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# Theoretical Status of Muon (g-2)

## 1 Introduction

In this talk we discuss the current status of theory vs experiment for $`a_\mu =(g_\mu 2)/2`$ and the implications for new physics. Recently a reevaluation of the light by light hadronic contribution to $`a_\mu `$ has resulted in a change in the sign of this contribution reducing the difference between the BNL experimental result and the standard model prediction from $`2.6\sigma `$ to $`1.6\sigma `$. In view of this change we reconsider the implications for supersymmetry. We carry out the analysis using a $`1\sigma `$ and a $`1.5\sigma `$ error corridor around the central value of the difference between experiment and theory. For the $`1\sigma `$ analysis we find that the upper limits on sparticle masses remain unchanged from those predicted with the $`2.6\sigma `$ difference between experiment and the standard model result with a $`2\sigma `$ error corridor. For the $`1.5\sigma `$ analysis we find that the upper limits are substantially increased from the old analysis and the upper limits of the sparticle masses may lie on the borderline or beyond of what is accessible at the Large Hadron Collider. An important result that arises from the Brookhaven experiment is that the sign of the $`\mu `$ parameter is determined to be positive for a broad class of supersymmetric models. However, it is known that Yukawa coupling unification typically prefers a negative $`\mu `$. We discuss a possible way out of this problem using nonuniversality of gaugino masses. Finally we consider the implications of the Brookhaven result for neutralino relic density and for the direct detection of supersymmetric dark matter in dark matter detectors.

## 2 $`g_\mu 2`$: Experiment vs Standard Model

Over the last three months the theoretical prediction of $`a_\mu `$ in the standard model has undergone a significant revision because of the change in sign of the light by light (LbL) hadronic correction to $`a_\mu `$. Thus the previous average for $`a_\mu ^{had}(LbL)`$ washayakawa ; bijnens  $`a_\mu ^{had}(LbL)=8.5(2.5)\times 10^{10}`$. However, recent reevaluationsknecht ; hkrevised ; Blokland ; Bijnens2 ; Ramsey  give a $`a_\mu ^{had}(LbL)`$ opposite in sign to the previous evaluations. The reevaluations are summarized in Table 1.

| Table 1: light by light hadronic correction | |
| --- | --- |
| authors | $`a_\mu ^{had}(LbL)`$ |
| Knecht et. al.knecht | $`8.3(1.2)\times 10^{10}`$ |
| Hayakawa & Kinoshitahkrevised | $`8.9(1.5)\times 10^{10}`$ |
| Bijnens et. al.Bijnens2 | $`(8.3\pm 3.2)\times 10^{10}`$ |
| Blockland et. al.Blokland  ($`\pi ^0`$) | $`5.6\times 10^{10}`$ |

Now with the old value of the LbL hadronic correction the total standard model prediction of $`a_\mu ^{SM}=a_\mu ^{QED}+a_\mu ^{EW}+a_\mu ^{had}`$ was $`a_\mu ^{SM}=11659159.7(6.7)\times 10^{10}`$. Using the BNL experimental resultbrown  of $`a_\mu ^{exp}=11659203(15)\times 10^{10}`$ one finds $`a_\mu ^{exp}a_\mu ^{SM}=43(16)\times 10^{10}`$ which gives the old $`2.6\sigma `$ deviation between experiment and the standard model. However, taking an average of the top three entries in Table 1 for $`a_\mu ^{had}(LbL)`$ the revised difference between experiment and the standard model is

$$a_\mu ^{exp}a_\mu ^{SM}=26(16)\times 10^{10}$$
(1)
which is now only a $`1.6\sigma `$ deviation between experiment and the standard model prediction. \[More recently another evaluation of $`a_\mu ^{had}(LbL)`$ based on chiral perturbation theory has been given in Ref.Ramsey  which gives $`a_\mu ^{had}(LbL)=(5.5_6^{+5}+3.1\widehat{C})\times 10^{10}`$ where $`\widehat{C}`$ stands for unknown low energy constants arising from subleading contributions. The authors of Ref.Ramsey  view a $`\widehat{C}`$ range of $`3`$ to 3 or even larger as not unreasonable. The result of Eq.(1) corresponds essentially to a $`\widehat{C}=1`$ and a much larger value will significantly affect Eq.(1) and the conclusions resulting from it.\] Aside from the issue of LbL hadronic correction, the remaining part of the hadronic correction contains $`\alpha ^2`$ and $`\alpha ^3`$ vacuum polarization corrections. In the deduction of Eq.(1) we used the evaluation of Ref.davier  for the $`\alpha ^2`$ correction. However, there is considerable amount of controversy regarding these corrections and this issue is still under scrutinyhadronic .

## 3 Supersymmetric correction to $`g_\mu 2`$

If indeed there is discrepancy between experiment and the standard model prediction of $`a_\mu `$ then it would have important implications for new physics. Such new physics could be supersymmetry, compact extra dimensions, muon compositeness,techni-color, anomalous W couplings, new gauge bosons, lepto-quarks, or radiative muon massesczar1 . We focus here on supersymmetric models and specifically on supergravity modelsmsugra  which arise from gravity mediated breaking of supersymmetry. The soft SUSY breaking sector of the minimal supergravity model (mSUGRA) is defined by four parameters: these consist of the universal scalar mass $`m_0`$, the universal gaugino mass $`m_{1/2}`$, the universal trilinear coupling $`A_0`$ and $`\mathrm{tan}\beta =<H_2>/<H_1>`$ where $`H_2`$ gives mass to the up quark and $`H_1`$ gives mass to the down quarks and the leptons. We will use SUGRA models as a benchmark and similar analyses can be carried out in other models such as those based on gauge mediation and anomaly mediation breaking mechanisms of supersymmetry. We begin by discussing the basic one loop contribution to $`g_\mu 2`$ in supersymmetryyuan . Here the basic contributions are from the chargino $`\stackrel{~}{W}`$ and neutralino $`\chi _i`$ (i=1,.,4) exchange. For the CP conserving case the chargino contribution is the largest and here one has

$$a_\mu ^{\stackrel{~}{W}}=\frac{m_\mu ^2}{48\pi ^2}\frac{A_{R}^{(a)}{}_{}{}^{2}}{m_{\stackrel{~}{W}_a}^2}F_1(\left(\frac{m_{\stackrel{~}{\nu }}}{m_{\stackrel{~}{W}_a}}\right)^2)+\frac{m_\mu }{8\pi ^2}\frac{A_R^{(a)}A_L^{(a)}}{m_{\stackrel{~}{W}_a}}F_2(\left(\frac{m_{\stackrel{~}{\nu }}}{m_{\stackrel{~}{W}_a}}\right)^2)$$
(2)
where $`A_L(A_R)`$ are the left(right) chiral amplitudes and are defined by

$`A_R^{(1)}={\displaystyle \frac{e}{\sqrt{2}\mathrm{sin}\theta _W}}\mathrm{cos}\gamma _1;A_L^{(1)}=(1)^\theta {\displaystyle \frac{em_\mu \mathrm{cos}\gamma _2}{2M_W\mathrm{sin}\theta _W\mathrm{cos}\beta }}`$
$`A_R^{(2)}={\displaystyle \frac{e}{\sqrt{2}\mathrm{sin}\theta _W}}\mathrm{sin}\gamma _1;A_L^{(2)}={\displaystyle \frac{em_\mu \mathrm{sin}\gamma _2}{2M_W\mathrm{sin}\theta _W\mathrm{cos}\beta }}`$ (3)
and where $`\gamma _i`$ are the mixing angles and $`F_1,F_2`$ are form factors. Recently, the absolute signs of the supersymmetric contribution was checked by taking the supersymmetric limitin . There are some interesting features of the SUSY contribution. One finds that since $`A_L1/\mathrm{cos}\beta `$ one haslopez ; chatto  $`a_\mu ^{SUSY}\mathrm{tan}\beta `$. Further, it is easy to show that the sign of $`a_\mu ^{SUSY}`$ is correlated with the sign of $`\mu `$lopez ; chatto . Thus one finds that $`a_\mu ^{SUSY}>0`$ for $`\mu >0`$ and $`a_\mu ^{SUSY}<0`$ for $`\mu <0`$ where we use the sign convention of Ref.sugra .

## 4  Implications of Data

### Upper limits on sparticle masses

Soon after the BNL result became availablebrown  a large number of analyses appeared in the literatures exploring the implications of the results for new physicseverett . These analyses were based on the result $`a_\mu ^{exp}a_\mu ^{SM}=43(16)\times 10^{10}`$ which as is now realized is based on using the wrong sign of the light by light hadronic correction. Using the above result and a the 2$`\sigma `$ error corridor so that $`10.6\times 10^{10}<`$$`a_\mu ^{SUSY}`$$`<76.2\times 10^{10}`$ the BNL data leads to the following sparticle mass limits in mSUGRAchatto2 : $`m_{\stackrel{~}{W}}650\mathrm{GeV},m_{\stackrel{~}{\nu }}1.5\mathrm{TeV}(\mathrm{tan}\beta 55)`$ and $`m_{1/2}800\mathrm{GeV},m_01.5\mathrm{TeV}(\mathrm{tan}\beta 55)`$. Since the LHC can explore squarks/gluinos up to 2 TeV the BNL result implies that sparticles should become visible at the LHCcms .

Next we assess the situation as a consequence of the change in the sign of the light by light hadronic correction which results in Eq.(1). In this case a $`2\sigma `$ error corridor would not lead to upper limits for the sparticle masses. However, one can get interesting constraints if one imposes a $`1\sigma `$ or a $`1.5\sigma `$ constraint. A $`1\sigma `$ constraint actually yields exactly the same upper limits as before so in this case the analysis of Ref.chatto2  remains valid as far as the upper limits are concerned. The case of $`1.5\sigma `$ was analyzed in Ref.ccnyuk  and it was found, as expected, that the upper limits go up considerably. In Fig.(1) results are presented for the case of $`\mathrm{tan}\beta =45`$. Here one finds that the upper limits on $`m_0`$ and $`m_{1/2}`$ are considerably larger than for the analysis of Ref.chatto2 . Specifically one finds from Fig.(1) that the upper limit on $`m_0`$ in the range of the parameter space exhibited already exceeds 2.5 TeV which is on the borderline of the reach of the LHC. The upper limits for other values of $`\mathrm{tan}\beta `$ are sharply dependent on the value of $`\mathrm{tan}\beta `$. A more complete analysis of the constraint for the $`1.5\sigma `$ case can be found in Ref.ccnyuk .

Another interesting implication of the BNL result is that under the assumption of CP conservation and setting $`a_\mu ^{SUSY}=`$$`a_\mu ^{exp}a_\mu ^{SM}`$ the BNL data determines $`sign(\mu )=+1`$ (see, e.g., Ref.chatto2 ). It known that $`\mu >0`$ is favored by the $`bs+\gamma `$ constraintbsgamma ; bsgammanew  and also favored for dark matter searches. The implications of $`\mu >0`$ for dark matter will be discussed in further detail below. One issue of concern relates to the possibility that the supersymmetric effects may be masked by effects arising from low lying extra dimensions. This possibility was examined in Ref.ny1  in a model with one large extra dimension compactified on $`S^1/Z_2`$ with radius R ($`M_R=1/R=O(\mathrm{TeV})`$). The extra dimension contributes to the Fermi constant and by a comparison of the standard model prediction with the experimental value of the Fermi constantny1  one can place a limit on the extra dimension of about $`M_R>3`$ TeV. With this size value of $`M_R`$ one finds that the contribution of the extra dimension to $`a_\mu `$ is negligibleny1  compared to the supersymmetric contribution. For the case of strong gravity the effect on $`a_\mu `$ from the Kaluza-Klein excitations of the graviton in the case d=2 is also smallgraesser  since here the fundamental Planck scale $`M_{}`$ is found to have a lower limit of $`M_{}>3.5`$ TeV from the recent gravity experimentgravity . The above exhibits the fact that $`g_\mu 2`$ is not an efficient probe of extra dimensions. Other techniques such as energetic dileptonic signals at LHC would be more efficient signals for the exploration of extra dimensionsnyy . An important effect that can modify the supersymmetric contribution is the effect of CP violating phases. This topic has been analyzed in several worksin . Specifically it is found that the BNL data can be used to constrain the CP phases and strong constraint on the phases are found to existicn .

