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# QCD Studies at the High-energy Linear 𝑒⁺𝑒⁻ Collider

## I Introduction

Strong-interaction measurements at the Linear Collider (LC) will form an important component of the physics programme. The collider offers the possibility of testing QCD at high energy scales in the experimentally clean, theoretically tractable $`e^+e^{}`$ environment. In addition, virtual $`\gamma \gamma `$ interactions will be delivered free by Nature, and a dedicated $`\gamma \gamma `$ collider is an additional option, allowing detailed measurements of the relatively poorly understood photon structure. The benchmark physics main topics are:

* Precise determination of the strong coupling $`\alpha _s`$.
* Measurement of the $`Q^2`$ evolution of $`\alpha _s`$ and constraints on the GUT scale.
* Measurement of the total $`\gamma \gamma `$ cross section and the photon structure function; these issues are discussed elsewhere albert .

## II Precise Determination of $`\alpha _s`$

The current precision of individual $`\alpha _s`$ measurements is limited at best to several per cent alphasrev . Since the uncertainty on $`\alpha _s`$ translates directly into an uncertainty on perturbative QCD (pQCD) predictions, especially for high-order multijet processes, it would be desirable to achieve much better precision. In addition, since the weak and electromagnetic couplings are known with much greater relative precision, the error on $`\alpha _s`$ represents the dominant uncertainty on our ‘prediction’ of the scale for grand unification of the strong, weak and electromagnetic forces gut .

Here we will refer to the conventional yardstick of $`\alpha _s`$ quoted at the $`Z^0`$ mass scale, $`\alpha _s(M_Z)`$, unless explicitly stated otherwise. Several techniques for $`\alpha _s(M_Z)`$ determination will be available at the LC:

### II.1 Event Shape Observables

The determination of $`\alpha _s(M_Z)`$ from event ‘shape’ observables that are sensitive to the 3-jet nature of the particle flow has been pursued for 2 decades and is generally well understood philalp . In this method one usually forms a differential distribution, makes corrections for detector and hadronisation effects, and fits a pQCD prediction to the data, allowing $`\alpha _s(M_Z)`$ to vary. Examples of such observables are the thrust, jet masses and jet rates.

The latest generation of such $`\alpha _s(M_Z)`$ measurements, from SLC and LEP, has shown that statistical errors below the 1% level can be obtained with samples of a few tens of thousands of hadronic events. With the current LC design luminosities of a few $`\times `$ $`10^{34}`$/cm2/s at 500, 800 or 1000 GeV, hundreds of thousands of e+e- $``$ $`q\overline{q}`$ events would be produced each year, and a statistical error on $`\alpha _s(M_Z)`$ below the 0.5% level could be achieved.

Detector systematic errors, which relate mainly to uncertainties on the corrections made for acceptance and resolution effects and are observable-dependent, are under control in today’s detectors at the $`\mathrm{\Delta }\alpha _s(M_Z)`$ = 1-4% level otmar . If the LC detector is designed to be very hermetic, with good tracking resolution and efficiency, as well as good calorimetric jet energy resolution, all of which are required for the search for new physics processes, it seems reasonable to expect that the detector-related uncertainties can be beaten down to the $`\mathrm{\Delta }\alpha _s(M_Z)`$ $``$ 1% level or better.

e+e- $``$ $`Z^0Z^0`$, $`W^+W^{}`$, or $`t\overline{t}`$ events will present significant backgrounds to $`q\overline{q}`$ events for QCD studies, and the selection of a highly pure $`q\overline{q}`$ event sample will not be quite as straightforward as at the $`Z^0`$ resonance. The application of kinematic cuts would cause a significant bias to the event-shape distributions, necessitating compensating corrections at the level of 25% bias . More recent studies have shown schumm  that the majority of $`W^+W^{}`$ events can be excluded without bias by using only events produced with right-handed electron beams for the $`\alpha _s(M_Z)`$ analysis. Furthermore, the application of highly-efficient $`b`$-jet tagging can be used to reduce the $`t\overline{t}`$ contamination to the 1% level. After statistical subtraction of the remaining backgrounds (the $`Z^0Z^0`$ and $`W^+W^{}`$ event properties have been measured accurately at SLC and LEPI/II), the residual bias on the event-shape distributions is expected to be under control at the better than 1% level on $`\alpha _s(M_Z)`$.

Additional corrections must be made for the effects of the smearing of the particle momentum flow caused by hadronisation. These are traditionally evaluated using Monte Carlo models. The models have been well tuned at SLC and LEP and are widely used for evaluating systematic effects. The size of the correction factor, and hence the uncertainty, is observable dependent, but the ‘best’ observables measured at the $`Z^0`$ have uncertainties as low as $`\mathrm{\Delta }\alpha _s(M_Z)`$ $``$ 1%. Furthermore, one expects the size of these hadronisation effects to diminish with c.m. energy at least as fast as 1/$`Q`$. Hence 10%-level corrections at the $`Z^0`$ should dwindle to 1%-level corrections at $`Q`$ $``$ 500 GeV, and the associated uncertainties will be substantially below the 1% level on $`\alpha _s(M_Z)`$. This has been confirmed by explicit simulations using PYTHIA otmar .

Currently pQCD calculations of event shapes are available complete only up to $`O(\alpha _s^2)`$, although resummed calculations are available for some observables resum . One must therefore estimate the possible bias inherent in measuring $`\alpha _s(M_Z)`$ using the truncated QCD series. Though not universally accepted, it is customary to estimate this from the dependence of the fitted value on the QCD renormalisation scale, yielding a large and dominant uncertainty of about $`\mathrm{\Delta }\alpha _s(M_Z)`$ $``$ $`\pm `$6% philalp . Since the missing terms are $`O(\alpha _s^3)`$, and since $`\alpha _s`$(500 GeV) is expected to be about 25% smaller than $`\alpha _s(M_Z)`$, one expects the uncalculated contributions to be almost a factor of two smaller at the higher energy. However, translating to the yardstick $`\alpha _s(M_Z)`$ yields an uncertainty of $`\pm `$5%, only slightly smaller than currently. Therefore, although a 1%-level measurement is possible experimentally, it will not be realised unless $`O(\alpha _s^3)`$ contributions are calculated. There is reasonable expectation that this will be achieved within the next 5 years zvi .

### II.2 The $`t\overline{t}(g)`$ System

The dependence of the e+e- $``$ $`t\overline{t}`$ production cross section, $`\sigma _{t\overline{t}}`$, on the top-quark mass, $`m_t`$, and on $`\alpha _s(M_Z)`$ are discussed elsewhere tdr . In order to optimise the precision on the $`m_t`$ measurement near threshold it is desirable to input a precise $`\alpha _s(M_Z)`$ measurement from elsewhere. Furthermore, the current theoretical uncertainty on $`\sigma _{t\overline{t}}`$ translates into $`\mathrm{\Delta }\alpha _s(M_Z)`$ = $`\pm 10\%`$. Hence, although extraction of $`\alpha _s(M_Z)`$ from $`\sigma _{t\overline{t}}`$ near threshold may provide a useful ‘sanity check’ of QCD in the $`t\overline{t}`$ system, it does not appear currently to offer the prospect of a competitive measurement. A preliminary study has also been made werner  of the determination of $`\alpha _s(M_Z)`$ from $`R_t`$ $``$ $`\sigma _{t\overline{t}}/\sigma _{\mu ^+\mu ^{}}`$ above threshold. For $`Q`$ $``$ 500 GeV the uncertainty on $`R_t`$ due to $`m_t`$ is around 0.5%. The limiting precision on $`R_t`$ will be given by the uncertainty on the luminosity measurement. If this is as good as 0.5% tdr  then $`\alpha _s(M_Z)`$ could be determined with an experimental precision approaching 1%, which would be extremely valuable as a complementary precision measurement from the $`t\overline{t}`$ system.

### II.3 A High-luminosity Run at the $`Z^0`$ Resonance

A Giga $`Z^0`$ sample offers two additional options for $`\alpha _s(M_Z)`$ determination via measurements of the inclusive ratios $`\mathrm{\Gamma }_Z^{had}/\mathrm{\Gamma }_Z^{lept}`$ and $`\mathrm{\Gamma }_\tau ^{had}/\mathrm{\Gamma }_\tau ^{lept}`$. Both are indirectly proportional to $`\alpha _s`$, and hence require a very large event sample for a precise measurement. For example, the current LEP data sample of 16M $`Z^0`$ yields an error of 2.5% on $`\alpha _s(M_Z)`$ from $`\mathrm{\Gamma }_Z^{had}/\mathrm{\Gamma }_Z^{lept}`$. The statistical error could, naively, be pushed to below the $`\mathrm{\Delta }\alpha _s(M_Z)`$ = 0.4% level, but systematic errors arising from the hadronic and leptonic event selection will probably limit the precision to 0.8% tdr . This would be a very precise, reliable measurement. In the case of $`\mathrm{\Gamma }_\tau ^{had}/\mathrm{\Gamma }_\tau ^{lept}`$ the experimental precision from LEP and CLEO is already at the 1% level on $`\alpha _s(M_Z)`$. However, there has been considerable debate about the size of the theoretical uncertainties, with estimates as large as 5% tau . If this situation is clarified, and the theoretical uncertainty is small, $`\mathrm{\Gamma }_\tau ^{had}/\mathrm{\Gamma }_\tau ^{lept}`$ may offer a further 1%-level $`\alpha _s(M_Z)`$ measurement.

## III $`Q^2`$ Evolution of $`\alpha _s`$

In the preceeding sections we discussed the expected attainable precision on the yardstick $`\alpha _s(M_Z)`$. Translation of the measurements of $`\alpha _s`$($`Q`$) ($`QM_Z`$) to $`\alpha _s(M_Z)`$ requires the assumption that the ‘running’ of the coupling is determined by the QCD $`\beta `$ function. However, since the logarithmic decrease of $`\alpha _s`$ with $`Q`$ is an essential component of QCD, reflecting the underlying non-Abelian dynamics, it is vital also to test this $`Q`$-dependence explicitly. Such a test would be particularly interesting if new coloured particles were discovered, since deviations from QCD running would be expected at energies above the threshold for pair-production of the new particles. Furthermore, extrapolation of $`\alpha _s`$ to very high energies of the order of $`10^{15}`$ GeV can be combined with corresponding extrapolations of the dimensionless weak and electromagnetic couplings in order to constrain the coupling-unification, or GUT, scale gut . Hence it would be desirable to measure $`\alpha _s`$ in the same detector, with the same technique, and by applying the same treatment to the data at a series of different energies $`Q`$, so as to maximise the lever-arm for constraining the running.

Simulated measurements of $`\alpha _s`$($`Q`$) at $`Q`$ = 91, 500 and 800 GeV are shown in Fig. 1, together with existing measurements which span the range $`20Q200`$ GeV. The highest-energy measurements are currently provided by LEPII. The point at $`Q`$ = 91 GeV is based on the $`\mathrm{\Gamma }_Z^{had}/\mathrm{\Gamma }_Z^{lept}`$ technique, and those at 500 and 800 GeV are based on the event shapes technique. The last two include the current theoretical uncertainty, which yields a total error on each point equivalent to $`\mathrm{\Delta }\alpha _s(M_Z)`$ = 4%. It is clear that the LC data would add significantly to the lever-arm in $`Q`$, and would allow a substantially improved extrapolation to the GUT scale.

