reached minima already.
In summary, the bigger discrepancies between the theoretical and simulated instability
growth rates in the short-wavelength limits may be caused by various reasons. Due to
complexity of the problem, for the time being, further discussions are not available in this
dissertation.

112

4.5 Conclusions
Due to space charge effects and radial-longitudinal coupling, an ideally isochronous
ring becomes a quasi-isochronous ring, which may result in the microwave instability and
a finite revolution frequency spread. The relative motions among particles along the
azimuthal direction are not frozen completely. The Landau damping mechanism still
takes effect and may suppress the microwave instability in the isochronous regime.
A modified 2D dispersion relation is introduced to discuss the Landau damping effects
for a coasting beam in the isochronous regime. The radial-longitudinal coupling transfer
matrix elements R51 and R52 are included in the 2D dispersion relation. These elements
can modify the coherent slip factor, together with R56, they also provide an exponential
suppression for the instability growth rates of a beam with finite energy spread and
emittance by Landau damping effects. The 2D dispersion relation is benchmarked by
simulation code CYCO for bunches with variable initial beam intensities, energy spread
and emittance. The theory agrees well with the numerical simulations for perturbation
wavelengths of l>2.0 cm. While for l<2.0 cm, the discrepancies between simulations
and theoretical predictions become larger. The possible reasons for the discrepancies are
pointed out and discussed. By comparisons, the 2D dispersion relation has a better
performance than the conventional 1D growth rate formula; the latter significantly
overestimates the growth rates in the short–wavelength limit lØ0 and is incapable of
predicting the correct fastest-growing wavelength.
In summary, the Landau damping effect is a necessary and important mechanism for an
accurate prediction of the instability growth rates of the short-wavelength perturbations
and the fastest-growing wavelength.

113

Chapter 5
DESIGN AND TEST OF ENERGY ANALYZER3

5.1 Introduction
Due to the repulsive space charge force, an initially monoenergetic bunch will develop
energy spread among the beam particles when the bunch coasts in a storage ring. For the
evolutions of the microwave instability and beam distribution, the development of the
energy spread plays an important role and need to be measured accurately. For this
purpose, SIR Lab has constructed a compact, high resolution electrostatic retarding field
energy analyzer (RFA) with rectangular electrodes and a large entrance slit. This chapter
will present the design and test of the energy analyzer.

5.2 Working principles and design considerations of the RFA
Because of the simple structure and high signal-to-noise ratios, an electrostatic RFA
was chosen as the energy measurement device for the low energy SIR beam. The working
principles of the generic electrostatic RFAs are simple: there is an electrode biased to a
variable retarding voltage inside the analyzer (see Figure 5.1(a)), if the longitudinal
component of the kinetic energy of an incident particle is no less than the peak of the
retarding potential barrier, the particle can overcome the barrier and reach the current
collector to form collector current. The energy profiles within the beam can be deciphered
by analyzing the collector current as a function of the scanning retarding voltages V1.
                                                             
3
  The contents related to design and testing of energy analyzer of this chapter is written based on Ref. [19]. 

114 

Theree are several types of RFA
R which are
a commonlly used in thhe energy m
measurementts,
for example,
e
thee parallel-pllate analyzeer, spherical condenser, Faraday caage, etc., foor
which
h Ref. [48] provided
p
an excellent rev
view.

 

 

Figurre 5.1: (a) Scchematic of a basic paraallel-plate RF
RFA. (b) Ideaal I-V characcteristic curvve
with V2=V0 for monoenerget
m
tic particles (c) Usual I-V characteeristic cutofff curve. Thhe
slopee between V=
=V0-DV and V=V0 is duee to the trajeectory effectt. The effect of secondarry
electrron emission
n is shown in
n the dotted curve. (Notte: the figuree is reproducced from Reef.
[48]).
In
n the design
n and operattion of a RF
FA, special attention neeeds to be ppaid to som
me
effectts which may affect its resolution.
r
(a)) Aperture lens effect
Let us assumee a beam en
nters a decellerating fieldd through aan entrance aaperture. Thhe
charg
ge and kinetiic energy of a single beaam particle aare e and eV
V0, respectiveely. Due to thhe
differrent field strengths beforre and after the
t aperture,, the electricc field lines iin the vicinitty
of thee aperture arre bent towarrds the apertture. The parrticle with a radial offset with respecct
to thee aperture ax
xis sees a radial focusing
g force befoore the apertuure and a deefocusing onne
after the aperturee. Since the particle’s
p
eneergy after thhe aperture iss smaller thaan that beforre
the ap
perture, the net effect is defocusing resulting inn an increasee of the diveergence angle.
This aperture len
ns effect can be
b characterrized by a foccal power [448] as

115 

1 / f  ( E 2  E1 ) / 4V0 ,

(5.1)

where E1 and E2 are the field strength before and after the entrance aperture. Ref. [47]
provides a detailed derivation for Eq. (5.1).
(b) Trajectory effect
Only the longitudinal component of the kinetic energy is effective to overcome the
retarding potential. For example, among the existing analyzers, the simplest one is the
primitive two-element parallel-plate analyzer (see Figure 5.1(a)). This type of RFA has a
good resolution only when the trajectories of the beam are parallel to the analyzer axis. In
this case, for a monoenergetic beam with initial kinetic energy eV0, the ideal I-V (current
signal v.s regarding voltage) characteristic curve of the analyzer is similar to a step
function with a sharp cutoff at V2=V0 (see Figure 5.1(b)). In reality, due to the initial beam
emittance, the aperture lens effect, space charge effect and misalignment, the moving
directions of the particles inside the analyzer usually have finite nonzero slopes with
respect to the analyzer axis. Then the actual I-V curve for a monoenergetic beam may
look like that in Figure 5.1(c), where the curve begins to drop at V=V0-DV. This may
result in a poor resolution of the parallel-plate analyzer DV/V0 typically in the range of
10-3-10-2. In order to suppress this trajectory effect and expansion of beamlet due to space
charge effect, a focusing electrode is usually introduced in the analyzer between the
entrance aperture and the retarding electrode; another option is to choose a special
multifunctional retarding/focusing electrode that can decelerate and focus the sampled
beamlet at the same time.
(c) Secondary electron emission
When the charged particles bombard the metal current collector, a fraction of the

116 

kinetic energy of the incident particles will transfer to the electrons of the collector
surface. Hence, some electrons will be knocked out of the metal surface. This
phenomenon is termed secondary electron emission. This effect may cause a deformation
of the plateau of I-V characteristic curve as shown by the dotted line in Figure 5.1(c), if
the primary particles are negatively charged. For positive primary particles, the ascending
dotted curve in Figure 5.1(c) should be replaced by a descending one. These secondary
electrons may yield false current signals and resolution degradation, thus must be
suppressed. According to Ref. [49], when a positive ion with mass M and kinetic energy
eV hits a metal surface of work function f, the maximum kinetic energy of the secondary
electron is

Emax  e[(4m/ M)4V Vi ],

(5.2)

where Vi is the ionization potential of the neutral atom of the ion species. Usually the
initial kinetic energy of the secondary electrons is low. Hence, introduction of an electron
suppressor biased to a low voltage can suppress the secondary electron emission
effectively.
(d) Elastic reflection
Even if the kinetic energy of the beam particles hitting the collector is high, not all of
them can be captured by the collector to form current signals. After collisions with the
metal surface, some ‘naughty’ particles will be reflected backward elastically with almost
the same energies as those of the primary particles. These rebounded particles usually
have a cosine angular distribution about the normal direction of the collector surface. In
order to suppress this effect, a Faraday cage or a C-shaped collector with an opening

117 

facing
g the incideent particles can be adop
pted in the ddesign. The rebounded pparticles maay
experrience severral collision
ns on the collector suurface withh grazing inncidence annd
reflecction before final capturee.
(e)) Space charg
ge effect
Wh
hen the intensity of the sampled neegative (posiitive) particlles inside thhe analyzer is
higheer than a crittical value, the induced space chargge effect is so strong thhat a potentiaal
dip (b
bump) can be
b formed which
w
can refflect the inciident particlles. The meaasured energgy
specttrum will haave a long taail at the higher energyy side with tthe mean ennergy shiftinng
towarrd the low energy sid
de. This efffect is shoown in Figgure 5.2 forr the energgy
measurement results of eleectron beam
mlets with different currents obtained at thhe
University of Maaryland Electron Ring (U
UMER) [50]]. In order too avoid this space chargge
effectt, the energy
y measuremeent should alw
ways be per formed beloow the criticaal intensity.

Figurre 5.2: Com
mparison of the
t measureed energy sppectra for ellectron beam
mlet with tw
wo
differrent currentss inside the analyzer. Curve
C
I is fo
for the curreent of 0.2 m
mA, the RM
MS
energ
gy spread is 2.2 eV; Currve II is for the
t current oof 2.6 mA, thhe RMS eneergy spread is
3.2 eV
V. (Note: thee figure is cited from Ref. [50]).
118 

5.3 Design
D
reequiremen
nts for thee SIR eneergy analyyzer
Th
he SIR energ
gy analyzer is required to be able tto scan acrooss the beam
m horizontallly
(radiaally), so thaat the radial distribution of the enerrgy spread oof a deflecteed bunch at a
choseen number of
o turns afterr injection can be measuured. It is innstalled undeer the mediaan
planee in the Extrraction Box or Measurement Box (ssee Figure 55.3) to replaace the Sectoor
o

Fast Faraday
F
Cup
p. The entran
nce plate of the analyzerr is tilted at an angle (abbout 10 ) witth
respeect to the veertical plane to align th
he analyzer aaxis parallell to that of the deflecteed
beam
m. The design
n parameterss of the SIR energy
e
analyyzer are show
wn in Table 5.1.

Figurre 5.3: A Schematic
S
of
o the Measu
urement Boxx.‘Phos. Sccreen’, ‘E. A
A’ and ‘Medd.
Planee’ stand forr the ‘Phosphor Screeen’, ‘Energgy Analyzerr’ and ‘Meedian Planee’,
respeectively.
Table
T
5.1: Deesign parameeters of the S
SIR Energy Analyzer
Io
on species

H2+

Beeam energy

20 keV

Beeam current

0-30mA

Beaam emittancee

100p mm*mradd

Enerrgy change (due to spacee charge)/turrn

7-8 eV

Beeam radius

5 mm

119 

s
of the SIR energy anallyzer with a horizontaally (radiallyy)
Figurre 5.4: A schematic
expan
nded beam. The beam (g
green oval) is moving toowards the aanalyzer (innto the paperr).
The analyzer
a
can
n scan back and
a forth alo
ong the ringg radius. Thee thin yellow
w rectangle iin
the middle
m
of the analyzer deepicts a samp
pled beam sllice or beamllet.
Fig
gure 5.4 dep
picts the schematic of th
he SIR energgy analyzer. A horizontaally (radiallyy)
expan
nded beam (green
(
oval)) due to spaace charge eeffect and diispersion funnction is alsso
show
wn in the plott. The beam is moving in
nto the papeer. This figurre shows a sccenario of thhe
spatiaal relation between
b
the energy anaalyzer and thhe beam in the measurrement, if w
we
follow
w behind thee beam and watch along
g its movingg direction toowards the analyzer. Thhe
beam
m size of SIR
R is about 10
0 mm in diam
meter and the beam peakk current is oonly on abouut
10 mA
A level (outside the anaalyzer for a DC
D beam). IIn order to ssample as m
much beam aas
possible, we ado
opted a 14 mm
m (verticaal) μ 1 mm
m (horizontaal) rectangullar slit as thhe
entran
nce aperturee instead off a conventional small hole (Figuree 5.4). Thiss asymmetric,
large entrance aperture makes the design work more challenging.