### Positivity of $`\mu `$ and Yukawa Unification

We discuss now another aspect of the $`g_\mu 2`$ constraint and this concerns Yukawa unification in supersymmetric models. It has been known for some time that $`b\tau `$ Yukawa coupling unification typically prefers a negative $`\mu `$bagger ; deboer . Thus the positively of the $`\mu `$ sign implied by the BNL data appears a priori to pose a problem for Yukawa unification. Now the reason why Yukawa unification typically prefers a negative $`\mu `$ is easily understood from the fact that such unification requires a negative supersymmetric correction to the b quark mass and a negative correction to the b quark mass is easily obtained when $`\mu `$ is negative. To illustrate this phenomenon we consider the gluino and chargino exchanges which contribute the largest supersymmetric correction to the b quark mass. Thus one hassusybtmass  $`\mathrm{\Delta }_b^{\stackrel{~}{g}}=\frac{2\alpha _3\mu M_{\stackrel{~}{g}}}{3\pi }\mathrm{tan}\beta I(m_{\stackrel{~}{b}_1}^2,m_{\stackrel{~}{b}_2}^2,M_{\stackrel{~}{g}}^2)`$ and $`\mathrm{\Delta }_b^{\stackrel{~}{\chi }^+}=\frac{Y_t\mu A_t}{4\pi }\mathrm{tan}\beta I(m_{\stackrel{~}{t}_1}^2,m_{\stackrel{~}{t}_2}^2,\mu ^2)`$ where $`Y_t=\lambda _t^2/4\pi `$ where $`I>0`$. Generally the gluino exchange contribution tends to be the larger one and here one finds that for a positive $`M_{\stackrel{~}{g}}`$ which is typically the case a negative $`\mu `$ indeed leads to a negative correction to the b quark mass which in turn leads to the usual result that $`b\tau `$ unification prefers a negative $`\mu `$.

There are several solutions discussed recently to overcome this problembf ; bdr ; ky ; cnbtau . One simple possibility discussed in Refs.ky ; cnbtau  is that of nonuniversal gaugino masses where the sign of the gluino mass is negative relative to the mass of the SU(2) gaugino mass. In this case one can obtain a negative contribution to the b quark mass while maintaining a positive $`\mu `$. The basic idea is that with nonuniversalities one can have the sign of $`SU(2)`$ and $`SU(3)`$ gauginos to be opposite. A positive positive $`\mu `$ and a positive $`\stackrel{~}{m}_2`$ are consistent with the BNL data, while a positive $`\mu `$ and a negative $`\stackrel{~}{m}_3`$ gives a negative correction to the b qaurk mass and leads to $`b\tau `$ unification. We considered two classes of models, one based on SU(5) and the other on SO(10). For the SU(5) case one has that the the gaugino mass matrix can transform like the symmetric product of $`(24\times 24)_{sym}`$ which has the expansion of $`1+24+75+200`$. In this case the gaugino masses arising from the 24 plet has the opposite sign between the SU(2) and SU(3) gauginosanderson . Thus one can choose $`\mu `$ positive and the gluino mass to be negative which gives a negative contribution to the b quark mass and allows for the satisfaction of the $`b\tau `$ unification constraints. The degree of unification defined by $`\delta _{b\tau }=(|\lambda _b\lambda _\tau |)/\lambda _\tau `$ vs the correction to the b quark mass is exhibited in Fig.(2) for the 24 plet case with a positive $`\mu `$ sign. One finds that $`b\tau `$ unification can be satisfied to a high degree of accuracy with an appropriate negative correction $`\mathrm{\Delta }_b`$ to the b quark mass. A similar analysis holds for the SO(10) case. Here the gaugino mass matrix can transform like symmetric product of $`(45\times 45)_{sym}`$ which has the expansion of $`1+54+210+770`$. Here for the case when the symmetry breaking occurs pattern is of the form $`SO(10)SU(4)`$$`\times SU(2)\times SU(2)`$ $`SU(3)\times SU(2)\times U(1)`$ one finds that the $`SU(3),SU(2),U(1)`$ gaugino masses arising from the 54 plet are in the ratiochamoun  $`M_3:M_2:M_1`$$`=1:3/2:1`$. However, for the symmetry pattern $`SO(10)SU(2)`$$`\times SO(7)`$ $`SU(3)\times SU(2)\times U(1)`$ one finds that the $`SU(3),SU(2)`$, and $`U(1)`$ gaugino masses arising from the 54 plet are in the ratiochamoun  $`M_3:M_2:M_1`$$`=1:7/3:1`$. We will call this case $`54^{}`$. An analysis similar to that for the 24 plet case can be carried out for the 54 and $`54^{}`$ cases and one finds that $`b\tau `$ unification occurs once again for these cases.

### Implications for Relic Density and Dark Matter Search

As noted earlier the BNL data indicates a positive value of $`\mu `$ for mSUGRA. This result has important implications for dark matter. As already indicated a positive $`\mu `$ is preferred by the constraint imposed by the flavor changing neutral current process $`bs+\gamma `$bsgamma  in that the experimental value for this branching ratio imposes severe constraints on the SUSY parameter space for the negative sign of $`\mu `$ but imposes much less stringent constraints on the parameter space for a positive value of $`\mu `$. Thus a positive $`\mu `$ is more favorable for supersymmetric dark matter analysis in that it allows for a large amount of the parameter space of the model where relic density constraints can be satisfied along with satisfying the $`bs+\gamma `$ constraint. Furthermore, it also turns out that detection rates for a positive $`\mu `$ are generally larger than for a negative $`\mu `$. Thus after the BNL data became available it was immediately realized that the positive $`\mu `$ sign indicated by the BNL data was favorable for dark matter searcheschatto2 ; everett . More detailed analyses were done in several subsequent works and the parameter space of mSUGRA was further constrained from the relic density constraints. Now another way that the BNL data constrains dark matter is through the Yukawa unification conditions. Here we discuss the implications of this constraint on dark matter. As discussed in the section on $`b\tau `$ unification above, one finds that this unification can be achieved with a positive $`\mu `$ in a variety of ways. One possibility discussed above arose from nonuniversal gaugino masses. We discussed two main scenarios for nonuniversalities corresponding to the SU(5) and SO(10) cases. For SU(5) the gaugino mass nonuniversalities arising from the 24 plet case allows a negative contribution to the b quark mass with a positive $`\mu `$ and leads to regions of the parameter space where $`b\tau `$ unification occurs. Analysis in this region exhibits that all of the spectrum lies within the usual naturalness limitsccn . It is interesting to investigate if this region of the parameter space also leads to a satisfaction of the relic density constraint. We consider a rather liberal corridor here corresponding to the range $`0.02\mathrm{\Omega }h^20.3`$. The analysis shows that significant regions of the parameter space exist where these constraints are satisfied. An analysis of the detection rates in the direct detection of dark matter was also givenccnyuk . One findsccnyuk  that the detection rates lie in a range that can be fully explored in the new generation of experiments currently underway and those which are planned in the future (see, e.g., Ref.genius ). A similar analysis can be carried out for the SO(10) case. The sparticle masses consistent with the BNL $`1\sigma `$ constraint as given by Eq.(1), consistant with the $`bs+\gamma `$ constraint and consistent with the relic constraint are given in Table 2 for the 24 plet case of SU(5) and for the 54 and $`54^{}`$ cases of SO(10).

| Table 2: Sparticle mass ranges for 24, 54, and $`54^{}`$ cases from Ref.ccnyuk | | | |
| --- | --- | --- | --- |
| Particle | 24 (GeV) | 54 (GeV) | $`54^{}`$ (GeV) |
| $`\chi _1^0`$ | 32.3 - 75.2 | 32.3 - 81.0 | 32.3 - 33.4 |
| $`\chi _1^\pm `$ | 86.9 - 422.6 | 94.6 - 240.8 | 145.8 - 153.9 |
| $`\stackrel{~}{g}`$ | 479.5 - 1077.2 | 232.5 - 580.3 | 229.8 - 237.4 |
| $`\stackrel{~}{\mu }_1`$ | 299.7 - 1295.9 | 480.5 - 1536.8 | 813.1 - 1196.3 |
| $`\stackrel{~}{\tau }_1`$ | 203.5 - 1045.1 | 294.2 - 1172.6 | 579.4 - 863.7 |
| $`\stackrel{~}{u}_1`$ | 533.6 - 1407.2 | 566.7 - 1506.4 | 822.9 - 1199.8 |
| $`\stackrel{~}{d}_1`$ | 535.1 - 1407.5 | 580.3 - 1546.2 | 845.1 - 1232.5 |
| $`\stackrel{~}{t}_1`$ | 369.9 - 975.2 | 271.5 - 999.6 | 513.7 - 819.9 |
| $`\stackrel{~}{b}_1`$ | 488.2 - 1152.8 | 158.1 - 1042.0 | 453.2 - 749.9 |
| $`h`$ | 104.3 - 114.3 | 103.8 - 113.3 | 108.1 - 110.9 |

Here one finds some interesting features in the spectrum. Thus in these scenarios the neturalino mass lies below 81 GeV and the higgs boson mass lies below 115 GeV in the three scenarios considered in Table 2. The Higgs mass ranges of Table 2 are consistent with the current Higgs mass limits from LEPlephiggs  taking into account the $`\mathrm{tan}\beta `$ dependenceSopczak . Further these mass ranges can be fully explored in RUNII of the Tevatron. Similarly the mass ranges of the other sparticle masses of Table 2 can be explored in RUNII of the Tevatron via the trileptonic signaltrilep  and other techniquessugra  while the full range for most of the spectrum of Table 2 can be explored at the LHCcms .

## 5 Conclusion

There is a significant amount of more data from the 2000 runs and BNL eventually hopes to measure $`a_\mu `$ to an accuracy of $`4\times 10^{10}`$. On the other hand, reanalyses of the hadronic correction are still underway to pin down further the size of these corrections. If the deviation between the central value of experiment and the standard model prediction persists at the current level but the error is significantly reduced one could still see a possibility of approaching the discovery limit. Needless to say the implications of a sizable deviation between experiment and theory are enormous as forseen in early worksyuan  and elucidated further in several subsequent workslopez ; chatto ; everett ; chatto2 . Specifically, the light Higgs boson should show up in RUNII of the Tevatron and most of the sparticles ($`\stackrel{~}{g},\stackrel{~}{q},\stackrel{~}{W},`$ etc) should become visible at the LHC. Further, a positive $`\mu `$ sign implied by the BNL data along with a low lying sparticle spectrum is very encouraging for the search for supersymmetric dark matter.

This work was supported in part by NSF grant PHY-9901057.


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# Is the Boston Subway a Small-World Network?

## Abstract

The mathematical study of the small-world concept has fostered quite some interest, showing that small-world features can be identified for some abstract classes of networks. However, passing to real complex systems, as for instance transportation networks, shows a number of new problems that make current analysis impossible. In this paper we show how a more refined kind of analysis, relying on transportation efficiency, can in fact be used to overcome such problems, and to give precious insights on the general characteristics of real transportation networks, eventually providing a picture where the small-world comes back as underlying construction principle.

