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# Conductance switching in a molecular device: the role of sidegroups and intermolecular interactions

## Abstract

We report first-principles studies of electronic transport in monolayers of Tour wires functionalized with different side groups. An analysis of the scattering states and transmission eigenchannels suggests that the functionalization does not strongly affect the resonances responsible for current flow through the monolayer. However, functionalization has a significant effect on the interactions within the monolayer, so that monolayers with NO2 side groups exhibit local minima associated with twisted conformations of the molecules. We use our results to interpret observations of negative differential resistance and molecular memory in monolayers of NO2 functionalized molecules in terms of a twisting of the central ring induced by an applied bias potential.

An important goal in the study of molecular electronics is to identify molecules that can be combined to perform logical functionsJoachim et al. (2000). In particular, Reed and co-workers Chen et al. (1999, 2000); Chen and Reed (2002); Reed et al. (2001) have studied the electrical properties of a set of phenyl-ethylene oligomers (known as Tour wires  (TW)Tour et al. (2001)) functionalized with different side groups, and demonstrated that such molecules can show negative differential resistance (NDR)Chen et al. (1999, 2000) and a ”molecular memory”Chen and Reed (2002); Reed et al. (2001) effect, in which case molecules can be switched from a low conductance state to a high conductance state by application of a voltage pulse. A fundamental understanding of the microscopic mechanisms governing the NDR and memory effects in these systems is still lacking.

Complementary studies, by Weiss and co-workers Donhauser et al. (2001), of isolated or small bundles of TWs embedded in a monolayer of spacer alkyl molecules, demonstrated spontaneous conductance switching. While Reed and co-workers only observed switching effects for TWs with NO2 sidegroups, Weiss et. al. reported spontaneous switching of all the molecules in their study but had limited success in inducing switching by using a voltage pulseDonhauser et al. (2001). Theoretical studies of properties of isolated TWs have emphasized the role of charging of the molecule and subsequent localization/delocalization of molecular orbitals Seminario et al. (2000, 2001) or bias-induced alignment of molecular orbitals on the first and last phenyl rings of twisted TWsCornil et al. (2002).

In this paper we use the TranSiesta packageBrandbyge et al. (2002) to investigate the effect of different sidegroups on both the electrical and structural properties of TW’s in self assembled monolayers, and in this way gain new insight into the microscopic origin of the observed NDR and memory effects. TranSIESTA is a non-equilibrium Greens function based electronic transport program founded on density functional theory. It treats the entire system selfconsistently under finite bias conditions, and the only major approximation in the method is the choice of exchange correlation(XC) functional. tec (a) We have previously shown that electrical properties of different metallic wires calculated using the method are in excellent agreement with experimental dataNielsen et al. (2002).

The nanopore structures in which NDR and memory effects have been observed are formed by evaporating the molecules onto a small Au surface inside a Si3N4 structure, and then evaporating another Au electrode onto the molecular monolayerChen et al. (1999). Since there is no detailed information about the structure of the monolayer, our theoretical analysis of the problem proceeds by forming an idealized model of the electrode/monolayer/electrode system and comparing electron transport in three different moleculestec (b). We use an Au(111) surface in a 3x3 unit cell for the electrodes and assume the TWs are chemisorbed to the surfaces through strong thiol bondsbon , as illustrated in Fig. 1. monolayer A consists of a bare TW with thiol end groups, while monolayers B and C have been functionalized with NH2 and NO2 side groups, respectively.

We first investigate the effect of the sidegroups on the electrical properties of the monolayers. The current through the monolayers is determined by the quantum mechanical probability for electrons to tunnel from one electrode to the other, and is calculated using the Landauer formulaDatta (1996): $`I=_{\mu _L}^{\mu _R}T(E,V_b)𝑑E`$, where $`\mu _{L/R}=\pm eV_b`$ and $`T(E,V_b)`$ is the transmission probability for electrons incident at an energy $`E`$ through a device under a potential bias $`V_b`$ (n.b $`V_b>0`$ corresponds to hole injection from the right electrode). The general shape of the zero-bias tranmsission spectra, shown as $`T(E,V_b=0V)`$ in Fig. 2a, is similar for all three systems. The zero bias conductance $`G=\frac{e^2}{h}T(E=\mu _{l/r},V_b=0)`$, given by $`2.0`$ $`\mu \text{S}`$, $`2.3`$ $`\mu \text{S}`$, $`1.9`$ $`\mu \text{S}`$, for monolayers A, B, and C, is dominated by the tail of a broad highest-occupied-molecular-orbital (HOMO) resonance (at $`E_{\text{HOMO}}=0.84`$, $`0.65`$, and $`0.85\text{ eV}`$ for monolayers A, B, and C). The narrower lowest-unoccupied-molecular-orbital (LUMO) resonance (at $`E_{\text{LUMO}}=1.56`$ , $`1.59`$, and $`1.14\text{ eV}`$ for A, B, and C respectively) contributes less to the conductance and thus holes are the dominant carriers. The NH2 group is electron donating, so that $`E_{\text{HOMO},B}E_{\text{HOMO},A}200\text{ meV}`$ while the NO2 group is electron accepting so $`E_{\text{LUMO},C}E_{\text{LUMO},A}400\text{ meV}`$.

To calculate the I-Vb spectrum we performed selfconsistent calculations for biases in the range -2.8 V to 2.8 V in steps of 0.2 V. We note that the charge on the molecule is not fixedBrandbyge et al. (2002) and adjusts itself to minimize the free energyTodorov et al. (2000) as the left/right electrochemical potentials are changed. For all three systems we find that the molecules are close to charge neutrality, and the charge on the molecule $`Q_M`$ , as determined by a Mullliken population analysis, change by less than 0.05 e as the bias voltage $`V_b`$ is varied. The I-Vb spectra, shown in Fig. 2b, are very similar, increasing slowly at first but then increasing rapidly around $`2V`$ where the resonances come into alignment with the bias window. The main effect of $`V_b`$ on $`T(E,V_b)`$ is to sample more and more of the resonance while resonant peak height and position vary slowly with $`V_b`$Taylor et al. (2002).

When the molecules interact with the Au(111) electrodes, the molecular levels broaden into a continuumDatta (1996). The eigenstates of the whole metal/monolayer/metal system consist of scattering statesEmberly and Kirczenow (1998); Taylor (2000), which are molecular orbital-like in the molecule, and Bloch wave-like in the metal slabs. If an orbital is delocalized across the molecule, an electron that enters the molecule at the energy of the orbital has a high probability of reaching the other end and thus there is a corresponding peak in the transmission probability $`T(E,V_b)`$, as illustrated in Fig. 2a. By calculating the continuum eigenstates at the resonance energies ($`E_{\text{HOMO}},E_{\text{LUMO}}`$), the orbitals that are responsible for current flow through the molecule can be analyzed. The HOMO resonances, illustrated in Fig. 2c, resemble the HOMO of the isolated molecules while the narrower LUMO resonances, illustrated in Fig. 2d, resemble the LUMO of the isolated molecules. There are minor differences between the orbitals: the NH2 side group participates in the HOMO resonance but not in the LUMO resonance, while the NO2 group participates in the LUMO resonance and not the HOMO resonance, consistent with their respective donating/accepting characters. It is, however, clear from both the shape of the transmission curves in Fig. 2a and the orbitals in Figs. 2c and 2d that the resonant transmission peaks in monolayers A, B, and C are related to the delocalized nature of the $`\pi `$-orbitals of the bare TWs and is not strongly affected by the functionalization.

The energetics of the monolayers are, however, strongly affected by the functionalization. The triple bond between the phenyl rings is rotationally symmetric and thus constitutes an easy axis about which the middle ring can rotate. The differences in total energy as a function of the rotation angle of the middle ring, $`\theta `$, for the molecules arranged in the 3x3 unit cell of Au(111) are shown in Fig. 3a. The intermolecular interaction energy is strongly dependent on the functionalization: there is a cost of $`60\text{ meV}`$ ($`180\text{ meV}`$) to rotate the ring 90in monolayer A (B), and the flat molecule is clearly favoured. Monolayer C shows a quite different behaviour, it acquires a local minimum at $`\theta =60`$and $`120`$. To understand the origin of these minima we have plotted the effective potential within the monolayer in Fig. 3b. The effective potential reveals the formation of a hydrogen bond between the NO2 group and a hydrogen atom on the neighboring TW. Similar hydrogen bond formation involving NO2 groups has also been observed in other molecular layersBöringer et al. (1999). From Fig. 3b it is also clear that the minima at $`60`$and $`120`$can be attributed to bond formation with a new neighboring molecule, and these particular angles arise from the symmetry of the monolayer.

There is a barrier for rotation of the middle ring from $`\theta =0`$ to $`\theta =60`$of $`150\text{ meV}`$, while the barrier from $`60`$to $`0`$is $`65\text{ meV}`$ We postulate that, as a voltage pulse is applied, these barriers may change, and a transition to a new molecular conformation with the middle ring twisted may be induced. The local minima only exist when the molecules are functionalized with an NO2 side group and thus such transitions only exist when the molecules are functionalized with an NO2 side group Chen and Reed (2002).

Again because of the lack of detailed information about the monolayer, we have selected a candidate conformation, which we designate monolayer C@60, formed by twisting the middle ring of molecules in monolayer C 60, for possible stabilization under applied bias. The transmission spectra for monolayer C@60 is shown in Fig. 4a and its I-Vb characteristics in Fig. 4d. The conductance $`G.12\mu \text{S}`$ is roughly 16 times smaller than monolayer C while the current at $`V_b=2V`$ is $`5`$ times smaller. To lowest order, $`G`$ is proportional to the product of the matrix elements between $`\pi `$-orbitals on neighbouring phenyl rings so that a rotation of the middle ring will reduce $`G`$ by a factor $`\mathrm{cos}^4(\theta )=\frac{1}{8}`$, in rough agreement with the calculated values.

The transmission eigenstates for electrons travelling from left to right at $`E_{\text{HOMO}}=0.85\text{ eV}`$ and $`E_{\text{LUMO}}=0.99\text{ eV}`$ are illustrated in Fig. 4b. The HOMO resonance is localized on the phenyl ring nearest the left electrode while the LUMO state corresponds to an orbital of the middle ring, weakly coupled to the first and last rings.

To investigate whether monolayer C@60 could be stabilized with respect to monolayer C as the bias voltage is increased, we show in Fig. 4b the Kohn-Sham total energy of monolayers C and C@60. At $`V_b=0`$, monolayer C is lower in energy than monolayer C@60. However, when the bias is increased above 2 V, monolayer C@60 becomes lower in energy, leading to an expected conformational change. While there are issues surrounding the evaluation of total energies for such systems Todorov et al. (2000); ene , Fig. 4b serves to illustrate that different conformations may be stablized with respect to each other by an external bias. In this case, the calculation suggests a transformation of monolayer C to monolayer C@60 at around $`2V`$. The exact value of the switching voltage will depend on the coverage, detailed structure and size of the monolayer, as well as how the potential drops across the molecules, which can be affected by electrode couplingTaylor et al. (2002).

