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# Untitled Document

Research and Education in Basic Space Science
The Approach Pursued in the UN/ESA Workshops

HAMID M.K. Al-NAIMIYa (Jordan), CYNTHIA P. CELEBREb (Philippines), KHALIL CHAMCHAMc (Morocco), H.S. PADMASIRI DE ALWISd (Sri Lanka), MARIA C. PINEDA DE CARIASe (Honduras), HANS J. HAUBOLDf (United Nations), ALEXIS E. TROCHE BOGGINOg (Paraguay)

ABSTRACT. Since 1990, the United Nations in cooperation with the European Space Agency is holding annually a workshop on basic space science for the benefit of the worldwide development of astronomy. These workshops have been held in countries of Asia and the Pacific (India, Sri Lanka), Latin America and the Caribbean (Costa Rica, Colombia, Honduras), Africa (Nigeria), Western Asia (Egypt, Jordan), and Europe (Germany, France). Additional to the scientific benefits of the workshops and the strengthening of international cooperation, the workshops lead to the establishment of astronomical telescope facilities in Colombia, Egypt, Honduras, Jordan, Morocco, Paraguay, Peru, Philippines, Sri Lanka, and Uruguay. The annual UN/ESA Workshops continue to pursue an agenda to network these astronomical telescope facilities through similar research and education programmes. Teaching material and hands-on astrophysics material has been developed for the operation of such astronomical telescope facilities in an university environment.

1. Introduction

Research and education in astronomy and astrophysics are an international enterprise and the astronomical community has long shown leadership in creating international collaborations and cooperation: Because (i) astronomy has deep roots in virtually every human culture, (ii) it helps to understand humanity’s place in the vast scale of the universe, and (iii) it teaches humanity about its origins and evolution. Humanity’s activity in the quest for the exploration of the universe is reflected in the history of scientific institutions, enterprises, and sensibilities. The institutions that sustain science; the moral, religious, cultural, and philosophical sensibilities of scientists themselves; and the goal of the scientific enterprise in different regions on Earth are subject of intense study (Pyenson and Sheets-Pyenson 1999).

The Bahcall report for the last decade of the 20th century (Bahcall, 1991) has been prepared primarily for the North American astronomical community, however, it may have gone unnoticed that this report had also an impact on a broader international scale, as the report can be used, to some extend, as a guide to introduce basic space science, including astronomy and astrophysics, in nations where this field of science is still in its infancy. Attention is drawn to the world-wide-web site at http://www.seas.columbia.edu/$``$ah297/
un-esa/ where the initiative is publicized on how developing nations are making efforts to introduce basic space science into research and education curricula at the university level. This initiative was born in 1990 as a collaborative effort of developing nations, the United Nations (UN), the European Space Agency (ESA), and the Government of Japan, and covers the period of time of the last decade of the 20th century. Through annual workshops and subsequent follow-up projects, particularly the establishment of astronomical telescope facilities, this initiative is gradually bearing results in the regions of Asia and the Pacific, Latin America and the Caribbean, Africa, and Western Asia.

2. Workshops on Basic Space Science

In 1959, the United Nations recognized a new potential for international cooperation and formed a permanent body by establishing the Committee on the Peaceful Uses of Outer Space (COPUOS). In 1970, COPUOS formalized the UN Programme on Space Applications to strengthen cooperation in space science and technology between non-industrialized and industrialized nations. In 1991 the UN, in close cooperation with developing nations, ESA, and the Government of Japan, started under the auspices of COPUOS a series of annual Workshops on Basic Space Science, which were hosted by UN member States in the five economic regions defined by the UN: India, Costa Rica, Colombia, Nigeria, Egypt, Sri Lanka, Germany, Honduras, Jordan, and France (Haubold 1998).

Over the past ten years, the workshops established a close interaction between scientists from developing and industrialized nations to discuss research findings at the current front lines in basic space science. The workshops also initiated a direct interaction between scientists from developing nations. In depth discussions in working groups were fostered to allow the identification of the needs - especially common needs, which could be addressed on a larger scale - to enhance the participation of the developing nations in basic space science and to identify the best ways and means in which each nation could accelerate its participation in a meaningful endeavor.

The eighth in the series of UN/ESA Workshops on Basic Space Science, which, among other topics, addressed the feasibility of establishing a World Space Observatory (WSO), was held at Jordan in 1999. The ninth workshop will be held at France in 2000 and preparations are ongoing for the eleventh workshop to be held in Mauritius in 2001. The UN, ESA, Japan, and international organizations will continue to provide assistance for the establishment and operation of astronomical facilities in Colombia, Egypt, Honduras, Jordan, Morocco, Paraguay, Peru, the Philippines, Sri Lanka, and Uruguay.

3. Astronomical Telescope Facilities

A number of Governments (among them Honduras 1997 and Jordan 1999), in cooperation with international partners, have acquired and established astronomical telescope facilities in their countries (Meade 16” Schmidt-Cassegrain models).

In conjunction to the workshops, to support research and education in astronomy, the Government of Japan has donated high-grade equipment to a number of developing nations (among them Sri Lanka 1995, Paraguay 1998, the Philippines 2001) within the scheme of ODA of the Government of Japan (Kitamura 1999). We refer here to 45cm high-grade astronomical telescopes furnished with photoelectric photometer, computer equipment, and spectrograph (or CCD). After the installation of the telescope facility by the host country and Japan, in order to operate such high-grade telescopes, young observatory staff members from Sri Lanka and Paraguay have been invited by the Bisei Astronomical Observatory for education and training, sponsored by the Japan International Cooperation Agency \[JICA\] (Kitamura 1999, Kogure 1999).

The research and education programmes at the newly established telescope facilities will focus on time-varying phenomena of celestial objects. The 45cm class reflecting telescope with photoelectric photometer attached is able to detect celestial objects up to the 12th magnitude and with a CCD attached up to the 15th magnitude, respectively. Such results have been demonstrated for the light variation of the eclipsing close binary star V505 Sgr, the X-ray binary Cyg X-1, the eclipsing part of the long-period binary e Aur, the asteroid No.45 Eugenia, and the eclipsing variable RT Cma Teles (Kitamura 1999). In forthcoming workshops, common observational programmes for variable stars for all the telescope facilities are envisaged.

4. Observing with the Telescopes: Research

In the course of preparing the establishment of the above astronomical telescope facilities, the workshops made intense efforts to identify available material to be used in research and education by utilizing such facilities. It was discovered that variable star observing by photoelectric or CCD photometry can be a prelude to even more advanced astronomical activity. Variable stars are those whose brightness, colour, or some other property varies with time. If measured sufficiently carefully, almost every star turns out to be variable. The variation may be due to geometry, such as the eclipse of one star by a companion star, or the rotation of a spotted star, or it may be due to physical processes such as pulsation, eruption, or explosion. Variable stars provide astronomers with essential information about the internal structure and evolution of the stars. The most predominant institution in this specific field of astronomy is the American Association of Variable Star Observers. AAVSO co-ordinates variable star observations made by amateur and professional astronomers, compiles, processes, and publishes them, and in turn, makes them available to researchers and educators. The AAVSO receives over 350,000 measurements a year, from more than 550 observers world-wide. The measurements are entered into the AAVSO electronic database, which contains close to 10 million measurements of several thousand stars.

To facilitate the operation of variable star observing programmes and to prepare a common ground for such programmes, AAVSO developed a rather unique package titled “Hands-On Astrophysics” which includes 45 star charts, 31 35mm slides of five constellations, 14 prints of the Cygnus star field at seven different times, 600,000 measurements of several dozen stars, user-friendly computer programmes to analyze them, and to enter new observations into the database, an instructional video in three segments, and a very comprehensive manual for teachers and students (http://www.aavso.org/). Assuming that the telescope is properly operational, variable stars can be observed, measurements can be analyzed and send electronically to the AAVSO.

The flexibility of the “Hands-On Astrophysics” material allows an immediate link to the teaching of astronomy or astrophysics at the university level by using the astronomy, mathematics, and computer elements of this package. It can be used as a basis to involve both the professor and the student to do real science with real observational data. After a careful exploration of “Hands-On Astrophysics” and thanks to the generous cooperation of AAVSO, it was adopted by the above astronomical telescope facilities for their observing programmes (Mattei and Percy 1999, Percy 1991). The results of this effort will be reviewed at forthcoming workshops on basic space science.

5. Teaching Astrophysics: Education

Various strategies for introducing the spirit of scientific inquiry to universities, including those in developing nations, have been developed and analyzed (Wentzel 1999a). What concerns the spirit of the workshops on basic space science, they have been organized and hosted by Governments and scientific communities which agreed beforehand on the need to introduce or further develop basic space science at the university level and to establish adequate facilities for pursuing such a field of science in practical terms, i.e., to operate an astronomical facility for the benefit of the university or research establishment (and to prospectively make the results from the facility available for public educational efforts). Additional to the hosting of the workshops, the Governments agreed to operate such a telescope facility in a sustained manner with the call on the international community for support and cooperation in devising respective research and educational programmes. Gradually, this policy is being implemented for those telescope facilities established through the workshops in cooperation with the UN, ESA, Japan, and other national and international organizations.

Organizers of the workshops have acknowledged in the past the desire of the local scientific communities to use educational material adopted and available at the local level (prepared in the local language). However, the workshops have also recommended to explore the possibility to develop educational material (additional to the above mentioned “Hands-On Astrophysics” package) which might be used by as many as possible university staff in different nations while preserving the specific cultural environment in which astronomy is being taught and the telescope is being used. A first promising step in this direction was made with the project “Astrophysics for University Physics Courses” (Wentzel 1999b). This project has been highlighted at the IAU/COSPAR/UN Special Workshop on Education in Astronomy and Basic Space Science, held during the UNISPACE III Conference at the United Nations Office Vienna in 1999 (Isobe 1999). Additionally, a number of text books and CD-ROMs have been reviewed over the years which, in the view of astronomers from developing nations, are particularly useful in the research and teaching process (for example, just to name three of them: Bennett et al. 1999, for teaching purposes; Lang 1999, a reference work in the research process; Hamilton 1996, a CD-ROM for astronomy in the classroom). This issue could be further discussed in the Newsletters, specifically published for the benefit of Africa (Querci and Martinez 1999), Asia and the Pacific (Isobe 1999), and Latin America and the Caribbean (Eenens and Corral 1999).

6. What Next?

To exactly take into account the obstacles encountered and the progress made, as observed in the ten-years long approach pursued in the UN/ESA Workshops as described above, the Ninth UN/ESA Workshop on Basic Space Science: Satellites and Telescopic Networks - Tools for Global Participation in the Studies of the Universe, hosted by the Centre National d’Etudes Spatiales (CNES) at the Observatoire Midi-Pyrenées (Université Paul Sabbatier), on behalf of the Government of France, 27-30 June 2000, Toulouse, France, will address the benefits of basic space science to society, particularly developing nations, and the experience with, results from, and the need for networks of astronomical telescopes in terms of common research and education programmes. The astronomical telescopes meant are particularly those mentioned above. During this workshop, additional working group sessions will be held to review the topics in sections 1 to 5 above and to chart the course for the future.

The workshop in France will also address in detail the feasibility to establish a World Space Observatory (WSO), discussed since the workshop in Sri Lanka in 1995, and the participation of developing nations in such an effort both from the point of view of research and education (Wamsteker and Gonzales Riestra 1997, United Nations GA Document A/AC.105/723).

Acknowledgments

The authors are grateful to the following colleagues for sharing the pleasure to organize the UN/ESA Workshops on Basic Space Science and their follow-up projects as described in the above article: J. Andersen (IAU), J. Bennett (USA), S.C. Chakravarty (India), W. Fernandez (Costa Rica), S. Isobe (Japan), M. Kitamura (Japan), T. Kogure (Japan), K.R. Lang (USA), P. Martinez (South Africa), J. Mattei (AAVSO), P.N. Okeke (Nigeria), L.I. Onuora (UK), L. Pyenson (USA), F.-R. Querci (France), S. Rughooputh (Mauritius), R. Schwartz (Germany), M.A. Shaltout (Egypt), S. Torres
(Colombia), W. Wamsteker (ESA), and D.G. Wentzel (USA).

References

a) Astronomical Observatory, Higher Institute of Astronomy and Space Sciences, Al al-Bayt University, P.O. Box 130302, Al Mafraq, Jordan,
alnaimiy@yahoo.com
b) Astronomical Observatory, Philippine Atmospheric, Geophysical & Astronomical Services Administration, 1424 Asia Trust Bank Building, Quezon Avenue, Quezon City, Philippines, cynthia-celebre@hotmail.com
c) Faculty of Science Ain Chock, University Hassan II, B.P. 5366 Maarif, Casablanca 05, Morocco, chamcham@star.cpes.susx.ac.uk
d) Astronomical Observatory, Arthur C. Clarke Institut for Modern Technologies, Katubedda, Moratuwa, Sri Lanka, asela@slt.lk
e) Observatorio Astronomico, Universidad Nacional Autonoma de Honduras, Apartado Postal 4432, Tegucigalpa M.D.C., Honduras, mcarias@hondutel.hn
f) Office for Outer Space Affairs, United Nations, Vienna International Centre, P.O. Box 500, A-1400 Vienna, Austria, haubold@kph.tuwien.ac.at
g) Observatorio Astronomico, Facultad Politecnica, Universidad Nacional de Asuncion, Ciudad Universitaria, San Lorenzo, Paraguay, atroche@pol.com.py

Bahcall, J.N., The Decade of Discovery in Astronomy and Astrophysics, National Academy Press, Washington D.C., 1991.

