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# Evolution of gravitational waves from inflationary brane-world : numerical study of high-energy effects

## 1 Introduction

The stochastic gravitational wave background (stochastic GWB) generated during the inflationary era is a promising source for the low-frequency gravitational waves and this can provide a direct way to probe the extremely early Universe. In particular, such GWs are expected to have information about the extra dimensions. Inspired by the recent development in particle physics, there has been a lot of active debate on the possibility that we live in a brane which is a three dimensional world embedded in a higher dimensional space . If this is true, the standard prediction of stochastic GWB from the four-dimensional theory is dramatically altered and the GWB can be a powerful tool to discriminate the presence/absence of the extra-dimension. For instance, in the case of the single-brane model proposed by Randall & Sundrum, the scale of the extra dimension is well below the length $`l0.1`$mm according to the current experiments of the Newton gravity (e.g., ). Therefore, the effect of the extra-dimension can be imprinted on the GWB at the low-frequency band, $`ff_{\mathrm{crit}}2\times 10^4(0.1\text{mm}/l)^{1/2}`$ Hz .

Despite the above interesting suggestions, however, quantitative prediction for the stochastic GWB in the brane-world cosmology is still under investigation. The spectrum of GWs generated by de Sitter inflation on a brane was first calculated by . And later, the cosmological evolution of the GWs has been analytically studied in a very idealistic situation: the transition from the de-Sitter brane to the Minkowski brane  and the transition from the de-Sitter brane to the de-Sitter brane with different cosmological constant . For more realistic situation of the cosmological evolution with equation of state $`p=w\rho `$, however, the wave equation of GWs cannot be separable and the analytical treatment is generally intractable. We must tackle the complicated partial differential equation directly.

Theoretically, the evolution of GWs in the brane-world cosmology is expected to deviate from the standard four-dimensional theory in the following two aspects: 1) the non-standard cosmological expansion due to the bulk gravity and 2) the excitation of the Kaluza-Klein mode(KK-mode) of graviton. The former may enhance the amplitude of GWs and the latter may suppress or modulate the GW form on a brane. These effects are particularly significant in the high-energy regime of the universe. An important question is which effect is dominant and how the amplitude of GWs changes in a realistic situation of the cosmological brane-world.

For this purpose, we solve the wave equation of GWs numerically in the Randall-Sundrum type single-brane model. It has been shown that the excitation of KK-modes are suppressed during inflation and zero-mode remains constant after inflation at super-horizon scales . Thus we will consider the evolution of the GWs starting from an initially zero-mode state at super-horizon scales and focus on the behavior just after the horizon-crossing time. In the high-energy regime, the separation between zero-mode and KK-modes does not hold for the modes with wavelength shorter than the horizon. This implies that even in an initially zero-mode state, KK-modes are inevitably excited when the perturbation crosses the horizon. Thus, we can observe how the excitation of the KK modes modifies the behavior of the perturbations.

We set up the basic equations in section 2. Based on these equations, the numerical calculation of wave equation is performed and the results are presented in section 3. To understand the behavior on the brane, section 4 describes the semi-analytic treatment. Using the low-energy approximation, we derive an effective equation of the GWs on the brane. The resultant equation reduces to the ordinary differential equation and the numerical results of this equation reasonably match those of the full numerical treatment. Final section 5 is devoted to the summary and discussion.

## 2 Basic equations

In this letter, we specifically treat the single-brane model embedded in a five-dimensional anti-de Sitter space, in which the matter content on brane is simply given by a homogeneous and isotropic perfect fluid satisfying the equation of state $`p=w\rho `$. Using the Gaussian normal coordinate to the brane, the background metric is given by

$$ds^2=n^2(t,y)dt^2+a^2(t,y)\delta _{ij}dx^idx^j+dy^2,$$
(1)
where the brane is located at $`y=0`$. The lapse function $`n(t,y)`$ and the scale factor $`a(t,y)`$ for the background space-time are determined from the five-dimensional Einstein equation. In absence of the dark radiation, these quantities are written as follows :

$`a(t,y)`$ $`=a_0(t)\left\{\mathrm{cosh}(\mu y)\left(1+{\displaystyle \frac{\rho (t)}{\lambda }}\right)\mathrm{sinh}(\mu y)\right\},`$ (2)
$`\begin{array}{cc}\hfill n(t,y)& ={\displaystyle \frac{\dot{a}(t,y)}{\dot{a}_0(t)}}\hfill \\ & =e^{\mu y}+(2+3w){\displaystyle \frac{\rho (t)}{\lambda }}\mathrm{sinh}(\mu y),\hfill \end{array}`$ (3)
where $`\lambda >0`$ denotes the tension of the brane and $`\mu ^1`$ represents the curvature scale of the anti-de Sitter bulk, which is related to the tension $`\lambda `$ by $`\mu =\sqrt{\kappa _4^2\lambda /3}`$. The scale factor $`a_0(t)`$ and the energy density on the brane $`\rho (t)`$ are determined from the effective Friedmann equations :

$$H^2\left(\frac{\dot{a}_0}{a_0}\right)^2=\frac{\kappa _4^2}{3}\rho (t)\left(1+\frac{\rho (t)}{2\lambda }\right),\dot{\rho }=3H(1+w)\rho (t),$$
(4)
The solution of the above equations is easily obtained and can be expressed in terms of the dimensionless variables $`\tau =t/t_{}`$ and $`ϵ=\rho /\lambda `$:

$`a_0(\tau )`$ $`=a_{}\left(\tau ^2+2c\tau 2c\right)^{\frac{1}{3(1+w)}},`$ (5)
$`\rho (\tau )`$ $`=\rho _{}\left(\tau ^2+2c\tau 2c\right)^1,`$ (6)
$`c`$ $`\sqrt{1+{\displaystyle \frac{ϵ_{}}{2}}}1,`$ (7)
where the subscript $``$ means the quantity evaluated at the time $`\tau =1`$. Note that the Gaussian-normal coordinate has a coordinate singularity at $`y=y_\text{c}`$, defined by $`a(\tau ,y_\text{c}(\tau ))=0`$:

$$\mu y_\text{c}(\tau )=\frac{1}{2}\mathrm{log}\left\{\frac{2}{ϵ_{}}\left(\tau +c\right)^2\right\}.$$
(8)
Now consider the tensor perturbation in the metric (1). The perturbed metric becomes

$$ds^2=n^2(t,y)dt^2+a^2(t,y)(\delta _{ij}+E_{ij})dx^idx^j+dy^2.$$
(9)
The perturbed quantity $`E_{ij}`$ satisfies the transverse and the traceless conditions, which is automatically gauge-invariant. Decomposing the perturbation in spatial Fourier modes as $`E_{ij}=E(t,y;k)e^{ikx}\widehat{e}_{ij}`$, where $`\widehat{e}_{ij}`$ is transverse-traceless polarization tensor, the wave equation for the Fourier component $`E`$ becomes :

$$\frac{^2E}{t^2}+\left(3\frac{\dot{a}}{a}\frac{\dot{n}}{n}\right)\frac{E}{t}+\frac{n^2}{a^2}k^2En^2\left\{\frac{^2E}{y^2}+\left(3\frac{a^{}}{a}+\frac{n^{}}{n}\right)\frac{E}{y}\right\}=0,$$
(10)
where the dot and the prime respectively denote the derivative with respect to the time $`t`$ and the bulk coordinate $`y`$. The above equation must be solved under the boundary condition at the brane, which follows from the perturbed Israel condition. Ignoring the anisotropic stress tensor $`\pi _{ij}`$ arising from the matter on brane, we obtain the junction condition:

$$\frac{E}{y}|_{y=0}=0.$$
(11)
Hereafter, we will focus on the time evolution of the tensor perturbation in the radiation-dominated epoch($`w=1/3`$) and solve the wave equation (10) numerically.

## 3 Numerical analysis

To solve the wave equation (10) numerically, we use the spectral method, which is a standard technique in the computational fluid dynamics  and recently becomes popular in subject of numerical relativity (e.g., ). To be precise, we adopt a Tchebychev collocation method with the Gauss-Lobatto collocation points, $`y_{\mathrm{}}=\mathrm{cos}(\mathrm{}\pi /N)`$ with $`\mathrm{}=0,1,\mathrm{},N`$. With this method, the quantity $`E(\tau ,y)`$ is first transformed to a set of variables $`E_{\mathrm{}}(\tau )`$ defined in the Tchebychev space, and the partial differential equation (10) can be regarded as the ordinary differential equations for $`E_{\mathrm{}}`$. Then, the time evolution of $`E_{\mathrm{}}`$ is followed by the Predictor-Corrector method based on the Adams-Bashforth-Moulton finite-difference scheme.

As mentioned in section 1, the initial condition for the quantity $`E`$ is set to the zero-mode solution in the inflationary era, i.e., $`E(\tau _0,y)=`$ constant. The calculations are then started before the wavelength of the zero-mode crosses the Hubble horizon. For convenience, we set the comoving wave number $`k`$ to $`k=a_{}H_{}`$, that is, the GW mode just crosses the Hubble horizon when $`\tau =1`$.