The local minima in Fig. 3a are stabilized by the NO2 sidegroup, which correlates well with that the molecular memory effect is only observed in monolayers with NO2 side groupsChen and Reed (2002). Furthermore, the energy barrier for rotation of $`65150\text{ meV}`$ derived from our crude model is in rough agreement with the $`80\text{ meV}`$ barrier height extracted from bit retention timesChen and Reed (2002), thus conformational changes stabilized by intermolecular interactions is a good candidate for explaining such phenomena.

Because the minima emerge from interactions within the monolayers, the above effects may only be observed in nanopore experiments Chen et al. (1999, 2000); Chen and Reed (2002); Reed et al. (2001) and not in experiments of single molecules. In the STM experiments of Weiss and co-workersDonhauser et al. (2001) on single or small bundles of molecules, the conductance switching may be related to different conformations formed by steric interactions between the TWs and the insulating alkyl molecules. This could explain why the observed switching behaviour was independent of the functionalization of the molecules.

In conclusion, we find that functionalization of TWs has a stronger effect on the energetics of the monolayers than on the orbitals responsible for current transport and a better understanding of the intermolecular interactions in such monolayers could hopefully be exploited in order to design molecular electronic devices with specific properties.

Acknowledgements: We would like to thank J.-L. Mozos and P. Ordejon for help in implementing TranSIESTA, and J. Cornil for valuable discussions. We acknowledge funding from the SNF (M.B.), STVF (K.S.,J.T.), NSERC (J.T.), EU SANEME IST-1999-10323, Direktør Ib Henriksens fond, and Danish Center for Scientific Computing (DCSC).


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# The inverse of a real generalized Cartan matrix

## 1. introduction

For any complex $`n\times n`$ matrix $`A`$, one can associate with it a complex Lie algebra $`𝔤(A)`$, see  or . The properties of $`A`$ determine the structure of the Lie algebra $`𝔤(A)`$. In , some results are given for generalized Cartan matrices which are integral matrices. In particular, it was proved in  that any generalized Cartan matrix of finite type or affine type is symmetrizable. However, for any real generalized Cartan matrix, this is not true any more, see the example in the next section. Hence, we need to develop a new approach to deal with real generalized Cartan matrices. In this paper, we generalize some results in  to arbitrary real generalized Cartan matrices. Moreover, we give some give explicit criteria to judge whether a real generalized Cartan matrix is of finite type or of hyperbolic type. In particular, it will be proved that a real generalized Cartan matrix is of finite type if and only if it is invertible and the inverse is a positive matrix. A generalized Cartan matrix is of hyperbolic type if and only if it is invertible and the inverse is non-positive. Furthermore, we obtain a similar result for real generalized Cartan matrices of affine type. Some of the results are even new for generalized Cartan matrices.

This work was done during the author’s visit at the University of Amsterdam. The author would like to thank Professor T. H. Koornwinder for his warm hospitality and to Netherlands Organization for Scientific Research (NWO) for financial support. The author would like also to thank Professor P. Moree for encouragement and valuable discussion.

## 2. Vinberg’s classification theorem

The main tool of the paper is Vinberg’s classification theorem. A matrix $`A`$ is called decomposable if, after reordering the indices (i.e. a permutation of its rows and the same permutation of its columns), $`A`$ decomposes into a non-trivial direct sum. A matrix that is not decomposable will be called indecomposable.

Let $`u=(u_1,u_2,\mathrm{},u_n)^T`$ be a real column vector. We write $`u>0`$ if $`u_i>0`$ for all $`i`$, and $`u0`$ if $`u_i0`$ for all $`i`$.

###### Definition 2.1.

Let $`A=(a_{ij})_{n\times n}M_n()`$. The matrix $`A`$ is called a real generalized Cartan matrix if it satisfies the following properties:

1. $`A`$ is indecomposable,
2. $`a_{ij}0`$ for $`ij`$,
3. $`a_{ij}=0`$ if and only if $`a_{ji}=0`$.

The following lemma was proved in .

###### Lemma 2.2.

Let $`A`$ be a real generalized cartan matrix and let $`u0`$ be a real column vector. Then $`Au0`$ implies that either $`u>0`$ or $`u=0`$.

The following theorem is known as Vinberg’s classification theorem see , .

###### Theorem 2.3.

Let $`A`$ be a real generalized Cartan matrix. Then one and only one of the following possibilities holds for both $`A`$ and $`A^T`$.

1. $`detA0`$; there exists $`u>0`$ such that $`Au>0`$; $`Av0`$ implies $`v>0`$ or $`v=0`$. In this case, $`A`$ is called of finite type.
2. $`detA=0`$; there exists $`u>0`$ such that $`Au=0`$; $`Av0`$ implies $`Av=0`$. In this case, $`A`$ is called of affine type.
3. There exists $`u>0`$ such that $`Au<0`$; $`Av0`$, $`v0`$ imply $`v=0`$. In this case, $`A`$ is called of indefinite type.

It is easy to see that Vinberg’s classification theorem can be simplified as follows.

###### Corollary 2.4.

Let $`A`$ be a $`n\times n`$ real generalized Cartan matrix. Then

1. $`A`$ is of finite type if and only if there exists $`u^n`$, $`u>0`$ such that $`Au>0`$.
2. $`A`$ is of affine type if and only if there exists $`u^n`$, $`u>0`$ such that $`Au=0`$.
3. $`A`$ is of indefinite type if and only if there exists $`u^n`$, $`u>0`$ such that $`Au<0`$.

Example. Let $`A=\left(\begin{array}{ccc}4& 1& 1\\ 1& 4& 1\\ 2& 1& 4\end{array}\right)`$. Then

$$A\left(\begin{array}{c}1\\ 1\\ 1\end{array}\right)=\left(\begin{array}{c}2\\ 2\\ 1\end{array}\right).$$

Hence, $`A`$ is of finite type. Clearly, $`A`$ is non-symmetrizable.

## 3. the main results

Denote by $`I`$ the $`n\times n`$ identity matrix.

###### Theorem 3.1.

For any real generalized Cartan matrix $`A`$, there exists a unique real number $`d`$ such that $`A+dI`$ is of affine type. Furthermore, $`A+bI`$ is of finite type if $`b>d`$ and $`A+bI`$ is of indefinite type if $`b<d`$.

###### Proof.

Let

$$I_{fin}(A)=\{a|A+aI\text{ is of finite type }\},$$

$$I_{aff}(A)=\{a|A+aI\text{ is of affine type }\},$$

$$I_{ind}(A)=\{a|A+aI\text{ is of indefinite type }\}.$$

By Vinberg’s classification theorem, we have

$$=I_{fin}(A)\dot{}I_{aff}(A)\dot{}I_{ind}(A).$$

If $`aI_{fin}(A)`$ and $`ba`$, there exists $`u>0`$ such that $`(A+aI)u>0`$. Hence, $`(A+bI)u>0`$ and so $`bI_{fin}(A)`$. For this given real number $`a`$, we can find a sufficient small $`ϵ>0`$ such that $`(A+(aϵ)I)u>0`$. Hence, $`aϵI_{fin}(A)`$ and $`I_{fin}(A)`$ is an open set. Similarly, if $`aI_{ind}(A)`$ and $`ba`$, then there exists $`u>0`$ such that $`(A+aI)u<0`$, then $`(A+bI)u<0`$ and so $`bI_{ind}(A)`$. For this given real number $`a`$, we can find a sufficient small $`ϵ>0`$ such that $`(A+(a+ϵ)I)u<0`$. Hence, $`a+ϵI_{ind}(A)`$ and $`I_{ind}(A)`$ is an open set.

If $`aI_{aff}`$, then $`a`$ is a real eigenvalue of the matrix $`A`$. Hence, $`I_{aff}(A)`$ is a finite set. Since $`I_{fin}(A)`$ and $`I_{ind}(A)`$ are open sets, $`I_{aff}(A)`$ is non-empty. Assume that $`a_1,a_2I_{aff}(A)`$ and $`a_1<a_2`$. Then there exists $`b`$, $`a_1<b<a_2`$, such that $`A+bI`$ is of finite type or indefinite type. In either cases, it is a contradiction. Hence, $`I_{aff}(A)`$ only contains one element, say $`d`$. Moreover,

$$I_{fin}(A)=\{a|a>d\}$$

and

$$I_{ind}(A)=\{a|a<d\}.$$

The following lemma was proved in .

###### Lemma 3.2.

Let $`A`$ be a real generalized Cartan matrix. If $`A`$ is of finite or affine type, then any proper principal submatrix decomposes into a direct sum of matrices of finite type.

###### Theorem 3.3.

The real generalized Cartan matrix $`A`$ is of finite type if and only if $`detA0`$ and $`A^1>0`$.

###### Proof.

Let $`A`$ be a real generalized Cartan matrix of finite type. Then $`detA0`$ by Vinberg’s theorem. Let $`A^1=(u_1,u_2,\mathrm{},u_n)`$ where $`u_i`$’s are the column vectors of $`A^1`$. Then $`Au_i0`$ for all $`i`$. Again by Vinberg’s theorem, we have $`u_i>0`$ for all $`i`$, i.e. $`A^1>0`$.

Conversely, assume that $`A`$ is a generalized Cartan matrix such that $`detA0`$ and $`A^1>0`$. Of course, $`A`$ is not of affine type. If $`A`$ is of indefinite type, then there exists $`u>0`$ such that $`Au=w<0`$. Since $`A^1>0`$, we have $`u=A^1w<0`$ which is a contradiction. Therefore, $`A`$ is of finite type. ∎

###### Definition 3.4.

A real generalized Cartan matrix $`A`$ is called a matrix of hyperbolic type if it is of indefinite type and any proper principal submatrix of $`A`$ is a direct sum of matrices of finite type or affine type. A hyperbolic generalized Cartan matrix $`A`$ is called strictly hyperbolic if any proper principal submatrix of $`A`$ is a direct sum of matrices of finite type.

###### Theorem 3.5.

Let $`A`$ be a real generalized Cartan matrix. Then $`A`$ is of hyperbolic type if and only if for any column vector $`u^n`$, $`Au0`$ implies $`u0`$.

###### Proof.

Let $`A`$ be a generalized Cartan matrix of hyperbolic type. Let $`0u^n`$ such that $`Au0`$. We claim that $`u0`$. If $`u`$ is not non-negative, then $`u`$ has both positive and negative entries since $`u0`$ contradicts to that $`A`$ is of indefinite type. By reordering, we may assume that

$$u_1>0,\mathrm{},u_{s1}>0,u_s0,\mathrm{},u_{n1}0,u_n<0.$$

We divide $`A`$ into block form

$$A=\left(\begin{array}{cc}A_1& A_2\\ A_3& A_4\end{array}\right)$$

where $`A_1`$ is a $`(s1)\times (s1)`$ submatrix, $`A_2`$ is a $`(s1)\times (ns+1)`$ submatrix, $`A_3`$ is a $`(ns+1)\times (s1)`$ submatrix and $`A_4`$ is a $`(ns+1)\times (ns+1)`$ submatrix. Let $`u^{}=(u_1,\mathrm{},u_{s1})^T`$ and let $`w^{}=(u_s,\mathrm{},u_n)^T`$. Then we have

$$A_1u^{}+A_2w^{}0.$$

Hence, $`A_1u^{}A_2w^{}0`$. Since $`A_1`$ is a direct sum of matrices of finite type or affine type, we conclude that $`A_1`$ is of affine type and so $`s=n`$ and $`A_2u_n=0`$. Therefore, $`A_2=0`$ and so $`A_3=0`$ which contradicts to that $`A`$ is indecomposable. Hence, $`u0`$.