,

The characterization of the structural properties of the underlying network is a very crucial issue to understand the function of a complex system . For example, the structure of a social network affects spreading of information, fashions, rumors but also of epidemics over the network; the topological properties of a computer network (Internet, the World Wide Web) affect the efficiency of the communication. Only recently the accessibility of databases of real networks and the availability of powerful computers have made possible a series of empirical studies . In  Watts and Strogatz have shown that the connection topology of some (social, biological and technological) networks is neither completely regular nor completely random . Watts and Strogatz have named these networks, that are somehow in between regular and random networks, small worlds, in analogy with the small-world phenomenon observed in social systems . The mathematical characterization of the small-world behavior is based on the evaluation of two quantities, the characteristic path length $`L`$, measuring the typical separation between two generic nodes in the network and the clustering coefficient $`C`$, measuring the average cliquishness of a node. Small-world networks are in fact highly clustered, like regular lattices, yet having small characteristics path lengths, like random graphs.

Although the initial small-world concept came from social networks, having a mathematical characterization makes it tempting to apply the same concept to any network representative of a complex system. This grand plan clashes with the fact that the mathematical formalism of  suffers from severe limitations: 1) it applies only to some cases, whereas in general the two quantities $`L`$ and $`C`$ are ill-defined; 2) it works only in the topological abstraction, where the only information retained is about the existence or the absence of a link, and nothing is known about the physical length of the link.
In this paper we take as paradigmatic example of real complex systems the realm of transportation (and use the Boston public transportation system as real-world representative instance), showing how the passage from abstract social networks to applied complex systems present in nature poses new challenges, that can in fact be overcome using a more general formalism developed in ref.  for weighted networks.

The MBTA (Boston underground transportation system) consists of $`N=124`$ stations and $`K=124`$ tunnels (connecting couples of stations) extending throughout Boston and the other cities of the Massachusetts Bay . This network can be considered as a graph with $`N`$ nodes and $`K`$ edges and is represented by the adjacency (or connection) matrix $`\{a_{ij}\}`$, i.e. the $`NN`$ matrix whose entry $`a_{ij}`$ is $`1`$ if there is an edge joining node $`i`$ to node $`j`$ and $`0`$ otherwise, and by $`\{\mathrm{}_{ij}\}`$ the matrix of the spatial (geographical) distances between stations. According to the formalism of ref. , valid for a subclass of unweighted (topological) networks, the information contained in $`\{\mathrm{}_{ij}\}`$ is not used (as if $`\mathrm{}_{ij}=1ij`$) and the shortest path length $`d_{ij}`$ between two generic vertices $`i`$ and $`j`$ is extracted by using only $`\{a_{ij}\}`$. The characteristic path length $`L`$ is the average distance between two generic vertices: $`L=\frac{1}{N(N1)}_{ij}d_{ij}`$. The clustering coefficient $`C`$ is a local property defined as follows. If the node $`i`$ has $`k_i`$ neighbors, then at most $`k_i(k_i1)/2`$ edges can exist between them; $`C_i`$ is the fraction of these edges that actually exist, and $`C`$ is the average value $`C=\frac{1}{N}_iC_i`$. If we apply this method to try to study the MBTA, we obtain $`L=15.55`$ (an average of 15 steps, or 15 stations to connect 2 generic stations), while $`C`$ is not well defined since there are few nodes nodes with only 1 neighbours, and then $`C_i=\frac{0}{0}`$ for these nodes. In any case to decide if the MBTA is a small world we have to compare the $`L`$ and $`C`$ obtained to the respective values for a random graph with the same $`N`$ and $`K`$. When we consider a random graph we incur into the same problem for $`C`$; moreover we get $`L=\mathrm{}`$ because in most of the realizations of the random graph there are some nodes not connected to the remaining part of the network. Summing up, by mean of $`L`$ and $`C`$ we are unable to draw any conclusion.
Now we propose our alternative formalism (based on ref. ), valid for weighted, and also disconnected networks. The matrix of the shortest path lengths $`\{d_{i,j}\}`$ is now calculated by using the information contained both in $`\{a_{ij}\}`$ and in $`\{l_{ij}\}`$. Instead of $`L`$ and $`C`$, the network is characterized in terms of how efficiently it propagates information on a global and on a local scale respectively. We assume that the efficiency $`ϵ_{ij}`$ in the communication between node $`i`$ and $`j`$ is inversely proportional to the shortest distance: $`ϵ_{ij}=1/d_{ij}i,j`$. We see immediately that this way we avoid the problem of the divergence we had for $`L`$, in fact when there is no path in the graph between $`i`$ and $`j`$, $`d_{i,j}=+\mathrm{}`$ and consistently $`ϵ_{ij}=0`$. Moreover, the link characteristics (length/capacity in the case of transportation systems) are properly taken into account, and not flattened into their topological abstraction. We define the network efficiency as $`E=\frac{1}{N(N1)}_{ij}ϵ_{ij}=\frac{1}{N(N1)}_{ij}\frac{1}{d_{ij}}`$. The quantity E is normalized to the efficiency of the ideal case in which the network has all the $`N(N1)/2`$ possible edges: in this way $`0E1`$ . We call $`E_{\mathrm{glob}}`$ the efficiency of the whole network and $`E_{\mathrm{loc}}`$ the average efficiency of the subgraph of the neighbors of a generic node $`i`$. In ref. we have shown that $`E_{\mathrm{glob}}`$ and $`E_{\mathrm{loc}}`$ play respectively the role of $`L`$ and $`C`$, and that small-world networks have both high $`E_{\mathrm{glob}}`$ and high $`E_{\mathrm{loc}}`$.
Now, let us apply these new measures to the MBTA: the results are reported in tab.1. As we can see, the MBTA turns out to be a very efficient transportation system on a global scale but not at the local level. Let us analyze better what insights the calculation shows. In fact, $`E_{\mathrm{glob}}=0.63`$ means that MBTA is only $`37\%`$ less efficient than the ideal subway with a direct tunnel from each station to the others, quite a remarkable result.

On the other hand, $`E_{\mathrm{loc}}=0.03`$ indicates a poor local efficiency: this shows that, differently from social systems, the MBTA is not fault tolerant and a damage in a station will dramatically affect the efficiency in the connection between the previous and the next station. In order to better understand the difference with respect to other systems that are globally but also locally efficient we need to consider the cost of a network. In general we expect the efficiency of a network to be higher when the number of edges increase. As a counterpart, in any real network there is a price to pay for number and length (weight) of edges. To quantify this effect we define the cost of a network as: $`Cost=_{ij}a_{ij}\mathrm{}_{ij}/_{ij}\mathrm{}_{ij}`$. We have $`0Cost1`$, and the the maximum value $`1`$ is obtained for the ideal case when all the edges are present in the network. $`Cost`$ reduces to the normalized number of edges $`2K/N(N1)`$ in the case of an unweighted graph. For the MBTA we get an extremely small value $`Cost=0.002`$. This means that MBTA achieves the $`63\%`$ of the efficiency of the ideal subway with a cost of only the $`0.2\%`$. Qualitatively similar results have been obtained for other underground systems. The price to pay for such low-cost high global efficiency is the lack of fault tolerance. This means that when we build a subway system, the priority is given to the achievement of global efficiency at a relatively low cost, and not to fault tolerance. But where is the rationale for such a construction principle? In fact, fault tolerance in such a transportation system is less of a critical issue as it would seem: a temporary problem in a station can be solved in an economic way by other means, for example by taking a bus from the previous to the next station. That is to say, lack of fault tolerance for users is only apparent: the MBTA is not a closed system, as it can be considered, after all, a subgraph of a wider transportation network, and this explains why, fault tolerance is not a critical issue. Changing the MBTA network to take into account for example the bus systems, indeed, shows that this extended transportation system is a small-world network ($`E_{\mathrm{glob}}=0.72`$, $`E_{\mathrm{loc}}=0.46`$)! Therefore, efficiency and fault-tolerance come back as a leading underlying construction principle, and the whole transportation system MBTA+bus turns out to be a small-world with a slight increase in the cost ($`Cost=0.004`$).

Summing up, the analysis of real-life complex systems like transportation networks poses a number of new challenges, that make the initial mathematical formalization of small worlds in ref.  fail. The introduction of the efficiency measure allows to give a more general mathematical definition of small worlds, able to deal successfully with transportation systems (and in general, for weighted networks). Such measure, like in the MBTA case, provides quantitative information on the efficiency characteristics of a system, helping to explain the underlying construction principles. Moreover, apparent lack of a generalized small-world behaviour can, as in the MBTA case, be explained by the fact we have just a partial view of the complete system. In fact, the analysis presented in this paper shows that a generic closed transportation system can exhibit the small-world behavior, substantiating the idea that, in the grand picture, the diffusion of small-world networks can be interpreted as the need to create networks that are both globally and locally efficient.


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# A Chandra observation of the distant radio galaxy B2 0902+343: a powerful obscured active galaxy

## 1 Introduction

0902+343 at $`z=3.395`$ was the highest redshift radio galaxy known at the time of its discovery (Lilly 1988). Its radio source structure consists primarily of a knotted jet extending a short way from a flat-spectrum nucleus out to the north-west, before being deflected left through 90 in a hotspot (Carilli, Owen & Harris 1994; Carilli 1995). Further diffuse, very steep-spectrum emission continues to the north, and two faint hotspots lie symmetrically to the south, lending the overall structure an inverted-S shape. The source is compact, with the radio emission lying all within 7 arcsec, or $`50`$ kpc at the redshift of the galaxy (assuming a cosmology of H0=70$`\mathrm{km}\mathrm{s}^1\mathrm{Mpc}^1`$, $`\mathrm{\Omega }_0`$=1.0 and $`\mathrm{\Lambda }_0`$=0.7). The radio source is exceptional for its very large Faraday rotation measures (in excess of 1000$`\mathrm{rad}\mathrm{m}^2`$) and steep rotation measure gradients across the northern hotspot (Carilli et al 1994; Carilli 1995).

The optical continuum from the host galaxy is visible only from two clumps to either side of the radio jet (Eisenhardt & Dickinson 1992), with extended faint diffuse emission spreading out to the northwest (Pentericci et al 1999). There is no continuum associated with the radio core, suggesting that the bulk of the galaxy is totally obscured. The low optical surface brightness and flat optical-infrared spectral energy distribution have led authors to propose this to be a young, still-forming galaxy (Eisenhardt & Dickinson 1992; Eales et al 1993). The source also has a large luminous Lyman-$`\alpha `$ halo, also distributed into two clumps lying to the north of the nucleus, and bisected by the radio jet (Eisenhardt & Dickinson 1992). Associated neutral hydrogen 21cm absorption has been detected against the (extended) radio continuum (Uson, Bagri & Cornwell 1991; Briggs, Sorar & Taramopoulos 1993; de Bruyn 1996).

0902+343 was detected in a 33 ksec-long exposure with the ROSAT PSPC, but only above 0.7 keV (corresponding to $`>3`$ keV in the rest frame), which could indicate intrinsic absorption of around $`10^{23}`$$`\mathrm{cm}^2`$(Crawford 1998). However, the lack of counts in the ROSAT spectrum meant that the low-energy deficit (and thus the interpretation of the X-ray spectrum as an absorbed power-law) was significant only at the $`2\sigma `$ level.