## IV Further Important Topics

Limited space allows only a brief mention of several other important topics previous :

* Hard gluon radiation in $`t\overline{t}`$ events would allow several tests of the strong dynamics of the top quark arnd : test of the flavour-independence of strong interactions; limits on anomalous chromo-electric and/or chromo-magnetic dipole moments rizzo ; determination of the running $`m_t`$.
* Soft gluon radiation in $`t\overline{t}`$ events is expected to be strongly regulated by the large mass and width of the top quark. Precise measurements of gluon radiation patterns in $`t\overline{t}g`$ events would provide additional constraints on the top decay width lynne .
* Polarised electron (and positron) beams can be exploited to test symmetries using multi-jet final states. For polarized $`e^+e^{}`$ annihilation to three hadronic jets one can define $`𝐒_e(𝐤_1\times 𝐤_2)`$, which correlates the electron-beam polarization vector $`𝐒_e`$ with the normal to the three-jet plane defined by $`𝐤_1`$ and $`𝐤_2`$, the momenta of the two quark jets. If the jets are ordered by momentum (flavour) the triple-product is CP even (odd) and T odd. Standard Model T-odd contributions of this form are expected lance  to be immeasurably small, and limits have been set for the $`b\overline{b}g`$ system sldtodd . At the LC these observables will provide an additional search-ground for anomalous effects in the $`t\overline{t}g`$ system.
* The difference between the particle multiplicity in heavy- ($`b,c`$) and light-quark events is predicted doksh  to be independent of c.m. energy. Precise measurements have been made at the $`Z^0`$, but measurements at other energies are statistically limited in precision, rendering a limited test of this important prediction. High-precision measurements at the LC would add the lever-arm for a powerful test.
* Colour reconnection and Bose-Einstein correlations are important to study precisely since they may affect the precision with which the masses of heavy particles, such as the $`W^\pm `$ and top-quark, can be reconstructed kinematically via their multijet decays torbj .
* Hadronisation studies and renormalon physics can be explored via measurements of event-shape observables over a range of $`Q`$ values.

## V Summary

There is a rich programme of QCD studies at the Linear Collider. Precision measurements of the strong coupling and of the strong dynamics of the $`t\overline{t}`$ system will complement inclusive measurements that will be made at the LHC.


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# Patterns in hydraulic ripples with binary granular mixtures

## 1 Introduction

The ripple formation on a sand bed eroded by a fluid, such as air or water, is one of the most famous phenomena of pattern formation . Indeed, coastal areas as well as desert landscapes are covered by those structures. In spite of their familiar aspect, the involved physical mechanisms are related to complex dynamical processes of granular transport as described by Bagnold .

Recently, sand ripples created by water shear flows have received much attention . Previous experiments have been performed in rectangular  or annular  channels filled with water and sand. If the fluid motion is oscillatory, the created ripples are symmetric (both ripple faces have the same length). On the contrary, the ripples created under a non-oscillating fluid motion are generally asymmetric . Indeed, the upstream face (stoss slope) is generally larger than the downstream face (lee slope). In coastal areas, ripples are generally asymmetric.

Moreover, one should note that natural sand beds are composed of different granular species. Broad granulometric distributions are indeed observed. As a consequence, one can observe phase segregation and stratigraphy .

In the present paper, we report an experimental study of a binary granular mixture submitted to a non-oscillating water shear flow. Patterns, similar to natural ones, are observed and discussed. In the next Section, the experimental setup is presented. The mechanisms of ripple formation are briefly discussed in Section 3. Phase segregation and sedimentary structures are observed and discussed in Section 4 and Section 5 respectively. Finally, a summary of our findings is given in Section 6.

## 2 Experimental setup

Our experimental setup is illustrated in Figure 1 and consists in a horizontal circular plate connected by a belt to an engine. The rotation speed can be adjusted from 8 rpm to 100 rpm. A cylindrical container (14 cm diameter) is filled with water (400 ml) and sand (220 ml). The container is placed in the center of the plate and put into rotation. When the rotation is brutally stopped, the sand bed is dragged by the water which continues its inertial circular motion. After a short time (typically 2s), ripples are observed. A CCD camera (# 1) is placed on the top of the circular container and records top view images of the landscape. A second CCD camera (# 2) records transversal views of the granular landscape.

We have performed several experiments with equal-volume binary mixtures. Sand species ($`S_i`$) are different in color, mean grain diameter $`d`$, and repose angle $`\theta _r`$. We have used black, white and green sands sifted such that they have different granulometric distributions. Those granulometric distributions are presented in Figure 2. Grain sizes are log-normaly distributed around the means $`d`$=200 $`\mu `$m and $`d`$=340 $`\mu `$m for the black sand, $`d`$=400 $`\mu `$m for the green one, and $`d`$=200 $`\mu `$m for the white one. The white (S1) and green (S2) sands have repose angles $`\theta _r=33^{}`$, while the black one (S3, S4) has a repose angle value of $`\theta _r=28^{}`$. Thus, S1 and S4 species have the same size distribution but different repose angles. Finally, one should note that all sand species have similar spherical-like shapes at the microscopic scale.

Sand mixtures have been prepared from S1,$`\mathrm{}`$, S4 in order to check the influence of both $`d`$ and $`\theta _r`$ parameters on the ripple morphology. We have made 4 different types of binary mixtures: (i) grain species differing in size but having the same repose angle, (ii) grain species differing in repose angle but having the same size, (iii) mixture with the largest grain species having the smallest repose angle, and (iv) mixture with the largest grain species having the largest angle of repose. Sand species are defined by the couple of intrinsic sand parameters $`(d,\theta )`$.

## 3 Ripple formation

An optically flat granular surface observed at the grain level is nevertheless rough. As a consequence, when a fluid flows over this kind of surface, a turbulent boundary layer is developed at large Reynolds number. The fluid speed at a given height $`z`$ can be written according to the Prandtl-von Kármán law :

$$u(z)=u_0+\frac{u_{}}{K}\mathrm{ln}\left(\frac{z}{z_0}\right),$$
(1)
where $`u_0`$ is the fluid velocity at the reference height $`z_0`$, chosen for the best convenience. Usually, $`z_0`$ is chosen to be $`z_0d/30`$ for a granular sand surface composed of grains with diameter $`d`$. The parameter $`K`$ is called the von Kármán constant and has to be calculated experimentally , while $`u_{}`$ is the shear velocity, related to the shear stress $`\tau `$ by

$$\tau =\rho _fu_{},$$
(2)
where $`\rho _f`$ is the fluid density.

Since the fluid speed depends on the vertical coordinate $`z`$, sand grains are submitted to a vertical velocity gradient. Underlying drag and buoyant forces lead to the carrying of grains in the fluid. Three possible grain motions are recognized : saltation, reptation and suspension. Due to this granular transport, the surface becomes irregular. The largest irregularities are nucleation centers of the ripples. One should note that in our experiment, the rotation speed $`\omega `$ of the container controls the direction and amplitude of the velocity gradient mentioned above.

Figure 3 presents top views of the whole landscape after ripple formation in the case of a monodisperse sand bed. Three rotation speeds are illustrated: $`\omega =25`$ rpm, $`\omega =40`$ rpm and $`\omega =55`$ rpm. One should note the spiral shape formed by the crests of the ripples. Actually, ripples constitute the arms of the spiral. Such spirals should be related to an instability (such as Tollmien-Schlichting waves ) in the fluid motion. As granular transport directly depends on the fluid motion, the subsequent ripples keep the print of that instability. The same kind of patterns has been previously observed in the boundary layer of a fluid rotating over a stainless-steel disk . Those studies have shown that the patterns depend on the rotation speed of the fluid: (i) at low rotation speeds ($`R_e<120`$) the patterns are concentric circles, (ii) at medium rotation speeds ($`120R_e180`$), spirals are created, (iii) for high rotation speeds ($`R_e>300`$), a disordered state is observed because turbulence takes place in the center of the disk. Similar effects have been observed in our experiments. Indeed, at low rotation speeds (typically $`30`$ rpm) well defined spirals are observed. When the rotation speed increases ($`30\omega 45`$ rpm), two “superposed” spirals are observed: one having a larger angle than the other, i.e. one having closer arms than the other. For high rotation speeds ($`\omega >45`$ rpm) the branches of the two spirals are coupled two by two. The detailed study of the pattern geometry is outside the scope of this work and is let for further experiments dealing with selected parameters such as the Reynolds number. Such work is in progress and will be published later .

## 4 Phase segregation

Figure 4 presents a typical result of a series of experiments with a mixture of S1 and S3 sand species. One should note a phase segregation of the sand species: the black grains ($`d=340\mu `$m) segregate on the lee slopes of the ripples, while the white grains ($`d=200\mu `$m) are found on the stoss slopes.

We have performed various experiments on all granular mixtures described above, with different rotation speeds and water volumes. We have noticed that any finite size difference between both granular species leads to a phase segregation. On the contrary, the angle of repose is not a physical parameter leading to phase segregation, even though this parameter is relevant for other segregation phenomena . Moreover, it seems that the phase segregation itself does not depend on the rotation speed of the container. Indeed, larger grains have been found on the lee slopes of the ripples for all values of the rotation speed.

Actually, the mechanism of phase segregation should be understood as follows. Depending on the fluid shear stress, i.e. on the rotation speed $`\omega `$, three cases can be observed: (i) at small shear stress ($`\omega <30`$ rpm), reptation of the smaller grains is the only granular motion observed, (ii) at medium shear stress ($`30\omega 45`$ rpm), the small grains are carried by saltation, the large ones being transported by reptation, (iii) at high shear stress ($`\omega >45`$ rpm), both granular species move by saltation.

In the case of a low rotation speed, tiny ripples are created and are called rolling grain ripples . Our experimental setup does not allow us to study phase segregation in such ripples.

Both cases of medium and high rotation speeds will be treated together, as the observed phase segregation is similar for both cases. The process of phase segregation occurs as follows \[see Figure 5\]. Because of their weight, the smaller grains are more easily carried by the fluid than the larger ones (a). Those small grains create a saltation fog over the sand bed (b,c). Although the fluid speed is not large enough to carry the large grains in a saltation motion, the fog captures and transports them (d). As the vessel motion is stopped (e), no saltation is observed anymore after a finite time (typically 1s). Nevertheless, due to their inertia, some grains, essentially the larger ones, are obsered to move further by reptation during a short time (less than 1 s). Arriving on the crest of a ripple, they roll on the lee slope. Because of frictional forces between those grains and the static ones, they are soon stopped. As a consequence, larger grains are found near the ripple crests, while the smaller ones are mainly found near the stoss slope bottoms.

## 5 Sedimentation

Starting with a rippled sand bed, we have repeated the turn/stop experiment many times without pre-flattening the surface. When the rotation speed is larger than 30 rpm we have noticed the appearence of stratigraphy patterns \[see Figure 6\]. For low rotation speeds, i.e. when the pattern is a close spiral, the ripple amplitude is so small that the ripples are destroyed by the rotation of the container. Therefore, no sedimentary structure can be observed.

In our experiment, it is possible to tune the ripple rate of migration and the rate of sand deposition by changing the rotation speed of the container. For very small values of the rotation speed ($`\omega <30`$ rpm) we are not able to observe sedimentary structure, as mentioned before. For medium rotation speed ($`30<\omega <45`$ rpm), the rate of migration is smaller than the rate of deposition. As a consequence, the ripples are observed as if they were deposed on each other (see left picture of Fig. 6). This kind of structure is called a “complete rippleform lamination” . For large rotation speed ($`\omega >45`$ rpm), the rate of deposition is small while the rate of migration is large. The corresponding patterns are called truncated ripple-foreset crosslamination  and are illustrated in the right part of Figure 6.

