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# A limit-cycle solver for nonautonomous dynamical systems

## 1 Introduction

Dynamical systems can be given by a set of ordinary differential equations and some initial conditions. Such problems are usually solved by conventional procedures such as Runge-Kutta methods, multistep methods or general linear methods (see for example ). For instance, shooting methods , extrapolation methods  and Newton methods based on the Poincare map  has been applied to accelerate the convergence of the solution to the periodic steady-state of electric systems. Since some of these implementations requires a considerable computational effort, an alternative and more simple technique may be desired.
In a sequel of papers (see  and references therein), a Galerkin-collocation-type method for solving differential boundary value problems has been developed. In some restricted cases this technique yields exact results, i.e., the numerical output can be interpolated to obtain the functions that solve exactly the problem, and therefore it have been used to implement a numerical scheme to solve dynamical systems that consists basically in the substitution of the derivatives appearing in the differential equations by finite-dimensional matrices whose entries depend on certain set of points in a simple form. In some cases, the nodes have to be chosen according to some criterion in order to accelerate the convergence to the solution. The differentiation matrices used in this technique arise naturally in the context of the interpolation of functions.
The aim of this paper is to present a novel method to obtain numerical approximants to the steady-state solutions of nonautonomous systems, based on the use of the differentiation matrix for periodic functions given in .
The main idea of the method is established in Sec. 2 and two examples are given in Sec. 3.

## 2 Discrete formalism

In this section we only present the main results of our discretization scheme for periodic functions; proofs and further applications can be found in . Let $`D`$ be the $`N\times N`$ matrix whose components are given by

$$D_{jk}=\{\begin{array}{cc}\underset{l=1}{\overset{N}{\stackrel{}{}}}\frac{1}{2}\mathrm{cot}\frac{t_jt_l}{2},\hfill & j=k\text{,}\hfill \\ \multicolumn{2}{c}{}\\ \frac{\tau _j}{2\tau _k}\mathrm{csc}\frac{t_jt_k}{2},\hfill & jk\text{,}\hfill \end{array}$$

where $`\pi <t_1<t_2<\mathrm{}<t_N\pi `$ and

$$\tau _j=\frac{d}{dt}\left[\underset{l=1}{\overset{N}{}}\mathrm{sin}\frac{tt_l}{2}\right]_{t_j}.$$

Let $`x(t)`$ be a trigonometric polynomial of degree at most $`n`$ and $`x`$ and $`x^{}`$ denote the $`N\times 1`$ vectors whose elements are $`x(t_j)`$ and $`x^{}(t_j)`$, i.e., the values of the polynomial and its derivative at the nodes respectively. Then, the matrix $`D`$ applied to $`x`$ becomes equal to $`x^{}`$ whenever $`N=2n+1`$. Since the derivative of a trigonometric polynomial is again a trigonometric polynomial of the same degree, we have that

$$x^{(k)}=D^kx,k=0,1,2,\mathrm{},$$
(1)
where $`x^{(k)}`$ is the vector whose elements are given by the $`k`$th derivative of $`x(t)`$ evaluated at the nodes.
The differentiation matrix $`D`$ takes the simple form

$$D_{jk}=\{\begin{array}{cc}0,\hfill & j=k\text{,}\hfill \\ \multicolumn{2}{c}{}\\ \frac{(1)^{j+k}}{2\mathrm{sin}\frac{\pi }{N}(jk)},\hfill & jk\text{,}\hfill \end{array}$$
(2)
if the nodes are chosen to be the $`N`$ equidistant points111The same result is obtained for the set of points $`t_j=\pi (2jN1)/N`$.

$$t_j=\pi +\frac{2\pi j}{N},j=1,2,\mathrm{},N.$$
(3)
If the periodic function $`x(t)`$ is not a polynomial, a residual vector depending on $`x(t)`$, $`k`$ and $`N`$ must be added to the right-hand side of (1). However, it is expected that the norm of such a vector approaches zero as the number of nodes is increased since $`x(t)`$ can be expanded in a Fourier series. Therefore, if $`N`$ is great enough, the residual vector can be ignored and the function $`x^{(k)}(t)`$ can be approximated by an interpolation of the elements of $`D^kx`$.
Let us consider now a nonautonomous system of $`m`$ components described by

$$\dot{x}=f(x,\omega t),$$
(4)
where $`x`$ is the vector of components $`x_1(t),x_2(t),\mathrm{},x_m(t)`$ and $`f`$ is a nonlinear vector function of $`m+1`$ variables, periodic in $`t`$, with period $`T=2\pi /\omega `$. A very important problem is to find the response of the system in the steady-state regime. Taking into account the periodicity of this response, we can use the differentiation matrix (2) to obtain approximants to the steady-state solution of (4) according to the following scheme.
First of all, we need to change $`\omega tt`$ in (4) in order to change the period of $`f`$ to $`2\pi `$. Thus, (4) becomes

$$\omega \dot{x}=f(x,t),$$
(5)
Let us take an odd number $`N`$ of points $`t_j`$ as given by (3) and evaluate (5) at each node to form an equality between $`Nm\times 1`$ vectors in such a way that the first $`N`$ entries of the left-hand side are the components of the vector $`\dot{x}_1`$, i.e., $`\dot{x}_1(t_1),\dot{x}_1(t_2),\mathrm{},\dot{x}_1(t_N)`$; the following $`N`$ entries are the components of $`\dot{x}_2`$, i.e., $`\dot{x}_2(t_1),\dot{x}_2(t_2),\mathrm{},\dot{x}_2(t_N)`$, and so on. Now we can approximate the vectors blocks $`\dot{x}_k`$ by $`Dx_k`$ to obtain the discrete form of (5), which can be written as

$$\omega \underset{l=1}{\overset{N}{}}D_{jl}x_k(t_l)=f_k(x_1(t_j),x_2,(t_j)\mathrm{},x_m(t_j),t_j),j=1,2,\mathrm{},N,$$
(6)
where $`k=1,2,\mathrm{},m`$, or in the more compact form

$$\omega \text{D}\text{X}=\text{F},$$
(7)
where F denotes the $`Nm\times 1`$ vector whose elements are given by the right-hand side of (6) first running $`j`$ and then $`k`$, X is the vector whose elements are given by $`x_k(t_j)`$ (the unknown solution) ordered in a similar way and $`\text{D}=1_mD`$, where $`1_m`$ is the identity matrix of dimension $`m`$.
The points on which our method is based are the following:

1. If (4) has a limit cycle, then the solution of (7) is an approximation of the steady-state solution of (4).
2. Since (7) \[or equivalently (6)\] is a system of $`Nm`$ nonlinear equations with $`Nm`$ unknowns $`x_k(t_j)`$, its solution can be obtained by using a standard procedure (Newton’s method for instance).

This shows that a nonautonomous system in the steady-state regime can be described approximately by a system of nonlinear algebraic equations. The procedure sketched in these statements is not concerned at all with the initial conditions of the system and yields simultaneously all the values of $`x_k(t_j)`$ (at all times). Thus, this method is quite different in essence to those designed as initial-value-problem solvers.
To obtain the solution of (6) we can use the Newton method or some variation of it. However, as it is well-known, not always is easy to give a good initial approximation to attain convergence. A good issue is to make a few Runge-Kutta integrations of the system to yield an initial approximation $`\text{X}_0`$. Since this procedure is time-consuming, a more simple way to find $`\text{X}_0`$ should be tried, but it will depend on the problem to solve.
Due to the nature of our method to approximate the steady-state solution of (5), an algorithm for this technique will consist necessarily in the algorithm selected to solve the set of nonlinear equations.
In the following section we put this method at work on two important nonautonomous dynamical systems.

## 3 Test cases

We have chosen a chaotic mechanical system and a electric circuit of actual use as test cases. To find their steady-state solutions, we rewrite the equations describing the dynamics of these problems in the discretized form (7) and use a FORTRAN90 program and standard libraries running on a personal computer to solve them.

### 3.1 Test case 1: the driven pendulum

In spite that the classical pendulum is a very old problem, interest on it is still growing. The pendulum becomes a chaotic system when it is driven at the pivot point. Let us consider a rigid and planar pendulum consisting in a mass attached to a light rod of length $`l`$ which is vertically driven by a sinusoidal force of the form $`A\mathrm{cos}\omega t`$ and damped by a linear viscous force with damping $`\mu `$ as in . If $`\theta `$ denotes the angular displacement of the pendulum measured from the vertically downward position, the equation of motion is

$$\frac{d^2\theta }{dt^2}+a\frac{d\theta }{dt}+(1+b\mathrm{cos}\omega t)\mathrm{sin}\theta =0,$$
(8)
where

$$a=\frac{2\mu }{\sqrt{lg}},b=\frac{A\omega ^2}{l}.$$

To compare the steady-state solutions yielded by our procedure with those obtained by other authors we take $`0b200`$ (the driving amplitude) as the control parameter, $`a=0.1`$ and $`\omega =17.5`$. For values of $`b`$ near zero, a good initial guess is a vector $`\text{X}_0`$ whose entries are close to $`\pi `$. To catch more solutions for a given value of $`b`$, one can try a vector with a sinusoidal deviation from $`\pi `$. Once we have found a solution $`\text{X}(p)`$, we proceed to obtain $`\text{X}(p+\delta p)`$ by using $`\text{X}_0=\text{X}(p)`$. We have taken $`N=101`$ nodes of the form (3) in this case.
As it is known, this system presents period-doubling and bifurcation. Figure 1 displays these phenomena for solutions of (8) close to the inverted state $`\theta =\pi `$. To make the drawing more simple, we only plot the maximum and minimum values of the angular displacement $`\theta (t)`$ as functions of the control parameter $`b`$. Other solutions, as the hanging state, are not considered here.
The displayed information is in line with the findings of other authors (see for example ), but in our case the problem of stability of the solution is not revised. In Fig. 1, $`\theta _1`$ is the solution corresponding to the inverted state, $`\theta _2`$ and $`\theta _3`$ correspond in essence to the same period-1 solution (one can get the second from the first through a reflection on the axis $`\theta =\pi `$) and $`\theta _4`$ and $`\theta _5`$ are period-2 solutions oscillating both of them about the vertical. The asymmetrical way in which $`\theta _5`$ oscillates is illustrated in Fig. 2.

Figure 1: Maximum and minimum values of the angular displacement $`\theta `$ of the vertically driven pendulum (8) vs. the driven amplitude $`b`$ for $`a=0.1`$ and $`\omega =17.5`$. For any value of $`b`$, the solution $`\theta _1=\pi `$ (the inverted pendulum) always was found. The curves labeled by $`\theta _k`$, $`k=2,\mathrm{},5`$ correspond to different solutions.

Figure 2: Phase-space diagram of the period-2 ”mariachi” solution $`\theta _4`$ for $`a=0.1`$, $`\omega =17.5`$ and $`b=181`$.

### 3.2 Test case 2: a commutation circuit

The actual interest in circuits as the one depicted in Fig. 3, relies on the extended use of them in modern power supplies. Usually a primary DC power supply (a battery or the rectified and filtered 60 Hz main line) is commutated at high frequencies (tens of KHz to MHz) in order to obtain a pulse waveform, which can be coupled to the load in some way to obtain a predetermined load voltage. On the circuit shown in Fig. 3, $`V_s`$ is a simplified model of a transformer secondary, which is followed by a rectifier-filter circuit and a resistive load ($`R_4`$). $`R_1`$ stands for the series resistance of the diode and $`R_2`$ and $`R_3`$ model the equivalent series resistance of $`C_1`$ and $`C_2`$ respectively. $`R_2`$ and $`R_3`$ are important parameters because they increase ripple voltages and circuit losses.

