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Microcanonical ensemble

The microcanonical ensemble is a fundamental concept in statistical mechanics that describes the statistical behavior of an isolated system characterized by fixed values of energy E, volume V, and number of particles N, where all accessible microstates consistent with these constraints are assumed to be equally probable.^[1]^[2]^[3] This ensemble provides a framework for connecting microscopic dynamics to macroscopic thermodynamic properties, particularly for systems in thermal equilibrium without exchange of energy or matter with their surroundings.^[1]^[2] Introduced by J. Willard Gibbs in his foundational work on the elements of statistical mechanics around 1902, the microcanonical ensemble forms one of the three primary ensembles in Gibbsian statistical mechanics, alongside the canonical and grand canonical ensembles.^[4] It emphasizes its role in treating isolated systems directly through the postulate of equal a priori probabilities for microstates within a narrow energy shell.^[4]^[2] In classical mechanics, the ensemble is represented by a uniform distribution over the phase space volume \Gamma(E, V, N) corresponding to energies between E and E + \Delta, where \Delta is infinitesimally small in the thermodynamic limit; in quantum mechanics, it corresponds to the number of states \Omega(E, V, N) with exact energy E.^[3]^[2] Key properties of the microcanonical ensemble include its definition of entropy as S = k \ln \Omega, where k is Boltzmann's constant, providing a measure of the system's microscopic degeneracy and linking directly to the second law of thermodynamics through \Delta S \geq 0 for isolated processes.^[2]^[1] Temperature emerges statistically as $1/T = (\partial S / \partial E)_{V,N}, and the ensemble resolves issues like the Gibbs paradox by incorporating the indistinguishability of particles via factors such as N! in the phase space measure.^[3]^[2] It assumes ergodicity, meaning time averages equal ensemble averages, and is particularly applicable to ideal gases, spin systems, and other models where exact energy conservation is enforced.^[1]^[3] In practice, the microcanonical ensemble underpins derivations of equations of state, such as PV = NkT for ideal gases, and heat capacities, while its entropy formulation facilitates the thermodynamic limit where fluctuations become negligible.^[1]^[2] Though computationally challenging for complex systems due to the need to enumerate or integrate over vast phase spaces, it remains theoretically central for understanding equilibrium in closed systems and serves as a benchmark for more approximate ensembles in open environments.^[3]^[4]

Fundamentals

Definition

The microcanonical ensemble is a statistical ensemble in mechanics that describes the possible states of an isolated system with fixed total energy E, volume V, and number of particles N. It consists of all accessible microstates compatible with these macroscopic constraints, where each microstate is assigned equal probability.^[5] The fundamental postulate underlying this ensemble asserts that, in thermal equilibrium, an isolated system is equally likely to occupy any microstate consistent with its given energy, volume, and particle number. This framework originated from Ludwig Boltzmann's investigations into ergodicity during the 1860s and 1870s, which laid the groundwork for equating statistical probabilities to dynamical behaviors in isolated systems. It was later formalized by Josiah Willard Gibbs in his 1902 treatise Elementary Principles in Statistical Mechanics, where he explicitly defined the microcanonical distribution as one with uniform phase-space density for systems of constant energy.^[5] The ensemble's conceptual foundation relies on the ergodic hypothesis, which states that for sufficiently large and ergodic systems, the time average of a physical observable equals its ensemble average across the microstates, thereby linking dynamical evolution to statistical equilibrium.

Applicability

The microcanonical ensemble is ideally applicable to isolated physical systems in which external interactions, such as heat or particle exchange, are negligible, thereby maintaining fixed values of total energy E, volume V, and particle number N.^[6] This ensemble assumes the system evolves ergodically, sampling all accessible microstates uniformly within a narrow energy shell, which requires the system to be sufficiently large for statistical fluctuations to average out effectively.^[7] Suitable examples include systems confined in perfect insulators or adiabatic containers that prevent energy leakage, as well as computationally simulated isolated atomic or molecular clusters in molecular dynamics studies.^[8]^[9] The validity of the microcanonical ensemble aligns with the thermodynamic limit, where the number of particles N \to \infty, ensuring equivalence to macroscopic thermodynamic descriptions while various definitions of thermodynamic quantities, such as temperature, converge.^[10] However, finite-size effects become prominent in smaller systems, leading to deviations like non-equivalence between ensembles or anomalous behaviors in specific heat, which must be accounted for in precise applications.^[11] Limitations arise when systems are open or in thermal contact with reservoirs, where energy or particle exchange occurs, making the canonical or grand canonical ensembles more appropriate instead.^[12] Additionally, challenges emerge for small systems where fluctuations dominate or in quantum regimes with significant coherence, as the ensemble's assumptions may not fully capture non-ergodic dynamics or finite-dimensional Hilbert space constraints.^[13]^[14]