The difficulty in present numerical calculation is that the computational domain should be finite. In addition, the Gaussian normal coordinate (1) has a coordinate singularity (see Eq.(8)). Hence, we must introduce another boundary in the bulk and impose another boundary condition at this boundary for numerical purpose. Perhaps, the simplest choice is the static boundary, however, due to the narrow computational domain, the suppression of light KK-modes becomes significant and the artifitial reflection wave affects the physical brane. In this letter, to remedy this, we put a moving regulator brane at $`y_{\text{reg}}(\tau )=\gamma y_\text{c}(\tau )`$ inside the coordinate singularity and impose the Neumann boundary condition111Restricting the parameter to $`ϵ_{}<1`$, the calculation with the static boundary can reproduce the results using the moving boundary at an early time, however, the late-time pahse of the calculation is significantly affected by the artifitial reflection wave. :

$$n^\mu \frac{E}{x^\mu }|_{y=y_{\mathrm{reg}}(\tau )}=0,$$
(12)
where $`n^\mu `$ is the normal vector to the boundary trajectory. To impose this boundary condition in the spectral method, we introduce the new coordinate $`z=2y/y_{\text{reg}}(\tau )1`$, and solve (10) in the fixed range $`z:[1,1]`$. Thus, provided the location of the boundaries $`y=0`$ and $`y=y_{\text{reg}}(\tau )`$, the only physical parameter is $`ϵ_{}`$, i.e., the dimensionless energy density $`\rho /\lambda `$ at the horizon-crossing time, which is directly related to the scale of the GW concerned. For large $`ϵ_{}`$, the physical brane is very close to the coordinate singularity and the computational domain of our code becomes narrow. This causes pathological behavior near the coordinate singularity. Hence, in this letter, we restrict our analysis to the the small $`ϵ_{}`$ case.

In Fig.1, the resultant waveform on the brane is depicted as function of time in the case with $`ϵ_{}=0.2`$, $`\gamma =0.8`$ and $`N=64`$. Apart from the overall damping $`1/a_0(t)`$ due to the cosmological expansion, the amplitude of the numerical solution on the brane (solid) becomes smaller than that of the solution in the four-dimensional theory (long-dashed). This result simply reflects the fact that the localization of gravity is not fulfilled in presence of the $`\rho ^2`$-term (see Eq.(4)) and the GW can easily escape from the brane to the bulk.

Fig.2 shows the snapshots of the waveform plotted as function of the original coordinate $`y`$. In the low-energy limit ($`\rho /\lambda 1`$) of the present case, the equation (10) becomes separable and the analytic solution can be obtained as $`E(\tau ,y)=u(y)\varphi (\tau )`$. The mode function for the bulk coordinate $`u(y)`$ is given by

$$u_0(y)=\text{constant},$$
(13)
for the zero-mode and

$$u_m(y)=e^{2\mu y}H_2^{(1)}\left(\frac{m}{\mu }e^{\mu y}\right),$$
(14)
for the KK-mode with the effective mass $`m`$. The function $`H_2^{(1)}(z)`$ denotes the Hankel function for the second kind. We attempted to approximate the wave form of the numerical result by the superposition of the mode funcitons (13) and (14). If we set the mass of the KK-mode to the Hubble parameter at the horizon crossing time, the mode functions roughly reproduce the waveform of the numerical result, although the agreement is at a qualitative level. It is clear from Figs. 1 and 2 that the created KK-modes is rather light, consistent with our numerical set-up with $`ϵ_{}1`$, however, to obtain the KK-mode spectrum, a more quantitative analysis is needed.

The introduction of the regulator brane in the bulk is certainly not a proper way to treat the boundary condition in the bulk. The regulator brane may eventually affect the physical brane located at $`y=0`$. As shown in Fig.1, however, the excitation of the massive KK-modes becomes significant only at the horizon crossing time. The modification of the amplitude is almost determined around the horizon crossing and we need not follow the evolution of the perturbations for a long time. Thus, if the regulator brane is located sufficiently far away from the physical brane, we expect that we can safely neglect the effect of the regulator brane. To confirm this, in Fig.3, we plot the damping factor, i.e., the ratio of the amplitude obtained from the numerical solution to that from the four-dimensional theory in the case of $`ϵ_{}=0.05`$, $`0.2`$ and $`0.3`$. The number of collocation points used here is $`N=64`$ except for the cases of the boundary parameters $`\gamma =0.85`$ and $`0.9`$ with $`N=128`$. Since the suppression of GW amplitude is effective only when the mode crosses the Hubble horizon, the damping factor evaluated at the end of the calculaiton is time-independent. The damping factor depends linearly on small $`ϵ_{}`$, and tends to converge for $`\gamma 1`$.

## 4 Result from low-energy expansion

In order to understand the behavior of the numerical results in previous section, we employ a low energy expansion scheme to solve the wave equation approximately. In this treatment, the term $`\rho /\lambda `$ in effective Friedmann equation (4) is assumed to be small. Thus, treating the dimensionless quantity $`ϵ=\rho /\lambda `$ as small expansion parameter, we expand the tensor perturbation $`E(\tau ,y)`$, the scale factor $`a_0(\tau )`$ and the Hubble parameter $`H(\tau )`$:

$`E(\tau ,y)`$ $`=E_0(\tau )+E_1(\tau ,y)+E_2(\tau ,y)+\mathrm{},`$ (15)
$`a_0(\tau )e^{\alpha (\tau )}`$ $`=e^{\alpha _0(\tau )}(1+\alpha _1(\tau )+\mathrm{}),`$ (16)
$`H(\tau )`$ $`=H_0(\tau )+H_1(\tau )+\mathrm{},`$ (17)
where $`E_k(\tau ,y)`$, $`\alpha _k(\tau )`$ and $`H_k(\tau )`$ are the functions of the order $`𝒪(ϵ^k)`$. Note further the fact that in the low energy approximation, the time-derivative of the lower-order quantities is comparable to the $`y`$-derivative of the higher-order ones . This is because the time derivative is of the order of the Hubble parameter, while the $`y`$-derivative is of the order of the bulk scale $`\mu `$. Thus, we have:

$$\left(\frac{\dot{\alpha }}{\alpha ^{}}\right)^2𝒪(ϵ).$$
(18)
Keeping the relation (18) in mind, one can expand the wave equation (10) in terms of $`ϵ`$ and find the higher-order solutions iteratively. Then, imposing boundary conditions, we derive an ordinary differential equations for $`E_0(\tau )`$ .

The derivation of the equation for $`E_0(\tau )`$ is straightforward but lengthly calculation. The final form of the equation up to the first order in $`ϵ`$ is

$$\begin{array}{cc}\hfill \mathrm{}_\tau E_0& =\frac{9ϵ_{}(1+w)^2}{8}\left(12B(y_0)\right)\mathrm{}_\tau ^2E_0\hfill \\ & \frac{\rho }{\lambda }\left\{(2+3w)(3w+5)B(y_0)\right\}\mathrm{}_\tau E_0\hfill \\ & +\left\{3\frac{H_1}{H_0}\frac{3}{2}(5+3w)(1+w)\frac{\rho }{\lambda }\left(12B(y_0)\right)\right\}H_0\dot{E}_0\hfill \\ & +\left\{2\alpha _13(1+w)\frac{\rho }{\lambda }\left(12B(y_0)\right)\right\}\left(\frac{k}{e^{\alpha _0}}\right)^2E_0,\hfill \end{array}$$
(19)
in the case of the static boundary. Here, we defined the operator $`\mathrm{}_\tau `$ and the quantity $`B`$ as follows:

$$\mathrm{}_\tau E_0\frac{^2E_0}{\tau ^2}3H_0\frac{E_0}{\tau }\left(\frac{k}{e^{\alpha _0}}\right)^2E_0,$$
(20)
$$B(y_0)\frac{\mu y_0}{1e^{2\mu y_0}}.$$
(21)
The variable $`y_0`$ denotes the position of the boundary determined at an initial time $`\tau =\tau _0`$, i.e., $`y_0=\gamma y_c(\tau _0)`$. If the regulator brane is moving, the equation contains the term proportional to $`\dot{y}_{\mathrm{reg}}(t)`$ and it becomes rather complicated. Note also that this approximation will break down if the regulator brane becomes far away from our brane:

$$e^{\mu y_{\mathrm{reg}}}>\rho /\lambda ,$$
(22)
since the low energy approximation breaks down on the regulator brane.

In spite of the above limitations of this approximation, the numerical results for $`E_0(\tau )`$ quite well reproduces the full numerical simulation even in the case of the moving boundary222Note also that the numerical integration of effective equation (19) reproduces the full numerical simulation with the static boundary if $`ϵ_{}<1`$. (see short-dashed in Fig.1). Thus, at least in a qualitative level, we can use this approximation to understand the behavior of perturbations on the brane.

The effective equation (19) contains a higher derivative term $`\mathrm{}_\tau ^2E_0`$ which describes the non-local effect caused by the propagation of the wave in the bulk. If we numerically solve the equation with this higher-derivative term, we find that the solution badly diverges in time. It might be caused by the truncation of infinite numbers of higher derivative terms at a finite order. Hence we neglect the $`\mathrm{}_\tau ^2E_0`$ term when we solve the ordinary differential equation (19) numerically. The first terms in the coefficients of $`H_0\dot{E}_0`$ and $`k^2e^{2\alpha _0}E_0`$ come from the modification of background Friedmann equation, that is, $`\rho ^2`$-term in Eq. (4). The second terms arise from the non-separable nature of the metric (1), which can be deduced from the fact that they vanish if we take $`w=1`$. These are the terms which excite KK-modes in the bulk and cause the dissipation of the perturbations on the brane.

