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# Paramagnetic Meissner effect depending on superconducting thickness in Co/Nb multilayers

## I Introduction

Meissner effect is the intrinsic diamagnetic response of superconductivity to external magnetic field. Instead, Paramagnetic Meissner effect (PME), also known as Wohlleben effect 1  refers to weak paramagnetic signals observed in some field-cooled superconductive samples. It was first observed in high TC ceramic samples and later on in Nb foils, a conventional superconductor (S). Although the experimental observations are similar, the PME in high TC cuprate and in BCS superconductors are attributed to different underlying physics (see below). What is common is that only certain samples show PME. Surface treatment of the Nb samples could make this effect disappear. 2 ; 3  Ferromagnetic (F) materials can suppress Cooper pairs very efficiently due to the exchange field. This proximity effect reduces TC near the S/F interface. Since the pioneer work of Hauser et al., 15  it is well-know that ferromagnetic materials suppress TC of adjacent superconducting films much stronger than non-magnetic materials. Experimental data on Fe/Pb/Fe trilayers 16  and on Nb/Fe multilayers 17  showed that as S layer thickness decreased, TC dropped to zero at critical thickness 70 nm and 32 nm, respectively. In contrast, in Nb/Cu multilayers, 18  superconductivity persisted down to Nb thickness less than 5 nm. Thus, Co modifies the interface properties much more pronounced than non-magnetic materials. We thus focus on the field-cooled magnetic moments in Co/Nb multilayers to study the interface effect and the role of penetration depth.

Paramagnetic field-cooled magnetization (FCM) for high TC cuprate samples was first reported by Svelindh et al. 4  using a non-commercial SQUID magnetometer, in which the samples were kept stationary during measurements. Zero-field-cooled magnetization of those samples showed usual Meissner effect, but FCM in small external fields were paramagnetic. The PME signal decreased with increasing external field and became usual diamagnetic one for large field.

A systematic study of PME was later reported by Wohlleben and coworkers. 1  They found several melt processed Bi2Sr2CaCu2O8 samples showed PME when field is $``$0.5 Oe. They invoked “$`\pi `$-junction” as a possible origin of the PME, which induced negative spontaneous supercurrents across weak links of crystalline structures.

Results similar to the PME in High TC materials on Nb disks with perpendicular field were later reported by Thompson et al. 2  They showed PME disappeared by various surface treatments and suggested that the surface layers having strong flux pinning sites together with sample orientation and geometry were responsible for the observation of PME. The same conclusion was also reached by Kostic et al. 3  They showed that samples exhibit PME have surface TC different from their bulk values. Strong and reversible PME was reported to exist up to 2000 Oe by Pust et al. 6  Since the observed effect is reversible, flux motion was excluded from being responsible. However, Terentiev et al. 20  reported that non-uniform applied fields or vortex dynamics play important roles in the PME in Nb films less than 100 nm thick. Geim et al. 7  measured micrometer size Nb and Al disks by a ballistic Hall magnetometer with detection loops $``$1$`\mu `$m2, which utilized two-dimensional electron gas in semiconductor heterostructure. They found PME to be an oscillating function of external field and concluded that the PME was related to surface superconductivity.

Different theoretical models for the PME were proposed. One explanation was Josephson loops with a spontaneous negative critical current, i.e., $`\pi `$-junctions caused by impurities or grain boundary scattering. PME was also used as an evidence for d-wave symmetry in High TC materials. 8  Since only in certain but not all samples can PME be found, it is most likely caused by surface or micro-structural defects rather than being an intrinsic property. To explain the PME in Nb, a flux compression model was demonstrated to result in paramagnetic moment because of inhomogeneous superconducting transition or the surface layer having a higher TC than the bulk material. 9  It treated current and field distributions for the cases of complete and partial Bean state. Superconducting currents at the sample surface forming ‘giant vortexes’ was raised as another model. 10  From the self-consistent solution to the Ginzburg-Landau equations, it was proved that a giant vortex state at the surface can be formed when S is field-cooled at Hc3, the surface critical field. This state has an S order parameter with a fixed orbital quantum number $`L`$. When temperature decreases further, flux can be trapped and compressed into a giant vortex state with paramagnetic signal.

## II Experimental methods

We fabricated several series of Nb films, Nb/Co trilayers and multilayer samples by dc sputtering onto Si (100) substrates. Samples with 2$`\mu `$m line-width and 40$`\mu `$m in length were also fabricated by lithography technique to measure critical currents. Base pressure in the vacuum chamber is 2$`\times `$ 10-7 Torr or better. Deposition was made under 1 mTorr Ar gas, with 0.05 nm/s rate for Co and 0.12 nm/s for Nb. Twelve samples can be fabricated in the same run. 11 ; 12  As the Nb target became thinner, the deposition rate increased slightly to 0.15nm/s. Prolong the pre-sputtering time between ignition of plasma and start of deposition of Nb improved the sample quality, as pointed out by Muhge et al. 19  In this paper, we concentrate on three Nb thicknesses: 240nm, 80nm, and 30nm, with all samples having the same total Nb thickness in each series. Magnetic measurements at low temperatures were performed by a commercial SQUID magnetometer. Data presented here are measured with field perpendicular to layer plane. We have shown that the S penetration depth in our Nb/Co multilayers was about 30 to 40nm at each interface. 12  The average saturation moment of Co decreased only when nominal thickness was less than 1.5nm. Nb layers with thickness of 30nm sandwiched between Co was just above the critical thickness, below which no S transition could be found. 13

As already pointed out, 5  S samples measured with commercial SQUID magnetometers showed artifact because the superconducting magnet has inevitably non-uniform field. Indeed, we reached the same conclusion that S signals depended on the sample position while cooling through TC, on the scan length in the superconducting magnet, and on the field uniformity etc. Since the resulting signal, voltage versus position, was no longer symmetrical with respect to the magnet center, commercial fitting routine in the automated software sequence might sometimes pick the wrong maximum and give a wrong sign to the measured moment. We measured our sample with the samples kept stationary and with a temperature sweeping rate of 0.05K/min. Signals were normalized to a Pb foil sample measured below TC with a 4-cm scan. Applied field was calibrated also by the Pb foil because of its large diamagnetic response. Moment versus field above TC was also measured by standard 4-cm scan with the SQUID voltage response monitored closely. Asymmetric curves were frequently observed, indicating non-ideal dipole response, due to the perpendicular direction was a hard axis. In cgs unit, the volume susceptibility for complete Meissner effect was –1/4$`\pi `$. The small total S volume of the samples, $``$3mm$`\times `$3mm$`\times `$240nm, would have made the signal to be detected below the SQUID limit. This was compensated by the demagnetization factor, d, of the perpendicular geometry. Taking into account this factor, magnetization per unit volume is given by:

$$\frac{M}{V}=\frac{1}{4\pi }\frac{1}{1d}H.$$

Calculation after Crabtree 14  for thin cylinders of 3 mm diameter, 240, 80, and 30nm height gave the geometry factors 1/(1-d) $``$3600, 7700, and 24000, respectively.

## III Results and discussion

Measurements on our pure Nb films with various thicknesses have not found any PME signal. Apparently the surface property of our films is not much different from the bulk. On the contrary, when the surfaces of the Nb films are covered by Co layers, PME was found when Nb thickness is larger than the penetration depth.

Fig. 1 shows examples of field-cooled and zero-field-cooled magnetic response to perpendicular magnetic field versus temperature. Data were taken while warming. Clear paramagnetic signals were seen for these samples with Nb thickness 240 or 80 nm. The 80 nm sample showed larger signal than the 240 nm one due to the demagnetization factor. When normalized to the ZFC susceptibilities, the signals correspond to 0.6 and 0.55 percents. However, several samples with 30 nm thick Nb showed only Meissner effect. That is, PME was seen when Nb thickness was no less than the penetration depth. Since all samples have the same total Nb thickness, this behavior was not due to difference in S volume. Fig. 2 depicts a model for the occurrence of PME after Koshelev and Larkin. 9  Since the free surface on the sides has higher TC, superconductivity is established there first. Large amount of flux can be trapped inside the sample. The diamagnetic shielding current $`I_S`$ and paramagnetic pinning current $`I_P`$ are then functions of the sample geometry. For our thin plate orthogonal to the field, competition between the two currents results in the PME.

To be sure these PME signals were not due to the expelled magnetic flux from Meissner state of Nb layers enhancing the moments of the Co layers, we have studied the hysteresis loops at 10K with field perpendicular to the surface carefully. All our samples have easy axis for Co layers lying in the plane with coercive fields less than 80Oe. The perpendicular direction is a hard direction with much larger coercive field. The magnetic state at zero field depends on the history of the sample and can be manipulated by performing field minor loops to any point below remanence. The inset of Fig. 3 shows the hysteresis loop and two initial magnetization curves of the 240nm Nb sample. The slopes of the initial magnetization curve, i.e. the susceptibilities, indicate how easily the magnetic moments can be rotated out of the in-plane easy axis direction. These slopes for three samples are shown in Fig. 3. One can see that different Co thickness did not show much different dM/dH value at low field. The slope exhibited large change only when field was at 90 Oe or larger. Thus we rule out the possibility of the expelled flux lines when the Nb layers go into S state as the major contribution of the paramagnetic signals.

