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# Breathers on a Background: Periodic and Quasiperiodic Solutions of Extended Discrete Nonlinear Wave Systems

## I Introduction

In the past two decades, there has been an explosion of interest in the study of solitary waves in spatially discrete nonlinear systems. Prominent examples, where one expects important phenomena to be intrinsically associated with spatial discreteness, are: the motion of dislocations in solid-state physics , the transmission of kink-like bits of information in Josephson junction arrays , the propagation of pulses in nonlinear optical waveguides  (where they present great potential for applications such as all-optical switching, steering and demultiplexing see e.g.,  and references therein), or even in chemical  and biological  (and references therein) applications. Recent experimental work confirming the relevance of such models has appeared in .

The models arising in many of these studies, governing the behavior of a field $`u_n(t)`$ depending on a continuous time variable $`t`$ and discrete spatial variable $`n`$, are:

the discrete SG equation (DSG)

$`\ddot{u}_n=u_{n+1}+u_{n1}2u_n{\displaystyle \frac{1}{d^2}}\mathrm{sin}u_n,`$ (1)
the discrete $`\varphi ^4`$ equation ($`D\varphi ^4`$)

$`\ddot{u}_n=u_{n+1}+u_{n1}2u_n+{\displaystyle \frac{1}{d^2}}(u_nu_n^3),`$ (2)
and the discrete nonlinear Schrödinger equation (DNLS)

$`i\dot{u}_n=C(u_{n+1}+u_{n1}2u_n)|u_n|^2u_n.`$ (3)
We have used the standard notation where $`d=1/\mathrm{\Delta }x`$ is the inverse spatial lattice spacing and $`C=d^2=(\mathrm{\Delta }x)^2`$ is the coupling constant.

An important phenomenon associated with spatial discreteness is the role of the spatial lattice sites as “defects” to which propagating states can be “trapped” or “pinned” . At a structural level, this is a result of the breaking of translational invariance. Indeed, the spatially continuous variants are Lorentz invariant (SG, $`\varphi ^4`$) and Galilean invariant (NLS); a stationary coherent structure can be “boosted”, i.e., transformed, into one traveling with a constant velocity.

The main coherent structures of interest in these equations (see i.e., ) are kink-like excitations in DSG and $`D\varphi ^4`$ and time periodic, exponentially localized in space pulse like excitations in DNLS (solitary waves). The latter are frequently referred to as discrete breathers.

In the analytical and numerical work on these discrete systems  two main steady states have been identified; there are actually many other steady states . One is centered on a lattice site and one is centered between consecutive lattice sites. In the case of DSG and $`D\varphi ^4`$ kinks, the stable configurations (energy minimizers) are those centered between sites, while for the breathers of DNLS, stable configurations (constrained energy minimizers; the constraints are imposed by the additional conserved quantities such as the $`l^2`$ norm of the solution ) are those pulses which are centered at a lattice site.

Until recently, it was believed that an initial condition, which for the translation invariant systems leads to a coherent structure propagating to infinity at a uniform speed, would in these discrete systems result in a state radiating energy which would eventually get trapped by the “Peirels -Nabarro” potential  associated with the lattice and subsequently approach a time independent state. However, it was established in  that, depending on the parameter regime (lattice spacing), the asymptotic state may, in fact, be time-periodic. It may also consist of a time quasiperiodic state which slowly decays to a time-periodic state. The rate at which the system relaxes to its asymptotic state is controlled by resonances of “localized internal modes” with radiation modes. Internal modes are spatially localized modes associated with the linearized operator about the coherent structure with corresponding discrete eigenfrequencies (point spectrum), which are not related to an underlying group invariance (zero modes). They give rise to time periodic solutions of the linearized evolution equation, of the form $`\varphi _n^\omega \mathrm{exp}(i\omega t)`$. Radiation modes are those associated with the continuous spectrum of the linearization.

In a recent paper , using a methodology developed in  (see also ), we gave a systematic approach for deriving details of the decay to an asymptotic state. We now briefly describe these results. Suppose $`\omega _1`$ and $`\omega _2`$ are two internal mode frequencies associated with a coherent structure of (1), (2) or (3). Consider initial conditions which are a small perturbation of the coherent structure and that the perturbation (of $`O(\epsilon )`$) consists of components in the direction of the internal modes, $`\varphi ^{\omega _1}`$ and $`\varphi ^{\omega _2}`$. As time evolves, nonlinearity generates various linear combinations of these frequencies so we investigate where such combinations land relative to the so-called phonon band (PB). Suppose that a combination of frequencies $`k\omega _1+l\omega _2`$ falls inside the PB with $`|k|+|l|=n`$. For DSG and $`D\varphi ^4`$, PB is, respectively, the purely imaginary interval $`\pm i[1/d,\sqrt{4+1/d^2}],\pm i[\sqrt{2}/d,\sqrt{4+2/d^2}]`$ and for DNLS it is $`\pm i[\mathrm{\Lambda },\mathrm{\Lambda }+4C]`$, where $`\mathrm{\Lambda }`$ is the time-frequency of the ground state discrete solitary wave. In this case we showed in  that the time evolution of the internal mode powers (squared amplitudes), $`P=P_{\omega _1}`$ and $`Q=Q_{\omega _2}`$ is controlled by a system whose normal form is

$`P_t={\displaystyle \underset{k,lI^{res}}{}}\epsilon ^{2(|k|+|l|1)}\mathrm{\Gamma }_{1;kl}P^kQ^l`$ (4)
$`Q_t={\displaystyle \underset{k,lI^{res}}{}}\epsilon ^{2(|k|+|l|1)}\mathrm{\Gamma }_{2;kl}P^kQ^l,`$ (5)
where $`I^{res}=\{k,l:k\omega _1+l\omega _2PB\}`$ is the set of resonant frequency combinations. The “damping coefficients” $`\mathrm{\Gamma }_{1;kl},\mathrm{\Gamma }_{2;kl}`$ can be computed , are always nonnegative and are generically strictly positive. From (4)-(5), one concludes that the decay rate is controlled by the appropriate harmonic e.g., if $`2\omega _1`$ PB, then the (long time asymptotic) decay of $`P`$ goes as $`t^{1/2}`$, if $`3\omega _1`$ PB, it goes as $`t^{1/4}`$ and so on. As the parameters of the problem (such as the lattice spacing) vary, the set of resonances $`I^{res}`$ may vary and therefore so will the normal form equations and the nature of the asymptotic state dynamics; see  for examples of such transitions.

## II Asymptotic states: stationary and periodic, stable and metastable

What are the possible asymptotic states ? Consider the discrete nonlinear wave equations (1) and (2). There is, of course, the ground state kink but one may ask whether there are additional time-periodic or even quasi-periodic states associated with the time-periodic internal modes., e.g., solutions of the nonlinear equation of the form: $`K_{gs}+_{\omega \mathrm{\Omega }_{internal}}\varphi _n^\omega \mathrm{exp}(i\omega t)+`$ C.C. plus higher order corrections. Here, $`K_{gs}`$ denotes the ground state or least energy kink and $`\mathrm{\Omega }_{internal}`$ denotes the set of localized internal mode frequencies. In  we prove the existence of time-periodic solutions (only one contribution to the above sum is present) in certain parameter regimes. No quasi-periodic solutions exist since for any internal mode frequencies $`\omega _1,\omega _2`$, there always exist integers $`k_10,k_20`$ such that $`k_1\omega _1+k_2\omega _2`$ PB. There are however metastable, very long-lived states of this type.

For DSG, depending on parameter regime, we have between one and three possible asymptotic states from among $`K_{gs}`$ (the ground state kink), $`gW`$ and $`eW`$, each with their own basin of attraction. $`gW`$ and $`eW`$ are time-periodic solutions associated with perturbed translational modes (i.e., bifurcating from the origin of the spectral plane) and edge (bifurcating from the edge of the continuous spectrum) internal modes (Theorem 5.1 of ). See Table I.

For $`D\varphi ^4`$, we have between one and three from among $`K_{gs},gW,W`$ and $`eW`$. The additional periodic solution $`W`$, is associated with the additional shape mode present in the point spectrum of the $`\varphi ^4`$ model. See Table II.

The above periodic solutions are localized time-periodic excitations on a kink (spatially inhomogeneous) background, “breathers on kinks” (BOK’s); see Fig. 1. Their dynamic stability in various regimes of the discreteness parameter $`d`$ was numerically investigated in .

We now turn to DNLS. Seek solutions of the form

$`u_n(t)=\mathrm{exp}(i\mathrm{\Lambda }t)\psi _n.`$ (6)
This gives rise to a system of nonlinear algebraic equations for $`\{\psi _n\}`$

$`\mathrm{\Lambda }\psi _n=C(\psi _{n+1}+\psi _{n1}2\psi _n)|\psi _n|^2\psi _n.`$ (7)
A variational approach to the questions of existence, excitation thresholds and nonlinear Lyapunov stability of the ground states of (7) is presented in . Solutions can also be constructed by iterative methods implemented numerically in . Linear stability analysis proceeds by seeking a solution of the form

$`u_n(t)=\mathrm{exp}(i\mathrm{\Lambda }t)(\psi _n+v_n(t))`$ (8)
where $`v_n=a_n\mathrm{exp}(i\omega t)+b_n\mathrm{exp}(i\omega t)`$ denotes the perturbation about the ground state. This leads to the spectral problem

$`\omega a_n=C\mathrm{\Delta }_2a_n2|\psi _n|^2a_n+\mathrm{\Lambda }a_n\psi _{n}^{}{}_{}{}^{2}b_n^{},`$ (9)
$`\omega b_n=C\mathrm{\Delta }_2b_n2|\psi _n|^2b_n+\mathrm{\Lambda }b_n\psi _{n}^{}{}_{}{}^{2}a_n^{}.`$ (10)
The analysis of the modes for different values of the relevant parameter $`\mathrm{\Lambda }/C`$ is given in . There it is found for the stable (site-centered) pulses of DNLS that there are two modes, a perturbed translational internal mode (the “pinning” mode) and an edge mode (the “breathing” mode). The picture for DNLS is derived in  and is analogous to that described above and in  for equations (1)-(2). In fig. 2, the relevant (localized) eigenmode frequencies are given and compared with those of the PB. The analysis of  shows that the methodology of  can be applied in this case, even though the basis of eigenfunctions is not orthonormal (the breathing mode has non-vanishing overlap with the rotational symmetry eigenmodes with $`\omega =0`$). However, a pseudo-scalar product can be used  in the spirit of  to perform the same analysis. Johansson and Aubry do this in two alternative ways (higher order perturbation theory and a conservation law approach) but nonetheless reach a special case of the result of  proving that when the $`p`$-th harmonic of a mode is inside PB, then the amplitude of the mode decays as $`|a(t)|t^{1/(2p2)}`$ asymptotically, as is suggested also by eqns. (4)-(5). However, in the DNLS case, they found, additionally, that the existence of the additional two-dimensional manifold of eigenmodes with zero frequency, in order to avoid unphysical divergences of higher order perturbations (due to projections on this manifold), causes an increase of the breather mode frequency according to $`\mathrm{\Lambda }_t|a|^{2p}`$.