If $`A`$ is of indefinite type but is not of hyperbolic type, then $`A`$ has a $`(n1)\times (n1)`$ principal submatrix $`A_1`$ which is of indefinite type. We may assume that

$$A=\left(\begin{array}{cc}A_1& b_1\\ c_1^T& a_{nn}\end{array}\right),$$

where $`b_10,c_10`$ are column vectors in $`^{n1}`$. There exists $`u>0`$ in $`^{n1}`$ such that $`A_1u<0`$. For $`a_+`$, set

$$w=\left(\begin{array}{c}au\\ 1\end{array}\right).$$

Then we have $`Aw<0`$ for sufficient large $`a`$. Contradiction! ∎

###### Theorem 3.6.

Let $`A`$ be a real generalized Cartan matrix. Then $`A`$ is of hyperbolic type if and only if $`detA0`$ and $`A^10`$.

###### Proof.

Assume that $`A`$ is of hyperbolic type. If $`detA=0`$, then there exist $`0u^n`$ such that $`Au=A(u)=0`$. By Theorem 3.5, $`u0`$ and $`u0`$ which force $`u=0`$. Hence, $`A`$ is nondegenerate. Assume that

$$A^1=(u_1,u_2,\mathrm{},u_n),$$

where $`u_1,u_2,\mathrm{},u_n^n`$. Then $`Au_i0`$ for all $`i`$. By theorem 3.5, $`u_i0`$.

Conversely, assume that $`detA0`$ and $`A^10`$. Let $`u^n`$ be such that $`Au=w0`$. Then $`u=A^1w0`$. Again by Theorem 3.5, $`A`$ is of hyperbolic type. ∎

###### Theorem 3.7.

The real generalized Cartan matrix $`A`$ is of finite type if and only if all of the principal minors of $`A`$ are positive. The real generalized Cartan matrix $`A`$ is of affine type if and only if $`detA=0`$ and all of the principal minors with size $`n1`$ are positive.

###### Proof.

Let $`B`$ be an arbitrary real generalized Cartan matrix of finite type. Then for any $`a0`$, $`B+aI`$ is also of finite type. Hence, $`det(B+aI)0`$ which means the real eigenvalues (if there are any) of $`B`$ are positive. Therefore, $`detB>0`$.

Now assume that $`A=(a_{ij})_{n\times n}`$ is a generalized Cartan matrix and that all of the principal minors of $`A`$ are positive. We then use induction on $`n`$ to show that the matrix $`A`$ is of finite type. The case $`n=1`$ is trivial. If $`A`$ is not of finite type, then $`A`$ must be of indefinite type because $`A`$ can not be of affine type. By the induction hypothesis, any principal indecomposable submatrix is of finite type. Hence, $`A`$ is of strictly hyperbolic type. Therefore, $`A^10`$. But the $`(1,1)`$-entry of $`A^1`$ is a $`(n1)\times (n1)`$ principal minor of $`A`$ over $`detA`$ which means that $`detA<0`$. Contradiction! Hence, $`A`$ must be of finite type.

If $`A`$ is of affine type, then any proper principal submatrix of $`A`$ is a direct sum of matrices of finite type. Hence, the determinant of the proper principal matrix is positive.

Conversely, assume that $`detA=0`$ and all of the principal minors with size $`(n1)`$ are all positive. Clearly, $`A`$ is not of finite type. If $`A`$ is of indefinite type, then $`A`$ must be of strictly hyperbolic type, and so $`detA0`$ which is a contradiction. Therefore, $`A`$ is of affine type. ∎

###### Remark 3.8.

If a real generalized Cartan matrix $`A`$ is of finite type (resp. affine type) and is symmetrizable, then it is easy to see that there exist positive real numbers $`d_1,d_2,\mathrm{},d_n`$ (see  2.3) and a symmetric matrix $`B`$ such that

$$A=diag(d_1,d_2,\mathrm{},d_n)B.$$

From the above theorem, one can see that $`B`$ is positive definite (resp. semi positive definite).

###### Corollary 3.9.

Let $`A`$ be a RGCM of hyperbolic type. Then $`detA<0`$.

###### Proof.

We already proved that $`detA<0`$ if $`A`$ is of strictly hyperbolic type. Assume that $`A`$ is of hyperbolic type. For a sufficient small $`ϵ>0`$, $`A+ϵI`$ is still of indefinite type. However, any principle indecomposable submatrix is of finite type. Hence, $`det(A+ϵI)<0`$. Note that $`detA0`$. Let $`ϵ`$ tend to zero. Then $`detA<0`$. ∎


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# 1 Introduction

## 1 Introduction

One of the most interesting of the anti-de Sitter solutions of string theory is the $`AdS_3\times S^3\times T^4`$ solution which arises from embedding a stack of fundamental strings within a stack of NS-5-branes. This solution is particularly useful because it is possible to write the action of a string in this background as a Wess-Zumino-Witten model on the group manifold $`SL(2,R)\times SU(2)`$. While the noncompact nature of $`SL(2,R)`$ leads to subtleties, great progress in understanding the closed string theory has been made . The open string theory on D-branes in this background has also been studied a great deal recently .

It has proven extremely fruitful in the AdS/CFT correspondence to be able to describe the same system in two different ways; as a solution to perturbative string theory and as a solution to classical supergravity. If this can be done, we can generate new dual descriptions of gravitational theories by gauge theories. We will therefore try to construct supergravity solutions for D-branes in $`AdS_3`$, which will then be described in a dual description by a field theory. In the particular case that we shall analyze, the supergravity solution we find is believed to be dual to a defect conformal field theory on the boundary .

There have been several partial results in the previous literature for such classical supergravity solutions. Supergravity solutions for general intersecting branes were considered in . Secondly, in , brane probes were considered. The equations of motion derived from the Born-Infeld action were then solved to produce stable supersymmetric branes. Unfortunately, the latter approach only produces solutions to linearized supergravity. Since we want to construct the complete nonlinear solution, we will follow the general approach of .

There is an important feature of these branes that simplifies our task. It was shown in , using boundary state arguments, that a D-3-brane stretched along an $`AdS_2\times S^2`$ submanifold of the background satisfies the equations of motion and is $`\frac{1}{2}`$ BPS; in other words it preserves 8 supercharges. Note that this is twice the number preserved by a system containing D3-branes, fundamental strings and NS-5 branes. The point is that in the near horizon limit, the supersymmetry is enhanced ; $`AdS_3\times S^3\times T^4`$ preserves 16 supercharges. A $`\frac{1}{2}`$-BPS brane in this background therefore preserves 8 supercharges. We therefore expect considerable simplifications since the branes preserve a greater amount of supersymmetry.

In the following section, we analyze $`\kappa `$-symmetry for the D-branes in $`AdS_3\times S^3`$. This analysis tells us which Killing spinors are preserved in the presence of the brane. Specifically, $`\kappa `$-symmetry informs us that the preserved Killing spinors are found by applying a particular projector to the Killing spinors.

We then use this to analyze the Killing equations. We require that the Killing equations be satisfied once the projector found above is imposed on the spinors. This then imposes constraints on the metric and field strengths. We can then solve these constraints to find the full solution. Since this procedure is rather tedious, we will simplify by assuming that the axion and dilaton are constant (we will look at the more general case in future work.)

We find that the constraints can indeed be solved, and the explicit solution can be found. The sources are found to be localized at antipodal points on the $`S^3`$ and wrap an $`AdS_2`$ in $`AdS_3`$. This then provides a new $`\frac{1}{2}`$-BPS solution of supergravity.

## 2 Imposing $`\kappa `$-Symmetry

The $`AdS_3\times S^3\times T^4`$ solution of type IIB supergravity can be obtained by taking the near-horizon limit of the solution generated by fundamental strings and NS-5-branes. This system preserves 16 supersymmetries. We shall ignore the $`T^4`$ directions in the subsequent discussions (it is thereby implicitly assumed that all branes are smeared on the $`T^4`$).

The metric of $`AdS_3\times S^3`$ in global coordinates with unit normalized radius is

$`ds^2=d\psi ^2+\mathrm{cosh}^2\psi \left(d\omega ^2\mathrm{cosh}^2\omega d\tau ^2\right)+`$
$`+d\theta ^2+\mathrm{sin}^2\theta \left(d\varphi ^2+\mathrm{sin}^2\varphi d\chi ^2\right)`$ (1)
It was argued in  from boundary state considerations that a D-3-brane could be added in a way which preserved one half of the supersymmetries. In this embedding, the geometry of the D3-brane is $`AdS_2\times S^2`$. With a particularly simple choice of parameters333$`q=0`$ in the notation of ., the D3-brane stretches along the coordinates $`(\tau ,\omega ,\varphi ,\chi )`$, with the coordinates $`\psi `$ and $`\theta `$ appearing as transverse scalars. We can then find a brane solution by solving the Born-Infeld equations of motion.

We need to know the background fields. The relevant part of the $`B_{NS}`$ background is

$`\overline{B}_{\varphi \chi }`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left(\theta {\displaystyle \frac{\mathrm{sin}2\theta }{2}}\right)\mathrm{sin}\varphi `$
$`\overline{B}_{\tau \omega }`$ $`=`$ $`{\displaystyle \frac{1}{2}}\left(\psi +{\displaystyle \frac{\mathrm{sinh}2\psi }{2}}\right)\mathrm{cosh}\omega `$ (2)
We can also turn on a magnetic flux on the D-3-brane of the form

$$4\pi \alpha ^{}F_{\varphi \chi }=\pi p\mathrm{sin}\varphi $$
(3)
where $`p`$ is constant. The Lagrangian for a D-3-brane embedded in this way is

$$L_{DBI}=T_D\sqrt{detM}$$
(4)
where

$`\sqrt{detM}`$ $`=`$ $`N(\psi )L(\theta )\mathrm{cosh}\omega \mathrm{sin}\varphi `$
$`L(\theta )`$ $`=`$ $`\left(\mathrm{sin}^4\theta +\left(\theta {\displaystyle \frac{\mathrm{sin}2\theta }{2}}\pi p\right)^2\right)^{\frac{1}{2}}`$
$`N(\psi )`$ $`=`$ $`\left(\mathrm{cosh}^4\psi \left(\psi +{\displaystyle \frac{\mathrm{sinh}2\psi }{2}}\right)^2\right)^{\frac{1}{2}}.`$ (5)
The solution of the $`\theta `$ equation of motion is then $`\theta _0=\pi p`$. Similarly, we can solve the $`\psi `$ equation of motion by setting $`\psi =0`$.