5.4 A brief in
ntroductio
on to the UMER
U
an
nalyzer
Th
he University
y of Marylaand has desiigned the 2nnd and 3rd ggeneration compact, higgh
resolu
ution cylindrrical RFAs to measure th
he energy sppread of the eelectron beam in UMER
R.

120 

Figurre 5.5: Schem
matic of the 2nd generatiion UMER energy analyyzer. (a) Fieeld model annd
simullated trajecto
ories (left). (b) Mechaniical structurre (right). (N
Note: the figuures are citeed
from Ref. [51]).

 

Figurre 5.6: Schem
matic of thee 3rd generatiion UMER eenergy analyyzer. (a) Fieeld model annd
simullated trajecto
ories (left). (b)
( Electroniic circuit (rigght). (Note: the figures aare cited from
m
Ref. [52]).
[

121 

Figure 5.5 illustrates the diagram of the 2nd generation UMER analyzer [51]. The left
plot shows the field model, equipotential lines, and beam trajectories simulated by the
code SIMION [53]; the right plot depicts its mechanical structure. Figure 5.6 illustrates
the diagram of the 3rd generation UMER analyzer [52]. The left plot shows the field
model, equipotential lines, and beam trajectories simulated by the code SIMION; the
right plot depicts its electronic circuit. Both analyzers have cylindrical housing tube,
entrance plate with a circular entrance hole, focusing cylinder, retarding mesh, and
current collector in common. The only difference is that in the 2nd generation analyzer,
the retarding fine mesh is soldered to the focusing cylinder and they always keep the
same retarding voltage; while in the 3rd generation analyzer, the retarding mesh is shifted
away from the focusing cylinder’s end plane by several millimeters, and an extra low
voltage power supply is employed to produce a variable focusing voltage between them.
The working principles of the two analyzers are similar: if an electron beam enters the
analyzer through the entrance aperture, it will be decelerated and focused by the retarding
field produced by the focusing cylinder and the retarding mesh. The curved equipotential
lines can decelerate and focus the beamlet at the same time. Only those electrons whose
kinetic energies are higher than the retarding voltage can pass through the retarding mesh
to form current on the collector. By changing the retarding voltage on the mesh and
analyzing the change of collector current as a function of retarding voltage, the energy
profile of the primary beam can be obtained. The 3rd generation analyzer has a better
resolution, because it can minimize the coherent errors further by providing an extra
focusing for the electrons in the vicinity of the retarding mesh, where they have
exhausted most of their kinetic energies. Note that in the 2nd generation UMER analyzer,

122 

for an ideal retarding mesh consisting of infinitely thin wires with an infinitely large wire
density (number of wires in a unit length) and 100% transmission rate, the retarding point
(position where the retarding potential has maximum magnitude) of the analyzer should
be on the plane of the retarding mesh; while in reality, due to the finite wire density and
the difference of the longitudinal potential gradients in the vicinity of the mesh plane, the
potential distribution on the mesh plane is not uniform. The potentials in the void region
enclosed by the mesh wires are different from the retarding voltages applied on the wires.
Therefore, the actual resolution of the 2nd generation UMER analyzer should be
dependent on the wire density. While for the 3rd generation UMER analyzer, due to the
low focusing voltage applied between the focusing cylinder and the retarding mesh, the
retarding point is located at several millimeters before the mesh plane. Hence, the actual
resolution of the 3rd generation analyzer is not sensitive to the wire density. For the
UMER analyzers, because the electric field between the retarding mesh and the collector
is a natural decelerating field for the possible secondary electrons emitting from the
collector, it is not necessary to adopt the secondary electron suppressors.

5.5 Design of the SIR energy analyzer
A thin 14 mm μ 1 mm rectangular slit has been chosen as the entrance aperture for the
SIR analyzer for the sake of better signal-to-noise ratio. Due to the large aspect ratio of
the beamlet sampled by the SIR analyzer, it is impossible to apply an extra focusing
voltage between the retarding/focusing tube and the retarding mesh to fine-tune the
focusing strength in both the horizontal and vertical planes at the same time like the 3rd
generation UMER analyzer. In the end, we use the 2nd generation UMER analyzer as the

123 

main design reference for the SIR analyzer.
From emittance measurement, the divergence angles of the primary SIR beam in the
horizontal and vertical planes are found to be roughly the same. In order to focus the
particles at the edges of the sampled beamlet inside the analyzer with the same focusing
strength in both planes for optimum resolution, the contour of the equipotential lines in
any planes normal to the analyzer axis must be a family of concentric rectangles, of
which the aspect ratios should be similar to that of the sampled beamlet in the
retarding/focusing region. This requires both the retarding/focusing electrodes and the
housing of SIR analyzer must have rectangular cross-section.
Due to the much higher particle energy (which is equal to the retarding/focusing
voltage times unit charge), and the much larger vertical dimensions of the beamlet
sampled by the SIR analyzer than those of the electron beamlet sampled by the UMER
analyzer, the distance between the retarding mesh and the entrance plate of the SIR
analyzer must be much shorter than that of the UMER analyzer to get a proper focusing
for the SIR beamlet, otherwise the particles will be over-focused yielding poor resolution.
In addition, in the SIR analyzer, since the electric field between the retarding mesh and
the collector is an accelerating field for the possible secondary electrons escaping from
the collector surface, a secondary electron suppressor which is biased to a negative
voltage should be introduced between the retarding mesh and the collector. For the above
reasons, the longitudinal potential gradient between the retarding mesh and entrance plate
of the SIR analyzer is much higher than that of the UMER analyzer, especially in the
vicinity of the retarding mesh plane. This makes the resulting analyzer resolution highly
dependent on the mesh wire density. Considering both the transmission rates and wire

124 

density, finally, we choose a Nickel mesh with 1000 lines per inch (LPI=1000) and 50%
transparency rate in our design.
Though the working principles of the SIR and UMER analyzers (2nd generation) are
similar to each other, they differ on many aspects as summarized in Table 5.2.
Table 5.2: Comparisons between the UMER (2nd generation) and SIR Analyzers

Extraction

UMER Analyzer

SIR Analyzer

Single pass

Variable turns

-

H2+

Particles

e

Beam energy

up to 10 keV

up to 20 keV

Entrance aperture

1-mm hole

14mmμ1mm slit

Electrodes

Cylindrical tubes

Secondary e- suppressors

No

Yes

Working mode

Static

Scanning

Beam current

mA

nA

Rectangular tubes

Due to the complicated 3D electric field inside the analyzer and the large height of the
beamlet in the vertical plane, it is impossible to perform the theoretical design calculation
accurately using the theory of paraxial beam optics. The physical design of the analyzer
can only be carried out by the numerical methods. We choose to use SIMION 8.0 [53], an
electric field design and simulation code, in our design work.
The SIR analyzer mainly consists of the following parts: (1) a housing box with an
entrance slit on the front plate. (2) retarding/focusing tube and fine mesh. (3) secondary
electron suppressor. (4) current collector. (5) four ceramic insulators between the above
electrodes and housing.
The resolution of the SIR analyzer is highly dependent upon the exact potential

125 

distribution on an
nd near the retarding mesh plane, w
which is nonnuniform duee to the finitte
wire density. Beccause of the high calculaation worklooad, it is imppossible to sset up a messh
g all the wirees of the enttire piece off retarding m
mesh in the simulation. T
To
modeel containing
deal with
w this pro
oblem, a smaall sample of
o the real m
mesh model w
with high ressolution is seet
up ass shown in th
he left plot of Figure 5.7..

mall mesh model
m
(left)) and simullated particlle trajectoriees
Figurre 5.7: The movable sm
(rightt).
Th
he small meesh model consists
c
of eight crosssing wire seegments plaaced midwaay
betweeen two plaane boundarries with pro
oper potentiials calculatted in advannce. The tw
wo
planee boundariess are separaated by a short
s
distancce d. Whenn an ion appproaches thhe
retard
ding mesh plane
p
at a distance
d
which is close to d/2, a shhort script w
written in thhe
progrramming laanguage Luaa [54] emb
bedded in SIMION caan predict the possiblle
impacction point and move the
t small mesh
m
model there, so thhat the partiicle can passs
thoug
gh the smalll mesh modeel containing
g an accuratte field distrribution. In the trajectorry
simullation, a gro
oup of ions are shot tow
wards the rettarding mesh one by onne. The smaall
mesh
h sample moves along th
he whole retarding planee back and fforth, so thatt the particlees

126 

can pass
p through it one by on
ne (right plott of Figure 55.7). By this way, the traj
ajectories neaar
the whole
w
real meesh can be siimulated witth a good ressolution.

Figurre 5.8: Two schematics
s
of
o the SIR en
nergy analyzzer and partiicle trajectorries simulateed
by SIIMIOM, wheere the beam
m energy is 20.01
2
keV, thhe voltages oof the regardding mesh annd
supprressor are Vretarding
=20 kV
V and Vsuppreessor=-300V, rrespectivelyy.
r
Th
he electrodess, equipoten
ntial lines (g
green lines), and the traj
ajectories (bllack lines) oof
somee typical ionss in the SIR analyzer sim
mulated by S IMION are shown in Figure 5.8.

127 

The retarding mesh is soldered to the multifunctional retarding/focusing tube. The
electric field formed between the retarding/focusing tube and the entrance plate can focus
and decelerate the beamlet; the thick part of the retarding/focusing tube behind the
retarding plane is designed for two purposes: (a) improve the analyzer resolution by
improving the uniformity of potentials in the vicinity of and right behind the retarding
mesh. (b) focus the beam to counteract the defocusing effects induced by the secondary
electron suppressor downstream, otherwise the transverse beam size will be too big to be
accommodated by the collector. According to Eq. (5.2), the estimated maximum kinetic
energy of the secondary electrons for a 20 keV

beam is only several tens of eV. A

suppressor biased to -300 V is enough to repel these electrons back to the collector. The
current collector is a C-shaped stainless steel electrode with a V-shaped grove in the
middle, which is designed to reduce the current loss due to the elastic head-on collisions

Transmitted current (arb. unit)

between the ions and the collector.