Since the observed paramagnetic signals were indeed from the PME, we performed calculations for a complete Bean state following Ref. 9, . As an approximation, we use Eq. (13) in Ref. 9,  for a disk sample with radius $`R`$ and thickness $`d`$. Because the presence of Co, moving magnetic flux around costs energy. Thus we assume a case of weak flux compression, i.e., the shielding current ($`I_S`$ in Fig. 2) flows only in the region $`\lambda `$ of several penetration depths near the free surface. The paramagnetic signal normalized to the complete Meissner signal is 9

$$\frac{M}{M_M}=1.08\left[(1f)+\frac{\lambda }{R}\left(\mathrm{ln}\frac{R}{\lambda }0.96\right)\right]$$

where $`f`$ is the fraction of trapped flux. We obtained that the two samples in Fig. 1 both had $`f`$ around 99.5%. If $`\lambda `$ is as long as 10 micron, $`f`$ is about 97%. In a weak compression case, $`f`$ must be larger than 95% and the PME is small. In a strong compression case, the PME signal ranges between 27% and 0% for $`f`$ ranges from 100% to 80%. For the dependence of resulting PME signals on $`\lambda `$ and $`f`$, see Fig. 4 in Ref. 13. The large $`f`$ in our case can be attributed to the presence of Co helps to trap flux and to reduce interface TC. The absence of PME in samples with 30nm thick Nb can be explained by the critical current density, $`j_C`$, and how fast $`j_C`$ increases with decreasing temperature. The critical current enters the above equation through $`f`$. The pinning current density required to maintain the compressed flux must not exceed $`j_C`$, otherwise the flux will move out of the sample and the PME cannot be achieved. Fig. 4 shows our data on $`j_C`$ versus temperature measured on 2 micron wide, 40 micron long samples. The 240 nm thick Nb sample has a value and shape close to the bulk behavior. The $`j_C`$ of the 30 nm sample is about 20% of the 240 nm one close to TC, that is, the slope of $`j_C`$ increasing with decreasing temperature differs by 5 times. Comparing the estimated pinning currents and the $`j_C`$’s, we found $`j_C`$ is more than two orders of magnitude larger in the 240 nm thick Nb sample. In the 30 nm Nb sample, the two currents are the same order. Thus, in the 30 nm sample, when temperature decreases from TC, the increase of $`j_C`$ is insufficient to support the trapped flux. Paramagnetic flux has to move out of the sample and no PME can be formed. We infer that the penetration depth of S materials is a critical length due to the reduction of critical current density and of the slope of $`j_C`$ increasing with decreasing temperature. Only when S layer thickness is larger than the penetration depth, could the PME be found.

The role of proximity effect is essential in this study. It suppresses the interface TC to allow the free surface to go into superconducting state first while the sample is slowly cooling down. The critical current density near the interface is strongly reduced due to the fringe fields of strong magnetic Co layers. A detail discussion of the proximity effect between Co and Nb will be published elsewhere. 13  Here we discuss briefly the behavior of the related samples. From upper critical field measurements, we found the Ginzburg-Landau superconducting coherence lengths at zero degree were 12 nm to 13 nm parallel to the plane and 9 nm to 10 nm perpendicular to the plane. Close to TC, the Ginzburg-Landau coherence length is inversely proportional to (TC-T)1/2. When Nb is 30 nm thick, the coherence length and penetration depth just below TC are as larger as the thickness. The fringe field of Co affects the thick Nb films only at the interfaces, but reduces the critical current for 30 nm Nb thickness a lot. Thus, the required amount of trapped flux in the model of Koshelev and Larkin cannot be fulfilled for 30 nm thick Nb samples.

## IV Summary

Paramagnetic Meissner effect was studied for superconducting thin films with thickness in the regime close to penetration depth. We have shown clear evidence that Co/Nb/Co trilayers and multilayers showed PME when Nb thickness is no less than its penetration depth. The total magnetic moment is not linearly additive of each layer’s due to the trapped flux and induced current are functions of sample geometry. This gives us the possibility to manipulate flux lines in engineered superconductor/ferromagnet structures.

Figure Captions

Fig. 1. PME moment versus temperature of two samples: Co(15nm)/Nb(240nm)/Co(15nm) in circles and \[Co(7.5nm)/Nb(80nm)\]$`\times `$3/Co(7.5nm) in triangles. Samples were kept stationary and field cooled at H=0.57Oe. Measurements were made with a warming rate of 0.05K/Min. The normalized zero-field-cooled and field-cooled susceptibilities are shown in the inset with solid and dash lines. PME susceptibilities are 0.60 and 0.55 percents, respectively.

Fig. 2. Schematic cross-section of a Co/Nb/Co trilayer. The free surface has higher TC and superconducts first. Competition between diamagnetic shielding current, $`I_S`$, and paramagnetic pinning current, $`I_P`$, results in PME due to the thin plate orthogonal to field geometry. Drawing is not to scale.

Fig. 3. Slope of the initial magnetization curve of three samples: \[Co(15nm)/Nb(240nm)\] $`\times `$5/Co(15nm) in squares, \[Co(7.5nm)/Nb(80nm)\]$`\times `$15/Co(7.5nm) in circles, and \[Co(2.2nm)/Nb(30nm)\]$`\times `$40/Co(2.2nm) in triangles with perpendicular field measured at 10K. The first two samples do not have particular high value than the third one. This indicates that increased Co moment by repelled flux while Nb layers go into superconducting state is not responsible for the PME signals in Fig. 1. The inset shows the hysteresis loop of the first (Nb240nm) sample with two initial magnetization curves in square. The zero field states were reached by performing field minor loops. Notice the curves are close to linear at low field and the slopes are similar.

Fig. 4. Critical current density versus reduced temperature for Nb thicknesses 240 and 30 nm sandwiched between Co layers.


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# Miras and Other Cool Variables with GAIA

## 1. Introduction

The observation of Miras and other late type variables with GAIA will bring rather special rewards, but it will also bring special problems in analysing and interpreting the data. In reviewing some of these promises and problems I hope it will become clear what a vital part in the success of the mission will be played by the spectroscopy; radial velocities and spectral data. I shall also mention ground based observations which will be need to make full use of GAIA data.

Miras are large amplitude, AGB variables with rather regular periods which range from about 100 days to 1000 days or more. At the longer periods they are often OH/IR sources. They can be broadly divided into oxygen-rich and carbon-rich objects (O- and C- Miras).

It has been estimated (Eyers & Cuypers 2000) that GAIA will discover and measure about 150,000 Mira variables. For a significant fraction of these, GAIA will obtain parallaxes, proper motions, radial velocities, spectral data, narrow and broad band photometry and periods. For many of the stars observations will cover the whole light cycle.

Miras are of central importance to a number of key issues in astronomy. Amongst these are the following. (1) They appear to define the end point of the AGB when mass-loss plays a major role in stellar evolution. This is a time in the life of a star which is not properly understood. (2) In old or intermediate age populations, the Miras are the brightest individual stars and hold out the possibility of calibrating the populations of nearby galaxies in which they can be isolated and studied. (3) They show a well defined period-luminosity relation making them important galactic and extragalactic distance indicators. (4) Mira periods are related to age and/or metallicity. They are therefore important traces of galactic structure and kinematics.

## 2. The O-Miras

Consider first the O-Miras. In the LMC these variables show a narrow period-luminosity relation in the infrared. At K (2.2 microns) the scatter about this relation is only 0.13mag (Feast et al. 1989). So far as we have been able to tell the slope of this relation is the same everywhere (i.e. in the SMC, in globular clusters and for Miras with individual distances from proper motion companions, Whitelock et al. 1994, Wood 1995, Feast and Whitelock 1999, Feast, Whitelock & Menzies 2002). Hipparcos allowed the zero-point of this relation to be calibrated directly from Mira parallaxes (Whitelock & Feast 2000a) and also indirectly through Miras in globular clusters with distances based on Hipparcos subdwarf parallaxes (Feast et al. 2002). GAIA will allow one to study this relation in great detail in the galactic field, provided the necessary ground-based infrared observations have been made (a programme along these lines has been started at the South African Astronomical Observatory by P.A. Whitelock, F. Marang and the writer). For the Miras with good coverage of the light curve by GAIA it will also be possible to discover whether one can replace the infrared photometry with some of the GAIA photometry. It may be that the GAIA photometry, together possibly with the spectra, will show evidence for a period-luminosity-colour relation of which there was a hint in the infrared photometry (Feast et al. 1989).

The galactic kinematics of O-Miras are particularly interesting and Hipparcos led to some some unexpected results. It has long been known that the galactic kinematics of O-Miras are a function of period (e.g. Feast 1963) and this allows the galactic kinematics of old and intermediate age stars to be studied as a function of age and/or metallicity in finer detail than is possible in other ways. Hipparcos improved this discussion in three ways. (1)The Hipparcos calibration of the PL(K) relation, mentioned above, allowed one to obtain the distances of many local Miras. (2) The Hipparcos proper motions could then be used together with (ground-based) radial velocities to obtain space motions (Feast & Whitelock 2000a). Full space motions are essential if we are to study galactic kinematics free of assumptions. (3) The Hipparcos photometry together with ground-based infrared photometry showed that the short period O-Miras divided into two groups with different mean colours at the same period (Whitelock, Marang & Feast 2000, Whitelock 2002). These two sequences were called the short-period (SP) -red and -blue groups. These two groups differ in their kinematic properties and it will be essential in any future work to distinguish between them. In the case of GAIA observations, this may perhaps be done spectroscopically since the SP-red stars have a later mean spectral type than the SP-blues at a given period. It may also perhaps be possible using the GAIA photometry. On the basis of infrared colours alone which show the division into two groups, though less clearly, and on the basis of kinematics one can show that Miras in globular clusters belong to the SP-blue group which, together with longer period Miras, can be called the main Mira sequence. These Miras in clusters, and by implication the Miras in the main Mira sequence generally, lie at the tip of the AGB and are the brightest objects, bolometrically, of their populations.