In the long wavelength limit $`k0`$, the zero-mode solution $`E_0=`$ const. is the solution for the effective equation (19). However, if the perturbation crosses the horizon, the zero-mode solution which satisfies $`\mathrm{}_\tau E_0=0`$ cannot be a solution. Then the KK-modes are inevitably excited. The effects of the non-standard cosmological expansion tend to enhance the amplitude of the perturbation compared to the four-dimensional theory. On the other hand, both the numerical results and the low energy approximation show that the amplitude of the perturbations decreases, which implies that the influence of the excitation of KK-modes overcomes the effects of the non-standard cosmological expansion. Therefore, the suppression of the amplitude of GWs can be understood as the consequence of the excitation of the KK-modes due to the non-separable nature of the bulk metric in the Gaussian normal coordinate defined with respect to the physical brane.

## 5 Summary and Discussion

In this letter, we have numerically investigated the evolution of GWs during the radiation dominated epoch in the Randall-Sundrum type single-brane model. Especially focusing on the behavior after the horizon-crossing time, we found that the amplitude of GWs on brane is suppressed compared to that of the four-dimensional theory. To interpret the numerical results, we also employ the low energy approximation and derive the effective wave equation on the brane (Eq.(19)). The solution of this equation reasonably agrees with numerical simulations and the suppression of GWs can be understood as a consequence of the excitation of KK-modes. Although the created KK-modes seem to be rather soft, the influence of the KK-modes on GWs overcomes the effect of the non-standard cosmological expansion arising from the $`\rho ^2`$-term. The suppression of GWs becomes significant as increasing the energy scales $`ϵ_{}`$. Therefore, contrary to the four-dimensional prediction, the intensity of the stochastic GWB around the frequency $`ff_{\mathrm{crit}}`$ tends to decrease as increasing the frequency, which might provide an important clue to probe the presence or the absence of extra-dimensions.

For more quantitative prediction for the spectrum of stochastic GWB, however, the present numerical analysis has several limitations. While the evolved amplitude of GWs is examined at the relatively low energy scales $`ϵ_{}1`$, corresponding to the low-frequency modes with $`ff_{\mathrm{crit}}`$, the high-frequency GWs with $`ff_{\mathrm{crit}}`$ are expected to suffer from the high-energy effects more seriously. As pointed out by , the created KK-modes does not simply escape away from the brane to the bulk in the high-energy region $`ϵ_{}1`$. They could be turned back to the brane by the curvature scattering of the anti-de Sitter bulk, leading to the significant enhancement or the modulation of the GWs on brane.

In order to investigate the degree of this effect precisely, the boundary condition imposed on the regulator brane might be inadequate. Instead of using the Neumann condition (12), a suitable choice of the boundary condition such as the non-reflecting boundary condition should be considered. Further, to impose a realistic boundary condition, the Poincaré coordinate, which covers the wider region of the anti-de Sitter spacetime than the Gaussian normal coordinate, would be crucial in our numerical calculation. The implementation of these technical points is straightforward and the analysis is now in progress. We will report the results in a separate paper.

We would like to thank R. Maartens for bringing closely related work by R. Easther, D. Langlois, R. Maartens and D. Wands  to our attention. K.K. acknowledges the supported of Japan Society for Promotion of Science(JSPS) Research Fellowships. A.T is supported by a Grant-in-Aid for Scientific Research from the JSPS(No.14740157).


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# Extending Dublin Core Metadata to Support the Description and Discovery of Language Resources

## 1 Introduction

Language technology and the linguistic sciences are confronted with a vast array of *language resources*, richly structured, large and diverse. Multiple *communities* depend on language resources, including linguists, engineers, teachers and actual speakers. Many individuals and institutions provide key pieces of the infrastructure, including archivists, software developers, and publishers. Today we have unprecedented opportunities to *connect* these communities to the language resources they need. First, inexpensive mass storage technology permits large resources to be stored in digital form, while the Extensible Markup Language (XML) and Unicode provide flexible ways to represent structured data and ensure its long-term survival. Second, digital publication – both on and off the world wide web – is the most practical and efficient means of sharing language resources. Finally, a standard resource description model, the Dublin Core Metadata Set, together with an interchange method provided by the Open Archives Initiative (OAI), make it possible to construct a union catalog over multiple repositories and archives.

In December 2000, a new initiative which applied the OAI to language archives was founded, with the following statement of purpose:

> OLAC, the Open Language Archives Community, is an international partnership of institutions and individuals who are creating a worldwide virtual library of language resources by: (i) developing consensus on best current practice for the digital archiving of language resources, and (ii) developing a network of interoperating repositories and services for housing and accessing such resources.

This paper presents the motivation and governing ideas of OLAC, Dublin Core metadata and the Open Archives Initiative Protocol for Metadata Harvesting (§2), followed by the OLAC Metadata Set (§3). It concludes with an overview of ongoing developments and a call for participation by the wider community. Updated information on OLAC is available from the OLAC Gateway \[www.language-archives.org\].

## 2 Locating Data, Tools and Advice

We can observe that the individuals who use and create language resources are looking for three things: data, tools, and advice. By DATA we mean any information that documents or describes a language, such as a published monograph, a computer data file, or even a shoebox full of hand-written index cards. The information could range in content from unanalyzed sound recordings to fully transcribed and annotated texts to a complete descriptive grammar. By TOOLS we mean computational resources that facilitate creating, viewing, querying, or otherwise using language data. Tools include not just software programs, but also the digital resources that the programs depend on, such as fonts, stylesheets, and document type definitions. By ADVICE we mean any information about what data sources are reliable, what tools are appropriate in a given situation, what practices to follow when creating new data, and so forth (Bird and Simons 2003). In the context of OLAC, the term *language resource* is broadly construed to include all three of these: data, tools and advice.

Unfortunately, today’s user does not have ready access to the resources that are needed. Figure 1 offers a diagrammatic view of the reality. Some archives (e.g. Archive 1) do have a site on the internet which the user is able to find, so the resources of that archive are accessible. Other archives (e.g. Archive 2) are on the internet, so the user could access them in theory, but the user has no idea they exist so they are not accessible in practice. Still other archives (e.g. Archive 3) are not even on the internet. And there are potentially hundreds of archives (e.g. Archive $`n`$) that the user needs to know about. Tools and advice are out there as well, but are at many different sites.

There are many other problems inherent in the current situation. For instance, the user may not be able to find all the existing data about a language of interest because different sites have called it by different names (low recall). The user may be swamped with irrelevant resources because search terms have important meanings in other domains (low precision). (For a detailed discussion of precision and recall in the context of metadata, see Svenonius (2000).) The user may not be able to use an accessible data file for lack of being able to match it with the right tools. The user may locate advice that seems relevant but have no basis for judging its merits.

### 2.1 Bridging the gap

#### 2.1.1 Why improved web-indexing is not enough

As the internet grows and web-indexing technologies improve one might hope that a general-purpose search engine should be sufficient to bridge the gap between people and the resources they need. However, this is a vain hope. The first reason is that many language resources, such as audio files and software, are not text-based. The second reason concerns language identification, the single most important property for describing language resources. If a language has a canonical name which is distinctive as a character string, then the user has a chance of finding any online resources with a search engine. However, the language may have multiple names, possibly due to the vagaries of romanization, such as a language known variously as Fadicca, Fadicha, Fedija, Fadija, Fiadidja, Fiyadikkya, and Fedicca (giving low recall). The language name may collide with a word which has other interpretations that are vastly more frequent, e.g. the language names Mango and Santa Cruz (giving low precision).

The third reason why general-purpose search engines are inadequate is the simple fact that much of the material is not, and will not, be documented in free prose on the web. Either people will build systematic catalogues of their resources, or they won’t do it at all. Of course, one can always export a back-end database as HTML and let the search engines index the materials. Indeed, encouraging people to document resources and make them accessible to search engines is part of our vision. However, despite the power of web search engines, there remain many instances where people still prefer to use more formal databases to house their data.

This last point bears further consideration. The challenge is to build a system for “bringing like things together and differentiating among them” (Svenonius 2000). There are two dominant storage and indexing paradigms, one exemplified by traditional databases and one exemplified by the web. In the case of language resources, the metadata is coherent enough to be stored in a formal database, but sufficiently distributed and dynamic that it is impractical to maintain it centrally. Language resources occupy the middle ground between the two paradigms, neither of which will serve adequately. A new framework is required that permits the best of both worlds, namely bottom-up, distributed initiatives, along with consistent, centralized finding aids. The Dublin Core Metadata Initiative and the Open Archives Initiative provide the framework we need to “bridge the gap.”

#### 2.1.2 The Dublin Core Metadata Initiative

The Dublin Core Metadata Initiative began in 1995 to develop conventions for resource discovery on the web \[dublincore.org\]. The Dublin Core (DC) metadata elements represent a broad, interdisciplinary consensus about the core set of elements that are likely to be widely useful to support resource discovery. The Dublin Core consists of 15 metadata elements, where each element is optional and repeatable: title, creator, subject, description, publisher, contributor, date, type, format, identifier, source, language, relation, coverage, rights. This set can be used to describe resources that exist in both digital and traditional formats.

To support more precise description and more focussed searching, the DC metadata set has been extended with encoding schemes and refinements (DCMI 2000, 2002). An encoding scheme specifies a particular controlled vocabulary or notation for expressing the value of an element. An encoding scheme serves to aid a client system in interpreting the exact meaning of the element content. A refinement makes the meaning of the element more specific. For example, a language element can be encoded using the conventions of RFC 3066 to unambiguously identify the language in which the resource is written (or spoken). A subject element can be given a language refinement to restrict its interpretation to concern the language the resource is about.