Figure 3: A typical commutation circuit.

The equations for the state variables $`V_1=x_1`$, $`V_2=x_2`$ and $`i_L=x_3`$ can be simplified to the form

$`\dot{x_1}`$ $`=`$ $`{\displaystyle \frac{1}{C_1R_2}}\left[V_sx_1V_di_sR_1\left(\mathrm{exp}({\displaystyle \frac{V_dq}{\eta kT}})1\right)\right],`$
$`\dot{x_2}`$ $`=`$ $`{\displaystyle \frac{1}{C_2(R_3+R_4)}}\left(x_2+R_4x_3\right),`$ (9)
$`\dot{x_3}`$ $`=`$ $`{\displaystyle \frac{1}{L}}\left[V_s{\displaystyle \frac{R_4}{(R_3+R_4)}}x_2{\displaystyle \frac{R_3R_4}{(R_3+R_4)}}x_3V_di_sR_1\left(\mathrm{exp}({\displaystyle \frac{V_dq}{\eta kT}})1\right)\right].`$
where

$$V_d=V_sC_1(R_1+R_2)\dot{x_1}x_1R_1x_3,$$

$`k`$ is the Boltzmann constant, $`q`$ is the electron charge, $`T`$ the absolute temperature which is taken at the standard value $`T=300^{}K`$ and $`\eta `$ is the emission coefficient. The driving voltage is chosen as a square wave pulse, i.e., $`V_s(t)=A_m\text{sgn}(2\pi t/T)`$, $`t[T/2,T/2]`$, and the remaining parameters of this problem are taken at typical values: $`A_m=5.6\text{V}`$, $`T=10^5\text{s}`$, $`i_s=10^8\text{A}`$, $`R_1=0.0149\mathrm{\Omega }`$, $`R_2=0.15\mathrm{\Omega }`$, $`R_3=0.2\mathrm{\Omega }`$, $`R_4=2.0\mathrm{\Omega }`$, $`C_1=470.0\times 10^6\text{F}`$, $`C_2=20.0\times 10^6\text{F}`$, $`L=20.0\times 10^6\text{H}`$, $`\eta =0.8953`$.
In order to have results to compare with, we simulated the circuit using a LT version of the Spice program which is currently available for free from Linear Technology, a major semiconductor devices manufacturer. Spice  is a standard tool used for electric circuits simulation. Such a program compute the steady-state response in a sequential way and therefore, through a number of periods of the excitation. For this circuit, the response of the system was computed by the Spice simulation over 150 cycles to achieve the steady-state. A maximum step size of $`0.04\mu \text{s}`$ was specified. In our case, we use 251 equispaced time values $`t_j`$ of the form (3) (yielding a constant step size approximately equal to $`0.04\mu \text{s}`$) and all of the steady-state response values were computed at once. Since Spice uses an adaptive strategy for the step size, it is not possible to compare both of the results in a point-by-point basis. However, it comes out that they agree globally up to $`10^2`$.
The output yielded by the present method and the Spice simulation for the more used variables $`i_d=x_3+C_1\dot{x_1}`$ and $`V_0=C_2R_3\dot{x_2}+x_2`$, is displayed in Figs. (4a) and (4b), respectively.

Figure 4: Steady-state solution for the diode current $`i_d=x_3+C_1\dot{x_1}`$ and the voltage $`V_0=C_2R_3\dot{x_2}+x_2`$ along two periods obtained by the present method with $`N=251`$ nodes (4a) and by a Spice simulation (4b). The left-hand side and right-hand side vertical axes are used for different scales.

## 4 Final remarks

As the simple tests of the previous section show, the method presented in this paper gives a novel approach to obtain the limit cycles of nonautonomous systems and represents an alternative to the conventional methods of integration. Based on a well-behaved differentiation matrix for periodic functions, it departs from the standard procedures in the way in which the limit cycle is found: the usual integration of the system for long times is replaced by the problem of finding the solution of a set of nonlinear algebraic equations. This feature makes this method a tool for studying dynamical systems from a new point of view.

## 5 Acknowledgments

RGC wants to thank Dr. A. Medina and N. García for very useful discussions and suggestions.


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# Finite-size effects of a left-handed material slab on the image quality

## Abstract

The characteristics of an imaging system formed by a left-handed material (LHM) slab of finite length are studied, and the influence of the finite length of the slab on the image quality is analyzed. Unusual phenomena such as surface bright spots and negative energy stream at the image side are observed and explained as the cavity effects of surface plasmons excited by the evanescent components of the incident field. For a thin LHM slab, the cavity effects are found rather sensitive to the length of the slab, and the bright spots on the bottom surface of the slab may stretch to the image plane and degrade the image quality.
Keywords: left-handed material, finite size, surface plasmon, cavity

Recently, a new type of composite material (also called left-handed material (LHM) since the electric field, the magnetic field and the wave vector of an electromagnetic plane wave propagating in such a material obey the left-hand rule) which exhibits simultaneously negative effective permittivity and permeability over a certain frequency band has attracted a great attention Veselago ; Shelby ; Pendry ; PRLPapers . The extraordinary electromagnetic properties of LHM include reverse Doppler shift, backward-directed Cherenkov radiation cone and inverse Snell effect, which were first analyzed theoretically by Veselago Veselago .

It has been noticed recently that an infinitely-extended LHM slab can focus not only the propagating waves from the object, but also the evanescent waves corresponding to the sub-wavelength structure of the object. Therefore, theoretically such a LHM slab can reconstruct the original object and achieve a perfect resolution under an ideal case (i.e., the so-called perfect lens) Pendry . While the inherent material loss will greatly suppress the amplification of evanescent waves and make the perfect image impossible Garcia , subwavelength imaging is still achievable for a thin LHM slab SmithAPL . However, in a realistic imaging system the length of the LHM slab must also be finite, particularly for applications such as micro-detectors and micro-imaging devices where the device size is required to be as small as possible. In this letter, we study the effects of the finite size of the LHM slab to the imaging quality. A finite-difference time-domain (FDTD) method Taflove  is used in the numerical simulation.

The two-dimensional (2D) imaging system we consider here is a planar LHM slab (surrounded by vacuum) with a finite length of $`L`$ and a thickness of $`d`$. The slab is located in the region of $`(L/2<x<L/2,0<z<d)`$, and a point source located at ($`x=0,z=u`$) is used to generate the object for the imaging system (see the inset of Fig. 1(a)). Here we consider only the E-polarization where $`𝐄`$ is directed in the $`y`$ direction. For matched material parameters and $`u<d`$, the field will be focused at $`z=u`$ inside the slab and $`z=2du`$ outside the slab Pendry . Here for simplicity we set $`u=0.5d`$ in all our imaging simulation. To avoid the field singularity of the point source, the $`object`$ plane is selected to be slightly ($`0.05\lambda `$) below the point source, and the $`image`$ plane is shifted correspondingly. The computational domain is bounded by perfect-matched layers (PMLs) and a FDTD method of scattered-field/total-field version is adopted Taflove . To avoid the divergence (occurred when the permittivity and permeability are negative) as the time marches in the FDTD simulation, the following Drude’s dispersion model Cummer  for the permittivity and permeability of the LHM slab is used,

$`\epsilon \left(\omega \right)=\epsilon _0(1{\displaystyle \frac{\omega _{pe}^2}{\omega ^2}}),\mu \left(\omega \right)=\mu _0(1{\displaystyle \frac{\omega _{pm}^2}{\omega ^2}})`$ (1)
The permittivity and permeability will take negative values for frequencies below $`\omega _{pe}`$ and $`\omega _{pm}`$, respectively. Here we assume $`\omega _{pe}=\omega _{pm}`$ and the material parameters are matched (i.e., $`\epsilon \left(\omega _0\right)/\epsilon _0=\mu \left(\omega _0\right)/\mu _0=1`$; as assumed for a perfect lens) at frequency $`\omega _0=\omega _{pe}/\sqrt{2}`$. To minimize the frequency extension, the time-dependence of the point source is set as $`exp(i\omega _0t)f(t)`$, where $`f(t)`$ is a step function that reaches $`1`$ smoothly in a time duration of $`30T_0`$ (here the period $`T_0=2\pi /\omega _0`$). The grid size of the discretization is $`0.01\lambda `$. After enough time steps, the field evolution becomes stable and the stable field is taken as the field at frequency $`\omega _0`$ (the accuracy has been verified by taking the Fourier transform of the time sequence of the field to extract the field at frequency $`\omega _0`$ and thus the dispersion effect is negligible for our monochromatic incidence).

Unusual Phenomena: Interesting phenomena can be observed clearly from Fig. 1(a) for the distributions of the normalized field intensity and $`z`$ component of the energy stream ($`S_z`$) on the image plane. Here we choose $`L=8\lambda `$ and $`d=0.2\lambda `$. Unlike the ideal imaging for an infinitely-extended LHM slab, next to the central peak (the desired image) the image for a LHM slab of finite length has additional peaks with considerable magnitudes (even exceeding the magnitude of the central peak in some cases). More surprisingly, near the central peak the energy stream $`S_z`$ has large negative values (reaching about $`20\%`$ after normalization for this example). The negative $`S_z`$ on the image plane seems counter-intuitive since there is no scatterer below the slab and the normal energy stream there $`should`$ simply flow downward (i.e., positive $`S_z`$) from the slab. The corresponding 2D distribution of the field intensity is shown in Fig. 1(b). Clearly one sees many bright spots (nearly equi-distanced) distributed along each surface of the LHM slab. Although the field decreases exponentially away from these surface spots, they still stretch to the image plane due to their large magnitudes and consequently damage the image. The two additional peaks in Fig. 1(a) on the image plane are the extension of the two brightest spots centered on the bottom surface of the slab (see Fig. 1(b)). We have increased $`d`$ (up to $`3\lambda `$) and varied $`L`$ (from $`1.5\lambda `$ to $`9\lambda `$) and these unusual phenomena are still observed.

Cavity Effects: In the imaging system of infinitely extended LHM slab with matched material parameters, incident evanescent wave will experience amplification inside the slab and thus have strong intensity around the exit (i.e., bottom) interface of the slab (see e.g. Pendry ). This wave can be conceived as a localized field around this single interface and is exponentially decreasing both into the slab and below the slab. Therefore, the simple term “surface plasmon” (commonly used for a surface-localized wave in metal-related electromagnetism) is “borrowed” to describe this evanescent wave with large field amplitude near the interface. For a point source located above the slab, the field intensity on the upper or bottom surface has a simple profile with only one central peak. Neither the additional surface bright spots nor negative energy stream can be observed for such an infinitely-extended LHM slab. However, when the slab has a finite length, each excited surface plasmon can be roughly conceived as travelling along the bottom surface and encountering a side-end (i.e., the left or right boundary) of the slab. The main part of the energy should be reflected, with the remaining part running across the corner or coupling to radiation. The original and the multiply reflected waves are superimposed to form a standing wave profile. Therefore, the side-ends act as reflecting walls and the finite slab behaves like an one-dimensional cavity for the surface plasmons. This lateral cavity effect leads to the distribution of nearly equi-distanced bright spots (due to the nodal structure of the standing wave) along the exit interface of the LHM slab. Meanwhile, the energy stream $`S_z`$ along the surface of the slab has an oscillating behavior (with a period similar to that of the surface bright spots) and takes negative values at some positions, as shown in Fig. 1(c). Due to the continuity of the normal stream $`S_z`$ on the bottom surface, these negative streams extend to the image plane and cause negative values at the image side. Note that the meaning of “surface plasmon” used here differs from that of “surface polariton” (or “slab plasmon polariton”), which usually refers to the coupled surface waves on both interfaces, i.e., symmetrical or anti-symmetrical eigen modes of the slab. Such eigen modes do not exist for a LHM slab with an infinite length and matched material parameters (see e.g. Ruppin ; SmithAPL ).