In order to characterize the sedimentary structures, it is common  in geology to define a vector of translation \[see Figure 7\]. The horizontal component of this vector corresponds to the rate of migration of the ripples, while the vertical component is the net rate of deposition. The angle of climbing $`\alpha `$ is defined as the angle between the climbing vector and the horizontal one. The inclination angle of the ripple upstream face is noted $`\beta `$ and has to be compared with $`\alpha `$. Depending on the values of $`\alpha `$ and $`\beta `$, different lamination patterns can be observed. If $`\alpha <\beta `$, the lamination structure is called “sub-critically climbing” , $`\alpha =\beta `$ causes a “critical” lamination , and for $`\alpha >\beta `$ the lamination is called “super-critically climbing” .

The left part of Figure 6 corresponds to a sedimentary structure created at medium ($`30<\omega <45`$ rpm) rotation speed. In this rotation speed range, the rate of migration is very small. Therefore the vector of translation is nearly vertical. The angle of climbing is thus $`\alpha 90^{}`$, and the sedimentary structure is “super-critical”. For the right part of Figure 6, the rotation speed $`\omega 55`$ rpm. The angle values are $`\alpha =19^{}`$ and $`\beta =27^{}`$. The sedimentary structure is then “sub-critical”. Such structures are observed for all values of $`\omega >45`$ rpm.

We thus see that the rotation speed of the container changes the “criticality” of the sedimentary structures. One should finally note that the same kind of patterns has been observed in  and modeled in  for aeolian sand ripples.

## 6 Summary

We have presented an experimental study of hydraulic sand ripples formed with binary sand mixtures in a cylindrical container. The spiral shape of the ripple has been shown as the consequence of an instability in the fluid motion. We have shown the appearance of phase segregation and stratigraphy. The relative difference in size between both sand species has been highlighted as the physical parameter leading to the phase segregation. The rotation speed of the container has been shown to be a parameter leading to different lamination patterns.

## Acknowledgements

HC is financially supported by the FRIA, Brussels, Belgium. We thank M. Ausloos for fruitful discussions, and moreover, for commenting on the manuscript during its preparation.


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# Untitled Document

SCULPTURED THIN FILMS:
ACCOMPLISHMENTS AND EMERGING USES

Akhlesh Lakhtakia111Tel. +1 814 863 4319; Fax. +1 814 863 7967; E–mail: AXL4@psu.edu

CATMAS — Computational and Theoretical Materials Sciences Group,

Department of Engineering Science and Mechanics,

Pennsylvania State University, University Park, PA 16802–6812, USA

Abstract

Sculptured thin films (STFs) are nano–engineered materials whose columnar morphology is tailored to elicit desired optical responses upon excitation. Two canonical forms of STFs have been identified. Linear constitutive relations for general STFs as unidirectionally nonhomogeneous (continuously or piecewise uniformly) and locally bianisotropic continuums are presented, along with a 4$`\times `$4 matrix ordinary differential equation for wave propagation therein. A nominal model for the macroscopic properties of linear STFs is devised from nanoscopic considerations. The accomplished implementation of STFs as circular polarization filters and spectral hole filters is discussed, as also are emerging applications such as bioluminescence sensors and optical interconnects.

Keywords: Bianisotropic materials, Biochips, Chiral optics, Local homogenization, Optical devices, Sculptured thin films, Sensors

1. Introduction

Shortly after the conceptualization of helicoidal bianisotropic mediums (HBMs) in 1993 by Lakhtakia and Weiglhofer , the basis of realizing these materials using thin–film technology was enunciated by Lakhtakia and Messier . Verification by Robbie et al.  soon followed, although a few years later I came across a pioneering and essentially comprehensive but obscure precedent reported by Young and Kowal in 1959 . The general concept of sculptured thin films (STFs) emerged naturally, and was presented in August 1995 by Lakhtakia and Messier to a group of thin–film researchers assembled at Penn State . The topic has enjoyed considerable growth in the ensuing years, chiefly in theory initially, but now in experiments and applications as well .

The nanostructure of STFs comprises clusters of 3–5 nm diameter and arranged to form parallel columns that are bent in some fanciful forms with feature size 30 nm or larger. Accordingly, a STF is a unidirectionally nonhomogeneous continuum with direction–dependent properties at visible and infrared wavelengths. A multi–section STF can thus be conceived of as an optical circuit that can be integrated with electronic circuitry on a chip. Being porous, a STF can act as a sensor of fluids and can be impregnated with liquid crystals for switching applications too. Application as low–permittivity barrier layers in electronic chips as well as for solar cells has also been suggested. During the last five year, several physical vapor deposition techniques have emerged for manufacturing STFs, and the first optical applications saw the light of the day in 1999.

The following is a brief review of (i) the electromagnetic field equations, (ii) a nominal nanoscopic–to–continuum model, (iii) realized optical applications, and (iv) emerging applications of STFs. A large part of the work reviewed here is due to my collaborators, my students and me. For the essentials of the fabrication techniques, the interested reader is enjoined to read the gem of a paper that Young & Kowal wrote . For details of the modern versions of the Young–Kowal technique, reference is made to Lakhtakia & Messier , Hodgkinson & Wu , Messier et al. , and Malac & Egerton . The materials that can be deposited as STFs range from insulators to semiconductors to metals, thereby indicating the versatility of STF technology.

2. Electromagnetic field equations

2.1 Linear constitutive equations

Let the $`z`$ axis of a cartesian coordinate system be aligned parallel to the direction of nonhomogeneity. By definition, the morphology of a simple STF in any plane $`z=z_1`$ can be made to coincide with the morphology in another plane $`z=z_2`$ with the help of a suitable rotation. In other words, the local morphology is spatially uniform, but the global morphology is unidirectionally nonhomogeneous. Naturally, this leads to the concept of local or reference constitutive properties of the STF. The global constitutive properties of the STF can be connected to the local ones by means of rotation operators.

The frequency–domain constitutive relations of a chosen STF are therefore defined as follows:

$`𝐃(𝐫,\omega )`$ $`=`$ $`ϵ_0\underset{¯}{\underset{¯}{S}}(z)\text{ }\text{}\text{ }\left[\underset{¯}{\underset{¯}{ϵ}}_{ref}(\omega )\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{S}}^T(z)\text{ }\text{}\text{ }𝐄(𝐫,\omega )+\underset{¯}{\underset{¯}{\alpha }}_{ref}(\omega )\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{S}}^T(z)\text{ }\text{}\text{ }𝐇(𝐫,\omega )\right],`$ (1)
$`𝐁(𝐫,\omega )`$ $`=`$ $`\mu _0\underset{¯}{\underset{¯}{S}}(z)\text{ }\text{}\text{ }\left[\underset{¯}{\underset{¯}{\beta }}_{ref}(\omega )\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{S}}^T(z)\text{ }\text{}\text{ }𝐄(𝐫,\omega )+\underset{¯}{\underset{¯}{\mu }}_{ref}(\omega )\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{S}}^T(z)\text{ }\text{}\text{ }𝐇(𝐫,\omega )\right].`$ (2)
In these relations, $`ϵ_0=8.854\times 10^{12}`$ F/m and $`\mu _0=4\pi \times 10^7`$ H/m are the permittivity and the permeability of vacuum, respectively, while the superscript T denotes the transpose. Whereas the 3$`\times `$3 dyadics $`\underset{¯}{\underset{¯}{ϵ}}_{ref}(\omega )`$ and $`\underset{¯}{\underset{¯}{\mu }}_{ref}(\omega )`$ represent the reference dielectric and magnetic properties, respectively, the 3$`\times `$3 dyadics $`\underset{¯}{\underset{¯}{\alpha }}_{ref}(\omega )`$ and $`\underset{¯}{\underset{¯}{\beta }}_{ref}(\omega )`$ delineate the reference magnetoelectric properties. The angular frequency is denoted by $`\omega `$, and an $`\mathrm{exp}(i\omega t)`$ time–dependence is implicit.

Any STF for optical and/or infrared applications comprises identical columns of 20–100 nm diameter. Nominally, all columns twist and bend identically as $`z`$ changes, which feature is captured by the rotation dyadic $`\underset{¯}{\underset{¯}{S}}(z)`$. This 3$`\times `$3 dyadic is some composition of the following three elementary rotation 3$`\times `$3 dyadics:

$`\underset{¯}{\underset{¯}{S}}_x(z)`$ $`=`$ $`𝐮_x𝐮_x+(𝐮_y𝐮_y+𝐮_z𝐮_z)\mathrm{cos}\xi (z)+(𝐮_z𝐮_y𝐮_y𝐮_z)\mathrm{sin}\xi (z),`$ (3)
$`\underset{¯}{\underset{¯}{S}}_y(z)`$ $`=`$ $`𝐮_y𝐮_y+(𝐮_x𝐮_x+𝐮_z𝐮_z)\mathrm{cos}\tau (z)+(𝐮_z𝐮_x𝐮_x𝐮_z)\mathrm{sin}\tau (z),`$ (4)
$`\underset{¯}{\underset{¯}{S}}_z(z)`$ $`=`$ $`𝐮_z𝐮_z+(𝐮_x𝐮_x+𝐮_y𝐮_y)\mathrm{cos}\zeta (z)+(𝐮_y𝐮_x𝐮_x𝐮_y)\mathrm{sin}\zeta (z).`$ (5)
The angular functions of $`z`$ in these equations may be specified piecewise, if necessary; while $`𝐮_x`$, $`𝐮_y`$ and $`𝐮_z`$ are the three cartesian unit vectors.

All columns in a STF are parallel to each other in any $`xy`$ plane, which characteristic is incorporated in $`\underset{¯}{\underset{¯}{ϵ}}_{ref}(\omega )`$, $`\underset{¯}{\underset{¯}{\mu }}_{ref}(\omega )`$, $`\underset{¯}{\underset{¯}{\alpha }}_{ref}(\omega )`$ and $`\underset{¯}{\underset{¯}{\beta }}_{ref}(\omega )`$. Suppose $`\underset{¯}{\underset{¯}{S}}(0)=\underset{¯}{\underset{¯}{I}}`$, the 3$`\times `$3 identity dyadic, so that the plane $`z=0`$ is the reference plane. Let $`𝐮_\tau `$ denote a unit vector that is tangential at $`z=0`$ to any column. Two other unit vectors are defined from the shape of that column as follows: the unit normal vector $`𝐮_n`$ such that $`𝐮_n\text{ }\text{}\text{ }𝐮_\tau =0`$, and the unit binormal vector $`𝐮_b=𝐮_\tau \times 𝐮_n`$. Both $`𝐮_\tau `$ and $`𝐮_n`$ are conveniently chosen to lie in the plane $`y=0`$; hence, $`𝐮_b`$ is either parallel or anti–parallel to $`𝐮_y`$. With an angle of rise $`\chi `$ specified, we set

$$𝐮_\tau =𝐮_x\mathrm{cos}\chi +𝐮_z\mathrm{sin}\chi ,𝐮_n=𝐮_x\mathrm{sin}\chi +𝐮_z\mathrm{cos}\chi ,𝐮_b=𝐮_y,$$
(6)
these three unit vectors forming a right–handed coordinate system. Typically, the angle of rise $`\chi (0^{},\mathrm{\hspace{0.17em}90}^{}]`$.

Extensive experimental research on the uniform columnar thin films  shows that the prescription

$$\underset{¯}{\underset{¯}{ϵ}}_{ref}(\omega )=ϵ_a(\omega )𝐮_n𝐮_n+ϵ_b(\omega )𝐮_\tau 𝐮_\tau +ϵ_c(\omega )𝐮_b𝐮_b$$
(7)
is appropriate. This $`\underset{¯}{\underset{¯}{ϵ}}_{ref}(\omega )`$ is a biaxial dyadic; and the simplification $`ϵ_c(\omega )=ϵ_a(\omega )`$ is appropriate for a locally uniaxial STF in the present context. If necessary, a gyrotropic term $`ϵ_g(\omega )𝐮_g\times \underset{¯}{\underset{¯}{I}}`$ may be appended to the right side of (7), with $`𝐮_g`$ as some unit vector. The forms of $`\underset{¯}{\underset{¯}{\mu }}_{ref}(\omega )`$, $`\underset{¯}{\underset{¯}{\alpha }}_{ref}(\omega )`$ and $`\underset{¯}{\underset{¯}{\beta }}_{ref}(\omega )`$ are similar to those of $`\underset{¯}{\underset{¯}{ϵ}}_{ref}(\omega )`$.