Formal Descriptions

Classical Formulation

In classical statistical mechanics, the microcanonical ensemble describes an isolated system of N particles in a volume V with fixed total energy E, where the probability is uniformly distributed over the hypersurface in phase space defined by the constant energy E. The phase space is parameterized by the generalized coordinates \mathbf{q} = (q_1, \dots, q_{3N}) and momenta \mathbf{p} = (p_1, \dots, p_{3N}), with the dynamics governed by the Hamiltonian H(\mathbf{q}, \mathbf{p}). The ensemble average of an observable A(\mathbf{q}, \mathbf{p}) is computed as an integral over this energy shell, ensuring that all accessible microstates consistent with the constraints are equally likely.^[15] The probability density \rho(\mathbf{q}, \mathbf{p}) for the microcanonical ensemble is given by

\rho(\mathbf{q}, \mathbf{p}) = \frac{\delta \bigl( H(\mathbf{q}, \mathbf{p}) - E \bigr)}{\omega(E, V, N)},

where \delta is the Dirac delta function that enforces the energy constraint, and \omega(E, V, N) is the normalization factor representing the surface measure of the energy shell. This formulation, introduced by Gibbs, ensures that the density is zero outside the hypersurface H = E and uniform on it, with the delta function providing an infinitesimal thickness to the shell for practical computation.^[15]^[16] The cumulative phase space volume \Omega(E, V, N) enclosed by the energy surface H \leq E, accounting for indistinguishability of particles and the classical limit via Planck's constant h,

\Omega(E, V, N) = \frac{1}{N! \, h^{3N}} \int d^{3N}q \, d^{3N}p \, \theta \bigl( E - H(\mathbf{q}, \mathbf{p}) \bigr),

where \theta is the Heaviside step function that restricts the integral to the region below energy E. For systems where the energy shell is thin compared to variations in H (valid for large N), \Omega(E, V, N) can be approximated by differentiating the cumulative volume, leading to the surface measure concentrated on H = E. This integral is evaluated over the accessible configuration space, typically a box of volume V for the coordinates \mathbf{q}.^[16] The density of states, or the derivative of the phase space volume with respect to energy, provides the surface measure directly:

\omega(E) = \frac{d \Omega}{dE} = \frac{1}{N! \, h^{3N}} \int d^{3N}q \, d^{3N}p \, \delta \bigl( H(\mathbf{q}, \mathbf{p}) - E \bigr).

This \omega(E) quantifies the number of states per unit energy interval at E and serves as the normalization for the delta-function density, enabling explicit calculations for solvable Hamiltonians like the ideal gas.^[16] Under the ergodic hypothesis, which posits that the system's trajectory densely explores the energy surface, the time average of an observable equals the ensemble average over the microcanonical measure. Specifically, for a Hamiltonian flow generating the dynamics,

\langle A \rangle = \lim_{T \to \infty} \frac{1}{T} \int_0^T A(t) \, dt = \int A(\mathbf{q}, \mathbf{p}) \, \rho(\mathbf{q}, \mathbf{p}) \, d\Gamma,

where d\Gamma = d^{3N}q \, d^{3N}p / (N! \, h^{3N}) is the invariant phase space volume element. This equivalence justifies using the ensemble for equilibrium properties in ergodic classical systems.^[16]

Quantum Formulation

In quantum statistical mechanics, the microcanonical ensemble characterizes an isolated system with precisely fixed energy E, volume V, and number of particles N. Unlike the classical case, it involves a discrete set of energy eigenstates, focusing on the degenerate subspace corresponding to the exact eigenvalue E of the Hamiltonian \hat{H}. This formulation assumes the system is in a pure energy shell without broadening, though practical implementations may use a narrow energy window for finite systems.^[17] The ensemble is represented by the density operator \hat{\rho}, which uniformly distributes over the energy eigenspace:

\hat{\rho} = \frac{\hat{P}_E}{\operatorname{Tr}(\hat{P}_E)},

where \hat{P}_E = \sum_{n: E_n = E} |n\rangle\langle n| is the orthogonal projector onto all eigenstates |n\rangle with energy E_n = E.^[17]^[18] This ensures \hat{\rho} is idempotent (\hat{\rho}^2 = \hat{\rho}) and traces to unity, embodying a maximally mixed state within the subspace.^[17] The degeneracy, or number of accessible states, is given by \Omega(E, V, N) = \operatorname{Tr}(\hat{P}_E), which equals the dimension of the Hilbert subspace at energy E. This quantity plays the role of the classical phase space volume, scaled appropriately for quantum statistics.^[18]^[17] The microcanonical average of an observable \hat{A} is then the trace over this subspace:

\langle \hat{A} \rangle = \operatorname{Tr}(\hat{\rho} \hat{A}) = \frac{1}{\Omega} \sum_{n: E_n = E} \langle n | \hat{A} | n \rangle.

This expectation value is diagonal in the energy basis, reflecting the equal weighting of degenerate states.^[17]^[18] In the semiclassical limit of large systems (N \to \infty), the quantum density of states g(E) = \frac{d\Omega}{dE} connects to the classical formulation via Weyl's law: g(E) \approx \omega(E), where \omega(E) is the classical density of states \frac{1}{N! h^{3N}} \int d^{3N}q \, d^{3N}p \, \delta \bigl( H(\mathbf{q}, \mathbf{p}) - E \bigr). This approximation captures the leading-order smoothing of quantum fluctuations, aligning quantum degeneracy with classical counts while accounting for indistinguishability and quantization.^[19]^[17]

Thermodynamic Properties

Key Quantities

In the microcanonical ensemble, the internal energy U is fixed and equals the total energy E of the system by construction, as the ensemble consists of all microstates with precisely that energy value for given volume V and particle number N.^[2] The temperature T emerges as a derived quantity from the entropy S, defined as the inverse of the partial derivative of entropy with respect to energy at constant volume and particle number:

\frac{1}{T} = \left( \frac{\partial S}{\partial E} \right)_{V,N}.

