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# LIGO’s “Science Reach”With permission from “Astrophysical Sources of Gravitational Radiation for Ground-Based Detectors,” copyright American Institute of Physics, 2001.

## Introduction

Technical discussions of the Laser Interferometer Gravitational Wave Observatory (LIGO) sensitivity often focus on its effective sensitivity to gravitational waves in a given band; nevertheless, the LIGO Projects goal is to enable a new kind of astronomy — gravitational wave astronomy — and explore the fundamental physics of gravity. The gravitational waves accessible to LIGO are of astronomical origin, arise in regimes of strong, dynamical gravity, and carry with them an imprint of their origin and gravity’s character in that regime. From detection we aim to learn about the fundamental physics of gravity and the astronomical character of the sources, and we build LIGO in service of that goal.

Exploiting this new observational perspective to explore the Universe is a long-term goal, toward which LIGO’s initial instrumentation is but a first step. To fully develop this new observational perspective will require detectors of increasing sensitivity and detectors that explore different spectral bands. Nevertheless, the first generation LIGO instrumentation is sensitive enough that even non-detection — in the form of an upper limit — is also informative. In this brief article I describe in quantitative terms some of the science we can hope to do with first and future generation LIGO instrumentation: it short, the “science reach” of the detector we are building and the ones we hope to build.

Strong gravitational wave sources have characteristics that make them weak electromagnetic observations, and *vice versa.* An immediate consequence is that we generally know very little about the most intriguing gravitational wave sources. In choosing the source science that I discuss below, I’ve deliberately taken a conservative approach and focused my attention where speculation can be minimized. I’ve also chosen to stay “close to the detector”: i.e., to focus on the science that comes from direct detection or upper limits, as opposed to interpretation of observations in terms of detailed astrophysical models.

Still, we must remember that “\[i\]n the field of observation, chance favors the prepared mind” pasteur1854a : historically, the opening of a new spectrum to observation has lead to the revision of theoretical models, the development of new ideas, and, frequently, major serendipitous discoveries. LIGO is also a reach into the unknown and it is there the most exciting prospects lay.

A familiarity with the anticipated noise character of the initial and advanced LIGO designs is critical to an appreciation of their sensitivity to different sources of gravitational radiation; for that background I refer the reader to Peter Fritschel’s contribution to this volume. In the remainder of this article I discuss first compact binary inspiral, focusing on the effective volume of space that LIGO can survey for these sources, second on the limits that LIGO can place the crustal deformation of young pulsars, thirdly on the energy density in a stochastic gravitational wave background, fourthly on the limits that can be placed on the gravitational radiation that might accompany $`\gamma `$-ray bursts, and lastly on the limits that can be placed on the energy radiated in a stellar core-collapse supernova.

## Compact binary inspiral

Most LIGO stories begin with compact binary inspiral. Binary systems consisting of neutron stars or stellar mass black holes decay owing to the emission of gravitational radiation. During the last few moments in the life of these binary systems the gravitational radiation, emitted at twice the orbital frequency, races through the LIGO band before the binary components collide and coalesce into a final black hole (or, perhaps, another, more massive neutron star supported against collapse by its angular momentum). The detailed character of the radiation emitted during this inspiral phase is generally accessible to theoretical calculation and, correspondingly, has been studied in great detail (cf. blanchet95a ; blanchet98a  and references therein).

As inspiral proceeds the binary system becomes more compact and, correspondingly, more relativistic and less accessible to a perturbative, post-Newtonian treatment. Ultimately, there is a “last orbit” before the two components plunge toward each other and coalesce. Whether the transition from inspiral to plunge is due to a dynamical instability, a secular instability, or simply dissipative forces (e.g., radiation reaction) is an open question, as is the detailed character of the radiation during plunge and coalescence.

For black holes, coalescence represents the ultimate expression of dynamical, strong field gravity. It is certainly also accompanied by a burst of radiation flanagan98a ; flanagan98b ; however, that burst is extremely difficult to model: the spacetime is dynamical, the fields are strong and the structure of the binary components plays an important role. Modeling *coalescence* (which we take to include the plunge from inspiral) has been a long-term goal of numerical relativity, and recent results suggest that the radiation emitted during this phase alone may be as greater as 1% or more of the systems rest mass khanna99b .

Lastly, the final remnant of the coalescence will be strongly perturbed from equilibrium and will shed that perturbation, in part through gravitational radiation. This ring down phase is, by definition, perturbative and the waveform well understood (even if it is not particularly well structured).

The inspiral, coalescence and ring down are consecutive parts of the signature of an inspiraling compact binary system. A complete search for compact binary inspiral will look for all three components and not single out any given component, ignoring the rest. Nevertheless, the inspiral waveform is better understood, will appear in the LIGO detectors at an earlier time, and carry more information about the system, then the signals arising from coalescence or ring down. In the LIGO detectors the inspiral of a binary neutron star system deposits most all of its contribution to the signal-to-noise as the orbital frequency increases from approximately 20 s-1 to about 100 s-1 over approximately 20 s finn96a  immediately preceding the coalescence111The band shifts slightly to lower frequencies and longer periods between the first and later generation LIGO detectors, corresponding to the greater low-frequency sensitivity of these more advanced detectors.; additionally, the inspiral waveform carries information about the system’s component masses, redshift and luminosity distance schutz86a ; finn93a ; cutler94a ; finn96a .

For the purpose of comparing the science reach of alternative detectors, then, we will focus on just the radiation associated with the inspiral of two $`1.4\text{M}_{}`$ neutron stars or black holes. Assuming that we use matched filtering to detect the inspiral radiation, and that we are contending only with Gaussian detector noise, a false alarm rate of $`10^4\text{y}^1`$ corresponds to a signal-to-noise threshold of approximately $`8`$ for detection. With this criteria we can calculate the observed rate of binary inspiral $`\dot{N}`$ given the rate density (on a per co-moving time, co-moving volume, basis) $`\dot{n}`$ of inspiraling binary systems and taking into account the anisotropic radiation pattern of the sources and antenna pattern of the detectors. The ratio $`\dot{N}/\dot{n}`$ we define to be an effective volume surveyed by the detector, which we characterize by an effective radius, $`r_{\text{eff}}`$:

$$\dot{N}=\frac{4\pi r_{\text{eff}}^3}{3}\dot{n}.$$
(1)
Table 1 gives the effective radius $`r_{\text{eff}}`$ for the LIGO initial and (as of this writing) advanced detector concepts. Over the volume surveyed by initial LIGO only the most optimistic scenarios give a reasonable event rate for NS/NS binary inspiral; however, advanced LIGO should observe many inspirals, of different types, per year (see Kalogera, this proceedings). An interesting note is that, in terms of the expected binary inspiral detection rate, it is more likely that a NS/NS inspiral will be detected in 3 h of advanced LIGO operations than in 1 y of initial LIGO operations!

## Periodic Signals

Shortly after their formation, rapidly rotating neutron stars develop a solid crust. As they evolve, they gain angular momentum through accretion, lose it through radiation, and see it redistributed between the fluid interior and the solid crust. Through these processes, as well as crust fracturing and the neutron star equivalent of “continental drift” ruderman91a ; ruderman91b ; ruderman91c , neutron stars cease being axisymmetric and will radiate periodic gravitational waves with an amplitude proportional to the crust strain. The amplitude of the gravitational waves depends on the stars period and the degree of non-axisymmetry. If the star is rotating about a principal axis of its moment of inertia the radiation period will be twice the rotational period and its amplitude proportional to the the difference between the moment of inertia of the other two principal axes.

Theoretical prejudice regarding the maximum sustainable crust stress bound this difference to less than or of order $`10^{40}\text{g cm}^2`$: i.e, something less than one part in $`10^5`$ of the moment of inertia itself alpar85a .222Observations of the period, spin-down and rate of spin-down of very old pulsars places limits on $`ϵ|I_2I_1|/I_3`$ of less than or of order $`10^8`$ for these stars; however, owing to their great age and past history the crust of these stars has been heavily annealed. Thus, this limit is not likely representative of young neutron stars. Gravitational wave observations over an extended period will, in principle, be able to bound the *actual* strain in nearby pulsars to an order of magnitude greater than this theoretical bound.

To describe the LIGO detector’s science reach in the context of periodic signals, we ask what limit can be placed on triaxiality parameter $`ϵ`$ ($`|I_2I_1|/I_3`$) for a pulsar, rotating about the principal axis with moment of $`I_3`$. This limit will depend on the pulsar period, detector noise at the gravitational wave period (half the pulsar period), the distance to the pulsar, and the pulsar’s declination. For the purpose of assessing the science reach, focus attention on a source at a distance of 10 Kpc and average over the source declination. Figure 1 shows the science reach of the initial and advanced LIGO detectors. Three curves are shown: the solid curve shows the reach of the initial LIGO detector, which is clearly in a position to place interesting, but not challenging, upper limits on pulsars with frequencies $`100`$ Hz. The dashed curve shows the reach of the advanced LIGO detector, operating in a broadband mode tuned to maximize the detector’s reach for binary inspiral (as described in the previous section).

Finally, the dash-dot curve shows the science reach for an advanced detector whose optical configuration has been tuned to maximize the its sensitivity at the indicated frequency. Here we go beyond what is proposed for the next generation LIGO detectors. That detector will be tunable; however, the ability to reach the limit shown depends on choices made in the mirror coatings, which are different if one optimizes for, say, 500 Hz to 1 KHz frequencies as opposed to 100 Hz to 500 Hz, and also the quality of the optical components. The dash-dot curve is the envelope of best possible behavior: i.e., limited at each frequency by the thermal noise of the proposed, advanced detector. The actual proposed advanced detector, optimized for detection at a particular frequency, will have a science reach bounded from below by the dash-dot curve and above by the dashed curve. Particularly for pulsars closer than the galactic center, the advanced LIGO sensitivity gives us the ability to place challenging upper limits on the crustal deformation in younger pulsars.

## $`\gamma `$-ray bursts

$`\gamma `$-ray bursts are sudden, intense flashes of $`\gamma `$-rays lasting anywhere from a fraction of a second to hundreds of seconds. The burst sources are confirmed through observations to be at cosmological distances and involve power outputs of $`10^{51}`$$`10^{54}`$ erg/s, which is comparable to the total conversion of the Sun’s rest-mass to $`\gamma `$-rays over the course of a few seconds or to the emission over the same period of as much energy as our entire galaxy radiates in 100 y. This is a far larger luminosity than that of any other known astronomical source meszaros01a .

The progenitors of $`\gamma `$-ray bursts are not yet well identified and there is good reason to believe they may be a heterogeneous population kouveliotu93a ; lamb93a ; mukherjee98a ; meszaros00a . Two classes of progenitors are currently favored: neutron star binary coalescence or hypernovae or collapsars woosley93a ; paczynski86a ; paczynski98a ; fryer99a ; goodman86a ; meszaros97a . All models converge on the formation of a several solar mass black hole, surrounded by a debris torus whose accretion provides the energy necessary to power the $`\gamma `$-ray burst. The $`\gamma `$-ray burst itself arises as a result of either internal shocks rees94a  (owing to velocity variations) in the outgoing fireball and/or the formation of forward and reverse shocks when the expanding fireball impacts on, e.g., the interstellar medium.

The violent formation of a black hole will almost certainly involve a gravitational wave burst. The qualitative character of that burst will likely depend on the progenitor: e.g., the spectrum and timescale of the burst arising from a hypernova, or collapsar, or the coalescence of a compact binary will all likely be different. The interval between the gravitational and $`\gamma `$-ray bursts will depend on whether the $`\gamma `$-ray burst is formed via internal shocks (timescales on order $`0.1`$ s) or the formation of a blast wave and reverse shock as the fireball impacts on an external medium (timescales on order $`100`$ s). Correspondingly, observations of correlated gravitational and $`\gamma `$-ray bursts can *i)* test the general model of $`\gamma `$-ray burst sources (i.e., the formation of a several $`M_{}`$ black hole), *ii)* potentially distinguish between different progenitors (e.g., hypernovae, collapsar or compact binary coalescence), *iii)* determine whether the $`\gamma `$-rays are produced via internal or external shocks (via the interval between the $`\gamma `$-ray and gravitational wave burst).