Two canonical forms of STFs can be identified. For sculptured nematic thin films (SNTFs), either $`\underset{¯}{\underset{¯}{S}}(z)=\underset{¯}{\underset{¯}{S}}_x(z)`$ or $`\underset{¯}{\underset{¯}{S}}(z)=\underset{¯}{\underset{¯}{S}}_y(z)`$. The columnar morphology is essentially 2–dimensional, lying in either the $`xz`$ plane or the $`yz`$ plane. On the other hand, thin–film helicoidal bianisotropic mediums (TFHBMs) are endowed with 3–dimensional morphology, because $`\underset{¯}{\underset{¯}{S}}(z)=\underset{¯}{\underset{¯}{S}}_z(z)`$. Although TFHBMs need not be periodically nonhomogeneous along the $`z`$ axis, it is easy to fabricate them with periods chosen anywhere between $`200`$ nm and $`2000`$ nm. Of course, combinations of the two canonical forms as well as cascades of multiple sections are possible, and add to the attraction of STFs.

2.2 Wave propagation

Electromagnetic wave propagation in a STF is best handled using 4$`\times `$4 matrixes and column $`4`$vectors. At any given frequency, the following spatial Fourier representation of the electric and the magnetic field phasors is useful:

$$\begin{array}{cc}𝐄(𝐫,\omega )=𝐞(z,\kappa ,\psi _{inc},\omega )\mathrm{exp}\left[i\kappa (x\mathrm{cos}\psi _{inc}+y\mathrm{sin}\psi _{inc})\right]\hfill & \\ 𝐇(𝐫,\omega )=𝐡(z,\kappa ,\psi _{inc},\omega )\mathrm{exp}\left[i\kappa (x\mathrm{cos}\psi _{inc}+y\mathrm{sin}\psi _{inc})\right]\hfill & \end{array}\}.$$
(8)
Substitution of the foregoing representation into the source–free Maxwell curl postulates, $`\times 𝐄(𝐫,\omega )=i\omega 𝐁(𝐫,\omega )`$ and $`\times 𝐇(𝐫,\omega )=i\omega 𝐃(𝐫,\omega )`$, followed by the use of the constitutive relations (1) and (2) leads to four ordinary differential equations and two algebraic equations. The components $`e_z(z,\kappa ,\psi _{inc},\omega )`$ and $`h_z(z,\kappa ,\psi _{inc},\omega )`$ are then eliminated to obtain the 4$`\times `$4 matrix differential equation

$$\frac{d}{dz}[𝐟(z,\kappa ,\psi _{inc},\omega )]=i[𝐏(z,\kappa ,\psi _{inc},\omega )][𝐟(z,\kappa ,\psi _{inc},\omega )].$$
(9)
In this equation,

$$[𝐟(z,\kappa ,\psi _{inc},\omega )]=[e_x(z,\kappa ,\psi _{inc},\omega ),e_y(z,\kappa ,\psi _{inc},\omega ),h_x(z,\kappa ,\psi _{inc},\omega ),h_y(z,\kappa ,\psi _{inc},\omega )]^T$$
(10)
is a column $`4`$vector, and $`[𝐏(z,\kappa ,\psi _{inc},\omega )]`$ is a 4$`\times `$4 matrix function of $`z`$ that can be easily obtained using symbolic manipulation programs such as Mathematica.

Analytic solution of (9) can be obtained, provided $`[𝐏(z,\kappa ,\psi _{inc},\omega )]=[𝐏_{con}(\kappa ,\psi _{inc},\omega )]`$ is not a function of $`z`$. This happens, of course, for columnar thin films , and the solution procedure is described by Hochstadt . Exact analytic solution of (9) has been obtained also for axial propagation (i.e., $`\kappa =0`$) in periodic TFHBMs ; and a solution in terms of a convergent matrix polynomial series is available for oblique propagation (i.e., $`\kappa 0`$) in periodic TFHBMs .

More generally, only a numerical solution of (9) can be obtained. Suppose that $`[𝐏(z,\kappa ,\psi _{inc},\omega )]`$ is a periodic function of $`z`$. Then, a perturbative approach can be used to obtain simple results for weakly periodic STFs , while a coupled–mode approach may come handy if otherwise . But if $`[𝐏(z,\kappa ,\psi _{inc},\omega )]`$ is not periodic, the constitutive dyadics can assumed to be piecewise homogeneous over slices of thickness $`\mathrm{\Delta }z`$, and the approximate transfer equation

$$[𝐟(z+\mathrm{\Delta }z,\kappa ,\psi _{inc},\omega )]\mathrm{exp}\left\{i[𝐏(z+\frac{\mathrm{\Delta }z}{2},\kappa ,\psi _{inc},\omega )]\mathrm{\Delta }z\right\}[𝐟(z,\kappa ,\psi _{inc},\omega )]$$
(11)
can be suitably manipulated with appropriately small values of $`\mathrm{\Delta }z`$.

3. From the nanoscopic to the continuum

3.1 Nominal model

Equations (1) and (2) incorporate the assumption of a STF as a unidirectionally nonhomogeneous continuum. This is valid in a macroscopic sense, i.e., when the length scale of the film morphology is considerably smaller than the electromagnetic probe wavelength. This assumption holds true in the visible and the infrared frequency regimes, because STFs with appropriate morphological length scales can be fabricated.

Let us consider a simple nanoscopic–to–macroscopic homogenization formalism to determine the reference constitutive dyadics $`\underset{¯}{\underset{¯}{ϵ}}_{ref}(\omega )`$, etc. . The chosen STF is made of a bianisotropic material, whose bulk constitutive relations are specified as

$$\begin{array}{c}𝐃(𝐫,\omega )=ϵ_0[\underset{¯}{\underset{¯}{ϵ}}_s(\omega )\text{ }\text{}\text{ }𝐄(𝐫,\omega )+\underset{¯}{\underset{¯}{\alpha }}_s(\omega )\text{ }\text{}\text{ }𝐇(𝐫,\omega )]\hfill \\ 𝐁(𝐫,\omega )=\mu _0[\underset{¯}{\underset{¯}{\beta }}_s(\omega )\text{ }\text{}\text{ }𝐄(𝐫,\omega )+\underset{¯}{\underset{¯}{\mu }}_s(\omega )\text{ }\text{}\text{ }𝐇(𝐫,\omega )]\hfill \end{array}\}.$$
(12)
The void regions of the STF are taken to be occupied by a medium with the following bulk properties:

$$\begin{array}{c}𝐃(𝐫,\omega )=ϵ_0[\underset{¯}{\underset{¯}{ϵ}}_v(\omega )\text{ }\text{}\text{ }𝐄(𝐫,\omega )+\underset{¯}{\underset{¯}{\alpha }}_v(\omega )\text{ }\text{}\text{ }𝐇(𝐫,\omega )]\hfill \\ 𝐁(𝐫,\omega )=\mu _0[\underset{¯}{\underset{¯}{\beta }}_v(\omega )\text{ }\text{}\text{ }𝐄(𝐫,\omega )+\underset{¯}{\underset{¯}{\mu }}_v(\omega )\text{ }\text{}\text{ }𝐇(𝐫,\omega )]\hfill \end{array}\}.$$
(13)
Both mediums are supposed to be present in the STF as ellipsoids which are entirely notional. In every $`xy`$ plane, the longest axes of all ellipsoids of both mediums should be aligned in parallel. The shapes of the two types of ellipsoids can be different, the respective surfaces being defined by the functions

$$𝐫_s(\theta ,\varphi )=\delta _s\underset{¯}{\underset{¯}{U}}_s\text{ }\text{}\text{ }𝐮_r(\theta ,\varphi ),𝐫_v(\theta ,\varphi )=\delta _v\underset{¯}{\underset{¯}{U}}_v\text{ }\text{}\text{ }𝐮_r(\theta ,\varphi ).$$
(14)
Here, $`𝐮_r(\theta ,\varphi )`$ is the radial unit vector in a spherical coordinate system located at the centroid of an ellipsoid; the scalars $`\delta _{s,v}`$ are linear measures of the ellipsoidal sizes; and the shape dyadics $`\underset{¯}{\underset{¯}{U}}_{s,v}`$ are real dyadics of rank 3, with positive eigenvalues $`0<a_{s,v}^{(j)}1`$, ($`j=1,\mathrm{\hspace{0.17em}2},\mathrm{\hspace{0.17em}3}`$). Setting $`a^{(3)}a^{(1)}`$ and $`a^{(3)}a^{(2)}`$ will make a particular ellipsoid almost like a needle with a slight bulge in its middle part. The porosity of the STF is denoted by $`f_v`$, ($`0f_v1`$).

The use of 6$`\times `$6 dyadics provides notational simplicity for treating electromagnetic fields in bianisotropic materials. Thus, we define the 6$`\times `$6 dyadics

$$\underset{¯}{\underset{¯}{𝐂}}_{ref,s,v}=\left(\begin{array}{cc}ϵ_0\underset{¯}{\underset{¯}{ϵ}}_{ref,s,v}\hfill & ϵ_0\underset{¯}{\underset{¯}{\alpha }}_{ref,s,v}\hfill \\ & \\ & \\ & \\ \mu _0\underset{¯}{\underset{¯}{\beta }}_{ref,s,v}\hfill & \mu _0\underset{¯}{\underset{¯}{\mu }}_{ref,s,v}\hfill \end{array}\right).$$
(15)
The $`\omega `$–dependences of various quantities are not explicitly mentioned in this and the following equations for compactness.