The methods of  can be used to extend the picture developed in . Using the information, displayed in figure 2, on the location of linear combinations of internal mode frequencies associated with the ground state of equation (7), relative to the phonon band PB, we can conclude:

* For any value of $`\mathrm{\Lambda }/C`$ for which the edge mode exists ($`0<\mathrm{\Lambda }/C<1.7`$), initial conditions close to it decay as $`t^{1/2}`$ since its second harmonic is always inside PB.
* The perturbed translational mode (which disappears around $`\mathrm{\Lambda }/C1.1`$ as is noted in ), for $`0.48<\mathrm{\Lambda }/C<1.1`$, $`2\omega _g`$ is inside PB, hence the decay in this range goes as $`t^{1/2}`$. However, for $`0.3997<\mathrm{\Lambda }/C<0.48`$, the third harmonic resonates with PB and hence the decay goes as $`t^{1/4}`$. Subsequently $`t^{1/6}`$ for $`\mathrm{\Lambda }/C[0.3576,0.3997]`$ and $`t^{1/8}`$ for $`\mathrm{\Lambda }/C[0.3304,0.3576]`$ are implied by principle resonance occurring for higher harmonics.

Therefore, for any value of the coupling there are harmonics of the individual modes that are in the phonon band and hence cause decay of the internal mode oscillations. Hence, no genuinely periodic solutions along eigendirections can survive in this case (in the frame co-rotating with the discrete breather frequency $`\mathrm{\Lambda }`$). The decay however can be extremely slow as we now explain. The perturbed translational mode, the neutral oscillatory mode to which the translation zero mode is perturbed for $`\mathrm{\Delta }x>0`$, approaches zero very fast for small $`\mathrm{\Lambda }/C\mathrm{\Delta }x`$, the continuum limit. This approach has been shown to be exponentially fast as $`\mathrm{\Delta }x0`$ ($`\omega ^2\mathrm{exp}(\pi ^2/\mathrm{\Delta }x)`$) in . Therefore, as seen in figure 2 and can be derived from the above estimates, for very small values of $`\mathrm{\Lambda }/C`$, only very high harmonics will fall inside PB. By the analysis of  this corresponds to very slow time decay rates of the internal mode oscillations, which may be hard to detect numerically. An example of this sort is given in figure 3. The numerical experiment is performed for DNLS, with $`\mathrm{\Lambda }/C=0.370`$ and for the perturbed translational mode of $`\omega /C=0.102`$, the $`4`$-th harmonic is the leading one in the phonon band. The initial condition is taken to be the exact breather profile with a small perturbation along the perturbed translational mode eigendirection. The background oscillations are clearly discernible as time-dependent side wobbles in the evolving profile. Our simulations show very slow decay of these oscillations, in accordance with the theoretical prediction. The analysis of  implies that these modes will decay to the ground state standing wave breather but only over very long time scales. Modes such as the one that is observed in figure 3 are very long-lived time-periodic and spatially localized. In view of (8) they correspond to slowly decaying (metastable) quasi-periodic oscillations of DNLS (which are periodic in the rotating frame). The periodic oscillation is mounted on a breather background. Hence these modes are (metastable) Breathers On Breathers (BOB’s). We note that there are other constructions of quasiperiodic modes in discrete systems. Such attempts (see, for example, ) exploited continuation from the anti-continuum limit of two oscillators with different frequencies. Also, for polaron type models such as the Holstein model, a proof of existence of quasiperiodic solutions was give in . Our analysis above is not restricted to the regime where the sites are weakly coupled. However, it should be noted that very close to the continuum limit, logarithmic effects similar to the ones described in  for generalized continuum NLS equations may become relevant. The work presented herein mainly focuses in the regimes of large or moderate discreteness and the mechanisms described will still be present even for very small discreteness. The work of , however, raises the interesting question as to whether there is a crossover point beyond which (in approaching the continuum limit) logarithmic effects become dominant over power law ones. Such issues will be addressed in a future publication.

## III Infinitely long-lived quasiperiodic solutions

Are there time quasi-periodic states which are non-decaying? We now display a family of (non-decaying) time quasi-periodic and spatially localized BOB states. Our point of departure will be the modes introduced in , which we call twisted localized modes (TLM’s). These modes are solutions of DNLS of the form (6) with $`\{\psi _n\}=(\mathrm{},\alpha ,1,1,\alpha ,\mathrm{})`$ with $`0<\alpha <<1`$. They can be viewed as soliton-antisoliton bound pairs which can exist due to discreteness . There is no continuum analog since in the continuum case a soliton-antisoliton initial condition naturally repels.

Henceforth, for simplicity we will fix $`\mathrm{\Lambda }=1`$ and vary $`C`$ only. We construct these modes numerically by solving equation (7) and subsequently solve numerically eqs. (9)-(10) to determine their linear stability. We find that

* TLM’s are stable for $`1/C0.146`$. Their spectrum for this parameter range consists of two modes at $`\omega =0`$ and an additional internal mode with frequency $`\omega _{}`$ in the gap between $`0`$ and edge of PB.
* For values $`1/C>0.146`$ a series of instabilities arise giving quite interesting phenomena that have been analyzed elsewhere .

For $`C`$ in the range of stability, the location of multiples of the single non-zero frequency ($`\omega _{}`$) relative to PB is displayed in figure 4. It can be seen that

* For $`1/C[59.712,67.681]`$, $`4\omega _m`$ PB and hence implying decay of the internal mode oscillation about the TLM with a rate: $`t^{1/6}`$. For $`1/C[31.943,39.604]`$, $`3\omega _m`$ PB implying $`t^{1/4}`$ decay and for $`1/C[11.989,19.288]`$, $`2\omega _m`$ PB implying a $`t^{1/2}`$ decay rate.
* More interestingly, as figure 4 suggests, the gaps between the above coupling parameter intervals constitute parameter regimes for which no multiples of $`\omega _{}`$ lie inside PB. Hence an initial condition consisting of the exact mode plus a perturbation along the $`\omega _{}`$ eigendirection encounters no evident decay mechanism. Indeed, the proof of Theorem 5.1 of  can be carried through in this case to obtain the existence of time-periodic solutions of the nonlinear perturbation equation governing $`v_n(t)`$. In this way, we have constructed genuine time quasi-periodic solutions (BOB’s) of DNLS of the form (8), where $`v_n(t)`$ is time periodic. This is demonstrated in figure 5, where we display the results of a numerical experiment for $`C=0.02,\mathrm{\Lambda }=1`$, where the internal mode frequency is $`\omega _{}=0.294`$. We observe the very regular oscillations on top of the breather amplitude due to the BOB’s quasi-periodicity.

## IV Generalization to Multipulses

We saw in the previous section that TLM’s can be thought of as a pulse and an antipulse whose “backs” have merged. The question that then stems from this analogy is whether genuinely quasiperiodic solutions of DNLS arise naturally in such multipulse setups where two or more pulses have been concatenated.

A general analysis of such configurations for discrete setups has been given in  for two pulses and generalized in  for multiple pulses. In these works it has been found that in order for multipulses to be stable, the nearest neighbor ones have to possess opposite parity, i.e., a phase difference of $`\pi `$. Hence, we will consider only such configurations hereafter.

In order to understand the possibilities for quasiperiodic solutions of multipulse type, let us return to the linearization picture for a single pulse. As is well known, for the single pulse, there are two pairs of eigenvalues near the origin of the spectral plane, the rotational modes (of zero frequency) and the translational modes of frequency dependence (on $`h`$) as $`\mathrm{exp}(\pi ^2/h)`$. For a concatenation of N pulses, there will be $`2N`$ pairs near the origin. $`N`$ of them will be translational (stemming from the linear combinations of the translational eigenmodes of the individual pulses), 1 pair will be the rotational one of $`\omega =0`$ and $`N1`$ pairs will pertain to the so-called interaction eigenmodes , whose frequencies will, in general, behave as $`\mathrm{exp}(L)`$, where $`L`$ is the (typical) pulse separation. It should be noted that for such multipulse configurations to occur, it necessary for the pulses to have a separation larger than a minimal one $`L>L_{min}`$.

For values of $`hO(1)`$, as was found in , it is generically true that for $`L>L_{min}`$, the interaction eigenvalues have frequencies typically lower than the translational ones. Hence, since as we saw in section II, quasiperiodic solutions cannot be formed for such regimes of the lattice spacing, as the translational eigenvalues resonate with the continuous spectrum, hence such solutions will also not be but metastable for the multipulse configurations as well.

From the above argument, it can be seen that for multipulse configurations, as was the case with the TLM’s of section III, only strong discreteness contexts $`h>>1`$ provide the possibility for quasiperiodic solutions. In such regimes of strong discreteness, the translational eigenmodes have already merged with the continuous spectrum  and only the interaction eigenmodes (and their harmonics) relative position to the continuous spectrum has to be accounted for.

In order to understand the behavior of multipulses, a natural continuation parameter that we will use in this context is the separation between the pulses $`L`$. In the case of the TLM’s, this separation will be considered $`h`$, i.e., the distance between the pulse maximum and the antipulse minimum. In this case, the form of the solution is shown in the top left panel of Fig. 6 and the form of the evolution of $`\omega /C`$ as a function of $`\mathrm{\Lambda }/C`$ is given in the top right panel. In the middle two and lower two panels of fig. 6, similar results are shown for $`L=2h`$, and $`L=3h`$ respectively. What can be clearly observed is that in these cases, the dependence of the internal (interaction) eigenmode on the coupling constant is such that for any value of $`h`$, there are harmonics of the internal mode frequency inside the PB. Hence, the TLM’s are very special in the sense that the relation of their centers positions is such that it permits for a set of intervals of coupling constants to have no resonances of internal modes with the PB and, thus, quasiperiodic solutions.

To show the generality of the above conclusion, we performed similar numerical experiments for $`3`$-pulse configurations (in which the middle one was of opposite phase than the two outer ones). The case of $`L=h`$ is once again shown in the top left panel of Fig. 7 and the corresponding resonance diagram of $`\omega /C`$ as a function of $`\mathrm{\Lambda }/C`$ appears in the top right panel of the same figure. The same plots for $`L=2h`$ and $`L=3h`$ are shown in the middle and lower rows of Fig. 7 respectively. In this case, as per the general discussion presented above, there are two pairs of interaction eigenmodes. In the case of $`L=h`$, it can be observed that their frequency increases as a function of $`\mathrm{\Lambda }/C`$ and hence gaps appear in the presence of the modes’ harmonics in the PB. Such gaps for instance are found for $`h(4.677,5.292)`$, $`h(6.537,7.482)`$ for the first frequency (in solid line) or for $`h(4.321,6.468)`$ for the second internal mode (in dashed line). Excitation of one of these internal modes in the respective intervals will give rise to genuinely quasiperiodic solutions. On the other hand, it can be observed that already for $`L=2h`$, once again the dependence of $`\omega /C`$ on $`\mathrm{\Lambda }/C`$ is monotinically decreasing and that harmonics will always be present inside. The same picture of course in maintained for $`L=3h`$ and for larger interpulse distances.

These results lead us to the conclusion that generically quasiperiodic solutions of the TLM variety (and its multipulse generalization) will be present in DNLS type systems. However, this is a rather “delicate” result of the interplay between the lattice spacing $`h`$ and the interpulse separation $`L`$ which has been found to be quite special to such. More general multipulse solutions of larger interpulse distance are invariably found to possess internal modes whose harmonics are resonant with the PB and hence in the latter case only metastable quasiperiodic configurations will be present.