Here we show that these bright spots and negative energy streams result from the resonance of surface plasmons, which are excited only by the evanescent components of the incident wave. Filters for the spatial spectrum are employed to extract the propagating or evanescent components of the incident field. The incident fields are first Fourier transformed with respect to $`x`$. A window function is applied to these spectra and the modified spectra are then transformed back to the physical space through the inverse Fourier transform. Therefore, a low-pass window function with the upper truncation $`k_x=k_0`$ will extract the propagating components of the incident field, while a high-pass window function with the lower truncation $`k_x=k_0`$ will extract the evanescent components. For graphic clarity we consider here a slab with $`L=2\lambda `$ and $`d=2u=0.2\lambda `$. Note that the length of this slab is not too short since $`k_x`$ has a large value (corresponding to a small period of oscillation in $`x`$ direction. See e.g., there are about nine nodes over the slab length of $`2\lambda `$ in Fig. 2(a) below). The 2D field intensity distributions contributed by the full spectrum, the propagating parts and the evanescent parts of the incident field are shown in Figs. 2(a-c), respectively. The field intensity contributed by the propagating components (Fig. 2(b)) is rather simple, with no reflection at the upper and bottom interfaces (as expected), since under present matched material parameters the propagating components should experience simple negative refraction at the upper and bottom interfaces, and the ends of the finite slab causes only some negligible scattering. The small side-lops are due to the limited wavenumbers for the propagating parts ($`k_x<k_0`$). However, the field intensity contributed by the evanescent components (Fig. 2(c)) has a similar distribution of surface bright spots (only slight difference in their relative magnitudes) as compared with Fig. 2(a) for the case of full spectrum. We have also compared the energy streams along the image plane for these cases. The stream $`S_z`$ has a simple profile and is non-negative everywhere when only the propagating components are included, while oscillating behavior and negative values are observed when the evanescent components are included.

We can also numerically simulate the resonant behavior of a single evanescent wave for our imaging system. The 2D distributions of the field intensity and energy stream for the case of $`L=2\lambda `$, $`d=0.2\lambda `$ and $`k_x=2k_0`$ are shown in Figs. 2(d) and 2(e), respectively. Equi-distanced bright spots along the surface with a period of $`\pi /k_x=0.25\lambda `$ are clearly seen in Fig. 2(d), while in Fig. 2(e) the energy stream $`S_z`$ exhibits an oscillating property with alternating positive and negative values along the $`x`$ direction. As $`L`$ varies, we do observe that the resonance strength (measured by the maximal field intensity $`|E|^2`$ along the bottom surface) oscillates with $`L`$ with a period around $`0.25\lambda `$ and has multiple peak values, resembling the resonant behavior of a simple one-dimensional resonator.

In addition to the lateral resonance caused by the reflection at the side-ends as analyzed above, the bright spots along the upper surface (see e.g. Fig. 2(d)) suggest a coupling mechanism between the upper and bottom surfaces through the slab ends, and can be explained here by a dynamic procedure. For a LHM slab of infinite length with matched material parameters, the amplification of a single evanescent wave should produce strong field intensity only around the bottom surface. However, for a LHM slab of finite length, along the bottom surface the amplified evanescent wave diffracts near the side-ends and the corners and couples some part of energy back into the slab. Like an additional evanescent wave incident from the other side of the slab, the diffracted wave will also experience an amplification inside the slab and lead to an enhanced field along the upper surface. Similar diffractions happen recursively around both surfaces until a stable field distribution with bright spots on both surfaces is established, introducing a cavity effect also along the $`z`$ direction. The field evolution in our FDTD simulation verifies this dynamic procedure, and under some cases (e.g. $`L=2.2\lambda `$, $`k_x=2.8k_0`$) the field strength along the upper interface is much stronger than that along the bottom interface.

Here we present some numerical analysis of the two-dimensional cavity effects (i.e. the dependence of the resonant strength on the wave-vector $`k_x`$, the length $`L`$ and the thickness $`d`$). Fig. 3(a) shows the resonant strength of different $`k_x`$ for $`d=0.2\lambda `$ and $`L=2.0\lambda `$ (diamonds), $`2.2\lambda `$ (circles) and $`2.5\lambda `$ (squares), respectively. Here to balance the amplification inside the slab for a fair comparison between different $`k_x`$, we keep the source-slab distance $`u=d`$. As mentioned above, the resonant strength depends greatly on $`L`$, and it also has a selective effect on $`k_x`$ with multiple resonant peaks (marked by arrow, other peaks beyond the range of this figure are observed and relatively have much weaker amplitude). Additionally, these cases share the same peak positions (see e.g. $`k_x2.25k_0`$), which suggests that the resonant $`k_x`$ (which excites the strongest resonance along the slab surfaces) shall be related to the coupling between the two slab surfaces (i.e., the other dimension $`d`$ of the proposed cavity), and the slab length $`L`$ mainly influences the amplitude. As shown in Fig. 3(b) for $`L=2.0\lambda `$, the resonant peak positions shift monotonously from $`k_x2.6k_0`$ to $`2.25k_o`$ and $`1.65k_0`$ for $`d`$ from $`0.15\lambda `$ (diamonds) to $`0.2\lambda `$ (circles) and $`0.3\lambda `$ (squares), and their corresponding peak values decrease for about one order for $`d`$ from $`0.15\lambda `$ to $`0.3\lambda `$.

An incident field generated by a point source contains many evanescent waves. Due to the sensitivity of the resonant strength of each evanescent component to length $`L`$, the overall field for the case of a point source is complex and depends greatly on $`L`$. A simple comparison for the field intensity profiles along the bottom surface and the corresponding images are shown in Fig. 4(a) and (b) for two slightly different values of $`L`$ (i.e., $`L=2\lambda `$ and $`2.2\lambda `$), respectively. Here the thickness is still kept as $`d=0.2\lambda `$. Much brighter surface spots exist for $`L=2\lambda `$, and along the image plane the two unwanted large peaks around $`x=\pm 0.23\lambda `$ are the extension of the two distinct surface spots centered on the bottom surface of the slab. Contrarily, the case of $`L=2.2\lambda `$ gives a flattened central spot and weaker field in the side-lop region, and thus the image quality is better as compared with that for $`L=2\lambda `$. As we increase $`L`$ further, the field intensity profiles are found to exhibit a quasi-periodic behavior. For $`L=2.4\lambda `$, the image quality becomes poor again with two unwanted peaks greatly exceeding the central peak. The additional surface spots still exist and degrade the image quality for $`L`$ up to $`9\lambda `$, and the image quality varies between the best cases of clear image e.g. $`L=8.2\lambda `$ with the full width at half maximum (FWHM) about $`0.24\lambda `$ (the FWHM of the object is about $`0.22\lambda `$) and the worst cases (e.g. $`L=2.4\lambda `$) that the expected point image is greatly exceeded by the additional resonant peaks (by more than 130%). However, the distance between these resonant peaks has greatly decreased from about $`0.23\lambda `$ to $`0.11\lambda `$ when we increase $`L`$ from $`2\lambda `$ to $`9\lambda `$. For a sufficiently long slab, the resonant spectrum shall tend to become flat and these lateral nodal structures are expected to partially cancel each other except for the central peak (i.e., the desired image). Thus, the influence of the cavity effects on the image decreases gradually and the field intensity distribution gradually transits to the simple shape for a LHM slab of infinite length. For a thicker slab, the resonance becomes weaker and more flat (see Fig. 3(b)), and its influence on the image quality decreases because of its evanescent characteristics along the $`z`$ direction and the larger distance between the image plane and the bottom surface of the slab. It is also less sensitive to the length of the slab. In our simulation for $`d=\lambda `$, along the image plane the intensity of these additional peaks are always less than $`30\%`$ of that of the central peak (the desired image) for $`L>7\lambda `$, and the negative streams are less than $`2\%`$, producing a clear point image with FWHM about $`0.3\lambda `$. Similarly, as we have verified, the material loss of the LHM slab (if included) also damps the excitation of surface plasmons and their cavity effects.

In conclusion, the imaging system formed by a LHM slab of finite length has been analyzed through a FDTD method. The cavity effects of surface plasmons excited by the evanescent components of the incident field have been studied and used to explain the observed bright spots along the surfaces of the LHM slab and counter-intuitive negative values of the normal component of the energy stream at the image side of the slab. The extended bright spots on the bottom surface of the LHM slab may stretch to the image plane and degrade the image quality. It has been shown that both the length and thickness of the LHM slab greatly influences the cavity effects of surface plasmons and consequently the image quality.

Acknowledgments: The partial support of National Natural Science Foundation of China (under a key project grant; grant number 90101024) is gratefully acknowledged. The authors are also grateful to the referees for their valuable comments.

$``$ Electronic Address: sailing@tet.kth.se


text:
# Pioneer Anomaly and the Helicity-Rotation Coupling

## Acknowledgment

The work of J.D.A. was performed at the Jet Propulsion Laboratory, California Institute of Technology, under contract with NASA.

Note Added: The determination of the Pioneer Doppler bias was made even easier by the fact that the Pioneer 10 spacecraft was spun down from 60 rpm to 5 rpm shortly after launch. The evolution of the bias during this spin maneuver was obvious.

The Pioneer Navigation Team in March 1972, during the launch phase of Pioneer 10. Philip A. Laing, in the foreground, is poring over computer output (Radio Science program POEAS) that will establish the sign of the Doppler spin bias and verify its magnitude. A co-discoverer of the effect, Anthony Liu, is on the telephone. The third co-discoverer, Daniel L. Cain, is not present.


text:
# 1 Introduction

## 1 Introduction

The four–dimensional Gödel universe  is a topologically trivial homogeneous space with non–zero rotation. This gives rise to some unusual properties: not only do all observers see themselves as the centre of rotation, but there exist closed timelike curves (CTCs) through every point. As an example of a space with CTCs for all times, it is unclear as to what extent Hawking’s chronology protection conjecture , concerning the impossibility of *forming* a CTC in nature, is applicable.

For this reason, the discussion of the physics of chronology protection (see, *e.g.* for a recent review), has mostly avoided the Gödel universe. However, the discovery  of supersymmetric Gödel–like solutions to five–dimensional minimal supergravity, and to its eleven–dimensional M–theoretic lift, has forced the issue, at least within the string theory community. Surprisingly, these solutions to string and M–theory turn out  to be related to another supersymmetric space of much recent interest, namely the plane wave , and this is the relation of interest to us here. We should also note that supergravity solutions describing supersymmetric deformations of the extreme five–dimensional Reissner–Nordstrom black hole have been studied in this context. Both of the deformations discussed in  — one corresponding to the rotating black hole of , the other to a black hole in a Gödel–like universe — have CTCs, the precise nature of which has been examined in some detail . Other non–supersymmetric solutions of interest, describing black holes in a Gödel–like universe, have recently been discussed in .