#### 2.1.3 The Open Archives Initiative

The Open Archives Initiative (OAI) was launched in October 1999 to provide a common framework across electronic preprint archives, and it has since been broadened to include digital repositories of scholarly materials regardless of their type \[www.openarchives.org\] (Lagoze and Van de Sompel 2001; Van de Sompel and Lagoze 2002). Each participating archive, or “data provider,” has a network accessible server offering public access to metadata records describing archive holdings. The holdings themselves may be documents, raw data, software, recordings, physical artifacts, digital surrogates, and so forth. Each metadata record describes an archive holding, and includes a reference to an entry point for the holding such as a URL or a physical location.

Participating archives must comply with two standards: the OAI Shared Metadata Set (Dublin Core) which facilitates interoperability across all repositories participating in the OAI, and the OAI Protocol for Metadata Harvesting which allows “service providers” to combine metadata from multiple archives into a single catalogue. End-users interact directly with a service provider to quickly locate distributed resources.

### 2.2 Applying the OAI to language resources using specialized metadata

The OAI infrastructure is a new invention: it has the bottom-up, distributed character of the web, while simultaneously having the efficient, structured nature of a centralized database. This combination is well-suited to the language resource community, where the available data is growing rapidly and where a large user-base is fairly consistent in how it describes its resource needs.

Recall that the OAI community is defined by the archives which comply with the OAI metadata harvesting protocol and that register with the OAI. Any compliant repository can register as an OAI archive, and the metadata provided by the archive is open to the public. OAI data providers may support metadata formats in addition to DC. A specialist community can define a metadata format specific to its domain and expose it via the OAI protocol. Service providers, data providers and users that employ this specialized metadata format constitute an OAI *subcommunity*.

Consequently, applying the OAI to language resources is chiefly a matter of having a common metadata format tailored for language resource description and discovery. Section 3 reports on such a format, which is already in use by over twenty archives having a combined total of 30,000 metadata records. These OLAC metadata records can be harvested from multiple archives using the OAI protocol and stored in a single location, where end-users can query all participating archives simultaneously. The LINGUIST List now offers an OLAC cross-archive search service at \[http://www.linguistlist.org/olac\].

## 3 A Core Metadata Set for Language Resources

The OLAC Metadata Set extends the Dublin Core set only to the minimum degree required to express basic properties of language resources which are useful as finding aids. All Dublin Core elements and refinements are used in the OLAC Metadata Set. In order to meet the specific needs of the language resources community, certain elements have been extended following DCMI guidelines (DCMI 2000; Powell and Johnston 2003). This section describes some of the attributes, elements and controlled vocabularies of the OLAC Metadata Set, then shows how they are represented in XML and how they are mapped to other formats for wider dissemination.

### 3.1 Attributes used in implementing the OLAC Metadata Set

Three attributes – type, code, and lang are used throughout the XML implementation of the metadata elements. The type attribute is used to qualify the Dublin Core element, by refining its meaning (to make it narrower or more specific), or by identifying an encoding scheme, or both. If the type specifies one of the OLAC vocabularies, then the code attribute is used to hold the selected value. For example, with the subject element, we may specify the type olac:language to indicate that we are describing the subject language of the resource. We may also provide a code x-sil-BAN to uniquely identify the language. We may further supply element content, as a freeform elaboration of the coded value. This design permits service providers to uniformly interpret the meaning of any code value, thereby providing good precision and recall. At the same time, data providers may use the element content when there is not an appropriate code or when they want to add qualifications to the coded value.

As with Dublin Core, every element in the OLAC metadata set may use the lang attribute. It specifies the language in which the text in the content of the element is written. By using multiple instances of the metadata elements tagged for different languages, data providers may offer their metadata records in multiple languages.

### 3.2 The elements of the OLAC Metadata Set

In this section we present a synopsis of the elements of the OLAC metadata set. For each element, we provide a one sentence definition followed by a brief discussion, systematically borrowing and adapting the definitions provided by the Dublin Core Metadata Initiative (DCMI 2002). Each element is optional and repeatable.

An entity responsible for making contributions to the content of the resource. Examples of a Contributor include a person, an organization, or a service. Recommended best practice is to identify the role played by the named entity in the creation of the resource using the OLAC Role Vocabulary (Johnson 2002).

The extent or scope of the content of the resource. Coverage will typically include spatial location or temporal period. Where the geographical information is predictable from the language identification, it is not necessary to specify geographic coverage.

An entity primarily responsible for making the content of the resource. As with the contributor element, recommended best practice is to identify the role played by the named entity in the creation of the resource using the OLAC Role Vocabulary (Johnson 2002).

A date associated with an event in the life cycle of the resource. Best practice is to use the W3C Date and Time Format (Wolf and Wicksteed 1997). Dublin Core qualifiers may be used to refine the meaning of the date (for instance, date of creation versus date of issue versus date of modification, and so on). The refinements to date are defined in (DCMI 2002).

An account of the content of the resource. Description may include but is not limited to: an abstract, table of contents, reference to a graphical representation of content, or a free-text account of the content.

The physical or digital manifestation of the resource. Typically, format will specify the media-type or dimensions of a physical resource, or the character encoding or markup of a digital resource. It may be used to determine the software, hardware or other equipment needed to use the resource. Since this element applies both to software and data, service providers can use it to match data with appropriate software tools and vice versa.

An unambiguous reference to the resource within a given context. Recommended best practice is to identify the resource by means of a string or number conforming to a globally-known formal identification system (e.g. by URI or ISBN). For non-digital archives, identifier may use the existing scheme for locating a resource within the collection.

A language of the intellectual content of the resource. The language element is used for a language the resource is in, as opposed to a language it describes (i.e. a “subject language”). It identifies a language that the creator of the resource assumes that its eventual user will understand. Recommended best practice is to identify the language precisely using a coded value from the OLAC Language Vocabulary.

An entity responsible for making the resource available. Examples of a publisher include a person, an organization, or a service.

A reference to a related resource. This element is used to document relationships between resources. Dublin Core qualifiers may be used to refine the nature of the relationship (for instance, is replaced by, requires, is part of, and so on). The refinements to relation are defined in (DCMI 2002).

Information about rights held in and over the resource. Typically, a rights element will contain a rights management statement for the resource, or reference a service providing such information. Rights information often encompasses intellectual property rights, copyright, and various property rights.

A reference to a resource from which the present resource is derived. For instance, it may be the bibliographic information about a printed book of which this is the electronic encoding or from which the information was extracted.

The topic of the content of the resource. Typically, a Subject will be expressed as keywords, key phrases or classification codes that describe a topic of the resource. Recommended best practice is to select a value from a controlled vocabulary or formal classification scheme. Where the subject of the resource is a language, recommended best practice is to use the OLAC Language Vocabulary (cf. the language element above).

A name given to the resource. Typically, a title will be a name by which the resource is formally known.

The nature or genre of the content of the resource. Recommended best practice is to use the Dublin Core controlled vocabulary DC-Type for broad classification of type. OLAC provides additional vocabularies that are relevant for language resources: the OLAC Linguistic Data Type Vocabulary (Aristar Dry and Johnson 2002), and the OLAC Discourse Type Vocabulary (Johnson and Aristar Dry 2002).

### 3.3 The controlled vocabularies

Controlled vocabularies are enumerations of legal values, or specifications of legal formats, for the code attribute. In some cases, more than one value applies, in which case the corresponding element must be repeated, once for each applicable value. In other cases, no value is applicable ands the corresponding element is simply omitted. In yet other cases, the controlled vocabulary may fail to provide a suitable item, in which case a similar item can be optionally specified and a prose comment included in the element content.

#### 3.3.1 The OLAC Language Vocabulary

Language identification is an important dimension of language resource classification. However, the character-string representation of language names is problematic for several reasons: different languages (in different parts of the world) may have the same name; the same language may have a different name in each country where it is spoken; within the same country, the preferred name for a language may change over time; in the early history of discovering new languages (before names were standardized), different people referred to the same language by different names; and for languages having non-Roman orthographies, the language name may have several possible romanizations. Together, these facts suggest that a standard based on names will not work. Instead, we need a standard based on unique identifiers that do not change, combined with accessible documentation that clarifies the particular speech variety denoted by each identifier.

The information technology community has a standard for language identification, namely, ISO 639 (ISO 1998). Part 1 of this standard lists two-letter codes for identifying 160 of the world’s major languages; part 2 of the standard lists three-letter codes for identifying about 400 languages. ISO 639 in turn forms the core of another standard, RFC 3066 (formerly RFC 1766), which is the standard used for language identification in the xml:lang attribute of XML and in the language element of the Dublin Core metadata set. RFC 3066 provides a mechanism for users to register new language identification codes for languages not covered by ISO 639, but very few additional languages have ever been registered.