Since GRBs occur at cosmological distances the signal-to-noise ratio (SNR) of any individual GWB will likely be insufficient for direct detection in either the initial or advanced LIGO detectors. Nevertheless, it will still be possible to detect a *statistical association* between gravitational wave and $`\gamma `$-ray bursts. If GWBs are associated with GRBs, the correlated output of two GW detectors will be different in the moments immediately preceding a GRB (*on-source*) than at other times not associated with a GRB (*off-source*). (While we focus on $`\gamma `$-ray bursts here, any plausible class of astronomical events can serve as a trigger.) A statistically significant difference between on- and off-source cross-correlations would support a GWB/GRB association and represent a detection of gravitational waves by the detector pair. We can measure this difference using Student’s $`t`$-test without requiring any foreknowledge of the signal waveform, source or source population (though with such a model the effectiveness of the test can be improved). The measured difference can be used to establish a confidence interval (CI) or upper limit (UL) on the rms amplitude of GWBs associated with GRBs. The CI/UL, in turn, constrains any model for model for GRB/GWB pairs finn99f . The 95% confidence upper limit $`h_{95\%}`$ we can set on the strength of the gravitational waves associated with $`\gamma `$-ray bursts, is given by

$$h_{95\%}^2=\left\{\begin{array}{c}\left(1.35\times 10^{22}\right)^2\hfill \\ \left(2.5\times 10^{23}\right)^2\hfill \end{array}\right\}\left(\frac{T}{0.2\text{s}}\frac{1000}{N_{\text{on}}}\right)^{1/2}\begin{array}{c}\text{initial LIGO}\hfill \\ \text{advanced LIGO}\hfill \end{array}$$
(2)
where $`T`$ is the delay between the gravitational wave and $`\gamma `$-ray burst (0.1 s for the internal shock model), and $`N_{\text{on}}`$ is the number of $`\gamma `$-ray bursts observed (1000 bursts will involve about three years of observations with, e.g., SWIFT). The advanced LIGO bound described above corresponds to the conversion of $`0.3\text{M}_{}`$ to gravitational waves at $`z1/2`$.

## Stochastic signals

A stochastic gravitational wave signal, in a single detector, is indistinguishable from detector noise. It is only when we have two or more independent detectors that we can begin to distinguish between detector noise and a stochastic signal: the stochastic signal, arising as a superposition of plane waves from different directions, will appear as correlated noise in pairs of detectors, with the correlation rolling off for wavelengths greater than half the distance between the detectors christensen92a ; flanagan93a . For the LIGO detector-pair the correlation of the two detectors to a stochastic signal has a null at approximately 64 Hz and a second null at approximately twice that frequency. Beyond that second null there is very little power in the correlated response of the detector pair to the incident stochastic signal.

It is convenient to characterize the strength of a stochastic background by its energy density in a logarithmic frequency band, relative to the closure density of the universe $`\rho _0`$:

$$\mathrm{\Omega }_{\text{GW}}\frac{f}{\rho _0}\frac{d\rho _{\text{GW}}}{df},$$
(3)
where $`\rho _{\text{GW}}`$ is the energy density in gravitational waves.

When considering sources of detectable stochastic gravitational radiation it is conventional to consider signals of primordial origin: e.g., radiation arising during an inflationary epoch or from the decay of a cosmic string network (see maggiore00a  for an excellent review). Primordial nucleosynthesis places a bound on the contribution to $`\mathrm{\Omega }_{\text{GW}}`$ from these primordial sources of $`10^5`$: a larger $`\mathrm{\Omega }_{\text{GW}}`$ would lead to a significantly larger He4 abundance than is observed. This bound is weak compared to the theoretical predictions on the size of these backgrounds: $`\mathrm{\Omega }_{\text{GW}}10^{14}`$ for inflation and $`\mathrm{\Omega }_{\text{GW}}10^{11}`$ for a cosmic string network.

It is important to note, however, that *the nucleosynthesis bound does not address gravitational waves produced after nucleosynthesis,* and there are a number of mechanisms capable of producing significant stochastic gravitational waves at late times. As important, these mechanisms are not exotic ones: they are as simple as the confusion limit of discrete but unresolved conventional astronomical sources of gravitational waves: e.g., core-collapse supernovae, binaries or binary inspiral, or coalescence, etc.. Stochastic sources like these are certainly important for the LISA detector333LISA will be overwhelmed at frequencies below $`10^{2.5}`$ Hz by the radiation from unresolved close white dwarf binaries and other galactic binary systems hils90a . folkner98a  and they may also be for the LIGO detector: it all depends on the unknown event rate and luminosity of the individual sources.

To assess the science reach of the LIGO detector pair to a stochastic gravitational wave background, we ask what upper limit we can expect to place on $`\mathrm{\Omega }_{\text{GW}}`$ *today*, based on the observed correlation in the two LIGO detectors. Focusing on an observation involving $`1/3`$ y of data and insisting on a 99% confidence, we find christensen92a ; flanagan93a ; allen99b ; feldman98a

$$\mathrm{\Omega }_{99\%}=\{\begin{array}{cc}3.3\times 10^6/h^2\hfill & \hfill \text{initial LIGO}\\ 2.0\times 10^9/h^2\hfill & \hfill \text{advanced LIGO}\end{array}$$
(4)
where $`h`$ is the Hubble constant in units of 100 Km/s/Mpc. Thus, the initial LIGO detectors can improve on the existing in-band limit on a primordial background by a factor of approximately 3, and set a completely new limit on a background from the confusion limit of more conventional astronomical sources. The proposed advanced LIGO will be able to improve on these bounds by a factor of just over 1000, challenging some of the more optimistic proposals for a stochastic background from conventional sources maggiore00a .

## Core-collapse supernovae

As a final example, consider the gravitational waves that arise from the collapse of the stellar core in, e.g., a type II supernovae explosion. The gravitational radiation signature of this source is very uncertain: different plausible models for the progenitor give very different gravitational radiation waveforms zwerger98a . The spectrum of the different bursts are more similar: the burst is roughly white to a KHz, with the energy falling very rapidly at high frequencies. Without assuming a waveform for the gravitational wave burst we can compare the cross-correlation of the LIGO detector outputs at the expected time of the gravitational wave burst with its value at other times, not associated with a supernova. The difference of the actual cross-correlation from its mean value can be interpreted, in this model, as a measure of the mean-square $`h`$ averaged over the detectors band. From the distance to the supernova (and, again, assuming that the spectrum of $`h`$ is white to 1 KHz) we can convert this mean-square amplitude into a measure of the fraction of the stellar cores rest mass (assumed to be $`1.4\text{M}_{}`$) converted into gravitational waves. That efficiency $`ϵ`$ we take to be the “science reach” of the detectors for radiation from core-collapse supernovae.

The limit we can place on $`h^2`$ in the band, and thus on $`ϵ`$, is better the better we know when the core collapse took place. If the core-collapse is galactic then we expect to be able to detect the neutrinos directly, allowing us to fix the time of the core collapse to under a second; on the other hand, if the supernova is extragalactic, then we will have to rely on a backward extrapolation of the light curve, which will allow us to fix the time of the collapse to within an hour. For a supernova at a distance of 55 Kpc (the large Magellanic cloud), the 95% upper limit we can place on $`ϵ`$ is

$$ϵ_{95\%}=\{\begin{array}{cc}2\times 10^4\hfill & \hfill \text{initial LIGO}\\ 2\times 10^6\hfill & \hfill \text{advanced LIGO}\end{array}$$
(5)
Galactic supernova occur at the rate of approximately 1 per 30 y. At the distance of the center of the Virgo cluster — 15 Mpc — the rate is on order 3 y-1. At this distance the advanced LIGO can place an upper bound of $`ϵ_{95\%}24\%`$ on the efficiency: a physical upper bound (i.e., one less than 100%).

Theoretical prejudice — which, on this source, has revised itself by several orders of magnitude many times over the past three decades — currently estimates the efficiency at $`ϵ<10^7`$$`10^8`$ finn90b ; finn91a ; monchmeyer91a . These estimates are based on two-dimensional calculations and focus only on the earliest parts of the collapse. As such they exclude the radiation that might be associated with axisymmetries in the collapse or in the rapid convective overturn of the hot proto-neutron star, both of which may be significant sources of gravitational radiation. Thus, while LIGO observations don’t approach these theoretical prejudices, they are nevertheless important for the challenge they make to the prejudice.

## Summary

I like to say that the initial LIGO detectors bound the possible. In the case of binary inspiral they challenge some of the most optimistic scenarios for the rate density of compact binary neutron star and black hole systems; they set meaningful upper limits on the crustal deformation of nearby, young neutron stars; they improve the in-band limits on the strength of a primordial stochastic gravitational wave background and set a first bound on the background strength owing to the confusion limit of more conventional astronomical sources; and, in the event of a galactic supernova while LIGO is “on the air”, will set a physically meaningful upper limit on the efficiency with which core collapse supernovae produce gravitational waves.

The proposed advanced LIGO challenges theory. It will survey a volume of space that all but assures it should see several NS/NS binary inspirals per year and also establish the rate density of NS/BH and BH/BH binary systems. It will measure, or further improve the upper limit on, the deformation of the crust of nearby neutron stars; improve the limits on the stochastic background signal by three orders of magnitude beyond initial LIGO; may well explore the $`\gamma `$-ray burst model; and place physical bounds on the supernova efficiency.

It is a pleasure to thank Joan Centrella for organizing an absolutely splendid workshop, and for her seemingly boundless patience in waiting for my contribution to this proceedings. The work described here was supported by National Science Foundation awards PHY 98-00111 and PHY 99-96213 and its predecessor PHY 95-03084.


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# Spectral densities describing off-white noises

## Introduction

‘Past and future’ is a well-known topic in the theory of stationary Gaussian random processes. The restriction of a process $`X(t)`$ to $`t(\mathrm{},0)`$ is the past; the future is its restriction to $`(0,+\mathrm{})`$ or, more generally, $`(s,+\mathrm{})`$. Typically one shows that the past and the future are nearly independent if the separation $`s`$ is large enough, under appropriate conditions on the spectral density of the process. In contrast, the present work deals with the case $`s=0`$ (no separation). For a continuous process, of course, $`X(0)`$ belongs both to the past and to the future, making them heavily dependent. However, for the white noise they are independent anyway. An off-white noise222The term is suggested by William Arveson; I called it a ‘slightly coloured noise’. introduced in  (motivated by the theory of continuous tensor products of Hilbert spaces) generalizes the white noise. It is defined as a stationary Gaussian generalized random process such that the joint distribution of the past and the future is equivalent (that is, mutually absolutely continuous) to the product of their marginal distributions. The present work derives from well-known results about ‘past and future’ a necessary and sufficient condition for a spectral density to describe an off-white noise. I feel that it is basically a folklore worth to be written.

I am indebted to Ildar Ibragimov, Alexander Kheifets, Mikhail Sodin and Sergei Treil; due to their patient efforts I am now less afraid of the theory of analytic functions.

In the Hilbert space $`H`$ of all linear measurable functionals over a Gaussian random process, the past $`𝒫`$ and the future $``$ are linear subspaces. For the white noise, $`H=𝒫`$, the subspaces being orthogonal. For an off-white noise the corresponding relation is

$$H=𝒫\text{in the FHS sense,}$$

as defined in ; it means that the orthogonal projection from $``$ to $`𝒫`$ is a Hilbert-Schmidt operator, and $`H=𝒫`$ in the topological sense. The latter means that $`𝒫+`$ is dense in $`H`$ and $`𝒫,`$ are at positive angle (that is, the projection is of norm less than $`1`$).

## 1 Analytic functions inside and outside the circle

###### 1.1 Definition.

(a) A *past-and-future structure* (or ‘PaF structure’) consists of:

* a separable Hilbert space $`H`$;
* a two-sided sequence $`(𝒫_n)_n`$ of (closed linear) subspaces $`𝒫_nH`$, increasing (in the sense that $`𝒫_n𝒫_{n+1}`$ for all $`n`$) and such that the union of all $`𝒫_n`$ is dense in $`H`$;
* a two-sided sequence $`(_n)_n`$ of subspaces $`_nH`$, decreasing and such that the union of all $`_n`$ is dense in $`H`$;
* a unitary operator $`T:HH`$ such that $`T𝒫_n=𝒫_{n+1}`$ and $`T_n=_{n+1}`$ for all $`n`$.

(b) Two PaF structures $`(H,(𝒫_n),(_n),T)`$ and $`(H^{},(𝒫_n^{}),(_n^{}),T^{})`$ are *isomorphic,* if there exists an invertible linear isometry $`U:HH^{}`$ such that $`U𝒫_n=𝒫_n^{}`$ and $`U_n=_n^{}`$ for all $`n`$, and $`UT=T^{}U`$.

(c) A *PaF geometry* is a PaF structure treated up to isomorphism.

(d) For any PaF geometry $`𝒢=(H,(𝒫_n),(_n),T)`$ and any $`k`$ define $`𝒢+k`$ (the shifted PaF geometry) as $`(H,(𝒫_{n+k}),(_n),T)`$ (or equivalently $`(H,(𝒫_n),(_{nk}),T)`$). Also define the *time-reversed PaF geometry* as $`\overline{𝒢}=(H,(_n),(𝒫_n),T^1)`$.