## 2 Observation and Results

0902+343 was observed by the Chandra satellite on 2000 Oct 26 for 9.78 ksec with the ACIS-S (sequence number 700212). There were no background flares during the observation so we extracted data from the full exposure. An X-ray source is detected at the position of 0902+343 with 94$`\pm `$10 counts (Fig 1). Background was estimated from a neighbouring, source-free region. The counts are almost evenly divided between the 0.5–2 keV and 2–7 keV energy bands, with 52$`\pm 7`$ and 42$`\pm 6`$ counts respectively. The centroid of the X-ray source (at RA 09 05 30.14, Dec +34 07 56.0) is exactly aligned with the flat spectrum knot at the southern end of the radio jet (RA 09 05 30.13, Dec +34 07 56.1), supporting its identification as the active nucleus. (We have confirmed the accuracy of the Chandra coordinates by checking the positions of serendipitous sources in the field of view that are clearly identified with optical sources; we find the agreement to be good to within 0.3 arcsec.) The detection is consistent with being a point source at this position, although we note that a visual inspection suggests a slight (but not significant) elongation to the source along the same direction as the radio source axis.

We extract a spectrum for the source, binning it into 12 counts per bin (Fig 2). If only Galactic absorption (of column density 2.6$`\times 10^{20}`$$`\mathrm{cm}^2`$; Stark et al 1992) is assumed, then the spectrum is fit by a power law of improbable photon index of $`\mathrm{\Gamma }=0.68\pm 0.23`$ (uncertainties are 90 per cent for one interesting parameter). It is much flatter than the spectrum of most quasars and radio galaxies (eg Sambruna, Eracleous & Mushotzky 1999). If we allow for intrinsic absorption at the redshift of the object we find a good fit for $`\mathrm{\Gamma }=1.1_{0.4}^{+0.5}`$ and an inferred intrinsic column density of $`7.8_{5.9}^{+11.8}\times 10^{22}`$$`\mathrm{cm}^2`$. The reduced $`\chi ^2`$ is 0.363 for five degrees of freedom (acceptable at the 15 per cent level), and the intrinsic 2–10 keV luminosity, (after correction for absorption) is $`3.3\times 10^{45}`$$`\mathrm{erg}\mathrm{s}^1`$. Due to the low number of photons this spectrum can only be an approximate guide to the intrinsic properties of the source. The upper limit to the equivalent width of any redshifted 6.4 keV iron line is 840 eV.

The flat power law of photon index $`\mathrm{\Gamma }=1.1`$ could be due to the emission being dominated by the jet and similar to that in high redshift blazars (e.g. Fabian et al 2001a,b). Reeves et al (2001) find $`\mathrm{\Gamma }=1.27`$ for a radio-loud quasar at $`z=3.1`$ and attribute it to a face-on jet. However, Carilli (1995) argues that the jet in 0902 is pointed out of the Sky plane at an angle of 45-60 degrees so it should not appear as a blazar.

We have also investigated more complex emission models. Since we are observing up to about 30 keV in the rest frame of the source, reflection may be flattening the spectrum. We have therefore refit the data including a pexrav model (Magdziarz & Zdziarski 1995). This yields $`\mathrm{\Gamma }=1.4_{0.4}^{+0.5}`$ and $`N_\mathrm{H}=9.7_6^{+12}\times 10^{22}\mathrm{cm}^2`$ ($`\chi ^2/dof=2.3/5`$) when the reflection fraction is assumed to be unity (ie reflection from a flat surface). We have also examined partial-covering models and find acceptable fits for $`\mathrm{\Gamma }=1.4\pm 0.7`$ with an $`80`$ per cent covering fraction and column density of $`N_\mathrm{H}3\times 10^{23}\mathrm{cm}^2`$.

The lack of spatial extent and the good fit of a highly absorbed power-law to the X-ray spectrum clearly show that the emission that Chandra observes is dominated by the central nucleus. The large column density reinforces the idea that we are not detecting a very extended structure, or the mass of absorbing gas would be improbably large. The very high Faraday rotation measures seen in the radio source are comparable to those seen locally in cluster cooling flows, and do suggest the presence of a surrounding hot magnetized medium (Carilli et al 1994; Carilli 1995). We attempt to constrain the presence of a thermal component by adding thermal emission to the absorbed power-law model in the fit to the spectrum. Assuming a (rest-frame) temperature $`kT`$=3 keV for any thermal component, we find, assuming $`\mathrm{\Gamma }=1.8,`$ a thermal gas luminosity of $`7_5^{+3}\times 10^{44}\mathrm{erg}\mathrm{s}^1`$; it increases to $`10^{45}`$$`\mathrm{erg}\mathrm{s}^1`$if a higher temperature of $`kT`$=5 keV is assumed. Again the column density and intrinsic luminosity of the nucleus are increased. The X-ray data cannot rule out the additional presence of a sizeable mass of hot, thermal gas, but do not require it. If the central galaxy of a massive subcluster is forming here then it should be embedded in hot cooling gas with a temperature of 1-5 keV. Given the high redshift of the source, clear evidence for a low-energy spectral upturn is difficult given the declining sensitivity of the ACIS-S detector below 0.5 keV. Further observations with X-ray missions with better sensitivity at low energies – such as XMM-Newton – are required to test for the presence of any extended component of soft X-ray emission.

## 3 Discussion

The nucleus of 0902+343 is both powerful and highly absorbed. No object in the sample of Sambruna et al (1999) has a similar combination of extreme power and column density. Some objects in the sample of high redshift radio-loud quasars of Cappi et al (1999) do approach this combination, but the lack of absorption in one of their absorbed objects, PKS 0537-286, when observed at much higher signal-to-noise with XMM-Newton by Reeves et al (2001) raises uncertainties. The 2–10 keV intrinsic luminosity of 0902+343 is an order of magnitude more than that from the nucleus in Cygnus A (Young et al 2002). If we assume, following the spectral energy distributions of Elvis et al (1994), that the 2–10 keV luminosity is about 3 per cent of the total then the bolometric power of the nucleus is about $`10^{47}\mathrm{erg}\mathrm{s}^1`$. Much of it is absorbed and presumably reradiated in the far infrared (FIR) bands. Hughes, Dunlop & Rawlings (1997) estimate a value of $`10^{13.24}\mathrm{L}_{}`$ for the far infrared luminosity of the source which, after a small correction for the difference in cosmology used, is $`8\times 10^{46}\mathrm{erg}\mathrm{s}^1`$ and comparable with that deduced above. This assumes thermal dust emission. They have since shown (Archibald et al 2001) that the submm spectrum is dominated by synchrotron emission, so the above FIR luminosity should be seen as an upper limit, unless the radiating dust is warm ($`>`$100K). Pentericci et al (1999) suggest that the optical morphology of 0902+343 may be due to obscuration by large amounts of dust; such dust, and associated gas, may account for the X-ray absorption.

There is little room for any strong starburst emission and we conclude that the active nucleus dominates the luminosity. The central black hole, if the Eddington limit is not to be exceeded and beaming is unimportant, should have a mass greater than about $`10^9\mathrm{M}_{}`$. This implies that a full-grown active nucleus resides at the centre of what has been inferred to be a proto-galaxy from its appearance at optical and infrared wavelengths.

## Acknowledgments

ACF and CSC thank the Royal Society for financial support. We thank Chris Carilli for providing us with the radio image used in Figure 1, and Jim Dunlop for information on the SCUBA flux.


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# Electronic Structure and Charge Dynamics of Huesler Alloy Fe2TiSn Probed by Infrared and Optical Spectroscopy

## Abstract

We report on the electrodynamics of a Heusler alloy Fe2TiSn probed over four decades in energy: from the far infrared to the ultraviolet. Our results do not support the suggestion of Kondo-lattice behavior inferred from specific heat measurements. Instead, we find a conventional Drude-like response of free carriers, with two additional absorption bands centered at around 0.1 and 0.87 eV. The latter feature can be interpreted as excitations across a pseudogap, in accord with band structure calculations.

Fe2TiSn belongs to a large group of materials commonly referred to as Heusler alloys with the general formula X2YZ, where X and Y are transition metals and Z is a non-magnetic element. Hesuler and closely related half-Heusler (with the formula XYZ) alloys have been the subject of continued interest for almost 70 years . A member of this family Fe2VAl has recently attracted a lot of attention in connection with possible $`d`$-electron heavy fermion (HF) behavior . The resistivity of Fe2VAl displayed anomalous temperature dependence and specific heat measurements revealed an upturn in $`C_v(T)`$ resembling that of conventional $`f`$-electron HF compounds . However when the specific heat measurements were repeated in high magnetic field they showed that the up-turn was due to a Schotky anomaly arising from magnetic clusters, not the Kondo interaction . A number of band structure calculations yield only a minor mass renormalization . An infrared (IR) study reported recently for Fe2VAl (Ref. ) also finds no characteristic features of the HF state in the electrodynamic response of this compound.

Based on electrical resistivity and specific heat measurements Fe2TiSn has also been speculated to be a HF metal with the quasiparticle effective mass of $``$ 40 me, where me is the free electron mass . Note however that the electronic contribution $`\gamma `$ to the specific heat $`C_v(T)=\gamma T+\beta T^3`$ is relatively small (12 mJ mol-1 K-2) compared with conventional HF metals. Moreover, a similar temperature dependence of $`C_v(T)`$ in Fe2VAl had first been proposed to be Kondo in origin, and then showed to be due to Schottky anomaly. Motivated by this unsettled issue we used IR and optical spectroscopy to directly test the hypothesis of the HF state in Fe2TiSn. Optical experiments are perfectly suited for such a task because they probe both the intra- and interband electronic excitations and have been successfully employed in studies of $`f`$-electron HF systems .

The polycrystalline samples of Fe2TiSn were grown by arc melting under high purity argon on a copper hearth and have previously been characterized by X-ray diffraction, electrical resistivity, susceptibility, specific heat and XPS measurements . For IR measurements, the samples were mechanically polished until a mirror-like surface was achieved. Near normal incidence reflectance $`R(\omega )`$ was measured at UCSD in a broad frequency range 40-20,000 cm-1 (approximately 5 meV - 2.5 eV) and temperature range (from 10 K to 300 K). To obtain the absolute values of R($`\omega `$), the samples were coated in-situ with gold or aluminum in the optical cryostat and the spectrum of a metal-coated sample was used as a reference. This procedure yields reliable absolute values of $`R(\omega )`$ and does not require ambiguous corrections for diffuse reflectance . The IR measurements were supplemented with ultraviolet reflectance measurements up to 100,000 cm-1 (12 eV) performed at room temperature at ETH.

Figure 1 shows the reflectance of Fe2TiSn at several selected temperatures. The general shape of reflectance is metallic, but the exact position of the plasma minimum is obscured because the free carrier response overlaps with interband transitions. The far-infrared reflectivity ($`\omega <`$ 600 cm-1) decreases as temperature increases, the behavior typical for metallic systems. The mid-infrared reflectance, however, shows more complicated temperature dependence: in the range between 600 - 3,000 cm-1, R($`\omega `$) decreases with temperature. At higher frequencies ($`\omega >`$ 3,000 cm-1), the spectra are temperature independent. The peaks at $``$ 250 cm-1 and $``$ 50,000 cm-1 can be interpreted as an optically active phonon and an interband transition, respectively.

The next step in data analysis is to perform a Kramers-Kronig (KK) transformation on the raw reflectivity data in order to obtain the complex optical conductivity $`\sigma (\omega )=\sigma _1(\omega )+i\sigma _2(\omega )`$. For the low frequency extrapolation we used a Hagen-Rubens formula, commonly employed for metals: $`R(\omega )=1\sqrt{2\omega \rho _{dc}/\pi }`$, where $`\rho _{dc}`$ is the dc resistivity. Several other extrapolations (such as a straight line or $`R(\omega )\omega ^2`$) produced the same result in the region where the data exist. A power law extrapolation R($`\omega `$)$`\omega ^4`$ was used for high frequencies.