Unfortunately, the existing standard falls far short of meeting the needs of the language resources community since it fails to account for more than 90% of the world’s languages, and it fails to adequately document what languages the codes refer to (Simons 2000). However, SIL’s Ethnologue (Grimes 2000) provides a complete system of language identifiers which is openly available on the Web. OLAC will employ the RFC 3066 extension mechanism to build additional language identifiers based on the Ethnologue codes. For the 130-plus ISO-639-1 codes having a one-to-one mapping onto Ethnologue codes, OLAC will support both. Where an ISO code is ambiguous OLAC requires the Ethnologue code. New identifiers for ancient languages, currently being developed by LINGUIST List, will be incorporated. These language identifiers are expressed using the code attribute of the language and subject elements (using the special x- prefix of RFC 3066 for user-defined extensions). The free-text content of these elements may be used to specify an alternative human-readable name for the language (where the name specified by the standard is unacceptable for some reason) or to specify a dialect (where the resource is dialect-specific).

#### 3.3.2 The OLAC Linguistic Data Type Vocabulary

After language identification, another dimension of central importance for language resources is the linguistic type of a resource. Notions such as “lexicon” and “primary text” are fundamental, and the discourse of the language resources community depends on shared assumptions about what these types mean.

At present, the OLAC Linguistic Data Type Vocabulary (Aristar Dry and Johnson 2002) distinguishes just three types: lexicon, primary\_text, and language\_description. A lexicon is defined as a “systematic listing of lexical entries… Each lexical item may, but need not, be accompanied by a definition, a description of the referent (in the case of proper names), or an indication of the item’s semantic relationship to other lexical items.” A primary text is defined as “linguistic material which is itself the object of study, typically material in the subject language which is a performance of a speech event, or the written analog of such an event.” Finally, language description is a resource which “describes a language or some aspect(s) of a language via a systematic documentation of linguistic structures.”

#### 3.3.3 Other controlled vocabularies

Here we list three other OLAC vocabularies. For full definitions, examples and notes, the reader is referred to the cited vocabulary document.

The OLAC Discourse Type Vocabulary describes “the content of a resource as representing discourse of a particular structural type” (Johnson and Aristar Dry 2002). The vocabulary terms are as follows: drama, formulaic discourse, interactive discourse, language play, oratory, narrative, procedural discourse, report, singing, and unintelligible speech.

The OLAC Role Vocabulary (Johnson 2002) serves to identify the role of an individual or institution in creating or contributing to a language resource. The vocabulary terms are as follows: annotator, artist, author, compiler, consultant, depositor, developer, editor, illustrator, interviewer, participant, performer, photographer, recorder, researcher, respondent, signer, speaker, sponsor, transcriber, and translator.

The OLAC Linguistic Subject Vocabulary (Aristar Dry and Appleby 2003) describes the content of a resource as being about a particular subfield of linguistic science. The list has been developed in the course of classifying resources on the LINGUIST List website. The vocabulary terms are as follows: anthropological linguistics, applied linguistics, cognitive science, computational linguistics, discourse analysis, forensic linguistics, general linguistics, historical linguistics, history of linguistics, language acquisition, language documentation, lexicography, linguistics and literature, linguistic theories, mathematical linguistics, morphology, neurolinguistics, philosophy of language, phonetics, phonology, pragmatics, psycholinguistics, semantics, sociolinguistics, syntax, text and corpus linguistics, translating and interpreting, typology, and writing systems.

In addition to the five vocabularies discussed here, other vocabularies have been proposed and are being considered by the community.

Once a vocabulary is reviewed and accepted by the community as OLAC best practice in language resource description, the corresponding XML schema is hosted on the OLAC website. Archives which use this vocabulary can then be automatically tested for conformance. Prior to acceptance, any new vocabulary can be set up as a “third-party extension” and adopted by archives without any centralized review process. This bottom-up approach encourages experimentation and innovation, yet only leads to community-wide adoption once the benefit of the new vocabulary for resource discovery has been demonstrated.

### 3.4 XML representation

The XML implementation of OLAC metadata follows the “Guidelines for implementing Dublin Core in XML” (Powell and Johnston 2003). The OLAC metadata schema is an application profile (Heery and Patel 2000) that incorporates the elements from two metadata schemas developed by the DC Architecture Working Group for implementing qualified DC. The most recent version of the OLAC metadata schema is posted on the OLAC website<sup>1</sup><sup>1</sup>1http://www.language-archives.org/OLAC/1.0/olac.xsd and an example record is available<sup>2</sup><sup>2</sup>2http://www.language-archives.org/OLAC/1.0/olac.xml.

The container for an OLAC metadata record is the element olac, which is defined in a namespace called http://www.language-archives.org/OLAC/1.0/. By convention the namespace prefix olac is used, and the DC namespace is declared to be the default so that the metadata element tags need not be prefixed. For instance, the following is a valid OLAC metadata record:

```
<olac:olac
   xmlns:olac="http://www.language-archives.org/OLAC/1.0/"
   xmlns="http://purl.org/dc/elements/1.1/"
   xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
   xsi:schemaLocation=
      "http://www.language-archives.org/OLAC/1.0/
       http://www.language-archives.org/OLAC/1.0/olac.xsd">
   <creator>Bloomfield, Leonard</creator>
   <date>1933</date>
   <title>Language</title>
   <publisher>New York: Holt</publisher>
</olac:olac>

```

In addition to this DC metadata, an element may use a DC qualifier, following the guidelines given in (Powell and Johnston 2003). The element may specify a refinement (using an element defined in the dcterms namespace) or an encoding scheme (using a scheme defined in dcterms as the value of the xsi:type attribute), or both. Note that the metadata record must declare the dcterms namespace as follows: xmlns:dcterms=”http://purl.org/dc/terms/”. For instance, the following element represents a creation date encoded in the W3C date and time format:

```
<dcterms:created xsi:type="dcterms:W3C-DTF">2002-11-28
  </dcterms:created>

```

The xsi:type attribute is a directive that is built into the XML Schema standard \[http://www.w3.org/XML/Schema\]. It functions to override the type definition of the current element by the type definition named in its value. In this example, the value of dcterms:W3C-DTF resolves to a complex type definition in the XML schema for the dcterms namespace.

Any element may also use the xml:lang attribute to indicate the language of the element content. For instance, the following represents a title in the Lau language of Solomon Islands and its translation into English:

```
<title xml:lang="x-sil-LLU">Na tala ’uria na idulaa
  diana</title>
<dcterms:alternative xml:lang="en">The road to good
  reading</dcterms:alternative>

```

For further detailed discussion of the XML format, the reader is referred to (Simons and Bird 2003a, b).

### 3.5 Mapping OLAC metadata to other formats

As we have seen, OLAC metadata uses attributes to support resource description using controlled vocabularies, and service providers may use these attributes to perform precise searches. However, service providers also need to be able to display metadata records to users in an easy-to-read format. This involves translating coded attribute values into human-readable form, and combining this information with the element content to produce a display of all information pertaining to a metadata element (Simons 2003).

Transforming OLAC metadata records into such a display format is a non-trivial task. Instead of having each service provider perform this task independently, OLACA, the OLAC Aggregator (Simons and Bird 2003a) offers a human-readable version of all OLAC metadata. Service providers can harvest this metadata, and expose the content of the metadata elements to end-users without any further processing.

Beyond this, the OLAC website exposes human-readable versions of OLAC metadata to wider communities. First, a simple DC version of the human-readable metadata is exposed to OAI service providers, so that all OLAC archives show up in digital library catalogs of the wider OAI community (e.g. in the ARC service http://arc.cs.odu.edu/). Second, an HTML version of the human-readable metadata is exposed to web crawlers, permitting all OLAC metadata records to be indexed by web search engines and to be stored in internet archives.

## 4 Conclusions

As language resources proliferate, and as the associated community grows, the need for a consistent and comprehensive framework for resource description and discovery is becoming critical. OLAC has addressed this need by providing metadata tailored to the needs of language resource description, minimally extending the DC standard. At the same time, the OAI Protocol for Metadata Harvesting on which the OLAC infrastructure is built permits end-users to search the contents of multiple archives from a single location.

OLAC provides a ready *template* for resource description, with two clear benefits over traditional full-text description and retrieval. First, the template guides the resource creator in giving a *complete description* of the resource, in contrast to prose descriptions which may omit important details. And second, the template associates the elements of a description with *standard labels*, such as creator and title, permitting users to do focussed searching. Resources and repositories can proliferate, yet a common metadata format will support centralized services, giving users easy access to language resources.

Despite its many benefits, simply making resources findable is insufficient on its own. There must also be a framework in which the community can identify and promote best practices for digital representation of linguistic information to ensure re-usability and long-term preservation. To support this need, OLAC has developed a process which specifies how the community can identify best practices (Simons and Bird 2002).

We conclude by calling for wider participation in OLAC. First, the controlled vocabularies used by the OLAC Metadata Set and described in this article are works in progress, and are continuing to be revised with input from participating archives and members of the community. We hope to have provided sufficient motivation and exemplification for readers to be able to contribute to ongoing developments. Second, the OLAC process can be used by community members to develop new vocabularies and other best practice recommendations. Finally, the core infrastructure of data providers and service providers is operational, and individuals and institutions are encouraged to use it for the widespread dissemination of their language resources.