The celebrated Bruggeman formalism is now implemented to effect local homogenization (with reference to any $`xy`$ plane) . For this purpose, the 6$`\times `$6 polarizability dyadics

$$\underset{¯}{\underset{¯}{𝐚}}_{s,v}=\left(\underset{¯}{\underset{¯}{𝐂}}_{s,v}\underset{¯}{\underset{¯}{𝐂}}_{ref}\right)\text{ }\text{}\text{ }\left[\underset{¯}{\underset{¯}{𝐈}}+i\omega \underset{¯}{\underset{¯}{𝐃}}_{s,v}\text{ }\text{}\text{ }\left(\underset{¯}{\underset{¯}{𝐂}}_{s,v}\underset{¯}{\underset{¯}{𝐂}}_{ref}\right)\right]^1$$
(16)
are defined, where $`\underset{¯}{\underset{¯}{𝐈}}`$ is the 6$`\times `$6 identity dyadic. The 6$`\times `$6 depolarization dyadics $`\underset{¯}{\underset{¯}{𝐃}}_{s,v}`$ must be computed via two–dimensional integration as follows:

$`\underset{¯}{\underset{¯}{𝐃}}_{s,v}`$ $`=`$ $`{\displaystyle \frac{1}{4\pi i\omega ϵ_0\mu _0}}{\displaystyle _{\varphi =0}^{2\pi }}𝑑\varphi {\displaystyle _{\theta =0}^\pi }𝑑\theta \mathrm{sin}\theta {\displaystyle \frac{(\underset{¯}{\underset{¯}{U}}_{s,v}^1\text{ }\text{}\text{ }𝐮_r)(𝐮_r\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^{})}{A_{s,v}(𝐮_r)}}`$ (21)
$`\times \left(\begin{array}{cc}\mu _0𝐮_r\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^{}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{\mu }}_{ref}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^1\text{ }\text{}\text{ }𝐮_r\hfill & ϵ_0𝐮_r\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^{}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{\alpha }}_{ref}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^1\text{ }\text{}\text{ }𝐮_r\hfill \\ & \\ & \\ & \\ \mu _0𝐮_r\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^{}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{\beta }}_{ref}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^1\text{ }\text{}\text{ }𝐮_r\hfill & ϵ_0𝐮_r\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^{}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{ϵ}}_{ref}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^1\text{ }\text{}\text{ }𝐮_r\hfill \end{array}\right).`$
Here, $`𝐮_r=𝐮_r(\theta ,\varphi )`$ is the unit radial vector,

$`A_{s,v}(𝐮_r)`$ $`=`$ $`(𝐮_r\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^{}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{ϵ}}_{ref}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^1\text{ }\text{}\text{ }𝐮_r)(𝐮_r\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^{}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{\mu }}_{ref}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^1\text{ }\text{}\text{ }𝐮_r)`$ (22)
$`(𝐮_r\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^{}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{\alpha }}_{ref}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^1\text{ }\text{}\text{ }𝐮_r)(𝐮_r\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^{}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{\beta }}_{ref}\text{ }\text{}\text{ }\underset{¯}{\underset{¯}{U}}_{s,v}^1\text{ }\text{}\text{ }𝐮_r)`$
while $`\underset{¯}{\underset{¯}{U}}_s^{}`$ is the transpose of $`\underset{¯}{\underset{¯}{U}}_s^1`$, etc. The Bruggeman formalism then consists of the solution of the equation

$$f_v\underset{¯}{\underset{¯}{𝐚}}_v+(1f_v)\underset{¯}{\underset{¯}{𝐚}}_s=\underset{¯}{\underset{¯}{\mathrm{𝟎}}},$$
(23)
with $`\underset{¯}{\underset{¯}{\mathrm{𝟎}}}`$ as the 6$`\times `$6 null dyadic. This equation has to be numerically solved for $`\underset{¯}{\underset{¯}{𝐂}}_{ref}`$, and a Jacobi iteration technique is recommended for that purpose .

The solution of (23) represents the homogenization of objects of microscopic linear dimensions to a macroscopic continuum. The quantities entering $`\underset{¯}{\underset{¯}{S}}(z)`$ are known prior to fabrication, as also are $`\chi `$, $`\underset{¯}{\underset{¯}{𝐂}}_s`$ and $`\underset{¯}{\underset{¯}{𝐂}}_v`$. In order to calibrate the nominal model presented, the shape dyadics $`\underset{¯}{\underset{¯}{U}}_s`$ and $`\underset{¯}{\underset{¯}{U}}_v`$ can be chosen by comparison of the predicted $`\underset{¯}{\underset{¯}{𝐂}}_{ref}`$ against measured data.

3.2 Application to dielectric TFHBMs

Sherwin and Lakhtakia  used the foregoing model to extensively study the planewave responses of dielectric TFHBMs, with $`\underset{¯}{\underset{¯}{\mu }}_{s,v}=\underset{¯}{\underset{¯}{I}}`$, $`\underset{¯}{\underset{¯}{\alpha }}_{s,v}=\underset{¯}{\underset{¯}{0}}`$, $`\underset{¯}{\underset{¯}{\beta }}_{s,v}=\underset{¯}{\underset{¯}{0}}`$, $`\underset{¯}{\underset{¯}{ϵ}}_s=ϵ_s\underset{¯}{\underset{¯}{I}}`$, and $`\underset{¯}{\underset{¯}{ϵ}}_v=\underset{¯}{\underset{¯}{I}}`$. With $`\lambda _0`$ denoting the wavelength in vacuum, a Lorentz resonance model was chosen for $`ϵ_s`$ as per

$$ϵ_s=1+\frac{q_s}{1+\left(N_s^1i\lambda _s\lambda _0^1\right)^2},$$
(24)
with constants $`q_s`$, $`N_s`$ and $`\lambda _s`$ selected so that absorption is moderate for visible wavelengths. The ellipsoids were chosen to be identical (i.e., $`\underset{¯}{\underset{¯}{U}}_s=\underset{¯}{\underset{¯}{U}}_v`$), as described by

$$(𝐫\text{ }\text{}\text{ }𝐮_n)^2+\left(\frac{𝐫\text{ }\text{}\text{ }𝐮_b}{\gamma _2}\right)^2+\left(\frac{𝐫\text{ }\text{}\text{ }𝐮_\tau }{\gamma _3}\right)^2=\delta ^2,$$
(25)
where the transverse aspect ratio $`\gamma _2>1`$ and the slenderness ratio $`\gamma _31`$ relate the three principal axes.

For normally incident planewaves and with

$$\underset{¯}{\underset{¯}{S}}(z)=\underset{¯}{\underset{¯}{S}}_z(z)|_{\zeta (z)=\pi z/\mathrm{\Omega }}=𝐮_z𝐮_z+(𝐮_x𝐮_x+𝐮_y𝐮_y)\mathrm{cos}\frac{\pi z}{\mathrm{\Omega }}+(𝐮_y𝐮_x𝐮_x𝐮_y)\mathrm{sin}\frac{\pi z}{\mathrm{\Omega }},$$
(26)
the spectrums of optical rotation, transmittance ellipticity, linear dichroism, circular dichroism, apparent linear dichroism, and apparent circular dichroism were calculated as functions of the constitutive and the geometric parameters $`ϵ_s`$, $`\gamma _2`$, $`\gamma _3`$, $`\chi `$, $`\mathrm{\Omega }`$, $`f=1f_v`$, and $`\lambda _0`$. Maximum magnitudes in the computed spectrums were determined in specific wavelength–regimes. The variations of these maximums were then examined with respect to any one of the constitutive and the geometric parameters, while the other parameters were held fixed. From these studies, the following significant conclusions were reached:

* All observable response properties strongly depend on the transverse aspect ratio $`\gamma _2`$, $`1\gamma _2\gamma _3`$. There exists a specific value of $`\gamma _2`$ denoted by $`\gamma _2^o`$ such that all optical activity disappears. The value of $`\gamma _2^o`$ can be parameterized in terms of other geometric factors and $`ϵ_s`$.
* All observable property maximums are best–fitted to fourth–order polynomials of $`\gamma _2`$.
* All observable property maximums have similar dependencies on the volume fraction $`f`$; furthermore, $`p^{max}0`$ as $`f0,1`$. (Here, $`p^{max}`$ denotes the maximum magnitude of the observable response property $`p`$ over a prescribed range of $`\lambda _0`$.)
* There exists an $`f_o`$ for each value of $`\gamma _2`$ such that $`p^{max}(f_o)>p^{max}(f),ff_o`$. The value of $`f_o`$ depends on the values of other geometric and constitutive parameters as well as on the property $`p`$. An increase in $`\gamma _2`$ results in a decrease in $`f_o`$.

Details of these and other results will appear in print shortly , and the identified functional relationships should assist in design of STF–based devices as well as the on–line monitoring of STF fabrication processes.

4. Optical applications

Although many applications are possible , the potential of STFs has been most successfully exploited for optical filters. Chiral STFs, which are appropriately described as the periodic dielectric TFHBMs of Section 3.2, must display the circular Bragg phenomenon in accordance with their periodic nonhomogeneity along the $`z`$ axis , thereby ensconcing themselves firmly in the area of chiral optics. Briefly, a structurally right– (resp. left–) handed chiral STF only a few periods thick almost completely reflects axially incident, right (resp. left) circularly polarized light with wavelength lying in the so–called Bragg regime; while the reflection of axially incident, left (resp. right) circularly polarized light in the same regime is very little. The bandwidth of the Bragg regime and the peak reflectivity therein first increase with the thickness of the chiral STF, and then saturate. Once this saturation has occurred, further thickening of the film has negligible effects on the reflection spectrum.

4.1 Circular polarization filters

The circular Bragg phenomenon can be employed to realize circular polarization filters. Normally incident, circularly polarized light of one handedness can be reflected almost completely, while that of the other handedness is substantially transmitted, if absorption is small enough and the film is sufficiently thick, in the Bragg regime. This was demonstrated by Wu et al.  with chiral STFs fabricated using the serial bideposition technique. As of now, the Bragg regime can be positioned at virtually any $`\lambda _0[450,\mathrm{\hspace{0.17em}1700}]`$ nm. Polarization insensitivity can be realized using a bilayer version, as a cascade of two otherwise identical chiral STFs but of opposite structural handedness . Chirping can be used to widen the bandwidth , and tightly interlaced chiral STFs may also hold technological attraction .

4.2 Polarization–discriminatory handedness–inverters

A polarization–discriminatory handedness–inverter for circularly polarized light was fabricated using STF technology. This was the first realization of a two–section STF device. It comprises a chiral STF  and a half–wave plate realized as a columnar thin film . Basically, it almost completely reflects, say, left circularly polarized light; while it substantially transmits incident right circularly polarized light after transforming it into left circularly polarized light. Theoretical predictions  were borne out experimentally .

4.3 Spectral hole filters

In a further bid to illustrate the potential of the STF concept, a three–section STF was proposed as a spectral hole filter. Its first and third layers are identical chiral STFs, while the thin middle layer is homogeneous . The middle layer is supposed to act as a phase defect. This design was actually implemented to obtain a $`11`$ nm wide spectral hole centered at $`\lambda _0=580`$ nm . The realized bandwidth filter compares very favorably with those of commercially available holographic filters.

A better design became available shortly thereafter and was experimentally evaluated too . The middle layer was eliminated, but the lower chiral STF was twisted by $`90^{}`$ with respect to the upper chiral STF about the $`z`$ axis. The twist acts as the required phase defect.

4.4 Rugate and S̆olc filters

SNTFs can also be pressed into service as optical filters — for linearly polarized plane waves. McPhun et al.  fabricated rugate filters with STF technology for narrow–band reflection applications. S̆olc filters of the fan and the folded types are also possible with the same technology .

4.5 Fluid sensors

The porosity of STFs makes them attractive for fluid concentration sensing applications , because their optical response properties must change in accordance with the number density of molecules intruding into the void regions. In particular, theoretical research has shown that the Bragg regime of a chiral STF must shift accordingly, thereby providing a measure of the fluid concentration . Qualitative support for this finding is provided by experiments on wet and dry chiral STFs .

Very recent theoretical research has indicated that STF spectral hole filters can function as highly sensitive fluid concentration sensors; and proof–of–concept experiments with both circularly polarized and unpolarized incident light have confirmed the red–shift of spectral holes upon exposure to moisture .

5. Emerging applications

From their inception , STFs were expected to have a wide range of applications, implementable only after their optical, electronic, and magnetic properties came to better understood. Their optical applications came to be investigated first, as detailed in Section 4. However, their high porosity — in combination with optical anisotropy and possible two–dimensional electron confinement in the microstructure — makes STFs potential candidates as

* electroluminescent devices (emitting light of a pre–specified polarization state from circular to linear) prepared by chemical vapor deposition of nanocrystal silicon into the void spaces of STFs formed from wide–gap transparent oxides;
* high speed, high efficiency electrochromic films;
* optically transparent conducting films sculptured from pure metals;
* multi–state electronic switches based on filamentary conduction;
* optical sensors that can detect and quantify various chemical and biological fluids; and
* micro–sieves for the entrapment of viruses or for growing biological tissues on surfaces of biological or non–biological provenances.