## V Conclusions

In this paper, we have given theoretical justification as well as numerical evidence of the existence and asymptotic stability of breather-like modes which consist of (depending on parameter regime) infinitely long lived or very long lived spatially localized and time-periodic oscillations on a kink background (BOK’s) or on a breather background (BOB’s). These modes are different from previously reported ones in that they reside on a non-uniform (coherent structure) background rather than on a uniform background. Because of their relevance to asymptotic states for a wide range of initial conditions (possibly in experimental situations of interest) further study and understanding of these modes as well as analytical investigation of their stability are challenging questions worth pursuing. The existence of genuinely quasi-periodic solutions is apparently rare for nonlinear conservative wave equations on infinite spatial domains. This is in contrast to the case of nonlinear wave equations on finite domains. The discrete case corresponds to finite dimensional KAM theory. The continuum case (that of vibrations, strings and membranes) is studied in , where such solutions have been constructed. The non-generic nature of such quasi-periodic solutions was however demonstrated for discrete systems in the infinite domain, and their generalization to multipulse type configurations was also considered.


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# Search for sub-electronvolt solar axions using coherent conversion of axions into photons in magnetic field and gas helium

## 1 Introduction

Quantum chromodynamics (QCD) is widely accepted as the theory of strong interactions, but has one flaw called the strong CP problem, i.e., the neutron electric dipole moment is $`O(10^9)`$ times smaller than expected. The axion is a Nambu–Goldstone boson of the broken Peccei–Quinn (PQ) symmetry which was introduced to solve this problem . The expected behavior of an axion is characterized mostly by the scaling factor of the PQ symmetry breaking, $`f_a`$, and so its mass, $`m_a`$, which is directly related to $`f_a`$ by $`m_a=6\times 10^{15}[\mathrm{eV}^2]/f_a`$. Laboratory experiments, astrophysical and cosmological considerations have constrained  the allowed mass region into two. One is at micro- to millielectronvolts order, where axions can be an ideal dark matter, and the other called ‘hadronic axion window’ is at around one to a few electronvolts, where some hadronic axion models are possible. In the latter region, the sun can be a powerful source of axions and the so-called ‘axion helioscope’ technique may enable us to detect such axions directly .

The principle of the axion helioscope is illustrated in Fig. 1. Axions would be produced through the Primakoff process in the solar core. The differential flux of solar axions at the Earth is approximated by

$`\mathrm{\Phi }_a/E`$ $`=`$ $`4.02\times 10^{10}[\mathrm{cm}^2\mathrm{s}^1\mathrm{keV}^1]`$ (1)
$`\times \left[{\displaystyle \frac{g_{a\gamma \gamma }}{10^{10}\mathrm{GeV}^1}}\right]^2{\displaystyle \frac{(E/1\mathrm{keV})^3}{\mathrm{exp}(E/1.103\mathrm{keV})1}},`$
where $`g_{a\gamma \gamma }`$ is the axion-photon coupling constant. Their average energy is 4.2 keV reflecting the core temperature of the sun. Then, they would be coherently converted into X-rays through the inverse process in a strong magnetic field at a laboratory. The conversion rate is given by

$$P_{a\gamma }=\frac{g_{a\gamma \gamma }^2}{4}\left|_0^LB_{}\mathrm{}^{\mathrm{i}qz}z\right|^2,$$
(2)
where $`z`$ is the coordinate along the incident solar axion, $`B_{}`$ is the strength of the transverse magnetic field, $`L`$ is the length of the field along $`z`$-axis, $`q=|(m_\gamma ^2m_a^2)/2E|`$ is the momentum transfer by the virtual photon, and $`m_\gamma `$ is the effective mass of the photon which equals zero in vacuum.

From 26th till 31st December 1997, the first measurement  was performed using an axion helioscope with a dedicated superconducting magnet which we will describe in detail in Section 2 except that the gas container was absent and the conversion region was vacuum. From the absence of an axion signal, an upper limit on the axion-photon coupling is given to be $`g_{a\gamma \gamma }<6.0\times 10^{10}\mathrm{GeV}^1`$ (95% CL) for $`m_a<0.03\mathrm{eV}`$. However, it was less sensitive to heavier axions, since the momentum transfer, $`q`$, becomes non-negligible.

If one can adjust $`m_\gamma `$ to $`m_a`$, coherence will be restored. This is achieved by filling the conversion region with gas. A photon in the X-ray region acquires a positive effective mass in a medium. In light gas, such as hydrogen or helium, it is well approximated by

$$m_\gamma =\sqrt{\frac{4\pi \alpha N_e}{m_e}},$$
(3)
where $`\alpha `$ is the fine structure constant, $`m_e`$ is the electron mass, and $`N_e`$ is the number density of electrons. We adopted cold helium gas as a dispersion-matching medium. Here, light gas was preferred since it minimizes self absorption by gas. It is worth noting that helium remains at gas state even at 5 K, the operating temperature of our magnet. Since the bore of the magnet is limited in space, the easiest way is to keep the gas at the same temperature as the magnet. Moreover, axions as heavy as a few electronvolts can be reached with helium gas of only about one atmosphere at this temperature.

In this paper, we will present the result of a measurement in which we scanned the mass region up to 0.27 eV.

## 2 Experimental apparatus

The schematic figure of the axion helioscope is shown in Fig. 2. It is designed to track the sun in order to achieve long exposure time. It consists of a superconducting magnet, X-ray detectors, a gas container, and an altazimuth mounting. In the following paragraphs, we will describe each part in due order.

The superconducting magnet  consists of two 2.3-m long race-track shaped coils running parallel with a 20-mm wide gap between them. The magnetic field in the gap is 4 T perpendicular to the helioscope axis. The coils are kept at 5–6 K during operation. In order to make it easy to swing this huge cryogenic apparatus, two devices are engaged. First, the magnet was made cryogen-free by making two Gifford-McMahon refrigerators to cool it directly by conduction. Second, a persistent current switch was equipped. Thanks to this, the magnet can be freed from thick current leads after excitation, and the magnetic field is very stable for a long period of time without supplying current.

The container to hold dispersion-matching gas is inserted in the $`20\times 92\mathrm{mm}^2`$ aperture of the magnet. Its body is made of four 2.3-m long 0.8-mm thick stainless-steel square pipes welded side by side to each other. The entire body is wrapped with 5N high purity aluminium sheet to achieve high uniformity of temperature. The measured thermal conductance between the both ends was $`1\times 10^2\mathrm{W}/\mathrm{K}`$ at 6 K. One end at the forward side of the container is sealed with welded plugs and is suspended firmly by three Kevlar cords. The opposite side nearer to the X-ray detectors is flanged and fixed to the magnet. At this end of the container, gas is separated from vacuum with an X-ray window manufactured by METOREX which is transparent to X-ray above 2 keV and can hold gas up to 0.3 MPa at liquid helium temperature.

Sixteen PIN photodiodes, Hamamatsu Photonics S3590-06-SPL, are used as the X-ray detectors, whose chip sizes are $`11\times 11\times 0.5\mathrm{mm}^3`$ each. The effective area of a photodiode was measured formerly using a pencil-beam X-ray source, and found to be larger than $`9\times 9\mathrm{mm}^2`$. Each chip is mounted on a Kapton film bonded to an Invar plate with cryogenic compatible adhesive. The X-ray detectors are mounted in a 10-mm thick radiation shielding box made of oxygen-free high conductivity copper (OFHC Cu), which is then surrounded by a lead shield of about 150 mm thick. The copper shield is operated at about 60 K, so that it also functions as a cold finger for the X-ray detectors. Details on the X-ray detector are given in Ref. .

The output from each photodiode is fed to a charge sensitive preamplifier whose first-stage FET is at the cryogenic stage near the photodiode chip and the preamplifier outputs are digitized using CAMAC flash analog-to-digital convertors (FADC’s), REPIC RPC-081’s, at a sampling rate of 10 MHz. The preamplifier outputs are also fed to shaping amplifiers, Clear Pulse CP4026, whose outputs are then discriminated to generate triggers. Thus, waveforms of the sixteen preamplifier outputs are recorded simultaneously over 50 $`\mu s`$ before and after each trigger to be committed to later off-line analysis. Each detector was calibrated by 5.9-keV Mn X-rays from a $`{}_{}{}^{F}55`$ source installed in front of them. The source is manipulated from the outside and is completely retracted behind the shield during the axion observations.

The entire axion detector is constructed in a vacuum vessel and the vessel is mounted on an altazimuth mount. Its trackable altitude ranges from $`28^{}`$ to $`+28^{}`$ and its azimuthal direction is limited only by a limiter which prevents the helioscope from endless rotation. This view corresponds to an exposure time of about a half of a day in observing the sun in Tokyo at 139 45’ 48” E and 35 42’ 49” N. This is enough for our purpose, since background is measured during the other half of a day. This helioscope mount is driven by two AC servo motors controlled by a computer (PC). The PC also monitors the azimuthal and altitudinal directions of the helioscope regularly by two precision rotary encoders and forms a feedback controlling loop as a whole. The U.S. Naval Observatory Vector Astronomy Subroutines (NOVAS)  were used to calculate the solar position. The directional origin was determined using a theodolite. The altitudinal origin was determined from a spirit level. While the sun is not directly visible from the laboratory in the basement floor, the azimuthal origin was first determined from the observed direction of Polaris ($`\alpha `$-UMi) outdoors, and then it was introduced to the laboratory with the theodolite.

Since the effective aperture of the helioscope is narrow, it is crucial to determine its accurate geometry. The axis of the helioscope is defined by two cross hairs at the edge of the vacuum vessel. The position of each part of the helioscope was measured relative to these cross hairs from their exterior using the theodolite when they were installed. The positions of the PIN photodiodes were determined relative to the copper shielding box from a photo image taken prior to the installation. As it is hard to estimate analytically the effect of the geometrical errors as well as the effect of the size of the axion source, we performed a Monte Carlo simulation and found that the overall effective area is larger than $`602\mathrm{mm}^2`$ at 99% confidence level.

## 3 Measurement and Analysis

From 29th July till 1st September 2000, a measurement employing dispersion-matching gas was performed for ten photon mass settings to scan up to 0.27 eV which is shown in Table 1. The actual gas density was determined using a Yokokawa MU101 precision pressure gauge and two Lakeshore CGR thermistors attached to the gas container, and was calculated based on interpolation of the tables from NIST .

Before obtaining energy spectra, each event was categorized into two major groups, the solar observation and the background. Events while the measured direction agreed with the sun are counted as former. When the sun is completely out of the magnet aperture, events are counted as latter. Otherwise events are discarded.