Bennett, J., Donahue, M., Schneider, N., and Voit, M., The Cosmic Perspective, Addison Wesley Longman Inc., Menlo Park, California, 1999; a www site, offering a wealth of additional material for professors and students, specifically developed for teaching astronomy with this book and upgraded on a regular basis is also available: http://www.astrospot.com/.

Eenens, Ph. and Corral, L., Astronomia Latino Americana (ALA), electronic Bulletin, http://www.astro.ugto.mx/$``$ala/.

Hamilton, C.J., Views of the Solar System CD-ROM, National Science Teachers Association, Arlington, 1996.

Haubold, H.J., “UN/ESA Workshops on Basic Space Science: an initiative in the world-wide development of astronomy”, Journal of Astronomical History and Heritage 1(2):105-121, 1998; an updated version of this paper is available at http://xxx.lanl.gov/abs/physics/9910042.

Isobe, S., Teaching of Astronomy in Asian-Pacific Region, Bulletin No. 15, 1999, published since 1991, isobesz@cc.nao.ac.jp.

Kitamura, M., “Provision of astronomical instruments to developing countries by Japanese ODA with emphasis on research observations by donated 45cm reflectors in Asia”, in Conference on Space Sciences and Technology Applications for National Development: Proceedings, held at Colombo, Sri Lanka, 21-22 January 1999, Ministry of Science and Technology of Sri Lanka, pp. 147-152.

Kogure, T., “Stellar activity and needs for multi-site observations”, in Conference on Space Sciences and Technology Applications for National Development: Proceedings, held at Colombo, Sri Lanka, 21-22 January 1999, Ministry of Science and Technology of Sri Lanka, pp. 124-131.

Lang, K.R., Astrophysical Formulae, Volume I: Radiation, Gas Processes and High Energy Astrophysics, Volume II: Space, Time, Matter and Cosmology, Springer-Verlag, Berlin 1999.

Mattei, J. and Percy, J. R. (Eds.), Hands-On Astrophysics, American Association of Variable Star Observers, Cambridge, MA 02138, 1998;
http://www.aavso.org/.

Percy, J.R. (Ed.), Astronomy Education: Current Developments, Future Cooperation: Proceedings of an ASP Symposium, Astronomical Society of the Pacific Conference Series Vol. 89, 1991.

Pyenson, L. and Sheets-Pyenson, S., Servants of Nature: A History of Scientific Institutions, Enterprises, and Sensibilities, W.W. Norton & Company, New York, 1999.

Querci, F.-R. and P. Martinez (Eds.), African Skies/Cieux Africains, Newsletter, four issues published since 1997, http://www.saao.ac.za/$``$wgssa/.

United Nations Report on the UN/ESA Workshop on Basic Space Science, hosted by Al al-Bayt University, Mafraq, Jordan, on behalf of the Government of Jordan, A/AC.105/723, 18 May 1999.

Wamsteker, W. and Gonzales Riestra, R. (Eds.), Ultraviolet Astrophysics Beyond the IUE Final Archive: Proceedings of the Conference, held at Sevilla, Spain, 11-14 November 1997, European Space Agency SP-413, pp. 849-855.

Wentzel, D.G., “National strategies for science development”, Teaching of Astronomy in Asian-Pacific Region, Bulletin No. 15, 1999a, pp. 4-10.

Wentzel, D.G., Astrofisica para Cursos Universitarios de Fisica, La Paz, Bolivia, 1999b, English language version available at
http://www.seas.columbia.edu/$``$ah297/un-esa/astrophysics.


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# Double-dot charge transport in Si single electron/hole transistors

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## Abstract

We studied transport through ultra-small Si quantum dot transistors fabricated from silicon-on-insulator wafers. At high temperatures, 4 K $`<T<`$ 100 K, the devices show single-electron or single-hole transport through the lithographically defined dot. At $`T<4`$ K, current through the devices is characterized by multidot transport. From the analysis of the transport in samples with double-dot characteristics, we conclude that extra dots are formed inside the thermally grown gate oxide which surrounds the lithographically defined dot.

\]

Recent advances in miniaturization of Si metal-oxide-semiconductor field-effect transistors (MOSFETs) brought to light several issues related to the electrical transport in Si nanostructures. At low temperatures and low source-drain bias Si nanostructures do not follow regular MOSFET transconductance characteristics but show rather complex behavior, suggesting transport through multiply-connected dots. Even in devices with no intentionally defined dots (like Si quantum wires or point contacts) Coulomb blockade oscillations were reported. In the case of quantum wires, formation of tunneling barriers is usually attributed to fluctuations of the thickness of the wire or of the gate oxide. However, formation of a dot in point contact samples is not quite consistent with such explanation. Recently in an elegant experiment with both $`n^+`$ and $`p^+`$ source/drain connected to the same Si point contact Ishikuro and Hiramoto have shown that the confining potential in unintentionally created dots is similar for both holes and electrons. However, there is no clear picture where and how these dots are formed.

In this work we analyze the low temperature transport through an ultra-small lithographically defined Si quantum dots. While at high temperature 4 K $`<T<`$ 100 K we observe single-electron tunneling through the lithographically defined dot, at $`T<4`$ K transport is found to be typical for a multi-dot system. We restrict ourselves to the analysis of samples with double-dot transport characteristics. From the data we extract electrostatic characteristics of both the lithographically defined and the extra dots. Remarkably, transport in some samples cannot be described by tunneling through two dots connected in sequence but rather reflects tunneling through dots connected in parallel to both source and drain. Taking into account the geometry of the samples we conclude that extra dots should be formed within the gate oxide. Transport in p- and n-type samples are similar, suggesting that the origin of the confining potential for electrons and holes in these extra dots is the same.

The samples are metal-oxide-semiconductor field-effect transistors (MOSFETs) fabricated from a silicon-on-insulator (SOI) wafer. The top silicon layer is patterned by an electron-beam lithography to form a small dot connected to wide source and drain regions, see schematic in Fig. 1a. Next, the buried oxide is etched beneath the dot transforming it into a free-standing bridge. Subsequently, 40 or 50 nm of oxide is thermally grown which further reduces the size of the dot. Poly-silicon gate is deposited over the bridge with the dot as well as over the adjacent regions of the source and drain. It is important to note that in this type of devices the gate not only controls the potential of the dot but also changes the dot-source and dot-drain barriers. Finally, the uncovered regions of the source and drain are n–type or p–type doped. More details on samples preparation can be found in Ref. . Totally, about 30 hole and electron samples have been studied. Here we present data from two samples with hole (H5A) and electron (E5-7) field-induced channels.

An SEM investigation of test samples, Fig. 1b, reveals that the lithographically defined dot in the Si bridge is 10-40 nm in diameter and the distance between narrow regions of the bridge is $``$70 nm. Taking into account the oxide thickness we estimate the gate capacitance to be 0.8–1.5 aF.

In most of our samples (with both n– and p–channel) we see clear Coulomb blockade oscillations with a period $`\mathrm{\Delta }V_{g1}=100160`$ mV up to $``$100 K. A typical charge addition spectra is plotted in Fig. 2 and Fig 3 for samples H5A and E5-7. In H5A the spectrum is almost periodic as a function of the gate voltage $`V_g`$ at $`T>4`$ K with the period $`\mathrm{\Delta }V_{g1}130`$ mV. Assuming that each peak corresponds to an addition of one hole into the dot we calculate the gate capacitance $`C_{g1}=e/\mathrm{\Delta }V_{g1}=1.2`$ aF, which is within the error bars for the capacitance estimated from the sample geometry. The lineshape of an individual peak can be described by $`G\mathrm{cosh}^2[(V_gV_g^i)/2.5\alpha k_BT]`$, where $`V_g^i`$ is the peak position and coefficient $`\alpha =C_{total}/eC_g`$ relates the change in the $`V_g`$ to the shift of the energy levels in the dot relative to the Fermi energy in the contacts. This expression is valid if both coupling to the leads $`\mathrm{\Gamma }`$ and single-particle level spacing $`\mathrm{\Delta }E`$ are small: $`\mathrm{\Gamma },\mathrm{\Delta }Ek_BTe^2/C_{total}`$. We fit the data for H5A with $`_i\mathrm{cosh}^2[(V_gV_g^i)/w]`$ in the range -3.0 V $`<V_g<2.2`$ V and the extracted $`w`$ is plotted in the inset in Fig. 2. From the linear fit $`w=11.3+2.2T`$ \[mV\] we find the coefficient $`\alpha =10`$ \[mV/meV\], thus the Coulomb energy is $`13`$ meV and the total capacitance $`C_{total}=12.3`$ aF. The main contribution to $`C_{total}`$ comes from dot-to-lead capacitances (an estimated self-capacitance is a few aF). The extrapolated value of $`w`$ at zero temperature provides an estimate for the level broadening $`\mathrm{\Gamma }1`$ meV.

At $`T<4`$ K oscillations with another period, much smaller than $`\mathrm{\Delta }V_{g1}`$, appear as a function of $`V_g`$. The small period is in the range $`\mathrm{\Delta }V_{g2}=825`$ mV in different devices ($`\mathrm{\Delta }V_{g2}=11.8`$ mV for the sample in Fig. 2). This small period is due to a single-hole tunneling through a second dot and the corresponding gate capacitance $`C_{g2}=e/\mathrm{\Delta }V_{g2}=620`$ aF. However, there is no intentionally defined second dot in our devices. Below we first analyze the experimental results and then discuss where the second dot can be formed.

At low temperatures and small gate voltages (close to the turn-on of the device at high temperatures) current is either totally suppressed, as in E5-7 at $`V_g<3.5`$ V, Fig. 3a, or there are sharp peaks with no apparent periodicity, as in H5A at $`V_g>2.3`$ V, Fig. 2. Both suppression of the current and “stochastic Coulomb blockade” are typical signatures of tunneling through two sequentially connected dots. The non-zero conductance can be restored either by raising the temperature (Fig. 2) or by increasing the source-drain bias $`V_b`$ (Fig. 3a). In both cases, $`G`$ is modulated with $`\mathrm{\Delta }V_{g1}`$ and $`\mathrm{\Delta }V_{g2}`$, consistent with sequential tunneling. We conclude that in these regime the two dots are connected in series L-D1-D2-R (see schematic in Fig. 1c).

At larger gate voltages ($`V_g>6`$ V for E5-7 and $`V_g<2.3`$ V for H5A) current is not suppressed even at the lowest temperatures. However, the $`G`$ pattern is different in the H5A and E5-7 samples. In H5A, the oscillations with $`\mathrm{\Delta }V_{g2}`$ have approximately the same amplitude (except for the sharp peaks which are separated by approximately $`\mathrm{\Delta }V_{g1}`$), while in E5-7 the amplitude of the fast oscillations is modulated by $`\mathrm{\Delta }V_{g1}`$. Also, the dependence of the amplitude of the fast modulations on the average conductance $`<G>`$ is different: in H5A the amplitude is almost $`<G>`$-independent, while in E5-7 it is larger for larger $`<G>`$.

Non-vanishing periodic conductance at low temperatures requires that the transport is governed by the Coulomb blockade through only one dot D2. That can be achieved either if both barriers between the contacts and the D2 become transparent enough to allow substantial tunneling or if the strong coupling between the main dot D1 and one of the leads results in a non-vanishing density of states in the dot at $`T=0`$. If we neglect coupling between the dots, in the former case the total conductance is approximately the sum of two conductances, $`G_{parallel}G_1+G_2`$, where $`G_1`$ is conductance through the main dot L-D1-R and $`G_2`$ is conductance through the second dot L-D2-R. This case is modeled in Fig 2c using experimentally determined parameters of sample H5A. From the analysis of high-temperature transport we found that the zero-temperature broadening of D1 peaks $`\alpha \mathrm{\Gamma }10`$ mV $`\mathrm{\Delta }V_{g2}\mathrm{\Delta }V_{g1}=130`$ mV and that $`G`$ should be exponentially suppressed between D1 peaks at $`T=0.3`$ K if the dots are connected in series L-D1-D2-R, Fig 2b. The best description of the low temperature transport at -3.0 V $`<V_g<2.3`$ V in H5A is achieved if we assume that there are two conducting paths in parallel: through the extra dot L-D2-R and through both dots together L-D1-D2-R, Fig 2d.