What of the SP-red Miras? They have different colours, spectral types and kinematics from the SP-blue Miras (see Whitelock et al 2000 and Feast & Whitelock 2000a for details).Their kinematics associate them with longer period Miras on the main Mira sequence. At present the best guess is that they are not yet at the end of their AGB lives but will evolve into Miras of longer period on the Mira main sequence. There is some evidence (Whitelock and Feast 2000a) that at a given period the SP-red Miras are brighter than the SP-blues. This would be consistent with the above discussion. Clearly we can anticipate that GAIA will clarify this whole picture using its combination of parallaxes, proper motions, radial velocities, spectral types and photometry. This will be a considerable contribution both to our understanding of AGB evolution and to the study of Our Own and other galaxies.

When the SP-red stars are omitted, the rest (i.e. the main Miras sequence, including the SP-blue variables), show a monotonic dependence of kinematics on period. In particular, the space motions show a smooth change in $`V_\theta `$ (the velocity in the direction of galactic rotation) from $`133\pm 19\mathrm{km}\mathrm{s}^1`$ at a mean period of 173 days to $`223\pm 4\mathrm{km}\mathrm{s}^1`$ at a period of 453 days (see Feast & Whitelock 2000a and Feast 2002). This is for stars which are mostly within about 1 kpc of the Sun. This dependence opens up the possibility of studying galactic kinematics of homogeneous populations of old and intermediate age stars on a much finer grid than is otherwise possible. Some guidance as to the nature of this grid is provided by Miras in globular clusters. These are confined to the more metal-rich clusters and to the shorter period Miras. In addition there is a rather clear period-metallicity relation for Miras in clusters (see Feast and Whitelock 2000b). To understand this relation we need to know whether the initial masses of the Miras in clusters (i.e. the turn-off masses) are a function of metallicity. This in turn requires us to know whether all the metal-rich globulars are the same age or whether age depends on metallicity. GAIA will make a major contribution to settling this issue by providing much improved estimates of globular cluster distances, either directly or through subdwarf parallaxes. However it seems worth noting that this will probably also depend on there being much more detailed ground-based spectroscopic work to determine chemical abundances in subwarfs both in the field and in clusters.

Apart from the globular cluster Miras there is rather little direct evidence on the initial masses of Miras. R Hya is a member of the Hyades moving group (Eggen 1985) and this suggests an initial mass of $`2M_{}`$. However this Mira is unusual, its period having varied from about 500 days to 385 days in the last 340 years (see e.g. Zijlstra, Bedding & Mattei 2002), probably due to the star being in a shell-flashing stage (see below). General arguments based on galactic kinematics and scale heights (e.g. Olivier, Whitelock & Marang 2001) suggest masses of $`2M_{}`$ for Miras with periods in the range $``$ 400 to 800 days and $`4M_{}`$ for periods of $`1000`$ days. In the Magellanic Clouds (Nishida et al. 2000) there are intermediate age clusters with turn-off masses of $`1.5M_{}`$ which contain C-Miras of period $`500`$ days. It may very well be that C- and O-Miras of the same period have the same initial masses but this has not yet been definitely established. We can expect GAIA to make an important contribution to the mass question. For instance the space motions from GAIA should allow the isolation of new moving groups some of which may contain Miras. We already know of a few Miras with common proper motion companions. Such objects are potentially important for the determination of limits to the initial mass of the Mira as well as its luminosity and, importantly, its chemical composition which is difficult to derive directly for a Mira in view of its cool and complex atmosphere. Incidentally, it is not clear that the Hipparcos catalogue has been properly searched yet for Miras with proper motion companions.

The dependence of the mean motion of Miras in the direction of galactic rotation ($`V_\theta `$) on period shows their importance for problems of galactic structure and dynamics. A quite unexpected result was found from the motion of Miras radially outwards from the galactic centre ($`V_R`$). Dividing the Miras into groups according to period, it was found that for Miras in the groups with mean periods of 228 days or more there is a small net outward motion of a few $`\mathrm{km}\mathrm{s}^1`$. The significance of this is not at present very clear. However a rather startling result was found for the shortest period group (mean period 173 days) when the SP-red varables were omitted. These stars show a marked asymmetric drift ($`V_\theta =133\pm 19\mathrm{km}\mathrm{s}^1`$, compared with a circular velocity of $`231\mathrm{km}\mathrm{s}^1`$ (Feast & Whitelock 1997)). Whilst this group is small (18 stars) it shows rather clearly a mean outward motion, $`V_R`$, of $`75\pm 18\mathrm{km}\mathrm{s}^1`$. In addition the individual space motions show that there is a rather good correlation between $`V_\theta `$ and $`V_R`$ in this group and all 11 stars which have an asymmetric drift greater than $`65\mathrm{km}\mathrm{s}^1`$ having positive values of $`V_R`$ (see fig. 1 and Feast and Whitelock 2000a, Feast 2002).

Since many of these stars, all of which are within about 1 kpc of the Sun, are on highly eccentric orbits and will pass through, or close to, the Galactic Bulge, it seems likely that they are members of a bar-like distribution. It is known (Whitelock & Catchpole 1992) that the Miras in the Bulge itself belong to a central bar structure. A simple model would fit this suggestion for the local Miras although the possibility that they are part of a stream due to an infalling satellite galaxy, cannot be ruled out (see Feast and Whitelock 2000a and Feast 2002 for details). It is evident that a detailed study of this phenomenon requires space motions for short period Miras over a wide region of the Galaxy. This will be possible with GAIA parallaxes, proper motions, radial velocities and periods. It remains to be seen whether auxilliary data will be require to separate out the SP-red Miras which have different kinematics.

Related to this problem is that of the Galactic Bulge itself where, as just mentioned, Miras show a bar-like distribution. The Bulge contains Miras of a wide range of period and GAIA should allow the kinematics and structure of the Bulge to be explored in detail as a function of period using positions and space motions.

## 3. The C-Miras and S-type Miras

An extensive discussion of the carbon-rich Miras is beyond the scope of this talk. However the parallaxes, proper motions, radial velocities, periods and spectra which GAIA will provide should answer a number of outstanding problems connected with these objects. The space motions of C-Miras are of importance in their own right and will show how closely these stars are related to the O-Miras of the same (or a different) period. Whilst it seems likely that C-Mira evolve from O-Miras this is not yet certainly established. If indeed this is their evolutionary path, it is still uncertain whether they change period in the process.

Space motions derived by GAIA will also be important for the understanding of the Miras with spectra of type S. These show strong zirconium oxide bands and lines of s-process elements are enhanced. These stars, which are oxygen-rich, are generally treated together with the O-Miras which have strong TiO bands. There is no clear dividing line between Miras with M type and those with S type spectra, the classes merging into one another (the MS stars). The extensive spectral and other data on O-Miras from GAIA may make it possible to divide them into groups which are more clearly defined and should lead to a much clearer understanding of this whole group of stars, their place in stellar evolution and their use in Galactic and extragalactic astronomy.

## 4. The Low Amplitude, Semiregular Variables

In this review a detailed discussion of the low-amplitude semiregular cool variables (the SR stars) has been omitted. However GAIA will almost certainly bring considerable order into this field which at present is in a rather unsatisfactory and confused state. In globular clusters, SR variables evolve with increasing period and luminosity (see e.g. Whitelock 1986, Feast 1989). They may change pulsation mode as they do so. In the LMC there are several sequences of semiregular, or low amplitude, variables in the period - luminosity plane, probably indicating several different pulsation modes (Wood 2000). The GAIA data will presumably reveal similar sequences in our Own Galaxy (though infrared photometry of the relevant objects will probably be necessary to do this). With this done the kinematics, based on space motions, of the semiregulars divided according to particular period-luminosity sequence and to period, will help establish their evolutionary relationship. In view of the somewhat surprising results discussed above for the short period O-Miras, it seems very desirable that any kinematic analysis of these stars uses the full space and velocity co-ordinates. The spectra together with the photometry also opens up a largely unexplored area.

## 5. Deviations from the Mira Period-Luminosity Relation

If our ideas based on the Magellanic Clouds, globular clusters and the Hipparcos results on local Miras, are correct, it can be anticipated that in any volume of space in the Galaxy most of the regular, large amplitude, cool variables measured by GAIA will be Miras on the PL relation (either O- or C- Miras). Together with infrared photometry GAIA will establish the slope of this relation and its zero-point. The parallaxes will also enable one to find Mira or Mira-like stars that lie off the PL relation. Some stars of this kind are expected and their luminosities, space motions and spectra will be of great interest.