## Acknowledgements

This material is based upon work supported by the National Science Foundation under grants: 9910603 *International Standards in Language Engineering*, and 9978056 *TalkBank*. Earlier versions of this material were presented at the Workshop on Web-Based Language Documentation and Description in Philadelphia, December 2000 (Bird and Simons 2000), the ACL/EACL Workshop on Sharing Tools and Resources for Research and Education (Bird and Simons 2001), and the IRCS Workshop on Open Language Archives (Bird and Simons 2002). We are indebted to members of the OLAC community for their active participation in the creation and development of the OLAC metadata format.


text:
# Scaling Behavior of Field-Induced Aggregates in Ferrofluids

## I introduction

Ferrofluids are composed of small single-domain magnetic particles dissolved in a liquid carrier. With no external magnetic field, Brownian motion keeps the particles homogeneously distributed throughout the liquid. When a sample of ferrofluid is confined between two glass plates with a separation $`L`$, and an external magnetic field $`H_0`$ is applied normal to the plates, the particles aggregate. These aggregates are of approximately uniform size, and the separation of the aggregates is periodic with an average spacing $`d`$. A view normal to the plates displays a hexagonal pattern of aggregates hong97 ; blums96 ; rosen85 .

In this paper we present a new model for predicting the aggregate spacing, and compare the results of this model to experiment. We demonstrate that this model shows good agreement with experimental data for the aggregate spacing as a function of field $`H_0`$ and plate separation $`L`$. We compare our results to experimental data from Refs. hong97 ; wang94 .

The model also yields the scaling behavior of the aggregate spacing $`d`$ as a function of $`H_0`$ and $`L`$. In 1994, Wang et al. wang94  showed that there was a crossover in the exponent for $`d`$ as a function of $`L`$. They attributed this crossover to an experimentally observed structural change in the aggregates. In 1995, Liu et al. liu95  also showed a crossover in this exponent for ferrofluid emulsions, but no explanation for the crossover was provided. In our model, this crossover takes place, and is not attributed to the mechanism in Ref. wang94 . We also report, for the first time, a crossover in the scaling behavior for $`d`$ as a function of $`H_0`$. The mechanisms responsible for both crossovers in our model are identified and discussed.

## II Helmholtz free energy

Experiments show that, when the field is first turned on, the particles form single-particle-diameter chains; the system then evolves by the chains sticking together to form aggregates. The time scale associated with the chain formation is much smaller than the time scale observed for the formation of aggregates from chains hong97 . Due to this observation, we treat the formation of the aggregates as a quasiequilibrium process. Other examples of this treatment can be seen in Refs. liu95 ; wang94 ; zubarev97 . With this assumption, the separation of the aggregates can be determined by minimizing the Helmholtz free energy for the ferrofluid system.

There are three contributions to the Helmholtz free energy that must be considered: the magnetic energy, the entropy and the surface energy. For the purpose of notational simplicity, we introduce the constants $`\alpha `$ and $`\beta `$, such that

$$d=\beta b,\beta \sqrt{\frac{2\pi \gamma }{\varphi \sqrt{3}}},$$

$$N_0=\frac{\alpha }{b^2}=\frac{\alpha \beta ^2}{d^2},\alpha \frac{\varphi \mathrm{}^2}{\gamma \pi },$$

where $`N_0`$ is the total number of aggregates in the system. Here, $`b`$ is the aggregate radius, $`\varphi `$ is the volume fraction of the ferrofluid, $`\gamma `$ is the packing fraction of the particles in an aggregate and $`\mathrm{}^2`$ is the area of one glass plate. These relationships are purely geometric, using the assumption that the aggregates are of uniform size and spacing.

### II.1 Magnetic Energy

The magnetic energy contains three parts corresponding to the self-energy of the aggregates, the aggregate-aggregate interactions, and the aggregate-external field interactions. The model approximates the aggregates as cylinders that are uniformly magnetized.

The approximation of cylindrical aggregates is consistent with the experiments in Refs. liu95 ; ivey00 , where it was found that a few particles away from the end of the aggregate the shape was cylindrical. Since we are dealing with $`L10\mu `$m and $`b5`$ nm, the length of an aggregate is on the order of a thousand particles. Given these experimental features, the approximation of cylindrical aggregates is a good one.

The approximation that the magnetization is uniform throughout the aggregates is reasonable. Near the ends of the aggregates one would expect the average magnetic moment of the particles to be different than that of the bulk. However, the magnetization of the aggregates is determined mainly by the particles in the bulk. A correction for surface effects is included in the surface energy, discussed below. The uniform magnetization approximation has also been used in Refs. liu95 ; wang94 .

From magnetostatics we know that the effective surface and volume charge densities are $`\sigma _m=\stackrel{}{M}\widehat{n}`$ and $`\rho _m=\stackrel{}{}\stackrel{}{M}`$ respectively, where $`\widehat{n}`$ is the unit outward normal, and $`\stackrel{}{M}`$ represents the magnetization of an aggregate. For the case of uniform magnetization parallel to the external magnetic field, $`\sigma _m=M`$ on the top and bottom of the aggregates, $`\sigma _m=0`$ on the sides and $`\rho _m=0`$ everywhere. Thus, the total magnetic energy of the system can be calculated as interactions between disks of uniform equivalent charge density $`\sigma _m=M`$. jackson

For the first contribution to the magnetic energy we consider the energy required to accumulate a single disk of equivalent charge. This self-energy of the disk can be calculated exactly in the following simple way. Consider a disk of radius $`rb`$ and uniform charge density $`\sigma _m`$. The potential at a point on the rim of the disk is

$$V(r,\sigma _m)=4\sigma _mr.$$

Now bring in a ring of uniform charge density $`\sigma _m`$, radius $`r`$ and thickness $`dr`$. The additional self-energy of the disk when the ring is added is

$$dE_{self_1}=V(r,\sigma _m)dq=8\pi \sigma _m^2r^2dr.$$

Integrating from $`r=0`$ to $`r=b`$ yields the total self-energy of one disk,

$$E_{self_1}=\frac{8}{3}\pi \sigma _m^2b^3.$$

To obtain the self-energy for all of the disks in the system, we must multiply this expression by $`2N_0`$ and use the fact that $`\sigma _m=M`$. The factor of two is due to the fact that each aggregate is replaced by two disks of equivalent charge, so there are two layers of $`N_0`$ disks to consider. The final expression for the self-energy of the system is then

$$E_{self}=\frac{16}{3}\pi \alpha M^2\frac{d}{\beta }.$$

This energy partially captures the particle-particle interactions within an aggregate. An additional contribution to the single aggregate energy arises from the interaction between the pair of disks associated with the same aggregate, as discussed below.

For the other contributions to the magnetic energy, the disks can be treated as point charges. This approximation is valid since the aggregate spacing and length are large when compared to the aggregate diameter (i.e. $`db`$ and $`Lb`$). The condition that $`db`$ is satisfied by having a low volume fraction $`\varphi `$. (The experiments used for comparison with our model are done for $`\varphi <0.20`$.) To satisfy the second condition, we use experimental observations which indicate that larger values of $`L`$ produce a smaller $`b/L`$ ratio. Once the energetically favorable radii have been determined by minimizing the free energy, points where $`b/L1`$ are considered accurate and other data points where $`b/L1`$ are discarded.

Using the point charge approximation, the aggregates behave as dipoles, and the interaction energy of the aggregates with the external magnetic field is

$$E_{\mathrm{H}_0}=N_0(\stackrel{}{m}\stackrel{}{H_0})=\alpha \pi LMH_0,$$
(1)
where $`\stackrel{}{m}`$ is the magnetic moment of an aggregate. This term does not depend on $`d`$, and therefore will be considered a constant in the minimization process.

The last contribution to the magnetic energy is due to the interactions between the disks. We must account for interactions between disks in the same plane ($`E_{\mathrm{same}}`$) and disks in opposite planes. For the interaction of the disks on opposite planes, two terms must be included. One is the interaction of disks due to the same aggregate ($`E_{\mathrm{opp}}`$, i.e. one disk directly over the other disk), and the other is the interaction of disks positioned diagonally to each other ($`E_{\mathrm{diag}}`$). Using the point charge approximation, as previously mentioned, the total disk interaction energy will be

$$E_{\mathrm{inter}}=E_{\mathrm{opp}}+E_{\mathrm{diag}}+E_{\mathrm{same}}=\alpha \sigma _m^2\pi ^2\left(\frac{d^2}{\beta ^2L}6\frac{d^2}{\beta ^2\sqrt{d^2+L^2}}+6\frac{d}{\beta ^2}\right).$$

It should be noted that $`E_{\mathrm{opp}}`$ arises from particle-particle interactions in a single aggregate, while $`E_{\mathrm{same}}`$ and $`E_{\mathrm{diag}}`$ arise from the interaction between two separate aggregates.

In Ref. hong97 , Hong and collaborators found that the magnetization of their ferrofluid sample was well approximated by to the Langevin function. Since this functional form for the magnetization is also in agreement with Refs. blums96 ; rosen85 , and for small $`\varphi `$ in Ref. huke00 , we have used it for our model. Combining these contributions yields a total magnetic energy of

$$E_{\mathrm{mag}}=\left[\left(\frac{16}{3\pi }+\frac{6}{\beta }\right)\frac{d}{\beta }\frac{d^2}{\beta ^2L}\frac{6d^2}{\beta ^2\sqrt{d^2+L^2}}\right]\alpha \pi ^2M^2+\mathrm{const},$$
(2)
where

$$M=\frac{\varphi }{\gamma }M_S\left(\mathrm{coth}\eta \frac{1}{\eta }\right),\eta \frac{\mu }{k_BT}H_0.$$
(3)
Here, $`\mu `$ is the magnetic moment of the particles in the ferrofluid and $`M_S`$ is the saturation magnetization of the fluid. In the case of a ferrofluid emulsion, each drop has a magnetization described by the Langevin function. In this case, the magnetization of an aggregate is still given by Eq. (3), with an important reminder that $`\mu `$ is the magnetic moment of the particles in the drop, not the magnetic moment of the drop itself.