In the latter case, the dots are connected in series L-D1-D2-R. At high $`V_g`$ the barrier between L and D1 is reduced giving rise to a large level broadening $`\mathrm{\Gamma }`$. The total conductance is $`G_{series}G_{BW}G_2/(G_{BW}+G_2)`$, where $`G_2`$ is the Coulomb blockade conductance through D2 alone and $`G_{BW}=\frac{2e^2}{h}\mathrm{\Gamma }^2/(\mathrm{\Gamma }^2+\delta E^2)`$ is the Breit-Wigner conductance through D1 and $`\delta E=(V_gV_g^i)/\alpha `$. In this case $`G_{series}`$ is following $`G_{BW}`$ and is modulated by $`G_2`$. Moreover, if we assume that the amplitude of $`G_2`$ is not a strong function of $`V_g`$, the amplitude of $`G_{series}`$ modulation will be a function of $`G_{BW}`$, namely the larger $`G_{BW}`$ the larger the amplitude of the modulation of the total conductance. This model of two dots in series with one being strongly coupled to the leads is in qualitative agreement with the data from sample E5-7.

Non-equilibrium transport through E5-7 is shown in Fig. 4 with a single $`G`$ vs. $`V_b`$ trace at a fixed $`V_g`$ shown at the top of the figure. White diamond-shaped Coulomb blockade regions are clearly seen on the gray-scale plot. Peaks in $`G`$ at positive bias are due to asymmetry in the tunneling barriers: at negative biases tunneling to the dot is slower than tunneling off the dot and only one extra electron occupies the dot at any given time, thus only one peak, corresponding to the onset of the current, is observed (we have not seen any features due to the size quantization, which is not surprising if we take into account the large number of electrons in this dot). At positive biases current is limited by the time the electron spends in the dot before it tunnels out. In this regime an extra step in the I-V characteristic (and a corresponding peak in its derivative $`G`$) is observed every time one more electron can tunnel into the dot. These peaks, marked with arrows, are separated by the charging energy $`U_c=e\mathrm{\Delta }V_b=8`$ meV.

Electrostatic parameters of the D2 dot can be readily extracted from Fig. 4. The source, drain and gate capacitances are 8.5, 2.7 and 6.4 aF and the corresponding charging energy is $`9`$ meV. The charging energy of $`11`$ meV is obtained by analyzing Fermi-Dirac broadening of the conductance peaks as a function of temperature and the period of oscillations. The fact that it requires the application of $`V_b=10`$ mV to lift the Coulomb blockade means that in the Coulomb blockade regime all the bias is applied across the second dot, consistent with large conductance through D1.

Where does the second dot reside? One possibility is that the silicon bridge, containing the lithographically defined dot, breaks up at low temperatures as a result of the depletion due to variations of the bridge thickness and fluctuations in the thickness of the gate oxide, or due to the field induced by ionized impurities. However, in this case $`C_{g2}`$ should be less than $`C_{g1}`$. In fact, if we assume that the thickness of the thermally grown oxide is uniform, the gate capacitance of the largest possible dot in the channel cannot be larger than 1.5 aF. Also, if at low temperatures the main dot would split into two or more dots we should see the change in the period of the large oscillations, inconsistent with our observations.

Another possibility is that the dot is formed in the contact region adjacent to the bridge. Given that the oxide thickness is 40 nm, the second dot diameter should be $`100`$ nm. We measured two devices which have 30 nm wide and 500 nm long channels, fabricated using the same technique as the dot devices. Both samples show regular MOSFET characteristics down to 50 mK. Thus, it is unlikely that a dot is formed in the wide contact regions of the device. Even if such a dot was formed occasionally in some device by, for example, randomly distributed impurities, it is unlikely that dots of approximately the same size would be formed in all samples. Another argument against such a scenario is that if the second dot is formed inside one of the contact regions, it cannot be coupled to the other contact to provide a parallel conduction channel, as in sample H5A.

Thus, the second dot should reside within the gate oxide, which surrounds the lithographically defined dot. Some traps can create confining potential in both conduction and valence bands, for example Pb center has energy levels at $`E_c0.3`$ eV and $`E_v+0.3`$ eV. Several samples show a hysteresis during large gate voltage scans accompanied by sudden switching. This behavior can be attributed to the charging-discharging of traps in the oxide. If such a trap happens to be in a tunneling distance from both the lithographically defined dot and a contact, or the trap is extended from one contact to the other, it may appear as a second dot in the conductance.

To summarize our results, we performed an extensive study of a large number of Si quantum dots. We found that all devices show multi-dot transport characteristics at low temperatures. From the data analysis we arrived at the conclusion that at least double-dot behavior is caused not by the depletion of the silicon channel but by additional transport through traps within the oxide.

We acknowledge the support from ARO, ONR and DARPA.


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# Neutrino decay and long base-line oscillation experiments

## I Introduction

The solar neutrino problem and the atmospheric anomaly belong to the category of long base-line phenomena using natural neutrino sources. Along with the short base-line oscillation experiments the long base-line projects with man-made neutrino sources are very promising. Among them the recent Chooz project using reactor neutrinos was completed with a negative effect . Most others are planned for installation at high energy accelerators. The K2K project  has taken the first run recently and has shown a preliminary first cc-event . MINOS at Fermilab-Soudan  and ICARUS at CERN-Gran Sasso  are in a preparatory stage.

The traditional interpretation of the origin of neutrino anomalies is the oscillation mechanism. Another approach is the possibility of decay of conventional massive neutrinos, which may decay in some mixing components into a singlet majoron and another neutrino, as summarised in Ref. . This decay theory is restricted by very low upper limits on neutrino masses.

As an alternative, we suggested in Ref.  a three-body decay mechanism to explain the existing oscillation hints, which considers neutrinos as time-like leptons and where the heavier neutrinos may decay according to the dual principle in the Super-luminous Lorentz Transformation (SLT).

## II Tachyon and neutrino decay

The idea is based on the symmetry between space-like and time-like bradyons, following E. Recami et al. , according to which we may suggest that in the Super-luminous Lorentz transformation the space and the time dimensions should replace each other. As a result, tachyons may travel in a 3-dimension time while moving in an unique space direction. A very severe problem is that no tachyon was ever observed in an experiment. On the other hand, neutrinos are an exception with the following appearances of tachyon properties:

\- There is a very high symmetry between neutrinos and space-like leptons which is enhanced in the electro-weak unification;

\- Each neutrino has its unique space direction, left or right, described by a definite helicity;

\- Neutrinos never stop in a space position, similarly as a space-like particle can never stop in a moment of time-evolution.

A big challenge is the fact that all neutrinos seem to have very small mass, which disturbs the lepton-neutrino symmetry. To solve this problem we assumed in Ref.  that neutrinos are realistic tachyons, however due to weak interaction their transcendent masses m being complex have to be strongly suppressed. We suggested that the real part of mass is roughly equal to $`\mathrm{\Gamma }/2`$, where $`\mathrm{\Gamma }=2\rho ^2m_0=192^1\pi ^3G_F^2m_0^5`$ is the decay width of the unstable lepton and $`m_0`$ is its rest mass. The imaginary part of tachyon mass is suppressed by the factor $`\rho `$, i.e. to the first order by the Fermi constant $`G_F`$. This means that the imaginary part may be measured in parity non-conserving experiments by interference of the weak interaction and electro-magnetic or nuclear force. Generally, we may vary the rest mass $`m_0`$ as a free parameter to fit the experiments. In this work, however, we prefer to test the first order approximation by making the extreme assumption of time-space symmetry, i.e. that the absolute value of the transcendent mass of a neutrino is equal to the rest mass of its bradyon partner. For unification of the formalism we extend a similar formula for $`\mathrm{\Gamma }`$ of unstable leptons to the electron, which does not harm the conclusion that electron neutrinos as time-like electrons should be stable. As a result, we have got a formalism almost without free parameters in our calculation. In Table I we show the observable transcendent masses of space-like neutrino-tachyons or time-like leptons:

In principle, the real part of neutrino masses may cause oscillation effects, however, they are too small to be seen in current experiments. The negligible transcendent masses lead to an experimental fact that neutrinos are always identified as luxons, i.e. particles moving with a speed of light. Now in accordance with the dual principle in SLT, we may consider the muon neutrino as a time-like muon, which is able to decay similarly to the decay of a conventional space-like muon. The decay scheme is:

$$\nu _\mu \nu _e+\mu +e;$$
(1)
At variance with the conventional muon decay, due to the energy conservation, the process (1) takes off at a threshold $`E_\nu =106.1`$ MeV, similarly to pair production of a gamma ray. It means that muon neutrinos do not decay at rest (DAR) and we are able to observe only the neutrino decay in flight (DIF). In general, we can not warrant the conservation of lepton charge in the decay (1) as neutrinos and leptons may be Majorana ones.

In the three-body decay of a muon neutrino, we may suggest that the muon as well as the positron leave each other from a very short distance ($`10^{16}`$ cm), where the weak interaction dominates the Coulomb attractive force and that they may exist in electric charge (or lepton charge) mixing states as Majorana particles:

$`|\varphi _\mu ^0(\text{Left})=\mathrm{cos}\theta _\mu |\mu ^++\mathrm{sin}\theta _\mu |\mu ^{}`$

$`|\varphi _e^0(\text{Right})=\mathrm{sin}\theta _e|e^++\mathrm{cos}\theta _e|e^{}`$

Here we consider only the mixing separately of lepton (muon or electron) charges, but not the flavour mixing as in oscillation theories. In the maximum mixing ($`\theta _{\mu ,e}=\pi /4`$) Majorana leptons are fermions with a defined helicity but electrically neutral, then they may travel a long way without significant electro-magnetic interaction. At variance with neutrinos, Majorana leptons are space-like particles with a rest mass suggested almost equal to that of the corresponding Dirac leptons. They may regenerate the Dirac component after a definite period because of the lepton (or baryon) asymmetry in our space-like frame. They may also be depolarised while traversing a massive medium. During the process of regeneration or depolarisation the lepton charge is changing, separately, for Majorana electron and muon. However, we suggest that the total lepton charge $`L=L_\mu +L_e`$ is conserved, that provides the total electric charge unchanged. At the final moment when particles are completely depolarised we may get the normal Dirac components as:

$`|\varphi _\mu ={\displaystyle \frac{1}{\sqrt{2}}}(|\varphi _\mu (\text{Left})+|\varphi _\mu (\text{Right}))=|\mu ^{};`$

$`|\varphi _e={\displaystyle \frac{1}{\sqrt{2}}}(|\varphi _e(\text{Left})|\varphi _e(\text{Right}))=|e^+.`$

When the depolarisation time is less than the muon lifetime we may observe not only a positron but also a muon as neutrino decay products. However, if the regeneration period or depolarisation lasts longer the muon lifetime, we may observe only a positron and products of the Dirac muon decay after regeneration or depolarisation. Another possibility is that there is neither regeneration nor depolarisation because of the conservation of lepton charges and Majorana leptons remain almost sterile as dark matter and we can never see them.

Along with the three-body decay there is a possibility of two-body decay as an alternative mechanism. One can consider a well-coupling singlet quasi-muonium consisted of muon-electron pair under attractive Coulomb interaction at a short distance ($`10^{16}`$ cm), which plays a similar role of the majoron in the two-body decay as described in Ref. , however, it does not need flavour mixing. The quasi-muonium, being electrically neutral with a rest mass less than (or close to) the total rest mass of the constituent particles, has to decay into a muon-electron pair after some period, let say, equal to the muon lifetime. The existence of such a quasi-muonium, however, is unlikely as it would be observed in different experiments at accelerators or in atmospheric cosmic rays. Obviously, the two- and three-body decay mechanisms induce different energy spectra of decay products, providing a means to identify the actual decay mode.

In the next section we show that the three-body decay in the first order approximation (without any free parameter) may give a satisfactory interpretation of all short base-line oscillation experiments at nuclear reactors as well at accelerators. As a next step we predict some consequences of this decay mode for long base-line oscillation experiments.

## III Interpretation of short base-line oscillation experiments

We summarise here our results in Ref.  as a demonstration of the suggested mechanism to interpret short base-line oscillation experiments carried out at accelerators (including LSND, KARMEN and NOMAD), as well as at nuclear reactors (including Bugey and the first short base-line Chooz).

The positive effects of LSND have been interpreted as oscillations of the muon anti-neutrino produced in muon decays at rest (DAR), and oscillations of the muon neutrino produced in muon decays in flight (DIF). In both cases muons are decay products of the pions produced at the target A6. Instead of this oscillation interpretation, in our Ref.  the LSND effects were explained by the decay in flight of muon neutrinos mainly from ”minor” targets A1 and A2 but not by the decay at rest of those from the major target A6. The last one (A6) contributed only about 20% in the total effects of decay in flight. In Fig. 1 are shown our calculated spectra of cc-positrons and cc-electrons produced in interactions of electron anti-neutrinos and neutrinos as products of muon neutrino decay with hydrogen and carbon nuclei in the fiducial volume.

The calculated spectra are integrated over the range from $`36`$ to $`60`$ MeV for cc-positrons and from $`60`$ to $`200`$ MeV for cc-electrons, which give $`9.9`$ positrons and $`37.5`$ electrons. Comparing with LSND data which give $`22.0\pm 8.5\pm 8.0`$ cc-positrons and $`18.1\pm 6.6\pm 4.0`$ cc-electrons, our results are thus in an acceptable agreement with them.