The SP-red Miras which seem to lie above the main PL relation were mentioned in section 2. But there are other types of Mira or Mira-like stars as well which are expected to lie off the PL relation. Towards the end of their AGB evolution, stars with initial masses in the range 4 to 6 solar masses can undergo Hot-Bottom-Burning (HBB). In this process the base of the H-rich convective envelope dips into the H-burning shell. The luminosity can then rise above that predicted by the classical relation between core-mass and luminosity. Carbon is burned to nitrogen and the beryllium transport mechanism results in an overabundance of lithium at the surface. Whitelock (2002, see also Whitelock & Feast 2000b and references there) has pointed out that most of the AGB variables in the Magellanic Clouds in which Smith et al. (1995) found lithium to be strong lie above the Miras PL relation. The frequency of occurrence of these stars and their kinematics are obviously of great interest since they gives clues to lifetimes and initial masses. Whitelock (2002) points out that the HBB phenomenon can explain a curious result found for LMC Miras. The evidence, which she summarizes, suggests that most LMC Miras with relatively thick dust shells and periods in the range 420 to 1300 days lie on an extension of the (bolometric) PL relation defined by shorter period Miras. These longer-period stars may be of sufficiently low mass that they never undergo HBB. However she points out that the few Miras with periods greater than 420 days and rather thin dust shells which seemed to indicate a break in the PL relation at that period in earlier work (Feast et al. 1989) may in fact be higher mass stars in a HBB phase. A full understanding of these phenomena is important not only for stellar evolution theory but also for the use of Miras as extragalactic distance indicators. For instance Whitelock (2002) suggests that the 641 day variable in IC1613 (Kurtev et al 2001) which lies well above the Mira PL may be in the HBB phase.

It has long been thought that the slow changes in period of some Miras (e.g. R Hya, see above) are due to the star undergoing helium shell flashing (thermal pulsing) (Wood & Zarro 1981). This is expected to be accompanied by changes in luminosity (e.g. Iben & Renzini 1983). Thus we may expect to find variables both above and below the PL relation due to this phenomenon. However the behaviour of R Hya is complex and the thermal pulse model has recently been challenged by Zijlstra et al. (2002) who suggest instead an envelope relaxation model.

Finally one should mention the possibility of finding dust-enshrouded OH/IR Miras below the PL relation. There is some evidence for such stars in the region of the Galactic Centre (e.g. Blommaert et al. 1998, Wood et al. 1998) but the bolometric luminosities of these stars are difficult to estimate accurately.

## 6. Red Supergiant Variables

Especially near the Galactic plane, GAIA will measure red supergiant variables. These objects show bolometric or infrared period-luminosity relations in, for instance, the Magellanic Clouds and M33 (Kinman, Mould & Wood 1987, Mould et al. 1990, Feast 1992). More recently, and of more direct relevance for GAIA, period- luminosity relations in the I-band have been established in Per OB1, LMC, M33 and M101 (Pierce, Jurcevic & Crabtree 2000, Jurcevic, Pierce & Jacoby 2000). In the I-band these red supergiant variables are about three magnitudes brighter than the classical Miras at a given period. The range in periods in Per OB1 suggests that the PL relation there is an evolutionary sequence in contrast to the Mira PL relation which is a mass/metallicity sequence, as discussed above. The PL relation established by Pierce et al. has a considerable RMS scatter (0.42 mag). This may be partly observational. It remains to see whether this PL relation is influenced by inital mass,age, or metallicity . These stars should be detected by GAIA to large distances even in the galactic plane and should be excellent tracers of the distribution and kinematics of young objects. The radial velocity component will be vital to study the kinematics properly.

## 7. Some Special Challenges

There will be a number of special challenges to be met in the interpretation of GAIA observations of Mira variables. One challenge is of course that we are moving into a little explored area. For instance, there are few, if any Miras that have been studied systematically round their light cycles for spectroscopic and radial velocity variations in the spectral region of interest to GAIA. The complex structure of Mira atmospheres and its variation with phase is not yet properly understood. References to high resolutions studies and their interpretation, from the early work of Merrill to the present are conveniently summarized by Alvarez et al. (2001); see also the summary of Lebzelter and Hinkle (2002). In the optical and infrared regions doubling of absorption lines is seen. Typically the lines are split by $`20\mathrm{km}\mathrm{s}^1`$ in the optical region. At resolutions too low to show the splitting clearly, the variation in measured absorption line velocity round the cycle is probably $`10\mathrm{km}\mathrm{s}^1`$ or less, though there have been no studies in the optical region as extensive those of Joy (1954) on Mira Ceti itself. There are variations of absorption line velocities with excitation potential, presumably due to the different depths of formation of the lines. The line doubling is thought to be due to shock waves in the atmosphere. These are also believed to excite the emission lines seen at some phases. In the past there has been some uncertainty about the definition of the actual radial velocity of a Mira in space. This is now generally taken to be the mean of the velocities of the two OH maser peaks which are found in some Miras. From a large body of data, generally involving only a few optical velocities for any given Mira, it is found that the mean absorption line velocity is too positive by $`4\mathrm{km}\mathrm{s}^1`$ with some dependence on period (Feast and Whitelock 2000a). This offset may be due to most of the optical velocities having been obtained in the brighter half of the light cycle. Perhaps of more relevance, so far as GAIA spectroscopy is concerned, is the fact that some Miras, at least, show emission in the CaII infrared lines near maximum light. At least in some cases these lines have inverse P-Cygni profiles with velocity separations of $`2030\mathrm{km}\mathrm{s}^1`$ (Merrill 1934, 1960). Clearly, this must be taken into account in deriving mean velocities and space motions using these lines. The systematic study of the CaII lines round the light cycles of many Miras will be very revealing of the complex dynamics of Mira atmospheres.

A challenge, which affects particularly the astrometry, is the large angular size of the Miras. The diameters of Miras are a strong function of wavelength (e.g. Labeyrie et al. 1977). In a broad optical band, which is probably relevant to GAIA, the Mira R Leo and the Mira-like (SRa) star W Hya have mean angular diameters of 74 and 84 mas. These stars do not have circular symmetry and show evidence for asymmetric light distributions over the discs, possibly due to large star-spots (Lattanzi et al. 1997 and references there). The diameters of these stars are greater than the expected point spead function of GAIA. They are also nearly a factor of ten greater than their Hipparcos parallaxes (or the parallaxes derived from the PL(K) relation of Feast et al. (2002)). Thus the diameters of Miras are always larger than their parallaxes and astrometry may be affected by motions of the photocentre of the star due to changing shape or light distribution. Such effects might be incorrectly interpreted as due to motion in a binary. Whilst this is a serious concern, it should be noted that one of the fastest growing areas in astronomy at the present time is stellar interferometry. One may hope that by the time GAIA results are available, interferometry will have led to a good understanding of the shapes and surface structure of Miras and, in particular, the time scale on which these change, something on which we have little information at present.

## 8. Conclusions

The combination of GAIA astrometry, radial velocities, spectra, photometry and periods will have a profound and unique effect on our understanding of the nature and evolution of cool variable stars, particularly those on the AGB. Also the kinematics of these objects will allow us to study the structure and evolution of Our Galaxy in a way previously impossible. Hipparcos already led to surprises in this area and gave some foretaste of what GAIA will accomplish.

It would be rather valuable if ground-based observers gave some thought now to parallel programmes which would be completed by the time the results from GAIA become available. In the optical/infrared field some obvious programmes in this category are; interferometry, intensive infrared photometry and high resolution optical spectroscopy.

### Acknowledgments.

I would like to thank Patricia Whitelock for discussions and advice.

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# Stochastic theory of synchronization transitions in extended systems

## Abstract

We propose a general Langevin equation describing the universal properties of synchronization transitions in extended systems. By means of theoretical arguments and numerical simulations we show that the proposed equation exhibits, depending on parameter values, either: i) a continuous transition in the bounded Kardar-Parisi-Zhang universality class, with a zero largest Lyapunov exponent at the critical point; ii) a continuous transition in the directed percolation class, with a negative Lyapunov exponent, or iii) a discontinuous transition (that is argued to be possibly just a transient effect). Cases ii) and iii) exhibit coexistence of synchronized and unsynchronized phases in a broad (fuzzy) region. This phenomenology reproduces almost all the reported features of synchronization transitions of coupled map lattices and other models, providing a unified theoretical framework for the analysis of synchronization transitions in extended systems.

Arrays of coupled oscillators appear ubiquitously in Nature, and their mutual synchronization is undoubtedly one of the most intriguing phenomena appearing in complex systems Strogatz-Syn . Some well-known instances of synchronizing systems are chemical reactions chemical , neuronal networks neurons , flashing fireflies fireflies , Josephson junctions Josephson , electronic circuits circuits , and semiconductor lasers lasers . In particular, coupled map lattices (CMLs) Kaneko , initially introduced as simple models of spatio-temporal chaos CM , have received a great deal of attention, as models of synchronization in spatially extended systems (another possibility is to analyze discrete cellular automata Peter ; death ). In this context, it was observed that distant patches of a given CML can oscillate in phase CM , a phenomenon related to the Kardar-Parisi-Zhang (KPZ) equation Geoff  describing the roughening of growing interfaces HZ . Afterwards, it was also realized that when two different replicas of a same CML are locally coupled, they become synchronized if the coupling strength is large enough Peter ; Zanette ; circuits . Also globally coupled CML can achieve mutual synchronization Kaneko2  with interesting implications in neuro-science ZM . Last but not least, different replicas of a CML can be synchronized if they are coupled to a sufficiently large common external random noise, even if they are not directly coupled to each other firenze1 ; first ; lucia .