If we set

$`a`$ $`=`$ $`{\displaystyle \frac{1}{2}}\mathrm{sin}2\pi p=\mathrm{sin}\theta _0\mathrm{cos}\theta _0`$
$`b`$ $`=`$ $`\mathrm{sin}^2\pi p=\mathrm{sin}^2\theta _0`$ (6)
then

$`L(\theta _0)`$ $`=`$ $`\mathrm{sin}\theta _0`$
$`_{\varphi \chi }`$ $`=`$ $`{\displaystyle \frac{1}{2}}\mathrm{sin}2\theta _0\mathrm{sin}\varphi `$ (7)
We now discuss the supersymmetries preserved by this brane. For this we need the $`\kappa `$-symmetry projector $`\mathrm{\Gamma }`$. This is found by

$$d^{p+1}\xi \mathrm{\Gamma }=e^\mathrm{\Phi }L_{DBI}^1e^{}X|_{vol},$$
(8)
where

$`X`$ $`=`$ $`{\displaystyle \underset{n}{}}\mathrm{\Gamma }_{(2n)}K^nI,`$
$`K\psi `$ $`=`$ $`\psi ^{}`$
$`I\psi `$ $`=`$ $`ı\psi `$
$`\mathrm{\Gamma }_{(n)}`$ $`=`$ $`{\displaystyle \frac{1}{n!}}d\xi ^{i_n}\mathrm{}d\xi ^{i_1}\mathrm{\Gamma }_{i_1\mathrm{}i_n}`$ (9)
We see that

$`\mathrm{\Gamma }`$ $`=`$ $`{\displaystyle \frac{1}{\sqrt{a^2+b^2}}}\left(a\gamma _{\tau \omega }KIb\gamma _{\tau \omega \varphi \chi }K^2I\right)`$ (10)
$`=`$ $`ı(\mathrm{cos}\theta _0\gamma _{\tau \omega }K+\mathrm{sin}\theta _0\gamma _{\tau \omega \varphi \chi })`$
It may be verified that $`\mathrm{\Gamma }`$ is traceless and $`\mathrm{\Gamma }^2=1`$. This implies that 8 of the Killing spinors (pulled back to the worldvolume of the brane) will be invariant under the $`\kappa `$-symmetry projection $`\mathrm{\Gamma }ϵ=ϵ`$.

This is not the end of the story, though. The Killing spinors of $`AdS_3\times S^3`$ in global coordinates can be written as

$$ϵ=\mathrm{exp}\left(\frac{h\psi }{2}\gamma _{\tau \omega }K\right)\mathrm{exp}\left(\frac{h\theta }{2}\gamma _{\varphi \chi }K\right)R_0(\varphi ,\chi ,\omega ,\tau )ϵ_0,$$
(11)
where $`ϵ_0`$ is an arbitrary 16-component constant spinor satisfying $`\gamma ^{2345}ϵ_0=ϵ_0`$, $`R_0`$ is invertible and where $`h=1`$. Since the $`\kappa `$-symmetry projection $`\mathrm{\Gamma }ϵ=ϵ`$ is imposed on the brane, the projection can be written explicitly as

$$\mathrm{\Gamma }\mathrm{exp}\left(\frac{h\theta _0}{2}\gamma _{\varphi \chi }K\right)R_0(\varphi ,\chi ,\omega ,\tau )ϵ_0=\mathrm{exp}\left(\frac{h\theta _0}{2}\gamma _{\varphi \chi }K\right)R_0(\varphi ,\chi ,\omega ,\tau )ϵ_0$$
(12)
Since we want to find the projection on the full spinor $`ϵ`$, we still need to conjugate by the ($`\psi `$,$`\theta `$) dependence of the Killing spinor to find the invariant Killing spinor throughout the space.

Defining

$$\mathrm{\Lambda }=\mathrm{exp}\left(\frac{\psi _0}{2}\gamma _{\tau \omega }K\right)\mathrm{exp}\left(\frac{\theta _0}{2}\gamma _{\varphi \chi }K\right)\mathrm{exp}\left(\frac{\psi }{2}\gamma _{\tau \omega }K\right)\mathrm{exp}\left(\frac{\theta }{2}\gamma _{\varphi \chi }K\right),$$
(13)
we see we can rewrite the above projection (12) as $`\stackrel{~}{\mathrm{\Gamma }}ϵ=ϵ`$ where444$`\delta \theta =\theta \theta _0`$. To connect to more general embeddings, we also write $`\delta \psi =\psi \psi _0`$, although in this case $`\psi _0=0`$.

$`\stackrel{~}{\mathrm{\Gamma }}\mathrm{\Lambda }^1\mathrm{\Gamma }\mathrm{\Lambda }`$ $`=`$ $`{\displaystyle \frac{ı}{\sqrt{a^2+b^2}}}\left(\mathrm{cos}\delta \theta +\mathrm{sin}\delta \theta \gamma _{\varphi \chi }K\right)`$ (14)
$`\times `$ $`\left(\mathrm{cosh}\delta \psi +\mathrm{sinh}\delta \psi \gamma _{\tau \omega }K\right)\gamma _{\tau \omega }(aK+b\gamma _{\varphi \chi })`$
We then have

$`(1+\stackrel{~}{\mathrm{\Gamma }})ϵ`$ $`=`$ $`[1ı(M+N\gamma _{\tau \omega }K+O\gamma _{\varphi \chi }K+P\gamma _{\tau \omega \varphi \chi })]ϵ`$
$`M`$ $`=`$ $`{\displaystyle \frac{1}{\sqrt{a^2+b^2}}}(a\mathrm{cos}\delta \theta \mathrm{sinh}\delta \psi b\mathrm{sin}\delta \theta \mathrm{sinh}\delta \psi )`$
$`N`$ $`=`$ $`{\displaystyle \frac{1}{\sqrt{a^2+b^2}}}(a\mathrm{cos}\delta \theta \mathrm{cosh}\delta \psi b\mathrm{sin}\delta \theta \mathrm{cosh}\delta \psi )`$
$`O`$ $`=`$ $`{\displaystyle \frac{1}{\sqrt{a^2+b^2}}}(a\mathrm{sin}\delta \theta \mathrm{sinh}\delta \psi +b\mathrm{cos}\delta \theta \mathrm{sinh}\delta \psi )`$
$`P`$ $`=`$ $`{\displaystyle \frac{1}{\sqrt{a^2+b^2}}}(a\mathrm{sin}\delta \theta \mathrm{cosh}\delta \psi +b\mathrm{cos}\delta \theta \mathrm{cosh}\delta \psi )`$ (15)
which reduces to

$`M`$ $`=`$ $`\mathrm{sinh}\psi \mathrm{cos}\theta N=\mathrm{cosh}\psi \mathrm{cos}\theta `$
$`O`$ $`=`$ $`\mathrm{sinh}\psi \mathrm{sin}\theta P=\mathrm{cosh}\psi \mathrm{sin}\theta `$ (16)
Note that the $`\theta _0`$ dependence of the space-time projector has dropped out. For any location $`\theta _0`$ of the brane, the Killing spinors preserved by $`\kappa `$-symmetry are the same.

Using this projection and Hodge duality, one can rewrite the projection as

$`\gamma _{\tau \omega }Kϵ`$ $`=`$ $`(A+B\gamma _{\psi \theta })ϵ`$ (17)
where

$`A={\displaystyle \frac{\mathrm{cosh}\psi }{(\mathrm{cosh}^2\psi \mathrm{sin}^2\theta )}}(\mathrm{sinh}\psi +i\mathrm{cos}\theta )`$
$`B={\displaystyle \frac{i\mathrm{sin}\theta }{(\mathrm{cosh}^2\psi \mathrm{sin}^2\theta )}}(\mathrm{sinh}\psi +i\mathrm{cos}\theta )`$ (18)
## 3 The Killing equations

We will impose the projection $`\frac{1}{2}\left(1+\stackrel{~}{\mathrm{\Gamma }}\right)ϵ=ϵ`$ and demand that the spinors which satisfy it are solutions of the Killing equations. This will generate a $`\frac{1}{2}`$-BPS solution.555We assume that no field strengths have indices along the $`T^4`$ unless they have indices in all those directions, and can thus be related to a field with no such indices by Hodge duality. Note that because the choice of Killing spinor is independent of $`\theta _0`$ (and presumably $`\psi _0`$), the solution may correspond to a smeared brane, and not one necessarily localized at the place originally anticipated.

The Killing equations are of the form

$`_{\stackrel{~}{\mu }}ϵ{\displaystyle \frac{1}{4}}\omega _{\stackrel{~}{\mu }}^{ab}\gamma _{ab}+{\displaystyle \frac{ı}{192}}F_{\stackrel{~}{\mu }}^{bcde}\gamma _{bcde}ϵ^{}{\displaystyle \frac{ı}{48}}e^\mathrm{\Phi }(G^{abc}\gamma _{\stackrel{~}{\mu }abc}9G_{\stackrel{~}{\mu }}^{ab}\gamma _{ab})ϵ^{}=0`$ (19)
For example, the $`\psi `$ Killing equation is 666$`\stackrel{~}{\mu }`$ is a curved space-time index, while $`\mu `$ is a tangent-space index. We use the notation $`\omega _\mu ^{\nu \gamma }=e_\mu ^{\stackrel{~}{\mu }}\omega _{\stackrel{~}{\mu }}^{\nu \gamma }`$.

$`{\displaystyle \frac{_\psi f}{f}}\gamma _\psi ϵ{\displaystyle \frac{1}{2}}\omega _\psi ^{\psi \theta }\gamma _\theta ϵ{\displaystyle \frac{ı}{8}}F^{\tau \omega \varphi \chi \theta }\gamma _{\tau \omega \varphi \chi \theta }ϵ+{\displaystyle \frac{ı}{8}}F^{\psi \tau \omega \varphi \chi }\gamma _{\psi \tau \omega \varphi \chi }ϵ`$
$`+3{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }G^{\psi \tau \omega }\gamma _{\psi \tau \omega }ϵ^{}{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }G^{\tau \omega \theta }\gamma _{\tau \omega \theta }ϵ^{}+3{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }G^{\psi \varphi \chi }\gamma _{\psi \varphi \chi }ϵ^{}`$
$`{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }G^{\varphi \chi \theta }\gamma _{\varphi \chi \theta }ϵ^{}=`$
$`e_\psi ^{\stackrel{~}{\psi }}\left({\displaystyle \frac{1}{2}}\overline{\omega }_\psi ^{\psi \theta }\gamma _\theta ϵ+3{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }\overline{G}^{\psi \tau \omega }\gamma _{\psi \tau \omega }ϵ^{}{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }\overline{G}^{\varphi \chi \theta }\gamma _{\varphi \chi \theta }ϵ^{}\right)`$ (20)
where the bars over expressions indicate that the expression is to be evaluated in the unperturbed background $`AdS`$ solution and where we have made the ansatz $`ϵ=f(\psi ,\theta )\overline{ϵ}`$. The other Killing equations are entirely similar.