Obviously, many other applications may turn out to be possible, but significant progress thus far has been reported, to my knowledge, only in the following five areas:

5.1 Biochips

Endowed with porosity of engineered texture, STFs can function as microreactors and therefore can function as biochips. As an example, let us consider the following scenario: Intercalation of a ruthenium complex with double–stranded DNA is known to generate luminescence. Suppose that identical single–stranded DNA molecules — with a particular genomic sequence matched to, say, E. coli — are dispersed in a STF. A drop of contaminated water containing analyte DNA molecules from exploded E. coli is put on the STF, followed by a drop of an appropriate ruthenium complex. The bioluminescence signal emerging from the STF can be optically sensed by photon counters in order to measure the degree of contamination.

Bioluminescent emission is bound to be affected by the reactor characteristics. If the reactor is a chiral STF, the possibility of exploiting the circular Bragg phenomenon exhibited by it would be attractive. Indeed, the structural handedness as well as the periodicity of chiral STFs have been shown to critically control the emission spectrum and intensity, while the polarization state of the emitted light is strongly correlated with the structural handedness of the embedded source filaments . Bioluminescence STF sensors therefore merit closer attention.

5.2 Optical interconnects

Efficient use of optoelectronic devices requires the development of optical interconnects which, in addition to providing effective signal transmission, must be simple to fabricate on integrated circuitry. STF technology is compatible with the planar technology of electronic chips. Guided wave propagation in chiral STFs turns out to yield the space–guide concept: the capacity to simultaneously support propagation modes with different phase velocities in different directions . This could result in efficient use of the available real estate in electronic chips. Furthermore, the helicoidal microstructure of chiral STFs would resist vertical cleavage and fracture, in contrast to columnar thin films which can also function as space–guides.

Chiral STFs can be grown as a regular lattice by lithographically patterning the substrates . Whereas slow substrate–rotation rates result in the growth of arrays of microhelixes or microsprings spaced as close as 20 nm from their nearest neighbors, faster rotation rates yield arrays of increasingly denser pillars . Such STFs are essentially photonic bandgap materials in the visible and the infrared regimes. Most recently, even line defects have been introduced therein .

5.3 Interlayer dielectrics

With the microelectronics industry moving relentlessly towards decreasing feature sizes and increasingly stringent tolerance levels, an urgent need exists for the use of low–permittivity materials as interlevel dielectrics. Silicon dioxide, the current material of choice, has excellent properties in all respects except one: its permittivity is too high. The porosity of STFs and nanoporous silica makes them attractive low–permittivity materials for microelectronic and electronic packaging applications. However, chiral STFs are likely to have significant thermal, mechanical, as well as electrical advantages over nanoporous silica — because of (i) porosity with controllable texture and (ii) helicoidal morphology. Also, chiral STFs could be impregnated with various kinds of polymers .

5.4 Electrically addressable displays

Liquid crystals (LCs) can be electronically addressed  and are therefore widely used these days for displays. Although STFs are not electronically addressable, the alignment of nematic LCs forced into the void regions of chiral STFs has been shown to respond to applied voltages . Thus, STF–LC composites may have a future as robust displays.

5.5 Optical pulse–shapers

The current explosive growth of digital optics communication has provided impetus for time–domain research on novel materials. As chiral STFs are very attractive for optical applications, the circular Bragg phenomenon is being studied in the time domain. A pulse bleeding phenomenon has been identified as the underlying mechanism, which can drastically affect the shapes, amplitudes and spectral components of femtosecond pulses . However, narrow–band rectangular pulses can pass through without significant loss of information . Application of STFs to shape optical pulses appears to be waiting in the wings.

6. Concluding remarks

The foregoing section makes it evident that sculptured thin films are comparable to liquid crystals  in many respects. Their respective roles can be competitive as well as complementary, depending on the specific environment and application. For instance, being soft and viscous, LCs serve as pressure/temperature sensors. But STFs are porous solids and likely to be unaffected by small changes in the ambient pressure and temperature. However, those qualities are likely to be useful in certain environments where mechanical integrity and thermal stability are at a premium. Furthermore, STFs can serve as fluid sensors and microreactors, but LCs can not. Liquid crystals are widely used for electronic displays as they are electrically addressable; STF–LC composites can also be electrically addressed. Both LCs and STFs can be used as optical filters and polarizers, but only the latter truly make the concept of optics–in–a–chip possible. Finally, the wide scope of STFs — accessible through tailorable microstructure and anisotropy, as well as via the almost unlimited types of depositable materials — is remarkable.

To conclude, the development of STF technology is now in a post–embryonic stage. Much needs to be done to make it robust, economical and widely used. But the future appears bright, and the recent feat of Suzuki & Taga  in fabricating STFs with many sections underscores the tremendous promise of STFs as integrated optical chips .

Acknowledgements. I am indebted to all of my collaborators and my students for splendid support on STF research over the last decade. This review is dedicated to the inspirational batting performances of V.V.S. Laxman and Rahul S. Dravid and the superb bowling performance of Harbhajan Singh during a cricket Test match between India and Australia, played March 11–15, 2001 at Eden Gardens, Kolkata.

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text:
# On the Occurrence of Finite-Time-Singularities in Epidemic Models of Rupture, Earthquakes and Starquakes

## Abstract

We present a new kind of critical stochastic finite-time-singularity, relying on the interplay between long-memory and extreme fluctuations. We illustrate it on the well-established epidemic-type aftershock (ETAS) model for aftershocks, based solely on the most solidly documented stylized facts of seismicity (clustering in space and in time and power law Gutenberg-Richter distribution of earthquake energies). This theory accounts for the main observations (power law acceleration and discrete scale invariant structure) of critical rupture of heterogeneous materials, of the largest sequence of starquakes ever attributed to a neutron star as well as of earthquake sequences.

A large portion of the current work on rupture and earthquake prediction is based on the search for precursors to large events in the seismicity itself. Observations of the acceleration of seismic moment leading up to large events and “stress shadows” following them have been interpreted as evidence that seismic cycles represent the approach to and retreat from a critical state of a fault network Sorsammis . This “critical state” concept is fundamentally different from the long-time view of the crust as evolving spontaneously in a statistically stationary critical state, called self-organized criticality (SOC) BakTangSorSor . In the SOC view, all events belong to the same global population and participate in shaping the self-organized critical state. Large earthquakes are inherently unpredictable because a big earthquake is simply a small earthquake that did not stop. By contrast, in the critical point view, a great earthquake plays a special role and signals the end of a cycle on its fault network. The dynamical organization is not statistically stationary but evolves as the great earthquake becomes more probable. Predictability might then become possible by monitoring the approach of the fault network towards the critical state. This hypothesis first proposed in Sorsammis  is the theoretical induction of a series of observations of accelerated seismicity SykesJaum1 ; BufeVarnes  which has been later strengthened by several other observations HarrisSimpson ; Bowmanetal ; Zoller ; Yin . Theoretical support has also come from simple computer models of critical rupture critrupd  and experiments of material rupture expcrit , cellular automata, with Anghel  and without Huang  long-range interaction, and from granular simulators Mora . Models of regional seismicity with more faithful fault geometry have been developed that also show accelerating seismicity before large model events Heibenkin ; BK ; benzion .

There are at least five different mechanisms that are known to lead to critical accelerated seismicity of the form

$$N(t)1/(t_ct)^m$$
(1)
ending at the critical time $`t_c`$, where $`N(t)`$ is the seismicity rate (or acoustic emission rate for material rupture). Such finite-time-singularities are quite common and have been found in many well-established models of natural systems, either at special points in space such as in the Euler equations of inviscid fluids, in vortex collapse of systems of point vortices, in the equations of General Relativity coupled to a mass field leading to the formation of black holes, in models of micro-organisms aggregating to form fruiting bodies, or in the more prosaic rotating coin (Euler’s disk). They all involve some kind of positive feedback, which in the rupture context can be the following (see SamsorPNAS  for a review): sub-critical crack growth DasScholz , geometrical feedback in creep rupture Krajcinovic , feedback of damage on the elastic coefficients with strain dependent damage rate benzion , feedback in a percolation model of regional seismicity SamsorPNAS , feedback in a stress-shadow model for regional seismicity BK ; SamsorPNAS .

While these mechanisms are plausible, their relevance to the earth crust remains unproven. Here, we present a novel mechanism leading to a new kind of critical stochastic finite-time-singularity in the seismicity rate, using the well-established epidemic-type aftershock sequence (ETAS) model for aftershocks, introduced by KK ; Ogata1 , based solely on the most solidly documented stylized facts of seismicity mentioned above. The adjective “stochastic” emphasizes the fact that the critical time $`t_c`$ is determined in large part by the specific sets of innovations of the random process. We show that, in a finite domain of its parameter space, the rate of seimic activity in the ETAS model diverges in finite time according to (1). The underlying mechanism relies on large deviations occuring in an explosive branching process. One of the advantage of this discovery is to be able to account for the observations of accelerated seismicity and acoustic emission in material failure, without invoking any new ingredient other than those already well-established empirically. We apply this insight to quantify the longest available starquake sequence of a neutron star soft $`\gamma `$-ray repeaters.

We shall use the example of earthquakes but the model applies similarly to microcracking in materials. The ETAS model is a generalization of the modified Omori law, in that it takes into account the secondary aftershock sequences triggered by all events. The modified Omori’s law states that the occurrence rate of the direct aftershock-daughters from an earthquake decreases with the time from the mainshock according to the “bare propagator” $`K/(t+c)^p`$. In the ETAS model, all earthquakes are simultaneously mainshocks, aftershocks and possibly foreshocks. Contrary to the usual definition of aftershocks, the ETAS model does not impose an aftershock to have an energy smaller than the mainshock. This way, the same law describes both foreshocks, aftershocks and mainshocks. An observed “aftershock” sequence of a given earthquake (starting the clock) is the result of the activity of all events triggering events triggering themselves other events, and so on, taken together. The corresponding seismicity rate (the “dressed propagator”), which is given by the superposition of the aftershock sequences of all events, is the quantity we derive here.

Each earthquake (the “mother”) of energy $`E_iE_0`$ occurring at time $`t_i`$ gives birth to other events (“daughters”) of any possible energy, chosen with the Gutenberg-Richter density distribution $`P(E)=\mu /(E/E_0)^{1+\mu }`$ with exponent $`\mu 2/3`$, at a later time between $`t`$ and $`t+dt`$ at the rate

$$\varphi _{E_i}(tt_i)=\rho (E_i)\mathrm{\Psi }(tt_i).$$
(2)
$`\rho (E_i)=K(E_i/E_0)^a`$ gives the number of daughters born from a mother with energy $`E_i`$, with the same exponent $`a`$ for all earthquakes. This term accounts for the fact that large mothers have many more daughters than small mothers because the larger spatial extension of their rupture triggers a larger domain. $`E_0`$ is a lower bound energy below which no daughter is triggered. $`\mathrm{\Psi }(tt_i)=\frac{\theta c^\theta }{(tt_i+c)^{1+\theta }}`$ is the normalized waiting time distribution (local Omori’s law or “bare propagator”) giving the rate of daughters born a time $`tt_i`$ after the mother.