In all these examples, there is a transition from a chaotic or unsynchronized phase in which perturbations grow, and two replicas evolve independently, to a synchronized phase in which memory of the initial difference is asymptotically lost and replicas synchronize. This synchronization transition (ST) resembles very much other non-equilibrium critical phenomena, particularly transitions into absorbing states HGM , and the determination of its universal properties has become the subject of many recent studies Peter ; lucia ; PK ; Ahlers  as well as the main motivation of this Letter. Within this context, a major contribution was made by Pikovsky and Kurths (PK) who proposed a stochastic model for the dynamics of perturbations in locally coupled CML, in which, under very general conditions, the difference-between-two-replicas field can be described by the so-called multiplicative noise (MN) Langevin equation PK :

$$_t\varphi (x,t)=a\varphi b\varphi ^2+D^2\varphi (x,t)+\sigma \varphi (x,t)\eta ,$$
(1)
where $`\varphi (x,t)`$ is the difference field (or “synchronization error”), $`a`$, $`b`$, $`\sigma ^2`$, and $`D>0`$ are parameters, and $`\eta `$ a delta correlated Gaussian white noise with zero average. It is worth remarking that the non-linear saturation term was added in PK  by hand, in order to ensure that the synchronization error remains bounded from above (i.e. of the order of the original field variables) PK ; Ahlers .

Eq. (1) has been extensively studied, unveiling a rich phenomenology, including a novel non-equilibrium phase transition MN . This equation is related to: i) the problem of directed polymers in random media PK ; HZ  and, ii) the KPZ equation in the presence of a limiting upper wall MN . To verify this last, particularly illuminating relation, it is useful to perform a Cole-Hopf transformation $`\varphi (x,t)=\mathrm{exp}[h(x,t)]`$ MN ; Ahlers , obtaining

$$_th(x,t)=ab\mathrm{exp}h+D^2h+D(h)^2+\sigma \eta ,$$
(2)
which is indeed a KPZ equation plus a bounding term—the upper wall—pushing positive values of the height $`h`$ towards negative values PK ; MN . The synchronized or absorbing phase corresponds in this language to a depinned interface, falling continuously towards minus infinity, governed by KPZ dynamics. The unsynchronized or active phase, on the other hand, translates into a pinned-to-the-wall interface.

Using the PK theory, it could be naively concluded that all ST belong to the MN universality class PK . On the other hand, it has been known for some time that many ST in discrete cellular automata (CA) belong generically to the directed percolation (DP) universality class Peter . This difference led Grassberger to conjecture that the discreteness of the local field variables is the factor that determines a ST universality class: MN for continuous variables and DP for discrete ones Peter . Following Grassberger, the key difference lies in the fact that while for continuous variables one has ‘incomplete death’ (fluctuations can always generate unsynchronized regions from synchronized ones death ), discrete systems do not allow such a process (‘complete death’). This difference between MN and DP has been characterized in Ref. nature .

Some counterexamples, however, have recently shown that this conjecture does not apply all the way: in some cases, CML (continuous variables) can exhibit DP behavior lucia ; Ahlers , or present a discontinuity at the transition point first . Based on these observations a new global picture has emerged: there are two types of ST depending on whether the largest Lyapunov exponent, $`\mathrm{\Lambda }`$, is zero or negative at the transition. In the first case, the transition is MN-like and controlled by linear stability effects ($`\mathrm{\Lambda }`$ changes sign at the transition). In the second case the transition is either DP or discontinuous, depending on microscopic details, and the transition is located where the propagation velocity of the non-linear perturbations changes sign, while $`\mathrm{\Lambda }`$ is negative.

The aim of this Letter is to construct a stochastic model, including Eq. (1) as a particular case, able to reproduce in a unified framework all the aforementioned phenomenology. With this purpose, we consider the following Langevin equation

$`_t\varphi (x,t)`$ $`=`$ $`{\displaystyle \frac{\delta V(\varphi )}{\delta \varphi }}+D^2\varphi (x,t)+\varphi (x,t)\eta (x,t),`$
$`V(\varphi )`$ $`=`$ $`a\varphi ^2+b\varphi ^3+c\varphi ^4,`$ (3)
which has appeared in the literature in the context of non-equilibrium wetting and depinning transitions haye ; Lisboa-wet . This is a generalization of Eq. (1) including saturation effects in a more general way. In particular, for $`b>0`$, the parameter $`c`$ is irrelevant in the renormalization group sense, and Eq. (3) behaves as Eq. (1) (i.e. it belongs to the MN universality class). For $`b<0`$, however, new physics emerges Lisboa-wet  (note that in the KPZ language $`b<0`$ translates into the presence of an attractive upper wall). This second possibility is required to describe transitions in which a non-vanishing value of the synchronization-error field is a local attractor of the dynamics. For example, for discrete boolean CA, the value $`\varphi (x)=1`$ should be a minimum of the local deterministic dynamics, and therefore $`b<0`$ is required to describe them within this formalism. Also, for discontinuous CML lucia ; Ahlers  this term describes finite jumps from one map-sector to another.

In Fig 1 we show a plot of the exact single-site effective potential in the zero-dimensional limit in the interface representation (i.e. the stationary solution of the associated Fokker-Planck equation after performing the Cole-Hopf transformation; see Ref. nature ). For $`b<0`$ a new minimum (absent for $`b>0`$), present even in the synchronized phase, appears—the KPZ wall becomes attractive. As long as $`b>0`$, $`c`$ is irrelevant ir , the transition is in the MN universality class, and it occurs where the depinned interface looses its stability, implying that the average velocity $`\dot{h}`$ changes sign at the transition point. It is also well known PK  that $`\dot{h}`$ coincides exactly with the largest Lyapunov exponent, $`\mathrm{\Lambda }`$. Therefore, for $`b>0`$, the situation is completely analogous to ST in the MN class where $`\mathrm{\Lambda }`$ changes sign at the transition. On the other hand, for $`b<0`$ ir  the transition can be easily shown not to occur at $`\dot{h}=0`$ Lisboa-wet . Instead, there is a finite interval of values of $`a`$, $`[a^{},a_c(b)]`$, in which phase coexistence is found, ergodicity is broken, and the final state depends upon initial conditions Lisboa-wet . Within this interval, pinned interfaces remain usually pinned, and depinned interfaces escape towards minus infinity at a finite velocity. Below (above) $`a=a^{}`$ ($`a_c(b)`$) depinned (pinned) interfaces lose their stability. Consequently, at $`a_c`$ the depinned phase is stable (contrary to what happens for $`b>0`$) and $`\dot{h}(a_c)=\mathrm{\Lambda }`$ is negative, in analogy with ST in either the DP class or discontinuous transitions where $`\mathrm{\Lambda }<0`$ (as explained afterwards the first-order transition could be a transient effect).

In order for Eq. (3) to constitute a valid theory for ST, a DP critical point should be observed in some parameter range for $`b<0`$. To the best of our knowledge DP behavior have not been reported for this equation so far. As we will show, DP behavior may emerge for $`b<0`$ as the forthcoming numerical results show.

To simulate Eq. (3), it has been discretized, using the Ito prescription, in a one-dimensional lattice, using $`1`$ and $`0.001`$ as discretization space and time meshes, respectively. Systems sizes run from $`L=50`$ to $`L=2000`$, reaching up to $`2\times 10^8`$ iteration time steps in the longest runs. Averages are performed over $`100`$ to $`10000`$ runs (up to $`2\times 10^6`$ in some cases). Depending on the values explored, different universality classes have been found:

i) MN: Setting $`b=c=D=\sigma ^2=1`$, we observe a transition around $`a_{\mathrm{mn}}0.01`$ in the MN class MN . We have also verified that the asymptotic properties do not depend on parameter values as long as $`b>0`$.

ii) First order transition: Changing the sign of $`b`$ (setting it to $`3`$), while keeping the rest of the parameters as in the previous case, we find a discontinuous transition at $`a_{\mathrm{ft}}=1.85(1)`$. In this regime we recover all the phenomenology reported in Ref. Lisboa-wet : an apparent first order phase transition, a broad region of phase coexistence, triangular patterns in the interface representation, etc. However, by enlarging the value of $`c`$ the attractive well becomes less deep (see Fig. 1), the discontinuity of the transition is reduced, and it becomes more and more difficult to clearly establish the order of the transition. Indeed, following a claim by Hinrichsen 1?  it could well be the case that this discontinuous transition is only a transient effect, asymptotically crossing-over to DP for very large system sizes.

iii) DP: In order to weaken the mechanism leading to a first order transition—the mechanism responsible for destabilizing depinned patches haye —we consider a shallow well, $`c=4`$, reduce the diffusion constant to $`D=0.1`$, and keep $`b=3`$ and $`\sigma =1`$. In Fig 2a) we show how the order parameter decays at criticality ($`a_c=0.1865(3)`$) with a DP exponent $`\theta 0.16`$ for $`L=1000`$, and also how it saturates for smaller system sizes. From the scaling of the saturation values at criticality, we estimate $`\beta /\nu =0.245(15)`$, in good agreement with the DP value $`\beta /\nu =0.252\mathrm{}`$ HGM . As an independent check of universality, we have also studied the dependence of $`\varphi `$ on $`a`$ at a fixed system size $`L=1000`$. A fit to the form $`\varphi (a_ca)^\beta `$ provides the independent estimates $`a_c=0.1871(5)`$ and $`\beta =0.28(1)`$, again compatible with DP, see Fig. 2b). To further confirm DP scaling, we have computed different moment and cumulant ratios at criticality. It has been recently shown that moment and cumulant ratios are universal at the DP fixed point, and they are not strongly affected by finite size effects. In particular, we have measured $`r_1=(m_2m_1^2)/m_1^2`$ (analogous to Binder’s cumulant for these transitions) and $`r_2=m_4/m_2^2`$, where $`m_i`$ is the $`i`$-th moment. In Fig. 3 we show their time evolution at criticality for different system sizes. Observe the convergence to the extrapolated DP values for infinite lattices $`r_10.173`$ and $`r_21.554`$ moments . Slight deviations from the values reported in Ref. moments  are due to lack of precision in the determination of the critical point.