The axion-dilaton equation is

$`{\displaystyle \frac{1}{4}}_\psi \mathrm{\Phi }\gamma _\psi ϵ+{\displaystyle \frac{1}{4}}_\theta \mathrm{\Phi }\gamma _\theta ϵ+{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }G^{\omega \psi \tau }\gamma _{\omega \psi \tau }ϵ^{}+{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }G^{\omega \tau \theta }\gamma _{\omega \tau \theta }ϵ^{}`$
$`+{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }G^{\psi \varphi \chi }\gamma _{\psi \varphi \chi }ϵ^{}+{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }G^{\varphi \chi \theta }\gamma _{\varphi \chi \theta }ϵ^{}=`$
$`{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }\overline{G^{\omega \psi \tau }}\gamma _{\omega \psi \tau }ϵ^{}+{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }\overline{G^{\varphi \chi \theta }}\gamma _{\varphi \chi \theta }ϵ^{}`$ (21)
We shall now assume that $`\mathrm{\Phi }=0`$. Then (3) is solved by the ansatz

$`\mathrm{\Phi }`$ $`=`$ $`0`$
$`G^{\psi \tau \omega }`$ $`=`$ $`G^{\varphi \chi \theta }`$
$`G^{\tau \omega \theta }`$ $`=`$ $`G^{\psi \varphi \chi }`$ (22)
We can now return to the other Killing equations. In each of them, we first impose the projector (17). The Killing equation then becomes a matrix equation which is to be satisfied identically. Thus the complex coefficient of each matrix must be zero. In this way, each Killing equation leads to two complex algebraic equations.

For example, the $`\psi `$ Killing equation, after this procedure, leads to the equations

$`{\displaystyle \frac{_\psi f}{f}}+{\displaystyle \frac{ı}{8}}F^{\tau \omega \varphi \chi \theta }+{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }\left(3G^{\psi \tau \omega }A+G^{\tau \omega \theta }B3G^{\psi \varphi \chi }B+G^{\varphi \chi \theta }A\right)=`$
$`+{\displaystyle \frac{3ı}{8}}e^\mathrm{\Phi }\overline{G}^{\psi \tau \omega }A+{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }\overline{G}^{\varphi \chi \theta }A`$ (23)
and

$`{\displaystyle \frac{1}{2}}\omega _\psi ^{\psi \theta }+{\displaystyle \frac{ı}{8}}F^{\psi \tau \omega \varphi \chi }+{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }\left(3G^{\psi \tau \omega }BG^{\tau \omega \theta }A+3G^{\psi \varphi \chi }A+G^{\varphi \chi \theta }B\right)=`$
$`{\displaystyle \frac{1}{2}}\overline{\omega }_\psi ^{\psi \theta }+3{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }\overline{G}^{\psi \tau \omega }B+{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }\overline{G}^{\varphi \chi \theta }B`$ (24)
By taking linear combinations of these equations such that the barred field strengths cancel, we obtain the equations

$`{\displaystyle \frac{e_{\stackrel{~}{\theta }}^\theta }{\overline{e}_{\stackrel{~}{\theta }}^\theta }}{\displaystyle \frac{e_{\stackrel{~}{\varphi }}^\varphi }{\overline{e}_{\stackrel{~}{\varphi }}^\varphi }}=S(\theta ){\displaystyle \frac{e_{\stackrel{~}{\psi }}^\psi }{\overline{e}_{\stackrel{~}{\psi }}^\psi }}{\displaystyle \frac{e_{\stackrel{~}{\omega }}^\omega }{\overline{e}_{\stackrel{~}{\omega }}^\omega }}=T(\psi )`$ (25)
and

$`2{\displaystyle \frac{_\psi f}{f}}+\omega _\varphi ^{\varphi \psi }=2{\displaystyle \frac{_\theta f}{f}}+\omega _\omega ^{\omega \theta }=0,`$ (26)
which tells us that

$$\overline{e_{\stackrel{~}{\omega }}^\omega }e_{\stackrel{~}{\varphi }}^\varphi =\overline{e_{\stackrel{~}{\varphi }}^\varphi }e_{\stackrel{~}{\omega }}^\omega $$
(27)
One can substitute all of this back into the Killing equations to derive further relations involving the barred quantities, such as

$`{\displaystyle \frac{ı}{8}}e^\mathrm{\Phi }(3\overline{G^{\psi \tau \omega }}+\overline{G^{\varphi \chi \theta }})\left({\displaystyle \frac{e_\psi ^{\stackrel{~}{\psi }}}{\overline{e}_\psi ^{\stackrel{~}{\psi }}}}{\displaystyle \frac{e_\omega ^{\stackrel{~}{\omega }}}{\overline{e}_\omega ^{\stackrel{~}{\omega }}}}\right)A`$ $`=`$ $`{\displaystyle \frac{_\psi f}{f}}+{\displaystyle \frac{1}{2}}\omega _\omega ^{\omega \psi }{\displaystyle \frac{1}{2}}\overline{\omega _\omega ^{\omega \psi }}{\displaystyle \frac{e_\omega ^{\stackrel{~}{\omega }}}{\overline{e}_\omega ^{\stackrel{~}{\omega }}}}`$
$`+{\displaystyle \frac{ı}{4}}F^{\tau \omega \varphi \chi \theta }`$ $`+`$ $`{\displaystyle \frac{ı}{2}}e^\mathrm{\Phi }B(G^{\tau \omega \theta }G^{\psi \varphi \chi }).`$ (28)
These relations allow us to determine the entire solution, including the fact that $`S(\theta )=T(\psi )=const`$.

Defining $`\gamma =\mathrm{sin}\theta \mathrm{cosh}\psi =\beta \mathrm{cosh}^2\psi `$, the complete solution for the metric is found to be

$`ds^2=H^{\frac{1}{2}}d\theta ^2`$ $`+`$ $`H^{\frac{1}{2}}\mathrm{sin}^2\theta (d\varphi ^2+\mathrm{sin}^2\varphi d\chi ^2)`$
$`+`$ $`H^{\frac{1}{2}}d\psi ^2+H^{\frac{1}{2}}\mathrm{cosh}^2\psi (d\omega ^2\mathrm{cosh}^2\omega d\tau ^2),`$
$`H`$ $`=`$ $`({\displaystyle \frac{c\gamma }{1+c\gamma }})^2.`$ (29)
and the field strengths are

$`F^{\tau \omega \varphi \chi \theta }`$ $`=`$ $`F^{\psi \tau \omega \varphi \chi }=0,`$
$`G^{\tau \omega \theta }=G^{\psi \varphi \chi }`$ $`=`$ $`{\displaystyle \frac{1}{2}}{\displaystyle \frac{1}{\sqrt{c\gamma (1+c\gamma )}}}\left({\displaystyle \frac{\beta }{\mathrm{sin}^2\theta }}+ı\mathrm{cot}\theta \mathrm{tanh}\psi \right)`$
$`G^{\psi \tau \omega }=G^{\varphi \chi \theta }`$ $`=`$ $`ı\sqrt{{\displaystyle \frac{1+c\gamma }{c\gamma }}}\left(1{\displaystyle \frac{1}{2}}{\displaystyle \frac{1}{1+c\gamma }}\right)`$ (30)
where $`c`$ is a constant of integration.

One may verify that the Bianchi identity $`dG=0`$ is satisfied away from $`\theta =0`$. We may thus write $`G=dC`$, where

$`C_{\stackrel{~}{\tau }\stackrel{~}{\omega }}`$ $`=`$ $`{\displaystyle \frac{ı}{2}}\left(\psi +{\displaystyle \frac{\mathrm{sinh}2\psi }{2}}+{\displaystyle \frac{\mathrm{sinh}\psi \mathrm{cosh}\omega }{c\mathrm{sin}\theta }}\right)+{\displaystyle \frac{\mathrm{cosh}\omega }{2c}}\mathrm{cot}\theta `$
$`C_{\stackrel{~}{\varphi }\stackrel{~}{\chi }}`$ $`=`$ $`{\displaystyle \frac{ı}{2}}\left(\theta {\displaystyle \frac{\mathrm{sin}2\theta }{2}}+{\displaystyle \frac{\mathrm{cos}\theta \mathrm{sin}\varphi }{c\mathrm{cosh}\psi }}\right){\displaystyle \frac{\mathrm{sin}\varphi }{2c}}\mathrm{tanh}\psi `$ (31)
The gauge fields are singular at $`\theta =0,\pi `$, indicating a source there. The net D1-brane charge may then be found up to a normalization constant to be

$$Q=Re𝑑\psi 𝑑\varphi 𝑑\chi G_{\stackrel{~}{\psi }\stackrel{~}{\varphi }\stackrel{~}{\chi }}=\frac{2\pi }{c}𝑑\psi \frac{1}{\mathrm{cosh}^2\psi }=\frac{4\pi }{c}$$
(32)
It is also easily seen that the 3-brane charge is zero. The sources can thus be interpreted as string-like objects wrapping the ($`\tau `$,$`\omega `$) directions in $`AdS_3`$, and sitting at antipodal points $`\theta =0,\pi `$ on the $`S^3`$.

To conclude, we have found a new solution of supergravity, representing a brane in an $`AdS_3\times S^3`$ background, which preserves 8 supersymmetries. The preserved killing spinor is independent of the embedding parameters $`\theta _0,\psi _0`$, demonstrating that the sources can be smeared or superposed without breaking additional supersymmetry.

The specific case we have analyzed has no 3-brane charge. It is likely that generalizing our ansatz to more general cases with nonconstant scalar fields will produce solutions involving three-branes as well. We will explore this possibility in future work . It will also be interesting to analyze the implications for the dual defect conformal field theory.

Acknowledgements

We thank K. Intriligator for helpful discussions. J. K. is supported by DOE-FG03-97ER40546. A. R. gratefully acknowledges the hospitality of the Aspen Center for Physics, where part of this work was done.

## 4 Appendix: Notation

In  $`ϵ`$ is a 32-component complex spinor in mostly - signature, whereas  uses $`ϵ_{L,R}`$, each of which is a 16-component Majorana spinor in mostly + signature.

Considering the case of Type IIB, if we choose the $`\gamma `$’s to be real and define

$`ϵ_R`$ $`=`$ $`Re({\displaystyle \frac{1\pm \gamma ^{11}}{2}}ϵ)`$
$`ϵ_L`$ $`=`$ $`Im({\displaystyle \frac{1\pm \gamma ^{11}}{2}}ϵ)`$
$`\gamma ^\mu `$ $`=`$ $`ı\mathrm{\Gamma }^\mu `$ (33)
then the conventions are consistent.

We use the notation of , but will switch to mostly + signature. In the brane action, we use the same sign convention as  .