In KARMEN as a sister project of LSND only decays at rest (DAR) of pions and muons were taken into account, therefore all muon neutrinos had an energy below threshold ($`106.1`$ MeV) and could not decay.

We have calculated the neutrino decay at high energy in the NOMAD experiment following the same procedure as for LSND. The fiducial volume containing about $`\mathrm{1.5\; 10}^{30}`$ nucleons and the initial muon neutrino spectrum were taken from Ref. . The $`\nu `$N-cross-section is proportional to energy as $`\mathrm{0.78\; 10}^{38}`$ $`E_\nu `$ (GeV) cm2. In Fig 2 we show the total spectrum of cc-electrons, where the dash-line is a Monte-Carlo simulation without oscillation; the calculated contribution of the neutrino decay (box-line) consists only of $`10.0`$ events in the range of $`120`$ GeV, namely $`5`$ times less than expected from oscillation (star-line). This is to conclude that our decay calculation is in a good agreement with the data of NOMAD. However, the poor statistics and low energy resolution in the lowest range of $`120`$ GeV do not allow to separate the effect of neutrino decay in flight (DIF) from the background.

Concerning electron (anti-) neutrinos, they are suggested stable as time-like electrons (positrons), and certainly can not decay. As a result, oscillation experiments at nuclear reactor producing only electron anti-neutrinos could not see any effect. The recent attempt as a reactor long base-line project at Chooz is not an exception . For the solar anomaly concerning electron neutrinos, we have proposed in Ref.  a qualitative interpretation by a total depolarisation of the pseudo-spin of time-like electrons passing through a thickness of dark plasma matter. It could give in the first order approximation a roughly 50% deficit of the expected solar neutrino flux which is in agreement with the averaged experimental data $`R=0.46\pm 0.06`$.

## IV Estimation of muon neutrino decay at accelerator long base-line projects

In the present section we deal with the three-body decay of muon neutrinos at long base-line experiments, compared to oscillation predictions. For this purpose we consider the projects: i/ K2K at KEK-Super-K currently running ; ii/ MINOS at Fermilab-Soudan, already approved and in preparation  and iii/ ICARUS at CERN-Gran Sasso waiting for approval .

The decay in flight of muon neutrinos are calculated using the same parameters as for muons (decay width $`\mathrm{\Gamma }`$ or life-time $`\tau _\mu `$, rest mass $`m_0`$) and the equation for decay probability reads:

$$P_d=1\mathrm{exp}\{m_0(GeV)/(\tau _\mu c)L(km)/E_\nu (GeV)\};$$
(2)
The two-neutrino oscillation probability is calculated using the well-known formula:

$$P_{os}=\mathrm{sin}^22\theta sin^2\{1.27\mathrm{\Delta }m^2(eV^2)L(km)/E_\nu (GeV)\};$$
(3)
Here we use the most favourable parameters of the LSND  for the ($`\nu _\mu \nu _e`$) oscillation ($`sin^22\theta `$, $`\mathrm{\Delta }m^2`$) $`=`$ ($`6.10^3`$, $`19eV^2`$) and also those of the Kamiokande atmospheric anomaly  for the ($`\nu _\mu \nu _\tau `$) one: ($`sin^22\theta `$, $`\mathrm{\Delta }m^2`$) $`=`$ ($`0.95`$, $`5.9\times 10^3eV^2`$). Table II reviews the estimation of decay and oscillation probabilities of muon neutrinos from the long base-line experiments at a mean energy averaged over all a spectrum of each neutrino source. In this table we give not only long base-line distances but also the base-line of the companion short distance detectors. Included are: i/ the KEK front detector; ii/ COSMOS at Fermilab, and iii/ JURA at CERN.

We see from Table II that the LSND parameters produce very small effects everywhere, while the Kamiokande parameters give significant oscillation in the long base-line detectors, but negligible effects in the companion short distance detectors.

The neutrino decay predicts very large effects on a far distance that all long base-line detectors hardly observe muon-like events. At Super-K and at MINOS almost all muon neutrinos have to decay before reaching the detectors. Only about 2% of the muon neutrinos subsist at ICARUS. In Fig. 3 we illustrate different behaviours of the decay (Fig. 3a) and oscillation probabilities as functions of muon neutrino energy in the K2K long base-line project. For the oscillation we have taken again parameters from both experiments LSND (Fig. 3b) and Kamiokande (Fig. 3c). In the next presentation, we take into account of the oscillation only the Kamiokande parameters.

Instead we may see muon-like events at short distance detectors, where the amounts of electron neutrinos as neutrino decay products may be significant, particularly at JURA, this proportion amounts to 9% of the total neutrino beam. At variance with oscillations, electron neutrinos from neutrino decays have in average only one third of the initial muon neutrino energy as the calculated electron neutrino spectrum (box-dash line) illustrated in Fig. 4 for K2K. For comparison there is shown a spectrum (diamond-dot line) of tauon (or electron) neutrinos from the $`\nu _\mu \nu _\tau (\nu _e)`$ oscillation, which repeats the shape of the initial muon neutrino spectrum (histogram). In Fig. 5 we show the corresponding calculated spectra of electron-like events from the neutrino decays (histogram) and from the oscillations (box-dash line). In the calculation we use the $`\nu _e`$N cross-section as in  for K2K, and a simplified cross-section at higher energy for MINOS as $`C\mathrm{.\; 10}^{38}`$ $`E_\nu `$ (GeV) cm2, where $`C=0.78`$ for electron-like events and $`C=0.62`$ for muon-like ones. We see that the spectra of electron-like events are very different each other for the neutrino decay and for the oscillation. Particularly, the decay spectrum is soften significantly in variance with the oscillation spectrum.

In Table III we summarise the total rates of cc-events integrated over the calculated spectra of cc-events at K2K and MINOS.

For $`10^{20}`$ protons on target (p.o.t.) at K2K, if the muon neutrino decay works, only $`187`$ cc-events will be collected and if the particle identification (PID) works well only electron-like events, but no muon-like events will be seen. Here we cannot exclude the possibility that the electron neutrinos are Majorana. In this case only the Dirac component may be detected, as in the solar neutrino flux and, as a result, the total amount of electron-like events may be decreased up to 50% (for the maximum mixing ).

For the oscillation mechanism there are different possibilities: i/ when the ($`\nu _\mu \nu _e`$) version works, we may have more electron-like events $`(236)`$ from the oscillation and an amounts of muon-like ones $`(107)`$ from the survivors of the initial muon neutrino spectrum; ii/ when the ($`\nu _\mu \nu _\tau `$) version works, we may see the same amount of muon-like events from the surviving muon neutrinos, however the rate of cc-events from the tauon neutrinos decreases significantly, due to the high threshold of the $`\nu _\tau `$N reaction and the low ratios of tauon decay into muon or electron, which are 17.9% and 17.4%, respectively .

The first run of K2K at Super-K has seen the first cc-event . We have to wait for the next run in year 2000, for sufficient statistics before making any definite conclusion. According to Table III, MINOS will give more statistics to identify the origin of the oscillation hints.

## V Conclusion

In the Super-K long base-line detector we expect to identify muon-like events from electron-like ones as a criteria to test the three-body decay of muon neutrinos. The shape of the spectra and the quantity of cc-events are also sensitive to the origin of the oscillation hints.

If the decay mechanism works, we suggest to the next long base-line experiments to use intensively the shorter base-line detectors. The optimal condition for observation is to get significant amounts of neutrino decays to see electron-like events, not to harm the intense flux to see also a proportion of muon-like events, that a decay rate larger than say 20% is desirable. It leads to a ratio $`L(km)/E_\nu (GeV)=1.4`$ and the base-line $`L`$(km) equal to: 2.1; 15.3 and 41.8 km respectively, for the KEK front detector, COSMOS and JURA. The experiments with modified shorter base-line detectors might collect a significant statistics for a short period. For example, 0.5 kton fiducial volume of the KEK front detector at the distance 2.1 km may see $`10^4`$ muon-like and about (4 - 8)$`\times 10^3`$ electron-like events for $`10^{20}`$ p.o.t.

## Acknowledgement

This work was funded by the Basic Research Program of the Ministry of Science, Technology and Environment of Vietnam. We appreciate Prof. P. Darriulat (CERN) for very useful discussion. We thank Dr. Y. Yano (RIKEN), Prof. A. Masaike (Kyoto) and Dr. Y. Suzuki (Super-K) for supporting the first author to attend the present workshop.


text:
# A proof of the weak (1,1) inequality for singular integrals with non doubling measures based on a Calderón-Zygmund decomposition

## 1. Introduction

Let $`\mu `$ be a positive Radon measure on $`^d`$ satisfying the growth condition

(1.1)
$$\mu (B(x,r))C_0r^n\text{for all }x^d,r>0,$$

where $`n`$ is some fixed number with $`0<nd`$. We do not assume that $`\mu `$ is doubling \[$`\mu `$ is said to be doubling if there exists some constant $`C`$ such that $`\mu (B(x,2r))C\mu (B(x,r))`$ for all $`x\mathrm{supp}(\mu )`$, $`r>0`$\]. Let us remark that the doubling condition on the underlying measure $`\mu `$ on $`^d`$ is an essential assumption in most results of classical Calderón-Zygmund theory. However, recently it has been shown that a big part of the classical theory remains valid if the doubling assumption on $`\mu `$ is substituted by the size condition (1.1) (see for example the references cited at the end of the paper).

In this note we will prove that Calderón-Zygmund operators (CZO’s) which are bounded in $`L^2(\mu )`$ are also of weak type $`(1,1)`$, as in the usual doubling situation. This result has already been proved in \[To1\] in the particular case of the Cauchy integral operator, and by Nazarov, Treil and Volberg \[NTV2\] in the general case. The proof that we will show here is different from the one of \[NTV2\] (and also from the one of \[To1\], of course) and it is closer in spirit to the classical proof of the corresponding result for doubling measures. The basic tool for the proof is a decomposition of Calderón-Zygmund type for functions in $`L^1(\mu )`$ obtained in \[To4\].

Our purpose in writing this paper is not only to obtain another proof in the non doubling situation of the basic result that CZO’s bounded in $`L^2(\mu )`$ are of weak type $`(1,1)`$, but to show that the Calderón-Zygmund decompositon of \[To4\] is a good substitute of its classical doubling version.

Let us introduce some notation and definitions. A kernel $`k(,)`$ from $`L_{loc}^1((^d\times ^d)\{(x,y):x=y\})`$ is called a Calderón-Zygmund kernel if

1. $`|k(x,y)|{\displaystyle \frac{C}{|xy|^n}},`$
2. there exists $`0<\delta 1`$ such that

$$|k(x,y)k(x^{},y)|+|k(y,x)k(y,x^{})|C\frac{|xx^{}|^\delta }{|xy|^{n+\delta }}$$

if $`|xx^{}||xy|/2`$.

Throughout all the paper we will assume that $`\mu `$ is a Radon measure on $`^d`$ satisfying (1.1). The CZO associated to the kernel $`k(,)`$ and the measure $`\mu `$ is defined (at least, formally) as

$$Tf(x)=k(x,y)f(y)𝑑\mu (y).$$

The above integral may be not convergent for many functions $`f`$ because $`k(x,y)`$ may have a singularity for $`x=y`$. For this reason, one introduces the truncated operators $`T_\epsilon `$, $`\epsilon >0`$:

$$T_\epsilon f(x)=_{|xy|>\epsilon }k(x,y)f(y)𝑑\mu (y),$$

and then one says that $`T`$ is bounded in $`L^p(\mu )`$ if the operators $`T_\epsilon `$ are bounded in $`L^p(\mu )`$ uniformly on $`\epsilon >0`$. It is said that $`T`$ is bounded from $`L^1(\mu )`$ into $`L^{1,\mathrm{}}(\mu )`$ (or of weak type $`(1,1)`$) if

$$\mu \{x:|T_\epsilon f(x)|>\lambda \}C\frac{f_{L^1(\mu )}}{\lambda }$$

for all $`fL^1(\mu )`$, uniformly on $`\epsilon >0`$. Also, $`T`$ is bounded from $`M()`$ (the space of complex Radon measures) into $`L^{1,\mathrm{}}(\mu )`$ if

$$\mu \{x:|T_\epsilon \nu (x)|>\lambda \}C\frac{\nu }{\lambda }$$

for all $`\nu M()`$, uniformly on $`\epsilon >0`$. In the last inequality, $`T_\epsilon \nu (x)`$ stands for $`_{|xy|>\epsilon }k(x,y)𝑑\nu (y)`$ and $`\nu |\nu |(^d)`$.

The result that we will prove in this note is the following.

###### Theorem 1.1.

Let $`\mu `$ be a Radon measure on $`^d`$ satisfying the growth condition (1.1). If $`T`$ is a Calderón-Zygmund operator which is bounded in $`L^2(\mu )`$, then it is also bounded from $`M()`$ into $`L^{1,\mathrm{}}(\mu )`$. In particular, it is of weak type $`(1,1)`$.