We have also measured a different order parameter: the density of lattice sites with $`h`$ smaller than a certain reference threshold— i. e. the number of sites pinned at the attractive wall. We have checked that it scales as $`\varphi `$ (DP) at criticality, independently of the arbitrary threshold. Also, as a complementary test to verify the generation of DP scaling for $`b<0`$, we have studied the nature of fluctuations. In particular, we determine the distribution of the output order parameter, $`P(\varphi (t+1))`$, after one iteration as a function of the input order parameter value $`\varphi (t)`$. It is not difficult to verify that its variance is proportional to $`\sqrt{\varphi (t)}`$, as expected for the DP class HGM . In other words, the presence of an attractive wall generates a DP-like noise $`\sqrt{\varphi (x,t)}\eta `$, to be included in Eq. (1). While in the absence of such a wall the leading fluctuations are those intrinsic to the interface (linear in $`\varphi `$) the attractive wall generates a new noise term, related to the fluctuation of the number of sites pinned by the potential well. This noise dominates the asymptotic behavior, driving it from MN-type to DP. Let us remark that even though the transition is DP-like in this regime, it has some first-order flavor. Indeed, as stressed before, there is a finite phase coexistence interval $`[a^{},a_c]`$, within which pinned and depinned interfaces coexist with a phenomenology very similar to spatio-temporal-intermittency Lisboa-wet . For $`a<a^{}`$ ($`a>a_c`$) only the pinned (depinned) phase is stable. A qualitatively similar ST have been found for CMLs and the term fuzzy transition has been coined to describe it firenze1 .

From the theoretical side, we have performed a renormalization group perturbative calculation of Eq.(3) along the same lines followed to study Eq.(1) MN . We find a weak coupling trivial fixed point (above $`d=2`$), and runaway trajectories above some separatrix analogously to what happens for Eq.(1) MN  (in particular, in $`d=1`$ these are the only solutions). The possible existence of a DP strong-coupling fixed point cannot therefore be settled within this perturbative approach. This calls for new theoretical studies (see Ginelli ).

To sum up, all the observed universal features of synchronizing CML are well reproduced by a simple Langevin equation, Eq.(3), including a potential with up to quartic terms, diffusion, and multiplicative noise, that is equivalent to a KPZ equation with a bounding upper wall. A MN transition is found for $`b>0`$ (non-attractive wall), while for $`b<0`$ (attractive wall) first order or DP transitions are observed depending upon parameter values. In the MN case the scaling is controlled by interface fluctuations, while in the second case it is dominated by fluctuations of the number of sites pinned by the attracting wall (generating DP-type of noise). This second mechanism has been shown to exhibit DP-scaling (probably, DP with many absorbing states Droz ; HGM ) or, alternatively, to induce (apparently) discontinuous transitions; in both cases, the transition is “fuzzy”: there is a finite coexistence region between synchronized and unsynchronized phases. In this way we have constructed a general framework to study ST in spatially-extended systems and, in particular, in coupled map lattices, successfully reproducing all their universal critical features. It would be very interesting to derive analytically the Reggeon field theory Langevin equation describing DP HGM  from Eq. (1) in the adequate parameter range, and to develop clean-cut criteria establishing the nature of the transition as a function of bare parameter values (i. e. the full phase diagram). These issues will be addressed in a future publication.

###### Acknowledgements.

We acknowledge very useful comments and discussions with R. Livi, and also with F. de los Santos, A. Torcini, A. Politi, P. Grassberger, R. Dickman, and D. Mukamel, as well as financial support from the Spanish MCyT (FEDER) under project BFM2001-2841. R.P.-S. acknowledges also financial support from MCyT.


text:
# Andreev reflections on 𝑌_{1-𝑥}𝐶𝑎_𝑥𝐵𝑎₂𝐶𝑢₃𝑂_{7-𝛿} evidence for an unusual proximity effect

\]www.tau.ac.ils̃upercon

## Abstract

We have measured Andreev reflections between an Au tip and $`Y_{1x}Ca_xBa_2Cu_3O_{7\delta }`$ thin films in the in-plane orientation. The conductance spectra are best fitted with a pair potential having the $`d_{x^2y^2}`$+is symmetry. We find that the amplitude of the is component is enhanced as the contact transparency is increased. This is an indication for an unusual proximity effect that modifies the pair potential in the superconductor near the surface with the normal metal.

The superconducting state is characterized by a pair potential (PP) $`\mathrm{\Delta }\left(r\right)=V\left(r\right)F(r)`$ where V(r) is the potential representing the electron-electron interactions and $`F\left(r\right)\mathrm{\Psi }_{}\left(r\right)\mathrm{\Psi }_{}\left(r\right)`$ is the probability amplitude for finding a Cooper pair. In the case of a contact between a normal metal (N) and a superconducting metal (S), far from the interface we expect F(r) to be zero in N and to reach a constant value in S. However near the interface F(r) has a non zero value in the normal metal due to electron pairs leaking from S into N. This phenomenon is known as the proximity effect and has been studied both theoretically and experimentally for the case of superconductors with a pair potential having an s-wave symmetryDeutscher:1969 . Microscopically the mechanism involved in the creation of this non zero pair amplitude F(r) in the normal metal, is a special reflection process known as Andreev reflectionAndreev:1964 , which occurs when there is an abrupt change in the PP. Such a change occurs at a clean N/S contact, where F(r) is continuous, due to the difference in V(r) in the two materials. An electron approaching the superconductor(SC) from the normal metal with energy smaller than $`\mathrm{\Delta }`$ cannot enter as a quasiparticle into the superconducting condensate. Instead the electron is reflected as a hole and a Cooper pair is added to the condensate. Therefore by measuring Andreev reflections one can investigate the properties of the superconducting PP.

For a perfectly transparent, small N/S contact, of size $`a<<l`$, where $`l`$ is the mean free path, the Andreev reflection process is manifested by a low bias ($`eV\mathrm{\Delta }`$) conductance which is twice as large in comparison to the high bias one. Blonder *et al.*Blonder:1982 (BTK) have calculated the conductance of an N/S contact with an additional barrier represented by a delta function potential $`U\left(x\right)=H\delta \left(x\right)`$. They have defined a dimensionless parameter representing the barrier strength, $`Z=\frac{H}{\mathrm{}v_F}`$, where $`v_F`$ is the Fermi velocity. A clean N/S contact is described by Z=0 and a high barrier tunnelling contact by $`Z>>1`$. For finite Z values, the conductance is depressed at low bias and enhanced at $`eV=\mathrm{\Delta }`$. In the case of high temperature superconductors (HTS) various experiments have indicated that the PP has a $`d_{x^2y^2}`$ (*d*) symmetryTsuei:2000 , described by $`\mathrm{\Delta }\left(k\right)=\mathrm{\Delta }_0\mathrm{cos}\left(2\theta \right)`$, where $`\theta `$ is the polar angle measured from the crystallographic a-axis. This PP is very different from the isotropic s-wave PP as it changes sign and has nodes for $`\theta =\frac{\pi }{4}+\frac{\pi }{2}n`$, where n is an integer. Thus it is expected that the properties of N/HTS contacts should differ from those of N/S contacts. Tanaka and KashiwayaKashiwaya:1995  have extended the BTK calculation to the case of an anisotropic PP, $`\mathrm{\Delta }(\theta )`$ and have shown that the conductance curves differ from those calculated by BTK. They have defined $`Z=\frac{2mH}{\mathrm{}^2k_F}=2Z_{BTK}`$ henceforth we shall use this definition. For a *d* PP a zero bias conductance peak (ZBCP) appears for in plane contacts reflecting the existence of Andreev surface bound statesHu:1994 . It is most pronounced for (110) contacts. For a (100) contact, the low bias dip which evolves in the case of a s-wave PP for $`Z>0`$, appears only for $`Z0.4`$ and the amplitude of the normalized conductance maxima is lowered considerably, reaching a value of around 1.5, as shown in Fig. 1a, compared to a value of around 2.1 in the s-wave case for this Z value. Experimentally, data on Andreev reflection at low Z (Z$`<`$1)contacts with HTS is limited. Results on YBCO were reported by Hess *et al.*Hass:1992  and Yagil *et al.*Yagil:1995 . Wei *et al.*Wei:1998  have reported a measurement on YBCO with a fit to a *d* PP. Measurements on La2-xSrxCuO4 were reported by Achsaf *et al.*Achsaf:1997  with a fit to an anisotropic s-wave PP and by Gonnelli *et al.*Gonnelli:1  with a fit to a d+idxy PP.