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# Heat conduction and long-range spatial correlation in 1D models

## I Introduction

The study of heat conduction in one-dimensional (1D) systems is an interesting subject in the context of nonequilibrium statistical physics, which has been attracting much attention in recent years . Most works aim at understanding the dynamic properties of heat transport in 1D systems . Although many modelling systems have been carefully studied and their thermal conductivities and temperature profiles calculated, the key dynamic properties of normal conduction is still unknown. Generally, normal heat conduction is specified by a diffuse-type motion, hence the investigation of random behavior of systems is necessary. It is well known that chaos can generate the needed random behavior in some systems. For example, thermal conductivity is characterized normal in the ding-a-dong model  and the Lorentz gas channels , due to their dynamic instability. However heat conduction is still considered abnormal in other systems, such as Fermi-Pasta-Ulam (FPU) model  in spite of their dynamic instability. Recently, Li et al.  studied three models with the same zero-Lyapunov exponents and found that heat conduction can be either normal or abnormal depending on details of the models. However they could not reach the conclusion that there is direct connection between dynamic instability and normal heat conduction. From these studies, the most important and general conclusion is that the momentum conservation systems with non-zero presure have anomalous conductivity, whereas, anomalous conductivity does not always imply momentum conservation. Prosen and Campbell  were the first to prove this conclusion. Recently, Narayan and Ramaswamy  criticized that the original proof is questionable, but there is no strong objection to deny the conclusion. The general theoretical result will explain the abnormal heat transport found in FPU model, and may clarify the recent confused results obtained by numerical works in some models, such as diatomic Toda model. Heat conduction in the Toda model was thought as normal by Jackson et al.  and by Garrido et al. , but was against the numerical results by Hatano , Dhar , Savin et al.  and Grassberger et al. . This indicates that it is difficult to get definite conclusions about the macroscopic transport properties of nonlinear systems by merely using short-time numerical simulations in small systems.

In this paper, based on both theoretical and numerical methods, we try to explain the required dynamic characteristics that guarantee normal heat conduction in 1D systems. By considering a 1D model with $`N`$ scatterers and noninteracting classic particles, we find that the classic model can be theoretically treated using S-matrix theory  developed in the mesoscopic electronic transport theory (METT). In METT, if the scattering is random, electronic transport will be incoherent, electronic phase correlation at the two ends of a 1D chain will be absent, and eventually the Ohm’s law is observed. Similarly, in our model, defining a ‘phase’ correlation, we find that normal heat conduction is characterized by the broken of phase correlation, where the randomization of the scatterers makes a main contribution. This conclusion is supported by some principle considerations and previous related researches and can be applied to more general systems. Our result indicates that a sufficient random characteristic of 1D systems is necessary to obtain normal heat conduction. The random may be ensured by dynamic instablity, randomization of scatterers or other matters and could destroy long range correlations of particle motion along the 1D chains. Therefore, dynamic instability is not a necessary condition to guarantee normal transport if other random effects exist.

## II Theory

### A Model and Scattering Theory

Consider a 1D classical chain with $`N`$ scatterers $`s_k`$, $`(k=1,\mathrm{},N)`$ and non-interactive particles, which are elastically transmitted or reflected at these scatterers, we place this chain between two heat baths. Without loss of generality, the length of chain ($`L`$) is set as $`N`$. If the transmission coefficient ($`t_k`$) of each scatterer is a number between $`0`$ and $`1`$, it is a typical random walk process, hence heat conduction is normal and independent of the kind of heat baths. However, here we suppose that scatterers periodicaly turn on or off in time, so particles will completely transmit through a scatterer in some time ranges, but reflect at the scatterer in the other time ranges. So the transmission coefficients are function of time $`\varphi `$, ($`t_k(\varphi )`$). It is a typically deterministic system. Here, we set the period $`t_k(\varphi )`$ to $`1`$ and the average transmit coefficient to $`1/2`$. We suppose that there are different initial time shifts $`\delta _k`$ for different scatterers, then we have $`t_k(\varphi )=t(\varphi \delta _k)`$, and

$`t(\varphi )=\{\begin{array}{cc}1,\hfill & 0\varphi <1/2\hfill \\ 0,\hfill & 1/2\varphi <1.\hfill \end{array}`$ (3)
The term $`\varphi `$ as well as $`\delta _k`$ are thought as ‘phases’. Another parameter of the $`k`$th scatterer is its positions $`x_k`$. $`\{\delta _k\}`$ and $`\{x_k\}`$ will determine the properties of the model. Actually, the model is very similar to the Lorentz channel model  or the Ehrenfest gas channel model .

We define the average of the particle current density $`J(x,v,t)`$ on the model,

$`j(x,v,\varphi ;n)={\displaystyle \frac{1}{M}}{\displaystyle \underset{m=0}{\overset{M1}{}}}J(x,v,\varphi +m+n),`$ (4)
where $`n`$, $`m`$ are integer numbers, $`M`$ is a large integer number, and $`0\varphi <1`$. In steady state, $`j(x,v,\varphi ;n)`$ is independent of $`n`$, and is noted as $`j(x,v,\varphi )`$. Due to the particle current conservation, if $`x`$ is between two nearest neighbor scatterers, $`x_k`$ and $`x_{k+1}`$, $`J(x,v,t)`$ is written as $`J_v(tx/v)`$. Hence we have,

$`j(x,v,\varphi )={\displaystyle \underset{m}{}}j_m^{(k)}(v)`$ $`\mathrm{exp}`$ $`\{2m\pi i(x/v\varphi )\},`$ (5)
$`if`$ $`x_k<x<x_{k+1}.`$ (6)
The heat current density $`J_u(x)`$ and temperature profile $`𝒯(x)`$ can be writen as,

$`J_u(x)={\displaystyle \frac{1}{2}}{\displaystyle _0^{\mathrm{}}}𝑑vv^2[j_0^{(k)}(v)j_0^{(k)}(v)],`$ (7)
and

$`𝒯(x)={\displaystyle \frac{_0^{\mathrm{}}𝑑vv[j_0^{(k)}(v)+j_0^{(k)}(v)]}{_0^{\mathrm{}}𝑑vv^1[j_0^{(k)}(v)+j_0^{(k)}(v)]}},`$ (8)
respectively, while $`x_k<x<x_{k+1}`$.

Based on the properties of scatterers, we easily obtain the following scattering formula,

$`\left(\begin{array}{c}\widehat{j}^{(k)}(v)\\ \widehat{j}^{(k1)}(v)\end{array}\right)=\left(\begin{array}{cc}\widehat{t}^{(k)}(v)& \widehat{r}^{(k)}(v)\\ \widehat{r}^{(k)}(v)& \widehat{t}^{(k)}(v)\end{array}\right)\left(\begin{array}{c}\widehat{j}^{(k1)}(v)\\ \widehat{j}^{(k)}(v)\end{array}\right)`$ (15)
where $`\widehat{t}`$, $`\widehat{r}`$, $`\widehat{t}^{(k)}`$, and $`\widehat{r}^{(k)}`$ are nothing but S-matrix elements. Since this is a multi-mode scattering problem, each S-matrix element is an infinite dimensional matrix. For example, the element $`t_{mn}^{(k)}`$ of $`\widehat{t}^{(k)}`$ means a coefficient which the mode $`m`$ at the left transmit the scatterer $`k`$ to mode $`n`$ at the right,

$`t_{mn}^{(k)}(v)=t^{(mn)}\mathrm{exp}\{2\pi i(mn)(x_k/v\delta _k)\},`$ (16)
where $`t^{(p)}=_0^1𝑑\varphi t(\varphi )e^{2p\pi i\varphi }`$, is the $`p`$th Fourier’s expanded coefficient of transmission function $`t(\varphi )`$. Similarly, other matrixes can be writen as,

$`r_{mn}^{(k)}(v)`$ $`=`$ $`r_k^{(mn)}\mathrm{exp}[2\pi i(m+n)x_k/v],`$ (17)
$`t_{mn}^{(k)}(v)`$ $`=`$ $`t^{(mn)}\mathrm{exp}[2\pi i(mn)(x_k/(v)\delta _k)],`$ (18)
$`r_{mn}^{(k)}(v)`$ $`=`$ $`r_k^{(mn)}\mathrm{exp}[2\pi i(m+n)x_k/(v)],`$ (19)
where $`r_k^{(p)}=(\delta _{p,0}t^{(p)})`$ $`\mathrm{exp}(2p\pi i\delta _k)`$.

For whole $`N`$ scatterers, we have,

$`\left(\begin{array}{c}\widehat{j}^{(N)}(v)\\ \widehat{j}^{(0)}(v)\end{array}\right)=\left(\begin{array}{cc}\widehat{T}(v)& \widehat{R}^{}(v)\\ \widehat{R}(v)& \widehat{T}^{}(v)\end{array}\right)\left(\begin{array}{c}\widehat{j}^{(0)}(v)\\ \widehat{j}^{(N)}(v)\end{array}\right)`$ (26)
where $`\widehat{T}`$, $`\widehat{R}`$, $`\widehat{T}^{}`$ and $`\widehat{R}^{}`$ are whole transmitting and reflecting matrix of all scatterers from left to right and from right to left, respectively. $`\widehat{j}^{(0)}`$ and $`\widehat{j}^{(N)}`$ correspond to the current densities at the left and right ends, respectively.

Since the parameters of the system ($`x_k`$ and $`\delta _k`$ ) determine the S-matrix, we study heat conduction of models with different parameters. Without loss of generality, we set

$`\delta _k`$ $`=`$ $`cR,`$ (27)
$`x_k`$ $`=`$ $`k0.5+d(R0.5),`$ (28)
where $`R`$ is a random number uniformly distributed between $`0`$ and $`1`$, $`c`$ and $`d`$ are the magnitude of disorder in scattering phases and positions, respectively. If both $`c`$ and $`d`$ equal to zero, it is a periodic scattering system, otherwise, it is a disordered system. For the latter, we can consider two kinds of different disordered systems: (1) the dynamic random system (DRS), where $`x_k`$ or $`\delta _k`$ are random in time; (2) the static random system(SRS), where random $`x_k`$ or $`\delta _k`$ are fixed rather than depending of time in each realizations of system. We are interested in the average properties of many realizations. DRS and SRS correspond to the phonon scattering and impure scattering in electronic transport, respectively. Obviously, the disorder of $`x_k`$ or $`\delta _k`$ will induce some random phases in the S-matrix, it may affect the transport property of the system.

The combining S-matrices of $`N`$ scatterers can be easily written according to the well known rules generated in METT: it is written as a summation of many terms, where each term is depicted by a ‘Feynman path’ . For example, the combining transmitting matrix of any two parts of scattering $`s^{(1)}`$ and $`s^{(2)}`$ is,

$`\widehat{t}(12)`$ $`=`$ $`\widehat{t}^{(2)}[I\widehat{r}^{(1)}\widehat{r}^{(2)}]^1\widehat{t}^{(1)},`$ (29)
$`=`$ $`\widehat{t}^{(2)}[I+\widehat{r}^{(1)}\widehat{r}^{(2)}+\mathrm{}]\widehat{t}^{(1)}.`$ (30)
Generally, we have $`T_{mn}(N)=_PA_P`$, where each $`A_P`$ is a complex number contributed from path $`P`$ which starts from mode $`n`$ at the left end, to mode $`m`$ at the right end. If $`t_k(\varphi )`$ of each scatterer is independent of time $`\varphi `$, then there is only one mode, $`T=_{P_0}A_{P_0}`$, where $`P_0`$ are all the ‘Feynman’ paths with mode $`0`$ for all scatterers. We easily obtain,

$`T(N)=({\displaystyle \frac{1t_i}{t_i}}+1)^1{\displaystyle \frac{t}{N(1t)+t}}.`$ (31)
While $`N\mathrm{}`$, we have $`T(N)1/N`$, satisfying the Fourier’s law, which is the expectation of the random walk process.