0.6
0.5
0.4

Ek/Ek=5.0 e-4

0.3
0.2
0.1
0
-0.1
-60

-40

-20
0
20
Vretarding- Vsource (V)

40

Figure 5.9: Performance of the SIR analyzer simulated by SIMION 8.0 for a fixed
retarding potential Vretarding =20 kV and variable source voltage Vsource.
In the performance test by simulation, it is assumed that the beam particles are
128 

mono
oenergetic an
nd have uniform distrib
bution at the entrance sliit, and the innitial movinng
directtions of the ions have a uniform distribution
d
w
within a conne with halff angle of 110
mrad
d. The retardiing voltage is
i fixed to 20 kV, while the source vvoltage (or kkinetic energgy
of beeam) is variaable. The sim
mulation resu
ults in Figurre 5.9 demonnstrate that the simulateed
relative energy errror or resolu
ution is abou
ut 5.0μ10-4.
We
W also solve the sheet beam envelope equationn [27] to stuudy the resoolution of thhe
analy
yzer further. The calculaation resultss indicate thhat the changges of beam
m current annd
emitttance inside the analyzerr have little effects
e
on thhe analyzer rresolution; thhis guaranteees
an alm
most constan
nt resolution
n during the energy
e
meassurement.
Fig
gure 5.10 sh
hows the pho
otos of the SIR
S analyzerr with its paarts. The anaalyzer is a 660
mm×60 mm×50 mm box, lim
mited by thee space availlable in the E
Extraction B
Box. The fouur
whitee pieces are the
t ceramic insulators.

Figure 5.1
10: The photos of the SIR
R energy anaalyzer.

129 

5.6 Experime
E
ental test of the SIR
R energy analyzerr
Wee tested the performance
p
e of the SIR analyzer byy using it to m
measure the beam energgy
at thee ARTEMIS
S-B electron cyclotron resonance
r
(E
ECR) ion soource [55] beeam line (seee
Figurre 5.11) and SIR (DC beam, half a tu
urn from injeection to extr
traction) at N
NSCL.

Fig
gure 5.11: Schematic
S
off the ARTEM
MIS-B Ion Source beam
m line. The performancce
test of
o the SIR analyzer
a
wass carried outt in the diaggnostic cham
mber indicateed by the reed
arrow
w.
Th
he resolution
n is estimated
d as the spreead in retardding potentiaal to go from
m 95% to 5%
%
transm
mission. Thee experimen
ntal results in
ndicate the ooverall relatiive energy errrors tested aat
the ARTEMIS-B
A
ECR ion so
ource and SIIR, includingg the alignm
ment errors, eenergy spreaad
of beam and reso
olution of thee analyzer, arre 1.0μ10-3 aand 1.3μ10--3 respectivelly (see Figurre
5.12 and Figure 5.13).
5
The peerformance of
o analyzer m
meets our reequirements for the futurre
energ
gy measurem
ment. When
n we tested
d the analyzzer by usinng pulsed bbeam of SIR
(neceessary to fo
ollow the teemporal evolution of the energy spread), w
we found thhe
signaal-to-noise ratio
r
is very
y low. The noise mainnly originatees from thee high-speedd,
high--voltage swiitches used to control th
he different choppers, iinflectors annd deflectorrs.
Finally we decid
ded to use th
he integrated
d current siggnal to meassure the enerrgy spread oof

130 

SIR beam, which will be discussed in details in the next chapter.

100

Current (A)

80
Ek/Ek=1.0 e-3

60
40
20
0

9900

9910

9920
V

9930
(V)

9940

9950

retarding

Figure 5.12: Performance of the SIR energy analyzer tested at ARTEMIS-B ECR ion
source.

200

Current (nA)

150
Ek/Ek=1.3 e-3

100
50
0
10280

10290

10300
Vretarding(V)

10310

Figure 5.13: Performance of the SIR energy analyzer tested at SIR by DC beam.

131 

5.7 Conclusions
A compact, high resolution retarding field energy analyzer has been designed and
tested for SIR of NSCL at MSU to further study the beam instability. Experimental
results indicate the performance of the analyzer meets the requirements for our future
measurement and research work. 

132 

Chapter 6
NONLINEAR BEAM DYNAMICS OF SIR BEAM

4

6.1 Introduction
When a high intensity uniform long

bunch with a finite length is injected into the

SIR, the nonlinear space charge forces in the beam head and tail are strong and may
deform the beam shape. In addition, as the perturbation amplitude of the line charge
density increases due to microwave instability, the beam dynamics of the central part of
the beam also enters the nonlinear regime soon after injection. The bunch may break up
into many small clusters longitudinally only after several turns of coasting [12, 13]. This
chapter mainly discusses the nonlinear beam dynamics in these cases, including the study
on evolution of energy spread, vortex motion, and merging of cluster pairs by
experimental, simulation and analytical methods.

6.2 Measurement of the energy spread
Among the various beam parameters which govern the evolution of the bunched beam
profiles, the energy spread induced by the space charge field plays an important role in
both the linear and nonlinear regime of beam instability. It may help to suppress the
microwave instability in the linear beam dynamics; in addition, it is also one of the
important measures of the asymptotic bunch behavior in the nonlinear beam dynamics.
For this reason, an accurate knowledge of the energy spread distribution and evolution of
                                                             
4
  The contents regarding energy spread measurement and simulation is excerpted from  Y. Li, L. Wang, F.
Lin, Nuclear Instruments and Methods in Physics Research A 763, 674 (2014). 

133 

the bunched
b
SIR
R beam beco
omes necesssary. This seection presennts the expeerimental annd
simullation resultss of the enerrgy spread off the SIR bunnch and com
mparisons beetween them.

6.2.1
1 Energy spread
s
meeasuremen
nt system
SIR
R lab has designed
d
a compact
c
elecctrostatic rettarding fieldd energy annalyzer (RFA
A)
which
h is introdu
uced in Ch
hapter 5. The
T
schemaatic diagram
m of the ennergy spreaad
measurement sysstem is show
wn in Figure 6.1. It maainly consistts of (a) eneergy analyzeer
plies for the retarding mesh
m
and seccondary elecctron suppreessor, (b) steep
with power supp
( Preampliffier (model: TENNELEC
C TC-171), (d) Amplifieer
motor and motor controller, (c)
del: TENNE
ELEC TC-2
241S), (e) oscilloscopee (model: LECROY LC684DXL
L).
(mod
Figurres 6.2-6.5 sh
how the pho
otos of the co
omponents oof the measur
urement systeem.

Figu
ure 6.1: Schematic of the energy spreead measurem
ment system
m.

134 

Figurre 6.2: Enerrgy analyzerr assembly including
i
thhe supportingg rod, flangge, and motoor
drive (left) and motor
m
controlller (right).

Figurre 6.3: Energy analyzeer assembly
y in the SIR
R (left) andd a side viiew with thhe
Extraaction Box (rright).

  

Figurre 6.4: Preaamplifier (T
TENNELEC
C TC-171) (left) and Amplifier ((TENNELEC
TC-2
241S) (right).

135 

  

Figurre 6.5: High
h voltage pow
wer supply (BERTAN 2225) for thee retarding ggrid (left) annd
oscillloscope (LeC
Croy LC684DXL) (rightt).
Th
he energy an
nalyzer is in
nstalled below the medi an ring planne in the Exxtraction Boox
(Meaasurement Box),
B
and a pair of hig
gh-voltage ppulsed electrrostatic defllectors in thhe
Extraaction Box iss used to kicck the coastin
ng beam dow
wn to the ennergy analyzeer at a choseen
o

turn number. The entrance plate
p
of the analyzer iss tilted at ann angle (aboout 10 ) witth
respeect to the verrtical plane to
t align the analyzer axiis parallel too the deflectted beam (seee
Figurre 6.3). Befo
ore the meassurement off energy spreead, we need to know tthe transversse
beam
m profiles. Th
he motor con
ntroller and step motor ccan drive thee energy anaalyzer to scaan
acrosss the beam transversely
y in the horizontal planee. By settingg the retardinng voltage oof
the an
nalyzer to zero
z
or a low
w value, mosst ions of thhe sampled bbeamlet can pass througgh
the reetarding messh to reach the
t collectorr. The radiall density proofiles of the matched SIR
bunch
h can be ob
btained. Usually the beaam profile sccanning is pperformed frrom turn 0 tto
turn 70
7 with an in
nterval of fiv
ve or ten turn
ns. The enerrgy spread m
measurement is carried ouut
at thrree radial po
ositions (meeasurement points):
p
one is at the loocation of thhe peak beam
m
current, and the other two are
a close to the beam ccore edges oon each sidee. During thhe
experriment, for each fixed radial position (measuurement poiint) of the analyzer, thhe

136 

retarding voltage is varied within a range in the vicinity of the nominal beam energy. The
current signals on the current collector of the analyzer are amplified by the Preamplifier
(TENNELEC TC-171) and Amplifier (TENNELEC TC-241S) consecutively. The
amplified signals are sent to the oscilloscope (LeCroy LC684DXL), where the
waveforms and strengths of the signals (in voltages) can be observed and read. After
offline data analysis, the energy spread information of the beam can be obtained.

6.2.2 Data analysis of the energy spread
A

ion bunch with the length 600 mm, peak current 8.0 mA, kinetic energy 10.3

keV is used in the energy spread measurements. The measured emittance is about 30
mm mrad. From the measurement, the raw S-V curves at the three radial positions
(measurement points) and various turn numbers are obtained. Here S and V denote the
signal strength and the retarding voltage, respectively. The top graph of Figure 6.6 shows
an example of the measured raw S-V curve. For each fixed radial measurement point and
turn number, the data analysis for the energy spread measurement is performed by the
following procedure:
1. Subtract the residual noise signal from the raw S-V curve and normalize the adjusted
S-V curve to 1. This procedure yields a transmission rate curve (T-V curve) ranging
from 0 to 1.
2. Assuming the energy spread has a Gaussian distribution with deviation sE and mean
energy of <E>,
P( E ) 

1
2  E

137 

e



( E  E  ) 2
2 E2

,

(6.1)

th
hen the transsmission ratee T(V) at a given
g
retardiing voltage V is equal tto the integraal
off P(E) integrrated for E¥V, i.e.,
T (V ) 

where
w

( )=

√

1
2  E





V

dE e



( E  E ) 2
2 E2

1
V  E 
 [1  erf (
)],
2
2 E

(6.22)

is thee error functtion. If the ttransmissionn rate curve is

fiitted to Eq. (6.2),
(
the meean energy <E>,
<
root m
mean square (RMS) enerrgy spread sE
an
nd full width
h at half max
ximum FWH
HM=2√2 2

≈ 2.355
5

of the eenergy spreaad

caan be obtain
ned.
3. Using
U
the fittted parametters of <E> and sE, recconstruct thee S-V curve and comparre
with
w the raw
w S-V curve, plot the fitteed Gaussian curve of eneergy distribuution.

Figurre 6.6: A sam
mple of the energy
e
spreaad analysis aat turn 10. Thhe upper graaph shows thhe
comp
parison betw
ween the orig
ginal and recconstructed SS-V curves. T
The lower ggraph displayys
the fitted
f
Gaussiian distributtion of beam
m energy. T
The mean kkinetic energgy, RMS annd
FWH
HM energy sp
preads are 10118.7 eV, 44.75
4
eV andd 105.2 eV, respectivelyy.