Then, the following bad events are discarded; (a) events containing saturated waveforms, (b) events containing multiple pulses, (c) events containing pulses which are too early or too late compared to their triggers, and (d) events containing pulses whose rise-time is too slow. Cut (a) can be classified into two cases. One is such events where the saturation is caused by a giant pulse, e.g., by cosmic muons. Another is a group of events in which microphonic noises were so large that the baseline went out of the input range of the FADCs. They are distinguished by their waveforms and the live time was estimated after the most conservative manner. No correction is needed for cut (b) which is also aimed at cosmic-ray events, since the expected rate of the axion events is extremely low. Cut (c) and (d) were introduced to simplify the later waveform analysis. The loss in efficiency by cut (c) was found to be negligible. The causes of the slow pulses may be some kind of spontaneous noises of the detector, but are yet to be identified. However, it was confirmed that they were at least not X-rays, since we could hardly find such events in the data in which the $`{}_{}{}^{F}55`$ source was observed. In order to estimate the loss in efficiency by cut (d), the same cut was applied to the $`{}_{}{}^{F}55`$ source data. We found it to be less than 2.6% using the worst value of the sixteen channels.

We performed numerical pulse shaping to the raw waveforms using the Wiener filter. The energy of an X-ray is given by the peak height of a wave after shaping. The shaped waveform is given by

$$U(\omega )=\frac{S^{}(\omega )C(\omega )}{|N(\omega )|^2},$$
(4)
where $`U(\omega )`$, $`S(\omega )`$, $`C(\omega )`$, and $`N(\omega )`$ are Fourier transformations of the shaped waveform, the ideal signal waveform, the measured waveform, and the noise, respectively. Noises are obtained by gathering waveforms while no trigger exists, and the ideal signal waveform is approximated by averaging signals from 5.9-keV X-rays. The response function of this waveform analysis, i.e., non-linearity, gain walk by trigger timing, etc., was investigated thoroughly using simulated pulses which were obtained by adding the template waveform to the noise waveforms. A correction was made based on this numerical simulation. Saturation arised at about 25 keV, therefore, $`E>20\mathrm{keV}`$ was not used in the later analysis. Fig. 3 shows the comprehensive background spectrum of all the photodiodes and all the gas settings. The background level was about $`1.5\times 10^5\mathrm{s}^1\mathrm{keV}^1/\mathrm{PIN}`$ at $`E=5\text{}10\mathrm{keV}`$. The peak appearing at 22 keV is consistent with the fluorescent X-rays from the small amount of silver epoxy between the photodiode chip and the Kapton base. By analysing the calibration data, we found the energy resolution of each photodiode to be 0.70–0.87 keV (FWHM) for 5.9-keV photons.

In Fig. 4, one of the energy spectra of the solar observation is shown together with the background spectrum. We searched for expected axion signals which scale with $`g_{a\gamma \gamma }^4`$ for various $`m_a`$ in these spectra. The smooth curve in the figure represents an example for the expected axion signal where $`m_a=m_\gamma =0.263\mathrm{eV}`$ and $`g_{a\gamma \gamma }=7.4\times 10^{10}\mathrm{GeV}^1`$, which corresponds to the upper limit at $`m_a=0.263\mathrm{eV}`$ estimated as follows.

A series of least $`\chi ^2`$ fittings was performed assuming various $`m_a`$ values. Data from the ten different gas densities were combined by using the summed $`\chi ^2`$ of the ten. The energy region of 4–20 keV was used for fitting where the efficiency of the trigger system is almost 100% and the FADCs do not saturate. The PIN photodiodes were assumed to have inactive surface layers of $`6.1\mu \mathrm{m}`$ . As a result, no significant excess was seen for any $`m_a`$, and thus an upper limit on $`g_{a\gamma \gamma }`$ at 95% confidence level was given following the Bayesian scheme. Fig. 5 shows the limit plotted as a function of $`m_a`$. The previous limit and some other bounds are also plotted in the same figure. The SOLAX  is a solar axion experiment which exploits the coherent conversion on the crystalline planes in a germanium detector. The COSME  is the same kind of experiment but with a different Ge detector at a different site. Though their limits $`g_{a\gamma \gamma }<2.7\times 10^9\mathrm{GeV}^1`$ and $`g_{a\gamma \gamma }<2.78\times 10^9\mathrm{GeV}^1`$, respectively, are loose, they are virtually independent of $`m_a`$ like the following two theoretical bounds. It is also worth noting that they are observational. The limit $`g_{a\gamma \gamma }<2.3\times 10^9\mathrm{GeV}^1`$ is the solar limit inferred from the solar age consideration and the limit $`g_{a\gamma \gamma }<1\times 10^9\mathrm{GeV}^1`$ is a more stringent limit reported by Schlattl et al.  based on comparison between the helioseismological sound-speed profile and the standard solar evolution models with energy losses by solar axions.

## 4 Discussion and Conclusion

We have developed an axion helioscope and introduced cold helium gas as the dispersion-matching medium in the $`4\mathrm{T}\times 2.3\mathrm{m}`$ magnetic field of the helioscope. The axion mass up to 0.27 eV has been scanned. But no evidence for solar axions was seen. A new limit on $`g_{a\gamma \gamma }`$ shown in Fig. 5 was set for $`0.05<m_a<0.27\mathrm{eV}`$, which is far more stringent than the solar-age limit. This experiment could also clear some area beyond the tighter helioseismological bound. This limit assumes the standard solar model by Eq. 1, and depends especially on the core temperature. Though the limit did not reach the preferred axion models, this experiment is currently the only experiment which has demonstrated enough sensitivity to detect such solar axions that do not violate these solar limits.

The exact position of the ‘hadronic axion window’ or whether it is still open or not are controversial . There is an argument that it has closed by the globular-cluster limit . As for the solar limits, Watanabe and Shibahashi  has recently argued that the helioseismological bound can be lowered to $`g_{a\gamma \gamma }<4.0\times 10^{10}\mathrm{GeV}^1`$ if the ‘seismic solar model’ and the observed solar neutrino flux are combined. Discussions based on mutually independent assumptions are meaningful. And, it must be essential to test by well-controlled experiments or by direct observations. We are planning to upgrade our helioscope to scan higher masses. The CAST experiment  at CERN aims sensitivity as high as $`g_{a\gamma \gamma }5\times 10^{11}\mathrm{GeV}^1`$.

The authors thank the director general of KEK, Professor H. Sugawara, for his support in the beginning of the helioscope experiment. This research is supported by the Grant-in-Aid for COE research by the Japanese Ministry of Education, Science, Sports and Culture, and also by the Matsuo Foundation.


text:
# Heat Conduction in Low Dimensions: From Fermi-Pasta-Ulam Chains to Single-Walled Nanotubes

## Abstract

Heat conduction in 1-dimensional anharmonic systems is anomalous in the sense that the conductivity $`\kappa `$ scales with a positive power of the system size, $`\kappa L^\alpha `$. In two dimensions, previous simulations and theoretical arguments gave a logarithmic divergence. For rectangular systems of size $`L_{}\times L_{}`$ there should be a cross-over from the 2-d to the 1-d behaviour as the aspect ratio $`r=L_{}/L_{}`$ increases from $`r=1`$ to $`r1`$. When taking periodic boundary conditions in the transverse direction, this should be of direct relevance for the heat conduction in single-walled carbon nanotubes. In particular, one expects that $`k`$ nanotubes of diameter $`R`$ should conduct heat better than a single nanotube of the same length and of radius $`kR`$. We study this cross-over numerically by simulating the Fermi-Pasta-Ulam model. Apart from giving a precise estimate of the exponent $`\alpha `$, our most intriguing results are that the divergence does not seem to be logarithmic in $`d=2`$ but also power-like, and that the cross-over does not happen at a fixed aspect ratio. Instead, it happens at $`r=r^{}`$ with $`r^{}\mathrm{}`$ for $`L\mathrm{}`$.

After years of intense studies it is now clear that heat conduction in typical anharmonic systems is anomalous in low dimensions lepri-review . In particular, in 1-d systems like the Fermi-Pasta-Ulam (FPU) $`\beta `$-model beta , the diatomic Toda chain hatano , or in 1-d hard-particle gases with alternating masses hatano ; dhar ; grass-lei ; casati-prozen  the heat conductivity $`\kappa `$, defined by $`J(x)=\kappa T(x)`$, scales as

$$\kappa L^\alpha $$
(1)
where $`L`$ is the size of the system. Notice that we have assumed here that $`T(x)`$ exists, i.e. that local thermal equilibrium (LTE) is established in the limit $`L\mathrm{}`$, which is non-trivial dhar2  but seems to be true for these systems.

The main reason for this anomalous behaviour is the fact that the free path length of phonons with long wave lengths $`\lambda `$ diverges for $`\lambda \mathrm{}`$. Thus soft modes propagate nearly ballistically. In higher dimensions this is also true, but due to the enlarged phase space for other modes it is restricted to such a small region that $`\kappa `$ remains finite. In 1 dimension there are just not enough other modes with which soft phonons could interact to make $`\kappa `$ finite. This argument requires of course that there is an acoustic phonon branch, i.e. that soft (Goldstone) modes exist because translation invariance is not broken. Thus this argument does not apply to charge conduction where the electrons move in an external potential braking translation invariance.

For 2-d systems, simulations of FPU lattices of rather modest sizes lippi  indicated a logarithmic divergence $`\kappa \mathrm{ln}L`$. This was also supported by mode coupling theory. Indeed, a logarithmic divergence should not be too surprising in view of the logarithmic divergence of transport coefficients in 2-d hydrodynamics evans  due to long time tails. In lippi  it was also observed that the cross-over from the 1-d to the 2-d scaling in rectangular systems happens at surprisingly large aspect ratios. Consider a system of size $`L_{}\times L_{}`$ where the length $`L_{}`$ is parallel to the heat flow. The aspect ratio is defined as $`r=L_{}/L_{}`$. For the sizes studied in lippi , the cross-over happened at $`r10`$, but no detailed study was made.

The main aim of the present paper is to present detailed simulations of the FPU $`\beta `$-model on much larger lattices than in lippi , in order to study in detail the asymptotic behaviour of 2-d systems and of the cross-over. But before doing so, let us point out that this study is not entirely academic. It is of immediate experimental and maybe even of technological importance.

The lattices which we shall use have periodic boundary conditions in the transverse direction. Therefore, we actually study the heat conduction through (single-walled) tubes. By far the most important nanotubes are those made of carbon nanotubes . Their heat conduction is dominated by phonons. They can be made with very few lattice defects, such that their conductivity is basically controlled by phonon-phonon interactions as in the FPU model. Indeed, this conductivity has been both calculated nano-sim  and measured nano-exp , and is found to be very large. It was thus suggested that carbon nanotubes should be the ideal material to carry away Joule heat in the next generation of integrated circuits which will use nanoscale structures and for which cooling will be a major problem. Since most molecular dynamics simulations and measurements were done for fixed tube lengths, no length dependence of $`\kappa `$ was seen in them. The only exception is Ref.maruyama  where a clear length dependence of $`\kappa `$ was seen for the narrowest tubes, but not for wider ones.

In all simulations of carbon nanotubes the realistic Tersoff-Brenner potential brenner  was used. If, as we claim, the size dependence of $`\kappa `$ is universal, its main features (and in particular the exponent $`\alpha `$ in Eq.(1)) should be independent of the potential. There will be of course unknown scale factors when transferring our results from FPU systems to carbon tubes, nevertheless we should be able to use our results directly for an experimentally accessible system.