### B Heat Baths

Before going on to the study of the transport properties of the model, we analyze the effects of heat baths. Here, the temperatures of the left and right heat baths are noted as $`T_1`$ and $`T_2`$, respectively. Many kinds of heat baths can be selected. For example, we can choose complete-reflecting heat baths: as a particle hits a heat bath, it will be reflected with a velocity distribution $`P_T(v)`$, where $`T`$ is the temperature of the heat bath. $`P_T(v)`$ can be of the Maxwellian distribution, $`P_T(v)=v/T\mathrm{exp}(v^2/2T)`$, or of a single velocity distribution, $`P_T(v)=\delta (v\sqrt{T})`$, or other forms. In this case, we have completely reflecting conditions at the boundaries:

$`j_m^l(v)`$ $`=`$ $`J_m^lP_{T_1}(v)`$ (32)
$`j_m^r(v)`$ $`=`$ $`J_m^rP_{T_2}(v),`$ (33)
where $`v`$ is larger than $`0`$, $`j_m^l(v)`$ / $`j_m^r(v)`$ corresponds to the currents entered into the 1D system from the left/right heat bath ($`x=0/L`$), which is a different phase from $`j_m^0(v)`$ / $`j_m^N(v)`$ which are used in eq. (26). $`J_m^l=_0^{\mathrm{}}𝑑vj_m^l(v)`$ and $`J_m^r=_0^{\mathrm{}}𝑑vj_m^r(v)`$. Actually, $`J_m^l`$ and $`J_m^r`$ are the Fourier expanded coefficients of the current densities $`J^l(\varphi )`$ (at the left end, $`x=0`$) and $`J^r(\varphi )`$ (at the right end, $`x=L`$) of 1D chain, respectively. From eq. (26), we easily obtain,

$`\left(\begin{array}{c}\widehat{j}_m^r(v)\\ \widehat{j}_m^l(v)\end{array}\right)=\left(\begin{array}{cc}\stackrel{~}{T}_{mn}(v)& \stackrel{~}{R}_{mn}^{}(v)\\ R_{mn}(v)& \stackrel{~}{T}_{mn}^{}(v)\end{array}\right)\left(\begin{array}{c}\widehat{j}_n^l(v)\\ \widehat{j}_n^r(v)\end{array}\right)`$ (40)
where there are some phase differences between the matrix elements and the original S-matrix elements in eq. (26),

$`\stackrel{~}{T}_{mn}(v)`$ $`=`$ $`\mathrm{exp}(2m\pi iL/v)T_{mn}(v)`$ (41)
$`\stackrel{~}{T}_{mn}^{}(v)`$ $`=`$ $`T_{mn}^{}\mathrm{exp}(2n\pi iL/v)`$ (42)
$`\stackrel{~}{R}_{mn}^{}(v)`$ $`=`$ $`\mathrm{exp}(2m\pi iL/v)R_{mn}^{}\mathrm{exp}(2n\pi iL/v)`$ (43)
Then, we know $`J_m^l`$ and $`J_m^r`$ are not arbitrary, but satisfying the following equation,

$`\left(\begin{array}{cc}<R_{mn}>_1\delta _{mn}& <\stackrel{~}{T}_{mn}^{}>_2\\ <\stackrel{~}{T}_{mn}>_1& <\stackrel{~}{R}_{mn}^{}>_2\delta _{mn}\end{array}\right)\left(\begin{array}{c}J_n^l\\ J_n^r\end{array}\right)=0`$ (48)
where $`<f_{mn}>_i`$, ($`i=1`$, or $`2`$ ), means the average value of $`f_{mn}(v)`$ under the velocity distribution function $`P_{T_i}(v)`$. The physical meaning of eq.(48) will be easily understood. In fact, we can treat the right boundary as $`(N+1)`$th scatterer ( complete reflecting), $`J_m^l`$ must satisfy the linear equation, $`(R^{Nr}I)J^l=0`$, where $`R^{Nr}`$ is the total reflecting matrix of all $`N`$ scatterers as well as the right heat bath. From Eq. (48), we have

$`R^{Nr}=<R>_1+<\stackrel{~}{T}^{}>_2[I<\stackrel{~}{R}^{}>_2]^1<\stackrel{~}{T}>_1.`$ (49)
Since

$`[IR]^1=I+R+RR+\mathrm{},`$ (50)
we find that the result is nothing but the summation of ‘Feynman path’. Similarly, we also have the formula of $`R^{lN}`$ and equation $`(R^{lN}I)J^r=0`$. If there is only one linear independent solution of the equation, we will get a unique steady state, (a free constant $`J_0^l`$ is decided by the particle density and average temperature of system).

However, the asymptotic $`N`$ dependence of the heat current is only determined by the $`N`$ dependence of transmission coefficient $`|\widehat{T}|`$, which is independent of the details of heat baths. In this paper, we only consider a simpler case, replacing with the completely reflecting heat baths: particles uniformly enters into the system from two heat baths at time ($`\varphi `$) with the single velocity distribution $`\delta (v\sqrt{T})`$, therefore the heat current is simply proportional to the transmission coefficient $`T_{00}`$. When calculating $`𝒯(x)`$, we choose another uniform incoming current from the right heat bath at the same time, making the total particle current zero.

### C Phase Correlation

It is well established that, if the scattering is random, the contributions from different Feynman paths are incoherent in electronic transport, therefore, we can find ohm’s law and normal electric conductivity. But if there are some long range correlations between scatterers, the electronic phase-relaxation length may be larger than the length of the system, the transport will be coherent and we can find anomalous electric conductivity. So the existence of the phase correlation between electrons at the two ends can be used to judge whether the transport be coherent or not, hence whether the conductivity be abnormal or normal. Comparing the results, we expect a similar relationship between heat conduction and a long range correlation of particles in 1D systems. We also expect the random charactaristic of scatterers to be responsible for the correlations.

For any incoming particle current from the left heat bath, $`J_+^l(\varphi )`$, we have the transmit current density at the right boundary $`J_+^r(\psi )=T(\psi ,\varphi )J_+^l(\varphi )𝑑\varphi `$, where $`T(\psi ,\varphi )`$ is the transmit function,

$`T(\psi ,\varphi )={\displaystyle \underset{mn}{}}\mathrm{exp}(2m\pi i\psi )T_{mn}\mathrm{exp}(2n\pi i\varphi )`$ (51)
Similarly, the reflecting function is $`R(\psi ,\varphi )`$. Since for any $`\varphi `$, $`[T(\psi ,\varphi )+R(\psi ,\varphi )]𝑑\psi =1`$, so $`R_{0n}=\delta _{0n}T_{0n}`$.

The probability that we observe a current with phase $`\psi `$ at the right end and a current with $`\varphi `$ at the left end is $`W_2(\psi ,L;\varphi ,0)=T(\psi ,\varphi )J_+^l(\varphi )`$. We define a normalized two-point current distribution function as $`f_2(\psi ,\varphi )=W_2(\psi ,N;\varphi ,0)/A`$, where $`A`$ is a normalized constant,

$`A={\displaystyle W_2(\psi ,L;\varphi ,0)𝑑\varphi 𝑑\psi }={\displaystyle J_+^r(\psi )𝑑\psi }.`$ (52)
The left and right normalized distributions are

$`f_l(\varphi )`$ $`=`$ $`{\displaystyle f_2(\psi ,\varphi )𝑑\psi },`$ (53)
and

$`f_r(\psi )`$ $`=`$ $`{\displaystyle f_2(\psi ,\varphi )𝑑\varphi },`$ (54)
respectively.

Based on these distributions, we define a motion correlation of particles at two ends of the 1D chain as,

$`D={\displaystyle \frac{\varphi \psi _2\varphi _l\psi _r}{\sigma _l\sigma _r}},`$ (55)
where $`\mathrm{}_i`$ ($`i=2`$, $`l`$ or $`r`$) means the average value under the distribution functions $`f_2(\psi ,\varphi )`$, $`f_r(\psi )`$ and $`f_l(\varphi )`$, respectively. $`\sigma _{l/r}=\sqrt{(\varphi ^2_{l/r}\varphi _{l/r}^2)}`$ is the width of the current distribution at the left/right end. Hence, $`D=0`$ implies the broken of the correlation and $`T(\psi ,\varphi )=F(\psi )G(\varphi )`$ (or $`T_{mn}=F_mG_n`$). Here, $`D`$ corresponds to the electronic phase correlation at both ends of 1D electronic transport system, and the particle velocity play the role of wavevector of electron.

### D Theoretical Results

Based on the rules of the ‘Feynman’ paths on scattering theory, the transmission matrix $`T_{mn}`$ can be writen as,

$`T_{mn}={\displaystyle \underset{pq}{}}t_{mp}^{(N)}t_{qn}^{(1)}B_{pq}(N),`$ (56)
where $`t^{(N)}`$ and $`t^{(1)}`$ are the transmission matrix of the scatterer $`𝐍`$ and the scatterer $`\mathrm{𝟏}`$, respectively. $`B_{pq}(N)`$ is the sum of all ‘Feynman’ paths which start from mode $`q`$ of the scatterer $`\mathrm{𝟏}`$, end to mode $`p`$ of the scatterer $`𝐍`$. Expanding $`B_{pq}(N)`$ in large $`N`$, the lead term is noted as $`\alpha _{pq}/N^\gamma `$, therefore we have the first result that the asymptotic $`N`$ dependence of $`T_{mn}`$ is independent on $`m`$ and $`n`$,

$`T_{mn}=T(N)h_{mn},`$ (57)
where $`T(N)1/N^\gamma `$, is a simple notation of $`T_{00}`$ and $`h_{mn}`$ is independent of $`N`$. If the correlation is absent, $`T_{mn}=T(N)f_mg_n`$.

For DRS, due to the random time-dependent positions/phase of the scatterers, the contribution from different Feynman paths are not coherent with each other, so they can be first averaged in time, then be summed up. This indicates that only $`0`$-mode contribute to the total transmission coefficient, so the heat conduction shall be normal. We also easily know that the correlation is absent in DRS due to the incoherent Feynman contribution.