138 

Note that the conventional method of energy spread analysis usually involves
differentiation of the S-V curve dS/dV and fitting it to a Gaussian function. While due to
the discreteness originating from the smaller number of data points in the vicinity of the
mean energy, the data points of dS/dV scatter around the Gaussian function with big
deviation. This makes the fitting work difficult and inaccurate. That is why an integral of
Gaussian function in Eq. (6.2) instead of the Gaussian function itself is chosen as the
curve fitting function in our energy spread analysis.
Figure 6.6 demonstrates a sample of the energy spread analysis results for the SIR
bunch measured at x= -6 mm (beam core edge) and turn 10. The mean kinetic energy,
RMS and FWHM energy spreads are 10118.7 eV, 44.75 eV and 105.2 eV, respectively.

6.2.3 Measurement results and comparisons with simulation
A 600 mm, 8.0 mA, 10.3 keV, 30 mm mrad (same parameters as those in
measurements) monoenergetic macroparticle bunch is also used in the simulation study
by the code CYCO. The bunch has a uniform initial distribution in both the longitudinal
line charge density and the 4D transverse phase space. In the analysis of simulation
results, the beam region is cut into several 1-mm-wide thin vertical slices which are
parallel to the design orbit, each thin slice has a fixed radial coordinate. The number of
macroparticles, mean kinetic energy and RMS energy spread in each slice are calculated
and compared with the experimental values.
Figure 6.7 shows the simulated and experimental radial slice beam densities. Figure 6.8
illustrates the simulated top views and slice RMS energy spread at turn 4 and turn 30,
respectively. Figure 6.9 displays the simulated slice RMS energy spread up to turn 8.

139 

Figure 6.10 depicts the comparison of slice RMS energy spread between simulations and
experiments. Note that in this chapter, the slice energy spread and slice density denote all
the slices are cut parallel to the longitudinal z-coordinate instead of the radial coordinate,
which is conventionally used in free-electron lasers (FELs). The long bunch is a chaotic
system, a small difference in the initial beam distribution may cause a huge beam profile
deviation at large turn numbers. We can see that the simulated radial beam density
profiles and slice RMS energy spread match the experimental values within an acceptable
range.

Radial density (arb. unit)

Simulation

Experiment

Turn 0

Turn 10

Turn 20

Turn 30

Turn 50

Turn 70

6
4
2
0
6
4
2
0

-5

0

5

-5

0

5

-5

0

Radial coordinate x (cm)

Figure 6.7: Evolutions of the radial beam density.

140 

5

 

Figure 6.8: Simulated top views and slice RMS energy spread at (a) turn 4 (b) turn 30.

100

Turn 0
Turn 2
Turn 4
Turn 6
Turn 8

E

 (eV)

80
60
40
20
0
-3

-2

-1

0

1

2

3

x (cm)

Figure 6.9: Simulated slice RMS energy spread at turns 0-8.

141 

Simulation

Experiment

80

Turn 10

Turn 30

Turn 50

Turn 70

60
40

E (eV)

20
0
80
60
40
20
0

-5

0

5

-5

0

5

Radial coordinate (cm)

Figure 6.10: Comparisons of slice RMS energy spread between simulations and
experiments.
Figures 6.8–6.10 show that the space charge fields induce the longitudinal density
modulations and energy spread in an initially monoenergetic and straight coasting bunch
in the isochronous ring. At smaller turn numbers, the energy spread in the beam head and
tail is much greater than that of the beam core around the beam axis. As the turn number
increases, the radial slice RMS energy spread distribution tends to become uniform and
changes slowly. At the same time, the radial beam size increases, and the beam centroids
deviate from the design orbit. The beam centroid wiggling may also cause the differences
in the betatron oscillation phases between the beam clusters (slices). If the beam is long
enough, the distribution of the radial centroid offsets of different clusters (slices) may be
regarded as randomly uniform around the design orbit. The measured slice RMS energy
spread at different radial coordinates is the density-weighted mean slice RMS energy
spread of the beam core of any individual cluster (slice), which is independent of the
radial coordinates. This can be explained below in Figure 6.11.

142 

Figure 6.1
11 Sketch off clusters andd energy anaalyzer.
Fig
gure 6.11 sh
hows at a giiven large tu
urn number,, the long bunch has brroken up intto
many
y small clustters (the blue ovals) whose centroidds distribute randomly aand uniformlly
aroun
nd the design
n orbit (the red
r dashed line). If we m
measure the slice RMS eenergy spreaad
at a radial positiion as indiccated by thee solid blackk line with arrow, the analyzer wiill
samp
ple slices of different clu
usters. Assum
me there aree Nc clusterss in the whoole bunch thaat
are taagged by ID
D# 1, 2, 3,…
….Nc, and eacch cluster haas the samee number of particles annd
radiall charge disstribution prrofiles. Assu
ume the slicce sampled by the anallyzer in eacch
clusteer contains ni (i = 1, 2, 3,….Nc ) ch
harged particcles and its R
RMS energyy spread is i,
the mean
m
kineticc energy of all slices att a fixed x iis the same as <E(x)> at large turrn
numb
bers, where x is the radiial coordinatte of the blaack solid linne with respeect to the reed
dasheed line in Fig
gure 6.11. Th
hen the RMS
S energy sprread in the ithh beam slice is:
i 

  

1
ni

ni

 [E
j 1

j

,

  E ( x )  ]2

i=1, 2, 3,…
…… Nc .

(6.33)

The sum
s
of squarre of Eq. (6.3
3) gives:
n11  n2 22  .........nN c  N2 c
2

n1  n2  ......nN c

 Ei    E ( x) 2   E2 ( x),
2

143 

(6.44)

n1 1  n2 22  ......... nN c  N2 c
2

 E ( x)  [

                  

n1  n2  ......n N c

1

]2 .

(6.5)

If the number of clusters is large enough and the radial centroid offsets of all the
clusters are randomly and uniformly distributed around the design orbit, the RHS of Eq.
(6.5) is the density-weighted mean RMS energy spread of the sampled beam slices of
different cluster cores at a fixed radial coordinate x. The sE(x) of Eq. (6.5) is actually
equal to the density-weighed mean slice RMS energy spread of any given single cluster
core and is independent of the coordinate x. In real measurements, the above ideal
preconditions are not satisfied completely; hence, there are always small energy spread
fluctuations among different radial measurement points.
The equilibrium value of the kinetic energy deviation Eeq(x)=Eeq(x)-Ek0 and the radial
coordinate x of an off-momentum particle satisfy the relation
Eeq ( x ) 

2 Ek 0
x,
R

(6.6)

where Eeq (x) is the equilibrium kinetic energy and is equal to <E(x)> of the beam slices
centered at x at large turn numbers. For simplicity, it is assumed that the radial beam
density distribution is uniform. Then the RMS energy spread of the equilibrium particles
measured by the SIR energy analyzer with an entrance slit of width  = 1 mm centered at
x can be estimated as:

 E

eq

1
[


x


2

1

2 Ek 0
E 
( x ' x )]2 dx ' ] 2  k 0  5.7 eV .
R
3R


[
x

(6.7)

2

This value is proportional to the slit width  and is independent of x. In addition, it is
much less than the asymptotic energy spread which is about 50 eV at large turn numbers.
This indicates that the number of particles at equilibrium energy only accounts for a small
144 

fraction of the total particles in a beam slice.
The saturation of the slice RMS energy spread of clusters in the SIR beam is an
indication of formation of the nonlinear advection of the beam in the

×

velocity

field [10]. Assuming an ideal disk-shaped cluster coasts in an isochronous ring with an
effective uniform magnetic field

×

, the

velocity field at any point on the

median plane inside the cluster is along the azimuthal direction in the rest frame of the
cluster. This will result in no particles staying at the beam head (tail) forever. Accordingly,
the energy spread within a given beam slice of 1-mm width at any coordinate x will not
build up with time significantly. During the binary cluster merging process, the total
charge and size of the new clusters grow at the same time. Hence, the mean charge
density of a single cluster does not change considerably, which may result in the
saturation of the mean slice RMS energy spread averaged over the radial coordinate.

6.3 Corotation of cluster pair in the

×

field

In the simulated long-term evolution of the space-charge dominated SIR beam, first,
the bunch may break up into many small clusters along z-coordinate. Later, the
neighboring cluster pairs orbit each other in their center of mass frame, which is the
so-called corotation. Finally, the cluster pairs merge together after some turns of
corotation. This section is devoted to study the mechanism of corotation of cluster pair,
which is a characteristic phenomenon of the long-term evolution of beam profiles in the
isochronous regime.
Figure 6.12 illustrates the top views of the relative position of a pair of macroparticles
coasting in the SIR at turns 0, 5, 11, 22, 34, and 46 simulated by code CYCO. The red

145 

and blue
b
dots staand for the macroparticle
m
e pair, each of which haas the same ccharge Q=8..0
ä10

-14

Coulomb and kinetic energy E0=10.3
=
keV. A
At turn 0, tthey are sepparated by aan

initiaal distance d0=1.5 cm and both are movingg along thee design orrbit. The reed
macro
oparticle is the leading one. Figu
ure 6.12 inndicates thatt the macrooparticle paair
perfo
orms corotatiion with a period
p
of abo
out 46 turns.. This phenoomenon can be explaineed
and predicted
p
by Cerfon’s theeory of the motion
m
in thee

×

fielld [10].

Asssuming two identical maacroparticless with the saame charge Q and mass m coast in thhe
SIR with
w mean radius
r
R, their trajectories are com
mplicated cyccloid-like cuurves and noot
closed. In additiion, the disstance d(t) between
b
theem changess with time. By smootth
appro
oximation, i.e.,
i
the mag
gnetic field
d is regardedd as uniform
m along the ring with aan

Figurre 6.12: Co
orotation of two
t macropaarticles withh Q=8ä10-14 Coulomb, E0 = 10.3 keV
V,
and d0=1.5 cm.
effecttive strengtth Beff, and
d average distance
d
ne period oof
 d(t) (dmax dmmin) / 2 in on
corottation (it is valid
v
if dmax/d
/ min does no
ot deviate tooo much from
m 1), then thhe amplitudees

146 

of

and space charge field

Beff 

can be estimated as

mv0
,
eR

E sc 

Q
,
4 0  d (t )  2

(6.8)

where e, and v0 stand for the charge and velocity of each macroparticle, respectively.
Since

and

are perpendicular to each other, each macroparticle has a drift

velocity 
Vdrift




Esc  Beff
E
Q
| Vdrift ||
| sc 
.
2
Beff
Beff 4 0 Beff  d (t )  2

(6.9) 

The mean corotation frequency is

corot . 

Vdrift
Q
.

 d  2 0 Beff  d  3
2

(6.10)

The left graph of Figure 6.13 shows the simulated distance d(t) between the
macroparticle pair in the first period of corotation. The right graph displays the simulated
corotation angle of a line connecting the macroparticle pair with respect to +z-coordinate;
the corotation frequency is fitted and compares with the theoretical estimation predicted
by Eq. (6.10). We can see the simulation and theory match well.