## 2. The proof

First we will introduce some additional notation and terminology. As usual, the letter $`C`$ will denote a constant which may change its value from one occurrence to another. Constants with subscripts, such as $`C_0`$, do not change in different occurrences.

By a cube $`QR^d`$ we mean a closed cube with sides parallel to the axes. We denote its side length by $`\mathrm{}(Q)`$ and its center by $`x_Q`$. Given $`\alpha >1`$ and $`\beta >\alpha ^n`$, we say that $`Q`$ is $`(\alpha ,\beta )`$-doubling if $`\mu (\alpha Q)\beta \mu (Q)`$, where $`\alpha Q`$ is the cube concentric with $`Q`$ with side length $`\alpha \mathrm{}(Q)`$. For definiteness, if $`\alpha `$ and $`\beta `$ are not specified, by a doubling cube we mean a $`(2,2^{d+1})`$-doubling cube.

Before proving Theorem 1.1 we state some remarks about the existence of doubling cubes.

###### Remark 2.1.

Because $`\mu `$ satisfies the growth condition (1.1), there are a lot “big” doubling cubes. To be precise, given any point $`x\mathrm{supp}(\mu )`$ and $`c>0`$, there exists some $`(\alpha ,\beta )`$-doubling cube $`Q`$ centered at $`x`$ with $`l(Q)c`$. This follows easily from (1.1) and the fact that $`\beta >\alpha ^n`$. Indeed, if there are no doubling cubes centered at $`x`$ with $`l(Q)c`$, then $`\mu (\alpha ^nQ)>\beta ^n\mu (Q)`$ for each $`n`$, and letting $`n\mathrm{}`$ one sees that (1.1) cannot hold.

###### Remark 2.2.

There are a lot of “small” doubling cubes too: if $`\beta >\alpha ^d`$, then for $`\mu `$-a.e. $`x^d`$ there exists a sequence of $`(\alpha ,\beta )`$-doubling cubes $`\{Q_k\}_k`$ centered at $`x`$ with $`\mathrm{}(Q_k)0`$ as $`k\mathrm{}`$. This is a property that any Radon measure on $`^d`$ satisfies (the growth condition (1.1) is not necessary in this argument). The proof is an easy exercise on geometric measure theory that is left for the reader.

Observe that, by the Lebesgue differentiation theorem, for $`\mu `$-almost all $`x^d`$ one can find a sequence of $`(2,2^{d+1})`$-doubling cubes $`\{Q_k\}_k`$ centered at $`x`$ with $`\mathrm{}(Q_k)0`$ such that

$$\underset{k\mathrm{}}{lim}\frac{1}{\mu (Q_k)}_{Q_k}f𝑑\mu =f(x).$$

As a consequence, for any fixed $`\lambda >0`$, for $`\mu `$-almost all $`x^d`$ such that $`|f(x)|>\lambda `$, there exists a sequence of cubes $`\{Q_k\}_k`$ centered at $`x`$ with $`\mathrm{}(Q_k)0`$ such that

$$\underset{k\mathrm{}}{lim\; sup}\frac{1}{\mu (2Q_k)}_{Q_k}|f|𝑑\mu >\frac{\lambda }{2^{d+1}}.$$

In the following lemma we will prove an easy but essential estimate which will be used below. This result has already appeared in previous works (\[DM\], \[NTV2\]) and it plays a basic role in \[To2\] and \[To4\] too.

###### Lemma 2.3.

If $`QR`$ are concentric cubes such that there are no $`(\alpha ,\beta )`$-doubling cubes (with $`\beta >\alpha ^n`$) of the form $`\alpha ^kQ`$, $`k0`$, with $`Q\alpha ^kQR`$, then,

$$_{RQ}\frac{1}{|xx_Q|^n}𝑑\mu (x)C_1,$$

where $`C_1`$ depends only on $`\alpha ,\beta `$, $`n`$, $`d`$ and $`C_0`$.

###### Proof.

Let $`N`$ be the least integer such that $`R\alpha ^NQ`$. For $`0kN`$ we have $`\mu (\alpha ^kQ)\mu (\alpha ^NQ)/\beta ^{Nk}`$. Then,

$`{\displaystyle _{RQ}}{\displaystyle \frac{1}{|xx_Q|^n}}𝑑\mu (x)`$ $``$ $`{\displaystyle \underset{k=1}{\overset{N}{}}}{\displaystyle _{\alpha ^kQ\alpha ^{k1}Q}}{\displaystyle \frac{1}{|xx_Q|^n}}𝑑\mu (x)`$
$``$ $`C{\displaystyle \underset{k=1}{\overset{N}{}}}{\displaystyle \frac{\mu (\alpha ^kQ)}{\mathrm{}(\alpha ^kQ)^n}}`$
$``$ $`C{\displaystyle \underset{k=1}{\overset{N}{}}}{\displaystyle \frac{\beta ^{kN}\mu (\alpha ^NQ)}{\alpha ^{(kN)n}\mathrm{}(\alpha ^NQ)^n}}`$
$``$ $`C{\displaystyle \frac{\mu (\alpha ^NQ)}{\mathrm{}(\alpha ^NQ)^n}}{\displaystyle \underset{j=0}{\overset{\mathrm{}}{}}}\left({\displaystyle \frac{\alpha ^n}{\beta }}\right)^jC.`$
The Calderón-Zygmund decomposition mentioned above has been obtained in Lemma 7.3 of \[To4\] and in that paper it has been used to show that if a linear operator is bounded from a suitable space of type $`H^1`$ into $`L^1(\mu )`$ and from $`L^{\mathrm{}}(\mu )`$ into a space of type $`BMO`$, then it is bounded in $`L^p(\mu )`$. We will use a slight variant of this decompositon to prove Theorem 1.1. Let us state the result that we need in detail.

###### Lemma 2.4 (Calderón-Zygmund decomposition).

Assume that $`\mu `$ satisfies (1.1). For any $`fL^1(\mu )`$ and any $`\lambda >0`$ (with $`\lambda >2^{d+1}f_{L^1(\mu )}/\mu `$ if $`\mu <\mathrm{}`$) we have:

* There exists a finite family of almost disjoint cubes $`\{Q_i\}_i`$ such that

(2.1)
$$\frac{1}{\mu (2Q_i)}_{Q_i}|f|𝑑\mu >\frac{\lambda }{2^{d+1}},$$

(2.2)
$$\frac{1}{\mu (2\eta Q_i)}_{\eta Q_i}|f|𝑑\mu \frac{\lambda }{2^{d+1}}\text{for }\eta >2\text{,}$$

(2.3)
$$|f|\lambda \text{a.e. (}\mu \text{) on }^d_iQ_i.$$
* For each $`i`$, let $`R_i`$ be a $`(6,6^{n+1})`$-doubling cube concentric with $`Q_i`$, with $`l(R_i)>4l(Q_i)`$ and denote $`w_i=\frac{\chi _{Q_i}}{_k\chi _{Q_k}}`$. Then, there exists a family of functions $`\phi _i`$ with $`\mathrm{supp}(\phi _i)R_i`$ and with constant sign satisfying

(2.4)
$$\phi _i𝑑\mu =_{Q_i}fw_i𝑑\mu ,$$

(2.5)
$$\underset{i}{}|\phi _i|B\lambda $$

(where $`B`$ is some constant), and

(2.6)
$$\phi _i_{L^{\mathrm{}}(\mu )}\mu (R_i)C_{Q_i}|f|𝑑\mu .$$

Let us remark that other related decompositons with non doubling measures have been obtained in \[NTV2\] and \[MMNO\]. However, these results are not suitable for our purposes.

Although the proof of the lemma can be found in \[To4\], for the reader’s convenience we have included it in the last section of the present paper.

###### Proof of Theorem 1.1.

We will show that $`T`$ is of weak type $`(1,1)`$. By similar arguments, one gets that $`T`$ is bounded from $`M()`$ into $`L^{1,\mathrm{}}(\mu )`$. In this case, one has to use a version of the Calderón-Zygmund decomposition in the lemma above suitable for complex measures.

For simplicity we assume $`\mu =\mathrm{}`$. Let $`fL^1(\mu )`$ and $`\lambda >0`$. Let $`\{Q_i\}_i`$ be the almost disjoint family of cubes of Lemma 2.4. Let $`R_i`$ be the smallest $`(6,6^{n+1})`$-doubling cube of the form $`6^kQ_i`$, $`k1`$. Then we can write $`f=g+b`$, with

$$g=f\chi _{^d_iQ_i}+\underset{i}{}\phi _i$$

and

$$b=\underset{i}{}b_i:=\underset{i}{}\left(w_if\phi _i\right),$$

where the functions $`\phi _i`$ satisfy (2.4), (2.5) (2.6) and $`w_i=\frac{\chi _{Q_i}}{_k\chi _{Q_k}}`$.

By (2.1) we have

$$\mu \left(\underset{i}{}2Q_i\right)\frac{C}{\lambda }\underset{i}{}_{Q_i}|f|𝑑\mu \frac{C}{\lambda }|f|𝑑\mu .$$

So we have to show that

(2.7)
$$\mu \{x^d\underset{i}{}2Q_i:|T_\epsilon f(x)|>\lambda \}\frac{C}{\lambda }|f|𝑑\mu .$$

Since $`b_i𝑑\mu =0`$, $`\mathrm{supp}(b_i)R_i`$ and $`b_i_{L^1(\mu )}C_{Q_i}|f|𝑑\mu `$, using some standard estimates we get

$$_{^d2R_i}|T_\epsilon b_i|𝑑\mu C|b_i|𝑑\mu C_{Q_i}|f|𝑑\mu .$$

Let us see that

(2.8)
$$_{2R_i2Q_i}|T_\epsilon b_i|𝑑\mu C_{Q_i}|f|𝑑\mu $$

too. On the one hand, by (2.6) and using the $`L^2(\mu )`$ boundedness of $`T`$ and that $`R_i`$ is $`(6,6^{n+1})`$-doubling we get

$`{\displaystyle _{2R_i}}|T_\epsilon \phi _i|𝑑\mu `$ $``$ $`\left({\displaystyle _{2R_i}}|T_\epsilon \phi _i|^2𝑑\mu \right)^{1/2}\mu (2R_i)^{1/2}`$
$``$ $`C\left({\displaystyle |\phi _i|^2𝑑\mu }\right)^{1/2}\mu (R_i)^{1/2}`$
$``$ $`C{\displaystyle _{Q_i}}|f|𝑑\mu .`$
On the other hand, since $`\mathrm{supp}(w_if)Q_i`$, if $`x2R_i2Q_i`$, then $`|T_\epsilon f(x)|C_{Q_i}|f|𝑑\mu /|xx_{Q_i}|^n`$, and so

$$_{2R_i2Q_i}|T_\epsilon (w_if)|𝑑\mu C_{2R_i2Q_i}\frac{1}{|xx_{Q_i}|^n}𝑑\mu (x)\times _{Q_i}|f|𝑑\mu ,$$

By Lemma 2.3, the first integral on the right hand side is bounded by some constant independent of $`Q_i`$ and $`R_i`$, since there are no $`(6,6^{n+1})`$-doubling cubes of the form $`6^kQ_i`$ between $`6Q_i`$ and $`R_i`$. Therefore, (2.8) holds.

Then we have

$`{\displaystyle _{^d_k2Q_k}}|T_\epsilon b|𝑑\mu `$ $``$ $`{\displaystyle \underset{i}{}}{\displaystyle _{^d_k2Q_k}}|T_\epsilon b_i|𝑑\mu `$
$``$ $`C{\displaystyle \underset{i}{}}{\displaystyle _{Q_i}}|f|𝑑\mu C{\displaystyle |f|𝑑\mu }.`$
Therefore,

(2.9)
$$\mu \{x^d\underset{i}{}2Q_i:|T_\epsilon b(x)|>\lambda \}\frac{C}{\lambda }|f|𝑑\mu .$$

The corresponding integral for the function $`g`$ is easier to estimate. Taking into account that $`|g|C\lambda `$, we get

(2.10)
$$\mu \{x^d\underset{i}{}2Q_i:|T_\epsilon g(x)|>\lambda \}\frac{C}{\lambda ^2}|g|^2𝑑\mu \frac{C}{\lambda }|g|𝑑\mu .$$

Also, we have

$`{\displaystyle |g|𝑑\mu }`$ $``$ $`{\displaystyle _{^d_iQ_i}}|f|𝑑\mu +{\displaystyle \underset{i}{}}{\displaystyle |\phi _i|𝑑\mu }`$
$``$ $`{\displaystyle |f|𝑑\mu }+{\displaystyle \underset{i}{}}{\displaystyle _{Q_i}}|f|𝑑\mu C{\displaystyle |f|𝑑\mu }.`$
Now, by (2.9) and (2.10) we get (2.7). ∎

## 3. Proof of Lemma 2.4

(a) Taking into account Remark 2.2, for $`\mu `$-almost all $`x^d`$ such that $`|f(x)|>\lambda `$, there exists some cube $`Q_x`$ satisfying

(3.1)
$$\frac{1}{\mu (2Q_x)}_{Q_x}|f|𝑑\mu >\frac{\lambda }{2^{d+1}}$$

and such that if $`Q_x^{}`$ is centered at $`x`$ with $`l(Q_x^{})>2l(Q_x)`$, then

$$\frac{1}{\mu (2Q_x^{})}_{Q_x^{}}|f|𝑑\mu \frac{\lambda }{2^{d+1}}.$$

Now we can apply Besicovich’s covering theorem (see Remark 3.1 below) to get an almost disjoint subfamily of cubes $`\{Q_i\}_i\{Q_x\}_x`$ satisfying (2.1), (2.2) and (2.3).