This relation interprets temperature as the inverse slope of the entropy versus energy curve, indicating how rapidly the number of accessible microstates grows with energy; a steeper slope corresponds to a lower temperature.^[20]^[21] The pressure P is similarly obtained from the entropy as

\frac{P}{T} = \left( \frac{\partial S}{\partial V} \right)_{E,N},

which connects the ensemble's fixed-energy description to mechanical work through volume changes, reflecting the system's tendency to expand into available phase space.^[21]^[2] For systems where particle number can vary, the chemical potential \mu is given by

\frac{\mu}{T} = -\left( \frac{\partial S}{\partial N} \right)_{E,V},

quantifying the change in entropy per added particle at fixed energy and volume, and thus the cost of incorporating additional particles into the system.^[22]^[23] Response functions, such as the heat capacity at constant volume C_V, follow from these definitions; specifically,

C_V = \left( \frac{\partial E}{\partial T} \right)_V = -\frac{ \left( \frac{\partial S}{\partial E} \right)_{V,N}^2 }{ \left( \frac{\partial^2 S}{\partial E^2} \right)_{V,N} },

revealing that C_V depends on the curvature of the entropy-energy relation, which can yield negative values in finite systems like self-gravitating clusters where energy addition decreases temperature.^[24]^[25]

Entropy

In the microcanonical ensemble, the entropy S(E, V, N) is defined as S(E, V, N) = k \ln \Omega(E, V, N), where k is Boltzmann's constant and \Omega(E, V, N) denotes the number of accessible microstates consistent with the fixed total energy E, volume V, and particle number N.^[26] This expression connects the macroscopic thermodynamic entropy to the microscopic multiplicity of states, establishing a foundational link between statistical mechanics and thermodynamics.^[21] The logarithm ensures that entropy is additive for independent systems, as the total multiplicity is the product of individual multiplicities, yielding S = S_1 + S_2 exactly for non-interacting subsystems.^[21] In the thermodynamic limit of large system size, the entropy exhibits extensivity, approximating S \approx s(E/V, N/V) \, V, where s represents the entropy density per unit volume.^[3] This property arises because the multiplicity \Omega grows exponentially with system size, \Omega \sim e^{S/k}, allowing subextensive corrections like surface effects or logarithmic terms to become negligible relative to the dominant extensive term.^[3] The third law of thermodynamics emerges naturally from this framework: as temperature approaches zero, the system confines to the unique ground state, where \Omega \to 1 and thus S \to 0.^[27] Fluctuations in the microcanonical ensemble are inherently constrained by the fixed energy, but considering a thin energy shell of width \Delta E around E, the relative variance satisfies \Delta E / E \sim 1/\sqrt{\Omega}.^[21] This leads to corresponding entropy fluctuations \delta S / S \sim 1/\sqrt{\Omega}, which vanish exponentially in the thermodynamic limit since \Omega grows superexponentially with system size, ensuring the sharpness of thermodynamic quantities.^[27] From an information-theoretic perspective, the microcanonical ensemble corresponds to the probability distribution that maximizes the Shannon entropy H = -\sum_i p_i \ln p_i under the constraint of fixed total energy, resulting in uniform probabilities p_i = 1/\Omega over the accessible microstates.^[28] This maximization yields H = \ln \Omega = S/k, highlighting the equivalence between statistical entropy and the measure of uncertainty or missing information in the ensemble.^[28]