Figure 2 shows the real part of the optical conductivity $`\sigma _1(\omega )`$. The spectra of Fe2TiSn are characterized by a Drude-like mode with a width of about 120 cm-1 at 10 K and a broad peak centered around 7,000 cm-1 (0.87 eV). As temperature increases, the zero energy peak broadens, whereas the peak at 7,000 cm-1 displays almost no T-dependence. In order to quantify these changes we first employ a conventional Drude-Lorentz model. Fits including a Drude mode and a $`single`$ Lorentzian at 7,000 cm-1 failed to produce satisfactory results. We succeeded in accurately reproducing the $`\omega `$-dependence of $`\sigma _1(\omega )`$ at all temperatures with a set of $`two`$ Lorentz oscillators in addition to the Drude term :

$$\sigma (\omega )=\frac{1}{4\pi }\frac{\omega _p^2\tau }{1i\omega \tau }+\frac{1}{4\pi }\underset{j=1}{\overset{2}{}}\frac{i\omega \omega _{pj}^2}{\omega ^2\omega _j^2+i\gamma _j\omega }.$$
(1)
The first term represents a Drude free-electron component, where $`\omega _p^2=4\pi ne^2/m^{}`$ is the plasma frequency ($`n`$ is the carrier density and m is the carrier effective mass) and 1/$`\tau `$ is the carrier scattering rate. The last two terms in Eq. 1 are the Lorentzian oscillators centered at $`\omega _j`$, with the width $`\gamma _j`$ and plasma frequency $`\omega _{pj}`$. The best fits for 300, 80 and 10 K are shown in Fig. 3 with gray lines; the three individual components of Eq. 1 are shown with dashed lines. Table I summarizes the fitting parameters. We emphasize here that these parameters are unique, since no other values can reproduce the quality of the fits shown in Fig. 3.

As can be seen the scattering rate, 1/$`\tau `$ monotonically decreases with decreasing temperature, whereas the plasma frequency of the Drude component is essentially temperature independent ($`\omega _p`$ 7,000 cm-1). Such behavior is typical of conventional metals  and provides a strong argument against a HF state in Fe2TiSn. Indeed the hallmark of the latter state is a strong increase of m below a temperature T characteristic of a given material. This is equivalent to a drastic reduction of the oscillator strength of the Drude component ($`\omega _p^21/m^{}`$) (Ref. ), which is not observed in our data.

Additional evidence against a HF state in Fe2TiSn comes from the line-shape analysis of the $`\sigma _1(\omega ,T)`$ spectra. The HF behavior has been shown before to leave characteristic fingerprints in the optical spectra of such systems (Ref. ). Within a so called ”hybridization scenario”, hybridization between free carriers and localized $`f`$-electrons leads to a gap in the density of states that develops below the temperature T. Excitations across this hybridization gap, in addition to intraband absorption, give rise to the optical conductivity $`\sigma _1(\omega )`$ schematically shown in Fig. 4. At high temperatures (T$`>`$T), the conductivity of many HF systems follows a simple Drude response  (thin solid line in Fig. 4). At T$`<`$T two processes occur simultaneously: 1) the width of the Drude mode is collapsing so that $`1/\tau _21/\tau _1`$, and 2) a finite frequency peak due to excitations across the hybridization gap appears. The latter contribution to $`\sigma _1(\omega )`$ shown in Fig. 4 was calculated within a BCS model with coherence factors type I (Ref. ).

The $`\sigma _1(\omega )`$ data of Fe2TiSn (Fig. 3) look qualitatively similar to the model spectra of Fig. 4: there is a Drude mode that narrows with temperature and a finite frequency peak at around 700 cm-1. However, it appears that the temperature dependence of the latter excitation is completely uncorrelated with the Drude mode. Unlike HF systems, the spectral weight of the finite frequency peak $`\omega _{p1}`$ $`decreases`$ slightly when lowering the temperature (Table I). Therefore, based on these findings one cannot interpret the 700 cm-1 peaks as being due to excitations across the hybridization gap. Instead we speculate that it is a low lying interband transition. A similar feature has not been seen in Fe2VAl (Ref. ); the data for Co2TiSn does not extend low enough .

The absolute value of the Drude plasma frequency $`\omega _p`$ implies carrier density as small as n$`5\times 10^{20}`$ cm-3, under the assumption $`m^{}=m_0`$ ($`m_0`$ is a free electron mass). This value of $`n`$ is very similar to that found in both Co2TiSn (Ref. ) and Fe2VAl (Ref. ). It is striking that even though the carrier density is essentially the same in Fe2TiSn and Fe2VAl, the former compound shows metallic, whereas the latter displays an insulating temperature dependence of the dc resistivity. This indicates that localization (probably due to disorder) plays an important role in the charge dynamics. For Fe2TiSn, we estimate the carrier mean free path $`l`$ 80 $`\AA `$ at room temperature. Such a long mean free path signals that, unlike Fe2VAl (Ref. ), the Boltzmann formalism should still hold for Fe2TiSn.

In addition to the free electron Drude component and a low-lying transition at 700 cm-1, the optical spectrum of Fe2TiSn exhibits another excitation at around 7,000 cm-1 (Fig. 3 and Tab. I). A similar peak at 7,000 cm-1 has been seen before in Fe2VAl (Ref. ). This is not unexpected, however, as the band structure calculations for both compounds show that the bands around the Fermi level are predominantly coming from Fe $`d`$-orbitals . In Fe2VAl, the 7,000 cm-1 peak has been interpreted as being due to excitations across a pseudogap . The band structure calculations for Fe2TiSn (Ref. ) have also predicted the existence of a partial gap (pseudogap) at the Fermi level of about 0.5 eV. Although the position of the peak in Fe2TiSn does not exactly agree with this predicted value, we believe that it can be interpreted as being due to excitations across such a gap. Namely the magnitude of the gap has been shown before to depend strongly on atomic disorder , which is difficult to control during sample growth.

In conclusion, our IR results do not support the notion that the Kondo interaction plays a dominant role in the charge dynamics of Fe2TiSn. We find that the effective mass of free carriers is essentially temperature independent. By analogy with Fe2VAl, we suggest that the apparent mass enhancement at low temperatures is due to a Schottky anomaly arising from magnetic clusters. The latter effect can also explain the anomalous temperature dependence of specific heat and dc resistivity at low temperatures. The free electron contribution to the optical conductivity of Fe2TiSn appears to be conventional Drude-like, with a small carrier density and relatively long mean free path. The interband transition at 7,000 cm-1 can be interpreted as excitations across a pseudogap predicted in band structure calculations.

We thank E.J. Singley for useful discussions. The research at UCSD supported by DOE, NSF and the Research Corporation.

∗∗ Also at Institute of Physics, University of Silesia, 40-007 Katowice, Poland


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# The temporal characteristics of the Chandra X-ray Observatory high energy particle background

## 1. Measuring ACIS background

While the ACIS background can be studied with standard X-ray event lists, analysis is complicated by interference from astrophysical X-ray sources which may be extended or variable and must be carefully removed. We are instead using count rates of events with large pulseheights ($`>`$ 3750 ADU or $``$ 15 keV). These events are rejected by the flight software and not telemetered to the ground to reduce telemetry bandwidth. Only the number per frame is included in the exposure records without any information about position or grade (the ‘DROP\_AMP’ field in the level 1 file \*_stat1.fits). At these high energies, the effective area of Chandra’s mirrors is essentially zero, so the events are caused by energetic particles and not astrophysical X-rays. S3 high energy rates are preferred because the BI CCD is relatively unaffected by changing CTI and radiation damage and is more sensitive to changes in the background flux. The S3 high energy reject rates are correlated with both the telemetered event rates and the EPHIN radiation monitor on board Chandra (Plucinsky & Virani 2000).

Figure 1 is a light curve of the S3 high energy reject rate in 5 minute bins from 23 August 1999 when the high energy filter was first activated until 03 July 2001. The data include all ACIS observations taken in standard faint mode (no window filter or subarray), with no regard to the instrument configuration (i.e. SIM or spectroscopic grating position). The total exposure time is $``$20 Msec. The background rate is clearly variable on both short and long time scales. The greyscale and symbols indicate when the background is more than 1-, 3- and 5-sigma above a polynomial fit to the quiescent level.

## 2. Quiescent Background

As seen in the high energy background lightcurve, the count rate of the quiescent background declined from launch until late 2000 and appears to now be slowly recovering. This is also seen in the telemetered event background rate (see Chandra X-ray Observatory Center Calibration web pages). To better understand this temporal structure we compare the ACIS high energy background to the flux of protons measured by the Solar Isotope Spectrometer (SIS) on the Advanced Composition Explorer (ACE) spacecraft (Stone et al. 1998).

Figure 2 compares the ACIS background to the proton flux measured by ACE SIS with E $`>`$ 10 MeV and E $`>`$ 30 MeV in hourly bins. Overall the rates are well correlated. The streaks going up and to the right are from background flares seen by one instrument only. That the flares are not concurrent is expected since ACE is located at the Sun-Earth L1 point while ACIS is in Earth orbit.

During solar quiet times, SIS rates are dominated by cosmic rays. The quiescent high energy background is therefore a reasonable measure of the cosmic ray rate incident on the CCDs. The cosmic ray background measured by ACE and ACIS has declined and then recovered since Chandra’s launch. This change is due to the increase and decrease of magnetic field strength in the heliosphere associated with the 11-year solar cycle. Now that solar maximum is passing, the ACIS cosmic ray background should continue to level out and increase.

## 3. Flaring Background

The light curve of the ACIS background includes many “flares” or short term increases in the count rate (Plucinsky & Virani 2000). These flares can increase the high energy reject rate by as much as a factor of 50 and last anywhere from minutes to hours. The same flares are also seen in the telemetered event rate and can even cause telemetry saturation. While the origin of the flares is not completely understood, XMM has observed similar events and has determined that they are caused by low energy ($`<`$ 100 keV) protons (Strüder et al. 2001).

We would like to have a better understanding of what causes these background flares for the purposes of better mission planning, to help us model the Chandra radiation environment, and to better model and remove the instrumental background from astrophysical data. A number of factors may determine whether a flare occurs including Chandra’s position relative to the Earth’s radiation belts and magnetosphere, and the level of solar activity.

### 3.1. Frequency of Flares versus Instrument Configuration

While the high energy reject rate alone is insufficient to determine the energy of the background particles, examining the relative frequency and strength of flares in different instrumental configurations may provide some clue. Figure 3 shows the fraction of time spent in each instrumental configuration in which the background was higher than the quiescent level. Each configuration represents a increasing level of absorbing material between the detector and the sky, from the ACIS imaging configuration, then adding the transmission gratings (LETG and HETG, respectively), and finally to the calibration position when ACIS is out of the focal plane entirely.

For all detector configurations the amount of time impacted by substantial flares is small, of order a few percent. The flaring probability for ACIS+HETG is completely dominated by a single event on 19 April 2001 associated with an X14-class solar flare and an Earth-directed coronal mass ejection. The dotted line shows the ACIS+HETG flaring probability without the affected time period. After this correction, flares are clearly more common in the ACIS imaging position than in the other configurations implying that most background flares are from weakly penetrating particles. The remainder must be from harder events that penetrate even the detector shielding; most of these can be associated with specific solar events.

### 3.2. Frequency of Flares versus Altitude

Chandra is in a highly elliptical orbit and once every 2.6 days passes through the Earth’s radiation belts. During this time, ACIS is in a protected position out of the telescope focus. Observations resume when the radiation model used by the mission planners indicates the particle flux is low enough, usually around an altitude of 60,000 km, however during periods of high geomagnetic activity the size of the radiation belts can increase substantially. If background flares are associated with the edge of the radiation belts, their frequency and strength should be highly correlated with altitude. Figure 4 shows the fraction of time at any given altitude that the background is above the quiescent level, using the same color scheme as Figure 1. Only ACIS imaging observations are included to remove dependence on the particle energy spectrum. There is some correlation between Chandra’s altitude and flare frequency; flares are three times as likely below 100,000 km as above, however even at apogee there is an significant probability of background flaring.