Here we report on Andreev reflection spectroscopy measurements using a point contact between a normal metal (Au) and $`Y_{1x}Ca_xBa_2Cu_3O_{7\delta }`$ thin films. By fitting our data to the theory of Tanaka and KashiwyaKashiwaya:1995 , we are able to find the symmetry of the PP at different barrier transparencies. Our results are best fitted to the model using a PP having the *d*+is symmetry. The amplitude of the $`is`$ component is large at low Z ($`Z<0.5`$), where it reaches 80% of the *d* amplitude, and small at large Z. This dependence on the barrier transparency implies that the large value of the $`is`$ component seen at low Z values is the result of an unusual proximity effect, which modifies the PP in the HTS near the interface with a normal metal. Our results are consistent with the small imaginary component observed by STM (as a low transparency contact) as reported by Sharoni et al.Sharoni:2002

In this study we have used $`Y_{1x}Ca_xBa_2Cu_3O_{7\delta }`$ sputtered thin films, with x=0,0.05,0.1 and 0.2. The growth procedure of these films were described in ref. Dagan:2000 ; Sharoni:2003 . The critical temperature of the films was determined by measuring the resistance versus temperature. X-ray diffraction was used to determine the global film orientation (table 1). Sharoni *et al.*Sharoni:2002 , using STM topographic scans have shown that (110) films grown under the same conditions as those we have used, expose (100) facets. SEM and AFM pictures of the Ca doped (001) films show a-axis grains on the surface of the film. Thus, in all three film orientations (100), (110) and (001), (100) facets are exposed at the film surface. Ozawa *et al.*Ozawa:1997  have studied the electronic properties of the surfaces of (110) oriented YBCO films. They have found that the degradation time of (110) facets is significantly smaller than that of (100) facets. We therefore expect that in our films the chances of obtaining a good metallic contact with a (100) facet are considerably higher in comparison to a (110) facet. Our contacts were formed using a mechanically cut Au tip mounted on a differential screw. All measurements were taken at a temperature of 4.2K.

We have analyzed the measured conductance spectra by fitting them to theoretical curves calculated using the formulas developed by TanakaKashiwaya:1995 . The procedure requires selection of the PP symmetry. We have tried the following possibilities: *d*, $`\text{d}+is`$, $`\text{d}+id_{xy}`$ and $`\text{d}+s`$. Within the selected symmetry the fitting algorithm has the following adjustable parameters : the amplitudes of the PP components, the barrier strength Z, the orientation of the surface in contact with the normal metal ((100), (110) etc.) and the contact’s degree of directionality, namely the width of the tunnelling cone. The latter is dependent upon the barrier strength, Z. Following Wei *et al.*Wei:1998 , in a high Z, tunnelling contact, we would expect the width of the cone to be around $`20^o`$ while for a clean N/S contact we expect a value of almost $`90^o`$. Therefore in calculating the theoretical fitting curves, for our clean N/S contacts, we have used a $`90^o`$ cone. The temperature for all calculated curves was set to 4.2K in accordance with the experimentally measured value. A life-time broadening parameter (DynesDynes:1978 ) $`\mathrm{\Gamma }`$ was used to account for any smearing beyond the thermal one. We have found all our results to be best fitted using a $`\text{d}+is`$ symmetry and (100) orientation, adjusting only the values of $`\mathrm{\Delta }_d,\mathrm{\Delta }_s,Z`$ and $`\mathrm{\Gamma }`$(see table 1). Some of the curves can be fitted also using a $`\text{d}+id_{xy}`$ symmetry PP, however this requires using a narrow tunnelling cone in the fit, which is unreasonable for a metallic, low barrier, contact. As for the $`\text{d}+s`$ PP symmetry, it requires using $`\mathrm{\Delta }_s>\mathrm{\Delta }_d`$, thus, we find it less probable, as it fails to explain experimental data obtained for high Z contactsSharoni:2002 ; Dagan:2001  and would suggest that the s-wave channel is stronger than the d-wave one, which is in conflict with the findings of most experimental data Tsuei:2001 .

In Fig. 2 we show three examples of our measured conductance data and the best fit curve for each of them. They are ordered by increasing contact’s transparency, as determined by the Z value obtained from the best fit. The absence of a ZBCP suggests that for a *d* PP the data could be fitted only assuming a (100) oriented contact. Fig. 2a shows a maxima in the normalized conductance with a value of around 1.3 which one would expect could be fitted using the *d* symmetry.(see Fig. 1a). Indeed, the best fit parameters are given by Z=0.68, $`\mathrm{\Delta }=18.6meV\mathrm{cos}(2\theta )+i0.8meV`$,$`\mathrm{\Gamma }=2.7meV`$ and (100) orientation. In this case the additional $`is`$ component needed to fit the data is very small and considering the smearing factor $`\mathrm{\Gamma }=2.7meV`$ could very well be even zero. Fig. 2b shows two distinct features (marked by arrows in the figure), first a maxima at around $`\pm `$7.4 mV, and second a distinct change of slope at around $`\pm `$18 mV. It is impossible to reproduce this behavior for the case of a pure *d* PP, as it has only a single energy scale, but we can correlate these experimental features to the values of $`\mathrm{\Delta }_s`$ and $`|\mathrm{\Delta }|\sqrt{(\mathrm{\Delta }_d)^2+(\mathrm{\Delta }_s)^2}`$ respectively in the case of a $`\text{d}+is`$ PP (see Fig. 1b). For this contact, we find $`Z=0.49`$, and the amplitude of the $`is`$ component is enhanced. The other fit parameters are given by $`\mathrm{\Delta }=17.1meV\mathrm{cos}(2\theta )+i7.2meV`$,$`\mathrm{\Gamma }=1.8meV`$, and (100) orientation, giving $`\frac{\mathrm{\Delta }_s}{\mathrm{\Delta }_d}0.4`$. Fig. 2c shows the conductance curve measured on our highest transparency contact, $`Z=0.34`$. The amplitude of the maxima in the normalized conductance is around 1.7. Comparing to Fig. 1a, it obviously can not be fitted using the pure *d* PP (a peak amplitude of 1.7 can be reached using $`Z3`$ but then the zero bias conductance would be lower than the high bias one). Using the $`\text{d}+is`$ PP we can reproduce the higher peak amplitude without lowering the zero bias value (see Fig. 1b). We obtain a best fit using $`\mathrm{\Delta }=20.1meV\mathrm{cos}(2\theta )+i16.3meV`$, $`\mathrm{\Gamma }=0.9meV`$, and (100) orientation. As can be judged from Fig. 1b the main effects of adding an *is* component are to increase the split between the conductance peaks and to enhance the maximum conductance. This trend is apparent in Fig. 2a trough Fig. 2c.

In Fig. 3 we have plotted $`\frac{\mathrm{\Delta }_s}{|\mathrm{\Delta }|}`$ and $`\frac{\mathrm{\Delta }_d}{|\mathrm{\Delta }|}`$ as a function of Z. As the samples have different critical temperatures we can expect variations in the values of $`\mathrm{\Delta }_d`$ and $`\mathrm{\Delta }_s`$ even for a constant value of Z. To eliminate these changes we have normalized the two PP components, $`\mathrm{\Delta }_d`$ and $`\mathrm{\Delta }_s`$, by dividing them by $`|\mathrm{\Delta }|`$. The relative amplitude of the is component increases from values as low as 0-10% for Z around 0.7 up to values of around 60% for Z around 0.3. At the same time the relative amplitude of the d-wave component decreases. There is no obvious correlation with the level of Ca doping or with $`T_c`$. The slope of $`\frac{\mathrm{\Delta }_s}{|\mathrm{\Delta }|}`$ as a function of Z is maximum at $`Z0.5`$. At low Z, the two normalized PP components appear to converge towards a value close to $`\frac{1}{\sqrt{2}}`$, i.e. $`\mathrm{\Delta }_s\mathrm{\Delta }_d`$. We thus see a change from a PP which is an almost pure d-wave for the high Z contacts to a PP with almost equal amplitudes of the two components in the low Z regime, the crossover between the two regimes occurring around $`Z=0.5`$. In Fig. 4 we have plotted $`|\mathrm{\Delta }|`$ as a function of $`Tc_{downset}`$. The data is consistent with $`2|\mathrm{\Delta }|=\eta K_BT_c`$, where $`\eta =6.0\pm 0.4`$. The fact that there is some scattering in the data is to be expected as the films are never completely homogeneous. One must remember that $`|\mathrm{\Delta }|`$ represents a local property of the film (at the contact), whereas Tc measures a global property.

We have shown that our data corresponds to a *d*+is symmetry PP, with the value of the imaginary component being a decreasing function of Z. A development of a subdominant imaginary PP (SIPP) near the surface of a d-wave SC was predicted theoretically by Tanuma *et al.*Tanuma:2001  who preformed a self consistent calculation of the spatial dependence of the PP. They did not predict any change in the PP symmetry for a (100) contact. For the case of a (110) contact in which the predicted SIPP is maximal, the lower is the contact’s transparency, the stronger is the reduction of the d-wave amplitude and the higher is the SIPP amplitude, i.e. the SIPP amplitude is predicted to be a decreasing function of the contact’s transparency. This is inconsistent with our experimental findings. However, Tanuma *et al.* did not take into account the possibility that an induced pairing amplitude can appear in the N side, i.e. a proximity effect, and the related effect this may have on the PP in the SC in the vicinity of the interface. The proximity effect between a HTS and a normal metal was studied by Y. OhashiOhashi:1996  who predicted that a s-wave symmetry pairing amplitude is induced in N by the *d* SC. According to his prediction this should lead to a reduction of the *d* amplitude towards the N/S interface on the superconducting side. This effect is maximized for a contact with the (100) face of a *d* SC and is enhanced in high transparency contacts.