147 

Figurre 6.13: Simu
ulated distan
nce between the two parrticles (left) aand their corrotation anglle
with respect to the
t +z-coord
dinate (rightt) in the firrst corotatioon period. T
The simulateed
corottation frequeency wsim can
n be fitted frrom the anglle-turn numbber curve. Thhe theoreticaal
corottation frequeency wthr predicted by Eq
q. (6.10) is aalso plotted ffor comparisson.

Figurre 6.14: Sim
mulated corottation frequeencies of twoo macropartiicles with diifferent initiaal
distan
nce d0.
Fig
gure 6.14 displays
d
thee good agreeement betw
ween the siimulated annd theoreticaal
corottation frequeencies of maccroparticle pair
p with diffferent initial distance d0.

148 

Neext, at turn
n 0, the tw
wo macrop
particles aree replaced by two m
monoenergetiic
macro
oparticle bun
nches of 10.3 keV kinetiic energy sepparated by d0 =1.5 cm. E
Each bunch is
10 nss long in time scale (abou
ut 1 cm) and
d has a chargge of 8ä10

-144

Coulomb. T
The evolutioon

of their beam prrofiles in thee first 15 tu
urns is show
wn in Figuree 6.15. The left graph oof
Figurre 6.16 show
ws the simu
ulated distan
nce d(t) betw
ween the ceentroids of tthe two shoort
bunch
hes in the first
f
1/4 perriod of coro
otation; the right graphh displays tthe simulateed
corottation frequeency and co
omparison with
w the theooretical estimation preddicted by Eqq.
(6.10
0). We can see
s the simu
ulation and theory
t
matchh roughly. U
Unlike the ddimensionlesss
macro
oparticles, th
he short bun
nches have finite
f
dimenssion with a ccertain beam
m distributionn.
They
y have some new propertties which a single macrroparticle dooes not have,, for example,
angullar momentu
um of self-spin. When the
t distance between thhe bunch cenntroids is lesss
than or comparab
ble to the bunch
b
length
h, the interacction betweeen the buncches is highlly
merging.
nonlinear, which results in fillamentation and cluster m

Figurre 6.15: Corotation of two short bunches
b
witth tb=10 nss, I0=8.0 uA
A, Q=8ä10-14
Coulo
omb, d0=1.5 cm, and E0 = 10.3 keV.

149 

Figurre 6.16: Sim
mulated distaance betweeen the centrooids of two short bunchhes (left) annd
their angle with respect
r
to th
he z-coordin
nate (right) inn the first 1//4 corotationn period. Thhe
simullated corotattion frequency wsim and the theoreticcal value wthhr predicted by Eq. (6.100)
are allso provided
d in the right graph.
In summary, th
he good agrreement betw
ween the sim
mulation andd theory in Figures 6.133,
6.14 and 6.16 pro
ovides a num
merical veriffication for C
Cerfon’s theeory of drift motion in thhe
×

field.

6.4 Binary
B
merging
m
off 2D shortt bunchess
Th
his section focuses
f
on the
t simulatiion study off the binaryy cluster meerging in thhe
isoch
hronous ring.. Two 2D sh
hort sheet bu
unches lying on the mediian ring planne are createed
and employed
e
in
n the simulattion study. Compared
C
w
with the convventional 3D
D bunch paiir,
the binary
b
mergiing process of 2D buncch pair is eaasier to be oobserved andd understoodd,
becau
use the maccroparticles do not have vertical ddistribution aand motion.. Figure 6.117
show
ws the top vieew (projectio
on in the z-xx plane) and side view (pprojection inn z-y plane) oof
the 2D bunch paair. The beam
m parameterrs of each 2D
D bunch aree tb=10 ns ((about 1 cm
m),
150 

I0=8.0
0 uA, Q=8ä10-14 Coulom
mb, and E0=10.3 keV. Eaach bunch haas uniform ddistribution iin
both the x-z plan
ne and the x-x’ phase sp
pace. At turnn 0, the two bunches cooast along thhe
+z-co
oordinate witth an initial separation of
o d0=1.5 cm
m.

Figurre 6.17: Initial distributiion of 2D bunch
b
pair w
with tb=10 nns, I0=8.0 uA
A, Q=8ä10-14
Coulo
omb, E0=10.3 keV and d0=1.5 cm. The
T upper grraph shows the top view
w of the beam
m
profille in z-x plan
ne; the lowerr graph show
ws the side vview of the bbeam in z-y pplane.

Figure
F
6.18: Beam
B
profiles of 2D bun
nch pair in thhe center off mass frame at turn 2.
151 

Figure
F
6.19: Beam
B
profiles of 2D bun
nch pair in thhe center off mass frame at turn 5.

Fig
gure 6.20: Beam profilles of 2D bun
nch pair in tthe center off mass framee at turn 12.

152 

Fiigure 6.21: Beam
B
profilees of 2D bun
nch pair in thhe center of m
mass frame at turn 20.

Figu
ure 6.22: Beeam profiles of the 2D bu
unch pair in the center oof mass fram
me at turn 30.

153 

Figures 6.18-6.22 illustrate the evolution of the beam density, energy deviation
distribution, velocity field and vorticity of the two short 2D bunches at turns 2, 5, 12, 20
and 30. Each figure consists of four graphs: the upper left graph shows the top view of
the beam density distribution on the median ring plane, the red and blue dots with arrows
stand for the centroids of the bunches and their velocity vectors in the center of mass
frame; the upper right graph displays the velocity field in the center of mass frame; the
lower left graph demonstrates the distribution of energy deviation of the 2D bunches; the
lower right graph depicts the distribution of vorticity, which is defined as the curl of the

speed vector u in the center of mass frame:   

 



                ( x , t )    u .                                                         (6.13)

During the merging process, the two bunches are highly deformed and two filament
tails appear. The two beam cores approach, overlap and collide; at first, the two centroids
corotate in the counter clockwise direction just like two macroparticles. But the repulsive
Coulomb force between two bunches causes dynamical friction, which decreases the
kinetic energy of the two centroids. The relative motion between the two centroids is
suppressed. This is completely different from the two macroparticle model in which each
macroparticle is dimensionless; the dynamic friction between the two macroparticle is
negligible, and the corotation motion can last forever. We can also use the theory of drift
motion in

×

field to explain the merging process. When the two bunch cores

overlap partly, the space charge force on the overlapping parts is cancelled significantly.
In consequence, the drift motion in the

×

field will be suppressed considerably. The

overlapping parts of the two bunches will become the cradle of a new beam core.

154 

6.5 Conclusions
The measured slice RMS energy spread and radial density profiles of a long coasting
bunch agree with the simulation results. At large turn numbers, the randomly distributed
cluster centroid offsets tend to make the radial energy spread distribution of the whole
bunch uniform. The measured energy spread is the density-weighted mean slice RMS
energy spread of any single cluster core. Its saturation behavior indicates the formation of
the nonlinear advection of the particles due to the

×

velocity field in each cluster.

The simulation study of corotation of cluster pair by macroparticle pair model and
short bunch pair model verifies the theory of drift motion in the

×

field. The

corotation and merging of cluster pair in the long-term evolution of beam profiles is a
natural consequence of the drift motion of clusters in the

155 

×

field.

Chapter 7
CONCLUSIONS AND FUTURE WORKS

7.1 Conclusions
This dissertation focuses on the mechanism and evolution of microwave instability of
coasting beams with space charge in the isochronous regime.
Several theoretical LSC impedance models with different cross-sections of the beam
and chamber are studied. The derived LSC impedances are in good agreement with the
numerical simulations. They can be used in instability analysis induced by the LSC field
at any perturbation wavelength l. In particular, for l<5cm, the LSC impedance of SIR
beam can be approximated by that of a round beam in free space.
For a beam with finite energy spread, due to the non-zero transfer matrix element
R56(s), the particles with the same radial coordinates (x, x£) in the radial phase space but
with deferent energies may have different path length difference Dz; In addition, due to
the betatron oscillation and radial-longitudinal coupling effect, the particles with the same
energy deviation but with different radial coordinates (x, x£) in the radial phase space also
have different path length difference Dz via the transfer matrix elements R51(s) and R52(s).
These path length differences are the important source of Landau damping for coasting
beam with finite emittance and energy spread in the isochronous ring. The path length
deviation contributed from the betatron motion in the isochronous rings is also an
important effect that should be considered to realize the coherent terahertz synchrotron
radiation (CSR) [56], in which case the length of an extremely short electron bunch needs

156 

to be preserved precisely. A 2D dispersion relation taking into account the Landau
damping effects originating from the energy spread and emittance is derived in Chapter 4.
Compared with the conventional 1D growth rate formula, the 2D dispersion relation
provides a more accurate approach to predict the instability growth rates, especially in the
short wavelength limits.
A compact retarding field energy analyzer (RFA) with large entrance slit was designed,
tested and employed in the energy spread measurement. The performance of the RFA
meets our requirement for the experimental study of microwave instability.
The energy spread measurement results of a coasting SIR beam match the simulation
results in the long term evolution of microwave instability. The measured and simulated
saturation of the radial distribution of energy spread at large turn number is caused by the
formation of vortex motion in the bunches’ rest frames. The study using the
two-macroparticle model and the two-bunch model also validate the theory of vortex
motion in the

×

field.

7.2 Future works
Some new research study may be performed in the future, such as:


In Chapter 4, there exist bigger discrepancies between the theoretical and
simulated instability growth rates for l<1 cm. Further research study is needed to
explain the reason for the discrepancies.



In recent years, a 3D PIC object-oriented parallel simulation code OPAL-CYCL
has been successfully developed by PSI [17]. Being a parallel code, it can
simulate beam dynamics in high intensity cyclotrons including neighboring

157 

bunch effects. Some interesting results have been obtained by the PSI researchers
[18, 57]. In comparison, CYCO is incapable of parallel computation at present. If
possible, CYCO can be modified to be compatible with parallel computation in
the future. This may greatly enhance its efficiency and functionality.


After years of successful operation with fruitful results, the Small Isochronous
Ring (SIR) was dismantled in 2010. If possible, it may be reassembled and
upgraded in the future (e.g., introduction of RF cavity, flat-top cavity, and new
energy spread measurement system, etc.). After upgrade, more research studies
regarding the space charger effects in isochronous regime can be carried out. 

158 

APPENDICES

159 

APPENDIX A
FORMALISM OF THE STANDARD TRANSFER MATRIX
FOR SIR
This note presents the linear beam optics of SIR lattice (hard-edge model) using the
standard transfer matrix formalism.