Let $`\mu `$ be a (positive) $`\sigma `$-finite Borel measure on the unit circle $`\{z:|z|=1\}`$. The set of all polynomials $`P`$ such that $`|P|^2𝑑\mu <\mathrm{}`$ is an ideal in the commutative ring of polynomials. If the ideal contains not only $`0`$, then it is generated by a single polynomial $`P_\mu `$ (not identically $`0`$), since every ideal in that ring is principal. It is easy to see that (up to a coefficient that may be ignored), $`P_\mu (z)=(zz_1)\mathrm{}(zz_m)`$ for some $`z_1,\mathrm{},z_m`$ on the circle. If $`\mu `$ is finite then $`m=0`$ and $`P_\mu (z)=1`$.

###### 1.2 Definition.

(a) A nonatomic $`\sigma `$-finite Borel measure $`\mu `$ on the circle will be called *moderate,* if the ideal of polynomials $`P`$ satisfying $`|P|^2𝑑\mu <\mathrm{}`$ is different from $`\{0\}`$.

(b) *Poles* of a moderate measure $`\mu `$ are roots of the polynomial $`P_\mu `$ that generates the ideal. *Multiplicity* of a pole of $`\mu `$ is its multiplicity as a root of $`P_\mu `$.

The set of all moderate measures is a linear space, closed under multiplication by functions of the form $`f/|P|^2`$ where $`f`$ is a bounded nonnegative Borel function on the circle and $`P`$ is a polynomial (not identically $`0`$).

Conjugation $`z\overline{z}`$ maps the circle onto itself, and sends each measure $`\mu `$ on the circle to another measure, denote it $`\stackrel{~}{\mu }`$. Clearly, $`\mu `$ is moderate if and only if $`\stackrel{~}{\mu }`$ is moderate, and if they are, then $`P_\mu (z)=\overline{P_{\stackrel{~}{\mu }}(\overline{z})}`$ for all $`z`$. Also, each function $`fL_2(\mu )`$ corresponds to another function $`\stackrel{~}{f}L_2(\stackrel{~}{\mu })`$ such that $`f(z)=\stackrel{~}{f}(\overline{z})`$. However, if $`f`$ is a polynomial $`P`$ restricted to the circle then $`\stackrel{~}{f}`$ is rather the rational function $`zP(1/z)`$ restricted to the circle. In particular, if $`P(z)=zz_1`$ where $`|z_1|=1`$ then $`P(1/z)=z_1(z\overline{z}_1)/z=z_1\overline{P(\overline{z})}/z`$. Accordingly, if $`P(z)=(zz_1)\mathrm{}(zz_m)`$ for some $`z_1,\mathrm{},z_m`$ on the circle then $`P(1/z)=\mathrm{const}z^m\overline{P(\overline{z})}`$. Therefore

$$P_{\stackrel{~}{\mu }}\left(\frac{1}{z}\right)=\mathrm{const}z^mP_\mu (z)\text{for all }z\{0\};\text{here }m=\mathrm{deg}P_\mu ;$$

and $`\stackrel{~}{P}_{\stackrel{~}{\mu }}(z)=\mathrm{const}z^mP_\mu (z)`$ for $`|z|=1`$. Functions $`P_\mu `$ and $`\stackrel{~}{P}_{\stackrel{~}{\mu }}`$ have the same zeros (on the circle); however, $`P_\mu `$ has a pole (of multiplicity $`m`$) at $`\mathrm{}`$, while $`\stackrel{~}{P}_{\stackrel{~}{\mu }}`$, or rather its analytic continuation $`\mathrm{const}z^mP_\mu (z)`$, has a pole (of multiplicity $`m`$) at $`0`$.

Every moderate measure $`\mu `$ determines a PaF structure $`(H,(𝒫_n),(_n),T)`$ as follows:

* $`H=L_2(\mu )`$;
* $`_n`$ is spanned by functions $`zz^kP_\mu (z)`$ for $`k`$, $`kn`$;333Here $`P_\mu `$ may be replaced with any polynomial $`P`$ (not identically $`0`$) satisfying $`|P|^2𝑑\mu <\mathrm{}`$; redundant roots of $`P`$ do not influence the *closed* subspace.
* $`𝒫_n`$ is spanned by functions $`zz^k\stackrel{~}{P}_{\stackrel{~}{\mu }}(z)`$ for $`k`$, $`kn`$;
* $`(Tf)(z)=zf(z)`$ for $`fL_2(\mu )`$.

In other words, $`𝒫_n`$ is spanned by functions $`zz^kP_\mu (z)`$ for $`k`$, $`kn\mathrm{deg}P_\mu `$.

Treating the PaF structure up to isomorphism, we get a PaF geometry; denote it by

$$𝒢_\mu .$$

The time-reversed PaF geometry (as defined by 1.1(d)) corresponds to $`\stackrel{~}{\mu }`$:

$$\overline{𝒢_\mu }=𝒢_{\stackrel{~}{\mu }};$$

an isomorphism is $`L_2(\mu )f\stackrel{~}{f}L_2(\stackrel{~}{\mu })`$. If $`\mu `$ is symmetric (that is, $`\mu =\stackrel{~}{\mu }`$) then $`𝒢_\mu `$ is time-symmetric (that is, $`𝒢_\mu =\overline{𝒢_\mu }`$).

###### 1.3 Proposition.

Let $`\mu ,\mu ^{}`$ be moderate measures, $`z_0`$ a point on the circle, and $`\mu ^{}(dz)=|zz_0|^2\mu (dz)`$. Then444$`𝒢_\mu +1`$ is the shifted PaF geometry, recall 1.1(d).

$$𝒢_\mu ^{}=𝒢_\mu +1.$$

###### Proof.

We have $`𝒢_\mu =(H,(𝒫_n),(_n),T)`$, $`𝒢_\mu ^{}=(H^{},(𝒫_n^{}),(_n^{}),T^{})`$. Multiplication by $`1/(zz_0)`$ is an invertible linear isometry $`L_2(\mu )L_2(\mu ^{})`$, that is, $`HH^{}`$; it intertwines $`T`$ with $`T^{}`$. We’ll prove that it sends $`_0`$ to $`_0^{}`$ and $`𝒫_1`$ to $`𝒫_0^{}`$.

First, $`\frac{1}{zz_0}_0_0^{}`$ for a trivial reason: for all $`k0`$ the function $`z(zz_0)z^kP_\mu ^{}(z)`$ belongs to $`_0`$, since $`|(zz_0)P_\mu ^{}(z)|^2\mu (dz)=|P_\mu ^{}(z)|^2\mu ^{}(dz)<\mathrm{}`$.555It may happen that $`z_0`$ is a pole of $`\mu `$, then $`P_\mu (z)=(zz_0)P_\mu ^{}(z)`$; otherwise $`P_\mu =P_\mu ^{}`$. In any case $`z(zz_0)P_\mu ^{}(z)`$ belongs to the ideal generated by $`P_\mu `$.

In order to prove that $`\frac{1}{zz_0}_0_0^{}`$ take polynomials $`P_n`$ such that $`P_n(z)\frac{1}{zz_0}`$ for $`n\mathrm{}`$, and $`|P_n(z)|2\left|\frac{1}{zz_0}\right|`$, whenever $`|z|=1`$; say, we may take

$$P_n(z)=(1\epsilon _n)\overline{z}_0\frac{1(1\epsilon _n)^n\overline{z}_0^nz^n}{1(1\epsilon _n)\overline{z}_0z}$$

choosing $`\epsilon _n0+`$ such that $`n\epsilon _n\mathrm{}`$. We have (for every $`k0`$) $`P_n(z)z^kP_\mu (z)\frac{1}{zz_0}z^kP_\mu (z)`$ pointwise, and $`|P_n(z)z^kP_\mu (z)|\frac{2}{|zz_0|}|P_\mu (z)|`$. The majorant belongs to $`L_2(\mu ^{})`$; polynomials $`zP_n(z)z^kP_\mu (z)`$ belong to $`L_2(\mu )`$, therefore to $`L_2(\mu ^{})`$, and to $`_0^{}`$. So, $`\frac{1}{zz_0}_0=_0^{}`$.

Now we apply the equality $`\frac{1}{zz_0}_0=_0^{}`$ to measures $`\stackrel{~}{\mu }`$, $`\stackrel{~}{\mu }^{}`$ (symmetric to $`\mu `$, $`\mu ^{}`$); these are related by $`\stackrel{~}{\mu }^{}(dz)=|z\overline{z}_0|^2\stackrel{~}{\mu }(dz)`$; thus, $`\frac{1}{z\overline{z}_0}_0(\stackrel{~}{\mu })=_0(\stackrel{~}{\mu }^{})`$. The isomorphism $`f\stackrel{~}{f}`$ between $`𝒢_\mu `$ and $`𝒢_{\stackrel{~}{\mu }}`$ (as well as $`𝒢_\mu ^{}`$ and $`𝒢_{\stackrel{~}{\mu }^{}}`$) transforms $`_0(\stackrel{~}{\mu })`$ to $`𝒫_0(\mu )`$, $`_0(\stackrel{~}{\mu }^{})`$ to $`𝒫_0(\mu ^{})`$, and the function $`z\frac{1}{z\overline{z}_0}`$ into the function $`z\frac{1}{\overline{z}\overline{z}_0}`$. So,

$$\frac{1}{\overline{z}\overline{z}_0}𝒫_0(\mu )=𝒫_0(\mu ^{}).$$

However, $`\frac{1}{\overline{z}\overline{z}_0}=\mathrm{const}z\frac{1}{zz_0}`$ for $`|z|=1`$ (namely, $`\mathrm{const}=\overline{z}_0`$); therefore

$$\frac{1}{\overline{z}\overline{z}_0}𝒫_0(\mu )=\frac{1}{zz_0}z𝒫_0(\mu )=\frac{1}{zz_0}𝒫_1(\mu ).$$

So, $`\frac{1}{zz_0}𝒫_1(\mu )=𝒫_0(\mu ^{})`$, that is, $`\frac{1}{zz_0}𝒫_1=𝒫_0^{}`$. ∎

Given a PaF geometry $`𝒢=(H,(𝒫_n),(_n),T)`$, we may ask, whether or not two spaces $`𝒫_n,_{n+k+1}`$ are at positive angle.666Alternatively we could ask whether or not they are orthogonal, have trivial intersection, etc. Every such property leads to its ‘index’ satisfying (1.4). It depends on $`k`$, not $`n`$. If it holds for $`k`$ then it surely holds for $`k+1`$. We define the index, $`\mathrm{Ind}(𝒢)`$, as the least $`k`$ possessing the property.777If all $`k`$ possess the property then $`\mathrm{Ind}(𝒢)=\mathrm{}`$; if no one does then $`\mathrm{Ind}(𝒢)=+\mathrm{}`$. Evidently,

(1.4)
$$\mathrm{Ind}(𝒢+k)=\mathrm{Ind}(𝒢)+k.$$

Combined with Proposition 1.3 it means that $`\mathrm{Ind}(G_\mu ^{})=\mathrm{Ind}(G_\mu )+1`$ whenever $`\mu ^{}(dz)=|zz_0|^2\mu (dz)`$.

Assume for a while that $`\mu `$ is finite. We have $`\mathrm{Ind}(𝒢_\mu )0`$, since constant functions belong both to $`𝒫_0`$ and to $`_0`$. It is well-known (see \[2, Sect. 9\] or \[3, Th. 4 in Sect. V.2\]) that $`\mathrm{Ind}(𝒢_\mu )=N`$ if and only if $`d\mu =|P|^2d\nu `$ for some polynomial $`P`$ of degree $`N`$ with all roots on the circle, and some *finite* measure $`\nu `$ such that $`\mathrm{Ind}(𝒢_\nu )=0`$. Finiteness of $`\nu `$ ensures that $`𝒫_0^{(\nu )}+_1^{(\nu )}`$ is dense in $`H^{(\nu )}`$. Thus $`H^{(\nu )}=𝒫_0^{(\nu )}_1^{(\nu )}`$ in the topological sense. Taking into account that $`𝒢_\mu =𝒢_\nu +N`$ we see that the two following conditions are equivalent for every finite measure $`\mu `$:

(1.5a)
$$\mathrm{Ind}(𝒢_\mu )=N;$$

(1.5b)
$$H=𝒫_0_{N+1}\text{ in the topological sense.}$$

Therefore (due to 1.3) these conditions are equivalent for every *moderate* measure $`\mu `$.