The ETAS model is fundamentally a “branching” model Branching  with no “loops”, i.e., each event has a unique “mother-mainshock” and not several. This “mean-field” or random phase approximation allows us to simplify the analysis while still keeping the essential physics in a qualitative way. The problem is to calculate the “dressed” or “renormalized” propagator (rate of seismic activity) that includes the whole cascade of secondary sequences sorsor . The key parameter is the average number $`n`$ (or “branching ratio”) of daughter-earthquakes created per mother-event, summed over all possible energies. $`n`$ is equal to the integral of $`\varphi _{E_i}(tt_i)`$ over all times after $`t_i`$ and over all energies $`E_iE_0`$. This integral converges to a finite value $`n<\mathrm{}`$ for $`\theta >0`$ (local Omori’s law decay faster than $`1/t`$) and for $`a<\mu `$ (not too large a growth of the number of daughters as a function of the energy of the mother). The resulting average rate $`N(t)`$ of seismicity is the solution of the Master equation helmsor

$$N(t)=_0^t𝑑\tau N(\tau )_{E_0}^{E_{\mathrm{max}}(t)}𝑑E^{}P(E^{})\varphi _E^{}(t\tau )$$
(3)
giving the number $`N(t)dt`$ of events occurring between $`t`$ and $`t+dt`$ of any possible energy. We have made explicit the upper bound $`E_{\mathrm{max}}(t)`$ equal to the typical maximum earthquake energy sampled up to time $`t`$. For $`a<\mu `$, this upper bound has no impact on the results and can be replaced by $`+\mathrm{}`$ helmsor . There may be a source term $`S(t)`$ to add to the r.h.s. of (3), corresponding to either a constant background seismicity or to a large triggering earthquake. In this last case, the rate $`N(t)`$ solution of (3) is the “dressed” propagator giving the renormalized Omori’s law. A rich behavior, which has been fully classified by a complete analytical treatment helmsor , has been found: sub-criticality $`n<1`$ sorsor  and super-criticality $`n>1`$ helmsor , where $`n`$ depends on the control parameters $`\mu `$, $`a`$, $`\theta `$, $`K`$ and $`c`$. With a single value of the exponent $`1+\theta `$ of the “bare” propagator $`\mathrm{\Psi }(t)1/t^{1+\theta }`$, we obtain a continuum of apparent exponents for the global rate of aftershocks helmsor  which may account for the observed variability of Omori’s exponent $`p`$ around $`p=1`$ reported by many workers.

Here, we explore the regime $`a\mu `$, for which $`n`$ is infinite. This signals the impact of large earthquake energies, suggesting the relevance of the upper bound $`E_{\mathrm{max}}(t)`$ in (3). This case is actually observed in real seismicity by Drakatos  who obtained $`a>\mu `$ for some aftershock sequences in Greece, and by guoogata  who found $`a>\mu `$ for 13 out of 34 aftershock sequences in Japan. This case $`a>\mu `$ also characterizes the seismic activity preceding the 1984 $`M=6.8`$ Nagano Prefecture earthquake Ogata2 . After the mainshock, the seismicity returned in the sub-critical regime $`\theta >0`$, $`a<\mu `$ and $`n<1`$.

This case $`a\mu `$ is similar to that found underlying various situations of anomalous transport BG : in this regime of large fluctuations, the integral over earthquake energies is dominated by the upper bound. The maximum energy $`E_{\mathrm{max}}(t)`$ sampled by $`N(t)\mathrm{\Delta }t`$ earthquakes is given by the standard condition $`N(t)\mathrm{\Delta }t_{E_0}^{E_{\mathrm{max}}(t)}𝑑E^{}P(E^{})1`$. This yields the robust median estimate $`E_{\mathrm{max}}(t)[N(t)\mathrm{\Delta }t]^{1/\mu }`$. Actually, $`E_{\mathrm{max}}(t)`$ is itself distributed according to the Gutenberg-Richter distribution and thus exhibits large fluctuations from realization to realization, as we can see in Fig. 1. Putting this estimation of $`E_{\mathrm{max}}(t)`$ in (3), we get

$$N(t)_0^t𝑑\tau \frac{N(\tau )}{(t\tau +c)^{1+\theta }}[N(\tau )\mathrm{\Delta }\tau ]^{(a\mu )/\mu }.$$
(4)
Let us note the appearance of the new term $`[N(\tau )\mathrm{\Delta }\tau ]^{(a\mu )/\mu }`$ resulting from the contribution of the upper bound in the integral $`𝑑E^{}P(E^{})`$. This term replaces the constant found for the case $`a<\mu `$. Equation (4) shows that the exploration of larger and larger events in the tail in the Gutenberg-Richer distribution transforms the linear Master equation (3) into a non-linear equation: the non-linearity expresses a positive feedback according to which the larger is the rate $`N(t)`$ of seismicity, the larger is the maximum sampled earthquake, and the larger is the number of daughters resulting from these extreme events. This process self-amplifies and leads to the announced finite-time singularity (1). However, to complete the derivation, we need to determine the yet unspecified time increment $`\mathrm{\Delta }\tau `$. If $`N(\tau )`$ obeys (1), $`\mathrm{\Delta }\tau `$ is not a constant that can be factorized away: it is determined by the condition that, over $`\mathrm{\Delta }\tau `$, $`N(\tau )`$ does not change “significantly” in the interval $`[\tau ,\tau +\mathrm{\Delta }\tau ]`$, i.e., no more than by a constant factor. Using the assumed power law solution (1), this gives $`\mathrm{\Delta }\tau t_c\tau `$. Using this and inserting (1) into (4), we get,

$`m`$ $`=`$ $`{\displaystyle \frac{a/\mu }{(a/\mu )1}},t_ctc`$
$`m`$ $`=`$ $`{\displaystyle \frac{(a/\mu )1\theta H(\theta )}{(a/\mu )1}},t_ctc,`$ (5)
where $`H`$ is the Heaviside function. Note that (5) predicts an exponent $`m>1`$ which is independent of $`\theta `$ close to the critical time $`t_c`$. This is due to the fact that the time decay of the Omori’s kernel is not felt for $`t_ctc`$, where $`c`$ acts as an ultraviolet cut-off. It is also interesting to find that $`m=1`$ independently of $`a`$ and $`\theta `$ in the regime $`\theta >0`$ (with of course $`a>\mu `$) for which Omori’s kernel $`1/t^{1+\theta }`$ decays sufficiently fast at long times that the predominant contributions to the present seismic rate come from events in the immediate past of the present time of observation. In constrast, the case $`\theta <0`$ is analogous to the anomalous long-time memory regime BG  which keeps for ever the impact of past events on future rates.

This prediction, based on the careful analysis of the integral in (4), has been verified by direct numerical evaluation of the equation (4). We have also checked that numerical Monte Carlo simulations of the ETAS model generates catalogs of events following this prediction, in an ensemble or median sense. Figure 1 shows the cumulative number $`𝒩(t)=_0^t𝑑\tau N(\tau )`$ of events for a typical realization of the ETAS model and compares it with $`E_{\mathrm{max}}(t)`$ to illustrate that $`𝒩(t)`$ is mostly controlled by the sampling of $`E_{\mathrm{max}}(t)`$, as discussed in the derivation of expression (4) leading to the finite-time-singularity (1). For the value $`\mu =1`$ chosen here, $`E_{\mathrm{max}}(t)`$ follows the same power law as the cumulative number, as observed. The dashed line is the power law prediction (1) with (5) for $`a/\mu =1.5`$ and $`\theta =0.2`$ with slope $`m1=0.4`$. We have also generated 500 such catalogs and report in the inset the distribution $`d(m)`$ of exponents $`m`$ obtained by a best fit of $`𝒩(t)`$ for each of the 500 catalogs to a power law $`1/(t_ct)^{m1}`$. The median of $`d(m)`$ is exactly equal to the prediction shown by the vertical thin line while the mode is very close to it. Note however a rather large dispersion which is expected from the highly intermittent dynamics characteristic of this extreme-dominated dynamics. We now report a few comparisons between the prediction (5) and the median value of the exponent $`m`$ obtained from 500 simulations for the following parameters: $`\theta =0.2`$, $`a=1.7,\mu =1`$, predicted $`m=1.29`$, median $`m=1.37`$; $`\theta =0.2`$, $`a=1.3,\mu =1`$, predicted $`m=1.67`$, median $`m=1.61`$; $`\theta =0.1`$, $`a=1.5,\mu =1`$, predicted $`m=1.20`$, median $`m=1.29`$; $`\theta =0.3`$, $`a=1.5,\mu =1`$, predicted $`m=1.60`$, median $`m=1.62`$. For $`a>1.8\mu `$, the fluctuations are so large that a reliable determination of the median becomes questionable from a sample of 500 realizations and many more would be needed.

Figure 1 shows that the power law singularities are decorated by quite strong steps or oscillations, approximately equidistant in the variable $`\mathrm{ln}(t_ct)`$. This log-periodicity has been previously proposed as a possibly important signature of rupture and earthquake sequences approaching a critical point Sorsammis ; expcrit . Here, we present a simple novel mechanism for this observation, based on a refinement of the previous argument leading to $`E_{\mathrm{max}}(t)[N(t)\mathrm{\Delta }t]^{1/\mu }`$. Indeed, the most probable value for the energy $`E_n`$ of the $`n`$-th largest earthquake ranked from the largest $`E_1=E_{\mathrm{max}}`$ to the smallest one is given by $`E_n(t)=\{[𝒩(t)\mu +1]/[n\mu +1]\}^{1/\mu }`$ rank , where $`𝒩(t)=_0^tN(t^{})𝑑t^{}`$. Let us assume that the last new record was broken at time $`t_1`$ leading to $`E_1(t_1)=\{[𝒩(t_1)\mu +1]/[\mu +1]\}^{1/\mu }`$. The next record will occur at a time $`t_2>t_1`$ whose typical value is such that $`E_2(t_2)=E_1(t_1)`$ (the last record $`E_1(t_1)`$ becomes the second largest event $`E_2(t_2)`$ when a new record $`E_1(t_2)`$ occurs). For large $`𝒩(t)`$, this gives $`\frac{𝒩(t_2)}{𝒩(t_1)}=(2\mu +1)/(\mu +1)`$. The prefered scaling ratio of the average log-periodicity is $`\lambda (t_ct_1)/(t_ct_2)=[(2\mu +1)/(\mu +1)]^{1/(m1)}`$. For $`a/\mu =1.5,\theta =0.2,m=1.4`$ corresponding to figure 1, we obtain $`\lambda 2.3`$, which is compatible with the data.

The prediction (5) rationalizes the “inverse” Omori’s law close to $`1/(t_ct)`$ that has been documented for earthquake forshocks KKpred . The prediction (5) as well as the log-periodicity offers a general framework to rationalize several previous experimental reports of precursory acoustic emissions rates prior to global failures expcrit . In this case, the energy release rate $`e(t)`$ is found to follow a power law finite-time singularity. According to our theory, $`e(t)N(t)E_{\mathrm{max}}(t)1/(t_ct)^{m+(m1)/\mu }`$.

Finally, we also show that this could explain starquakes catalogs. Starquakes are assumed to be ruptures of a super-dense $`1`$-km thick crust made of heavy nuclei stressed by super-strong stellar magnetic field. They are observed through the associated flashes of soft $`\gamma `$-rays radiated during the rupture. Starquakes exhibit all the main stylized facts of their earthly siblings Kosso . The thick line in figure 1 shows the cumulative number of starquakes of the SGR1806-20 sequence, which is the longest sequence (of 111 events) ever attributed to the same neutron star, as a function of the logarithm of the time $`t_ct`$ to failure. The starquake data is compatible with $`\mu =1`$ Kosso , $`a=1.5`$ and $`\theta =0.2`$, leading to $`m=1.4`$.

We are grateful to V. Keilis-Borok and V. Kossobokov for sharing the starquake data with us and W.-X. Zhou for discussions and help in a preliminary analysis of the data.