We believe that our findings can be explained as a result of a proximity effect by making the following change in the proposal of Y.Ohashi. Indeed when a normal metal is in contact with a (100) boundary of a d-wave SC there appears a s-wave symmetry pairing amplitude in the normal metal and a decrease of the d-wave amplitude in the HTS near the boundary. But in order to reduce the loss of condensation energy on the S side, we suggest that a is SIPP develops in the d-wave SC, in the vicinity of the barrier, in a way similar to that predicted by Tanuma *et al.*Tanuma:2001  for a (110) oriented contact. Considering our experimental findings, we conclude that YCaBaCuO has a subdominant s-wave pairing channel, otherwise the appearance of the is PP would have been energetically quite unfavorable. This subdominant channel exists for a broad range of Ca doping. Comparing our results to those of Gonnelli *et al.*Gonnelli:1 , obtained on LaSrCuO, we find that though the symmetry used by Gonnelli *et al.* is a different one (*d*+idxy compared to the $`\text{d}+is`$) both experiments indicate that an imaginary component is added to the *d* PP. All of the spectra reported by Gonnelli *et al.* are for high transparency contacts ($`Z<0.5`$) therefore no Z dependence of the two components can be inferred from their results. However the ratio of $`\frac{\mathrm{\Delta }_{d_{xy}}}{\sqrt{(\mathrm{\Delta }_{d_{xy}})^2+(\mathrm{\Delta }_{d_{x^2y^2}})^2}}0.6`$ that they find for doping values around the optimum level is not too far from the one we report here for the same doping levels in YCaBaCuO. It is important to point out that though we conclude that the large is component that we have measured for highly transparent contacts is a result of an unusual proximity effect, we do not suggest that this is the only scenario leading to the appearance of a SIPP in HTS. Various groups have measured a split in the ZBCP, explained by an appearance of a SIPP, in both planarKrupke:1997 ; Covington:1997  and STM Sharoni:2002  tunnelling junctions with (110) orientation, where the low transparency suggests that the mechanism leading to the appearance of the SIPP is unrelated to a proximity effect. A SIPP was also found by Farber and DeutscherFarber:1  from measurements of the temperature dependence of the penetration depth in Ca over-doped YBCO samples, where no normal metal is involved.

###### Acknowledgements.

This work was supported in part by the Heinrich Hertz-Minerva Center for High Temperature Superconductivity, the Israel Science Foundation and by the Oren Family chair of Experimental Solid State Physics. The authors thank Roy Beck for implementing the computer algorithm used to fit the data and fruitful discussions.


text:
# 𝑇-violation tests for relativity principles

## 1 Introduction

The phenomenon of flavour oscillations follows from non-degenerate neutrino states and mixing. The “standard” mechanism stipulates that the degeneracy be broken by means of small neutrino masses. An alternative scenario that does not require neutrino masses is provided by a violation of the equivalence principle (VEP) in the neutrino sector .

Phenomenologically, the standard and the VEP mechanisms differ in their energy dependences. In the two-flavour case, a formal transformation from the former to the latter scenario is accomplished by replacing in the oscillation probability $`\delta m^2/2E2E|\varphi |\delta \gamma `$, where $`\delta \gamma \gamma _2\gamma _1`$ is the difference in the neutrino–gravity couplings, and $`\varphi `$ is the gravitational potential. Note that a violation of Lorentz invariance also contributes to lifting the neutrino degeneracy . This scenario, however, has the same phenomenology as VEP .

The purpose of this work is not to promote VEP as a solution to the solar, atmospheric, and LSND neutrino puzzles—this has been shown by many to be futile (see  for a review), and the VEP breaking scale is severely constrained by null oscillation experiments, $`|\varphi |\delta \gamma <10^{22}`$ . Rather, we examine the possibility of further constraining $`|\varphi |\delta \gamma `$ with a new generation of experiments, namely, the measurement of the $`T`$-asymmetry $`\mathrm{\Delta }P_TP(\nu _\alpha \nu _\beta )P(\nu _\beta \nu _\alpha )`$ at a neutrino factory.

## 2 $`T`$-violation

Consider three-flavour oscillations governed by the Hamiltonian (in flavour basis)

$$\stackrel{~}{H}=\frac{1}{2E}U_MMU_M^{}+2EU_GGU_G^{}+VH^M+H^G+V,$$
(1)
where $`M=\mathrm{Diag}(\delta m_{}^2,0,\delta m_{}^2)`$ is the mass term, $`G=|\varphi |\times \mathrm{Diag}(\gamma _1,\gamma _2,\gamma _3)`$ comes from VEP, $`V=\sqrt{2}G_FN_e\times \mathrm{Diag}(1,0,0)`$ represents matter effects, $`U_M`$ is the MNS matrix with three angles and a $`CP`$ phase $`\delta `$, and $`U_G`$ describes mixing in the VEP sector. We assume the solar and atmospheric neutrino anomalies to be completely explained by the square mass differences $`\delta m_{}^2`$ and $`\delta m_{}^2`$, together with the angles $`\theta _{}`$ and $`\theta _{}`$ in $`U_M`$.

The asymmetry between the $`T`$-conjugate oscillation probabilities is given by

$$\mathrm{\Delta }\stackrel{~}{P}_T=16\stackrel{~}{J}\mathrm{sin}\frac{\stackrel{~}{\mathrm{\Delta }}_{12}L}{2}\mathrm{sin}\frac{\stackrel{~}{\mathrm{\Delta }}_{23}L}{2}\mathrm{sin}\frac{\stackrel{~}{\mathrm{\Delta }}_{31}L}{2},$$
(2)
with $`\stackrel{~}{\mathrm{\Delta }}_{ij}=\stackrel{~}{\lambda }_i\stackrel{~}{\lambda }_j`$, where $`\stackrel{~}{\lambda }_{1,2,3}`$ are the eigenvalues of $`\stackrel{~}{H}`$, and $`\stackrel{~}{J}`$ is the effective Jarlskog factor. We wish to compare $`\mathrm{\Delta }\stackrel{~}{P}_T`$ with the intrinsic $`T`$-asymmetry $`\mathrm{\Delta }P_T`$ due to $`\delta `$. Using the identity $`\mathrm{\Delta }_{12}\mathrm{\Delta }_{23}\mathrm{\Delta }_{31}J=\mathrm{Im}(H_{e\mu }H_{\mu \tau }H_{\tau e})`$ , and by restricting the neutrino energy and the experimental baseline to $`𝒪(10)𝒪(30)\mathrm{GeV}`$ and $`𝒪(3000)𝒪(6000)\mathrm{km}`$ respectively, we find the ratio $`\mathrm{\Delta }\stackrel{~}{P}_T/\mathrm{\Delta }P_T`$ to be well approximated by

$$\frac{\mathrm{\Delta }\stackrel{~}{P}_T}{\mathrm{\Delta }P_T}\frac{\mathrm{Im}(\stackrel{~}{H}_{e\mu }\stackrel{~}{H}_{\mu \tau }\stackrel{~}{H}_{\tau e})}{\mathrm{Im}(H_{e\mu }H_{\mu \tau }H_{\tau e})},$$
(3)
where $`HH^M+V`$ is the Hamiltonian (1) without VEP contribution, assuming that $`|\varphi |\delta \gamma `$ satisfies the condition $`2E|\varphi \delta \gamma |<|\delta m_{}^2|/2E`$.

## 3 An example

The exact consequence of VEP on the $`T`$-asymmetry depends on the nature of $`H^G`$. We provide here the simplest example of pure $`\nu _e\nu _\tau `$ mixing in the VEP sector, with VEP breaking scale $`|\varphi |\delta \gamma `$ and mixing angle $`\phi `$. Equation (3) can now be written as

$$\frac{\mathrm{\Delta }\stackrel{~}{P}_T}{\mathrm{\Delta }P_T}1\frac{4E^2}{\delta m_{}^2}\frac{\mathrm{sin}2\theta _{}}{\mathrm{sin}2\theta _{}}|\varphi |\delta \gamma \mathrm{sin}2\phi .$$
(4)
Using the best fit values $`\delta m_{}^25\times 10^5\mathrm{eV}^2`$, $`\mathrm{sin}2\theta _{}0.8`$, and $`\mathrm{sin}2\theta _{}1`$, we see that at $`E=13\mathrm{GeV}`$, the VEP parameters $`|\varphi |\delta \gamma \mathrm{sin}2\phi =\pm 10^{25}`$ can offset the $`T`$-asymmetry by $`100\%`$, i.e., $`\mathrm{\Delta }P_T`$ is enhanced or suppressed depending on the sign of $`|\varphi |\delta \gamma \mathrm{sin}2\phi `$. Furthermore, if the offset exceeds $`100\%`$—because of a large VEP breaking scale and/or a high neutrino energy, $`\mathrm{\Delta }P_T`$ flips sign.

## 4 Conclusion

Extra neutrino mixing from VEP can enhance, suppress, and/or flip the sign of the intrinsic asymmetry between two $`T`$-conjugate oscillation processes, depending on the VEP breaking scale and the neutrino energy. Thus $`T`$-violation experiments run at two or more energies will allow us to either establish, or further constrain VEP and improve present bounds on $`|\varphi |\delta \gamma `$ by at least two orders of magnitude.

## References