In order to get $`H=𝒫_0_{N+1}`$ in the FHS sense, (one of) the following two equivalent conditions must be added:

###### 1.6a.

The orthogonal projection from $`_{N+1}`$ to $`𝒫_0`$ is a Hilbert-Schmidt operator.

###### 1.6b.

The product $`P_0F_{N+1}P_0`$ is a trace-class operator; here $`P_0`$ and $`F_{N+1}`$ are orthogonal projections (from $`H`$) to $`𝒫_0`$ and $`_1`$ respectively.

Recall that a real-valued function $`\phi `$ on the circle belongs to Sobolev space $`W_2^{1/2}`$ if and only if it satisfies the following two equivalent conditions:

(1.7a)
$$\frac{|\phi (z_1)\phi (z_2)|^2}{|z_1z_2|^2}\mathrm{L}(dz_1)\mathrm{L}(dz_2)<\mathrm{},$$

where $`\mathrm{L}`$ stands for Lebesgue measure;
(1.7b)
$$\underset{\mathrm{}}{\overset{+\mathrm{}}{}}|n||\widehat{\phi }_n|^2<\mathrm{},$$

where $`\widehat{\phi }_n`$ are Fourier coefficients of $`\phi `$.
A well-known deep result of Ibragimov and Solev (see \[3, Sect. IV.4\], see also \[5, Sect. 7\]) states that a finite measure $`\mu `$ satisfies *both* (1.5a) *and* (1.6b) if and only if $`\mu `$ has a density $`w`$ (w.r.t. Lebesgue measure) of the form $`w=|P|^2\mathrm{exp}\phi `$ where $`\phi W_2^{1/2}`$ and $`P`$ is a polynomial of degree $`N`$ with all zeros on the circle.

Combining the deep result with Proposition 1.3 we generalize the former from finite to moderate measures as follows.

###### 1.8 Proposition.

For every moderate measure $`\mu `$ on the circle and integer $`N`$, the following two conditions are equivalent.

(a) $`H=𝒫_0_{N+1}`$ in the FHS sense.

(b) $`\mu `$ has a density of the form $`{\displaystyle \frac{d\mu }{d\mathrm{L}}}(z)=\left|{\displaystyle \frac{(zz_1)\mathrm{}(zz_l)}{(zz_1^{})\mathrm{}(zz_m^{})}}\right|^2\mathrm{exp}\phi (z)`$ for some $`l,m\{0,1,2,\mathrm{}\}`$ such that $`lm=N`$, some points $`z_1,\mathrm{},z_l`$, $`z_1^{},\mathrm{},z_m^{}`$ on the circle, and some function $`\phi W_2^{1/2}`$.

###### Proof.

A moderate measure $`\mu `$ is related to a finite measure $`\nu `$ by $`d\nu =|P_\mu |^2d\mu `$; thus $`𝒢_\nu =𝒢_\mu +m`$ where $`m=\mathrm{deg}P_\mu `$. Condition (a) for $`\mu `$ is equivalent to the condition $`H^{(\nu )}=𝒫_0^{(\nu )}_{N+m+1}^{(\nu )}`$ for $`\nu `$. The latter holds if and only if $`\nu `$ has a density $`w`$ of the form $`w=|P|^2\mathrm{exp}\phi `$, where $`\phi W_2^{1/2}`$ and $`\mathrm{deg}P=N+m`$. It means that $`\mu `$ has the density $`\frac{|P|^2}{|P_\mu |^2}\mathrm{exp}\phi `$; note that $`\mathrm{deg}P\mathrm{deg}P_\mu =N`$. ∎

The following remarks will not be used.

If $`\mu `$ satisfies Condition 1.8(b) then $`l,m`$ and $`z_1,\mathrm{},z_l`$, $`z_1^{},\mathrm{},z_m^{}`$ are uniquely determined by $`\mu `$ (provided that $`z_iz_j^{}`$ for all $`i,j`$, of course).

A proposition similar to 1.8 holds for “$`H=𝒫_0_{N+1}`$ in the topological sense”; here the condition “$`\phi W_2^{1/2}`$” is replaced with the Helson-Szegö condition: $`\phi =\stackrel{~}{\psi }+\chi `$ with $`\psi _{\mathrm{}}<\frac{\pi }{2}`$ and $`\chi _{\mathrm{}}<\mathrm{}`$, where $`\psi ,\chi `$ belong to $`L_{\mathrm{}}`$ on the circle, and $`\stackrel{~}{\psi }`$ is the conjugate function to $`\psi `$. (Or alternatively, Muckenhoupt’s condition $`(A_2)`$ may be used.)

## 2 Generalized random processes in continuous time

Consider a Gaussian measure $`\gamma `$ in the space of (tempered, Schwartz; real-valued) distributions (generalized functions) over $``$; assume that $`\gamma `$ is invariant under shifts of $``$. Such measures are probability distributions888Sorry, ‘a distribution in the space of distributions’ may be confusing. A ‘probability distribution’ is just a probability measure (intended to describe a random element of the corresponding space). In contrast, a generalized function, called also ‘distribution’, is a more singular (than a measure) object over $``$, generally not positive; for example, a derivative $`\delta ^{(n)}`$ of Dirac’s delta-function. of stationary Gaussian generalized random processes . The space of tempered distributions is dual to the space of rapidly decreasing infinitely differentiable functions $`\phi `$ on $``$. Such $`\phi `$ gives a linear functional on the space of distributions; w.r.t. $`\gamma `$ it gives a normally distributed random variable, whose variance is a quadratic form of $`\phi `$ and may be written as $`|\widehat{\phi }|^2𝑑\nu `$ where $`\widehat{\phi }`$ is Fourier transform of $`\phi `$, and $`\nu `$ is so-called spectral measure (of $`\gamma `$). It is a positive $`\sigma `$-finite Borel measure on $``$, symmetric (that is, invariant under the map $`\lambda \lambda `$) and such that

(2.1)
$$_{\mathrm{}}^+\mathrm{}\frac{1}{(1+\lambda ^2)^m}\nu (d\lambda )<\mathrm{}$$

for $`m`$ large enough, see \[4, Th. 3.3, 3.4\]. Let $`m\{0,1,2,\mathrm{}\}`$ be the least number satisfying (2.1). If $`\nu `$ is finite then $`m=0`$.

Consider the Sobolev space $`W_1^m()`$ of all functions $`\phi :`$ such that $`\phi ,\phi ^{},\mathrm{},\phi ^{(m)}L_1()`$. If $`\phi W_1^m()`$ then functions $`\lambda \widehat{\phi }(\lambda )`$, $`\lambda \lambda \widehat{\phi }(\lambda )`$, …, $`\lambda \lambda ^m\widehat{\phi }(\lambda )`$ belong to the space $`C_0()`$ of all (bounded) continuous functions on $``$ vanishing at $`\mathrm{}`$, which means that the function $`\lambda (1+\lambda ^2)^{m/2}\widehat{\phi }(\lambda )`$ belongs to $`C_0()`$. Taking into account (2.1) we have

$$\phi W_1^m()\widehat{\phi }L_2(\nu ).$$

Thus, the quadratic form $`\phi |\widehat{\phi }|^2𝑑\nu `$ extends naturally from the space of rapidly increasing infinitely differentiable functions to $`W_1^m()`$. Of course, the former space is dense in the latter.999Note also that $`C_0()`$ could be replaced with $`C()`$ (all bounded continuous functions on $``$); accordingly, $`\phi ^{(m)}`$ could be a finite measure rather than a function of $`L_1()`$, which will be used in the proof of Lemma 2.2.

Introduce two subspaces $`𝒫_0(\nu ),_0(\nu )L_2(\nu )`$; namely, $`𝒫_0(\nu )`$ is spanned by functions $`\widehat{\phi }`$ where $`\phi W_1^m()`$, $`\phi (t)=0`$ for $`t[0,\mathrm{})`$; the same for $`_0(\nu )`$, but $`\phi (t)=0`$ for $`t(\mathrm{},0]`$. The map $`\lambda \lambda `$ sends $`\nu `$ to itself, and $`𝒫_0(\nu )`$ to $`_0(\nu )`$. That is, $`f_0(\nu )`$ if and only if $`\stackrel{~}{f}𝒫_0(\nu )`$; here $`\stackrel{~}{f}(\lambda )=f(\lambda )`$.

We use the well-known conformal map $`z={\displaystyle \frac{z^{}i}{z^{}+i}}`$, $`z^{}=i{\displaystyle \frac{z+1}{z1}}`$ of the real line $`\mathrm{Im}z^{}=0`$ to the unit circle $`|z|=1`$; it also maps half-planes $`\mathrm{Im}z^{}>0`$, $`\mathrm{Im}z^{}<0`$ onto the disk $`|z|<1`$ and the region $`|z|>1`$ respectively. Denote by $`\mu `$ the image of $`\nu `$ under the map $`\lambda \frac{\lambda i}{\lambda +i}`$; the $`\sigma `$-finite measure $`\mu `$ on the circle is symmetric (that is, $`\mu =\stackrel{~}{\mu }`$) and satisfies

$$|1z|^{2m}\mu (dz)<\mathrm{},$$

which is the same as (2.1), since $`\left|1\frac{\lambda i}{\lambda +i}\right|^2=\frac{4}{\lambda ^2+1}`$. In terms of Definition 1.2, $`\mu `$ is a moderate measure; it has a pole of multiplicity $`m`$ at $`1`$ (or it is a finite measure, and $`m=0`$); $`P_\mu (z)=(z1)^m`$; $`\stackrel{~}{P}_{\stackrel{~}{\mu }}(z)=\left(\frac{1}{z}1\right)^m=(1)^mz^m(z1)^m`$.

Denote by $`𝒫_0(\mu ),_0(\mu )`$ subspaces $`𝒫_0,_0`$ appearing in the PaF structure $`𝒢_\mu =(H,(𝒫_n),(_n),T)`$. That is, $`_0L_2(\mu )`$ is spanned by functions $`zz^k(1z)^n`$ for $`k0`$, and $`𝒫_0(\mu )`$ is spanned by functions $`zz^k(\frac{1}{z}1)^m`$ or $`zz^{km}(z1)^m`$ for $`k0`$.

The next lemma is well-known for finite measures (see \[1, Sect. XII.5, before Theorem 5.1\]); here is a generalization to moderate measures.

###### 2.2 Lemma.

Let two functions, $`f`$ on the circle and $`g`$ on $``$, be related by

(2.3)
$$f\left(\frac{\lambda i}{\lambda +i}\right)=g(\lambda )\text{for all }\lambda .$$

Then $`f𝒫_0(\mu )`$ if and only if $`g𝒫_0(\nu )`$. Also, $`f_0(\mu )`$ if and only if $`g_0(\nu )`$.

###### Proof.

It suffices to prove the latter, $`f_0(\mu )g_0(\nu )`$, since $`f𝒫_0(\mu )\stackrel{~}{f}_0(\mu )`$, and $`g𝒫_0(\nu )\stackrel{~}{g}_0(\nu )`$, and $`\stackrel{~}{f}\left(\frac{\lambda i}{\lambda +i}\right)=f\left(\frac{\lambda +i}{\lambda i}\right)=g(\lambda )=\stackrel{~}{g}(\lambda )`$.

In order to prove that $`f_0(\mu )`$ implies $`g_0(\nu )`$, consider $`f(z)=z^k(1z)^n`$ for some $`k0`$; we have to prove that $`g_0(\nu )`$, where $`g(\lambda )=\left(\frac{\lambda i}{\lambda +i}\right)^k\left(\frac{2i}{\lambda +i}\right)^n=(2i)^n\frac{1}{(\lambda +i)^n}\left(12i\frac{1}{\lambda +i}\right)^k`$ is a linear combination of functions $`\lambda \frac{1}{(\lambda +i)^{n+l}}`$, $`l=0,1,\mathrm{},k`$. Such $`g`$ is Fourier transform of a linear combination of functions $`h_{n+l}(t)=t^{n+l1}e^t`$ for $`t>0`$ (otherwise $`0`$), except for the case $`n=l=0`$; in that case $`g`$ is constant, and we need Fourier transform of a measure (concentrated at the origin) rather than a function of $`L_1`$. The same difficulty appears for $`n>0`$, when $`l=0`$; in that case $`h_{n+l}=h_n`$ does not belong to $`W_1^n()`$, since $`h_n^{(n1)}`$ jumps at the origin, and $`h_n^{(n)}`$ is a finite measure rather than a function of $`L_1`$. However, a smoothing, say, $`t\frac{1}{\epsilon }_\epsilon ^0h_n(t+u)𝑑u`$, does the job for $`l=0`$. For $`l>0`$ the function $`h_{n+l}`$ belongs to $`W_1^n()`$. So, $`g_0(\nu )`$.