A.1 Brief review of the standard transfer matrix
The coordinates of a particle in the 6D phase space can be described by a 6-element
vector (x(s), x£(s), y(s), y£(s), z(s), d(s))T [58-60], where x, y and z are the radial
(horizontal), vertical and longitudinal coordinates with respect to a hypothetical
on-momentum particle traveling along the design orbit; x£(s)=dx/ds and y£(s)=dy/ds are
the radial (horizontal) and vertical slopes of velocity; d=Dp/p is the fractional momentum
deviation compared with the on-momentum particle, the superscript ‘T’ stands for the
transpose of vector or matrix. If there is no electric field and x-y coupling, the standard
transfer matrix M(s) mapping the initial coordinates of a particle (x(0), x£(0), y(0), y£(0),
z(0), d(0))T in the 6D phase space at s=0 to the current ones (x(s), x£(s), y(s), y£(s), z(s),
d(s))T at s is [58-60]

160 

 x
 x(0)

 x
 x(0)
 y

x(0)
M (s)  
 y
 x(0)

 z
 x(0)
 

 x(0)

x
x(0)
x
x(0)
y
x(0)
y
x(0)
z
x(0)

x(0)

x
y(0)
x
y(0)
y
y(0)
y
y(0)
z
y(0)

y(0)

x
y(0)
x
y(0)
y
y(0)
y
y(0)
z
y(0)

y(0)

x
z(0)
x
z(0)
y
z(0)
y
z(0)
z
z(0)

z(0)

x 
 (0) 

x 
M12
0
0
M
 (0)   11
M
M
0
0

22
y
 21
  0
0 M 33 M 34
 (0) 

y   0
M 43 M 44
0

 (0)  M
M 52 0
0
51

z  
0
0
0
 0
 (0) 
 

 (0) 

0 M16 
0 M 26 
0 0 
.
0 0 
1 M 56 

0 1 

(A.1)

The matrix M(s) satisfies the symplectic condition MTSM=S, where S is a 6μ6
antisymmetric matrix
 0
 1

 0
S  
 0
 0

 0

1

0

0

0

0
0
0

0
0
1

0
1
0

0
0
0

0
0

0
0

0
0

0
1

0
0 
0
,
0
1

0 

(A.2)

The determinant of matrix M(s) is unity, e.g., det(M)=1, which is required by
Liouville’s theorem. Some elements of the standard matrix M(s) satisfy the following
relations [8, 60, 61]:

M 16 ( s )  M 12 ( s ) 

s

(s)

s

0

M

26

(s)  M

22

M
M

0

51

52

s M

M 11 ( s  )
12 ( s )
d s   M 11 ( s ) 
d s ,
0
 ( s )
 ( s )

(A.3)

M 12 ( s  )
d s ,
 ( s )

(A.4)

M 11 ( s  )
ds  M
 ( s )

21

(s)

s

0

 M 16 M

21

M

26

M 11 ,

(A.5)

 M 16 M

22

M

26

M 12 ,

(A.6)

where r(s) is the local radius of curvature of the orbit.

161 

A.2 Standard transfer matrices for elements of SIR
o

The four-fold symmetric SIR lattice mainly consists of four 90 bending magnets with
edge focusing connected by four drifts in between. By thin lens approximation, the
bending magnets with tilted pole faces can be treated as a sector magnet (without pole
face rotation) to which magnetic wedges with edge focusing are attached [8]. According
to the theory of liner beam optics, the transfer matrices M(s) are [58]:
(a) Drift

M

Drift

1
0

0
 
0
0

 0

l
1
0
0

0
0
1
0

0
0
l
1

0
0
0
0

0

0

0

1

0

0

0

0





,


2
1 
0
0
0
0
l

(A.7)

with l being the length of the drift.
(b) Sector bending magnet
0 sin( )
 cos( )
 1
cos( )
 sin( )
 0
0
0
M SBend  

0
0

  sin( )  0 [1  cos( )]

0
0


0

0

0

0

0

0

1 0 0
0 1 0
0

0

1

0

0

0

0[1  cos( )]



sin( )


0
,

0

0







sin(
)
0
0
2

1


(A.8)

where r0 and q are the bending radius and angle of the sector bending magnet,
respectively.
(c) Magnetic wedge with edge focusing

162 

 1
 tan()
 
 0
0
MEdge  
 0

 0

 0

0
1
0
0
0
0

0 0 0

0
0 0 0

1
0 0 0
,
tan()
1 0 0


0
0
0 1 0

0
0 0 1
0

(A.9)

with j being the pole face rotation angle.

A.3 Optic functions of SIR (hard-edge model)
Let us consider the general condition of isochronism of a relativistic particle traveling
along an N-fold symmetric isochronous ring with edge focusing (See Figure A.1). The
transfer matrix of 1/2N period (half-cell) of the ring lattice is
M1
2

Cell

 M SBend  M Edge  M Dfift .

(A.10)

Substituting Eqs. (A.7), (A.8) and (A.9) into Eq. (A.10) with q=p/N yields

0
M11 M12 0
M M
0
0
22
 21
 0
0 M33 M34
M1  
cell
0 M43 M44
2
 0
M51 M52 0
0

0
0
0
 0

163 

0 M16 
0 M26 
0 0 
,
0 0 
1 M56 

0 1 

(A.11)

 

Figurre A.1: Scheematic of a half
h cell of an N-fold syymmetric isoochronous rring. The rinng
centeer is located at point O.. r0 and r1 are the bendding radii oof the on-moomentum annd
off-m
momentum particles
p
with their cen
nters of gyyration locatted at poinnts A and B
B,
respeectively. Thee solid line passing points P and U depicts thhe titled pole face of thhe
magn
net. l and l1 are the half drift lengths traaveled by the on-momentum annd
off-m
momentum particles, resp
pectively.

where





M 11  cos(( )  tan( ) sin( ),
N
N





(A.12)



M 12   0 sin( )  l[cos( )  ttan( ) sin( )]，
N
N
N



M 16   0 [1  cos( )]，
N
M 21
2  

1

0

[sinn(


N

)  tan( ) cos(

(A.14)


N

)],

l



M 22  cos(
c
)  [sin( )  taan( ) cos( )]，
N
0
N
N

164 

(A.13)

(A.15)

(A.16)



M 26  sin( )，
N
M 33  1 M 34 




N

tan( ),

0  l[1 -

N

(A.17)


N

(A.18)

tan( )]，



(A.19)



M 51   sin( )  tan( )[1  cos( )]，
N
N



(A.20)



M 52  l sin( )  [  0  l tan( )][1  cos( )]，
N
N

M 56 

l


N



0

2




N

(A.21)


 0   0 sin( ).

(A.22)

N

Let us assume that an off-momentum particle located at the center point of a drift has
initial coordinates of (x(0), 0, y(0), y£(0), z(0), d)T at s=0 (see Figure A.1). It travels along
the drift section of the deviated equilibrium orbit towards the bending magnet. The
geometric relationship shown in Figure A.1 gives the bending radius of the off-momentum
particle r1 as

1  0  x(0)  AC  0  x(0) 

dl



tan( )
N

 0  x(0) 

x(0) tan( )



.

(A.23)

tan( )
N

Since the bending radius of a particle with charge q and momentum p in a magnetic field
with strength B is



p
 p，
qB

165 

(A.24)

then

1   0  p


 ，
p
0
0



x(0)

0

[1 

tan( )

(A.25)

].



(A.26)

tan( )
N

According to Eq. (A.11), after traveling a half cell, the longitudinal coordinate of the
off-momentum particle becomes

z  M 51x(0)  M 52 x(0)  z (0)  M 56 .

(A.27)

If the change of longitudinal coordinate z is 0, e.g.,

z  z  z (0)  M 51 x(0)  M 52 x(0)  M 56  0，

(A.28)

then the ring will be isochronous. Since x£(0)=0, Eq. (A.28) reduces to

z  z  z (0)  M 51 x(0)  M 56  0.

(A.29)

Substituting Eqs. (A.20), (A.22) and (A.26) into Eq. (A.29) gives the isochronous
condition

tan( ) 

l  ( 2  1)  0


N

l  (  1)  0
2

 2 0 

tan(


N



.

(A.30)

N

)

For the non-relativistic ions coasting in SIR (gº1), if we replace l by L/2, Eq. (A.30)
reduces to
tan( ) 

L/2
.
L/2
0 

tan( )
N

166 

(A.31)

Eq. (A
A.31) is exaactly the sam
me as Eq. (B.7) of Ref. [112] which is derived direectly using thhe
isoch
hronous cond
dition Eq. (2.11) in Chap
pter 2.

Figu
ure A.2: Scheematic of thee SIR latticee.

Th
he transfer matrix
m
of a fu
ull single cell of the SIR
R lattice betw
ween pointss A and F (see
Figurre A.2) can be
b calculated
d by multipliication of traansfer matricces as
M Cell  M Drift  M Eddge  M SBend  M Edge  M Dffift .

For a 20 keV

(A.322)

ion (g=
=1.00001062
264), with thhe ring lattiice parameteers (hard-edgge

modeel) listed in Table
T
2.1, e.g., L=0.797
714 m, r0=0 .45 m, q=900o, j=25.1599o, the transffer
matriix of a singlee cell can be calculated numerically
n
as

167 

0
0
 2.220625 0.54927
 1.73198  0.220625
0
0


0
0
 0.262868 0.706585
MCell  
0
0
1.31746  2.62868

 1.46969 1.03577
0
0

0
0
0
0


0 1.03577
0 1.46969
0
0 
.
0
0 
1 1.24711

0
1 

(A.33)

For convenience, the upper-left four matrix elements in Eq. (A.33) can be defined as a
2μ2 matrix for transfer of the vector (x, x£)T of an on-momentum particle

m m12  cos x  ˆ sin x
ˆ sin x
M Cell,( x,x)   11




cos x  ˆ sin x 
m21 m22     sin x
 2.220625 0.54927 

.
  1.73198  0.220625

Then the phase advance yx, the Courant-Snyder parameters

,

, and

(A.34)

of the

horizontal phase space at points A and F can be obtained easily as: yx=1.79325,
,

=

,

= 0,

=

,

= 0.563146,

,

,

=

,

= 1.775736. Similarly, using the

central four matrix elements in Eq. (A.33), the phase advance yy, the Courant-Snyder
parameters

,

=

= 0,

,

,

of the vertical phase space at points A and F are: yy=1.77574,

, and
,

=

,

vertical betatron tunes are

= 0.72688,
=

,

=

,

≈ 1.142, and

= 1.38564 . The horizontal and
=

≈ 1.169, respectively,

which are pretty close to the numerically simulated values of

= 1.14 and

=

1.17 in Table 2.1 (also in Ref. [12]).