### 3.3. Frequency of Flares versus Orbital Position

The frequency and strength of ACIS background flares seem to have a quasi-annual periodicity which could be linked with Chandra’s position relative to the Earth’s geomagnetic environment. Chandra’s orbit is nearly fixed in inertial space, so as the Earth orbits the sun, Chandra samples different regions of the magnetosphere which remains aligned with respect to the sun. Figure 5 shows the locations in geocentric solar magnetic (GSM) coordinates when the ACIS background is 1-, 3- and 5-sigma above the quiescent level. The numbers in the corners indicate the percentage of the time spent in each quadrant that the background was at a given flaring level. The Chandra Radiation Model (CRM; see Blackwell et al. 2000) incorporates data from a number of sources to model the low-energy proton flux in Chandra’s orbit and predicts higher proton fluxes in the midnight through dusk sector ($`X_{GSM}<0,Y_{GSM}>0`$) and minimum fluxes in the daytime through dawn sector ($`X_{GSM}>0,Y_{GSM}<0`$). This asymmetry is certainly seen in the position dependence of the strongest ACIS background flares ($`>3\sigma `$ over the quiescent level) but not for the more common weaker flares. Since Chandra’s orbit is inclined, a two-dimensional representation may not indicate fully which geomagnetic region Chandra is transiting.

## 4. Conclusions

The Chandra particle background is highly variable on both the long and short-term. The quiescent background is due to to cosmic rays, while the flaring background may be associated with low energy protons in more local geomagnetic structures. While some correlation is seen with altitude and geomagnetic position, more complete modeling of solar activity and the changing geomagnetic environment may be necessary for full understanding of background flares.

#### Acknowledgments.

We would like to thank our colleagues at MIT and the CXC especially Peter Ford. ACE browse data was obtained from the ACE Science Center Web page (http://www.srl.caltech.edu/ACE/ASC/). This work was supported by NASA contracts NAS8-37716, NAS8-38252 and NAS8-39073.

## References

Blackwell, W.C., Jr., Minow, J.I., O’Dell, S.L., Suggs, R.M., Swartz, D.A., Tennant, A.F., Virani, S.N., & Warren, K.M. 2000, Proc. SPIE 4140

Plucinsky, P.P. & Virani, S.N. 2000, in ASP Conf. Ser. Vol. CS-234, X-ray Astronomy 2000, ed. R. Giacconi, L. Stella & S. Serio

Stone, E.C., Frandsen, A.M., Mewaldt, R.A., Christian, E.R., Margolies, D., Ormes, J.F., Snow, F. 1998, Space Sci.Rev., 86, 1

Strüder, L. et al. 2001, A&A, 365, 18


text:
# Vortex Rings and Lieb Modes in a Cylindrical Bose-Einstein Condensate

## Abstract

We present a calculation of a solitary wave propagating along a cylindrical Bose-Einstein trap, which is found to be a hybrid of a one-dimensional (1D) soliton and a three-dimensional (3D) vortex ring. The calculated energy-momentum dispersion exhibits characteristics similar to those of a mode proposed sometime ago by Lieb within a 1D model, as well as some rotonlike features.

Approximately forty years ago, Lieb and Liniger lieb1  employed the Bethe Ansatz to obtain an exact diagonalization of the model Hamiltonian that describes a one-dimensional (1D) Bose gas interacting via a repulsive $`\delta `$-function potential. Based on this solution Lieb lieb2  proposed an intriguing dual interpretation of the spectrum of elementary excitations, either in terms of the familiar Bogoliubov mode, or in terms of a certain kind of a particle-hole excitation which will hereafter be referred to as the Lieb mode. The energy-momentum dispersions of the Bogoliubov and the Lieb modes coincide at low momenta, where they both display the linear dependence characteristic of sound-wave propagation in an interacting Bose-Einstein Condensate (BEC), but the Lieb dispersion is significantly different at finite momenta where it exhibits a surprising $`2\pi `$ periodicity. Yet this new mode remained somewhat of a theoretical curiosity because of the absence of a physical realization of a strictly 1D Bose gas.

In a curious turn of events, the above subject re-emerged in connection with the solitary waves calculated analytically within a 1D classical Gross-Pitaevskii (GP) model tsuzuki ; zakharov , which were later shown to provide an approximate but fairly accurate description of the quantum Lieb mode for practically all coupling strengths kulish ; ishikawa . More importantly, the same solitary waves motivated experimental observation of similar coherent structures in BEC of alkali-metal atoms through phase imprinting or phase engineering burger ; denschlag . Therefore, an opportunity presents itself for experimental realization of the Lieb mode.

It is clear that a theoretical investigation based on effective 1D models often used to describe cylindrical traps will lead to the prediction of a Lieb mode, by arguments similar to those employed in the original 1D classical model kulish ; ishikawa . However, one should also question the stability of the corresponding solitons within the proper 3D environment of a realistic trap muryshev ; feder . For example, dark solitons created within a spherical trap were observed to decay into vortex rings anderson . This observation was also supported by a numerical calculation in which an initial dark-soliton configuration is let to evolve in time according to the GP equation.

Therefore, although the production of solitary waves through phase imprinting clearly suggests some distinct 1D characteristics, it should be expected that a proper understanding of such waves must also account for 3D effects that are inevitably present in a realistic BEC. One could envisage a picture in which the actual solitary wave is a hybrid of a 1D soliton and a 3D vortex ring. It is the aim of the present paper to make the above claim precise by calculating solitons propagating along a cylindrical trap without making a priori assumptions about their effective dimensionality. Our approach was motivated by the calculation of vortex rings in a homogeneous BEC due to Jones and Roberts jones1  and a similar calculation of semitopological solitons in planar ferromagnets semi .

Explicit results will be presented for a set of parameters that roughly correspond to the experiment of Ref. burger . Thus we consider a cigar-shaped trap filled with 87Rb atoms, with a transverse confinement frequency $`\omega _{}=2\pi \times 425`$ Hz and a corresponding oscillator length $`a_{}=\sqrt{\mathrm{}/m\omega _{}}0.5\mu m`$. The coupling constant is written as $`U_o=4\pi \mathrm{}^2a/m`$ where $`a50\text{Å}`$ is the scattering length. We make the approximation of an infinitely-long cylindrical trap with average linear density $`\nu =0.2\text{atoms}/\text{Å}`$ and introduce the dimensionless combinations of parameters $`\gamma =\nu a=10`$ and $`\gamma _{}=\nu a_{}=10^3`$. Finally, rationalized units are defined through the rescalings $`tt/\omega _{},\text{r}a_{}\text{r},\text{and}\mathrm{\Psi }\sqrt{\nu }\mathrm{\Psi }/a_{}`$.

The energy functional extended to include a chemical potential is then given by

$$W=\frac{1}{2}\left[\mathbf{}\mathrm{\Psi }^{}\mathbf{}\mathrm{\Psi }+\rho ^2\mathrm{\Psi }^{}\mathrm{\Psi }+g(\mathrm{\Psi }^{}\mathrm{\Psi })^22\mu \mathrm{\Psi }^{}\mathrm{\Psi }\right]𝑑V,$$
(1)
where $`g=4\pi \gamma `$ and $`\rho ^2=x^2+y^2`$, and yields energy in units of $`\gamma _{}\mathrm{}\omega _{}`$ while the chemical potential $`\mu `$ is still measured in units of $`\mathrm{}\omega _{}`$. Similarly, the conserved linear momentum along the $`z`$ axis given by the usual definition

$$𝒫=\frac{1}{2i}\left(\mathrm{\Psi }^{}\frac{\mathrm{\Psi }}{z}\frac{\mathrm{\Psi }^{}}{z}\mathrm{\Psi }\right)𝑑V=n\frac{\varphi }{z}𝑑V,$$
(2)
is measured in units of $`\mathrm{}\nu =\gamma _{}(\mathrm{}/a_{})`$. In the second step of Eq. (2) we employed the usual hydrodynamic variables defined from $`\mathrm{\Psi }=\sqrt{n}e^{i\varphi }`$.

An important first step in out calculation was to obtain accurate information about the ground state and the corresponding linear (Bogoliubov) modes. The ground-state wave function $`\mathrm{\Psi }=\mathrm{\Psi }_0(\rho )`$ was calculated as a stationary point of the energy functional (1) by a variant of a relaxation algorithm dalfovo  and is normalized according to $`_0^{\mathrm{}}2\pi \rho 𝑑\rho |\mathrm{\Psi }_0|^2=1`$ to conform with our choice of rationalized units. The chemical potential was found to be $`\mu =6.4324`$ for $`\gamma =10`$. We have also recalculated the lowest branch of the Bogoliubov spectrum from which we extracted the speed of sound $`c=1.77`$ in units of $`a_{}\omega _{}`$. This numerical estimate at $`\gamma =10`$ is consistent to within 1% with the Thomas-Fermi approximation $`c=\gamma ^{1/4}`$ which was previously derived in a number of papers zaremba ; kavoulakis ; stringari  and was employed for the analysis of experimental data andrews .

Thus we turn to the calculation of axially-symmetric solitary waves described by a wave function of the form $`\mathrm{\Psi }=\mathrm{\Psi }(\rho ,\xi )`$ where $`\xi =zvt`$ and $`v`$ is the constant velocity along the $`z`$ axis. Such a wave function satisfies the stationary differential equation

$`iv{\displaystyle \frac{\mathrm{\Psi }}{\xi }}`$ $`=`$ $`{\displaystyle \frac{1}{2}}\mathrm{\Delta }\mathrm{\Psi }+{\displaystyle \frac{1}{2}}\rho ^2\mathrm{\Psi }+g(\mathrm{\Psi }^{}\mathrm{\Psi })\mathrm{\Psi }\mu \mathrm{\Psi },`$ (3)
$`\mathrm{\Delta }`$ $`=`$ $`{\displaystyle \frac{^2}{\rho ^2}}+{\displaystyle \frac{1}{\rho }}{\displaystyle \frac{}{\rho }}+{\displaystyle \frac{^2}{\xi ^2}},`$
which is supplemented by the boundary conditions that $`\mathrm{\Psi }`$ vanish for $`\rho \mathrm{}`$, and $`|\mathrm{\Psi }||\mathrm{\Psi }_0(\rho )|`$ for $`\xi \pm \mathrm{}`$. The phase of the wave function is not fixed a priori at spatial infinity, except for a mild restriction implied by the Neumann boundary condition $`\mathrm{\Psi }/\xi =0`$ imposed at $`\xi \pm \mathrm{}`$ mainly for numerical purposes. Finally, a solution of Eq. (3) must satisfy the virial relation

$$v𝒫=\left[\frac{1}{2}\frac{\mathrm{\Psi }^{}}{\xi }\frac{\mathrm{\Psi }}{\xi }+\rho ^2\mathrm{\Psi }^{}\mathrm{\Psi }+\frac{g}{2}(\mathrm{\Psi }^{}\mathrm{\Psi })^2\mu \mathrm{\Psi }^{}\mathrm{\Psi }\right]𝑑V,$$
(4)
obtained by a standard scaling argument.