(b) Assume first that the family of cubes $`\{Q_i\}_i`$ is finite. Then we may suppose that this family of cubes is ordered in such a way that the sizes of the cubes $`R_i`$ are non decreasing (i.e. $`l(R_{i+1})l(R_i)`$). The functions $`\phi _i`$ that we will construct will be of the form $`\phi _i=\alpha _i\chi _{A_i}`$, with $`\alpha _i`$ and $`A_iR_i`$. We set $`A_1=R_1`$ and $`\phi _1=\alpha _1\chi _{R_1},`$ where the constant $`\alpha _1`$ is chosen so that $`_{Q_1}fw_1𝑑\mu =\phi _1𝑑\mu `$.

Suppose that $`\phi _1,\mathrm{},\phi _{k1}`$ have been constructed, satisfy (2.4) and

$$\underset{i=1}{\overset{k1}{}}|\phi _i|B\lambda ,$$

where $`B`$ is some constant which will be fixed below.

Let $`R_{s_1},\mathrm{},R_{s_m}`$ be the subfamily of $`R_1,\mathrm{},R_{k1}`$ such that $`R_{s_j}R_k\mathrm{}`$. As $`l(R_{s_j})l(R_k)`$ (because of the non decreasing sizes of $`R_i`$), we have $`R_{s_j}3R_k`$. Taking into account that for $`i=1,\mathrm{},k1`$

$$|\phi _i|𝑑\mu _{Q_i}|f|𝑑\mu $$

by (2.4), and using that $`R_k`$ is $`(6,6^{n+1})`$-doubling and (2.2), we get

$`{\displaystyle \underset{j}{}}{\displaystyle |\phi _{s_j}|𝑑\mu }`$ $``$ $`{\displaystyle \underset{j}{}}{\displaystyle _{Q_{s_j}}}|f|𝑑\mu `$
$``$ $`C{\displaystyle _{3R_k}}|f|𝑑\mu C\lambda \mu (6R_k)C_2\lambda \mu (R_k).`$
Therefore,

$$\mu \left\{_j|\phi _{s_j}|>2C_2\lambda \right\}\frac{\mu (R_k)}{2}.$$

So we set

$$A_k=R_k\left\{_j|\phi _{s_j}|2C_2\lambda \right\},$$

and then $`\mu (A_k)\mu (R_k)/2.`$

The constant $`\alpha _k`$ is chosen so that for $`\phi _k=\alpha _k\chi _{A_k}`$ we have $`\phi _k𝑑\mu =_{Q_k}fw_k𝑑\mu `$. Then we obtain

$$|\alpha _k|\frac{1}{\mu (A_k)}_{Q_k}|f|𝑑\mu \frac{2}{\mu (R_k)}_{\frac{1}{2}R_k}|f|𝑑\mu C_3\lambda $$

(this calculation also applies to $`k=1`$). Thus,

$$|\phi _k|+\underset{j}{}|\phi _{s_j}|(2C_2+C_3)\lambda .$$

If we choose $`B=2C_2+C_3`$, (2.5) follows.

Now it is easy to check that (2.6) also holds. Indeed we have

$$\phi _i_{L^{\mathrm{}}(\mu )}\mu (R_i)C|\alpha _i|\mu (A_i)=C\left|_{Q_i}fw_i𝑑\mu \right|C_{Q_i}|f|𝑑\mu .$$

Suppose now that the collection of cubes $`\{Q_i\}_i`$ is not finite. For each fixed $`N`$ we consider the family of cubes $`\{Q_i\}_{1iN}`$. Then, as above, we construct functions $`\phi _1^N,\mathrm{},\phi _N^N`$ with $`\mathrm{supp}(\phi _i^N)R_i`$ satisfying

$$\phi _i^N𝑑\mu =_{Q_i}fw_i𝑑\mu ,$$

$$\underset{i=1}{\overset{N}{}}|\phi _i^N|B\lambda $$

and

$$\phi _i^N_{L^{\mathrm{}}(\mu )}\mu (R_i)C_{Q_i}|f|𝑑\mu .$$

Notice that the sign of $`\phi _i^N`$ equals the sign of $`fw_i𝑑\mu `$ and so it does not depend on $`N`$.

Then there is a subsequence $`\{\phi _1^k\}_{kI_1}`$ which is convergent in the weak $``$ topology of $`L^{\mathrm{}}(\mu )`$ to some function $`\phi _1L^{\mathrm{}}(\mu )`$. Now we can consider a subsequence $`\{\phi _2^k\}_{kI_2}`$ with $`I_2I_1`$ which is also convergent in the weak $``$ topology of $`L^{\mathrm{}}(\mu )`$ to some function $`\phi _2L^{\mathrm{}}(\mu )`$. In general, for each $`j`$ we consider a subsequence $`\{\phi _j^k\}_{kI_j}`$ with $`I_jI_{j1}`$ that converges in the weak $``$ topology of $`L^{\mathrm{}}(\mu )`$ to some function $`\phi _jL^{\mathrm{}}(\mu )`$. It is easily checked that the functions $`\phi _j`$ satisfy the required properties. ∎

###### Remark 3.1.

Recall that Besicovich’s covering theorem asserts that if $`\mathrm{\Omega }^d`$ is a bounded set and for each $`x\mathrm{\Omega }`$ there is a cube $`Q_x`$ centered at $`x`$, then there exists a family of cubes $`\{Q_{x_i}\}_i`$ with finite overlap covering $`\mathrm{\Omega }`$.

In (a) of the preceeding proof we have applied Besicovich’s covering theorem to $`\mathrm{\Omega }=\{x:|f(x)|>\lambda \}`$. However this set may be unbounded, and the boundedness property is a necessary assumption in Besicovich’s theorem (example: take $`\mathrm{\Omega }=[0,+\mathrm{})`$ and consider $`Q_x=[0,2x]`$ for all $`x\mathrm{\Omega }`$).

We can solve this problem using different arguments. One possibility is to consider for each $`r>0`$ the set $`\mathrm{\Omega }_r=\{x:|x|r,|f(x)|>\lambda \}`$ and to apply Besicovich’s covering theorem to $`\mathrm{\Omega }_r`$. With the same arguments as above, we can decompose $`f=g+b`$, with $`|g|\lambda `$ only on $`\mathrm{\Omega }_r`$ and $`b`$ as above. Then the proof of Theorem 1.1 can be modified to show that for any fixed constants $`\lambda ,R>0`$ one has

$$\mu \{xB(0,R):|T_\epsilon f(x)|>\lambda \}C\frac{f_{L^1(\mu )}}{\lambda }.$$

However we prefer the following solution. We are interested in showing that the Calderón-Zygmund decomposition of Lemma 2.4 works also without assuming $`\mathrm{\Omega }=\{x:|f(x)|>\lambda \}`$ bounded. Let us sketch the argument. Consider a cube $`Q_0`$ centered at $`0`$ big enough so that

$$2^{d+1}f_{L^1(\mu )}/\mu (Q_0)<\lambda .$$

So for any cube $`Q`$ containing $`Q_0`$ we will have

(3.2)
$$2^{d+1}f_{L^1(\mu )}/\mu (Q)<\lambda .$$

For $`m0`$ we set $`Q_m:=\left(\frac{5}{4}\right)^mQ_0`$. For each $`m`$ we can apply Besicovich’s covering theorem to the annulus $`Q_mQ_{m1}`$ (we take $`Q_1:=\mathrm{}`$), with cubes $`Q_x`$ centered at $`x\mathrm{supp}(\mu )(Q_mQ_{m1})`$ as in (a) of the proof above, satisfying (3.1).

In this argument we have to be careful with the overlapping among the cubes belonging to coverings of different annuli. Indeed, there exist some fixed constants $`N`$ and $`N^{}`$ such that if $`mN^{}`$, for $`x\mathrm{supp}(\mu )(Q_mQ_{m1})`$ we have

(3.3)
$$Q_xQ_{m+N}Q_{mN}.$$

Otherwise, it easily seen that $`\mathrm{}(Q_x)>\frac{3}{4}\mathrm{}(Q_m)`$, choosing $`N`$ big enough. It follows that $`Q_02Q_x`$ since $`\mathrm{}(Q_0)\mathrm{}(Q_m)`$ for $`N^{}`$ big enough too. This cannot happen because then $`2Q_x`$ satisfies (3.2), which contradicts (3.1).

Because of (3.3), the covering made up of squares belonging to the Besicovich coverings of different annuli $`Q_mQ_{m1}`$, $`m0`$, will have finite overlap.

Notice that in this argument, it is essential the fact that in (3.1) we are not dividing by $`\mu (Q_x)`$, but by $`\mu (2Q_x)`$.


text:
# Partitions with parts in a finite set Supported in part by grants from the PSC–CUNY Research Award Program and the NSA Mathematical Sciences Program.

## Abstract

Let $`A`$ be a nonempty finite set of relatively prime positive integers, and let $`p_A(n)`$ denote the number of partitions of $`n`$ with parts in $`A`$. An elementary arithmetic argument is used to prove the asymptotic formula

$$p_A(n)=\left(\frac{1}{_{aA}a}\right)\frac{n^{k1}}{(k1)!}+O\left(n^{k2}\right).$$

Let $`A`$ be a nonempty set of positive integers. A partition of a positive integer $`n`$ with parts in $`A`$ is a representation of $`n`$ as a sum of not necessarily distinct elements of $`A`$. Two partitions are considered the same if they differ only in the order of their summands. The partition function of the set $`A`$, denoted $`p_A(n)`$, counts the number of partitions of $`n`$ with parts in $`A`$.

If $`A`$ is a finite set of positive integers with no common factor greater than 1, then every sufficiently large integer can be written as a sum of elements of $`A`$ (see Nathanson  and Han, Kirfel, and Nathanson ), and so $`p_A(n)1`$ for all $`nn_0.`$ In the special case that $`A`$ is the set of the first $`k`$ integers, it is known that

$$p_A(n)\frac{n^{k1}}{k!(k1)!}.$$

Erdős and Lehner proved that this asymptotic formula holds uniformly for $`k=o(n^{1/3})`$. If $`A`$ is an arbitrary finite set of relatively prime positive integers, then

$$p_A(n)\left(\frac{1}{_{aA}a}\right)\frac{n^{k1}}{(k1)!}.$$
(1)
The usual proof of this result (Netto , Pólya–Szegö \[5, Problem 27\]) is based on the partial fraction decomposition of the generating function for $`p_A(n)`$. The purpose of this note is to give a simple, purely arithmetic proof of (1).

We define $`p_A(0)=1.`$

###### Theorem 1

Let $`A=\{a_1,\mathrm{},a_k\}`$ be a set of $`k`$ relatively prime positive integers, that is,

$$\mathrm{gcd}(A)=(a_1,\mathrm{},a_k)=1.$$

Let $`p_A(n)`$ denote the number of partitions of $`n`$ into parts belonging to $`A`$. Then

$$p_A(n)=\left(\frac{1}{_{aA}a}\right)\frac{n^{k1}}{(k1)!}+O\left(n^{k2}\right).$$

Proof. Let $`k=|A|.`$ The proof is by induction on $`k`$. If $`k=1`$, then $`A=\{1\}`$ and

$$p_A(n)=1,$$

since every positive integer has a unique partition into a sum of 1’s.