It turns out that these Gödel–like universes (GLUs) are related to *compactified* plane waves (CPWs) in two different ways. The eleven–dimensional CPW, dimensionally reduced on an everywhere spacelike circle, yields a ten–dimensional GLU . On the other hand, a CPW in type II string theory is T–dual to a GLU times a transverse circle . Depending on the specific plane wave we start with, these procedures give rise to a large variety of GLUs. In addition to the R–R fluxes typically supporting the CPW solutions, dimensionally reducing a CPW gives rise to a magnetic R–R one–form potential, whereas T–dualizing gives instead a NS–NS two–form potential. These background fluxes are needed to preserve supersymmetry, although the specific number of supersymmetries preserved is not invariant under the dimensional reduction or T–dualization.

In this paper we concentrate on the CPW side of the dual pair. We show in section 2 that there are CTCs in this set of geometries though, as for the GLU , these are not geodesic. This is a fact we find significant with respect to the consistency of propagation in this set of backgrounds. We proceed to construct, in section 3, the geodesics in the CPW background. These are needed in order to identify the holographic screens  in the CPW geometry.

In section 4 we discuss the construction of lightsheets and of preferred holographic screens, in both compact and non–compact plane wave geometries. In both cases the lightsheets constructed are bounded by spatial surfaces, and the covariant entropy bound  can be applied. Constructing a preferred holographic screen entails taking the union of these surfaces. In the non–compact case, this is a sensible thing to do and we exhibit the result, which may be of some interest in the study of plane wave holography . In the compact case, however, we find that the region “enclosed” within the holographic screen is the complete spacetime. This is related to the existence of a compact direction, and not necessarily to the existence of CTCs. The interesting mechanism of “holographic protection” of chronology does not appear to be operating in this case — although all CTCs intersect the screen, they are also “enclosed” within it, in the precise sense defined by Bousso .

In section 5, we comment on the relation to the similar analyses of the GLU performed in . There are, in fact, two types of preferred holographic screen in our geometry. In addition to the ones discussed above, there are screens associated with the Kaluza–Klein zero modes which are “smeared” along the compact direction, just as in the GLU with flat transverse directions . This smeared screen is the origin of the holographic screen in the GLU and we argue that similar statements are true in any backgrounds related by Kaluza–Klein dimensional reduction and/or T–duality.

Of course, in non–perturbative string theory, the GLUs and the CPWs are *two descriptions of a single object*. However, the approach to holography reviewed in  separates out the string fields into “metric” and “matter fields”, as in traditional semiclassical approaches to quantum gravity. The interplay between the backgrounds described here provides hints as to how to extend the notion of holography to string backgrounds with fluxes inherited from a higher–dimensional or T–dual metric. We discuss how the covariant entropy bounds of  can be affected by dimensional reduction and/or T–duality 111For a possible relation of holography with supersymmetry, see ..

We conclude in section 6 with comments on attempts to quantize particles and fields in the CPW, and the related issues in the GLU. Since the only closed geodesics in these geometries are spacelike, some of the obvious problems with defining field theory in spaces with closed timelike and/or null geodesics are avoided. In this respect, quantum field theory might be well behaved in those backgrounds. For a recent discussion of potential problems with the GLU in string theory, see .

While preparing this manuscript for publication, the preprint  appeared, which includes some results similar to those of section 3.

## 2 Closed Timelike Curves

In this section we introduce the basic spacetimes — a class of plane waves with a compact direction (CPWs), and the related Gödel–like universes (GLUs). We show that both these geometries have CTCs (as well as closed null curves). Since they are homogeneous spaces, both have CTCs through every point. We also show that none of the CTCs is a geodesic, thus avoiding some of the obvious problems such curves would generate.

### 2.1 Compactified Plane Waves

The class of metrics we are interested in can be written as

$$\mathrm{d}s_D^2=\mathrm{d}u\mathrm{d}v\underset{i=1}{\overset{N}{}}\beta _i^2\rho _i^2\mathrm{d}u^2+\underset{i=1}{\overset{N}{}}\left(\mathrm{d}\rho _i^2+\rho _i^2\mathrm{d}\stackrel{~}{\varphi }_i^2\right)+\underset{\alpha =1}{\overset{D2(N+1)}{}}\mathrm{d}x^\alpha \mathrm{d}x^\alpha ,$$
(2.1)
where $`\{\rho _i,\stackrel{~}{\varphi }_i\}`$ are polar coordinates in $`N`$ transverse planes, and the light–cone coordinates are $`u=z+t,v=zt.`$ We have included as many flat directions as necessary to make this a background of string ($`D=10`$) or M–theory ($`D=11`$).

Note that the metric is not the pure gravitational plane wave, and must be supported by various form fields. Furthermore, for $`D=10`$, this class of backgrounds gives rise to (mass)2 terms on the string worldsheet which are all positive. String theory on such backgrounds is well understood , as are the effects of compactification of various spacelike circles .

The relationship between the plane wave and the associated GLU involves dimensional reduction or T–duality along a spatial coordinate . This coordinate cannot be simply $`z`$, since the Killing vector

$$\xi _0=\frac{}{z}=\frac{}{u}+\frac{}{v},$$
(2.2)
is not everywhere spacelike:

$$\left|\xi _0\right|^2=1\underset{i=1}{\overset{N}{}}\beta _i^2\rho _i^2.$$
(2.3)
Instead we can use  the Killing vector

$$\xi =\xi _0\underset{i=1}{\overset{N}{}}\beta _i\frac{}{\stackrel{~}{\varphi }_i}\left|\xi \right|^2=1,$$
(2.4)
which *is* everywhere spacelike 222Such twisted compactifications of solutions of M–theory have been much studied , although this classification has precisely precluded reductions which give rise to CTCs..

Identifying points a distance $`2\pi nR`$ along the orbits of $`\xi `$ involves the following identifications on the coordinates:

$$(z,\stackrel{~}{\varphi }_i)(z+2\pi nR,\stackrel{~}{\varphi }_i+2\pi m_i2\pi nR\beta _i).$$
(2.5)
Since $`\xi `$ is everywhere spacelike we can compactify or T–dualize along its orbits. To facilitate this, we define the adapted coordinates

$$\varphi _i=\stackrel{~}{\varphi }_i+\beta _iu,$$
(2.6)
which are constant along orbits of $`\xi `$: $`\xi (\varphi )=0`$. The $`z`$–rotation ensures that the $`\varphi _i`$ have standard periodicity, the identifications becoming

$$(z,\varphi _i)(z+2\pi nR,\varphi _i+2\pi m_i).$$
(2.7)
In these coordinates, the metric is

$$\mathrm{d}s_D^2=\mathrm{d}u\mathrm{d}v2\underset{i=1}{\overset{N}{}}\beta _i\rho _i^2\mathrm{d}\varphi _i\mathrm{d}u+\underset{i=1}{\overset{N}{}}\left(\mathrm{d}\rho _i^2+\rho _i^2\mathrm{d}\varphi _i^2\right)+\underset{\alpha =1}{\overset{D2(N+1)}{}}\mathrm{d}x^\alpha \mathrm{d}x^\alpha ,$$
(2.8)
where $`\varphi _i`$ are angles with standard periodicity, and the Killing vector $`\xi `$ is simply

$$\xi =\frac{}{z}=\frac{}{u}+\frac{}{v}.$$
(2.9)
Dimensional reduction or T–duality along $`z`$ is now straightforward, and will be reviewed below.

We now show that there are CTCs (and closed null curves) in the above CPW, and that none of them are geodesic. Consider the curve generated by the Killing vector

$$K=\frac{}{z}+\underset{i=1}{\overset{N}{}}\alpha _i\frac{}{\varphi _i},$$
(2.10)
where $`\alpha _i`$ are constant.

This curve is closed if and only if the $`\alpha _i`$ are rational multiples of $`1/R`$ for each $`i`$333To see this, put the $`N`$ rational multiples over a common denominator $`q`$: $`\alpha _i=p_i/(qR),p_i,q.`$ Then if we travel from $`z`$ to $`z+2\pi qR`$ along the curve we get back to where we started: $`(z,\varphi _i)(z+2\pi qR,\varphi _i+2\pi p_i)`$.. Furthermore, this curve is timelike for sufficiently large $`\rho _i`$ if $`\alpha _i<2\beta _i`$. This follows straightforwardly from the metric (2.8). The CTCs exist for

$$\rho _i^2>\frac{1}{(2\beta _i\alpha _i)\alpha _i}\frac{1}{\beta _i^2},$$
(2.11)
the latter inequality saturated for $`\alpha _i=\beta _i`$. By picking a rational value of $`\alpha _i`$ arbitrarily close to $`\beta _i`$ we find CTCs arbitrarily close to $`\rho _i=\beta _i^1`$ for any value of $`\beta _i`$. We therefore conclude that the CPWs considered here develop CTCs beyond the critical radii 444The surfaces of $`\rho =\rho _{\mathrm{critical}}`$ are referred to as “velocity of light surfaces” in . $`\rho _i=\beta _i^1`$. Note that closed null curves (CNCs) develop at the critical radii themselves, provided $`\beta _i`$ is a rational multiple of $`1/R`$.

It is easy to see that none of these CNCs or CTCs are geodesic since, with a dot denoting differentiation with respect to an affine parameter,

$$\dot{K}^{\rho _i}+\mathrm{\Gamma }_{bc}^{\rho _i}K^bK^c=\rho _i\alpha _i(2\beta _i\alpha _i),$$
(2.12)
all other components of the geodesic equation being trivial. Only those curves with $`\alpha _i=0`$ or $`\alpha _i=2\beta _i`$ (for all values of $`i`$) are geodesic and in these cases, we see from (2.11) that the CTCs are pushed off to infinity. One can, in fact, prove more generally that there are no closed timelike or null geodesics in the CPW, but we will postpone this proof until section 3, since we will need the explicit solution to the geodesic equations.

### 2.2 The Gödel–Like Universe

The CPW is related  to a GLU by the closely related operations of T–duality or dimensional reduction along the orbits of the Killing vector $`\xi `$ above. This is most easily achieved by rewriting the metric (2.8) in a form adapted to dimensional reduction along the orbits of $`/z`$:

$$\mathrm{d}s_D^2=\left(\mathrm{d}t+\omega \right)^2+\underset{i=1}{\overset{N}{}}\left(\mathrm{d}\rho _i^2+\rho _i^2\mathrm{d}\varphi _i^2\right)+\underset{\alpha =1}{\overset{D2(N+1)}{}}\mathrm{d}x^\alpha \mathrm{d}x^\alpha +\left(\mathrm{d}z\omega \right)^2,$$
(2.13)
where we define the one–form

$$\omega =\underset{i}{}\beta _i\rho _i^2\mathrm{d}\varphi _i.$$
(2.14)
We therefore identify the dimensionally reduced metric as

$$\mathrm{d}s_{D1}^2=\left(\mathrm{d}t+\omega \right)^2+\underset{i=1}{\overset{N}{}}\left(\mathrm{d}\rho _i^2+\rho _i^2\mathrm{d}\varphi _i^2\right)+\underset{\alpha =1}{\overset{D2(N+1)}{}}\mathrm{d}x^\alpha \mathrm{d}x^\alpha ,$$
(2.15)
describing a $`(2N+1)`$–dimensional GLU times $`𝔼^{D2(N+1)}`$, together with an R–R 1-form potential given by $`C=\omega `$.