Phase Transitions

In the microcanonical ensemble, phase transitions are identified through non-analyticities in the entropy S(E) = k \ln \Omega(E), where \Omega(E) is the density of states, leading to discontinuities or singularities in derived thermodynamic quantities such as temperature T(E) = \left( \frac{\partial S}{\partial E} \right)^{-1} and specific heat C_V(E). Unlike the canonical ensemble, where phase transitions manifest as smoother discontinuities in derivatives of the free energy, the microcanonical formulation reveals sharper signatures due to the fixed energy constraint, including potential back-bending in caloric curves and negative heat capacities in finite systems. These features arise from the geometry of the entropy surface, where convex intrusions signal first-order transitions and kinks indicate second-order ones.^[29] For first-order phase transitions, the microcanonical ensemble exhibits a characteristic back-bending in the T(E) curve, corresponding to a convex dip in S(E) that reflects the latent heat associated with coexistence between phases. This back-bending implies regions of negative specific heat, where increasing energy decreases temperature, analogous to the Clausius-Clapeyron equation through the equality of areas under the T(E) curve on either side of the transition. In finite systems, this behavior underscores ensemble inequivalence with the canonical ensemble, where the transition appears as a bimodal probability distribution rather than a direct caloric anomaly. However, in the thermodynamic limit, the ensembles become equivalent, and the microcanonical signatures align with canonical ones.^[29]^[30] Second-order phase transitions in the microcanonical ensemble are marked by singularities in \Omega(E), such as essential singularities or branch points, which produce divergences in response functions like C_V(E) or compressibility without latent heat. These singularities stem from critical points where the entropy's higher derivatives become infinite, leading to power-law behaviors in thermodynamic quantities near the transition energy. As C_V(E) = \left( \frac{\partial T}{\partial E} \right)_V^{-1}, such divergences occur when \left( \frac{\partial T}{\partial E} \right)_V \to 0, highlighting critical phenomena.^[30]^[29] A key mechanism for these signatures in finite isolated systems is the emergence of a bimodal energy distribution, which introduces multimodality in \Omega(E) and can yield negative specific heat, particularly in self-bound systems like atomic clusters or gravitational aggregates. For instance, in gravitational systems, the long-range attractive forces amplify this effect, allowing energy addition to cool the core while heating the halo, resulting in C_V < 0 over certain energy ranges. This phenomenon resolves in the thermodynamic limit, where infinite-volume constraints eliminate finite-size artifacts and restore positive definiteness.^[31]^[29]^[32]

Connections to Thermodynamics

Analogies

The microcanonical ensemble establishes a direct analogy to classical thermodynamics through the fundamental relation of thermodynamics, which emerges from the partial derivatives of the entropy function S(E, V, N). Specifically, the temperature T, pressure P, and chemical potential \mu are defined as $1/T = (\partial S / \partial E)_{V,N}, P/T = (\partial S / \partial V)_{E,N}, and -\mu/T = (\partial S / \partial N)_{E,V}, leading to the differential form dS = (1/T) dE + (P/T) dV - (\mu/T) dN. Rearranging this yields the standard thermodynamic identity dE = T dS - P dV + \mu dN, which encapsulates the first and second laws in the energy representation and mirrors the macroscopic thermodynamic potential for isolated systems.^[21] From this entropy-based formulation, Maxwell relations arise naturally as consequences of the exact differential nature of dS, analogous to those in phenomenological thermodynamics. For instance, the mixed second partial derivatives imply (\partial T / \partial V)_S = - (\partial P / \partial S)_V, providing symmetry relations between thermodynamic response functions that ensure consistency across ensembles. These relations highlight how the microcanonical description reproduces the interconnectedness of thermodynamic variables observed empirically.^[33] The Gibbs-Duhem relation further bridges the microcanonical framework to intensive thermodynamic variables. At constant energy, the relation integrates to S dT = V dP - N d\mu, expressing the interdependence of T, P, and \mu in equilibrium states, much like in the Euler homogeneous function approach to extensive properties. This form underscores the ensemble's ability to capture phase rule constraints without invoking fluctuations.^[34] Historically, Ludwig Boltzmann's H-theorem provides a foundational analogy linking the microcanonical ensemble to the second law of thermodynamics. The theorem demonstrates that, under the assumption of molecular chaos, the H-function (related to the negative entropy) decreases toward its minimum, corresponding to the uniform distribution over accessible states in the microcanonical ensemble, thereby maximizing S at equilibrium and justifying the arrow of time in isolated systems. This probabilistic interpretation resolves the apparent reversibility paradox in Hamiltonian dynamics by positing the microcanonical distribution as the most probable equilibrium state.^[35] The concavity of the entropy function S(E, V, N) in the microcanonical ensemble ensures thermodynamic stability, analogous to the stability criteria in classical thermodynamics. This property implies that small perturbations in extensive variables lead to restorative responses, preventing phase separation or instabilities, and supports the use of Legendre transforms to generate other thermodynamic potentials, such as the Helmholtz free energy F(T, V, N) = E - T S, for systems at fixed temperature.^[36]

Equivalence with Other Ensembles

In the thermodynamic limit, where the number of particles N and volume V approach infinity while keeping the density N/V fixed, the microcanonical ensemble becomes equivalent to the canonical ensemble. In this regime, energy fluctuations in the canonical ensemble vanish relative to the mean energy, such that the average energy \langle E \rangle_{\text{canonical}} approximates the fixed energy E_{\text{micro}} of the microcanonical ensemble, and the entropies satisfy S_{\text{canonical}} \approx S_{\text{micro}}. This equivalence extends to thermodynamic observables like pressure and chemical potential, ensuring consistent predictions for large systems.^[37]^[38]^[39] The connection between the ensembles is formalized through the saddle-point approximation to the canonical partition function Z(\beta), which is expressed as an integral over energy:

Z(\beta) \approx \int dE \, \omega(E) e^{-\beta E},

where \omega(E) is the microcanonical density of states and \beta = 1/T. This integral is dominated by contributions near the energy E^* satisfying \partial \ln \omega / \partial E = \beta, yielding the canonical free energy and thermodynamics that match the microcanonical results in the large-system limit.^[40]^[41]^[42] However, equivalence does not hold universally; inequivalence arises in finite systems or those with long-range interactions, such as gravitational systems. In these cases, the microcanonical ensemble can exhibit negative heat capacity—where temperature decreases as energy increases—while the canonical ensemble cannot, due to the absence of such fluctuations in the latter. For example, in self-gravitating systems, this leads to distinct phase diagrams between ensembles.^[43]^[44]^[45] The grand canonical ensemble, which allows particle number fluctuations, also equivalents to the microcanonical in the thermodynamic limit when chemical potential \mu fluctuations are negligible, typically for large N. This holds for systems where particle exchange does not dominate, ensuring matching averages for density and energy.^[38]^[39] In modern contexts, particularly quantum many-body simulations since the 2020s, the microcanonical ensemble remains foundational for studying isolated systems, such as in lattice models and strongly correlated electrons, where exact dynamics reveal phase transitions inaccessible in other ensembles. Advances in numerical methods, like free-cumulant approaches, highlight its role in probing thermalization and inequivalence in quantum settings.^[46]^[47]

Examples

Ideal Gas

The microcanonical ensemble provides an exact framework for computing thermodynamic properties of a classical ideal gas consisting of N indistinguishable monatomic particles of mass m confined to a volume V with fixed total energy E. The density of states \Omega(E, V, N) represents the phase-space volume of the energy shell of infinitesimal thickness at energy E, normalized by the classical phase-space factor h^{3N} N! to account for indistinguishability and units. For the ideal gas Hamiltonian H = \sum_{i=1}^N \mathbf{p}_i^2 / (2m), the position integrals yield V^N, while the momentum integrals correspond to the surface area of a $3N-dimensional hypersphere of radius \sqrt{2mE}. This evaluation gives the explicit expression

\Omega(E, V, N) = \frac{V^N}{N! \, h^{3N}} \frac{(2 \pi m)^{3N/2} E^{3N/2 - 1}}{\Gamma(3N/2)}.

This formula follows from the general definition of \Omega in the classical microcanonical ensemble applied to non-interacting particles.^[3] The entropy S is given by S = k \ln \Omega(E, V, N), where k is Boltzmann's constant. For large N, Stirling's approximation \ln N! \approx N \ln N - N and the asymptotic form of the gamma function \ln \Gamma(3N/2) \approx (3N/2 - 1) \ln(3N/2) - 3N/2 simplify \ln \Omega to its leading terms, yielding the Sackur-Tetrode equation in microcanonical form:

S = k N \left[ \ln \left( \frac{V}{N} \left( \frac{4 \pi m E}{3 N h^2} \right)^{3/2} \right) + \frac{5}{2} \right].

This seminal expression for the absolute entropy of a monatomic ideal gas incorporates quantum considerations via Planck's constant h while remaining classical, and it was independently derived by Sackur and Tetrode to resolve the entropy constant in the ideal gas law.^[3] The temperature T emerges from the thermodynamic relation $1/T = (\partial S / \partial E)_{V,N} = (1/k) (\partial \ln \Omega / \partial E)_{V,N}. Differentiating \ln \Omega with respect to E gives (\partial \ln \Omega / \partial E)_{V,N} = (3N/2 - 1)/E \approx 3N/(2E) in the thermodynamic limit N \to \infty, leading to T = 2E / (3 N k) or equivalently E = (3/2) N k T. This confirms the equipartition theorem, assigning (1/2) k T per quadratic degree of freedom for the $3N translational modes.^[3] The pressure P follows from P = T (\partial S / \partial V)_{E,N} = [k](/page/K) T (\partial \ln \Omega / \partial V)_{E,N}. Since \ln \Omega \propto N \ln V, the derivative yields P = N [k](/page/K) T / V, recovering the ideal gas law. Substituting E = (3/2) N [k](/page/K) T further implies P V = (2/3) E, which aligns with the virial theorem for a non-interacting gas where kinetic energy dominates.^[3] These results hold under the assumptions of non-interacting point particles with no internal degrees of freedom, in the classical high-temperature regime where quantum degeneracy effects (such as Bose-Einstein condensation or Fermi degeneracy) are negligible—specifically, when the thermal de Broglie wavelength \lambda = h / \sqrt{2 \pi m [k](/page/K) T} satisfies \lambda^3 \ll V/N.

Ideal Gas in Gravitational Field

The ideal gas in a uniform gravitational field serves as an extension of the homogeneous case, introducing spatial inhomogeneity due to the external potential while maintaining the microcanonical framework of fixed energy E, particle number N, and container dimensions. The system is confined to a cylindrical volume with height L along the z-direction (where $0 < z < L) and cross-sectional area A, such that the volume V = A L. The Hamiltonian for N non-interacting particles of mass m is given by