Let $`k2,`$ and assume that the Theorem holds for $`k1`$. Let

$$d=(a_1,\mathrm{},a_{k1}).$$

Then

$$(d,a_k)=1.$$

For $`i=1,\mathrm{},k1`$, we set

$$a_i^{}=\frac{a_i}{d}.$$

Then

$$A^{}=\{a_1^{},\mathrm{},a_{k1}^{}\}$$

is a set of $`k1`$ relatively prime positive integers, that is,

$$\mathrm{gcd}(A^{})=1.$$

Since the induction assumption holds for $`A^{}`$, we have

$$p_A^{}(n)=\left(\frac{1}{_{i=1}^{k1}a_i^{}}\right)\frac{n^{k2}}{(k2)!}+O\left(n^{k3}\right)$$

for all nonnegative integers $`n.`$

Let $`n(d1)a_k`$. Since $`(d,a_k)=1`$, there exists a unique integer $`u`$ such that $`0ud1`$ and

$$nua_k(modd).$$

Then

$$m=\frac{nua_k}{d}$$

is a nonnegative integer, and

$$m=O(n).$$

If $`v`$ is any nonnegative integer such that

$$nva_k(modd),$$

then $`va_kua_k(modd)`$ and so $`vu(modd)`$, that is, $`v=u+\mathrm{}d`$ for some nonnegative integer $`\mathrm{}.`$ If

$$nva_k=n(u+\mathrm{}d)a_k0,$$

then

$$0\mathrm{}\left[\frac{n}{da_k}\frac{u}{d}\right]=\left[\frac{m}{a_k}\right]=r.$$

We note that

$$r=O(n).$$

Let $`\pi `$ be a partition of $`n`$ into parts belonging to $`A.`$ If $`\pi `$ contains exactly $`v`$ parts equal to $`a_k`$, then $`nva_k0`$ and $`nva_k0(modd)`$, since $`nva_k`$ is a sum of elements in $`\{a_1,\mathrm{},a_{k1}\}`$, and each of the elements in this set is divisible by $`d`$. Therefore, $`v=u+\mathrm{}d`$, where $`0\mathrm{}r.`$ Consequently, we can divide the partitions of $`n`$ with parts in $`A`$ into $`r+1`$ classes, where, for each $`\mathrm{}=0,1,\mathrm{},r,`$ a partition belongs to class $`\mathrm{}`$ if it contain exactly $`u+\mathrm{}d`$ parts equal to $`a_k`$. The number of partitions of $`n`$ with exactly $`u+\mathrm{}d`$ parts equal to $`a_k`$ is exactly the number of partitions of $`n(u+\mathrm{}d)a_k`$ into parts belonging to the set $`\{a_1,\mathrm{},a_{k1}\}`$, or, equivalently, the number of partitions of

$$\frac{n(u+\mathrm{}d)a_k}{d}$$

into parts belonging to $`A^{}`$, which is exactly

$$p_A^{}\left(\frac{n(u+\mathrm{}d)a_k}{d}\right)=p_A^{}\left(m\mathrm{}a_k\right).$$

Therefore,

$`p_A(n)`$ $`=`$ $`{\displaystyle \underset{\mathrm{}=0}{\overset{r}{}}}p_A^{}(m\mathrm{}a_k)`$
$`=`$ $`\left({\displaystyle \frac{1}{_{i=1}^{k1}a_i^{}}}\right){\displaystyle \underset{\mathrm{}=0}{\overset{r}{}}}\left({\displaystyle \frac{(m\mathrm{}a_k)^{k2}}{(k2)!}}+O(m^{k3})\right)`$
$`=`$ $`\left({\displaystyle \frac{d^{k1}}{_{i=1}^{k1}a_i}}\right){\displaystyle \underset{\mathrm{}=0}{\overset{r}{}}}{\displaystyle \frac{(m\mathrm{}a_k)^{k2}}{(k2)!}}+O(n^{k2}).`$
To evaluate the inner sum, we note that

$$\underset{\mathrm{}=0}{\overset{r}{}}\mathrm{}^j=\frac{r^{j+1}}{(j+1)}+O(r^j)$$

and

$$\underset{j=0}{\overset{k2}{}}(1)^j\left(\genfrac{}{}{0pt}{}{k1}{j+1}\right)=\underset{j=1}{\overset{k1}{}}(1)^j\left(\genfrac{}{}{0pt}{}{k1}{j}\right)=1.$$

Then

$`{\displaystyle \underset{\mathrm{}=0}{\overset{r}{}}}{\displaystyle \frac{(m\mathrm{}a_k)^{k2}}{(k2)!}}`$ $`=`$ $`{\displaystyle \frac{1}{(k2)!}}{\displaystyle \underset{\mathrm{}=0}{\overset{r}{}}}{\displaystyle \underset{j=0}{\overset{k2}{}}}\left({\displaystyle \genfrac{}{}{0pt}{}{k2}{j}}\right)m^{k2j}(\mathrm{}a_k)^j`$
$`=`$ $`{\displaystyle \frac{1}{(k2)!}}{\displaystyle \underset{j=0}{\overset{k2}{}}}\left({\displaystyle \genfrac{}{}{0pt}{}{k2}{j}}\right)m^{k2j}(a_k)^j{\displaystyle \underset{\mathrm{}=0}{\overset{r}{}}}\mathrm{}^j`$
$`=`$ $`{\displaystyle \frac{1}{(k2)!}}{\displaystyle \underset{j=0}{\overset{k2}{}}}\left({\displaystyle \genfrac{}{}{0pt}{}{k2}{j}}\right)m^{k2j}(a_k)^j\left({\displaystyle \frac{r^{j+1}}{(j+1)}}+O(r^j)\right)`$
$`=`$ $`{\displaystyle \frac{1}{(k2)!}}{\displaystyle \underset{j=0}{\overset{k2}{}}}\left({\displaystyle \genfrac{}{}{0pt}{}{k2}{j}}\right)m^{k2j}(a_k)^j\left({\displaystyle \frac{m^{j+1}}{a_k^{j+1}(j+1)}}+O(m^j)\right)`$
$`=`$ $`{\displaystyle \frac{m^{k1}}{a_k}}{\displaystyle \underset{j=0}{\overset{k2}{}}}\left({\displaystyle \genfrac{}{}{0pt}{}{k2}{j}}\right){\displaystyle \frac{(1)^j}{(k2)!(j+1)}}+O(m^{k2})`$
$`=`$ $`{\displaystyle \frac{m^{k1}}{a_k}}{\displaystyle \underset{j=0}{\overset{k2}{}}}{\displaystyle \frac{(1)^j}{(k2j)!j!(j+1)}}+O(m^{k2})`$
$`=`$ $`{\displaystyle \frac{m^{k1}}{a_k}}{\displaystyle \underset{j=0}{\overset{k2}{}}}{\displaystyle \frac{(1)^j}{(k1(j+1))!(j+1)!}}+O(m^{k2})`$
$`=`$ $`{\displaystyle \frac{m^{k1}}{a_k(k1)!}}{\displaystyle \underset{j=0}{\overset{k2}{}}}(1)^j\left({\displaystyle \genfrac{}{}{0pt}{}{k1}{j+1}}\right)+O(m^{k2})`$
$`=`$ $`{\displaystyle \frac{m^{k1}}{a_k(k1)!}}+O(m^{k2}).`$
Therefore,

$`p_A(n)`$ $`=`$ $`\left({\displaystyle \frac{d^{k1}}{_{i=1}^{k1}a_i}}\right){\displaystyle \underset{\mathrm{}=0}{\overset{r}{}}}{\displaystyle \frac{(m\mathrm{}a_k)^{k2}}{(k2)!}}+O(n^{k2})`$
$`=`$ $`\left({\displaystyle \frac{d^{k1}}{_{i=1}^{k1}a_i}}\right)\left({\displaystyle \frac{m^{k1}}{a_k(k1)!}}+O(n^{k2})\right)+O(n^{k2})`$
$`=`$ $`\left({\displaystyle \frac{d^{k1}}{_{i=1}^{k1}a_i}}\right)\left({\displaystyle \frac{1}{a_k(k1)!}}\right)\left({\displaystyle \frac{n}{d}}{\displaystyle \frac{ua_k}{d}}\right)^{k1}+O(n^{k2})`$
$`=`$ $`\left({\displaystyle \frac{d^{k1}}{_{i=1}^{k1}a_i}}\right)\left({\displaystyle \frac{1}{a_k(k1)!}}\right)\left({\displaystyle \frac{n}{d}}\right)^{k1}+O(n^{k2})`$
$`=`$ $`\left({\displaystyle \frac{1}{_{i=1}^ka_i}}\right){\displaystyle \frac{n^{k1}}{(k1)!}}+O(n^{k2}).`$
This completes the proof.


text:
# Untitled Document

FERMION GENERATIONS FROM THE HIGGS SECTOR

Vladimir Visnjic

Department of Physics, Temple University, Philadelphia, PA 19122

and

Institut za Fiziku, Beograd, Yugoslavia

E-mail: visnjic@astro.temple.edu

Abstract

The generation structure in the quark and lepton spectrum is explained as originating from the excitation spectrum $`S_n`$ of SU(2)W doublet scalar fields, whose ground state $`S_1`$ is the Standard Model Higgs field. There is only one basic family of SU(2)W doublet left-handed fermions, $`\nu _L,e_L,u_L,d_L`$, whose bound states with $`S_n`$ manifest themselves as the generations of left-handed quarks and leptons. Likewise, there is only one basic family of the right-handed fermions, $`\nu _R,e_R,u_R,d_R`$, which combine with the gauge invariant scalar fields $`G_n`$ to produce the right-handed quarks and leptons of the second and higher generations. There are only four Yukawa coupling constants, $`G_\nu ,G_e,G_u`$, and $`G_d`$ and all quark and lepton masses are proportional to them. Suppression of flavor changing neutral currents (GIM mechanism) is automatic. $`\nu _\mu `$ and $`\nu _\tau `$ are expected to be massive.

I present a theory of the origin of fermion generations in which there is only one fundamental quark/lepton family, while the second and higher ones are a consequence of an excitation spectrum in the scalar sector. The basic family of chiral fermions consists of

$$\mathrm{}_L=\left(\begin{array}{c}\nu _L\\ e_L\end{array}\right),q_L=\left(\begin{array}{c}u_L\\ d_L\end{array}\right),\nu _R,e_R,u_R,d_R$$

with the usual $`\mathrm{SU}(2)_W\mathrm{U}(1)_Y`$ transformation properties. In addition to the fermions, there is a composite bosonic field $`S`$ whose lowest energy states are the SU(2)W doublet scalars

$$S_1=\left(\begin{array}{c}S_1^+\\ S_1^0\end{array}\right),S_2=\left(\begin{array}{c}S_2^+\\ S_2^0\end{array}\right),S_3=\left(\begin{array}{c}S_3^+\\ S_3^0\end{array}\right)\mathrm{}$$

We shall assume that there are at least three scalar states below the lowest $`J=1`$ state. The ground state $`S_1`$ is the familiar Higgs field which develops a vacuum expectation value. $`S_2,S_3,`$ etc. are its radial excitations labeled by the “generation number.” Orthogonality of the states $`S_1,S_2,S_3\mathrm{}`$ implies that for $`n2`$, $`S_n`$ has zero vacuum expectation value and zero Yukawa couplings. It also requires that the effective quartic couplings of these states respect the generation number, at least at energies much lower than their mass scale. Under this assumption the effective potential can only be a function of $`S_i^{}S_i`$ and $`(S_i^{}S_j)(S_j^{}S_i)`$ and the low energy effective theory possesses a global SU(2) symmetry, the isospin.

Note that this scheme has nothing to do with Technicolor which is a QCD-like theory invented to solve the fine-tuning problem and does not address the fermion generation problem. The $`S`$-field envisaged here explains the existence of fermion generations as its radial excitation states. For this purpose it is not necessary to assume QCD-like structure for the $`S`$-field – or even that it is based on a new interaction at all.

Gauge invariant scalars

The gauge invariant scalar fields are obtained in the $`S_i^{}S_j`$ (neutral) and $`\overline{S}_i^{}S_j`$ (charged) channels, where $`\overline{S}=i\tau _2S^{}`$. The fields involving the ground state $`S_1`$ are of particular importance, since $`S_1`$ is the only Higgs field in the theory (i.e. the field which has negative mass squared in the Lagrangian) and plays a special role in producing the $`W`$’s, the $`Z`$, and the left-handed fermions of the first generation. The only gauge invariant scalar involving only $`S_1`$ is $`h^0=\sqrt{2}(S_1^0<S_1^0>)`$, the physical Higgs field. For every $`n2`$ we have a positive scalar $`G_n^+=\overline{S}_1^{}S_n`$ and a neutral scalar $`G_n^0=S_1^{}S_n`$, both of which are labeled by $`n`$ and thus come in generations. As we shall see, the $`G_n`$ fields give their generation number to the right-handed fermions and thus are responsible for the generation structure in the right-handed sector.

The quarks and leptons

The left-handed fermions of the $`n`$-th generation, $`\nu _{nL},e_{nL},u_{nL},d_{nL},`$ are composed of the fundamental left-handed fermions $`\mathrm{}_L`$ and $`q_L`$ and the $`n`$-th generation $`S`$ field, $`S_n`$:

$$\begin{array}{cc}\hfill \nu _{nL}& =\overline{S}_n^{}\mathrm{}_L\hfill \\ \hfill e_{nL}& =S_n^{}\mathrm{}_L\hfill \\ \hfill u_{nL}& =\overline{S}_n^{}q_L\hfill \\ \hfill d_{nL}& =S_n^{}q_L.\hfill \end{array}$$
$`(1)`$
The right-handed fermions of the $`n`$-th generation are composed of the fundamental right-handed fermions $`\nu _R,e_R,u_R,d_R,`$ and the $`G_n`$ fields from which they get their generation label:

$$\begin{array}{cc}\hfill \nu _{nR}& =G_n^+e_R+G_n^0\nu _R\hfill \\ \hfill e_{nR}& =G_n^0e_R+G_n^{}\nu _R\hfill \\ \hfill u_{nR}& =G_n^+d_R+G_n^0u_R\hfill \\ \hfill d_{nR}& =G_n^0d_R+G_n^{}u_R.\hfill \end{array}$$
$`(2)`$
The left- and the right-handed fermions of the first generation meet at the usual Yukawa vertices, Fig. 1(a), while those of the second and higher generations meet at the vertices shown in Fig. 1(b). The four Yukawa coupling constants, $`G_\nu ,G_e,G_u`$, and $`G_d`$ are the only chiral symmetry breaking parameters in the theory and thus all fermion masses are proportional to them. In the limit in which these coupling constants go to zero all fermions are massless, irrespective of how massive their scalar constituents $`S_i`$ may be. Note, however, that the quark (lepton) masses of the second and higher generations get contributions from both $`G_u`$ and $`G_d`$ ($`G_\nu `$ and $`G_e`$),

$$\begin{array}{cc}\hfill m_c& =Am_u+Bm_d\hfill \\ \hfill m_s& =Cm_u+Dm_d\hfill \end{array}$$

and analogous in the lepton sector. In particular, this implies that the muon and tau neutrinos are massive even if $`G_\nu =0`$, due to the contributions from the electron to those two neutrinos.