Solutions of Eq. (3) were obtained by a sophisticated Newton-Raphson iterative algorithm jones1 ; semi  which will not be described here in any detail. For values of the velocity $`v`$ near the speed of sound $`c`$, the calculated solitary wave is a rarefaction pulse that may be thought of as a mild soundlike disturbance of the ground state. The dominant features of the solitary wave are pronounced as the velocity is decreased to lower values and become reasonably apparent at $`v=c/2`$, as shown in Fig. 1 which provides a complete illustration of the wave function through its real and imaginary parts. A partial but more transparent illustration is given in frame I of Fig. 2 where we depict the radial dependence of the local particle density $`n=|\mathrm{\Psi }|^2`$ for various values of $`\xi `$. It is clear that the density near the center of the soliton ($`\xi =0`$) vanishes on a ring with a relatively large radius $`R2.8`$, thus a vortex ring is beginning to emerge. The features of the vortex ring become completely apparent, and its radius is tightened, as we proceed to yet smaller values of the velocity. A notable special case is the static ($`v=0`$) vortex ring with radius $`R1.8`$ illustrated in frame II of Fig. 2, which is far from being a completely dark (black) solitary wave.

One would think that pushing the velocity $`v`$ to negative values would retrace the calculated sequence of solitary waves backwards. In fact, our algorithm continues to converge to vortex rings of smaller radii until a critical velocity $`v=v_00.475c`$ is encountered where the vortex ring achieves its minimum radius $`R_{\mathrm{min}}0.8`$ and ceases to exist for smaller values of $`v`$. The terminal state at $`v=v_0`$ is illustrated in frame III of Fig. 2. We have thus described a sequence of solitary waves with velocities in the range $`v_0<v<c`$, which does not contain a black soliton. An equivalent sequence is obtained in the range $`c<v<v_0`$ simply by reversing the relative sign between the real and imaginary part of the wave function, as is evident from Eq. (3).

It is now important to calculate the energy-momentum dispersion. The excitation energy is defined as $`E=WW_0`$ where both $`W`$ and $`W_0`$ are calculated from Eq. (1) applied for the solitary wave $`\mathrm{\Psi }(\rho ,\xi )`$ and the ground state $`\mathrm{\Psi }_0(\rho )`$, respectively. The presence of the chemical potential in Eq. (1) provides the compensation that is necessary in order to compare energies of states with the same number of particles. Similarly, the relevant “physical” momentum is not the linear momentum $`𝒫`$ of Eq. (2) but the “impulse” $`Q`$ defined in a manner analogous to the case of a homogeneous gas ishikawa ; jones1 :

$`Q`$ $`=`$ $`{\displaystyle (nn_0)\frac{\varphi }{z}𝑑V}=𝒫\delta \varphi `$ (5)
$`\delta \varphi `$ $``$ $`{\displaystyle _0^{\mathrm{}}}2\pi \rho 𝑑\rho n_0(\rho )[\varphi (\rho ,z=\mathrm{})\varphi (\rho ,z=\mathrm{})],`$
where $`n_0=|\mathrm{\Psi }_0(\rho )|^2`$ is the ground-state particle density and $`\delta \varphi `$ is the weighted average of the phase difference between the two ends of the trap. Here we simply postulate the validity of definition (5) and note that the corresponding group-velocity relation $`v=dE/dQ`$ was satisfied to an excellent accuracy in our numerical calculation. On the other hand, the virial relation (4) was verified using the standard linear momentum $`𝒫`$ of Eq. (2), as expected.

The calculated dispersion $`E=E(Q)`$ is depicted in Fig. 3 by a solid line along which we place the symbols I, II and III that correspond to the special cases of the solitary wave discussed above. At low $`Q`$ the dispersion is linear, $`E=c|Q|`$, a feature that it shares with the Bogoliubov dispersion. However, the energy now reaches a maximum at point II where $`v=0`$ and $`Q`$ is slightly greater that $`\pi `$. Interestingly, the group velocity becomes negative in the region (II,III) or, equivalently, the impulse is opposite to the group velocity. This rotonlike behavior could develop into a full-scale roton if the terminal point III actually turns out to be an inflection point beyond which the group velocity may begin to rise again. We have not been able to somehow continue our sequence of solitary waves beyond point III, nor have we ruled out such a possibility. In any case, the picture just described, together with the fact that the calculated radius of the vortex ring is monotonically decreasing along the sequence (I,II,III) comes close to the Onsager-Feynman view of a roton as the ghost of a vanished vortex ring donnelly .

The branch of the dispersion shown by a solid line in Fig. 3 was calculated on the basis of the sequence of solitary waves with velocities in the range $`v_0<v<c`$. The branch for $`c<v<v_0`$ may be thought to correspond to negative $`Q`$, as usual. However, there is an implicit $`2\pi `$ periodicity because of the appearance of the angle $`\varphi `$ in the definition of the impulse in Eq. (5). Therefore, a more natural representation of the spectrum seems to be obtained by restricting $`Q`$ to the “first Brillouin zone” and thus completing Fig. 3 by its mirror image around $`Q=\pi `$.

We have also carried out a detailed numerical calculation of the Bogoliubov dispersion for comparison. But the main point can be made here by assuming the model dispersion $`\omega =|q|(c^2+q^2/4)^{1/2}`$ where the frequency $`\omega `$ is measured in units of $`\omega _{}`$ and the wave number $`q`$ in units of $`1/a_{}`$. Translated into the units employed in Fig. 3, the model Bogoliubov dispersion reads $`E=|Q|(c^2+\gamma _{}^2Q^2/4)^{1/2}`$ where a huge factor $`\gamma _{}^210^6`$ makes its appearance. Therefore, although the Bogoliubov and Lieb dispersions coincide at low $`Q`$, they diverge quickly at the scale of Fig. 3, a notable difference from the homogeneous 1D model lieb2 ; ishikawa . In other words, the two modes operate at rather different energy and momentum scales in a cylindrical trap.

The last question we address is whether or not there exists an independent sequence of solitary waves that reduces to a black soliton at $`v=0`$. We used a model black-soliton configuration as input in our iterative algorithm which converged to the true static soliton illustrated in frame IV of Fig. 2 that is indeed a black soliton. We then incremented the velocity to either positive or negative values with symmetrical results. For definiteness, we follow the solution to negative $`v`$ and find that it exists only until one encounters the same critical velocity $`v_0`$ discussed earlier in the text. The corresponding terminal state is precisely the same with the one reached through our original sequence of solitary waves and illustrated in frame III of Fig. 2. For intermediate values of $`v`$ the solution is again a vortex ring with constant radius at $`R=R_{\mathrm{min}}0.8`$. Accordingly, the calculated energy-momentum dispersion shown by a dashed line in Fig. 3 joins the original sequence through a cusp at the terminal point III, a situation that is reminiscent of the calculation of Jones and Roberts jones1 . The same authors together with Putterman later argued jones2  that the solitary waves that correspond to the upper branch are actually unstable, a conclusion that might be valid in the present case as well.

A summary view of our results is given in Fig. 4. We have thus constructed a family of solitary waves which exhibit some quasi-1D features, such as the appearance of a nontrivial phase difference $`\delta \varphi `$ that is important for phase engineering burger ; denschlag , but are otherwise bonafide 3D vortex rings.

We are grateful to G.M. Kavoulakis for numerous discussions that guided us through the extensive recent literature on BEC. S.K. acknowledges financial support from the Gratuiertenkolleg “Non-equilibrium phenomena and phase transitions in complex systems” and thanks the University of Crete and the Research Center of Crete for hospitality.


text:
# Electrorotation of colloidal suspensions

## I Introduction

AC electrokinetic pheonomena, such as dielectrophoresis and electrorotation (ER) have been investigated to yield the selective manipulation and characterization of biological cells. Under the action of external fields, colloidal particles or biological cells in suspensions exhibit rich fluid-dynamic behavior as well as dielectric response. It is also interesting to investigate their frequency-dependent responses to ac fields, which leads to valuable information on the structural (Maxwell-Wagner) polarization effects . The polarization is characterized by a variety of characteristic frequency-dependent changes known as dielectric dispersion.

In the last two decades, various experimental tools have been developed to analyze the polarization of biological cells - dielectric spectroscopy , dielectrophoresis  and ER  techniques. Among these techniques, conventional dielectrophoresis and ER are usually applied to analyze the frequency dependence of translations and rotations of cells in a rotating electric field, respectively . Moreover, one is able to monitor the cell movements with the aid of automated video analysis  as well as light scattering methods . In ER, a dipole moment is induced in response to the rotating field. Then any dispersion process is able to cause a phase shift between the induced dipole moment and the external field vector, resulting in a desired torque which causes the cells to rotate.

In the dilute limit, the ER of individual cell can be predicted by ignoring the mutual interaction between cells. However, the cells may be aggregated under the influence of the external field. In this case the Brownian motion can be neglected, and thus the system becomes non-dilute even though it is initially dilute. Then the role of mutual interaction will become dominant. As an initial model, we studied the ER of two approaching spherical particles in the presence of a rotating electric field in a recent paper . We showed that when the two particles approach and finally touch, the mutual polarization interaction between the particles leads to a change in the dipole moment of individual particles and hence the ER spectrum, as compared to that of isolated particles. The mutual polarization effects were captured via the multiple image method . From the results, we found that the mutual polarization effects can lower the characteristic frequency at which the maximum ER angular velocity occurs.

When the volume fraction of the suspension becomes large, the mutual interactions between the suspended particles can also modify the spin friction, which is a key to determine the angular velocity of ER. For ER of two particles in a rotating electric field, we have successfully applied the spectral representation to calculate the dispersion frequency. However, the determination of the spin friction was lacking.

For two particles, the basic tool is the reflection method , being analogous to the multiple image method in electrostatics, but being valid for two particles only. For more than two particles, we need a first-principles method, e.g., the Green’s function (Oseen tensor) formulation. For a dilute suspension, however, one may adopt the effective medium theories  to capture the effective viscosity of a suspension. Thus, in this case, the ER spectrum can be modified further.

Regarding the spectral representation approach , it is a rigorous mathematical formalism of the effective dielectric constant of a two-phase composite material. It offers the advantage of the separation of material parameters (namely the dielectric constant and conductivity) from the particle structure information, thus simplifying the study. In the present work, we will derive the analytic expressions for the characteristic frequencies by using the spectral representation approach.

## II Formalism

We consider homogeneous, spherical particles exposed to a rotating electric field of frequency $`f`$, in which particles of complex dielectric constant $`\stackrel{~}{ϵ}_1=ϵ_1+\sigma _1/(i2\pi f)`$ are dispersed in a suspension of $`\stackrel{~}{ϵ}_2=ϵ_2+\sigma _2/(i2\pi f)`$, with $`i=\sqrt{1}`$. Here, $`ϵ_i`$ and $`\sigma _i`$ represent the dielectric constant and conductivity, respectively.