In order to prove that $`g_0(\nu )`$ implies $`f_0(\mu )`$, consider $`g=\widehat{\phi }`$ where $`\phi W_1^n()`$, $`\phi (t)=0`$ for $`t(\mathrm{},0]`$. The function $`\lambda (\lambda +i)^ng(\lambda )`$ on the closed half-plane $`\mathrm{Im}\lambda 0`$ is continuous, and tends to $`0`$ for $`|\lambda |\mathrm{}`$. Therefore the function $`z(1z)^nf(z)`$ on the closed disk $`|z|1`$ is continuous (and vanishes at $`1`$). Take polynomials $`P_n`$ such that $`P_n(z)(1z)^nf(z)`$ uniformly on the disk; then functions $`z(1z)^nP_n(z)`$ belong to $`_0(\mu )`$ and converge to $`f`$ in $`L_2(\mu )`$. So, $`f_0(\mu )`$. ∎

## 3 Off-white noises

Return to a Gaussian measure $`\gamma `$ in the space of distributions, its spectral measure $`\nu `$, and the corresponding stationary Gaussian generalized random process. The spaces $`𝒫_0(\nu ),_0(\nu )`$ of $`L_2(\nu )`$, defined in Sect. 2, correspond unitarily (via Fourier transform) to subspaces of the Hilbert space of all $`\gamma `$-measurable linear functionals. Namely, $`𝒫_0(\nu )`$ corresponds to functionals localized (on the time axis) on $`(\mathrm{},0)`$ (“the past”), and $`_0(\nu )`$ corresponds to functionals localized on $`(0,\mathrm{})`$ (“the future”). Thus, orthogonality of $`𝒫_0(\nu ),_0(\nu )`$ means independence of the past and the future (which is the case for the white noise, whose spectral measure is Lebesgue measure on $``$). The property

(3.1)
$$L_2(\nu )=𝒫_0(\nu )_0(\nu )\text{in the FHS sense}$$

means that dependence between the past and the future boils down to a density. That is, $`\gamma `$ is equivalent (mutually absolutely continuous) to another measure that makes the past and the future independent.101010I mean $`(\mathrm{},0)`$ and $`(0,\mathrm{})`$, not $`(\mathrm{},t)`$ and $`(t,\mathrm{})`$ for all $`t`$ simultaneously. Such a process will be called an *off-white noise.*

###### 3.2 Theorem.

The following two conditions are equivalent.

(a) $`\nu `$ is the spectral measure of an off-white noise;

(b) $`\mu `$ has a density of the form $`{\displaystyle \frac{d\mu }{d\mathrm{L}}}(z)=\left|{\displaystyle \frac{(zz_1)\mathrm{}(zz_{m1})}{(z1)^m}}\right|^2\mathrm{exp}\phi (z)`$ for some $`m\{1,2,\mathrm{}\}`$, some points $`z_1,\mathrm{},z_{m1}`$ on the circle, different from $`1`$, and some function $`\phi W_2^{1/2}`$.

###### Proof.

Condition (a) is equivalent to (3.1). By Lemma 2.2, (3.1) is equivalent to $`L_2(\mu )=𝒫_0(\mu )_0(\mu )`$ in the FHS sense. The latter is 1.8(a) for $`N=1`$. By Proposition 1.8 it is equivalent to 1.8(b) for $`N=1`$. It remains to note that $`\mu `$ has no poles except for $`1`$. ∎

Clearly, $`m`$ in 3.2(b) is the same as $`m`$ in (2.1). We are mostly interested in the case $`m=1`$; in that case (2.1) becomes

(3.3)
$$_{\mathrm{}}^+\mathrm{}\frac{1}{1+\lambda ^2}\nu (d\lambda )<\mathrm{},$$

and 3.2(b) becomes $`\frac{d\mu }{d\mathrm{L}}(z)=\frac{1}{|1z|^2}w(z)`$. However,111111I denote by $`\mathrm{L}`$ both Lebesgue measure on the circle and Lebesgue measure on $``$. We have $`dz=\frac{2i}{(\lambda +i)^2}d\lambda `$, thus $`\mathrm{L}(dz)=\frac{2}{\lambda ^2+1}\mathrm{L}(d\lambda )`$; also, $`|1z|^2=\frac{4}{\lambda ^2+1}`$. $`\frac{d\nu }{d\mathrm{L}}(\lambda )=\frac{1}{2}|1z|^2\frac{d\mu }{d\mathrm{L}}(z)`$ where $`z=\frac{\lambda i}{\lambda +i}`$; thus

(3.4)
$$w\left(\frac{\lambda i}{\lambda +i}\right)=2W(\lambda ),$$

where $`W(\lambda )=\frac{d\nu }{d\mathrm{L}}(\lambda )`$.

The condition $`\mathrm{ln}wW_2^{1/2}`$ can be rewritten in terms of $`W`$,

(3.5)
$$\frac{|\mathrm{ln}W(\lambda _1)\mathrm{ln}W(\lambda _2)|^2}{|\lambda _1\lambda _2|^2}𝑑\lambda _1𝑑\lambda _2<\mathrm{},$$

which is (1.7a) combined with the fact that $`\frac{dz_1dz_2}{(z_1z_2)^2}`$ is invariant under linear-fractional transformations.121212That is, if $`f(z)=\frac{az+b}{cz+d}`$ then $`\frac{1}{(z_1z_2)^2}=\frac{f^{}(z_1)f^{}(z_2)}{(f(z_1)f(z_2))^2}`$. Recall that $`W(\lambda )=W(\lambda )`$.

###### 3.6 Proposition.

(a) If $`W`$ satisfies (3.5) then

(3.7)
$$_0^{\mathrm{}}|\mathrm{ln}W(2\lambda )\mathrm{ln}W(\lambda )|^2\frac{d\lambda }{\lambda }<\mathrm{}.$$

(b) Let $`W`$ be strictly positive, have a continuous derivative, and

(3.8)
$$_0^{\mathrm{}}\left|\frac{d}{d\lambda }\mathrm{ln}W(\lambda )\right|^2\lambda 𝑑\lambda <\mathrm{}.$$

Then $`W`$ satisfies (3.5).

###### Proof.

First, integration in (3.5) may be restricted from $`\times `$ to $`(0,\mathrm{})\times (0,\mathrm{})`$. Indeed, using the property $`W(\lambda )=W(\lambda )`$ we get the kernel $`\frac{2}{|\lambda _1\lambda _2|^2}+\frac{2}{|\lambda _1+\lambda _2|^2}`$ equivalent to $`\frac{1}{|\lambda _1\lambda _2|^2}`$.

Second,

(3.9)
$$\begin{array}{c}_0^{\mathrm{}}_0^{\mathrm{}}\frac{|\mathrm{ln}W(\lambda _1)\mathrm{ln}W(\lambda _2)|^2}{|\lambda _1\lambda _2|^2}𝑑\lambda _1𝑑\lambda _2=\hfill \\ \hfill =_0^{\mathrm{}}\frac{du}{(u1)^2}_0^{\mathrm{}}|\mathrm{ln}W(u\lambda )\mathrm{ln}W(\lambda )|^2\frac{d\lambda }{\lambda },\end{array}$$

which is just a change of variable, $`\lambda _1=\lambda _2u`$.

Let $`W`$ satisfy (3.5); we have to check (3.7). Consider $`f(u)=\left(_0^{\mathrm{}}|\mathrm{ln}W(u\lambda )\mathrm{ln}W(\lambda )|^2\frac{d\lambda }{\lambda }\right)^{1/2}`$. The triangle inequality gives $`f(uv)f(u)+f(v)`$, since $`_0^{\mathrm{}}|\mathrm{ln}W(uv\lambda )\mathrm{ln}W(v\lambda )|^2\frac{d\lambda }{\lambda }=_0^{\mathrm{}}|\mathrm{ln}W(u\lambda )\mathrm{ln}W(\lambda )|^2\frac{d\lambda }{\lambda }`$. Also, $`f(u)<\mathrm{}`$ for almost all $`u`$ due to (3.5) and (3.9). Taking $`u`$ such that $`f(u)<\mathrm{}`$ and $`f\left(\frac{2}{u}\right)<\mathrm{}`$ we get $`f(2)<\mathrm{}`$, which is (3.7).

Let $`W`$ satisfy (3.8); we need to check (3.5), or equivalently, $`_0^{\mathrm{}}f^2(u)\frac{du}{(u1)^2}<\mathrm{}`$. We have

$$\left(_0^{\mathrm{}}\left|_1^u\frac{W^{}(\lambda x)}{W(\lambda x)}𝑑x\right|^2\lambda 𝑑\lambda \right)^{1/2}_1^u\left(_0^{\mathrm{}}\left|\frac{W^{}(\lambda x)}{W(\lambda x)}\right|^2\lambda 𝑑\lambda \right)^{1/2}𝑑x;$$

$$\left(_0^{\mathrm{}}|\mathrm{ln}W(\lambda u)\mathrm{ln}W(\lambda )|^2\frac{d\lambda }{\lambda }\right)^{1/2}\left(_1^u\frac{dx}{x}\right)\left(_0^{\mathrm{}}\left|\frac{W^{}(\lambda )}{W(\lambda )}\right|^2\lambda 𝑑\lambda \right)^{1/2};$$

$$f(u)\mathrm{const}\mathrm{ln}u$$

for all $`u[1,\mathrm{})`$; similarly, $`f(u)\mathrm{const}|\mathrm{ln}u|`$ for all $`u(0,1]`$. So, $`_0^{\mathrm{}}f^2(u)\frac{du}{(u1)^2}\mathrm{const}_0^{\mathrm{}}\left(\frac{\mathrm{ln}u}{u1}\right)^2𝑑u<\mathrm{}`$.

###### 3.10 Example.

Assume that $`W(\lambda )=|\lambda |^\alpha `$ for $`|\lambda |`$ large enough, and $`W`$ is strictly positive and smooth everywhere. Then Condition (3.5) is satisfied if and only if $`\alpha =0`$ (just the white noise).

###### 3.11 Example.

Assume that $`W(\lambda )=(\mathrm{ln}|\lambda |)^\alpha `$ for $`|\lambda |`$ large enough, and $`W`$ is strictly positive and smooth everywhere. Then Condition (3.5) is satisfied for all $`\alpha `$. Condition (3.3) is also satisfied. Thus, every such $`W`$ describes an off-white noise.

###### 3.12 Example.

Assume that $`W(\lambda )=\mathrm{exp}(\mathrm{ln}^\alpha |\lambda |)`$ for $`|\lambda |`$ large enough (here $`\alpha >0`$), and $`W`$ is strictly positive and smooth everywhere. Then Condition (3.5) is satisfied if and only if $`\alpha <1/2`$. Condition (3.3) is also satisfied. So, for $`\alpha (0,1/2)`$ every such $`W`$ describes an off-white noise.

School of Mathematics, Tel Aviv Univ., Tel Aviv 69978, Israel

tsirel@math.tau.ac.il

http://www.math.tau.ac.il/$``$tsirel/


text:
# Holographic principle and the dominant energy condition for Kasner type metrics.

## Abstract

Abstract: In this letter we study adiabatic anisotropic matter filled Bianchi type I models of the Kasner form together with the cosmological holographic bound. We find that the dominant energy condition and the holographic bound give precisely the same constraint on the scale factor parameters that appear in the metric.

PACS number(s): 98.80.Hw, 98.80.Bp

Motivated by the example of black hole entropy, recently a new set of conjectures were put forward, which are known as “the holographic principle” . According to this principle, under certain conditions all the information about a physical system is coded on its boundary, implying that the entropy of a system cannot exceed its boundary area in Plank units. In other words, the holographic principle (HP) requires that the degrees of freedom of a spatial region reside on the surface of the region and the number of degrees of freedom per unit area to be no greater than 1 per Planck area.