The W and Z couplings and the mixing angles

In the Standard Model the $`W`$ and $`Z`$ bosons couple to $`\overline{S}_1^{}(A_\mu \frac{i}{g}_\mu )S_1`$ and $`S_1^{}(A_\mu \frac{i}{g}_\mu )S_1`$ where $`A_\mu `$ denotes the SU(2)W gauge field. Here I postulate similar couplings of the $`W`$ and $`Z`$ bosons to the excited states, i.e. to $`\overline{S}_i^{}(A_\mu \frac{i}{g}_\mu )S_j`$ and $`S_i^{}(A_\mu \frac{i}{g}_\mu )S_j`$. This makes it possible to couple the $`W`$’s and the $`Z`$ to the quarks and leptons. However, the quark and lepton mass eigenstates are the bound states, Eq. (1). The $`W`$ coupling to the mass eigenstates involves the mixing matrix elements $`V_{ij}`$, equal to the overlap integral of the quark wave functions,

$$V_{ij}=<u_{iL}|d_{jL}>=<\overline{S}_i^{}q_L|S_j^{}q_L>.$$

As shown in Ref. 1, orthogonality and completeness of the quark wave functions ensure the unitarity of the mixing matrix $`V`$ and thus the absence of flavor changing neutral currents (GIM mechanism). Alternatively, we may directly show that the off-diagonal couplings of the $`Z`$ involving $`S`$ fields of different generations are zero because of orthogonality of the $`S_n`$ states. Higher order corrections, of course, do not respect the orthogonality and introduce flavor changing neutral currents.

Conclusions

The proposed theory of quark and lepton generations predicts that, except for the first one, each quark and lepton generation is accompanied by a pair of scalar fields, $`G_n^+`$ and $`G_n^0`$. Thus both the fermions and the scalars come in generations which originate in the spectrum of the $`S`$-field. Ultimately the model should predict the number of quark/lepton generations and their masses. Even in the absence of these predictions, we may notice that the fermion generations predicted here differ in two important aspects from higher fermion generations which would obey the rules of the present Standard Model. First, although they may be heavy, they do not involve large Yukawa couplings and thus do not lead to new strong interactions among quarks/leptons. Heavy fermions are obtained as bound states and not as a result of large Yukawa couplings. Second, even if the number of quark generations turns out to be large, the asymptotic freedom properties of QCD may not be affected, since there are only two basic quark flavors, $`u`$ and $`d`$, all other quark flavors being bound states of these two.

References

1. V. Visnjic, Phys. Rev. D25 (1982) 248.


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# Dynamical ordering in the c-axis in 3D driven vortex lattices

## 1 INTRODUCTION

The prediction  of a dynamical phase transition upon increasing drive, from a fluidlike plastic flow regime  to a coherently moving solid  in a moving vortex lattice has motivated many recent theoretical , experimental , and simulation work . In a previous work we have studied the dynamical regimes in the velocity-force curve (voltage-current) in 2D thin films  and found two dynamical phase transitions above the critical force. The first transition, from a plastic flow regime to a smectic flow regime, is characterized by the simultaneous occurrence of a peak in differential resistance, isotropic low frequency voltage noise and maximum transverse diffusion. The second transition, from a smectic flow regime to a frozen transverse solid, is a freezing transition in the transverse direction where transverse diffusion vanishes abruptly and the Hall noise drops many orders of magnitude. In other 2D simulations the peak in differential resistance was found to coincide with the onset of orientational order  and a maximum number of defects . Experimentally, the position of this peak was taken by Hellerqvist et al.  as an indication of a dynamical phase transition. In this paper we show that in driven 3D layered superconductors, the peak in differential resistance also coincides with the onset of correlation along the c-axis.

## 2 MODEL

Simulations of vortices in 3D layered superconductors have been done previously using time–dependent Ginzburg–Landau–Lawrence–Doniach equations (two layers), , the 3D XY model  and Langevin dynamics of interacting particles . Here we study the motion of pancakes vortices in a layered superconductor with disorder, with an applied magnetic field in the c-direction and with an external homogeneous current in the layers (ab-planes). We use a model introduced by J.R. Clem for a layered superconductor with vortices in the limit of zero Josephson-coupling between layers . We simulate a stack of equally spaced superconducting layers with interlayer periodicity $`s`$, each layer containing the same number of pancake vortices. The equation of motion for a pancake located in position $`𝐑_𝐢=(𝐫_𝐢,z_i)=(x_i,y_i,n_is)`$ (with z-axis in c-direction) is:

$$\eta \frac{d𝐫_𝐢}{dt}=\underset{ji}{}𝐅_𝐯(\rho _{ij},z_{ij})+\underset{p}{}𝐅_𝐩(\rho _{ip})+𝐅,$$
(1)
where $`\rho _{ij}=|𝐫_i𝐫_j|`$ and $`z_{ij}=|z_iz_j|`$ are the in-plane and inter-plane distance between pancakes $`i,j`$, $`r_{ip}=|𝐫_i𝐫_p|`$ is the in-plane distance between the vortex $`i`$ and a pinning site at $`𝐑_𝐩=(𝐫_p,z_i)`$ (pancakes interact only with pinning centers within the same layer), $`\eta `$ is the Bardeen-Stephen friction, and $`𝐅=\frac{\mathrm{\Phi }_0}{c}𝐉\times 𝐳`$ is the driving force due to an applied in-plane current density $`𝐉`$. We consider a random uniform distribution of attractive pinning centers in each layer with $`𝐅_𝐩=A_pe^{(r/r_p)^2}𝐫/r_p^2`$, where $`r_p`$ is the pinning range. The magnetic interaction between pancakes $`𝐅_v(\rho ,z)=F_\rho (\rho ,z)\widehat{r}`$ is given by:

$$F_\rho (\rho ,0)=(\varphi _0^2/4\pi ^2\mathrm{\Lambda }\rho )[1(\lambda _{}/\mathrm{\Lambda })(1e^{\rho /\lambda _{}})]$$
(2)
$$F_\rho (\rho ,z)=(\varphi _0^2\lambda _{}/4\pi ^2\mathrm{\Lambda }^2\rho )[e^{z/\lambda _{}}e^{R/\lambda _{}}].$$
(3)
Here, $`R=\sqrt{z^2+\rho ^2}`$, $`\lambda _{}`$ is the penetration length parallel to the layers, and $`\mathrm{\Lambda }=2\lambda _{}^2/s`$ is the 2D thin-film screening length. A analogous model to Eqs. (2-3) was used in . We normalize length scales by $`\lambda _{}`$, energy scales by $`A_v=\varphi _0^2/4\pi ^2\mathrm{\Lambda }`$, and time is normalized by $`\tau =\eta \lambda _{}^2/A_v`$. We consider $`N_v`$ pancake vortices and $`N_p`$ pinning centers per layer in $`N_l`$ rectangular layers of size $`L_x\times L_y`$, and the normalized vortex density is $`n_v=N_v\lambda _{}^2/L_xL_y=B\lambda _{}^2/\mathrm{\Phi }_0`$. Moving pancake vortices induce a total electric field $`𝐄=\frac{B}{c}𝐯\times 𝐳`$, with $`𝐯=\frac{1}{N_vN_l}_i𝐯_i`$. We study the dynamical regimes in the velocity-force curve at $`T=0`$, solving Eq. (1) for increasing values of $`𝐅=F𝐲`$. We consider a constant vortex density $`n_v=0.1`$ in $`N_l=5`$ layers with $`L_x/L_y=\sqrt{3}/2`$, $`s=0.01`$, and $`N_v=36`$ pancake vortices per layer. We take a pinning range of $`r_p=0.2`$, pinning strengh of $`A_p/A_v=0.2`$, with a density of pinning centers $`n_p=0.65`$ on each layer. We use periodic boundary conditions in all directions and the periodic long-range in-plane interaction is dealt with exactly using an exact and fast converging sum . The equations are integrated with a time step of $`\mathrm{\Delta }t=0.01\tau `$ and averages are evaluated in $`16384`$ integration steps after $`2000`$ iterations for equilibration (when the total energy reaches a stationary value). Each simulation is started at $`F=0`$ with an ordered triangular vortex lattice (perfectly correlated in c-direction) and slowly increasing the force in steps of $`\mathrm{\Delta }F=0.1`$ up to values as high as $`F=8`$.

## 3 RESULTS

We start by looking at the vortex trajectories in the steady state phases. In Figure 1(a-b) we show a top view snapshot of the instantaneous pancake configuration for two typical values of $`F`$. In Figure 2(a-b) we show the vortex trajectories $`\{𝐑_i(t)\}`$ for the same two typical values of $`F`$ by plotting all the positions of the pancakes in all the layers for all the time iteration steps. In Fig. 3(a) we plot the average vortex velocity $`V=V_y(t)=\frac{1}{N_v}_i\frac{dy_i}{dt}`$, in the direction of the force as a function of $`F`$ and its corresponding derivative $`dV/dF`$. We also study the pair distribution function:

$$g(\rho ,n)=\frac{1}{N_pN_l}\underset{i<j}{}\delta (\rho \rho _{ij})\delta (nsz_{ij}).$$
(4)
In Fig. 3(b) we plot a correlation parameter along c-axis defined as:

$$C_z^n=\underset{\rho 0}{lim}g(\rho ,n),$$
(5)
as a function of $`F`$ for $`n=1,2`$. Below a critical force, $`F_c0.4`$, all the pancakes are pinned and there is no motion. At the characteristic force, $`F_p0.8`$, we observe a peak in the differential resistance. At $`F_c`$ pancake vortices start to move in a few channels , as was also seen in 2D vortex simulations . A typical situation is shown in Fig. 2(a). In this plastic flow regime we observe that the motion is completely uncorrelated along c-direction, with $`C_z^n0`$ for $`F_c<F<F_p`$ as shown in Fig. 3(b). In Fig. 1(a) and 2(a) we see that this situation corresponds to a disordered configuration of pancakes and to an uncorrelated structure of plastic channels along c-axis. At $`F_p`$ there is an onset of correlation along the c-axis and pancakes vortices start to align forming well defined stacks or vortex lines. This onset of c-axis correlation corresponds to the transition from plastic flow to a moving smectic phase (a complete discussion of the translational as well as temporal order will be discussed elsewhere ). For $`F>F_p`$ we observe that the structure of smectic channels is very correlated in the c-direction.

## 4 DISCUSSION

In a system with $`N_l=5`$ layers we have found that there is a clear onset of c-axis correlation with increasing driving force, where the pancake vortices start to align forming well defined stacks moving in smectic flow channels. Below this transition, in the plastic flow regime, these stacks of pancakes are unstable. Also, in  an enhancement of c-axis correlations with increasing drive was observed in a bilayered system.

We have further found  that the in-plane properties are in well correspondence with the ones obtained in 2D thin films simulations . A better understanding of the effects of c-axis correlations in pancake motion on each layer can be obtained by studying translational and temporal order in larger systems, through the analysis of the structure factor, voltage noise, and in-plane  as well as inter-plane velocity-velocity correlation functions .

In conclusion we have analyzed the vortex correlation along the field direction (c-axis) in the velocity-force characteristics at $`T=0`$ and found that above the critical current there is an onset of c-axis correlation in the transition between a plastic flow regime to a smectic flow regime. This transition coincides with the peak in the differential resistance. Experimentally, this effect could be studied with measurements of c-axis resistivity as a function of an applied current parallel to the layers .

We acknowledge discussions with L.N. Bulaevskii, P.S. Cornaglia, F. de la Cruz, Y. Fasano, M. Menghini and C.J. Olson. This work has been supported by a grant from ANPCYT (Argentina), Proy. 03-00000-01034. D.D. and A.B.K. acknowledge support from Fundación Antorchas (Proy. A-13532/1-96), Conicet, CNEA and FOMEC (Argentina). This work was also supported by the Director, Office of Advanced Scientific Computing Research, Division of Mathematical, Information, and Computational Sciences of the U.S. Department of Energy under contract number DE-AC03-76SF00098.