In our FPU simulations we used a square lattice with sites indexed by integer vectors $`𝐧=(i,j)`$ with $`1iN_x`$ and $`1jN_y`$. We use periodic b.c. in $`j`$. The lattice constant, the particle mass, and the $`\beta `$ parameter are all set to unity. Thus $`N_x=L_{}`$ and $`N_y=L_{}`$ and, apart from the heat baths at $`i=1`$ and $`i=N_x`$, the hamiltonian is

$$H=\frac{1}{2}\underset{𝐧}{}p_𝐧^2+\underset{<𝐧,𝐦>}{}\left[\frac{1}{2}(q_𝐧q_𝐦)^2+\frac{1}{4}(q_𝐧q_𝐦)^4\right].$$
(2)
Notice that identically the same form (with $`N_y=1`$) can be used also for 1-d chains. To measure a heat flux we keep the left boundary ($`i=1`$) at a lower temperature $`T_h=10`$, and the right boundary ($`i=N_x`$) at $`T_c=6`$. These are fairly large in order to obtain fast equilibration (similar temperatures were used in beta ). These thermostats are implemented as Nosé-Hoover evans  heat baths with response times $`\mathrm{\Theta }=1`$. Thus the equations of motion for the particles in the boundaries are modified to

$$\ddot{q}_𝐧=\frac{H}{q_𝐧}\xi _𝐧p_𝐧\mathrm{with}\dot{\xi }_𝐧=\frac{p_𝐧^2}{T}1.$$
(3)
Since our overall accuracy was mainly limited by statistical fluctuations and not by integration errors, we used mainly a simple leap-frog integrator evans  with a large step size $`dt=0.05`$. Test runs with smaller $`dt`$ were made to verify the results (see below). Total integration times were typically between $`2\times 10^6`$ and $`2\times 10^8`$ units.

Although there exist more sophisticated symplectic integrators for Nosé-Hoover baths leapfrog , and although the standard form given in Eq.(3) is not symplectic, the straightforward leap-frog was also used for them. Apart from simplicity and robustness, our main reason was that LTE should be strongly violated at the boundaries anyhow, due to the large temperature gradients lepri-review  at the boundaries (see also Fig.1). If LTE would hold everywhere, and $`\kappa `$ would depend only on $`T`$ and on the system size, the constancy of the heat flow throughout the sample would imply a nearly linear temperature profile (since $`\kappa `$ depends smoothly on $`T`$). This is obviously not the case. A more direct check of LTE is obtained by estimating the normalized kurtosis (fourth cumulant) of the momentum distribution,

$$Q_i=\frac{N_y\underset{j=1}{\overset{N_y}{}}p_{(i,j)}^4}{\left(_{j=1}^{N_y}p_{(i,j)}^2\right)^2}3.$$
(4)
In Fig.2 we show these cumulants for length $`N_x=128`$ and different widths. All three curves show that indeed $`|Q_i|1`$, verifying approximate LTE (for larger $`N_x`$ we find even smaller $`Q_i`$, as we should expect from the fact that temperature gradients decrease with $`N_x`$). The detailed curves depend strongly on $`N_y`$, but in all cases the kurtosis is largest near the boundaries. Thus data obtained from the boundary regions should not be used for the analysis anyhow, and integration errors in these regions should not matter too much.

Like the kurtosis, local temperatures and heat fluxes were indeed not calculated as functions of the spatial positions $`(x,y)`$ but for fixed particles: The temperature of the $`i`$-th layer is simply $`T_i=N_y^1_{j=1}^{N_y}p_{(i,j)}^2`$, while the average heat flux through any horizontal bond connecting the layers $`i`$ and $`i+1`$ is

$$J_i=(2N_y)^1\underset{j=1}{\overset{N_y}{}}(\dot{q}_{(i,j)}+\dot{q}_{(i+1,j)})F_{(i,j)},$$
(5)
where $`F_{(i,j)}`$ is the force acting between particles $`(i,j)`$ and $`(i+1,j)`$. We checked that indeed $`J_i`$ is independent of $`i`$, within the statistical errors.

Conductivities obtained by dividing the flux by the globally averaged temperature gradient,

$$\kappa _{\mathrm{global}}=\frac{\underset{i=1}{\overset{N_x}{}}J_i}{(T_hT_c)},$$
(6)
are shown in Fig. 3, while conductivities obtained by using the gradient averaged only over the central half of the lattice,

$$\kappa _{\mathrm{center}}=\frac{\underset{i=1}{\overset{N_x}{}}J_i}{N_x(dT/dx)_{\mathrm{center}}}$$
(7)
with $`(dT/dx)_{\mathrm{center}}=2(T_{3N_x/4}T_{N_x/4})/N_x`$, are shown in Figs. 4 and 5. There are small but significant differences between the two definitions of $`\kappa `$. In general, the plots for $`\kappa _{\mathrm{center}}`$ show slightly more structures. We argue that they are more relevant, since they are less affected by boundary effects. We show the data for $`\kappa _{\mathrm{global}}`$ also, because they are much less noisy.

From Figs. 3 and 4 we see that $`\kappa `$ saturates for large $`N_y`$. The saturation values increase roughly power-like with $`N_x`$. For intermediate $`N_y`$ there are very shallow minima, at $`(N_y)_{\mathrm{min}}N_x^{0.35}`$. A rough fit to the data for $`N_y>2`$ is obtained with a scaling ansatz

$$\kappa =N_x^\alpha ^{}\varphi (N_y/N_x^\beta ),\alpha ^{}=0.26,\beta =0.35.$$
(8)
with $`\varphi (x)const`$ for $`x1`$ and $`\varphi (x)x^{(\alpha ^{}\alpha )/\beta }`$ for $`x0`$. Thus the cross-over happens at $`r^{}N_x^{1\beta }=N_x^{0.65}`$. As seen from Fig. 5, both the 1-d behaviour ($`r=\mathrm{}`$) and the behaviour at $`rr^{}`$ are rougly power like, but with different powers. In between, $`\kappa `$ increases even faster with $`N_x`$ (for fixed $`N_y`$).

For fixed aspect ratios this leads to a decrease of $`\kappa `$ with $`N_x`$ for small $`N_x`$ ($`r>r^{}(N_x)`$), and to a power increase for large $`N_x`$ (see Fig. 6). Indeed one sees definite deviations from a pure power law, even for large $`N_x`$. This means that $`\kappa `$ increases asymptotically less fast than suggested by a simple least square fit to the present data (which would give the exponent $`\alpha ^{}=0.26`$ used in Eq.(8)). Thus the true asymptotic exponent $`\alpha (2\mathrm{d})`$ for 2-d lattices is less than $`\alpha ^{}`$. Any detailed extrapolation is of course uncertain, but our best estimate is $`\alpha (2\mathrm{d})=0.22\pm 0.03`$.

In order to see more precisely the behaviour of 1-d chains (where we have much higher statistics than for $`N_y>1`$), and to see more clearly the errors made by the finite step size $`dt`$, we show $`\kappa /N_x^{0.37}`$ in Fig. 7. Indeed the uncertainty in the definition of $`\kappa `$ is much more important than the integration error. Although the latter is much larger than the statistical error (since we obtained very high statistics for $`N_y=1`$), it has hardly any effect on the scaling of $`\kappa `$. While the curves for $`\kappa _{\mathrm{global}}`$ seem to flatten for large $`N_x`$, those for $`\kappa _{\mathrm{center}}`$ seem to turn upward again for very large $`N_x`$, after having bent downward for intermediate $`N_x`$. Essentially the same behaviour was seen for the 1-d gas with alternating masses in grass-lei . Again any extrapolation is rather uncertain, our best estimate is $`\alpha (1\mathrm{d})=0.37\pm 0.01`$.

In summary, we have studied the heat conduction on rectangular 2-d FPU lattices with periodic lateral boundary conditions, including lattices with zero width (i.e. linear chains). We argued that the divergence of the conductivity with system size should be universal, so that our results should apply also, among others, to carbon nanotubes. One striking result is that we do not see the logarithmic increase of $`\kappa `$ found in lippi . At least for system sizes up to five times the size of those studied in lippi , the increase is power-like, with an exponent larger than 0.2. This increase flattens somewhat for even larger lattices, but our best asymptotic estimate is still around 0.2. For $`d=1`$ our estimate of the exponent $`\alpha `$ is slightly smaller than previous ones, but compatible with them.

Our other striking result is that the cross-over from 1-d to 2-d behaviour happens at an aspect ratio which diverges with system size. Thus it might be difficult to see the true 1-d behaviour in carbon nanotubes. But this does not mean that $`\kappa `$ should not increase with their length, quite to the contrary: The increase at presently achievable tube lengths might even be faster than both the asymptotic 1-d and 2-d power laws, in view of the special shape of the cross-over. Since $`\kappa `$ is decreasing with the width $`L_{}`$ for large aspect ratios, two tubes with small radius conduct better than one tube with twice the radius. Thus, if one wants to maximize the heat flux for a given amount of carbon and a given length of the tubes, one should make the tubes as narrow as possible.

Finally we would like to point out that the effect we discussed in this paper is closely related to the Casimir force. The latter deals with the change in energy of a cavity due to elimination of vacuum modes by the cavity walls. The enhanced conductivity of narrow strips compared to the bulk is due to the elimination of transverse phonons (i.e. phonons with $`p_y0`$), the interactions with which otherwise would limit the free path length of soft longitudinal phonons which contribute to the energy transport.

We are indebted to Roberto Livi and Antonio Politi for very helpful correspondence, and to Walter Nadler for numerous discussions.


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# 1 Introduction

## 1 Introduction

The atmospheric and solar neutrino oscillations observed in the Super-Kamiokande experiment  have provided robust evidence that neutrinos are massive and lepton flavors are mixed. All analyses of the atmospheric neutrino deficit favor $`\nu _\mu \nu _\tau `$ as the dominant oscillation mode with the mass-squared difference $`\mathrm{\Delta }m_{\mathrm{atm}}^210^3\mathrm{eV}^2`$ and the mixing factor $`\mathrm{sin}^22\theta _{\mathrm{atm}}>0.85`$ at the $`99\%`$ confidence level. In addition, the present Super-Kamiokande and SNO  data indicate that the solar neutrino anomaly is most likely attributed to the matter-enhanced $`\nu _e\nu _\mu `$ oscillation via the Mikheyev-Smirnov-Wolfenstein (MSW) mechanism  with $`\mathrm{\Delta }m_{\mathrm{sun}}^210^5\mathrm{eV}^2`$ and $`\mathrm{sin}^22\theta _{\mathrm{sun}}0.60.98`$ at the $`3\sigma `$ confidence level (large-angle MSW solution). The strong hierarchy between $`\mathrm{\Delta }m_{\mathrm{atm}}^2`$ and $`\mathrm{\Delta }m_{\mathrm{sun}}^2`$, together with the small $`\nu _3`$-component in $`\nu _e`$ configuration restricted by the CHOOZ reactor neutrino oscillation experiment , implies that atmospheric and solar neutrino oscillations decouple approximately from each other. Each of them is dominated by a single mass scale, which can be set as $`\mathrm{\Delta }m_{\mathrm{sun}}^2|m_2^2m_1^2|`$ or $`\mathrm{\Delta }m_{\mathrm{atm}}^2|m_3^2m_2^2|`$. The mixing factors of solar, atmospheric and CHOOZ neutrino oscillations are simply given by

$`\mathrm{sin}^22\theta _{\mathrm{sun}}`$ $`=`$ $`4|V_{e1}|^2|V_{e2}|^2,`$
$`\mathrm{sin}^22\theta _{\mathrm{atm}}`$ $`=`$ $`4|V_{\mu 3}|^2\left(1|V_{\mu 3}|^2\right),`$
$`\mathrm{sin}^22\theta _{\mathrm{chz}}`$ $`=`$ $`4|V_{e3}|^2\left(1|V_{e3}|^2\right),`$ (1)
where $`V`$ is the $`3\times 3`$ lepton flavor mixing matrix linking the neutrino mass eigenstates $`(\nu _1,\nu _2,\nu _3)`$ to the neutrino flavor eigenstates $`(\nu _e,\nu _\mu ,\nu _\tau )`$. As current experimental data favor $`\mathrm{sin}^22\theta _{\mathrm{chz}}\mathrm{sin}^22\theta _{\mathrm{sun}}\mathrm{sin}^22\theta _{\mathrm{atm}}𝒪(1)`$, two large flavor mixing angles can be drawn from Eq. (1) in a specific parametrization of $`V`$: one between the 2nd and 3rd lepton families and the other between the 1st and 2nd lepton families.