For the effective dielectric constant $`\stackrel{~}{ϵ}_e`$ of the whole system, we have:

$$\frac{\stackrel{~}{ϵ}_e\stackrel{~}{ϵ}_2}{\stackrel{~}{ϵ}_e+2\stackrel{~}{ϵ}_2}=p\frac{\stackrel{~}{ϵ}_1\stackrel{~}{ϵ}_2}{\stackrel{~}{ϵ}_1+2\stackrel{~}{ϵ}_2},$$
(1)
where $`p`$ is the volume fraction of partices. Note that the $`p=0`$ limit throughout the paper is just the isolated spherical result . In this case, the dipole factor of the particle is given by

$$b=\frac{\stackrel{~}{ϵ}_1\stackrel{~}{ϵ}_e}{\stackrel{~}{ϵ}_1+2\stackrel{~}{ϵ}_e}.$$
(2)
In order to obtain the analytic expression for the characteristic frequency, we resort to the spectral representation approach. By introducing a material parameter

$`\stackrel{~}{s}`$ $`=`$ $`\left(1{\displaystyle \frac{\stackrel{~}{ϵ}_1}{\stackrel{~}{ϵ}_2}}\right)^1,`$ (3)
Eq.(2) admits the form:

$$b=\frac{F_1}{\stackrel{~}{s}s_1}+\frac{F_2}{\stackrel{~}{s}s_2},$$
(4)
where

$`F_1`$ $`=`$ $`{\displaystyle \frac{(1p)(\sqrt{8+p}\sqrt{p})}{6\sqrt{8+p}}},F_2={\displaystyle \frac{(1p)(\sqrt{8+p}+\sqrt{p})}{6\sqrt{8+p}}},`$ (5)
$`s_1`$ $`=`$ $`{\displaystyle \frac{1}{6}}\left(2+p\sqrt{p(8+p)}\right),s_2={\displaystyle \frac{1}{6}}\left(2+p+\sqrt{p(8+p)}\right).`$ (6)
After some simple manipulations, Eq.(4) becomes

$$b=\frac{F_1}{ss_1}+\frac{\mathrm{\Delta }ϵ_1}{1+if/f_{c1}}+\frac{F_2}{ss_2}+\frac{\mathrm{\Delta }ϵ_2}{1+if/f_{c2}},$$
(7)
where the dispersion magnitudes $`\mathrm{\Delta }ϵ`$ and characteristic frequencies $`f_c`$ being given by

$`\mathrm{\Delta }ϵ_1`$ $`=`$ $`F_1{\displaystyle \frac{st}{(ts_1)(ss_1)}},\mathrm{\Delta }ϵ_2=F_2{\displaystyle \frac{st}{(ts_2)(ss_2)}},`$ (8)
$`f_{c1}`$ $`=`$ $`{\displaystyle \frac{1}{2\pi }}{\displaystyle \frac{\sigma _2s(ts_1)}{ϵ_2t(ss_1)}},f_{c2}={\displaystyle \frac{1}{2\pi }}{\displaystyle \frac{\sigma _2s(ts_2)}{ϵ_2t(ss_2)}},`$ (9)
and $`s=1/(1ϵ_1/ϵ_2)`$ and $`t=1/(1\sigma _1/\sigma _2)`$ are the dielectric and conductivity contrasts, respectively. Note that we predict two characteristic frequencies $`f_{c1}`$ and $`f_{c2}`$.

Regarding the dynamic viscosity, the noninteracting spin friction expression for an isolated spherical particle must be modified. For many particles interacting in a suspension, we must consider the suspension hydrodynamics. The spin friction is calculated by considering the hydrodynamics of a rotating particle in a homogeneous suspension with an effective viscosity $`\eta _e`$. The effective viscosity for a suspension may be obtained from an analogous Maxwell-Garnett approximation (MGA) :

$$\frac{\eta _e\eta _2}{\eta _e+\frac{3}{2}\eta _2}=p\frac{\eta _1\eta _2}{\eta _1+\frac{3}{2}\eta _2},$$
(10)
where $`\eta _1`$ and $`\eta _2`$ are respectively the viscocity of particle and host, and we may take $`\eta _1\mathrm{}`$ for hard spheres. The dilute limit expression for the effective viscocity is:

$$\eta _e=\eta _2+\left(\frac{5}{2}p\right)\eta _2+\left(\frac{5}{2}p^2\right)\eta _2+\mathrm{}.$$
(11)
This equation is a suitable method to determine the effective viscosity at low concentration as it predicts no percolation threshold. The effective medium approximation (EMA) is also a useful method to evaluate the effective viscosity of a suspension, which admits the form :

$$p\frac{\eta _1\eta _e}{\eta _1+\frac{3}{2}\eta _e}+(1p)\frac{\eta _2\eta _e}{\eta _2+\frac{3}{2}\eta _e}=0.$$
(12)
We should remark that a percolation threshold $`p_c=0.4`$ is predicted by Eq.(12). From this equation, the dilute limit expression is

$$\eta _e=\eta _2+\left(\frac{5}{2}p\right)\eta _2+\left(\frac{5}{2}p\right)^2\eta _2+\mathrm{}.$$
(13)
To one’s interest, Eq.(11) and Eq.(13) attain the same expansion up to first order in $`p`$. In addition, we should also remark that both Eq.(10) and Eq.(12) are valid only at low Reynolds number.

It is known that the rotational angular velocity of a particle is related to the dipole factor as follows

$$\mathrm{\Omega }(f)=\frac{ϵ_eE_0^2}{2\eta _e}Im[b]$$
(14)
where $`E_0`$ is the strength of the applied electric field, and $`Im[\mathrm{}]`$ means taking the imaginary part of $`[\mathrm{}]`$.

## III Numerical results

During the numerical calculation, set $`E_0=1.0\times 10^4V/m`$, $`\eta _2=1.0\times 10^3Kg/ms`$. Note $`ϵ_0`$ denotes the dielectric constant of free space.

Fig.1(a) is plotted versus frequency $`f`$ for three different $`ϵ_1`$ at $`\sigma _2=2.8\times 10^4S/m`$, $`ϵ_2=80ϵ_0`$, $`p=0.05`$ and $`\sigma _1=2.8\times 10^2S/m`$. Given $`ϵ_1`$, there is always one peak for angular velocity as frequency increases. The frequency located by the peak is just the characteristic frequency. We should remark here that two peaks we predict above are located so close that only one peak behavior is shown. In our previous work , a pair of particles is investigated by considering the mutual depolarization effect, and we found that one peak is dominant while the other has a lower value and is located in a quite different position. This shows that the particle aggregation effect may enhance the second peak value, and be relocated close to the dominant one. Regarding the related quantitative explanation, please refer to Fig.3 arising from the spectral representation approach. As $`ϵ_1`$ increases, both the characteristic frequency and the angular-velocity peak value decreases.

Fig.1(b) is plotted versus frequency $`f`$ for three different $`ϵ_2`$ at $`\sigma _2=2.8\times 10^4S/m`$, $`p=0.05`$, $`ϵ_1=10ϵ_0`$ and $`\sigma _1=2.8\times 10^2S/m`$. It is evident that increasing $`ϵ_2`$ yields decreasing characteristic frequency, but increasing angular-velocity peak value.

Fig.1(c) is plotted versus frequency $`f`$ for three different $`\sigma _1`$ at $`\sigma _2=2.8\times 10^4S/m`$, $`ϵ_2=80ϵ_0`$, $`p=0.05`$ and $`ϵ_1=10ϵ_0`$. It is evident that both the characteristic frequency and the angular-velocity peak value increase for increasing $`\sigma _1`$.

Fig.1(d) is plotted versus frequency $`f`$ for three different $`\sigma _2`$ at $`ϵ_2=80ϵ_0`$, $`p=0.05`$ and $`ϵ_1=10ϵ_0`$ and $`\sigma _1=2.8\times 10^2S/m`$. For an increasing $`\sigma _2`$, the characteristic frequency increases whereas the angular-velocity peak value decreases concomitantly.

In Fig.2, the effect of volume fraction on the effective viscosity is investigated. Clearly, at a larger volume fraction, a larger effective viscosity is predicted both for MGA as well as EMA. It is evident that, for a given $`p`$, EMA predicts a larger effective viscosity than MGA.

In Fig.3, we investigate the dependence of the spectral parameters, namely the residues ($`F_1`$ and $`F_2`$), the poles ($`s_1`$ and $`s_2`$), as well as the dispersion parameters ($`\mathrm{\Delta }ϵ_1`$ and $`\mathrm{\Delta }ϵ_2`$) on the volume fraction $`p`$ (for MGA only).

In Fig.3(a) and 3(b), as the volume fraction $`p`$ increases, both $`F_1`$ and $`F_2`$ increase. Increasing volume fraction $`p`$ leads to decreasing $`s_1`$, but increasing $`s_2`$. Note that the residues satisfy the relation $`F_1+F_2=(1p)/3`$. In the two figures, the distinction between $`F_1`$ and $`F_2`$, or $`s_1`$ and $`s_2`$ is quite small at low volume fraction (e.g., $`p=0.05`$, $`0.1`$, and $`0.15`$).

In Fig.3(c), as the volume fraction increases, $`\mathrm{\Delta }ϵ_1`$ first increases, and then decreases, while $`\mathrm{\Delta }ϵ_2`$ decreases monotonically. Note $`\mathrm{\Delta }ϵ_2`$ becomes very close to $`\mathrm{\Delta }ϵ_1`$ at low concentration region.

In Fig.3(d), as the volume fraction increases, $`f_{c1}`$ decreases, while $`f_{c2}`$ increases concomitantly. Moreover, it is evident that both characteristic frequencies collapse at low concentration region.

From Fig.3, it is readily concluded that at low volume fraction, the angular-velocity peaks related to two characteristic frequencies are so close that they can almost be seen as overlapped. This is just the reason why only one rotation peak occurs in our figures. We believe that such distinction between the two peaks will become recognizable for a high-concentration case.

Fig.4 is plotted for three different volume fraction $`p`$ at $`\sigma _2=2.8\times 10^4S/m`$, $`ϵ_2=80ϵ_0`$, and $`ϵ_1=10ϵ_0`$ and $`\sigma _1=2.8\times 10^2S/m`$. In this figure, we investigate the effect of particle volume fraction on the angular velocity. Increasing volume fraction is able to reduce the characteristic frequency as well as the angular-velocity peak value.

## IV DISCUSSION AND CONCLUSION

Here a few comments on our results are in order. We considered homogeneous, spherical particles exposed to a rotating electric field. As the strength of the rotating electric field increases, the particles in a suspension may be aggregated into sheet-like structures. Within these structures, the concentration of particles is high. In this case, the local-field effect arising from the many-particle system must be taken into account. In this regard, we believe the effective medium theories including both the Maxwell-Garnett approximation (also known as the Clausis-Mossotti approximation) and the effective medium approximation (also known as the Bruggeman approximation) are good candidate theories. The Maxwell-Garnett approximation is well-known to be non-symmetrical and May thus be suitable for low concentration. For a higher concentration of particles, we had better use the effective medium approximation (EMA). Both methods are valid at low concentrations whereas EMA predicts a percolation threshold .

We believe our theory will be valid for the case of low Reynolds numbers. In our present study, both the radii and the angular velocities of the particles are small. Thus, we may safely use the effective medium theories for the viscosity, which are valid when the particles are at rest.

We realize the appearance of a circular medium flow because all the particles rotate in the same direction. The macroscopic spin rate may drive the suspending liquid, leading to a decrease of the apparent viscosity of the suspension . Finally, we can apply our formalism to single or multi shell objects, like biological cells .

In summary, we have investigated the electrorotation spectrum of many interacting particles including their electric and hydrodynamic interactions. The results showed that the electrorotation spectrum can be modified due to the local field effects arising from the many-particle system. The hydrodynamic interactions between the suspended particles can also modify the spin friction, which is a key to determine the angular velocity of electrorotation. By invoking the spectral representation approach, we derived the analytic expressions for the characteristic frequency at which the maximum angular velocity of electrorotation occurs. We reported a detailed investigation of the dependence of the characteristic frequency and the dispersion strength on various material parameters.

## Acknowledgments

This work was supported by the Research Grants Council of the Hong Kong SAR Government under grant CUHK 4245/01P. G.Q.G. acknowledges the financial support from a Key Project of the National Natural Science Foundation of China under grant 19834070. The final version of this paper was completed during the Forum on Condensed Matter and Interdisciplinary Physics held at Nanjing University, China on the occasion of the centennial anniversary of the University. K.W.Y. thanks the Organizing Committee for their invitation and the hospitality received from the Laboratory of Solid State Microstructures and the Department of Physics during his stay at the Nanjing University.

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