If we think instead of the metric (2.8) as a CPW of type II string theory, one can T–dualize along orbits of $`/z`$, giving

$$\mathrm{d}s_D^2=\left(\mathrm{d}t+\omega \right)^2+\underset{i=1}{\overset{N}{}}\left(\mathrm{d}\rho _i^2+\rho _i^2\mathrm{d}\varphi _i^2\right)+\underset{\alpha =1}{\overset{D2(N+1)}{}}\mathrm{d}x^\alpha \mathrm{d}x^\alpha +\mathrm{d}z^2,$$
(2.16)
which is just the same GLU space as above, times the T–dual circle. In addition there is a NS–NS two–form potential $`B=\mathrm{d}z\omega `$. The theory reduced on this T–dual circle is identical to the one obtained by direct reduction of the plane wave metric, since T–duality is a symmetry of the dimensionally reduced theory. The solutions which one can generate in these ways have been extensively classified in .

Either way, the resulting metric clearly has CTCs generated by $`/\varphi _i`$ and, in both cases, some background fields are generated. These are required for unbroken supersymmetry.

We will see that the background fields change the behaviour of charged particles and fields. The charged objects are simply momentum modes in the CPW, and they become D0-branes if one dimensionally reduces an M–theory solution, or string winding modes in the T–dual GLU$`\times S^1`$ geometry of type II string theory.

## 3 Geodesics

Next we discuss the geodesics in the CPW, following closely the analysis of . These include the particle geodesics discussed in the T–dual picture in , but also trajectories of charged particles — which would be string winding modes in the discussion of . We will see that the latter behave in a way qualitatively different to that of the uncharged geodesics.

The Lagrangian for a particle moving in the metric (2.8) (with a dot denoting differentiation with respect to the affine parameter $`\lambda `$) is

$$=\dot{u}\dot{v}2\underset{i}{}\beta _i\rho _i^2\dot{\varphi }_i\dot{u}+\underset{i}{}\left(\dot{\rho }_i^2+\rho _i^2\dot{\varphi }_i^2\right)+P^2=ϵ,$$
(3.1)
where $`ϵ=0`$ for a null geodesic, $`ϵ=1`$ for a timelike geodesic and $`ϵ=1`$ for a spacelike geodesic. We have also substituted for the $`(D2(N+1))`$ conserved momenta, $`P_\alpha `$, in the flat directions, with $`P^2=_\alpha P_\alpha ^2`$.

There are a further $`N+2`$ conserved quantities coming from the Killing vectors $`/u`$, $`/v`$ and $`/\varphi _i`$, the associated geodesic equations being

$$\frac{}{\dot{v}}=P_{}\frac{1}{2}(P_z+E),\frac{}{\dot{u}}=P_+\frac{1}{2}(P_zE),\frac{}{\dot{\varphi }_i}=2L_i,$$
(3.2)
where, since $`z`$ is compact, we will ultimately be interested in taking $`P_z=n`$ for some integer $`n`$. Inverting these relations gives

$$\dot{u}=P_{},\dot{v}=P_++2\underset{i}{}\left(\beta _iL_i+P_{}\beta _i^2\rho _i^2\right),\dot{\varphi }_i=\frac{L_i}{\rho _i^2}+\beta _iP_{}.$$
(3.3)
and the resulting constraint for the radial coordinates is

$$P_{}\left(P_++2\underset{i}{}\beta _iL_i\right)+\underset{i}{}\left(\dot{\rho }_i^2+\beta _i^2P_{}^2\rho _i^2+\frac{L_i^2}{\rho _i^2}\right)=(ϵ+P^2).$$
(3.4)
The radial equations are

$$\ddot{\rho }_i=\frac{1}{\rho _i}\left(\frac{L_i}{\rho _i}\beta _iP_{}\rho _i\right)\left(\frac{L_i}{\rho _i}+\beta _iP_{}\rho _i\right),$$
(3.5)
and, since the space is homogeneous, with no loss of generality we need consider only those geodesics which pass through the origin of our coordinate system. Just as in the GLU , it is clear from the form of the effective potential in (3.4) that this requires $`L_i=0`$. We therefore obtain the following simple solutions for the radii:

$$\rho _i(\lambda )=\rho _i^{max}\mathrm{sin}(\beta _iP_{}\lambda ),$$
(3.6)
where we have chosen those geodesics which pass through the origin at $`\lambda =0`$. Solving (3.3) for the remaining coordinates then gives

$`t(\lambda )`$ $`=`$ $`t^{(0)}+{\displaystyle \frac{E}{2}}\lambda {\displaystyle \frac{1}{2}}{\displaystyle \underset{i}{}}\beta _i(\rho _i^{max})^2\left(\beta _iP_{}\lambda {\displaystyle \frac{1}{2}}\mathrm{sin}(2\beta _iP_{}\lambda )\right),`$
$`z(\lambda )`$ $`=`$ $`z^{(0)}+{\displaystyle \frac{P_z}{2}}\lambda +{\displaystyle \frac{1}{2}}{\displaystyle \underset{i}{}}\beta _i(\rho _i^{max})^2\left(\beta _iP_{}\lambda {\displaystyle \frac{1}{2}}\mathrm{sin}(2\beta _iP_{}\lambda )\right),`$ (3.7)
$`\varphi _i(\lambda )`$ $`=`$ $`\varphi _i^{(0)}+\beta _iP_{}\lambda ,`$
The behaviour of the geodesics is similar to those in the GLU . They spiral out from the origin, approach some maximum radius, $`\rho _i^{max}`$, when $`\lambda =\pi /(2\beta _iP_{})`$, and re–focus back at the origin in another $`\pi /(2\beta _iP_{})`$ of affine distance. One can also see that $`t`$ is not a good affine parameter for these geodesics. The important difference, however, is the value of the maximum radii for timelike and null geodesics. We now show that these geodesics can probe the region beyond the critical radii where the CTCs develop.

The constraint (3.4) with $`L_i=0`$ can be used to put limits on $`\rho _i^{max}`$. Consider for simplicity the geodesics which remain at the origin for all the planes but one 555In the spherically symmetric case, for which $`\beta _i=\beta i`$, other geodesics are related to these by symmetry generators., that is $`\rho _i^{max}=0\text{for}i1`$. Then, denoting $`\beta _1=\beta `$ and $`\rho _1^{max}=\rho _{max}`$, we have

$$\rho _{max}=\frac{1}{\beta }\sqrt{\frac{(ϵ+P^2+P_+P_{})}{P_{}^2}}.$$
(3.8)
It is clear that $`\rho _{max}`$ is largest (for causal propagation) when the geodesics are null, for which $`ϵ=0`$, and have vanishing momenta in the flat directions. For those geodesics one obtains

$$\rho _{max}=\frac{\alpha }{\beta }=\frac{1}{\beta }\sqrt{\frac{EP_z}{E+P_z}},$$
(3.9)
where we have defined $`\alpha =\sqrt{P_+/P_{}}`$. Note that $`|P_z|E`$ gives $`0\alpha <\mathrm{}`$.

The behaviour of the geodesics in the $`\{t,\rho ,\varphi \}`$ directions in shown in figure 1 where in this, and all other, plots we have used the dimensionless variables $`\beta P_{}\lambda ,\beta t,\beta z`$ and $`\beta \rho `$. The Kaluza–Klein zero modes, with $`P_z=0(\alpha =1)`$, reach a maximum radius of $`\beta ^1`$, just as in the discussion of the GLU . However, the non–zero modes, with $`P_z<0`$, have $`\rho _{max}>\beta ^1`$. We therefore conclude that on–shell physical trajectories can probe those regions of spacetime in which CTCs appear. Indeed, for $`\alpha `$ large enough, the trajectories actually run backwards in time for some range of affine parameter.

$`t^{(0)}+\pi /2`$   $`\rho `$   $`\varphi `$   $`t^{(0)}`$   Figure 1. Null geodesics for different values of $`\alpha `$ are plotted as thick green lines. Starting at some $`t=t_0`$, they re–focus at $`t=t^{(0)}+\pi /2`$, reaching a maximal radius when $`\lambda =\pi /(2\beta P_{})`$. For $`\alpha >1`$, geodesics can probe radii at which CTCs appear, represented by the blue circle of radius $`\rho =\beta ^1`$.
Of course, the geodesics also move in the (compact) $`z`$ direction, and we exhibit this motion in figure 2, where $`z`$ runs around the circle, and $`\rho `$ along the axes of the cylinder. Each point on the surface of this cylinder is a circle of radius $`\rho `$. Note that the period of $`\beta z`$ is $`2\pi \beta R`$, $`\beta R`$ being a dimensionless parameter characterizing the geometry. For the purposes of this, and all other, plots, we have (arbitrarily) chosen $`\beta R=1`$.

The maximal radii for causal propagation depend on the Kaluza–Klein momentum $`P_z`$. This is represented in the reduced Gödel metric as an electric charge. The null geodesics in the CPW geometry would appear timelike in the reduced GLU geometry, representing trajectories of massive BPS particles. The interaction with the background magnetic field will be responsible for the different behaviour in that language.

$`\rho =\mathrm{}`$   $`\rho =\beta ^1`$   $`\rho =0`$   $`z^{(0)}`$   $`z^{(0)}+\pi /2`$   Figure 2. Geodesics for different values of $`\alpha `$ are plotted as thick green lines. Starting at $`\rho =0`$ and $`z=z^{(0)}`$, they re–focus at $`\rho =0,z=z^{(0)}+\pi /2`$, reaching a maximal radius for $`\lambda =\pi /(2\beta P_{})`$. For $`\alpha >1`$, geodesics can probe radii at which CTCs appear, represented by the blue circle at $`\rho =\beta ^1`$.
Having found the general geodesic in the CPW, we can now prove that there are no closed timelike or null geodesics in this background. To see this, consider the identification of coordinates in the CPW:

$$(u,v,\varphi _i)(u+2\pi nR,v+2\pi nR,\varphi _i+2\pi m_i)$$
(3.10)
Due to the homogeneity of the geometry it is sufficient to consider a timelike or null geodesic starting from $`(u,v,\rho ,\varphi _i)=(0,0,0,0)`$, as above. The question is then whether this geodesic can pass through the point $`(2\pi nR,2\pi nR,0,2\pi m_i)`$. Given the equations for geodesics, (3.6) and (3.7), this would require

$`P_{}\lambda `$ $`=`$ $`2\pi nR`$
$`P_{}\beta \lambda `$ $`=`$ $`2\pi m_i`$ (3.11)
$`{\displaystyle \frac{(ϵ+P^2)\lambda }{P_{}}}`$ $`=`$ $`2\pi nR=P_{}\lambda `$
Note that the second equation requires $`\beta `$ to be a rational multiple of $`1/R`$ — this is not required for CTCs but is necessary for closed geodesics. The third equation gives $`ϵ=P_{}^2+P^2`$, which can never be satisfied for timelike geodesics, and can only be satisfied for null geodesics when $`P_{}=P^2=0`$, which does not lead to a closed geodesic. Thus, the only closed geodesics are spacelike as promised.