So far a number of phenomenological ans$`\ddot{\mathrm{a}}`$tze of lepton flavor mixing with two large rotation angles, including the “democratic” ansatz  and the “bimaximal” ansatz , have been proposed and discussed . In this paper we pay our particular attention to a new ansatz of the form (up to a trivial sign or phase rearrangement)

$$V_0=\left(\begin{array}{ccc}\frac{\sqrt{2}}{\sqrt{3}}& \frac{1}{\sqrt{3}}& 0\\ \frac{1}{\sqrt{6}}& \frac{1}{\sqrt{3}}& \frac{1}{\sqrt{2}}\\ \frac{1}{\sqrt{6}}& \frac{1}{\sqrt{3}}& \frac{1}{\sqrt{2}}\end{array}\right),$$
(2)
proposed recently by Harrison, Perkins and Scott . This so-called “tri-bimaximal” flavor mixing pattern predicts $`\mathrm{sin}^22\theta _{\mathrm{atm}}=1`$ and $`\mathrm{sin}^22\theta _{\mathrm{sun}}=8/9`$, consistent very well with the atmospheric neutrino oscillation data and the large-angle MSW solution to the solar neutrino problem. However, it leads also to $`\mathrm{sin}^22\theta _{\mathrm{chz}}=0`$, implying the absence of both high-energy matter resonances and intrinsic CP violation in neutrino oscillations.

The main purpose of this paper is to discuss two simple but instructive possibilities to modify the tri-bimaximal neutrino mixing pattern in Eq. (2), such that CP violation can naturally be incorporated into the resultant scenarios of nearly tri-bimaximal flavor mixing. Two specific textures of the charged lepton mass matrix are taken into account, in order to obtain small but non-vanishing $`|V_{e3}|`$ or $`\mathrm{sin}^22\theta _{\mathrm{chz}}`$. We find that two new ans$`\ddot{\mathrm{a}}`$tze have practically indistinguishable consequences on the atmospheric neutrino oscillation, but their predictions for $`\mathrm{sin}^22\theta _{\mathrm{sun}}`$, $`\mathrm{sin}^22\theta _{\mathrm{chz}}`$ and leptonic CP violation are rather different. We also discuss an interesting approach to construct lepton mass matrices under permutation symmetry, from which one may derive another nearly tri-bimaximal neutrino mixing scenario with $`|V_{e3}|0`$ but with no intrinsic CP violation in neutrino oscillations.

## 2 Nearly tri-bimaximal neutrino mixing

The fact that masses of three active neutrinos are extremely small is presumably attributed to the Majorana nature of neutrino fields . In this picture, the light (left-handed) neutrino mass matrix $`M_\nu `$ must be symmetric and can be diagonalized by a single unitary transformation:

$$U_\nu ^{}M_\nu U_\nu ^{}=\mathrm{Diag}\{m_1,m_2,m_3\}.$$
(3)
The charged lepton mass matrix $`M_l`$ is in general non-Hermitian, hence the diagonalization of $`M_l`$ needs a bi-unitary transformation:

$$U_l^{}M_l\stackrel{~}{U}_l=\mathrm{Diag}\{m_e,m_\mu ,m_\tau \}.$$
(4)
The lepton flavor mixing matrix $`V`$, defined to link the neutrino mass eigenstates $`(\nu _1,\nu _2,\nu _3)`$ to the neutrino flavor eigenstates $`(\nu _e,\nu _\mu ,\nu _\tau )`$, measures the mismatch between the diagonalization of $`M_l`$ and that of $`M_\nu `$: $`V=U_l^{}U_\nu `$. Note that $`(m_1,m_2,m_3)`$ in Eq. (3) and $`(m_e,m_\mu ,m_\tau )`$ in Eq. (4) are physical (real and positive) masses of light neutrinos and charged leptons, respectively.

In the flavor basis where $`M_l`$ is diagonal (i.e., $`U_l=\mathrm{𝟏}`$ being a unity matrix), the flavor mixing matrix is simplified to $`V=U_\nu `$. The tri-bimaximal neutrino mixing pattern $`U_\nu =V_0`$ can then be constructed from the product of two Euler rotation matrices:

$`R_{12}(\theta _x)`$ $`=`$ $`\left(\begin{array}{ccc}c_x& s_x& 0\\ s_x& c_x& 0\\ 0& 0& 1\end{array}\right),`$
$`R_{23}(\theta _y)`$ $`=`$ $`\left(\begin{array}{ccc}1& 0& 0\\ 0& c_y& s_y\\ 0& s_y& c_y\end{array}\right),`$ (5)
where $`s_x\mathrm{sin}\theta _x`$, $`c_y\mathrm{cos}\theta _y`$, and so on. Taking $`\theta _x=\mathrm{arctan}(1/\sqrt{2})35.3^{}`$ and $`\theta _y=45^{}`$, we obtain

$`V_0`$ $`=`$ $`R_{23}(\theta _y)R_{12}(\theta _x)`$ (6)
$`=`$ $`\left(\begin{array}{ccc}\frac{\sqrt{2}}{\sqrt{3}}& \frac{1}{\sqrt{3}}& 0\\ \frac{1}{\sqrt{6}}& \frac{1}{\sqrt{3}}& \frac{1}{\sqrt{2}}\\ \frac{1}{\sqrt{6}}& \frac{1}{\sqrt{3}}& \frac{1}{\sqrt{2}}\end{array}\right).`$
The vanishing of the (1,3) element in $`V_0`$ assures an exact decoupling between solar ($`\nu _e\nu _\mu `$) and atmospheric ($`\nu _\mu \nu _\tau `$) neutrino oscillations. The corresponding neutrino mass matrix $`M_\nu `$ takes the form

$`M_\nu `$ $`=`$ $`V_0\left(\begin{array}{ccc}m_1& 0& 0\\ 0& m_2& 0\\ 0& 0& m_3\end{array}\right)V_0^\mathrm{T}`$ (7)
$`=`$ $`\left(\begin{array}{ccc}A_\nu B_\nu C_\nu & C_\nu & C_\nu \\ C_\nu & A_\nu & B_\nu \\ C_\nu & B_\nu & A_\nu \end{array}\right),`$
where

$`A_\nu `$ $`=`$ $`{\displaystyle \frac{m_3}{2}}+{\displaystyle \frac{m_1+2m_2}{6}},`$
$`B_\nu `$ $`=`$ $`{\displaystyle \frac{m_3}{2}}{\displaystyle \frac{m_1+2m_2}{6}},`$
$`C_\nu `$ $`=`$ $`{\displaystyle \frac{m_2m_1}{3}}.`$ (8)
If $`m_1m_2`$ holds, one may arrive at a simpler texture of $`M_\nu `$ with $`A_\nu (m_3+m_1)/2`$, $`B_\nu (m_3m_1)/2`$ and $`C_\nu 0`$.

Let us comment briefly on the mathematical structure of $`M_\nu `$ obtained in Eq. (7). Indeed $`M_\nu `$ can be decomposed as

$$M_\nu =A_\nu 𝐈_A+B_\nu 𝐈_B+C_\nu 𝐈_C,$$
(9)
where

$`𝐈_A`$ $`=`$ $`\left(\begin{array}{ccc}1& 0& 0\\ 0& 1& 0\\ 0& 0& 1\end{array}\right),`$
$`𝐈_B`$ $`=`$ $`\left(\begin{array}{ccc}1& 0& 0\\ 0& 0& 1\\ 0& 1& 0\end{array}\right),`$
$`𝐈_C`$ $`=`$ $`\left(\begin{array}{ccc}1& 1& 1\\ 1& 0& 0\\ 1& 0& 0\end{array}\right).`$ (10)
Such a structure of the neutrino mass matrix is very similar to that giving rise to the bimaximal flavor mixing . Note that the diagonalization of $`M_\nu `$ requires an orthogonal matrix which is able to diagonalize $`𝐈_B`$ and $`𝐈_C`$ simultaneously. This orthogonal matrix is just $`V_0`$ given in Eq. (6). Although the decomposition of $`M_\nu `$ shown above is by no means unique, it might have a meaningful interpretation in an underlying theory of neutrino masses with specific flavor symmetries.

The tri-bimaximal neutrino mixing pattern will be modified, if $`U_l`$ deviates somehow from the unity matrix. This can certainly happen, provided that the charged lepton mass matrix $`M_l`$ is not diagonal in the flavor basis where the neutrino mass matrix $`M_\nu `$ takes the form given in Eq. (7). As $`U_\nu =V_0`$ describes a product of two special Euler rotations in the real (2,3) and (1,2) planes, the simplest form of $`U_l`$ which allows $`V=U_l^{}U_\nu `$ to cover the whole $`3\times 3`$ space should be $`U_l=R_{12}(\theta _x)`$ or $`U_l=R_{31}(\theta _z)`$ (see Ref.  for a detailed discussion). To make CP violation incorporated into $`V`$, we adopt the complex rotation matrices:

$`R_{12}(\theta _x,\varphi _x)`$ $`=`$ $`\left(\begin{array}{ccc}c_x& s_xe^{i\varphi _x}& 0\\ s_xe^{i\varphi _x}& c_x& 0\\ 0& 0& 1\end{array}\right),`$
$`R_{31}(\theta _z,\varphi _z)`$ $`=`$ $`\left(\begin{array}{ccc}c_z& 0& s_ze^{i\varphi _z}\\ 0& 1& 0\\ s_ze^{i\varphi _z}& 0& c_z\end{array}\right).`$ (11)
In this case, we arrive at lepton flavor mixing of the pattern

$`V_{(x)}`$ $`=`$ $`R_{12}^{}(\theta _x,\varphi _x)V_0`$ (12)
$`=`$ $`\left(\begin{array}{ccc}\frac{1}{\sqrt{6}}\left(2c_x+s_xe^{i\varphi _x}\right)& \frac{1}{\sqrt{3}}\left(c_xs_xe^{i\varphi _x}\right)& \frac{1}{\sqrt{2}}s_xe^{i\varphi _x}\\ \frac{1}{\sqrt{6}}\left(c_x2s_xe^{i\varphi _x}\right)& \frac{1}{\sqrt{3}}\left(c_x+s_xe^{i\varphi _x}\right)& \frac{1}{\sqrt{2}}c_x\\ \frac{1}{\sqrt{6}}& \frac{1}{\sqrt{3}}& \frac{1}{\sqrt{2}}\end{array}\right),`$
or of the pattern

$`V_{(z)}`$ $`=`$ $`R_{31}^{}(\theta _z,\varphi _z)V_0`$ (13)
$`=`$ $`\left(\begin{array}{ccc}\frac{1}{\sqrt{6}}\left(2c_zs_ze^{i\varphi _z}\right)& \frac{1}{\sqrt{3}}\left(c_z+s_ze^{i\varphi _z}\right)& \frac{1}{\sqrt{2}}s_ze^{i\varphi _z}\\ \frac{1}{\sqrt{6}}& \frac{1}{\sqrt{3}}& \frac{1}{\sqrt{2}}\\ \frac{1}{\sqrt{6}}\left(c_z+2s_ze^{i\varphi _z}\right)& \frac{1}{\sqrt{3}}\left(c_zs_ze^{i\varphi _z}\right)& \frac{1}{\sqrt{2}}c_z\end{array}\right).`$
It is obvious that $`V_{(x)}`$ and $`V_{(z)}`$ represent two nearly tri-bimaximal flavor mixing scenarios, if the rotation angles $`\theta _x`$ and $`\theta _z`$ are small in magnitude. The complex phase $`\varphi _x`$ in $`V_{(x)}`$ or $`\varphi _z`$ in $`V_{(z)}`$ is the source of leptonic CP violation in neutrino oscillations.