Performing an expansion of Eq. (2) in powers of $`d/L`$ (with $`d=\beta b`$), and keeping up to quadratic terms, this magnetic energy reduces to the one used in Refs. liu95 ; ytreberg00 . However, one should note that the assumption $`dL`$ is a much stronger assumption than $`bL`$. For very small volume fractions, one can have the situation where $`dL`$ with the condition $`bL`$ easily satisfied, since $`\beta `$ increases as the volume fraction decreases.

This magnetic energy offers a significant advantage over the model presented in Ref. ytreberg00 , due to the elimination of all free parameters in the magnetic energy. With no free parameters in the magnetic energy, we can compare the orders of magnitude of the magnetic energy and entropy, as discussed in the next section.

### II.2 Entropy and Surface Energy

To calculate the entropy we treat the aggregates as distinguishable. The number of states accessible to the system is $`N_0!`$, and the configurational entropy of the system is $`S=k_B\mathrm{ln}(N_0!)`$. For the experimental systems that we are modelling, $`E_{\mathrm{mag}}/TS10^4`$, where $`T`$ is taken to be room temperature. Thus, the entropy is negligible for this particular set of experimental conditions.

The last contribution to the energy to be considered is the surface energy. We have already accounted for particle-particle interactions in the bulk in calculating the magnetic energy. The surface energy allows us to include interactions on the surface of the aggregates, such as those between the surfactant and the solvent.

Assuming a surface tension that is constant over the surface of the aggregate (as in Ref. zubarev97 ), the surface energy of the system can be calculated as

$$E_{\mathrm{surf}}=2\pi \alpha \beta \sigma \left(\frac{L}{d}\right)+\mathrm{const},$$

where $`\sigma `$ is the surface tension of the sides of the aggregate, and the surface energy due to the ends of the aggregate is independent of $`d`$. There are several ways of dealing with the surface tension (see for example Refs. sudo89 ; flament96 ; halsey90 ). We tried each surface tension and found that our results were closest to experiment using the surface energy found experimentally in Ref. sudo89 . Here it was determined that the surface tension goes as $`\eta ^{4/5}`$. Since the surface tension includes interactions between the particles on the surface of the aggregate, we would expect the surface tension to saturate at large field values. To build this saturation into our model we assume that the surface energy goes as $`M^{4/5}`$. The final form of the surface energy is then

$$E_{\mathrm{surf}}=2\pi \alpha \beta \mathrm{\Sigma }\frac{L}{d}M^{4/5},$$
(4)
where $`\mathrm{\Sigma }`$ is a constant determining the magnitude of the surface tension.

### II.3 Total Helmholtz Free Energy

Combining these contributions, the Helmholtz free energy of the ferrofluid system is given by

$$F=E_{\mathrm{mag}}+E_{\mathrm{surf}}TSE_{\mathrm{mag}}+E_{\mathrm{surf}},$$
(5)
with $`E_{\mathrm{mag}}`$ and $`E_{\mathrm{surf}}`$ given by Eqs. (2) and (4) respectively. Factoring out common terms and writing the magnetization in terms of $`\beta `$ we obtain

$$F\left[\left(\left(\frac{16}{3\pi }+\frac{6}{\beta }\right)\frac{d}{\beta }\frac{d^2}{\beta ^2L}\frac{6d^2}{\beta ^2\sqrt{d^2+L^2}}\right)m^2+\frac{2\beta \mathrm{\Delta }}{\pi }\frac{L}{d}m^{4/5}\right]\alpha \pi ^2M_S^2+\mathrm{const},$$
(6)
where

$$m=\frac{M}{M_S}=\frac{\sqrt{3}\beta ^2}{2\pi }\left(\mathrm{coth}\eta \frac{1}{\eta }\right),\mathrm{\Delta }\frac{\mathrm{\Sigma }}{M_S^{6/5}}.$$

We minimize this free energy with respect to $`d`$ numerically using Mathematica 4.0. The values of $`\beta `$, L, and $`\alpha `$ are fixed by the experimental conditions, so $`\mathrm{\Delta }`$ is the only free parameter in the model. The value of $`M_S`$ is used only to calculate other quantities such as $`\mu `$ and $`\varphi `$. $`\beta `$ can also be varied slightly, but only within reasonable limits established by the value of $`\varphi `$ which is given for each experiment.

This free energy can be compared to the theoretical models in Refs. wang94 ; liu95 ; ytreberg00 . Our new model differs from these previous models in three significant ways. First, this model has only one free parameter. All other parameters are specified by experimental conditions; even this parameter could be determined by experiment. The second difference is our treatment of the surface energy using the results of Ref. sudo89 . Thirdly, this model permits direct comparison between the magnitudes of the magnetic energy and entropy.

## III results of theoretical model and crossover mechanisms

For the figures below, all parameter values except $`\mathrm{\Delta }`$ are assigned according to the experimental conditions. Then $`\mathrm{\Delta }`$ is chosen so that the theoretical results give the best fit to the experimental data. For all of the sets of data, $`T=300.0`$ K and $`\mu =3.0\times 10^{16}`$ erg/Oe ($``$10 nm magnetite particles). For Hong et al. hong97  the parameter values are: $`\beta =8.0`$ (calculated from $`\varphi =0.04`$ and $`\gamma =0.71`$), and $`\mathrm{\Delta }=3.09\times 10^4(\mathrm{cm}^3\mathrm{Oe})^2/\mathrm{erg}`$. For Wang et al. wang94  the parameter values are: $`\beta =4.5`$ (calculated from $`\varphi =0.12`$ and $`\gamma =0.67`$), and $`\mathrm{\Delta }=2.69\times 10^4(\mathrm{cm}^3\mathrm{Oe})^2/\mathrm{erg}`$. As a point of interest, due to the fact that the surface tension includes the interaction of the particles at the surface of an aggregate, one might expect the surface tension of an aggregate in a ferrofluid emulsion to be much smaller than that of an aggregate in a ferrofluid. Using our parameters, we obtain $`\sigma 10^3\mathrm{erg}/\mathrm{cm}^2`$ for the ferrofluid emulsion in Ref. liu95  and $`\sigma 10\mathrm{erg}/\mathrm{cm}^2`$ for the ferrofluid in Refs. hong97 ; wang94 , confirming this expectation.

We first compare our model to the experiments in Ref. wang94 , where experimental data was recorded for $`d`$ as a function of $`L`$ for fixed $`H_0=300`$ Oe. They report an exponent of 0.47, changing to an exponent of 0.67 at $`L20\mu `$m. In Fig. 1, the results of our model are shown as diamonds, squares and triangles for three different values of $`H_0`$. The solid lines are power law fits of our numerical results. Although, we predict lower exponents than the data suggests, the crossover in the exponent is present. We have included results for three values of $`H_0`$ to show the effect of changing $`H_0`$ in our model. It is clear that increasing the field produces three significant effects: decreasing the critical value of $`L`$ where the crossover takes place, increasing the value of both exponents, and decreasing the difference between the exponents. It is our hope that these effects will be probed experimentally.

A closer look at our model reveals the mechanism responsible for the crossover. In Ref. wang94 , the crossover in the exponent was thought to be the result of a structural change in the aggregates for increasing $`L`$. In their experiment, as $`L`$ is increased, the aggregates begin to lose their circular cross sections, forming branching structures between aggregates. A theoretical model was developed to account for these branched structures, predicting a larger exponent as the branching occurs. We have obtained a crossover in the exponent assuming cylindrically shaped aggregates with no structural changes, and thus the crossover in our model cannot be attributed to the mechanism in Ref. wang94 .

Examination of Eq. (6) for $`Ld`$ provides a mechanism for the crossover. In this limit, the free energy reduces to the form

$$F_{Ld}C_0d+C_1\frac{L}{d},$$
(7)
where $`C_0`$ and $`C_1`$ are constants with respect to $`d`$ and $`L`$. This form of the free energy predicts that $`d\sqrt{L}`$. When $`dL`$ the exponent will be less than 0.5, with the exponent depending upon the value of $`\beta `$. Thus, the mechanism for the crossover in our model is a competition between terms in the magnetic energy. For $`Ld`$, the magnetic energy is dominated by the self-energy of the disks and the energy due to disks in the same plane. As $`L`$ is reduced, the contributions due to the disks in opposite planes become more important, until at some critical value of $`L`$, they can no longer be ignored, lowering the value of the exponent.

Fig. 2 shows the aggregate spacing as a function of $`H_0`$. The crosses represent the experimental data for $`L=10.0\mu `$m obtained from Ref. hong97 , and the diamonds, squares and triangles represent the numerical results for three different values of $`L`$. The solid lines are power law fits to our results. More experimental data points would prove beneficial in testing the theory in this case; however the theory agrees very well with this experimental data. Fig. 2 shows that our model predicts a crossover in the exponent for $`d`$ as a function of $`H_0`$. This is the first time such a prediction has been reported in the literature. Three values of $`L`$ are shown to demonstrate another prediction; the critical value of $`H_0`$ where the crossover occurs, and the value of the exponents, have essentially no dependence on $`L`$.