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# Changing Supercycle of the ER UMa-Type Star V1159 Ori

## 1 Introduction

ER UMa stars are a subgroup of SU UMa-type dwarf novae (for a review of dwarf novae, see Osaki (1996)), whose known members are ER UMa, V1159 Ori, RZ LMi, and DI UMa. The most striking feature of ER UMa stars is the extremely short recurrence time (19–45 d) of superoutbursts (Kato, Kunjaya (1995); Nogami et al. 1995a,b; Robertson et al. (1995); Misselt, Shafter (1995); Kato et al. (1996)). Another striking feature of ER UMa stars is the stability of supercycles, both in their lengths and outburst pattern. The best exemplification of this stability can be seen in folded light curves and $`OC`$ figures presented in Robertson et al. (1995). The extremely short supercycle length and the stability of the outburst patterns are basically explained, within the framework of the disk-instability model, as a result of constant high mass-transfer rates from the secondary Osaki (1995a). The mass-transfer rates in SU UMa-type dwarf novae are generally considered to be confined to a small range determined by angular-momentum removal by the gravitational wave radiation. The origin of high-mass transfer rates in ER UMa stars is still an open question. Some models assume irradiation effect from a hot white dwarf, which may be the result of a hypothetical recent nova eruption (the possibility was originally raised by Nogami et al. 1995b, see also Patterson (1998)). An examination of any secular changes in the supercycle in these systems would provide an essential clue for testing these hypotheses.

## 2 Observation and Analysis

We examined the observations posted to VSNET $``$http://www.kusastro.kyoto-u.ac.jp/vsnet/$``$, and found an appreciable change in one of the ER UMa stars, V1159 Ori. The object has been very well sampled by many observers around the world since 1995 September (figure 1).

The time of the start of a superoutburst was defined as its mid-rising branch. Although occasional observational gaps introduced an uncertainty of 1–2 d, most of these superoutbursts were well sampled and the times were usually determined within an uncertainty of 1 d. Table 1 lists the observed times of superoutbursts. The cycle number ($`E`$) represents number of supercycles since the JD 2449982 superoutburst.

A regression to these times has yielded a linear ephemeris of $`2449962.9+46.82E`$. The derived supercycle length of 46.82 d is slightly longer than the 44.5 d by Robertson et al. (1995). Figure 2 shows the $`OC`$ diagram against this ephemeris. The most remarkable feature is the presence of large $`OC`$ changes compared to Robertson et al. (1995). This large change is mainly caused by an increase in the supercycle length between $`E=29`$ and $`E=36`$, corresponding to the period between 1999 May and 2000 May. The supercycle during interval is 53.3 d, which is 14% longer than the long-term average. Such a large change in supercycle has not been seen in ER UMa.

## 3 Discussion

The long-term average of the supercycle lengths in V1159 Ori, being close to the minimum value predicted by Osaki (1995a), the supercycle length near this period is expected to be insensitive to the mass-transfer rate from the secondary. If the observed change in V1159 Ori was caused by the variable mass-transfer rate, a relatively large change is necessary to reproduce the observation. Using the $`\dot{M}\mathrm{supercycle}`$ diagram in Osaki (1995a), a supercycle of 53.3 d corresponds to a reduction of $``$40% of mass-transfer rates from what is expected for a 44.5-d supercycle. The marked reduction of the superoutburst duty cycle during this period (figure 3) also supports this interpretation.

Another observational evidence of a large period change in ER UMa stars has been reported in DI UMa (Fried et al., 1999). However, the extreme shortness of supercycles in DI UMa and RZ LMi requires an additional (still poorly identified) mechanism (Osaki 1995a), and its change may be of different nature. Another noteworthy feature in the observed $`OC`$ diagram of V1159 Ori is a possible periodicity with a period of $``$38 cycles, corresponding to $``$1800 d, rather than a monotonous change originally proposed by Robertson et al. (1995); this is contrary to the expected effect by decreasing heating from a hypothetical recent nova eruption on a white dwarf. The observed possible long-term period is close to those observed as possible solar-type cycles in cataclysmic variables (e.g. Bianchini (1988); Ak et al. (2001)). If such a “solar-type” cycle is responsible for the change in the supercycle of V1159 Ori, this may provide promising evidence for the presence of magnetic activity in dwarf novae below the period gap, which has usually been considered to cease, or to be markedly reduced, when the secondary becomes fully convective after crossing the period gap. Furthermore, the continuing magnetic activity may be one of the mechanisms for effectively removing the angular momentum from the binary system, by which the required high mass-transfer in ER UMa-type systems may be partly explained.

The author is grateful to VSNET members, especially to Rod Stubbings, Gene Hanson, Gary Poyner, Andrew Pearce, Seiichiro Kiyota, Eddy Muyllaert, Tsutomu Watanabe and numerous observes for providing vital observations.


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# Physical Conditions in Lyman Break Galaxies Derived From Rest-Frame UV Spectra

## 1. Introduction

Until now, Lyman Break Galaxy (LBG) rest-frame UV spectra have been primarily used to measure redshifts. The measured redshifts confirm the high-redshift nature of galaxy candidates selected by their distinctive broadband optical colors (Steidel et al. 1996); enable the study of the spatial clustering of these galaxies (Adelberger et al. 1998); and, when combined with the apparent magnitudes and colors of LBGs, can be used to construct the rest-frame UV luminosity function and UV luminosity density at $`z3`$ (Steidel et al. 1999).

## 2. LBG Spectra

### 2.1. A Special Case: MS1512-cB58

One notable exception is the galaxy MS1512-cB58, a LBG at $`z=2.73`$, discovered serendipitously by Yee et al. (1996) during the CNOC cluster redshift survey. cB58 has an apparent $`V`$ magnitude of 20.6, due to lensing by a foreground cluster at $`z=0.37`$, which boosts its apparent luminosity by about a factor of $`30`$ (Seitz et al. 1998). Due to the incredibly bright nature of cB58, a wealth of information has been extracted from medium-resolution ($`R5000`$) studies of its rest-frame UV spectrum (Pettini et al. 2000, 2001). The velocity profiles of low and high-ionization interstellar metal absorption features have been characterized in detail; the weakest interstellar metal transitions have been used together with the damped Lyman-$`\alpha `$ absorption profile to determine the abundance pattern in cB58 (an $`\alpha `$/Fe enhancement indicative of a young stellar population, and an abundance of $`2/5Z_{}`$ for the $`\alpha `$ elements); CIV and SIV P-Cygni stellar wind profiles have been used as independent probes of the stellar population and metallicity of cB58; weak stellar absorption features have been used to precisely measure the systemic velocity of the stars in cB58, relative to which the redshifts of Lyman $`\alpha `$ emission and interstellar absorption indicate offsets of several hundred km s<sup>-1</sup>; finally, the strengths of the strongest interstellar absorption features (which have zero transmission at line center) have been used to infer a high covering fraction of absorbing material, through which negligible Lyman continuum emission can escape (Heckman et al. 2001).

### 2.2. Typical LBG Spectra

In stark contrast to the spectra of cB58, the $`12.5\mathrm{\AA }`$ resolution spectra obtained for unlensed LBGs ($`R_{AB}=2325.5`$) after 1.5 hours of integration with the Keck telescopes’ Low Resolution Imaging Spectrometer (Oke et al. 1995) typically have signal-to-noise ratios of only a few, and therefore do not allow for the same type of detailed study on an individual basis. The only features visible in even the best spectra are Lyman $`\alpha `$ (in emission, absorption, or both), and the strongest interstellar absorption features, whose saturated equivalent widths are indicative of some combination of velocity widths and covering factor, but not abundance measures.

### 2.3. Composite LBG spectra

While individual LBG spectra provide limited information, our group has assembled a database of almost 1000 spectra of $`z2`$ galaxies over the past five years. Subsamples of galaxies can be drawn from the database with specific criteria, and used to construct higher S/N composite spectra. For example, a composite spectrum constructed from 29 LBGs at $`z=3.4\pm 0.09`$ indicates significant positive flux bluewards of the Lyman cutoff at $`912\mathrm{\AA }`$ (Steidel, Pettini, & Adelberger 2001). If this composite spectrum is taken to be representative of LBGs at $`z3`$, then the LBG contribution to the ionizing background at $`z3`$ could exceed that of QSOs at similar redshifts by as much as a factor of 5. It should be noted that this composite spectrum inhabits an extreme of LBG UV spectral parameter space, with strong Lyman $`\alpha `$ emission, a blue UV continuum slope, and interstellar absorption lines whose equivalent widths are roughly half the strength of those seen in cB58. Also, separate composite spectra constructed for 16 “young” ($`t`$ 35 Myr) and 16 “old” ($`t`$ 1 Gyr) LBGs, (whose stellar population parameters were determined from optical/IR photometry) exhibited systematic differences. The “old” spectrum had much stronger Lyman $`\alpha `$ emission, while the “young” spectrum had stronger interstellar absorption lines (indicating larger velocity widths or covering fraction of gas), and more pronounced P-Cygni high-ionization stellar wind features (Shapley et al. 2001).

## 3. Preliminary Results

Building on the above pilot studies which included composite LBG rest-frame UV spectra, we are now undertaking a systematic analysis of our entire database of spectra. These spectra primarily probe outflowing material which is being propelled by the mechanical energy input from active star-formation. In order to study the physical parameters of these outflows, we will determine how line strengths and kinematics vary in composite spectra constructed along sequences of properties such as UV-luminosity and color, bolometric luminosity, morphology (from HST), redshift, and Lyman $`\alpha `$ profile.

### 3.1. Lyman $`\alpha `$ vs. Reddening, Equivalent Widths, and Kinematics

As a first step, we have divided our sample according to a crude classification of Lyman $`\alpha `$ profile, and see intriguing variations in the resulting composite spectra. Based on the result of Steidel et al. 2000 that the distribution of LBG rest-frame Lyman $`\alpha `$ equivalent widths has a median of $`0\mathrm{\AA }`$ and ranges from $`100\mathrm{\AA }`$ to $`100\mathrm{\AA }`$, we divide galaxies into Lyman $`\alpha `$ “emission”, “emission/absorption”, and “absorption” subsamples. Figure 1 shows the resulting composite spectra, each of which contains more than 200 galaxies, and has a S/N per pixel of $`25`$.

We find that the UV continuum shape becomes systematically redder with increasing Lyman $`\alpha `$ absorption strength, indicating that both the UV continuum and Lyman $`\alpha `$ photons are affected by dust extinction, and providing information about the dust-gas geometry in LBGs. We also find that the equivalent widths of low-ionization interstellar features of SiII, OI, CII, FeII, and AlII, associated with the neutral ISM, increase with larger Lyman $`\alpha `$ absorption strength. As stated above, these equivalent widths are not indicative of abundances, but rather velocity widths, and possibly ISM covering factor. Therefore, the larger equivalent widths associated with the “absorption” spectrum indicate a larger velocity field, or possibly an ISM which is more opaque to ionizing radiation. We note that the spectrum of cB58 most closely resembles that of the composite “absorption” spectrum, whereas the composite spectrum used to measure the LBG Lyman continuum leakage has Lyman $`\alpha `$ emission and metal absorption strengths which are similar to that of the “emission” composite spectrum. Finally, kinematic properties of LBG outflows seem to depend on the Lyman $`\alpha `$ profile. The mean rest-frame velocity offset between Lyman $`\alpha `$ emission and interstellar absorption lines is $`\mathrm{\Delta }v=630\mathrm{km}^1\mathrm{s}`$ ($`\mathrm{\Delta }z=0.008`$), however, the velocity offset decreases with increasing Lyman $`\alpha `$ emission strength. We have yet to determine whether this trend is dominated by ISM geometry, or evolutionary effects.

## 4. Conclusions and Future Work

Rapid star-formation has a profound effect on the ISM of LBGs, as seen in the large absorption equivalent widths and significant velocity offsets between rest-frame UV emission and absorption features. The effects of star-formation also extend to the surrounding inter-galactic medium, through the leakage of Lyman continuum emission, and from shock heating by outflowing material. A systematic analysis of the rest-frame UV spectroscopic of LBGs will help us understand how star-formation transforms both galaxies and their surrounding environment at $`z3`$.

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