## 3 Constraints on mixing factors and CP violation

As the mixing angle $`\theta _x`$ or $`\theta _z`$ arises from the diagonalization of $`M_l`$, it is expected to be a simple function of the ratios of charged lepton masses. Then the strong mass hierarchy of charged leptons naturally assures the smallness of $`\theta _x`$ or $`\theta _z`$, as one can see later on.

Indeed a proper texture of $`M_l`$ which may lead to the flavor mixing pattern $`V_{(x)}`$ is

$$M_l^{(x)}=\left(\begin{array}{ccc}0& C_l& 0\\ C_l^{}& B_l& 0\\ 0& 0& A_l\end{array}\right),$$
(14)
where $`A_l=m_\tau `$, $`B_l=m_\mu m_e`$, and $`C_l=\sqrt{m_em_\mu }e^{i\varphi _x}`$. The mixing angle $`\theta _x`$ in $`V_{(x)}`$ is then given by

$$\mathrm{tan}(2\theta _x)=\mathrm{\hspace{0.33em}\hspace{0.33em}2}\frac{\sqrt{m_em_\mu }}{m_\mu m_e}.$$
(15)
On the other hand, a proper texture of $`M_l`$ which may give rise to the mixing pattern $`V_{(z)}`$ reads as follows:

$$M_l^{(z)}=\left(\begin{array}{ccc}0& 0& C_l\\ 0& B_l& 0\\ C_l^{}& 0& A_l\end{array}\right),$$
(16)
where $`A_l=m_\tau m_e`$, $`B_l=m_\mu `$, and $`C_l=\sqrt{m_em_\tau }e^{i\varphi _z}`$. The mixing angle $`\theta _z`$ in $`V_{(z)}`$ turns out to be

$$\mathrm{tan}(2\theta _z)=\mathrm{\hspace{0.33em}\hspace{0.33em}2}\frac{\sqrt{m_em_\tau }}{m_\tau m_e}.$$
(17)
In view of the hierarchy of three charged lepton masses (i.e., $`m_em_\mu m_\tau `$), we obtain $`s_x\sqrt{m_e/m_\mu }`$ and $`s_z\sqrt{m_e/m_\tau }`$ to a good degree of accuracy. Numerically, we find $`\theta _x3.978^{}`$ and $`\theta _z0.972^{}`$ by using the inputs $`m_e=0.511`$ MeV, $`m_\mu =105.658`$ MeV, and $`m_\tau =1.777`$ GeV .

Now let us calculate the mixing factors of solar, atmospheric and reactor neutrino oscillations. With the help of Eqs. (1) and (12) or (13), we arrive straightforwardly at

$`\mathrm{sin}^22\theta _{\mathrm{sun}}^{(x)}`$ $`=`$ $`{\displaystyle \frac{8}{9}}\left(1{\displaystyle \frac{3}{4}}s_x^2s_xc_x\mathrm{cos}\varphi _x+{\displaystyle \frac{3}{2}}s_x^3c_x\mathrm{cos}\varphi _x2s_x^2c_x^2\mathrm{cos}^2\varphi _x\right),`$
$`\mathrm{sin}^22\theta _{\mathrm{atm}}^{(x)}`$ $`=`$ $`1s_x^4,`$
$`\mathrm{sin}^22\theta _{\mathrm{chz}}^{(x)}`$ $`=`$ $`1c_x^4;`$ (18)
and

$`\mathrm{sin}^22\theta _{\mathrm{sun}}^{(z)}`$ $`=`$ $`{\displaystyle \frac{8}{9}}\left(1{\displaystyle \frac{3}{4}}s_z^2+s_zc_z\mathrm{cos}\varphi _z{\displaystyle \frac{3}{2}}s_z^3c_z\mathrm{cos}\varphi _z2s_z^2c_z^2\mathrm{cos}^2\varphi _z\right),`$
$`\mathrm{sin}^22\theta _{\mathrm{atm}}^{(z)}`$ $`=`$ $`1,`$
$`\mathrm{sin}^22\theta _{\mathrm{chz}}^{(z)}`$ $`=`$ $`1c_z^4.`$ (19)
Allowing $`\varphi _x`$ and $`\varphi _z`$ to take arbitrary values, we find that the minimal and maximal magnitudes of $`\mathrm{sin}^22\theta _{\mathrm{sun}}^{(x)}`$ and $`\mathrm{sin}^22\theta _{\mathrm{sun}}^{(z)}`$ are

$`\left[\mathrm{sin}^22\theta _{\mathrm{sun}}^{(x)}\right]_{\mathrm{min}}`$ $`=`$ $`{\displaystyle \frac{8}{9}}\left(1{\displaystyle \frac{3}{4}}s_x^2s_xc_x+{\displaystyle \frac{3}{2}}s_x^3c_x2s_x^2c_x^2\right),`$
$`\left[\mathrm{sin}^22\theta _{\mathrm{sun}}^{(x)}\right]_{\mathrm{max}}`$ $`=`$ $`{\displaystyle \frac{8}{9}}\left(1{\displaystyle \frac{3}{4}}s_x^2+s_xc_x{\displaystyle \frac{3}{2}}s_x^3c_x2s_x^2c_x^2\right);`$ (20)
and

$`\left[\mathrm{sin}^22\theta _{\mathrm{sun}}^{(z)}\right]_{\mathrm{min}}`$ $`=`$ $`{\displaystyle \frac{8}{9}}\left(1{\displaystyle \frac{3}{4}}s_z^2s_zc_z+{\displaystyle \frac{3}{2}}s_z^3c_z2s_z^2c_z^2\right),`$
$`\left[\mathrm{sin}^22\theta _{\mathrm{sun}}^{(z)}\right]_{\mathrm{max}}`$ $`=`$ $`{\displaystyle \frac{8}{9}}\left(1{\displaystyle \frac{3}{4}}s_z^2+s_zc_z{\displaystyle \frac{3}{2}}s_z^3c_z2s_z^2c_z^2\right),`$ (21)
respectively. A numerical illustration of $`\mathrm{sin}^22\theta _{\mathrm{sun}}^{(x)}`$ and $`\mathrm{sin}^22\theta _{\mathrm{sun}}^{(z)}`$ as functions of $`\varphi _x`$ and $`\varphi _z`$ is shown in Fig. 1, from which $`0.816\mathrm{sin}^22\theta _{\mathrm{sun}}^{(x)}0.938`$ and $`0.873\mathrm{sin}^22\theta _{\mathrm{sun}}^{(z)}0.903`$ can be obtained. Note that $`\mathrm{sin}^22\theta _{\mathrm{atm}}=1.000`$ holds in both scenarios. In addition, we get $`\mathrm{sin}^22\theta _{\mathrm{chz}}^{(x)}0.01`$ and $`\mathrm{sin}^22\theta _{\mathrm{chz}}^{(z)}0.0006`$. Therefore two nearly tri-bimaximal neutrino mixing patterns are practically indistinguishable in the atmospheric neutrino oscillation experiment. It is possible to distinguish between them in the solar neutrino oscillation experiment. They can unambiguously be distinguished with the measurements of $`|V_{e3}|`$ and CP or T violation in a variety of long-baseline neutrino oscillation experiments.

The strength of CP or T violation in neutrino oscillations, no matter whether neutrinos are Dirac or Majorana particles, is measured by a universal and rephasing-invariant parameter $`𝒥`$ , defined through the following equation:

$$\mathrm{Im}\left(V_{\alpha i}V_{\beta j}V_{\alpha j}^{}V_{\beta i}^{}\right)=𝒥\underset{\gamma ,k}{}\left(\epsilon _{\alpha \beta \gamma }\epsilon _{ijk}\right),$$
(22)
in which the Greek subscripts run over $`(e,\mu ,\tau )`$, and the Latin subscripts run over $`(1,2,3)`$. Considering two lepton mixing scenarios proposed above, we obtain

$`𝒥_{(x)}`$ $`=`$ $`{\displaystyle \frac{1}{6}}s_xc_x\mathrm{sin}\varphi _x,`$
$`𝒥_{(z)}`$ $`=`$ $`{\displaystyle \frac{1}{6}}s_zc_z\mathrm{sin}\varphi _z.`$ (23)
For illustration, we typically take $`\varphi _x=\varphi _z=90^{}`$. Then we arrive at $`𝒥_{(x)}0.0115`$ and $`𝒥_{(z)}0.0028`$, respectively. The former could be determined from the CP-violating asymmetry between $`\nu _\mu \nu _e`$ and $`\overline{\nu }_\mu \overline{\nu }_e`$ transitions or from the T-violating asymmetry between $`\nu _\mu \nu _e`$ and $`\nu _e\nu _\mu `$ transitions in a long-baseline neutrino oscillation experiment, if the terrestrial matter effects are insignificant or under control.

## 4 Further discussions and remarks

We have discussed two simple possibilities to construct the charged lepton and neutrino mass matrices, from which two nearly tri-bimaximal neutrino mixing patterns can naturally emerge. Both scenarios are compatible with the large-angle MSW solution to the solar neutrino problem, although their numerical predictions for the mixing factor $`\mathrm{sin}^22\theta _{\mathrm{sun}}`$ may be different from each other. Two lepton mixing patterns are practically indistinguishable in the atmospheric neutrino oscillation experiment, but their consequences on $`|V_{e3}|`$ and leptonic CP violation are different and distinguishable. Only one of them is likely to yield an observable CP- or T-violating asymmetry in long-baseline neutrino oscillation experiments.