## 4 Preferred Holographic Screens

To construct the preferred holographic screens, we first discuss the construction of lightsheets and their bounding surfaces. As the geometry can be made only mildly curved, it is a perfect candidate for application of the ideas of .

Since the space is homogeneous, we can concentrate on screens constructed from geodesics which emanate from the point we call our origin. The resulting screens will be observer–dependent. The holographic screen  is defined by taking a congruence of future– or past–directed null geodesics at each point on the observer’s worldline, and following them along the direction in which the expansion $`\theta `$ of that congruence is positive. To construct a *preferred* screen, we terminate the geodesics at the points for which $`\theta `$ vanishes.

We first discuss the construction for a fixed point in time along the observer’s worldline. This results in a light–sheet for the observer. The covariant entropy bound  states that the entropy on this light sheet is bounded by the area of the orthogonal spatial surface 666We refer to a codimension one object as a “screen”, and a codimension two object as a “surface”. for which $`\theta =0`$. The holographic screen is then simply the union of these surfaces for each point in time along the observer’s worldline.

To simplify matters, we set $`\beta _i=\beta i`$ and introduce an overall radial coordinate $`r^2=_i\rho _i^2`$ and some angles $`\theta _m,m=1,\mathrm{},N1`$ to replace the $`\rho _i`$. We write $`\rho _i=r\widehat{\rho }_i`$ where the direction cosines satisfy $`_i\widehat{\rho }_i^2=1`$. In this coordinate system, the geodesics discussed above, namely the future–directed null geodesics which pass through the origin and which vary only in one plane, have $`\theta _m=\mathrm{constant}`$ and

$$r(\lambda )=\frac{1}{\beta }\sqrt{\alpha ^2\frac{P^2}{P_{}^2}}\mathrm{sin}(\beta P_{}\lambda ).$$
(4.1)
The above construction entails sending out null geodesics from the origin at each moment in time and in *all* directions. For fixed $`t`$, the surfaces at constant $`\lambda `$ will thus be codimension two, as required. We terminate the geodesics when $`\theta =0`$. Let us now drop the flat directions, taking $`d`$ to be the dimension of the resulting GLU space 777We can easily construct a screen relevant to an observer delocalized in the flat directions, by taking $`P^2=0`$ and then smearing over these directions. (What we mean by this process of smearing will be discussed in the following section.) Accounting for non–zero $`P^2`$ complicates matters considerably, as in the analysis of  for the GLU.. Then the surface at $`\theta =0`$ is parameterized by the $`d2`$ directions in which the geodesics can leave the origin. By construction, a set of coordinates for this surface is given by $`\{\alpha ,\theta _m,\varphi _i^{(0)}\}`$. Coordinates on the screen are then $`\{t^{(0)},\alpha ,\theta _m,\varphi _i^{(0)}\}`$. One can, of course, compute $`\theta `$ in any coordinate system, but it is easiest to use these coordinates, which are adapted to the null congruence.

We are free to set $`P_{}=1`$ by rescaling $`\lambda `$888One can show that the location of the surface $`\theta =0`$ is independent of the choice of $`\lambda `$ under such rescalings., in which case the spacetime metric is

$$\mathrm{d}s^2=(1+\alpha ^2)\mathrm{d}t^{(0)}\mathrm{d}\lambda (\mathrm{d}t^{(0)})^22\frac{\alpha }{\beta }\mathrm{sin}(\beta \lambda )\left(\mathrm{cos}(\beta \lambda )\mathrm{d}\alpha +\alpha \mathrm{sin}(\beta \lambda )\underset{i=1}{\overset{N}{}}\widehat{\rho }_i^2\mathrm{d}\varphi _i^{(0)}\right)\mathrm{d}t^{(0)}$$

$$+\frac{\mathrm{sin}^2(\beta \lambda )}{\beta ^2}\left(\mathrm{d}\alpha ^2+\alpha ^2\mathrm{d}\mathrm{\Omega }_{d3}^2\right).$$
(4.2)
Note that the tangent

$$\xi =\frac{}{\lambda },$$
(4.3)
to the geodesics is manifestly null, and that the coordinates on the surface $`\theta =0`$, to be exhibited shortly, are manifestly orthogonal to this tangent.

The expansion of the congruence is particularly simple:

$$\theta =D\xi =(d2)\beta \mathrm{cot}(\beta \lambda ),$$
(4.4)
so that the surface for which $`\theta =0`$ is thus defined by

$$\lambda =\frac{1}{\beta }\frac{\pi }{2}.$$
(4.5)
In terms of the original coordinates a point on the surface is given by

$$z=z^{(0)}+\frac{1}{\beta }\frac{\pi }{4},r=\frac{\alpha }{\beta },\varphi _i=\varphi _i^{(0)}+\frac{\pi }{2},\theta _m=\mathrm{constant}.$$
(4.6)
The induced metric on the holographic screen is given by substituting the condition (4.5) on $`\lambda `$ into the metric (4.2), giving

$$\mathrm{d}s^2|_{screen}=(\mathrm{d}t^{(0)})^22\alpha ^2\beta \underset{i=1}{\overset{N}{}}\widehat{\rho }_i^2\mathrm{d}\varphi _i^{(0)}\mathrm{d}t^{(0)}+\mathrm{d}\alpha ^2+\alpha ^2\mathrm{d}\mathrm{\Omega }_{d3}^2,$$
(4.7)
where we have rescaled $`\alpha `$ by $`\beta `$. The screen has Lorentzian signature, with each spacelike slice at constant $`t^{(0)}`$ being flat $`𝔼^{d2}`$, $`\alpha `$ acting as the radial coordinate in this space. It seems to exhibit rotation, but defining the coordinates

$$\widehat{\varphi }_i^{(0)}=\varphi _i^{(0)}\beta t^{(0)},$$
(4.8)
gives

$$\mathrm{d}s^2|_{screen}=(1+\alpha ^2\beta ^2)(\mathrm{d}t^{(0)})^2+\mathrm{d}\alpha ^2+\alpha ^2\mathrm{d}\mathrm{\Omega }_{d3}^2,$$
(4.9)
where now the $`(d3)`$–sphere is parameterized by $`\{\widehat{\varphi }_i^{(0)},\theta _m\}`$. For small $`\alpha `$, the induced metric is that of flat Minkowski space. Note that the area of the surface bounding the lightsheet, at constant $`t^{(0)}`$, is infinite; it is just flat space. The covariant entropy bound  thus implies that the entropy enclosed on the lightsheet can be infinite, as in AdS and Minkowski space, but unlike deSitter space.

To picture the holographic screen in spacetime, it is useful to first consider the case of the non–compact plane wave (the compact case can then be analysed by identifying points the $`z`$ direction). Indeed, given the difficulties in understanding holography in the plane wave , this is a useful exercise in itself. All the previous analysis can be applied directly to the non–compact plane wave. In particular, the expressions (3.6), (3.7) and (4.4) for the null geodesic congruence and its expansion remain valid. Of course, there are no issues concerning chronology protection in this case since the non–compact plane wave does not contain CTCs.

Figure 3 shows the preferred holographic screen in the non–compact geometry. Since the screen extends over the entire range of the angular coordinates $`\{\varphi _i,\theta _m\}`$ and time $`t`$, we are only concerned with its position in the $`r`$ and $`z`$ directions. It is represented by the red line, parameterized by the coordinate $`\alpha `$. The thick green lines are the null geodesics which terminate at the screen, at a value of $`\lambda `$ given by (4.5). At fixed $`t^{(0)}`$, these geodesics form one of the lightsheets for the screen, and it is easy to see that taking the collection of these lightsheets for all $`t^{(0)}`$ fills the entire region to the left of the screen; it is just the region $`z<\pi /4`$. We could alternatively consider the lightsheets which terminate at the caustic $`z=z^{(0)}+\pi /2`$. These would cover the region $`z>\pi /4`$.

When discussing the non–compact plane wave, one might prefer to construct the holographic screen in light–cone coordinates, using $`u^{(0)}=\left(z^{(0)}+t^{(0)}\right)/2`$ as the time coordinate on the screen. In these coordinates, the condition (4.5) for vanishing $`\theta `$ still holds. The induced metric on the screen is

$$\mathrm{d}s^2=\alpha ^2\beta ^2(\mathrm{d}u^{(0)})^2+\mathrm{d}\alpha ^2+\alpha ^2\mathrm{d}\mathrm{\Omega }_{d3}^2,$$
(4.10)
and a point on the surface of the screen is given by

$$v=v^{(0)},r=\frac{\alpha }{\beta },\varphi _i=\varphi _i^{(0)}+\frac{\pi }{2},\theta _m=\mathrm{constant}.$$
(4.11)
If we replace $`z`$ with $`v`$ in figure 3, and move the screen to $`v^{(0)}`$, then a similar picture would still be valid.

It would be interesting to find a relation between this preferred screen and the boundary of the plane wave, which was found to be a null line in .

The case of the compact plane wave is more complex. To discuss this (for the case $`\beta =1/R`$), we simply identify the lines $`z=z^{(0)}+2\pi n`$. Then circles on the cylinder at constant $`r>\beta ^1`$ will be the projection into the $`\{r,z\}`$ plane of one of the CTCs discussed in section 2.

In the GLU, as in other interesting geometries, the surface $`\theta =0`$ encloses a region of space, so that the spacelike projection of  can be applied. In this sense, the concept of holographic protection of chronology is quite appealing: spatial sections of the screen (surfaces) should encode all information, or degrees of freedom, within a volume of space. An holographic theory on the screen would describe physics in a region of spacetime which does not contain CTCs.

In our case, it is easy to see that any point in spacetime is “enclosed” within the holographic screen. The collection of lightsheets shown in figure 3 for the CPW covers the whole of spacetime. Thus, the region “cut out” by the screen is not free of causal ambiguity. Holographic protection of chronology in this case does not appear to be in operation.

$`r=\mathrm{}`$   $`r=\beta ^1`$   $`r=0`$   $`z^{(0)}`$   $`z^{(0)}+\pi /4`$   $`z^{(0)}2\pi `$   Figure 3. The holographic screen is shown in red, $`\alpha `$ being the coordinate along this line of constant $`z=z^{(0)}+\pi /4`$, and each point being a sphere of radius $`r`$. Geodesics for different values of $`\alpha `$ are again plotted as thick green lines, starting from the origin at $`z=z^{(0)}`$. For constant $`r`$, the screen is just a point in the $`z`$ direction. To discuss the compact plane wave (with $`\beta =1/R`$), we simply identify $`z=z^{(0)}`$ with the dotted lines $`z=z^{(0)}\pm 2n\pi `$. In this case, the blue line represents the projection of a CTC into the $`\{r,z\}`$ plane.
## 5 Relation to the Gödel–Like Universe

When the geometry contains a Killing vector along a possibly compact direction, as in the GLU with flat transverse directions , there are at least two types of lightsheet and screen one can discuss. The first is that which we have constructed above, and is relevant to an observer localized in all directions. It is not translationally invariant along the compact direction, so it is difficult to see how it is connected to the lower–dimensional screen in the GLU.