H = \sum_{i=1}^N \left( \frac{\mathbf{p}_i^2}{2m} + m g z_i \right),

where \mathbf{p}_i is the momentum of the i-th particle, g is the gravitational acceleration, and z_i is its height coordinate.^[48]^[49] The microcanonical density of states \Omega(E, V, N) can be approximated in the thermodynamic limit using the Laplace transform method or saddle-point integration over the phase space volume, accounting for the potential energy contribution. This yields single-particle distributions that, for large N, approach canonical forms: the momentum distribution becomes Maxwellian, and the height distribution follows the barometric formula \rho(z) \propto e^{-m g z / kT}, where T is the temperature emerging from the saddle-point condition. Unlike the uniform ideal gas without gravity, the effective volume available to particles is reduced by the exponential weighting, leading to a density gradient that increases toward the bottom of the container.^[48]^[49]^[50] The entropy S = k \ln \Omega in this setup is analogous to the Sackur-Tetrode expression for the homogeneous ideal gas but incorporates a gravitational correction that diminishes the effective phase space volume, roughly S \approx N k \left[ \ln \left( \frac{V_{\text{eff}}}{N} \left( \frac{4\pi m E_k}{3 N h^2} \right)^{3/2} \right) + \frac{5}{2} \right], where V_{\text{eff}} accounts for the gravitational compression and E_k is the total kinetic energy. The temperature remains defined via the kinetic energy as T = \frac{2}{3} \frac{\langle K \rangle}{N k}, with \langle K \rangle the average kinetic energy, preserving the equipartition theorem despite the inhomogeneity; numerical studies confirm equivalence to the canonical ensemble temperature in the large-N limit.^[50] In the self-gravitating limit for large N, where the external field is replaced by mutual gravitational interactions, the microcanonical ensemble reveals potential for phase separation and the gravothermal catastrophe, characterized by negative specific heat where energy loss leads to core heating and collapse. This arises because the virial theorem implies $2K + W = 3 P V (with W < 0 the potential energy), allowing dE/dT < 0 for bound systems with E < -0.335 G M^2 / R. Such behavior highlights ensemble inequivalence: the canonical ensemble predicts a first-order phase transition to a dilute, nearly uniform gaseous phase coexisting with a dense core, whereas the microcanonical formulation prohibits stable uniform diffusion due to the fixed-energy constraint.^[51]

Paramagnetic Spin System

A paradigmatic quantum example of the microcanonical ensemble is provided by a system of N non-interacting spin-1/2 particles, each with magnetic moment \mu, subjected to an external magnetic field B directed along the z-axis. The energy levels for each spin are \pm \mu B, corresponding to alignment (down, lower energy -\mu B) or anti-alignment (up, higher energy +\mu B) with the field. The total energy E of the system is fixed and given by E = -\mu B M, where M is the net number of spins aligned down (i.e., M = N_- - N_+, with N_- and N_+ the numbers of down and up spins, respectively, satisfying N_- + N_+ = N). Thus, N_- = (N + M)/2 and N_+ = (N - M)/2, with |M| \leq N.^[52]^[53] The degeneracy \Omega(E), or number of microstates consistent with the fixed energy E, is the number of ways to choose N_- spins out of N to be down, yielding the binomial coefficient

\Omega(E) = \binom{N}{\frac{N + M}{2}} = \frac{N!}{\left( \frac{N + M}{2} \right)! \left( \frac{N - M}{2} \right)!}.

This exact expression counts the accessible configurations in the energy shell at E. For large N, Stirling's approximation simplifies the entropy S = k \ln \Omega(E), where k is Boltzmann's constant, to

\frac{S}{k} \approx N h(p), \quad h(p) = -p \ln p - (1 - p) \ln (1 - p),

with p = (N + M)/(2N) = (1 + m)/2 the fraction of down spins and m = M/N the reduced magnetization (|m| \leq 1). This binary entropy function h(p) captures the configurational disorder, maximized at p = 1/2 (m = 0) where S/k \approx N \ln 2, corresponding to maximum degeneracy.^[53]^[52] The temperature T emerges from the thermodynamic relation $1/T = (\partial S / \partial E)_{N}. With E = -\mu B M and m = M/N, \partial E / \partial m = -\mu B N, so

\frac{1}{T} = \frac{\partial S / \partial m}{\partial E / \partial m} = -\frac{1}{\mu B N} \frac{\partial S}{\partial m}.

Using S \approx -N k \left[ \frac{1+m}{2} \ln \frac{1+m}{2} + \frac{1-m}{2} \ln \frac{1-m}{2} \right], the derivative is \partial S / \partial m = -k N \artanh(m), yielding (with k = 1 for simplicity)

\frac{1}{T} = \frac{1}{\mu B} \artanh\left( \frac{M}{N} \right).

Here, \artanh(x) = \frac{1}{2} \ln \left( \frac{1 + x}{1 - x} \right). As M \to 0 (zero net magnetization, high disorder), T \to \infty; conversely, as |M| \to N (full alignment, low disorder), T \to 0^+. This relation inverts the canonical ensemble result m = \tanh(\mu B / T), highlighting ensemble equivalence in the thermodynamic limit.^[52]^[54] In the high-temperature limit (T \gg \mu B / k, small |m|), expanding \artanh(m) \approx m yields m \approx (\mu B)/T, or total magnetization M \approx N \mu (B / T), mimicking the Curie law M = (C B)/T with Curie constant C = N \mu^2 / k. However, the microcanonical formulation reveals fluctuations absent in mean-field approximations: for fixed E (fixed m), thermal fluctuations are suppressed, but the sharp variation of m with T—from near-zero at high T to near-unity at low T—exhibits transition-like behavior, analogous to a paramagnetic response without true phase transition due to non-interacting spins. This toy model illustrates how fixed-energy constraints amplify alignment at low effective temperatures, contrasting continuous classical systems.^[52]