Assuming s=0 at the starting point A, through piecewise tracking of the Courant-Snyder
parameters using the formula,

168 

 ˆ   m112
 2m11m12
m122  ˆ0 
  

ˆ    m11m21 m11m22  m12m21  m22m12 ˆ 0 ,
  
2
2
 ˆ0 
ˆ
 2m22m21
m22
 
    m21

(A.35)

where m11, m12, m21, m22 correspond to the matrix elements in Eqs. (A.7), (A.8), and (A.9)
for the different lattice elements, the horizontal betatron function of a half cell can be
calculated as


a1  a2 s 2 ,
(
)

s

1
x , Cell
a3  a4 sin[a5 ( s  L / 2)],
2





0 s  L/ 2,
L/ 2 s  L/ 20 / 4,

(A.36)

where a1=0.563147, a2=1.775736, a3=0.845237, a4=0.715490, and a5=4.444444.
Similarly, the vertical betatron function of a half cell can be calculated as


b1  b2 s 2
 1 ( s)  
2
y , Cell
b3  b4 ( s  L / 2)  b5 ( s  L / 2)
2



0 s  L/ 2,
L/ 2 s  L/ 20 / 4,

(A.37)

where b1=0.72688, b2=1.37574, b3=0.945428, b4=-1.130447, and b5=1.3956406. The
horizontal and vertical beta functions in the region of L/2+r0p/4§s§L+r0p/2 can be
obtained easily by mirror symmetry about s=L/2+r0p/4.
The elements M11, M12, M16, M21, M22, M26 of the single cell matrix MCell of Eq. (A.33)
form a 3μ3 transfer matrix for dispersion function D(s)

 D   M11 M12 M16  D 
  
 
 D   M 21 M 22 M 26  D  .
1  0
0
1  1  A
 F 
Due to symmetry of lattice, we have
169 

(A.38)

 D  D
   
 D    D  , and DF  DA  0.
1 1
 F   A

(A.39)

From Eqs. (A.38) and (A.39), it is easy to obtain DA=DF=-M26/M21=0.84856. The
piecewise tracking of the dispersion function D(s) using the transfer matrices of the
accelerator elements yields

d1 ,

0s  L/ 2,
D1 ( s )  
L
L
Cell
2
 0  d 2 {cos[d 3 ( s  2 )]  sin[d 3 ( s  2 )]}, L/ 2s  L/ 20 / 4,

(A.40)

where d1=DA=0.84856, d2=0.39856, and d3=2.22222. The dispersion function in the
region of L/2+r0p/4§s§ L+r0p/2 can be obtained easily by mirror symmetry.
Figure A.3 illustrates the calculated optics functions v.s distance S of a single period of
the SIR lattice by the above transfer matrix formalism. The calculated optics functions are
very similar to the numerically simulated ones by DIMAD shown in Figure 2.3.
2

Optical Functions (m)




1.5

x
y

D

1

0.5

Magnet
0
0

0.5

1

1.5

S (m)

Figure A.3: Schematic of the optics functions v.s distance S of a single period of the SIR
lattice calculated using transfer matrices.

170 

Using Eqs. (2.5) and (A.40), the average value of dispersion function inside the bending
magnets can be calculated as
 D ( s )  bend 

1
2 0



bend

D ( s ) ds 

1

 0 / 4 bend

D1
2

Cell

( s ) ds 0.95746.

(A.41)

Then Eq. (2.6) gives the momentum compaction factor



 D ( s )  bend
 D( s )  bend

 0.9999868 .
( 4 L  2 0 ) / 2
R

(A.42)

Finally, the slip factor can be calculated as

0   -

1

2

 8.06 10-6.

(A.43)

In principle, the theoretical value of h0 of the SIR lattice (hard-edge model) should be 0,
the small deviation may originate from the rounding errors and neglect of the relativistic
effects in the numerical calculation.

171 

APPENDIX B
TRANSFER MATRIX USED IN CHAPTER 4 AND REF. [42]

The notations of the transfer matrix elements Ri,j (i, j=1, 2,…6) adopted in Chapter 4
follow the ones used in Ref. [42], some of which are different from the standard ones Mi,j
defined in Appendix A of this dissertation. This section is devoted to the comparison of
the two different notations between the two matrices.

B.1 Relations of R51, R52 and R56 between two different matrices
According to Ref. [42], the equations of motion of an ultra-relativistic electron are:
Radial (horizontal):

Longitudinal:

dx
 x ,
ds


dx'
 k x ( s) x 
,
ds
R( s)

dz
x

,
ds
R(s )

d
 0.
ds

(B.1)

(B.2)

where d=Dp/p is the fractional deviation of momentum. The general solution to the
above equations is [42]:

x
x  D  ˆ ( 0 cos  x0 ˆ0 sin ),
ˆ

(B.3)

x
1
ˆ
x  D - （x  Dp) 
( 0 sin  x0 ˆ0 cos ),
ˆ

ˆ ˆ0

(B.4)

0

172 

z  z0  R56  R51x0  R52 x0 .

(B.5)

The transfer matrix elements R51, R52, R56 can be obtained from the above equations as

R56 ( s)   

s

0

D( s)
ds,
R( s)

(B.6)

D ( s)
cos ( s) ds,
R ( s)

(B.7)

s
ˆ ( s)
R52 ( s )   ˆ0 
sin  ( s) ds,
0 R ( s )

(B.8)

R51 ( s )  

1
ˆ



s

0

0

 ( s)  

where

s

0

1
ds.
ˆ ( s)

(B.9)

Ref. [42] defined a 2D Gaussian beam model with an initial equilibrium beam
distribution function
2
x0  (ˆ0 x0 ) 2
exp[
f0 
]g(  uˆz0 ),
2x,0
2 x,0 ˆ0

nb

where

g ( ) 

1
2  

exp(

2
),
2
2 

(B.10)

(B.11)

and uˆ is the chirp parameter which accounts for the correlation between z and d.
(a) For transfer line
At s=0, for a transfer line, the initial values of the dispersion function and its
derivative are D(0)=0, D£(0)=0, the phase advance y(0)=0. From Eqs. (B.3) and (B.4)
we have

173 

x(0)  x0 ,
x(0)   x0

ˆ (0)
 x0 .
ˆ (0)

(B.12)
(B.13)

The standard transfer matrix M(s) defined in Appendix A gives the transfer of z

z  z0  M 56  M 51x(0)  M 52 x(0).

(B.14)

Plugging Eqs. (B.12) and (B.13) into Eq. (B.14) and comparing the coefficients of x0, x0 ,
and d with those of Eq. (B.5) yields the relation
R56 ( s )  M 56 ( s ), R52 ( s )  M 52 ( s ), R51 ( s )  M 51 ( s )  M 52ˆ (0) / ˆ (0).

(B.15)

The relation described in Eq. (B.15) repeats that clarified in the reference list of Ref. [42]
for transfer lines.
(b) For storage rings
For the case of storage rings, though Ref. [42] did not explicitly address the difference
and relation between the standard transfer matrix elements and the ones defined in that
paper, it can be inferred from the formalism and context of the paper. We know that the
beam dynamics of storage rings is different from that of the transfer lines. For example,
the dispersion function D(s) and its derivative D£(s) of storage rings are periodic functions
of s and must satisfy the close orbit condition, e.g., D(s)=D(s+C0), D£(s)=D£(s+C0), where
C0 is the ring circumference. Hence, D(s) and D£(s) of storage rings are self-consistent
solutions of ring lattice optics required by the periodicity. While D(s) and D£(s) of transfer
lines are free from the above restraint.
According to the smooth approximation adopted in Ref. [42] in the derivation of the 2D

174 

dispersion relation (e.g., ˆ  R/x ,  xs / R, DR/x2, ˆ  0 , D  0 and  x , 0   x2 x / R ),
at s=0, Eqs. (B.3) and (B.4) yield

x(0)  x0  D ,

(B.16)

x(0)  x0 .

(B.17)

Eq. (B.16) indicates that x0 is the initial betatron oscillation amplitude xb(0), which is
not equal to the total initial radial offset x(0), the latter includes a dispersion term Dd.
Consequently, the first exponential function defined in Eq. (B.10) describes the initial
Gaussian distribution of the betatron oscillation amplitudes x0 and slopes x0 , not x(0) and
slopes x(0); moreover,  x   x , 0 ˆ   x , 0 R / x is the RMS beam radius which only
includes the emittance effect, since the total RMS beam radius with dispersion effect





2

should be  x ,total   x2  ( D  ) 2   x , 0 R / x  R  / x2 . Plugging Eqs. (B.16) and
(B.17) into Eq. (B.14) and comparing the coefficients of x0, x0 , and d with those of Eq.
(B.5) yields the relation of different matrix elements for storage rings

R56 ( s )  M 56 ( s )  D ( s ) M 51 ( s ), R52 ( s )  M 52 ( s ), R51 ( s )  M 51 ( s ).

(B.18)

B.2 One-turn transfer matrices by smooth approximation
By smooth approximation, the longitudinal and radial equations of motion of a particle
in SIR can be written as
Radial (horizontal):

d 2 x vx2

 2 ( s) x 
,
2
ds
R
R( s)

175 

(B.19)

Longitudinal:

dz
x
 ,
ds
R

d
 0.
ds

(B.20)

The solutions are
x( s )  x(0) cos(

 x0 cos(

x( s )   x(0)

  x0

x
R

z ( s )   x ( 0)

  x0



vx
R
R
s )  x(0) sin( x s )  2 [1  cos( x s )] ,
x
x
R
R
R


vx
R
R
s )  x0 sin( x s )  2  ,
x
x
R
R

(B.21)



vx
v
1
sin( x s )  x(0) cos( x s )  sin( x s ) ,
x
R
R
R
R
sin(

1

x
1

x


vx
s)  x0 cos( x s),
R
R

sin(

sin(

(B.22)

vx


1
1
R
R
s )  x 2 [1  cos( x s )]  [ 3 sin( x s )  ( 2  2 ) s ] ,
R
R
R
x
x
x 


R
1
1
vx
s )  x0 2 [1  cos( x s )]  ( 2  2 ) s ,
x 
x
R
R

(B.23)

From Eqs. (B.21)-(B.23), it is easy to obtain the 1-turn standard transfer matrix M1-turn(s)
and the non-standard one R1-turn(s) used in Ref. [42] and Chapter 4 of this dissertation as
x

R

sin( x s)
 cos( R s)
x
R




 x sin( x s)
cos( x s)
 R
R
R
M1turn  
0
0

0
0

x
x
 1
R
  sin( R s)   2 [1  cos( R s)]
x
 x
0
0


and

176 





x
1

0
sin( s)

x
R
,
0
0

0
0

x 
R
1 1
1  ( 2  2 )s  3 sin( s)
R
x 
x

0
1


0 0 0
0 0
1 s
0 1
0 0
0 0

R

2
x

(B.24)

x
R x

sin( s)
 cos(R s)
x
R




x
x
x
 sin( s)
cos( s)
 R
R
R
0
0
R1turn  

0
0


1
R
 sin( x s)  [1 cos( x s)]
 x
R
R
 x2

0
0


0 0 0
0 0 0
1 s 0
0 1 0
0 0 1
0 0 0

 
[1 cos( 2 s)]
R



0

,
0

0

1 1
 ( 2  2 )s 

x 

1

R

2
x

(B.25)

respectively.
According to Ref. [59, 62], the dispersion function D(s) and its derivative D£(s) can be
obtained from the standard matrix Eq. (B.24) as
D( s ) 

M 16 (1  M 22 )  M 12 M 26 R
 2,
2  M 11  M 22
x

(B.26)

M 16 M 21  (1  M 11 ) M 26
 0.
2  M 11  M 22

(B.27)

D( s ) 

From Eq. (A.1), the derivative dz/dd can be calculated as [60]
dz
z dx(0)
z dx(0)
z dz (0)
z




d x(0) d (0) x(0) d (0) z (0) d (0)  (0)
 M 51 ( s ) D( s)  M 52 ( s ) D( s ) 

dz (0)
 M 56 ( s).
d (0)

(B.28)

Since d=d(0), by moving the term dz(0)/dd(0) of Eq. (B.28) to the left hand side, the
conventional slip factor (evaluated along the equilibrium orbit neglecting betatron
oscillation of trajectory) is [60]

 -



p dC
d ( z  z (0))
C0 dp
C 0 d

1
[ M 51 ( s ) D ( s )  M 52 ( s ) D( s )  M 56 ( s )].
C0

(B.29)

It should be noted that Eq. (B.29) is a variant form of the original Eq. (6.22) in Ref.
177 

[60], which is the expression for momentum faction factor a in the ultra-relativistic limit
instead of slip factor h; in addition, there is no negative sign on the right hand side of Eq.
(6.22) in Ref. [60], because Ref. [60] uses a different sign convention in definition of slip
factor.
With Eqs. (B.24), (B.26) and (B.27) and (B.29), in the end, the slip factor for the
one-turn matrix of a storage ring can be obtained as



1



2
x



1

2

.