The main aim of the HP is to extend this conjecture to a broader class of situations. In this direction, it is believed that the HP must eventually have implications for cosmology. The first interesting specific attempt to apply the HP to homogeneous cosmological models was made by Fischler and Susskind (F-S) . They showed that, if one tries to apply this principle to any box of coordinate size $`\mathrm{\Delta }x^iR`$ in flat space, there appear several problems. If one supposes for the late universe a constant entropy density in comoving coordinates, the entropy in that box is proportional to its coordinate volume $`R^3`$, while the surface area of the box grows like $`[a(t)R]^2`$. When we take the limit $`R\mathrm{}`$, the entropy always is larger than the area and the principle is violated . Thus, they proposed to compare not the area of any region, but namely the area of a region of the size of the particle horizon $`R__H`$, which is a causally connected part of the universe, with the entropy of the matter inside this region. In other words, the cosmological formulation of the HP, due to the authors of , implies that the entropy of matter $`S`$ inside the particle horizon must be smaller than the area $`A`$ of the horizon, i.e. $`S/A<1`$. Their formulation was very successful for a wide class of flat and open universes, but it did not apply to closed universes. Nevertheless, other studies found that the HP, according to the F-S-formulation, is satisfied for a closed universe filled with two fluids, where one of them has an equation of state, $`P=\gamma \rho `$, with $`\gamma <1/3`$ , in which $`\rho `$ and $`P`$ are the energy density and the isotropic pressure respectively. This type of equation of state has been considered in the so-called “quintessence” models (QCDM) which invoke such fluids in order to explain why our universe is accelerating . Other modifications of the F-S conjecture of the HP have been raised subsequently . It is interesting to note that in  the authors proposed a HP for inhomogeneous universes.

A remarkable conclusion of the F-S conjecture is that the HP is valid for flat or open Friedmann-Robertson-Walker (FRW)cosmological models with equation of state satisfying the condition $`0P\rho `$. It is interesting to remark that this condition satisfies the Dominant Energy Condition (DEC) , which can be written as $`\rho 0`$ and $`\rho P\rho `$. The latter condition is related to the physical constraint that a sound wave cannot propagate faster than light. In this direction recently Bousso provided a broader formulation for HP. He conjectured the entropy $`S`$ crossing a certain light-like hypersurface is bounded by a two-dimensional spatial surface with area $`A`$. To protect his conjecture against pathologies such as superluminal entropy flow, Bousso required matter fields to satisfy the DEC. The author claim that his conjecture is a universal law which is valid for all type of space-times that satisfy Einstein’s equations and DEC, therefore in particular for cosmological solutions . However, Lowe  has pointed out a number of difficulties with the Bousso’s conjecture.

In this letter we analyze anisotropic universes described by a Kasner type metric for checking the Bousso’s conjecture and establishing a relation between HP and DEC. In this respect Bousso has given many examples showing that the holographic bound is satisfied for homogeneous but isotropic cosmological models, including the closed FRW universe .

At early times the presence of anisotropy is a very natural idea to explore. Even though the universe, on a large scale, seems homogeneous and isotropic at the present time, there are no observational data that guarantee the isotropy in an era prior to the recombination. In fact, it is possible to begin with an anisotropic universe which isotropizes during its evolution by the damping of this anisotropy via a mechanism of viscous dissipation. The anisotropies described above have many possible sources: they could be associated with cosmological magnetic or electric fields, long-wavelength gravitational waves, Yang-Mills fields, axion fields in low-energy string theory or topological defects such as cosmic strings or domain walls, among others (see ref.  and references therein). The HP may restrict the kind of the matter contents, which affect the geometry and evolution of the universe, in view that HP envolves the particle entropy of the universe. Then the universe itself conformed with the HP may belong to a restrict class .

In the following we consider a Bianchi type I metric of the Kasner form

$`ds^2=dt^2+t^{2p_1}dx^2+t^{2p_2}dy^2+t^{2p_3}dz^2`$ (1)
where $`p_1`$, $`p_2`$ and $`p_3`$ are three parameters that we shall require to be constants. Then expansion factors $`t^{p_1}`$, $`t^{p_2}`$ and $`t^{p_3}`$ would be determined via Einstein’s field equations. The space is anisotropic if at least two of the three $`p_i`$ ($`i=1,2,3`$) are different. The Kasner universe, in the classical sense, refers to a vacuum cosmology, for which is satisfied the constraints $`p_1+p_2+p_3=1`$, $`p_1^2+p_2^2+p_3^2=1`$ . For matter filled universes these constraints will no longer be true.

For simplicity of further calculations we introduce the symbols $`s`$ and $`q`$ defined as

$`s=p_1+p_2+p_3andq=p_1^2+p_2^2+p_3^2.`$ (2)
For a Kasner type metric we have

$`S/A=\sigma \mathrm{\Pi }_iR_{_{H,i}}/\left[\mathrm{\Pi }__jt^{p_j}t^{1p_j}\right]^{2/3},`$ (3)
where $`\sigma `$ is the entropy density in comoving coordinates, which is supposed to be a constant, and $`R_{_{H,i}}=t^{1p_i}`$ (with $`i,j=1,2,3`$) is the coordinate size of the particle horizon in direction $`i`$. The denominator in equation (3) is the proper area of the horizon. Finally we obtain that $`S/A=\sigma t^{1s}`$. We write this expression in the form

$`S/A=\sigma \left({\displaystyle \frac{t}{t_p}}\right)^{1s}.`$ (4)
Here we consider that for $`tt_p`$ the HP is valid, where $`t_p`$ is the Planck time. So if the holographic bound $`S/A1`$ was satisfied at the Planck time, later on it will be satisfied even better if

$`1s0.`$ (5)
On the other hand, we shall require the model to satisfy the dominant energy conditions specified by $`\rho P_j\rho `$  where $`\rho `$ is the energy density and $`P_j`$ (with $`j=x,y,z`$) are the effective momenta related to the corresponding coordinate axes. The DEC represents a very reasonable physical condition for any gravitational field and holds for all known forms of matter fields. This condition may be interpreted as saying that to any observer the local energy density appears non-negative and the local energy flow vector is non-spacelike.

Let us write the dominant energy condition explicitly in terms of the parameters that enter into the metric (1), i.e. $`p_1,p_2`$ and $`p_3`$. In other words, we shall consider the matter content in a general sense without any specification about the kind of matter which fills the universe.

From the metric (1) the Einstein field equations can be written in comoving coordinates as

$`{\displaystyle \frac{p_1p_2+p_1p_3+p_2p_3}{t^2}}=8\pi G\rho ,`$ (6)
$`{\displaystyle \frac{p_2^2+p_3^2p_2p_3+p_2p_3}{t^2}}=8\pi GP_x,`$ (7)
$`{\displaystyle \frac{p_1^2+p_3^2p_1p_3+p_1p_3}{t^2}}=8\pi GP_y`$ (8)
and

$`{\displaystyle \frac{p_1^2+p_2^2p_1p_2+p_1p_2}{t^2}}=8\pi GP_z.`$ (9)
Note that both $`\rho `$ and $`P_j`$ (with $`j=x,y,z`$) scale as $`t^2`$. Thus, the dominant energy conditions will give some specific relations among the constant Kasner parameters $`p_i`$.

The conditions $`P_j\rho `$, with $`j=x,y,z`$, yield three inequalities given by

$`(sp_i)(s1)0,`$ (10)
where $`i=1,2,3`$ which, after adding them, reduce to just one inequality given by

$`2s(s1)0.`$ (11)
In a similar way, from $`P_j\rho `$ we get the inequalities

$`s(1+p_i)p_iq,`$ (12)
(no sum over $`i`$). After adding them we get

$`s{\displaystyle \frac{3qs^2}{2}}.`$ (13)
It is easy to show that $`3qs^2=(p_1p_2)^2+(p_1p_3)^2+(p_2p_3)^2`$. Then $`3qs^20`$ and from expression (13) we conclude that $`s0`$. With this condition on $`s`$, we obtain from expression (11) that necessarily $`1s0`$, which is the same condition expressed by (5). Thus, for the metric (1), the holographic bound (4) is always satisfied for $`tt_p`$. In other words we have shown that, for an anisotropic Bianchi type I universe of Kasner form, the dominant energy condition gives the same requirement as that obtained from the holographic bound (5). We conclude that, for Kasner metrics, if DEC is not satisfied then HP is not satisfied at all and viceversa.

In general in cosmology the entropy is associated with the particle species present in the expanding universe. Thus for the classical vacuum Kasner space-time ($`s=q=1`$) we can not define an entropy. For universes filled with any matter content, not necessarily an ideal fluid ($`P=\gamma \rho `$ and DEC implies that $`1\gamma 1`$), one of the following conditions is satisfied: $`s1`$, $`q=1`$; $`s=1`$, $`q1`$ or $`s1`$, $`q1`$. Nevertheless, the only ideal fluid that is compatible with the anisotropic Kasner metric is the Zel’dovich fluid  which has the equation of state of stiff matter ($`\gamma =1`$) given by

$`\rho =P={\displaystyle \frac{1}{16\pi t^2}}(1q)`$ (14)
for which $`s=1`$ holds and $`q1`$. In this case $`S/A`$ is constant in time. Thus, depending on the boundary condition, the HP may be saturated by this kind of universe.

For any ideal fluid, with $`\gamma 1`$, we always obtain an isotropic flat universe . In this case all constant parameters $`p_i=p`$ ($`i=1,2,3`$). Then $`1s=13p`$ and the holographic bound is valid if $`3p1`$. It is easy to show that in this case the Einstein equations imply that $`p=2/(3(\gamma +1))`$. Then the holographic bound implies that

$`{\displaystyle \frac{2}{1+\gamma }}1.`$ (15)
This condition is always satisfied since $`1<\gamma 1`$ and the holographic bound is satisfied for all $`\gamma `$ in the range implied by the DEC. This fact generalizes the result obtained in .

For isotropic flat cosmological models the same result was obtained by Kaloper and Linde in Ref. . In this reference the authors argued that when the F-S conjecture is applied to the inflationary expansion of the universe ($`1\gamma 1/3`$ for an ideal fluid), the evolution of the universe should be considered not at $`t=t_p`$ but after reheating. This follows from the fact that the density of matter after inflation becomes negligibly small, so it must be created again in the process of reheating of the universe and this process is strongly non-adiabatic. This implies that $`\sigma `$ is no more a constant. In the case of the Kasner type metric we can not include a quantum vacuum $`\left(P=\rho =\mathrm{\Lambda }\right)`$, i.e. $`\gamma =1`$, because for this case we have an equation of state for which $`(\gamma 1)`$ and, as we mentioned above, the Kasner type metric isotropizes. However, we can consider in principle the dissipative processes in this type of metrics including a viscous fluid. In this case, for an anisotropic viscous fluid we have the energy-momentum tensor

$`T_{\alpha \beta }=[\rho +(p\xi \theta )]u_\alpha u_\beta (p\xi \theta )g_{\alpha \beta }+2\eta \sigma _{\alpha \beta },`$ (16)
where $`u_\alpha `$, $`\rho `$, $`p`$, $`\xi `$ and $`\eta `$ are the fluid’s four velocity, the energy density, the isotropic pressure, the bulk and shear coefficients of viscosity respectively. It can be shown, at early times, that the shear viscosity is much greater than the bulk viscosity, i.e. $`\eta >>\xi `$ . This means that the generation of entropy is proportional to $`\eta `$ and therefore we have non-adiabatic expansion of the universe.

For the Kasner type metric (1) it can be shown that the shear viscosity has the form

$`\eta ={\displaystyle \frac{1}{16\pi G}}(1s).`$ (17)
The second law of thermodynamics imposes that $`\eta 0`$ and then $`1s0`$ . If we contrast this condition with that obtained from HP and DEC, we conclude that only $`S=1`$ satisfies all three conditions. Then the anisotropic caracter of the metric is preserved. We could understand this as follows, either HP may not be applied to non-adiabatic processes  or the thermodynamics involved in the problem is not appropriated due to his non-causal structure . We hope to come back to this study in a near future.

In conclusion we have shown that for an anisotropic Bianchi type I universe of Kasner form the dominant energy condition gives the same requirement as that obtained from the holographic bound when the processes involved are adiabatic. Perhaps there exists in general a deep relationship between the DEC and the holographic bound, when both are applied to adiabatic flat cosmology.

The results obtained here can be applied for Kasner type metrics in any dimensional $`n+1`$ space-time.

We thank Paul Minning for carefully reading the manuscript. NC and SL acknowledge the hospitality of the Physics Department of Universidad del Bío-Bío and all authors acknowledge the hospitality of the Physics Department of Universidad de la Frontera where this work was partially done. This work was supported by COMISION NACIONAL DE CIENCIAS Y TECNOLOGIA through Grants FONDECYT N0 1010485 (MC and SdC), N0 1000305 (SdC) and N0 2990037(SL). Also MC was supported by Dirección de Promoción y Desarrollo de la Universidad del Bío-Bío, SdC was supported from UCV-DGIP (2001) and NC was supported by USACH-DICYT under Grant N0 04-0031CM.