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Inhomogeneity of Local Temperature in Small Clusters in ...
Jul 6, 2007 · ... dynamics simulations, the local temperatures of atoms in small, isolated crystalline clusters in microcanonical equilibrium are not uniform.
[10]
[PDF] Finite-size behaviour of the microcanonical specific heat - arXiv
In the microcanonical ensemble various definitions of the temperature are possible, the different expressions becoming equivalent in the thermodynamic limit.
[11]
[PDF] The microcanonical thermodynamics of finite systems - arXiv
Otherwise, in a canonical ensemble, the system would fluctuate between the two pure phases separated by an energy difference, ∆E ≈ Elatent, on the order of the ...
[12]
Large Finite-Size Effects of Discrete Systems in Microcanonical ...
Abstract. We describe a microcanonical ensemble theory with a rigorous statistical mechanies basis which can be used for exact analytic calculations or.
[13]
[PDF] arXiv:quant-ph/0511162v3 18 Apr 2006
The quantum microcanonical ensemble introduced here is applicable to any isolated finite-dimensional quantum system for which the ideal gas approximation is ...
[14]
[PDF] Exact results in the microcanonical formalism - arXiv
Sep 4, 2015 · The microcanonical formalism allows the application of. Statistical Mechanics to isolated small systems, but there are fundamental principles of.
[15]
[PDF] Elementray Principles in Statistical Mechanics. - Project Gutenberg
Jan 22, 2016 · ... microcanonical ... Mechanics, by Josiah Willard Gibbs. *** END OF THIS PROJECT GUTENBERG EBOOK ELEMENTARY PRINCIPLES STATISTICAL MECHANICS ***.
[16]
[PDF] landau - lifshitz
Statistical physics, often called for brevity simply statistics, consists in the study of the special laws which govern the behaviour and properties of mac-.Missing: microcanonical | Show results with:microcanonical
[17]
Microcanonical Ensemble in Quantum Statistical Mechanics
Canonical and microcanonical Monte Carlo simulations of lattice-gas mixtures. J. Chem. Phys. (October 2006). Online ISSN 1089-7658; Print ISSN 0022-2488 ...
[18]
[PDF] On quantum microcanonical equilibrium - arXiv
Dec 14, 2006 · Abstract. A quantum microcanonical postulate is proposed as a basis for the equilibrium properties of small quantum systems.
[19]
[PDF] Statistical Mechanics Contents 1 Thermodynamics
Mar 10, 2011 · 4.1 Quantum mechanics, Weyl's law . . . . . 22. 4.2 Spin and ... g(α) is the density of states (effectively Ω(α)). In the case of ...
[20]
[PDF] Lecture 7: Ensembles
Ensembles are the possible microstates a system could be in, sharing a macroscopic property. Examples include microcanonical, canonical, Gibbs, and grand ...
[21]
[PDF] Statistical Physics - DAMTP
definition of the heat capacity (1.9) in the microcanonical ensemble. In the canonical ensemble, where the energy is not fixed, the corresponding definition is.
[22]
Quantum Statistical Mechanics
The microcanonical ensemble will then involve S(E,N). If we connect our system to a heat and particle bath, we find pi=e−βϵi+βμniZ,. where βμ=−1kB∂S∂Nβ=1 ...
[23]
[PDF] Statistical Physics
... ∂S/∂N = −µ/T and introduced the grand canonical potential which can be expressed through the grand partition func- tion. Ω(T,V,µ) = −T ln. X. N exp(µN/T). X.
[24]
[PDF] Statistical Mechanics of Ideal Gases - JILA
In statistical mechanics it is convenient to work with internal energy U ... (c) Pressure. 34. Page 35. According to the standard relation ∂S/∂V = P/T, eq.
[25]
[PDF] Quantum confinement and negative heat capacity - Purdue Chemistry
... specific heat of a system is strictly non-negative. ... which are described by the Canonical ensemble, may not have a negative heat capacity. ... ing to the ...
[26]
Translation of Ludwig Boltzmann's Paper “On the Relationship ...
Confusingly, Planck later chose to write Boltzmann's equation for entropy as S=klnW+constant [6]. Crucially, Ω is an extensive quantity, which leads to ...
[27]
[PDF] Ensembles - UMD Physics
In the microcanonical ensemble temperature measures the energy dependence of the multiplicity function for isolated systems. For isolated systems, you specify ...Missing: adiabatic | Show results with:adiabatic
[28]
Maximum Entropy Principle for the Microcanonical Ensemble - arXiv
Sep 7, 2007 · We derive the microcanonical ensemble from the Maximum Entropy Principle (MEP) using the phase space volume entropy of P. Hertz.
[29]
https://www.worldscientific.com/worldscibooks/10.1142/4340
[30]
First order phase transitions in the canonical and the microcanonical ...
On the other hand, the distinction between first and a second order phase transition is rather direct if based on the microcanonical density of states which is ...
[31]
On the negative specific heat paradox - Astrophysics Data System
A system which can show negative heat capacity can not be divided into equal weakly coupled parts. Imagine a system of negative heat capacity C1 = - I C1 I ...
[32]
[cond-mat/9911257] Phase Transitions in "Small" systems - arXiv