(B.30)

While for the non-standard 1-turn transfer matrix R1-turn(s) in Eq. (B.25), the
conventional slip factor (neglecting the betatron oscillation effect) is related to the matrix
element R56(s) exclusively by

 -

R56 ( s )
1
1
|s C0  2  2 .
C0
x 

(B.31)

Particularly, in the case of isochronous rings, the radial (horizontal) tune nx in Eqs. (B.30)
and (B.31) should be replaced by transition gamma gt.

178 

BIBLIOGRAPHY

179 

BIBLIOGRAPHY
[1] C. Rubbia, et al. “Conceptual design of a fast neutron operated high power energy
amplifier” CERN/AT/95-44 (ET).
[2] R. Sheffield, “Utilization of accelerators for transmutation and energy production”,
Proc. HB2010, Morschach, Switzerland (2010), p. 1–5.
[3] N. Pogue, et al, “A strong-focusing 800 MeV cyclotron for high-current applications”,
AIP Conf. Proc. 1525, pp. 226-229; Application of accelerators in research and
industry: Twenty-Second International Conference, Date: 5–10 August 2012,
Location: Ft. Worth, TX, USA.
[4] L. Calabretta, et al, “A multi megawatt cyclotron complex to search for CP violation
In the neutrino sector”, Proceedings of CYCLOTRONS 2010, Lanzhou, China, p.
298-303.
[5] R. J. Barlow, et al, “High power cyclotrons for the neutrino experiments DAEδALUS
and ISODAR”. Proceedings of IPAC2013, Shanghai, China. p. 446-448.
[6] M. Seidel, “Cyclotrons for high-intensity beams”, CERN-2013-001, p. 17-32.
[7] T. Planche, et al, “Space charge effects in isochronous FFAGS and Cyclotrons”,
Proceedings of HB2012, Beijing, China, p. 231-234.
[8] P. J. Bryant and K. Johnson, “The principles of circulars accelerators and storage
rings” (Cambridge University Press, 1993).
[9] M. M. Gordon, Proceedings of the 5th International conference on Cyclotrons,
Oxford, United Kingdom (1969), p. 305.
[10] A. J. Cerfon, J. P. Freidberg, F. I. Parra, T. A. Antaya, Physical Review Special
Topics – Accelerators and Beams 16, 024202 (2013).
[11] W. J. G. M. Kleeven and Y.K. Batygin, “Momentum analysis of space charge effects
in an AVF cyclotron”, Particle Accelerators 24 (1989), p. 187.
[12] E. Pozdeyev, Ph.D. thesis, Michigan State University (2003).

180 

[13] J. A. Rodriguez, Ph.D. thesis, Michigan State University (2004).
[14] E. Pozdeyev, J. A. Rodriguez, F. Marti, R. C. York, Proceedings of Hadron Beam,
Nashville, Tennessee, U.S.A (2008), WGA30, p. 157.
[15] E. Pozdeyev, J. A. Rodriguez, F. Marti, R.C. York, Physical Review Special Topics –
Accelerators and Beams 5, 054202 (2009).
[16] Y. Bi, T. Zhang, C. Tang, Y. Huang, J. Yang, Journal of Applied Physics, 107, 063304
(2010).
[17] A. Adelmann et al., “The OPAL (Object Oriented Parallel Accelerator Library)
framework, users reference manual”, Version 1.2.0, PSI report number
PSI-PR-08-02, Paul Scherrer Institut (2008).
[18] J. J. Yang et al., “Beam dynamics in high intensity cyclotrons including neighboring
bunch effects: Model, implementation, and application”, Physical Review Special
Topics – Accelerators and Beams 13, 064201 (2010).
[19] Y. Li, G. Machicoane, F. Marti, T. P. Wangler, E. Pozdeyev, Proceedings of the IEEE
Particle Accelerator Conference (Vancouver, Canada, 2009), TU3PBC06, p. 734.
[20] A. W. Chao, Physics of Collective Beam Instabilities in High Energy Accelerators
(John Wiley & Sons, Inc., New York, 1993).
[21] D. A. Edwards, M. J. Syphers, An Introduction to the Physics of High Energy
Accelerators (John Wiley & Sons, Inc., New York, 1993).
[22] Z. Huang, M. Borland, P. Emma, J. Wu, C. Limborg, G. Stupakov and J. Welch,
Physical Review Special Topics – Accelerators and Beams 7, 074401 (2004).
[23] J. Rosenzweig, C. Pellegrini, L. Serafini, C. Ternienden and G. Travish, TESLA
FEL-Report 1996-15.
[24] M. Venturini, LBNL-63111, 2007.
[25] M. Venturini, Physical Review Special Topics – Accelerators and Beams 11, 034401
(2008).
[26] J. Qiang, R. D. Ryne, M. Venturini, A. A. Zholents, I. V. Pogorelov, Physical Review
Special Topics – Accelerators and Beams 12, 100702 (2009).

181 

[27] S. Humphries, Charged Particle Beams (John Wiley & Sons, Inc., New York, 1990),
p. 704.
[28] A. M. Al-khateeb, O. Boine-Frankenheim, Ingo Hofmann, and G. Rumolo, Physical
Review E 63, 026503 (2001).
[29] L. Palumbo, V. G. Vaccaro, G. Wustefeld, IEEE Transactions on Nuclear Science, 31
(1984).
[30] W. R. Smythe, Static and Dynamic Electricity (McGraw-Hill Book Company Inc.,
New York, 1950), p. 85.
[31] C. E. Nelson and A. M. Sessler, Review of Scientific Instruments, 30(02), 1959, p.
80-89.
[32] K.Y. Ng, Particle Accelerators 16 (1984) 63.
[33] B. Zotter, ISR-TH/68-46, 1968.
[34] O. Gröbner and K. Hübner, CERN/ISR-TH-VA/75-27, 1975.
[35] A.V. Smirnov, Nuclear Instruments and Methods in Physics Research A 450 (2000),
p. 579-582.
[36] N. Mounet and E. Métral, CERN-ATS-Note-2010-056 Tech, 2010.
[37] R. L. Gluckstern, J. van Zeijts, and B. Zotter, Physical Review E, 47 (1993), p.
656-663.
[38] R. Warnock and R. Ruth, Physical Review Special Topics – Accelerators and Beams
8, 014402 (2005).
[39] See e.g., J. N. Reddy, An Introduction to the Finite Element Method (3rd edition,
McGraw-Hill Higher Education, 2006).
[40] X. Lin，Z. Zhang，Solved Problems in Electrodynamics (in Chinese), Science Press,
Beijing, ISBN 7030071298 (2002), p. 72.
[41] D. Ratner, Ph.D. thesis, Stanford University (2011).
[42] S. Heifets, G. Stupakov, and S. Krinsky, Physical Review Special Topics–

182 

Accelerators and Beams 5, 064401 (2002).
[43] T. J. M. Boyd, J.J. Sanderson, The Physics of Plasmas (Cambridge University Press,
Cambridge, 2003), p. 256-260.
[44] P. M. Bellan, Fundamentals of Plasma Physics (Cambridge University Press, New
York, 2006), p. 182-192.
[45] N. A. Krall, A. W. Trivelpiece, Principles of Plasma Physics (McGraw-Hill, Inc.,
New York, 1973), p. 375-380.
[46] C. N. Lashmore-Davies, CERN-81-13, 1981, p. 30-38.
[47] M. Reiser, Theory and Design of Charged Particle Beams (Wiley-VCH Verlag
GmbH & Co. KGaA, Weinheim, 2008), p. 190-192.
[48] J. A. Simpson, Review of Scientific Instruments, 32, 1283 (1961).
[49] E. R. Cawthron, D. L. Cotterell, and M. Oliphant, Proceedings of the Royal Society
of London A 314, 39-51, (1969).
[50] Y. Zou, Y. Cui, I. Haber, M. Reiser, and P. G. O’Shea, Physical Review Special
Topics-Accelerators and Beams, 6, 112801 (2003).
[51] Y. Zou, Y. Cui, V. Yun, A. Valfells, R. A. Kishek, S. Bernal, I. Haber, M. Reiser, and
P. G. O’Shea, Physical Review Special Topics-Accelerators and Beams, 5, 000000
(2002).
[52] Y. Cui, Y. Zou, A. Valfells, M. Reiser, M. Walter, I. Haber, R. A. Kishek, S. Bernal,
and P. G. O’Shea, Review of Scientific Instruments 75, Number 8 (2004).
[53] SIMION, Scientific Instrument Services, Inc, http://simion.com/.
[54] Lua, http://www.lua.org/.
[55] G. Machicoane, D. Cole, J. Ottarson, J. Stetson, and P. Zavodszky, Review of
Scientific Instruments 77, 03A322 (2006).
[56] H. Hamma, H. Tanaka, N. Kumagai, M. Kawai, F. Hinode, T. Muto, K. Nanbu, T.
Tanaka, K. Kasamsook, K. Akiyama, and M. Yasuda, New Journal of Physics 8
(2006), p. 292.

183 

[57] Y. Bi, et al, “Towards quantitative simulations of high power proton cyclotrons”,
Physical Review Special Topics – Accelerators and Beams 13, 054402 (2011).
[58] K. R. Crandall and D. P. Rusthoi, TRACE 3-D Documentation, 3rd edition,
LA-UR-97-886, (1997).
[59] M. Conte and W. W. MacKay, An Introduction to the Physics of Particle
Accelerators (2nd edition, World Scientific Co. Pte. Ltd, Singapore, 2008).
[60] W. W. MacKay and M. Conte, Accelerator Physics-Example Problems with
Solutions (World Scientific Co. Pte. Ltd, Singapore, 2012).
[61] K. L. Brown, SLAC-Report-75, 1982.
[62] S. Y. Lee, Accelerator Physics (2nd Edition, World Scientific Co. Pte. Ltd, Singapore,
2004).

184