However, as in , one may also contemplate “smearing” in the compact directions. These latter screens are constructed by taking $`\alpha =1`$ or $`P_z=0`$, *i.e.*, for the Kaluza–Klein zero modes. Of course, $`\alpha `$ is then no longer any use as a coordinate along the screen, but since

$$(\frac{}{z^{(0)}},\xi )=(\frac{}{z},\xi )=\frac{1}{2}(1\alpha ^2),$$
(5.1)
the vector $`/z_0`$ is orthogonal to the tangent $`\xi `$ when $`\alpha =1`$. For these light rays, $`z_0`$ replaces $`\alpha `$ as a coordinate on the screen. Working with these coordinates, one finds that the expansion is given by

$$\theta =\frac{\left((d3)(d2)\beta ^2r^2\right)}{r\sqrt{1\beta ^2r^2}},$$
(5.2)
so that

$$r=\sqrt{\frac{d3}{d2}}\frac{1}{\beta }<\frac{1}{\beta }\mathrm{sin}(\beta \lambda )=\sqrt{\frac{d3}{d2}},$$
(5.3)
is the surface $`\theta =0`$. The smeared screen thus provides a manifest holographic protection of chronology. Note also that, unlike the unsmeared case, all null geodesics intersect the smeared screen precisely twice in each cycle (as $`\lambda `$ runs from $`0`$ to $`\pi /(2\beta P_{})`$).

It is only this smeared screen which is relevant to the GLU. It is translationally invariant along $`z`$, so can be dimensionally reduced in the usual manner. Indeed, it is easy to see that the induced metric on the smeared screen is

$`\mathrm{d}s^2|_{screen}`$ $`=`$ $`\left(\mathrm{d}t^{(0)}+{\displaystyle \frac{1}{\beta }}{\displaystyle \frac{d3}{d2}}{\displaystyle \underset{i=1}{\overset{N}{}}}\widehat{\rho }_i^2\mathrm{d}\varphi _i^{(0)}\right)^2+{\displaystyle \frac{1}{\beta ^2}}{\displaystyle \frac{d3}{d2}}\mathrm{d}\mathrm{\Omega }_{d3}^2`$ (5.4)
$`+\left(\mathrm{d}z^{(0)}{\displaystyle \frac{1}{\beta }}{\displaystyle \frac{d3}{d2}}{\displaystyle \underset{i=1}{\overset{N}{}}}\widehat{\rho }_i^2\mathrm{d}\varphi _i^{(0)}\right)^2,`$
which one can dimensionally reduce along $`z^{(0)}`$ to give the induced metric on the screen in the GLU , or T–dualize to give the induced metric on the smeared screen in the GLU times a circle.

A similar structure exists for a more general Kaluza–Klein dimensional reduction. Denoting the $`(D1)`$–dimensional coordinates by $`x^a`$, the $`z`$ equation of motion for a particle moving in the $`D`$–dimensional metric

$$\mathrm{d}s_D^2=e^{2\alpha \varphi }\mathrm{d}s_{D1}^2+e^{2\beta \varphi }(\mathrm{d}z+A)^2,$$
(5.5)
is $`\dot{z}=e^{2\beta \varphi }P_zA_a\dot{x}^a`$. The vector tangent to a null geodesic (in the higher dimensional sense) will have the form

$$\xi =\dot{x}^a\frac{}{x^a}+\dot{z}\frac{}{z},$$
(5.6)
so that

$$(\frac{}{z^{(0)}},\xi )=(\frac{}{z},\xi )=P_z.$$
(5.7)
The localized screen, the position of which varies in the $`z`$ direction, is parameterized by $`P_z`$. There also exists a smeared screen, however, which is parameterized by $`z^{(0)}`$, and for which $`P_z=0`$.

The induced metric on the smeared screen is a generalization of (5.4):

$$\mathrm{d}s_D^2|_{screen_D}=e^{2\alpha \varphi }\mathrm{d}s_{D1}^2|_{screen_{D1}}+e^{2\beta \varphi }(\mathrm{d}z^{(0)}+A)^2,$$
(5.8)
where the fields $`\varphi `$ and $`A`$ should be evaluated on the $`(D1)`$–dimensional screen. We see that the areas of the screens in the corresponding Planck units behaves simply under dimensional reduction, if the higher dimensional screen is smeared. Similar comments apply to geometries related by T-duality in which, at least for the case at hand, one can think of the Kaluza–Klein vector as the $`z`$ components of the $`B`$–field. We note that the lower dimensional Planck scale is determined at the screen’s location, in case the dilaton varies.

The relation between the localized screens in $`D`$ and $`D1`$ dimensions (or equivalently between the localized screen and its smeared version) is unclear. In particular, the entropy bound derived from the lower dimensional surfaces (*i.e.* sections of the corresponding screen) may be stronger or weaker than the covariant entropy bound of the full geometry. One may be tempted to regard the lower dimensional version as more coarse grained and the associated entropy as excluding the massive Kaluza–Klein modes; it would be useful to make this more precise.

## 6 Conclusions

Perhaps the most interesting question concerning the spaces which we have been discussing is whether string theory can, in some sense, “cope” with CTCs. Certainly, the very existence of highly supersymmetric string backgrounds with CTCs suggests that such geometries should not *a priori* be excluded from acceptable string vacua without a concrete physical reason. In the present context, due to special features of these backgrounds, it is still unclear as to whether quantum field theory, or string theory, can be consistently defined 999For various efforts in the four–dimensional context, see ..

Neither the GLU nor the CPW are globally hyperbolic, the classical Cauchy problem being ill–posed in both spaces 101010In the GLU, this is intimately related to the existence of CTCs, but the lack of a Cauchy surface in the case of the CPW runs deeper: even the uncompactified plane wave, with no CTCs, is not globally hyperbolic . Defining quantum field theory on this space is thus a somewhat subtle issue. The surface $`u=\mathrm{constant}`$ can be used as a substitute Cauchy surface as in, *e.g.*. This fails to capture only those geodesics which travel parallel to the wave . Alternatively, as we are arguing here, one can impose a cutoff on the transverse coordinates, leaving a patch of spacetime for which the classical Cauchy problem is well–defined .. As in AdS spaces, one possible approach to define dynamics on such a spacetime is to supplement the initial conditions with some boundary data. The crucial issue is whether there exists a choice of such boundary conditions which renders the resulting propagation consistent.

Unlike the AdS case, here the surface on which to define boundary data is most naturally the Cauchy horizon. Such a prescription in other instances leads to instabilities, *e.g.*, for the Cauchy horizon in the interior of generic black holes . Here no such instabilities manifest themselves. This is related primarily to two important facts: the spectrum of matter fluctuations is discrete (a fact inherited from the plane wave), and the CTCs are not geodesics.

One can, for example, expect the energy–momentum tensor of matter fields to diverge at the Cauchy horizon. This is not expected to be the case here, as the spectrum of modes is discrete. Related to that, a possible classical super–radiance phenomena would be a signal of instability. This requires separation of modes into incoming and outgoing, which is unnatural in a plane wave geometry.

In case of geodesic CTCs, such as in flat space with compact time, one can easily construct problematic amplitudes using the fact that CTCs dominate some quantum amplitudes in a semi–classical approximation. In our case, it is not clear that the presence of off–shell trajectories which are CTCs generates any problem for quantum mechanics in this space.

Recently, practical methods have been developed to deal with the CTCs present in certain orbifolds . Although interesting, it is not clear as to what extent such methods would be applicable here: much use is made of the covering space of the orbifold, a notion which does not generalize to the case at hand.

Alternatively , at least in the case of the GLU , one can analytically continue to the Euclidean regime and use the techniques of Euclidean field theory. Results thereby obtained can be analytically continued back to the Lorentzian regime to obtain information about quantum fields in the original space. For additional discussion of QFT in non-globally hyperbolic spaces see, *e.g.*.

Using holography in these backgrounds is appealing, especially due to the need to carve out a finite region of spacetime in order to define the dynamics uniquely. However, at least in one example, we have found that the concept of “holographic protection” of chronology appears to be inadequate. It would be interesting to examine further, and in more generality, the connections between the concepts of holography and chronology protection. It would also be of interest to examine more quantatively how the processes of dimensional reduction and/or T–duality affect the covariant entropy bounds of Bousso .

One may be tempted to use relations to uncompactified plane waves, or to AdS , to find the holographic theory living on the screens directly. Such attempts are not straightforward, as is demonstrated by our lack of understanding of plane wave holography .

Acknowledgments
We are grateful to Ed Boyda for correspondence, and would like to thank Rob Myers, Kristin Schleich, Gordon Semenoff, Bill Unruh, Uday Varadarajan and Don Witt for useful conversations. DB also thanks Paul Saffin for early collaboration and Joan Simón for useful correspondence concerning CTCs in CPWs. DCP thanks Dumitru Astefanesei, Kazuo Hosomichi, Amanda Peet, Simon Ross and Konstantin Savvidis, and is grateful to the Perimeter Institute for hospitality during the completion of this paper. This work is supported in part by NSERC, and DCP is funded by Ontario PREA.


text:
# Spontaneous strain due to ferroquadrupolar ordering in UCu2Sn

## I Introduction

Multipolar ordering have been intensively investigated in a number of 4$`f`$-electron compounds Morin . In the case of 5$`f`$-electron systems, however, the multipolar ordering has been reported only in a few compounds, including NpO2 Santini2 , UPd3 McEwen , URu2Si2 Santini , UNiSn Akazawa  and UCu2Sn Suzuki . Previously we pointed out that UCu2Sn and UNiSn undergo ferroquadrupolar ordering at low temperatures.