Nov 17, 1999 · Authors:D.H.E.Gross, E.Votyakov. View a PDF of the paper titled Phase Transitions in "Small" systems, by D.H.E.Gross and E.Votyakov. View PDF.
[33]
[PDF] Untitled
the microcanonical ensemble ... properties of the system described by S(E, V, N). ... This will lead to physically interesting relations, called Maxwell relations.
[34]
[PDF] Lecture 8: Free energy
The Euler equation at the Gibbs-Duhem equation hold for almost all statistical mechanical systems. Keep in mind however that the extensivity of entropy is ...
[35]
Boltzmann's Work in Statistical Physics
Nov 17, 2004 · Boltzmann claimed that the H-theorem provided the desired theorem from mechanics corresponding to the second law. However, this claim came ...
[36]
Thermodynamic equilibrium and its stability for microcanonical ...
Aug 19, 2005 · It is generally assumed that the thermodynamic stability of equilibrium states is reflected by the concavity of entropy.Missing: ensemble | Show results with:ensemble
[37]
[1403.6608] Equivalence and nonequivalence of ensembles - arXiv
Mar 26, 2014 · We present general and rigorous results showing that the microcanonical and canonical ensembles are equivalent at all three levels of description considered in ...
[38]
[PDF] Conditional Equilibrium and the Equivalence of Microcanonical and ...
C.E. and Gibbs states; it was a fundamental belief of the founders of statistical mechanics that in the thermodynamic limit the various ensembles yield the same.
[39]
[PDF] Chapter 9 Canonical ensemble
Equivalence of ensembles. In the thermodynamic limit the average value of an ob- servable is in general independent of the ensemble (microcanonical or canonical) ...
[40]
The equivalence between the canonical and microcanonical ...
Aug 1, 2007 · A straightforward technique is suggested that demonstrates that a microcanonical ensemble and canonical ensemble behave in exactly the same way
[41]
[PDF] Derivation of Canonical Distribution from Microcanonical
If we use the above asymptotic analysis, the saddle points for numerator and denominator are different. But in fact, for N ≫ 1, the two saddle points are nearly ...
[42]
[PDF] Statistical Mechanics Lecture set 3: Canonical Ensemble
- Microcanonical ensemble: fixed E,V,N → S(E,V,N). - Canonical ensemble: fixed T,V,N → F(T,V,N) = E − TS. - Grandcanonical ensemble: fixed T,V,µ → Π(T,V,µ) ...
[43]
Inequivalence of Ensembles in a System with Long-Range Interactions
Jun 29, 2001 · In this region the microcanonical ensemble exhibits energy ranges with negative specific heat and temperature jumps at transition energies.Missing: capacity | Show results with:capacity
[44]
Ensemble inequivalence in systems with long-range interactions
Dec 7, 2001 · In particular it has been recently shown that negative specific heat can arise in the microcanonical ensemble in the thermodynamic limit for ...Missing: capacity | Show results with:capacity
[45]
Ensemble inequivalence in systems with long-range interactions
Ensemble inequivalence has been observed in several systems. In particular it has been recently shown that negative specific heat can arise in the ...
[46]
Microcanonical free cumulants in lattice systems | Phys. Rev. B
Feb 7, 2025 · In this paper, we present a detailed discussion of the free-cumulants approach to many-body dynamics within the microcanonical ensemble.
[47]
Revealing microcanonical phases and phase transitions of strongly ...
Dec 13, 2023 · We propose a method to study the quantum thermodynamics of strongly correlated electrons from quantum dynamics.
[48]
Microcanonical single-particle distributions for an ideal gas in a ...
The single-particle energy, velocity and height probability distributions for an ideal gas in a gravitational field are obtained within the microcanonical ...
[49]
Microcanonical single-particle distributions for an ideal gas in a ...
We have derived, in the microcanonical ensemble framework, the single-particle height, velocity and energy distributions of an ideal gas in a gravitational.
[50]
Microcanonical ensemble study of a gas column under gravity
The study of a classical ideal gas column of finite height H in a uniform gravitational field g is made by the microcanonical ensemble at energy E. The primary ...
[51]
The thermodynamics of self-gravitating systems is a fascinating ...
This "isothermal collapse'' is the counterpart of the "gravothermal catastrophe'' in the microcanonical ensemble (see Figs. 2, 3). In Sect. 3, we study the ...
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[53]
[PDF] Quantum microcanonical ensemble 1 Macrostate vs. microstates
It turns out that because of this spin, when particles are put in a magnetic field they act like magnetic dipoles: it is energetically favorable to align ...
[54]
[PDF] Statistical Mechanics Lecture set 2: Microcanonical Ensemble Abstract
May 2, 2021 · In this set of lectures we will introduce and discuss the microcanonical ensemble description of quantum and classical statistical mechanics. We ...