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# Direct evidence for a multiple superconducting gap in MgB2 from high-resolution photoemission spectroscopy

## Abstract

We study the new binary intermetallic superconductor MgB2 using high-resolution photo-emission spectroscopy. The superconducting-state spectrum measured at 5.4 K shows a coherent peak with a shoulder structure, in sharp contrast to that expected from a simple isotropic-gap opening. The spectrum can be well reproduced using the weighted sum of two Dynes functions with the gap sizes of 1.7 and 5.6 meV. Temperature-dependent study shows that both gaps close at the bulk transition temperature. These results provide spectroscopic evidence for a multiple gap of MgB2.
PACS numbers: 74.70.Ad, 74.25.Jb, 79.60.Bm

MgB2 has attracted tremendous attention after the discovery of superconductivity by Akimitsu et al., because the simple intermetallic compound shows a remarkably high transition temperature (Tc) of 39 K (Ref. ). The value is actually the highest within intermetallic compounds and it is even higher than those of some cuprate high temperature superconductors, where paring driving forces other than phonon have been speculated . For MgB2, symmetry of the Cooper pairs has been confirmed to be of a spin-singlet type from nuclear magnetic resonance (NMR) studies . The boron isotope effect measurements  indicate phonon-mediated superconductivity. The next question to be address is why MgB2 shows such a high Tc; Tc lies on or beyond the estimated upper-limit of Tc for phonon-mediated superconductivity .

Band structure calculations \[7-10\] predict coexistence of 2-dimensional covalent in-plane (hole like B-2pxy or $`\sigma `$-band) and 3-dimensional metallic-type interlayer (electron like B-2pz band or $`\pi `$-band) conducting bands at the Fermi level (EF) for a peculiar feature of MgB2. For explaining its large Tc within the BCS framework \[8-10\], a strong coupling of high frequency phonons originating in the in-plane boron vibrations with the density of states at EF is a plausible scenario. However, the value of Tc can not be reproduced, if one uses obtained electron-phonon coupling constant $`\lambda `$ (= 0.65 - 1) and the commonly accepted values for Coulomb pseudopotential $`\mu ^{}`$ (Refs. \[8-11\]), suggesting need for a theory beyond ordinary BCS. On the other hand, alternative models \[12-15\] which propose pairing mechanism other than phonon have also appeared.

Since the symmetry and magnitude of a superconducting gap reflect the nature of superconductivity, many experimental studies on the superconducting gap of MgB2 have been performed. Tunneling \[16-18\] and photoemission  measurements, which directly measure superconducting electronic structures and hence the size of the gap, have reported the size of the superconducting gap ($`\mathrm{\Delta }`$) of 2 - 5.9 meV (the reduced gap value 2$`\mathrm{\Delta }`$/kBTc = 1.2 - 3.5) assuming an isotropic gap. Optical measurements roughly estimated 2$`\mathrm{\Delta }`$/kBTc = 2.6 from the energy position where normalized reflectivity changes . For the symmetry of the gap, while some studies have reported an isotropic s-wave gap \[3,4,21-23\], evidence for a deviation from an expectation of a simple isotropic s-wave gap has been increasing \[24-28\]. Though the symmetry and size of the gap seems not to be settled down completely even within the same experimental probe, these conflicts might hint on the shape of the superconducting gap. Indeed, the results from specific heat  and microwave surface resistance  measurements have been discussed in the light of a multiple gap.

In this letter, we report high-resolution photoemission results on high density MgB2 samples. The spectrum measured at 5.4 K reveals a characteristic spectral shape which can not be explained by a simple isotropic gap opening. From fittings to the temperature dependence of the gaps, we find the spectral shape is well described with two Dynes functions with different gap values and both of the gaps close at the bulk transition temperature. This gives rise to a reduced-gap value of 1.08 for smaller gap and that of 3.56 for larger one. These results provide direct evidence that the superconducting gap of MgB2 is not a simple isotropic one, but is rather a multiple gap.

High-density MgB2 samples were prepared with a high-pressure synthesis, details of which are described elsewhere . Magnetization measurements show a superconducting transition with an onset and a midpoint at 38.0 and 36.5 K, respectively. Photoemission measurements were performed on a spectrometer built using a GAMMADATA-SCIENTA SES2002 electron analyzer and high-flux discharging lamp with a toroidal grating monochromator. The total energy resolution (analyzer and light) used the He I$`\alpha `$ (21.212eV) resonance line was set to 3.8 meV. The sample temperatures were measured using a silicon-diode sensor mounted just close to it. The base pressure of the spectrometer was better than 5 x 10-11 Torr. Samples were fractured in-situ to obtain clean surfaces and no spectral changes were observed within the measurements. Fermi energy of samples was referenced to that of a gold film evaporated onto the sample substrate and its accuracy is estimated to be better than 0.2 meV.

Figure 1 shows photoemission spectra of MgB2 measured at 5.4 K (superconducting state, opened circles connected with a line) and 45 K (normal state, open squares connected with a line) with He I$`\alpha `$ resonance line. In contrast to the normal-state spectrum having a Fermi-edge like structure, the superconducting-state spectrum shows a clear peak around 7 meV. To see the superconducting-state spectrum more in detail, we expanded the same spectrum at 5.4 K near EF, as shown in the inset of Fig. 1. We observe an intensity maximum at $``$ 7 meV and a shift of the leading edge, indicative of the opening of a superconducting gap. More importantly, we find a shoulder structure at 3.5 meV as indicated with an arrow. These structures were not clearly observed in the recent photoemission study  most probably due to difference in experimental procedures (energy resolution, measured temperature, procedure of getting clean surface) and/or quality of the sample. The observed anomalous leading edge spectral shape is in sharp contrast to those of elemental metals, Pb and Nb, where resolution-limited leading edges are observed . These results suggest a deviation from a simple isotropic s-wave gap.

In order to get further insight into the shape of the superconducting gap, we analyzed the experimental spectrum with the Dynes function  multiplied by the Fermi-Dirac function of 5.4 K and convolved with a Gaussian having a full width at half maximum (FWHM) of the known instrumental resolution. The Dynes function is a modified BCS function in the form of D(E, $`\mathrm{\Delta }`$, $`\mathrm{\Gamma }`$) = Re {(E - i$`\mathrm{\Gamma }`$)/\[(E - i$`\mathrm{\Gamma }`$)2-$`\mathrm{\Delta }^2`$\]1/2}, where E is the energy and $`\mathrm{\Gamma }`$ is the thermal broadening parameter . Figure 2(a) is an example of fitting results with $`\mathrm{\Delta }`$ = 3.4 meV and $`\mathrm{\Gamma }`$ = 1.5 meV (solid line) together with the experimental data (open circles), where one can see the leading edge part is not reproduced well. We actually found that both of the peak and shoulder structures were not fit at the same time using any sets of parameters. Supposing that the shoulder structure comes from another gap, we try to fit using the weighted sum (DL+S) of two Dynes functions for a larger gap (DL) and a smaller one (DS), DL+S = (1/(1+R))DL(E, $`\mathrm{\Delta }_L`$, $`\mathrm{\Gamma }`$)+ (R/(1+R))DS(E, $`\mathrm{\Delta }_S`$, $`\mathrm{\Gamma }`$), where R is an amplitude ratio of the smaller gap to the larger one. Here, we used the same value of $`\mathrm{\Gamma }`$ for the two Dynes functions for simplicity. In Fig. 2(b), we show a result of fittings (DL+S, solid line), together with Dynes functions for the larger gap ($`\mathrm{\Delta }_L`$ = 5.6 meV, broken line) and the smaller gap ($`\mathrm{\Delta }_S`$ = 1.7 meV, dotted line) with $`\mathrm{\Gamma }`$ = 0.10 meV and R = 5.2. It is evident that DL+S reproduces the experimental result for both of the peak and shoulder structures significantly. We note the magnitude ratio of the two gaps at 5.4 K, $`\mathrm{\Delta }_L`$/$`\mathrm{\Delta }_S`$, is $``$ 3.3. These analyses show that the superconducting gap of MgB2 is not a simple isotropic one, but rather contains two dominant components. This is cosistent to the transport \[24-28\] and most recent optical  measurements, which indicate the inconsistency with an ordinary s-wave gap and some of which suggest a multicomponent gap.

To see how the two gaps behave as a function of temperature, we analyzed temperature-dependent spectra with DL+S assuming that R is temperature independent. Figure 3 shows obtained temperature-dependent gap values, where open and filled circles show the sizes of the larger and smaller gaps, respectively. Theoretical temperature dependence of gaps with $`\mathrm{\Delta }`$(0) = 1.7 and 5.6 meV are also shown with broken and dotted lines, respectively . We find, while the temperature dependence of the smaller gap follows the BCS prediction, that of the larger gap decreases faster than the prediction. We do not know the reason for the deviation so far, but the result is similar to that obtained from MgB2/Ag and MgB2/In junctions . More importantly, both of the two gaps close at nearly the midpoint of Tc (36.5 K) obtained from the magnetization measurements. From these results, we obtain the reduced gap size 2$`\mathrm{\Delta }`$(5.4 K)/kBTc of 3.56 for the larger gap, which is nearly consistent to the mean field value of 3.52, and that of 1.08 for the smaller gap. The value of the smaller gap agrees well with that from the tunneling measurements by Rubio-Bollinger , while the values from the other tunneling , photoemission , and optical measurements  lie between the obtained values of smaller and lager gaps.

Currently, there are active discussions on the mechanism of the superconductivity of MgB2, as briefly discussed above. Within the weak or strong coupling BCS models, it seems necessary to think of a multiple gap  in order to explain the high value of Tc using reasonable $`\lambda `$ and $`\mu ^{}`$ as well as experimentally observed physical properties \[24-28\]. Liu et al.  calculated a temperature dependence of two gaps in the weak-coupling multiple-gap model, showing that the larger and smaller gaps close at the same temperature and the magnitude ratio of larger one to smaller one is approximately three. These predictions can describe the present results very well. Present results are also consistent to the alternative models proposing exisotic mechanism to explain large Tc (Refs. ), as long as they predict a multicomponent gap. Further detailed studies to show calculated density of states are desired so as to be compared with the present study. We do not attempt to assign whether the experimentally observed larger and smaller gaps relate to the bands with what kind of character, $`\sigma `$ band or $`\pi `$ band, since there is a conflict on the assignment between models. Most recently, using a weak-coupling anisotropic s-wave model, Haas and Maki  determined the shape of the quasiparticle density of states having a cusp at a maximum gap value and an onset of spectral weight at the minimum gap value, reminiscent of the present spectrum at 5.4 K having the peak and shoulder structures. Chen et al.  accounted for their tunneling spectra using an anisotropic s-wave model. It is hard, for the present study alone, to distinguish a multiple gap originating in the Fermi surfaces with different character from a gap anisotropy within each Fermi surface. To directly study the multicomponent gap and/or the anisotropy in relation to the bands, angle-resolved photoemission using single crystals are necessary and urgent.

In conclusion, we report on high-resolution photoemission results on the superconducting gap of a new binary intermetallic superconductor, MgB2. The superconducting-state spectrum measured at 5.4 K shows a coherent peak with a shoulder structure, in sharp contrast to that expected from a simple isotropic-gap opening. We find that a simulation using two Dynes functions with the gap sizes of 1.7 and 5.6 meV reproduces the superconducting-state spectrum better than that using a single Dynes function. We also find that the smaller gap as well as the larger gap closes at the bulk transition temperature. These results are consistent to transport measurements, and thus indicate the superconducting gap of MgB2 is a multiple gap.

We thank Professors M. Imada and K. Yamaji for useful discussions. This work was supported by grants from the Ministry of Education, Culture and Science of Japan.


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# Anomalous strength of membranes with elastic ridges

## I Introduction and Theory

When the boundaries of an elastic sheet are sufficiently distorted, singular deformations in the sheet often occur Pomeau ; maha ; boudaoud ; Alex ; our.stuff ; science.paper . These singularities are immediately apparent when one crumples a sheet of paper between the hands. Analogous singularities occur whenever the sheet is forced to have points of high curvature Alex ; our.stuff ; science.paper . One can readily form such a “puckered” sheet by fastening the edges of that sheet to form disclinations as shown in the cube of Fig. 1. Recently it has been recognized that such structures typically have their energy concentrated into so-called stretching ridges, in which strain and curvature energies are in balance Alex ; our.stuff ; science.paper . The ridge increases the stored elastic energy in the structure dramatically relative to that of a uniformly curved sheet occupying the same region. This enhancement of energy grows as a power of the linear size of the structures relative to the thickness of the sheet.

The large energy content of these structures suggests that they should be strong. They should resist deformation and buckling under external loads qualitatively better than nonsingular structures. In this note we demonstrate this strength by showing that the scaling laws governing the ridge energy also predict its response to loads and its buckling threshold.