## III Numerical Simulation

In this section, by using a uniform inputing current with single velocity $`v_1=\sqrt{T_1}`$ from the left end, we numerically simulate the transmit coefficient $`T(N)`$, the distribution function $`f_r(\psi )`$, $`f_l(\varphi )`$ and the temperature profile $`𝒯(x)`$ in different systems. First, we find that both $`f_r(\psi )`$ and $`f_l(\psi )`$ are independent of $`N`$ for all models including the periodic scattering system, DRS and SRS with the same disordered magnitude ($`c`$ and $`d`$). The results verify very well our theoretical expectations in eq. (57) and indicate that $`h_{mn}`$ is only dependent on the disordered magnitude. As $`c`$ (or $`d`$) increases, $`f_r(\psi )`$ and $`f_l(\varphi )`$ are flatter, but they are not uniform even though the disordered magnitudes arrive at their maximum value ($`1`$). For example, the results in DRS are shown in Fig. 1, where $`J^r(\psi )`$ is the unnormalized current distribution function at the right end. Then, we show the temperature profiles $`𝒯(X/N)`$ of DRS in Fig. 2(a), which are found to being independent on $`N`$ but dependent on the disorder magnitude $`c`$ (or $`d`$). It indicates that $`d𝒯/dX`$ is proportional to $`1/N`$. The heat current $`J_u`$ $`1/N^\gamma `$ is shown in Fig. 2(b), and fitted $`\gamma 0.9989\pm 0.0045`$. Therefore the heat conduction is normal in DRS with disordered scattering phases, which verifies our theoretical expectation. In this case, our obtained spatial correlation $`D`$ is very small but with the same order statistic error. For a better correlation estimation, we used the non-uniform input currents $`J_+^l(\varphi )`$ with different distributions and found the right-end distribution functions $`f^r(\psi )`$ independent of the selection of $`J_+^l(\varphi )`$ (not shown). This indicates that the transmission function $`T(\psi ,\varphi )`$ can be writen as $`F(\psi )G(\varphi )`$, hence $`D=0`$. For DRS with disordered scattering positions, the obtained results are similar as that of DRS with disordered phases.

We also numerically simulate the heat conduction of SRS. Since the position disordered system is similar to the phase disordered system, we only show the results of the latter. The temperature profile $`𝒯(x)`$ and the $`N`$ dependence of $`J_u`$ in SRS are similar as that in DRS, but $`\gamma 1.19`$ in SRS, slightly larger than $`1`$ in DRS (seeing Fig. 3) and there is a slight difference on $`𝒯(x/N)`$ of systems with different $`N`$. The differences may be due to the limiting chain length $`N`$ in our simulation. For different disordered magnitude $`c`$, the value of $`\gamma `$ is found to be indistinguishable. For comparison, we simulate the heat current $`J_u`$ in a periodic scattering system, the result is also not very clear. It may be necessary to simulate them in longer chains. In Fig. 4, we show the distribution of $`D`$ for different disordered realizations in SRS. The average of $`D`$ is about zero, in agreement with our expectation which the scattering disorders induce the absence of the correlation. Other interesting result is shown in Fig. 4(b): the fluctuation of $`D`$ decreases as $`N`$ increases, $`D^2=N^{0.42}`$. It indicates that $`D0`$ in any single disordered realization of SRS while $`N\mathrm{}`$. Contrarily, in periodic system, the correlation $`D`$ is not zero.

## IV Discussions and Conclusion

We have defined a spatical correlation along the 1D chains to describe scattering (i. e. transport) characteristic in the systems and theoretically expected that randomization of scattering determineed the existence of the long range spatial correlation, therefore properties of heat conduction. For DRS, the expectation was confirmed by both S-matrix theory and molecular dynamic simulation. For SRS and periodic system, according to the obtained correlations, normal and abnormal heat conductions were expected, respectively. But our numerical simulations in some small systems could not completely clear the expectation, more simulations might be necessary. A noted fact is that our model is very similar to the Ehrenfest gas channel . In the latter, the channel is quisal-1D systems with a small transverse coordinate (the height of the channel). Actually, the height corresponds to the ‘phase’ in our models, a similar scattering theory can be derived. For the Ehrenfest channel, the results of Li et al. , which heat conduction is normal if the heights or positions of the scatterers are random and it is anormalous if their heights or positions are periodic, can be easily understood from our results. In these cases, the required incoherent characteristic of motion to get normal heat conduction can be ensured by the random ‘phases’ and positions of scatterers, not needing additive dynamic chaos (non-zero Lyapunov Exponent). Therefore, the conditions with normal heat conduction in 1D systems are whether or not there are sufficient random to destory completely the correlation of motions along chains. The random may come from dynamic instablity, random scatterers or another sources, but no any particular random, such as chaos, is necessary. The judgement of the incoherent motions (i. e. normal transport) is whether or not the long range spatial correlations exist.

We also can consider another models, for example, an variant of ding-a-dong model, which its even-numbered particles are oscillatedly coupled each other, rather than coupled with its individual lattice site in the initial model . Due to the existence of some long-wave modes in the model, the motion correlation is obviously present, we expect the thermal conductivity should be abnormal. On general 1D systems, important questions are how to define suitable correlations and judge directly the existence of the correlations from the characteristic of systems. For example, for momentum conservation systems, which thermal conductivities are anomalous if presure is not zero , it is worthy for connecting the conditions with existence of spatial correlations.

X. Z. was supported by the Grants-in-Aid for Scientific Research of JSPS, his current address is zhou@pe.titech.ac.jp. X. Z. thanks the help of Mr. C.-Q. Li.


text:
# Relation between the field quadratures and the characteristic function of a mirror

## Abstract

We analyze the possibility of measuring the state of a movable mirror by using its interaction with a quantum field. We show that measuring the field quadratures allows to reconstruct the characteristic function corresponding to the mirror state.

The reconstruction of a quantum state is a central topic in quantum optics and related fields ris ; leo . During the past years, several techniques have been developed, for instance the direct sampling of the density matrix of a signal mode in multiport optical homodyne tomography zuk , tomographic reconstruction by unbalanced homodyning wal , reconstruction via photocounting ban , cascaded homodyning kis  to cite some. There have also been proposals to measure electromagnetic fields inside cavities lut ; moy  and vibrational states in ion traps lut ; bar . In fact the full reconstruction of nonclassical states of the electromagnetic field smi  and of (motional) states of an ion lei  have been experimentally accomplished. The quantum state reconstruction in cavities is usually achieved through a finite set of selective measurements of atomic states lut  that make it possible to construct quasiprobability distribution functions such as the Wigner function, that constitute an alternative representation of a quantum state of the field.

Recently there has been interest in the production of superposition states of macroscopic systems such as a moving mirror bouw . It is therefore of interest to have schemes to measure the non-classical states that may be generated for the moving mirror. Here we will propose a method to relate the quadratures of the field to the characteristic function associated to the density matrix of the mirror.

The interaction between a quantum electromagnetic field and a movable mirror (treated quantum mechanically) has a relevant Hamiltonian given by manci

$$H=\mathrm{}(\omega a^{}a+\mathrm{\Omega }b^{}bga^{}a(b^{}+b))$$
(1)
where $`a`$ and $`a^{}`$ are the annihilation and creation operators for the cavity field, respectively. The field frequency is $`\omega `$. $`b`$ and $`b^{}`$ are the annihilation and creation operators for the mirror oscillating at a frequency $`\mathrm{\Omega }`$ and

$$g=\frac{\omega }{L}\sqrt{\frac{\mathrm{}}{2m\mathrm{\Omega }}},$$
(2)
with $`L`$ and $`m`$ the lenght of the cavity and the mass of the movable mirror.

We can re-write the Hamiltonian (1)in the form bose

$$H=D_m(\eta a^{}a)\left(\omega a^{}a+\mathrm{\Omega }b^{}bϵ(a^{}a)^2\right)D_m^{}(\eta a^{}a)$$
(3)
where $`ϵ=g\eta `$ with $`\eta =g/\mathrm{\Omega }`$ and the displacement operator is given by

$$D_m(\beta )=e^{\beta b^{}\beta ^{}b},$$
(4)
with $`N=a^{}a`$. Then the unitary evolution operator is simply

$$U(t)=e^{\frac{iHt}{\mathrm{}}}D_m(\eta N)e^{it\left(\omega N+\mathrm{\Omega }b^{}bϵN^2\right)}D_m^{}(\eta N)$$
(5)
We will consider the initial state of the field to be in a coherent state

$$|\alpha =e^{\frac{|\alpha |^2}{2}}\underset{n=0}{\overset{\mathrm{}}{}}\frac{\alpha ^n}{\sqrt{n!}}|n.$$
(6)
and the initial state of the mirror to be arbitrary and denoted by the density matrix $`\rho _m`$. We may calculate then $`a`$ in the form

$$a=\alpha e^{i(\omega +ϵ)t}Tr\left[\rho _mD_m\left(\eta e^{i\mathrm{\Omega }t}\right)D_m\left(\eta \right)|\alpha e^{2i(ϵt\eta ^2\mathrm{sin}\mathrm{\Omega }t)}\alpha |\right]$$
(7)
where we have used several times the properties of permutation under the trace symbol. By using that

$$D_m\left(\eta e^{i\mathrm{\Omega }t}\right)D_m\left(\eta \right)e^{i\eta ^2\mathrm{sin}\mathrm{\Omega }t}=D_m\left(\eta (e^{i\mathrm{\Omega }t}1)\right)$$
(8)
we may finally write

$$a=\alpha e^{i(\omega +ϵ)t}e^{i\eta ^2\mathrm{sin}\mathrm{\Omega }t}e^{|\alpha |^2(ϵt\eta ^2\mathrm{sin}\mathrm{\Omega }t)}\chi _m\left(\eta (e^{i\mathrm{\Omega }t}1)\right)$$
(9)
where $`\chi _m\left(\eta (e^{i\mathrm{\Omega }t}1)\right)`$ is the characteristic function associated to the density matrix $`\rho _m`$. Therefore, by measuring the quadratures of the field (see for instance leo ) $`X=(a+a^{})/\sqrt{2}`$ and $`Y=i(aa^{})/\sqrt{2}`$ we may obtain the average value for the annihilation operator and hence, information about the state of the mirror through its characteristic function. The argument of the characteristic function may be changed in some range of parameters as $`\omega 10^{16}s^1`$, $`\mathrm{\Omega }1`$ kHz, $`L1`$ m and $`m10`$ mg manci ; mey1 ; mey2 . One could use the present method to reconstruct the quantum superpositions of a mirror state recently proposed by Marshall et al. around the origin to look for a negative Wigner function in this region.

What makes it possible to obtain information about the mirror state is the initial coherence of the field and the form of the Hamiltonian that has the term $`b+b^{}`$. Wilkens and Meystre wil  had shown that for the Jaynes-Cummings Model (JCM) (see for instance jcm ) it was possible to obtain information about the characteristic function of the field only if the system interacted with an extra (classical) field to allow several absorptions ($`a^k`$) or emissions \[$`(a^{})^k`$\]. The JCM by itself would allow one emission or absorption at a time because of the form of the interaction Hamiltonian $`H_I=\lambda (a\sigma _++\sigma _{}a^{})`$ where the $`\sigma `$’s the usual spin operators and $`\lambda `$ the interaction constant.

However, if we do not make the rotating wave approximation in the atom field interaction it was shown that transforming the complete Hamiltonian by means of a unitary transformation gives moyac

$$H_T=\omega N+\omega _0W\left(\frac{\lambda }{\omega }\sigma _z\right)$$
(10)
where $`W\left(\frac{\lambda }{\omega }\sigma _z\right)=D\left(\frac{\lambda }{\omega }\sigma _z\right)(1)^ND^{}\left(\frac{\lambda }{\omega }\sigma _z\right)`$ is the Wigner operator vog . This hints that keeping terms in the Hamiltonian proportional to the sum of annihilation and creation operators allows information about the system to be obtained.

In conclusion, we have shown that by measuring filed quadratures one may be able to reconstruct the characteristic function for the density matrix of the mirror.

We would like to thank CONACYT for support.