The compound UCu2Sn has a hexagonal ZrPt2Al-type structure ( space group $`P6_3/mmc`$ ) with the lattice parameters of $`a`$ = 4.457 Å and $`c`$ = 8.713 Å at room temperature. In this hexagonal structure, constituent atoms are stacked in layers perpendicular to the $`c`$ axis in regular sequence of $`\mathrm{}`$Sn, Cu, U and Cu$`\mathrm{}`$, where all U atoms occupy equivalent sites forming a triangle lattice. Takabatake $`et`$ $`al`$. found that UCu2Sn underwent a phase transition around 16 K TakabaJPSJ . Afterwords, the transition was estimated to be a non-magnetic one since M$`\ddot{\mathrm{o}}`$ssbauer Wiese  and NMR Kojima  spectroscopies inferred the absence of a hyperfine field at Sn and Cu sites and neutron diffraction detected no magnetic reflection TakabaJMMM . In our previous study on the specific heat and elastic moduli of UCu2Sn Suzuki , we determined the crystal electric field ( CEF ) parameters ( $`B_2^0=1.682\times 10`$ K, $`B_4^0=6.100\times 10^2`$ K, $`B_6^0=1.720\times 10^3`$ K, and $`B_6^6=2.257\times 10^1`$ K ) and the CEF level scheme from the ground state non-Kramers doublet $`\mathrm{\Gamma }_5`$ to the fifth excited state $`\mathrm{\Gamma }_3`$, where $`\mathrm{\Gamma }_i`$ is the irreducible representation for the $`6/mmm`$ point group. We also explained the reasons why the U ions formed the 5$`f^2`$ configuration with the total angular momentum $`J=4`$ and the 5$`f`$-electrons were in the localized regime. The most prominent feature was that the transverse modulus $`C_{66}`$ exhibited the huge softening around $`T_\mathrm{Q}=`$ 16 K, which was an evidence for the ferroquadrupolar ordering of the ground state $`\mathrm{\Gamma }_5`$. The modulus $`C_{66}`$ is the linear response to $`e_{\mathrm{\Gamma }_5}`$$`=e_{xy}`$ and $`=e_{xx}e_{yy}`$ ) strain in the hexagonal lattice. Taking account of both the strain-quadrupole coupling and the quadrupole-quadrupole ( q-q ) coupling, we analyzed $`C_{66}`$ and then obtained the positive sign for the q-q coupling coefficient $`g_{\mathrm{\Gamma }_5}^{}`$, that is, ferroquadrupolar coupling in the ground state. To distinguish the quadrupolar ordering from the cooperative Jahn-Teller transition, we employed a non-dimensional parameter $`Dg^{}C_0/g^2N_0`$ Levy , where $`g`$ is the strain-quadrupole coupling coefficient, $`C_0`$ is the background value of the elastic modulus and $`N_0`$ is the number density of U ions per unit volume at room temperature. The obtained result $`D1`$ clearly indicated that the q-q coupling $`g^{}`$ predominates over the strain-quadrupole coupling $`g`$ in UCu2Sn and consequently the transition is classified as the ferroquadrupolar ordering. The ferroquadrupolar ordering must be accompanied by a macroscopic strain or distortion below $`T_\mathrm{Q}`$. In the previous work Suzuki  using the powder X-ray diffraction technique, we did not succeed in detecting any indication for the spontaneous occurrence of macroscopic strain. So we made numerical estimation by using the relation $`|e_{xy}|=N_0k_\mathrm{B}g_{\mathrm{\Gamma }_5}O_{xy}/C_0`$ Luthi  with the parameters obtained from fitting the elastic modulus observed, and we found that the spontaneous strain might be as small as $`5.6\times 10^4`$. The value was smaller than the resolution of our X-ray diffraction ( $`1\times 10^3`$ ). In the present work, we have carried out the thermal expansion experiments on a single-crystalline sample by a capacitance method Visser .

## II Experimental

A single crystal of UCu2Sn was grown by a Bridgman method. The details of sample preparation was described elsewhere TakabaJMMM . An impurity phase of UCuSn ( $``$$`\%`$ ) was detected in our single-crystalline sample of UCu2Sn by the electron probe microanalysis. The sample was shaped in a rectangular parallelepiped of $`2.824\times 2.908\times 3.288`$ mm3. Thermal expansion $`\mathrm{\Delta }l/l`$ was measured as a function of temperature $`T`$ from 4.2 to 40 K with a temperature interval of 0.1 K along the $`a`$, $`b`$ and $`c`$ axes using a three-terminal method of capacitance measurement. Small change in length of the sample was detected by means of change in capacitance between the parallel plates with approximately 0.1 mm spacing Visser . The plates have an area of $`1.55\times 10^2`$ mm2. The value of $`\mathrm{\Delta }l/l`$ for each axis was defined as ( $`l(T)l(40\mathrm{K})`$ ) / $`l(40\mathrm{K})`$. The $`a`$ and $`c`$ axes are referred to the international tables ( space group $`P6_3/mmc`$ ) Hahn . The $`b`$ axis is defined as perpendicular to the $`a`$ axis in the hexagonal $`c`$ plane.

## III Results & Discussion

Figure 1 shows temperature dependence of thermal expansion $`\mathrm{\Delta }l/l`$ both for along the $`a`$ and $`b`$ axes.

At high temperatures, both of $`\mathrm{\Delta }l/l`$ along the $`a`$ and $`b`$ axes decrease monotonically with decreasing temperature. At low temperatures below $`T_\mathrm{Q}`$, $`\mathrm{\Delta }l/l`$ along the $`a`$ axis, that is $`\mathrm{\Delta }a/a`$, rapidly increases with decreasing temperature, whereas $`\mathrm{\Delta }l/l`$ along the $`b`$ axis, that is $`\mathrm{\Delta }b/b`$, continues to decrease. As far as the crystal keeps a hexagonal symmetry, $`\mathrm{\Delta }a/a`$ and $`\mathrm{\Delta }b/b`$ should coincide with each other even though it thermally expands or contracts. As clearly seen in Fig. 1, $`\mathrm{\Delta }a/a`$ starts to deviate from $`\mathrm{\Delta }b/b`$ at a higher temperature than 20 K ( $`>T_\mathrm{Q}`$ ). This behavior appears to correspond closely to that of the transverse modulus $`C_{66}`$ which starts to soften gradually below $``$ 20 K. The precursor is possibly ascribed to the fluctuation of the quadrupolar ordering. Figure 2 shows the difference $`\mathrm{\Delta }a/a\mathrm{\Delta }b/b`$, which is proportional to the expected spontaneous strain $`e_{xx}e_{yy}`$.

Thus, we succeeded in direct confirmation of the macroscopic distortion due to the ferroquadrupolar ordering in UCu2Sn. The magnitude of the strain evaluated at 5 K is $`4.5\times 10^5`$. This is the reason why we could not detect any corresponding strain by the powder X-ray diffraction with a resolution of $`10^3`$. However, the present value is one order of magnitude smaller than the value of $`5.6\times 10^4`$ which was estimated from the parameter values fitted to the elastic modulus observed. When a hexagonal system undergoes a structural transition, a 60 degrees ferroelastic-type domain is expected to appear in the ordered state. In the present case of UCu2Sn, we believe to have observed the average of the spontaneous strain over those domains. The calculated value of $`5.6\times 10^4`$ should be regarded as the maximum value of the macroscopic strain expected for a single-domain sample.

The ground state doublet $`\mathrm{\Gamma }_5`$ has a degeneracy of quadrupoles $`O_{xy}`$ and $`O_2^2`$. One of these order parameters should emerge below $`T_\mathrm{Q}`$ and therefore the corresponding strain of $`e_{xy}`$ or $`e_{xx}e_{yy}`$ is expected to appear spontaneously. In the present experiment, only the $`e_{xx}e_{yy}`$ component was detected. This result strongly suggests that the order parameter is $`O_2^2`$. However, here, we should just notice a possibility that the present experimental setup may disregard the $`e_{xy}`$ strain technically even though it emerges.

As depicted in Fig.3(a), a change in the sample length along the $`x`$ direction, consequently the strain $`e_{xx}e_{yy}`$, can be directly measured since we capacitively detect the change in spacing between the parallel-plate electrodes. In the case of the strain $`e_{xy}`$, the sample will rotate so as to fit the two surfaces of the sample onto the parallel plates as shown in Fig.3(b). The change $`\mathrm{\Delta }d`$ in the inter-plate spacing will be negligibly small because $`\mathrm{\Delta }d`$ is proportional to $`(1\frac{3}{2}e_{xy}^2+\mathrm{})`$.

Shown in Fig. 4 is the temperature dependence of thermal expansion $`\mathrm{\Delta }l/l`$ along the $`c`$ axis, that is $`\mathrm{\Delta }c/c`$.

At high temperatures, $`\mathrm{\Delta }c/c`$ decreases monotonically with decreasing temperature. It increases gradually below $``$ 20 K and rapidly below $`T_\mathrm{Q}`$. We have no convincing explanation for this increase in $`\mathrm{\Delta }c/c`$, but a possible origin might be related to development of the secondary order parameter $`O_2^0`$ which couples to $`2e_{zz}e_{xx}e_{yy}`$. As we reported previously Suzuki , the strain-quadrupole coupling coefficient between $`2e_{zz}e_{xx}e_{yy}`$ and $`O_2^0`$ is very large.

The thermal expansion coefficient $`\alpha _i`$ is related to $`\delta l/l`$ by the following equation:

$`\alpha _i={\displaystyle \frac{1}{\delta T}}{\displaystyle \frac{\delta l_i}{l_i}},`$
where $`\delta `$ and the subscript $`i`$ denote an infinitesimal deference and each axis, respectively. Figure 5 shows the thermal expansion coefficients $`\alpha `$ as a function of temperature along the $`a`$, $`b`$ and $`c`$ axes.

Here, we assumed that the background variation of the thermal expansion coefficient is given by $`\alpha _{\mathrm{bg}}=AT+BT^3`$ Barron . The values used for the fitting parameters $`A`$ and $`B`$ are listed in Table 1.

From these data, we can estimate the pressure effects on the transition temperature $`T_\mathrm{Q}`$, using the Ehrenfest relation:

$`{\displaystyle \frac{\mathrm{d}T_\mathrm{Q}}{\mathrm{d}P}}={\displaystyle \frac{\mathrm{\Delta }\beta T_\mathrm{Q}V_\mathrm{m}}{\mathrm{\Delta }C_\mathrm{p}}},`$
where the volume expansion coefficient $`\mathrm{\Delta }\beta `$ is assumed as $`\mathrm{\Delta }\beta =\mathrm{\Delta }\alpha _a+\mathrm{\Delta }\alpha _b+\mathrm{\Delta }\alpha _c`$. $`V_\mathrm{m}`$ is the molar volume and $`\mathrm{\Delta }C_\mathrm{p}`$ is the change in the isobaric specific heat at $`T_\mathrm{Q}`$. We used the difference between $`\alpha _{\mathrm{bg}}`$ and $`\alpha _i`$ for $`\mathrm{\Delta }\alpha _i`$ at $`T_\mathrm{Q}`$. The uniaxial pressure effects on the transition temperature $`T_\mathrm{Q}`$ are estimated from this result. The values of $`\mathrm{d}T_\mathrm{Q}/\mathrm{d}P_i`$ along the $`a`$, $`b`$ and $`c`$ axes are listed in Table 2.

To our knowledge, this is the first report on the uniaxial pressure effect in UCu2Sn. The hydrostatic pressure effect on $`T_\mathrm{Q}`$ is also estimated to be $`\mathrm{d}T_\mathrm{Q}/\mathrm{d}P=6.0\times 10^1`$ K/GPa. This value is quite consistent with the value $`\mathrm{d}T_\mathrm{Q}/\mathrm{d}P=9.6\times 10^1`$ K/GPa reported for polycrystalline UCu2Sn by Kurisu $`et`$ $`al`$Kurisu .

## IV Conclusion

We measured the thermal expansion along the $`a`$, $`b`$ and $`c`$ axes of single-crystalline UCu2Sn. The change in the thermal expansion below $`T_\mathrm{Q}`$ clearly indicates the spontaneous emergence of the macroscopic strain $`e_{xx}e_{yy}`$, which couples to the quadrupole $`O_2^2`$. As a result, it is completely proved that the transition in UCu2Sn at $`T_\mathrm{Q}`$ originates from the ferroquadrupolar ordering. The enhancement of $`\mathrm{\Delta }c/c`$ below $`T_\mathrm{Q}`$ might be regarded as due to the development of the secondary order parameter $`O_2^0`$. We also discussed the uniaxial pressure effect on $`T_\mathrm{Q}`$, and succeeded in evaluating $`\mathrm{d}T_\mathrm{Q}/\mathrm{d}P_i`$.

## V Acknowledgments

This work was supported by Grant-in-Aids for both Scientific Research (B) (No.13440114) and COE Research (No.13CE2002) from the Ministry of Education, Culture, Sports, Science and Technology of Japan. We thank the Cryogenic Center of Hiroshima University for their experimental backup.