We simulate the compression of an elastic cubic shell by the application of external, inward-pointing forces at its vertices. The cube is formed from a flat sheet as shown in Fig. 1. With this connectivity the sheet naturally forms stretching ridges along the edges of the cube. We push on the vertices of the cube until the ridges buckle into several smaller ridges. By rescaling the compressed configuration with the same thickness scaling laws as those appropriate for the resting configuration, we demonstrate that the response of the ridge to this kind of forcing is completely described by the $`1/3`$ power ridge scaling solution determined in Alex . We also demonstrate that the onset of the buckling instability follows this scaling as well.

Ridge scaling comes about as a way to balance bending and stretching energy costs. It has been shown Alex  that the important dimesionless parameter governing the elastic energy of a single ridge of length $`X`$ and material thickness $`h`$ is the aspect ratio

$$\lambda =\frac{\sqrt{\kappa /Y}}{X}=\frac{1}{\sqrt{12\left(1\nu ^2\right)}}\left(\frac{h}{X}\right),$$
(1)
where $`Y`$ is the $`2`$-dimensional Young’s modulus of the material, $`\kappa `$ is an effective bending modulus, and $`\nu `$ is its Poisson ratio. If all lengths are expressed in units of $`X`$ and all energies in units of $`\kappa `$, the equilibrium configurations of a thin sheet are completely described by a dimensionless form of the von Kármán equations,

$$^4f=[\chi ,f]+P,\lambda ^2^4\chi =\frac{1}{2}[f,f],$$
(2)
where all derivatives are taken with respect to the dimensionless variables $`x/X`$ and $`y/X`$. Here the bracket product represents

$$[a,b]=ϵ_{\alpha \mu }ϵ_{\beta \nu }\left(_\alpha _\beta a\right)\left(_\mu _\nu b\right),$$
(3)
$`P`$ is an arbitrary external pressure field acting normal to the surface (in units of $`\kappa X^3`$), and the potential fields are related to the curvature $`C_{\alpha \beta }`$ and stress $`\sigma _{\alpha \beta }`$ by

$$C_{\alpha \beta }=X^1_\alpha _\beta f$$
(4)
$$\sigma _{\alpha \beta }=\kappa X^2ϵ_{\alpha \mu }ϵ_{\beta \nu }_\mu _\nu \chi .$$
(5)
This form of $`\sigma _{\alpha \beta }`$ automatically satisfies the equilibrium condition $`_\alpha \sigma _{\alpha \beta }=0`$.

Since $`\lambda `$ comes into the von Kármán equations multiplying the stess source term, the possible configurations of a thin elastic sheet are well described by a stress free, $`\lambda =0`$ folding solution plus boundary layers at the fold lines. Lobkovsky’s insight in Alex  was to try a scaling solution for the boundary layer of a single ridge which matched the $`f`$ scaling of the outer, sharp fold solution. For a fold of dihedral angle $`\alpha `$ across the line $`y=0`$, $`f=\alpha \left|y/X\right|`$. Accordingly, on the boundary layer $`f`$ should scale with the same power of $`\lambda `$ as the dimensionless transverse coordinate $`y/X`$. Substituting a scaling form into the dimensionless von Kármán equations with $`P=0`$ and equating the highest order terms yields scaling of the form

$$f=\lambda ^{1/3}\stackrel{~}{f},\chi =\lambda ^{2/3}\stackrel{~}{\chi },y=\lambda ^{1/3}X\stackrel{~}{y},x=X\stackrel{~}{x},$$
(6)
where the tildes denote dimensionless, scale free coordinates and functions. This translates to $`\lambda ^{1/3}`$ scaling of the boundary layer width, $`\lambda ^{1/3}`$ scaling of the transverse ridge curvature, and $`\lambda ^{2/3}`$ scaling of the strain along the ridge length.

External forcing applied to the sheet enters the von Kármán equations via the term $`P`$ and via boundary conditions at the sheet’s edges. In this research we consider an external potential which essentially applies point forces to either end of a ridge. Since the spatial extent of the applied force is a delta function we do not expect it to destroy the spatial scaling of the ridge solution. Therefore we may reasonably expect to find that the equilibrium configuration of a ridge under a given compressive force is identical to rescaled configurations of ridges with different material thickness and properly rescaled external force magnitudes.

To calculate the proper rescaling of the forces on the vertices for a similarity solution, we consider our forcing as a boundary condition consisting mainly of an in-plane point force. This force amounts to a point stress at the edge of the sheet with the form

$$\sigma _{xx}^{(o)}=F_o\delta (y).$$
(7)
So, to find similar scaled configurations of the sheet, we must scale $`\sigma _{xx}^{(o)}`$ the same way $`\sigma _{xx}`$ scales on the ridge. Since $`\gamma _{xx}`$ scales as $`\lambda ^{2/3}`$, and

$$\sigma _{xx}Y\gamma _{xx}=\kappa (\lambda X)^2\gamma _{xx},$$

then $`\sigma _{xx}\kappa \lambda ^{4/3}X^2\stackrel{~}{\gamma }_{xx}`$, where $`\stackrel{~}{\gamma }_{xx}`$ is a dimensionless, scale free function. To express $`\sigma _{xx}^{(o)}`$ in similar fashion, we substitute the scale free $`y`$-variable $`\stackrel{~}{y}=\lambda ^{1/3}y/X`$, so that $`\delta (y)=\lambda ^{1/3}X^1\delta (\stackrel{~}{y})`$. Thus, the proper scale free force can be written in terms of $`F_o`$ as

$$F_o=\frac{\kappa \lambda ^1}{X}\stackrel{~}{F}_o.$$
(8)
For reasons which will become clear in the next section, we cannot measure the force we apply to our ridge with very good accuracy. However, we can measure the inward displacement $`\mathrm{\Delta }`$ of the ridge ends caused by this forcing. These two quantities may be related by assuming that the work done by equivalent rescaled forces, given approximately by $`F_o\mathrm{\Delta }`$, scales the same as the total energy of the resting ridge configuration. The total energy of a resting ridge scales as $`\kappa \lambda ^{1/3}`$, so equivalent values of $`F_o\mathrm{\Delta }/\kappa `$ will scale as $`\lambda ^{1/3}`$. Given the scaling of $`\stackrel{~}{F}_o`$ from Eq.8, the scale free $`\stackrel{~}{\mathrm{\Delta }}`$ must be related to the actual displacement by

$$\mathrm{\Delta }=\lambda ^{2/3}X\stackrel{~}{\mathrm{\Delta }}.$$
(9)
## II Numerics

To test these scaling predictions we simulate a flat elastic sheet joined to form a cube as shown in Fig. 1. The sheet is a triangular grid with variable grid spacing. Strains and curvature are taken to be constant across the face of each triangle, with curvature calculated relative to the local normal at each triangle. Bending and stretching energies were assigned to the curvature and strains on each triangle using the forms for elastic energy presented in Seung.Nelson  for a sheet of elastic thickness $`h`$ and Poisson ratio $`1/3`$. The gridding was chosen to have smooth gradients in triangle density over most of the surface while concentrating the lattice spacing at the vertices by a factor of $`10^3`$ and across the ridge-line by a factor of $`10^2`$ compared to the flat regions far from the ridge. The concentrations factors were chosen arbitrarily, within the limits of the mapping, to make the gridding near the vertices as fine as possible.

Pushing on the tips of the cube is accomplished by introducing repulsive potentials of the form $`V(r)=C_p/\left|\stackrel{}{r}\stackrel{}{x}_p\right|^2`$ centered around points $`\stackrel{}{x}_p`$ which lie just outside the vertices of the cube. To prevent rotation, the vertices are explicitly constrained to lie on radial lines that pass through the center of the cube and the points $`(\pm 1,\pm 1,\pm 1)`$ which define the vertices of a perfect cube. The center points of the pushing potentials are located on these radial lines, at the point where the vertex would lie if the sheet were sharply folded at the ridges – relaxation of the ridge curvature draws the vertices inward from these points for an unforced resting ridge. This potential concentrates the forces at the corners without creating lattice-scale numerical instabilities. $`C_p`$ was varied to apply different loading.

An inverse gradient routine conj\_grad  was used to minimize the total elastic and potential energy of the sheet as a function of the coordinates of all the lattice points for given parameters $`\kappa `$,$`Y`$ and $`C_p`$.

To save computational time, energy was computed and minimized on only one ridge-line (the diamond shaped region highlighted in Fig. 1). The positions of points on the rest of the cube were calculated by reflection across symmetry planes. This constraint explicitly required that the edges of the simulated region be confined to the symmetry reflection planes. Thus many forms of deformation that break the symmetry of the resting state are not possible in the simulation. However, the minimization may break the left-right symmetry of the diamond-shaped region, and we found that it does so to a slight degree. The assymmetry shows up in our reconstruction as a slight mismatch in other faces of the cube, as noted in Fig. 1. We do not believe these mismatches are important for the scaling phenomena we report.

We found minimum energy configurations for ridges of aspect ratio $`\lambda `$ ranging from $`1.25\times 10^3`$ to $`1.77\times 10^5`$. The upper bound on $`\lambda `$ was determined by the range of validity of the ridge scaling solution – above this value the width of the ridge becomes comparable to that the sheet. At the other extreme, for $`\lambda <10^5`$ the radius of curvature at the ridge line becomes comparable to the spacing of our lattice and the simulation ceases to be accurate. For each value of $`\lambda `$ we first found the minimum energy configuration with no applied forces. This configuration was then used as the initial condition to find minimum total energy configurations for the ridge in the presence of the tip-pushing potential described in the numerics section. We made the tip-forcing progressively stronger by increasing the potential coefficient $`C_p`$ in constant steps, each time evolving the grid to an energy minimizing configuration. The forcing was increased until the ridge buckled. Buckling of the ridge was marked by the appearance of new points of sharp curvature along the ridge as well as a sudden decrease in the total elastic energy $`E_S+E_B`$ of the sheet. Thus the unbuckled sheet is metastable. We made no attempt to scale the size of the potential step with the thickness of the sheet, so while it took nearly $`30`$ steps to buckle the ridge in thicker sheets, it only took $`6`$ or $`8`$ steps for the thinnest sheets.

## III Findings

The plot in Fig. 2 shows scaling of the total elastic energy in the cube versus $`\lambda `$ for ridges at rest ($`C_p=0`$) and at the buckling threshold. Scaling of the total elastic energy for the resting configuration is consistent with a $`\kappa \lambda ^{1/3}`$ dependence, in agreement with prior theory and simulation science.paper ; Alex . Fig. 2 also shows that the elastic energy measured at the buckling threshhold exhibits exactly the same scaling as on resting ridges. This suggests that the response of the cube to our tip-forcing is completely determined by the ridge, and that the particular form of our forcing potential does not destroy the length scaling of the ridge. The inset in Fig. 2 shows that that the energy correction at the buckling threshold is nearly a constant fraction of the total ridge elastic energy.

Scaling of the force response is verified by the demonstration presented in Fig. 3 of a similarity solution for ridge shape. Plot (a) in this figure shows values of $`C_{yy}`$, along a line in the material coordinates which bisects the simulated ridge line, for several different sheet thicknesses and two different values of rescaled ridge tip displacement $`\mathrm{\Delta }`$. We tested values of $`\mathrm{\Delta }`$ which spanned the ridge response from zero forcing to the point of buckling. The magnitude of $`C_{yy}`$ was rescaled by $`\left(\lambda /\lambda _1\right)^{1/3}`$ and the $`y`$ coordinate was rescaled by $`\left(\lambda /\lambda _1\right)^{1/3}`$. We found that the rescaled $`C_{yy}`$ profiles mapped onto each other best if the values of $`\mathrm{\Delta }`$ used for each sheet thickness were determine by rescaling $`\mathrm{\Delta }_1`$, the value used for the thickest sheet, by $`\left(\lambda /\lambda _1\right)^{0.67}`$, where $`\lambda _1`$ is the aspect ratio of the thickest sheet. For comparison, the unscaled $`C_{yy}`$ versus $`y`$ for a particular rescaled $`\mathrm{\Delta }`$ is shown in Fig. 3(b). The rescaling exponents used for $`C_{yy}`$ and $`y`$ were taken from the ridge scaling solution. The $`\mathrm{\Delta }`$ rescaling exponent is very close to the theoretical value of $`2/3`$ derived above.

We have demonstrated scaling of the ridge response to a typical form of external forcing. Since the buckling threshold of the ridge under external forcing is determined by the energy scaling of the resting ridge solution, the relatively high elastic energy content of very thin ridges translates directly into increased ridge strength. We are actively pursuing a better understanding of the buckling properties of this distinctive elastic structure.

###### Acknowledgements.

This work was supported in part by the National Science Foundation under Award number DMR-9975533.