There are certainly other possibilities to modify the tri-bimaximal neutrino mixing ansatz, such that non-vanishing $`|V_{e3}|`$ (and CP violation) can naturally be incorporated into the resultant scenarios of nearly tri-bimaximal mixing. For illustration, we follow an interesting approach proposed in Ref.  to consider charged lepton and neutrino mass matrices of the form

$`M_lM_l^{}`$ $`=`$ $`\left(\begin{array}{ccc}a& b& b^{}\\ b^{}& a& b\\ b& b^{}& a\end{array}\right),`$
$`M_\nu M_\nu ^{}`$ $`=`$ $`\left(\begin{array}{ccc}x& 0& y\\ 0& z& 0\\ y^{}& 0& x\end{array}\right).`$ (24)
Clearly $`M_lM_l^{}`$ is invariant under cyclic permutation of three generation indices , and $`M_\nu M_\nu ^{}`$ has four texture zeros . Note that $`y`$ was assumed to be real in Ref. . One will see later on that $`|V_{e3}|0`$ may non-trivially result from the phase of $`y`$. The Hermitian matrices $`M_lM_l^{}`$ and $`M_\nu M_\nu ^{}`$ can be diagonalized as follows:

$`U_l^{}M_lM_l^{}U_l`$ $`=`$ $`\mathrm{Diag}\{m_e^2,m_\mu ^2,m_\tau ^2\},`$
$`U_\nu ^{}M_\nu M_\nu ^{}U_\nu `$ $`=`$ $`\mathrm{Diag}\{m_1^2,m_2^2,m_3^2\}.`$ (25)
It is straightfoward to obtain

$$U_l=\left(\begin{array}{ccc}\frac{1}{\sqrt{3}}& \frac{\overline{\omega }}{\sqrt{3}}& \frac{\omega }{\sqrt{3}}\\ \frac{1}{\sqrt{3}}& \frac{1}{\sqrt{3}}& \frac{1}{\sqrt{3}}\\ \frac{1}{\sqrt{3}}& \frac{\omega }{\sqrt{3}}& \frac{\overline{\omega }}{\sqrt{3}}\end{array}\right),$$
(26)
where $`\omega =\mathrm{exp}(+i2\pi /3)`$ and $`\overline{\omega }=\mathrm{exp}(i2\pi /3)`$; and

$$U_\nu =\left(\begin{array}{ccc}\frac{1}{\sqrt{2}}& 0& \frac{1}{\sqrt{2}}e^{i\phi }\\ 0& 1& 0\\ \frac{1}{\sqrt{2}}e^{i\phi }& 0& \frac{1}{\sqrt{2}}\end{array}\right),$$
(27)
where $`\phi =\mathrm{arg}(y)`$. Then the lepton flavor mixing matrix $`V=U_l^{}U_\nu `$, which describes the mismatch between the diagonalization of $`M_lM_l^{}`$ and that of $`M_\nu M_\nu ^{}`$, takes the form

$$V=\left(\begin{array}{ccc}\frac{1}{\sqrt{6}}\left(1+e^{i\phi }\right)& \frac{1}{\sqrt{3}}& \frac{1}{\sqrt{6}}\left(1e^{i\phi }\right)\\ \frac{1}{\sqrt{6}}\left(\omega +\overline{\omega }e^{i\phi }\right)& \frac{1}{\sqrt{3}}& \frac{1}{\sqrt{6}}\left(\overline{\omega }\omega e^{i\phi }\right)\\ \frac{1}{\sqrt{6}}\left(\overline{\omega }+\omega e^{i\phi }\right)& \frac{1}{\sqrt{3}}& \frac{1}{\sqrt{6}}\left(\omega \overline{\omega }e^{i\phi }\right)\end{array}\right).$$
(28)
The tri-bimaximal neutrino mixing (up to a trivial sign or phase rearrangement ) can then be reproduced from $`V`$ in the limit $`\phi =0`$. The nearly tri-bimaximal mixing scenario obtained in Eq. (28) leads to

$`\mathrm{sin}^22\theta _{\mathrm{sun}}`$ $`=`$ $`{\displaystyle \frac{8}{9}}\mathrm{cos}^2{\displaystyle \frac{\phi }{2}},`$
$`\mathrm{sin}^22\theta _{\mathrm{atm}}`$ $`=`$ $`{\displaystyle \frac{8}{3}}\mathrm{sin}^2\left({\displaystyle \frac{\phi }{2}}+{\displaystyle \frac{2\pi }{3}}\right)\left[1{\displaystyle \frac{2}{3}}\mathrm{sin}^2\left({\displaystyle \frac{\phi }{2}}+{\displaystyle \frac{2\pi }{3}}\right)\right],`$
$`\mathrm{sin}^22\theta _{\mathrm{chz}}`$ $`=`$ $`{\displaystyle \frac{8}{3}}\mathrm{sin}^2{\displaystyle \frac{\phi }{2}}\left(1{\displaystyle \frac{2}{3}}\mathrm{sin}^2{\displaystyle \frac{\phi }{2}}\right).`$ (29)
We plot the changes of $`\mathrm{sin}^22\theta _{\mathrm{sun}}`$, $`\mathrm{sin}^22\theta _{\mathrm{atm}}`$ and $`\mathrm{sin}^22\theta _{\mathrm{chz}}`$ as functions of $`\phi `$ in Fig. 2, where the experimental upper bound $`\mathrm{sin}^22\theta _{\mathrm{chz}}<0.1`$ has been taken into account. One can see that the allowed ranges of $`\phi `$ are $`0\phi 0.125\pi `$ (or $`22.5^{}`$) and $`2\pi \phi 1.875\pi `$ (or $`337.5^{}`$). Accordingly, we obtain $`0.939\mathrm{sin}^22\theta _{\mathrm{atm}}1`$ and $`0.962\mathrm{sin}^22\theta _{\mathrm{atm}}1`$. We also obtain $`0.855\mathrm{sin}^22\theta _{\mathrm{sun}}0.889`$ for both ranges of $`\phi `$.

Note that $`𝒥=0`$ holds exactly, although $`V`$ is complex. Therefore no intrinsic CP violation could be observed in neutrino oscillation experiments, if the tri-bimaximal neutrino mixing pattern or its revised version in Eq. (28) were correct. The result $`𝒥=0`$ makes such a nearly tri-bimaximal ansatz less interesting. Of course, the complex phases in $`V`$ may have significant effects on the neutrinoless double beta decay, if neutrinos are Majorana particles.

Finally let us remark that both the tri-bimaximal mixing pattern and its possible extensions require some peculiar flavor symmetries to be imposed on the charged lepton and neutrino mass matrices. It is likely that one of the three nearly tri-bimaximal neutrino mixing patterns under discussion serves as the leading-order approximation of a more complicated flavor mixing matrix. For the time being, however, such simple ans$`\ddot{\mathrm{a}}`$tze are very instructive and useful to explore the main features of lepton flavor mixing and CP violation through neutrino oscillations. We expect that more delicate neutrino oscillation experiments in the near future can help pin down the explicit pattern of neutrino mixing, from which one may get some insight into the underlying flavor symmetry and its breaking mechanism responsible for the origin of both lepton masses and leptonic CP violation.

The author would like to thank H. Fritzsch for useful discussions and comments. This work was supported in part by the National Natural Science Foundation of China.


text:
# References

COMMISSIONS 27 AND 42 OF THE IAU

INFORMATION BULLETIN ON VARIABLE STARS

Number xxxx

Konkoly Observatory Budapest xx April 2002 HU ISSN 0374 – 0676

IW And IS A Z Cam-TYPE DWARF NOVA

KATO, TAICHI1, ISHIOKA, RYOKO1, UEMURA, MAKOTO1

1 Dept. of Astronomy, Kyoto University, Kyoto 606-8502, Japan,
e-mail: (tkato,ishioka,uemura)@kusastro.kyoto-u.ac.jp

IW And (S 10792) was a blue variable discovered by Meinunger (1975). Meinunger (1980) studied the object spectroscopically and described that the object seems to be a unique object: in spite of broad absorption lines of H$`\beta `$, H$`\gamma `$ and H$`\delta `$ resembling those of an O or early B dwarf or subdwarf, the spectrum was found to be featureless around H$`\alpha `$. Meinunger (1980) further stated that a couple of doubtful emission lines at the limit of detectability seem to be present. From 330 observations for the period JD 2440802–46706, Meinunger, Andronov (1987) found that the object spends 72% of time in an “inactive” state (15.1–15.3 mag). The object infrequently showed maximum brightness (18% of time, 13.7–15.0 mag) and minimum brightness (10% of time, 15.4–17.3 mag). Meinunger, Andronov (1987) stated that such behavior is significantly different from those of dwarf novae or polars. More recently, Liu et al. (1999) obtained a higher quality spectrum, and detected H$`\alpha `$ emission line with broad absorption troughs. Although Liu et al. (1999) classified the object as a confirmed cataclysmic variable, the exact nature of the object has not been evident owing to the lack of dense photometric observations.

We observed IW And on 55 nights between 2001 December 6 and 2002 March 25. The observations were done using an unfiltered ST-7E camera (system close to Rc) attached to the Meade 25-cm Schmidt-Cassegrain telescope. The exposure time was 30 s. The images were dark-subtracted, flat-fielded, and analyzed using the JavaTM-based PSF photometry package developed by on of the authors (TK). The differential magnitudes of the variable were measured against GSC 2811.1573 (Tycho-2 $`V`$-magnitude 12.05, $`BV`$=0.11), whose long-term constancy was confirmed to 0.10 mag by comparison with GSC 2811.2117 (Tycho-2 $`V`$-magnitude 11.57, $`BV`$=0.69). The log of observations is summarized in table 1.

The resultant light curve is shown in Fig. 1. The light curve clearly shows a damping oscllation at the beginning of the observation. After that, the object entered a standstill. The behavior is quite characteristic to a Z Cam-type dwarf nova entering a standstill (Szkody, Mattei (1984); Honeycutt et al. (1998); Kato (2001)). There was even a small hint of small-amplitude oscillations during the early part of the standstill which are quite analogous to those of Z Cam (Kato (2001)) and HX Peg (Honeycutt et al. (1998)). The last observation may indicate that the object was caught during an outburst from the standstill. The present observation established that IW And is a previously unrecognized Z Cam-type dwarf nova. The “inactive” state described in Meinunger, Andronov (1987) must have been standstills.

Among Z Cam stars, the duty cycle (nearly 72%) of standstills is exceptionally high (cf. the largest duty cycle of well-observed Z Cam stars is 45% Oppenheimer et al. (1998)). Although Z Cam stars have long been understood as intermediate systems between dwarf novae and novalike (NL) systems (e.g. Meyer, Meyer-Hofmeister (1983)) in the framework of the disk-instability model (see Osaki (1996) for a review), there has been a wide gap between Z Cam stars and NL systems in terms of the duty cycle of standstills, which are equivalent to a thermally stable state of NL systems. IW And is apparently the first object to fill this gap with its large duty cycle of standstills. Since such an object is expected to be provide strong observational constraints to the mechanism of Z Cam stars (Meyer, Meyer-Hofmeister (1983), Honeycutt et al. (1998), Buat-Ménard et al. (2001)), further continuous observations to precisely determine the pattern of outbursts and standstills, and spectroscopic observations to determine system parameters (orbital period, component masses etc.) are strongly encouraged.

This work is partly supported by a grant-in aid (13640239) from the Japanese Ministry of Education, Culture, Sports, Science and Technology. Part of this work is supported by a Research Fellowship of the Japan Society for the Promotion of Science for Young Scientists (MU).