From Fig. 2, it is clear that, for large $`L`$, the crossover in the exponent for $`d`$ as a function of $`H_0`$ occurs with approximately the same exponents as for small $`L`$. Therefore, to understand the mechanism responsible for this crossover, it is beneficial to look again at Eq. (6) in the limit of $`Ld`$. In this limit,

$$F_{Ld}C_2dM^2+C_3\frac{1}{d}M^{4/5},$$
(8)
where $`C_2`$ and $`C_3`$ are constants with respect to $`M`$ and $`d`$. This predicts that $`dM^{3/5}`$. Thus, for small $`\eta `$, the aggregate spacing goes as $`H_0^{3/5}`$, and for large $`\eta `$ the magnetization saturates and the aggregate spacing does not depend upon $`H_0`$. For the results presented in Fig. 2, this saturation occurs $``$ 2000 Oe. Since the magnetization of an aggregate is proportional to the Langevin function, it is clear that a change in the magnetic moment of the particles in the ferrofluid changes the value of the field where the crossover takes place. Thus, the mechanism for the crossover in the exponent for $`d`$ as a function of $`H_0`$ in our model is the field dependence of the magnetization of the aggregates. This is a direct result of the form chosen for the field dependence of the surface and magnetic energies in our model, so experimental studies of this crossover could be used to determine the appropriateness of these field dependencies.

## IV conclusion

We have shown that aggregate spacing can be determined by minimization of the Helmholtz free energy. We have developed a simple model and compared its predictions to experiments in Refs. hong97 ; wang94 . Our model predicts trends as a function of external field strength and plate separation. The results of our model are in good agreement with experiment.

The scaling behavior of the aggregate spacing as a function of plate separation and external field is discussed. For aggregate spacing as a function of plate separation, there is a predicted crossover in the value of the exponent at some critical plate separation. This feature of our model is in agreement with Refs. liu95 ; wang94 , where similar results were reported. The mechanism responsible for this crossover in our model is a competition between terms in the magnetic energy.

Our model also predicts a crossover in the exponent as a function of external field. This has not been reported in the literature to date. The mechanism responsible for this crossover in our model is the field dependence of the magnetization of the aggregates. Different forms of the magnetization, surface energy or magnetic energy would change this behavior. This result suggests that experiments measuring this crossover could be used to probe the forms of these quantities.


text:
# 1 Introduction

## 1 Introduction

The duality correspondence between supersymmetric gauge theories and matrix models  has had many interesting implications. Having originated from string theory, the duality with matrix models can be extended even beyond the known supersymmetric gauge theories. One such generalization comes by studying the D-branes in the background of graviphoton field . In this background, the spinor coordinates $`\theta ^\alpha `$ on the brane turn out to be nonanticommuting variables. And the effective theory on the brane comes out as an exotic supersymmetric gauge theory with nonanticommuting fermionic fields. In another approach, assuming that superspace coordinates do not anticommute, Seiberg  has shown that one can still construct a super Yang-Mills Lagrangian which preserves only half of the supersymmetries. The renormalizability of this model has been studied in . While the generalization to $`𝒩=2`$, along with other interesting aspects of noncommutative superspace have further been explored in .

The analysis of (anti)instantons in $`𝒩=1/2`$ SYM model parallels the one in ordinary $`𝒩=1`$ SYM theory, though, in the former case the equation of motion for chiral fermions $`\lambda `$ becomes more involved when $`F^+=0`$. In this background, there are antichiral $`\overline{\lambda }`$ zero modes, which deform the equation for chiral fermions so that $`\lambda `$ cannot remain zero. Further, because of a quartic antichiral term in the action, the fermionic solutions to the eqautions of motion are not in general the zero modes of the action. This will have a further consequence that in the presence of fermions, instantons are not solutions to the equations of motion anymore. This can also be seen directly by noticing that in the presence of fermionic solutions (not the zero modes) the action has a value greater than the instanton charge, the difference being proportional to the deformation parameter $`C^{\alpha \beta }`$. In this note we would like to comment that in $`𝒩=1/2`$ $`U(2)`$ SYM model the instanton equation should be deformed as follows,

$`F_{\mu \nu }^++{\displaystyle \frac{i}{2}}C_{\mu \nu }\overline{\lambda }\overline{\lambda }=0`$ (1)
$`\overline{)}D\overline{\lambda }=0,`$ (2)
where $`F_{\mu \nu }^+`$ is the self-dual part of the field strength, and $`C_{\mu \nu }`$ being the deformation parameter. The above equations, as we will see shortly, are also the zero mode equation for $`\overline{\lambda }`$. The solutions of the above equations, like instantons and their corresponding zero modes say in $`𝒩=1`$ theory, saturate a BPS bound in each topological sector specified by the instanton number $`k`$. However, unlike instantons in the presence of fermionic solutions in $`𝒩=1/2`$ theory, they do satisfy the equations of motion. This happens partly because in this configuration $`\lambda =0`$ is still a solution.

In what follows, we will see that for these states only the $`U(1)`$ part of the instanton equation is deformed and finite action solutions will have nonflat $`U(1)`$ connection. The $`SU(2)`$ instanton equation and the corresponding Dirac equation for the adjoint fermions, on the other hand, remain undeformed. This should be contrasted with the case of supersymmetric solutions (instantons) with fermions set to zero, where the finiteness of action requires one to consider only the flat $`U(1)`$ connections. In the case of ’t Hooft one-instanton solution and the corresponding fermionic zero modes, we obtain the solutions of the $`U(1)`$ gauge fields. These, however, will have a zero $`U(1)`$ instanton number and thus belong to the $`k=1`$ topological sector. This is in agreement with the fact that there are no $`U(1)`$ instantons except the flat ones, and that Eqs. (1) and (2) are the zero modes equations.

## 2 Instantons and zero modes

Let us begin with assuming that the superspace coordinates $`\theta ^\alpha `$ are not anticommuting, and instead they satisfy the following anticommutation relation

$$\{\theta ^\alpha ,\theta ^\beta \}=C^{\alpha \beta },$$
(3)
where $`C^{\alpha \beta }`$ is a constant and symmetric $`2\times 2`$ matrix. This deformation of the superspace has been studied earlier . The anticommutation relation (3) will deform the supersymmetry algebra with $`\overline{Q}^2`$ proportional to the deformation parameter $`C^{\alpha \beta }`$. Seiberg  has considered the above deformation in $`𝒩=1`$ supersymmetric model and has shown that half of the supersymmetries can be preserved. Indeed if $`W^\alpha =(A_\mu ,\lambda )`$ denotes the usual $`𝒩=1`$ gauge super multiplet, then the Lagrangian of this $`𝒩=1/2`$ model reads

$``$ $`=`$ $`i\tau {\displaystyle d^2\theta \text{tr}W^\alpha W_\alpha }i\overline{\tau }{\displaystyle d^2\overline{\theta }\text{tr}\overline{W}^{\overline{\alpha }}\overline{W}_{\overline{\alpha }}}`$
$`+(i\tau i\overline{\tau })\left(iC^{\mu \nu }\text{tr}F_{\mu \nu }\overline{\lambda }\overline{\lambda }+{\displaystyle \frac{|C|^2}{4}}\text{tr}(\overline{\lambda }\overline{\lambda })^2\right),`$
where

$$C^{\mu \nu }C^{\alpha \beta }ϵ_{\beta \gamma }\sigma _\alpha ^{\mu \nu \gamma }$$

is a constant and antisymmetric self-dual matrix, and $`|C|^2=C_{\mu \nu }C^{\mu \nu }`$.

The above Lagrangian is invariant under the following $`Q`$ deformed supersymmetry transformations,

$`\delta \lambda =iϵD+\sigma ^{\mu \nu }ϵ\left(F_{\mu \nu }+{\displaystyle \frac{i}{2}}C_{\mu \nu }\overline{\lambda }\overline{\lambda }\right)`$ (5)
$`\delta A_\mu =i\overline{\lambda }\overline{\sigma }_\mu ϵ`$
$`\delta D=ϵ\sigma ^\mu D_\mu \overline{\lambda }`$
$`\delta \overline{\lambda }=0,`$
whereas $`\overline{Q}`$ is broken. A supersymmetric state is invariant under the above supersymmetric transformations. Setting $`\lambda `$ and $`\overline{\lambda }`$ to zero, with

$$F_{\mu \nu }^+=0,$$
(6)
gives such a state preserving the whole unbroken supersymmetry. This is of course also a solution to the equations of motion. Moreover, in $`𝒩=1`$ SYM theory, since in the background of instantons ($`F^+=0`$) there are antichiral zero modes with no chiral zero modes, instantons remain solutions to the equations of motion in the presence of fermionic solutions. But in $`𝒩=1/2`$ SYM theory this is not the story.

As mentioned in Introduction, in the background of instantons, and because the action of $`𝒩=1/2`$ SYM theory has a quartic antichiral fermionic term, the zero modes, in general, do not satisfy the equations of motion. Therefore, instantons will not remain solutions when there are fermions. To remedy this, we deform the instanton equation and show that they satisfy the equations of motion and like instantons have a finite action. The equations are

$`F_{\mu \nu }^++{\displaystyle \frac{i}{2}}C_{\mu \nu }\overline{\lambda }\overline{\lambda }=0`$
$`\overline{)}D\overline{\lambda }=0`$
$`\lambda =0.`$ (7)
It is easy to see that a solution to (7) is also a solution to the equations of motion. In fact, if we set $`\lambda =0`$, the equation of motion for the gauge fields is satisfied:

$`D_\mu \left(F^{\mu \nu }+iC^{\mu \nu }\overline{\lambda }\overline{\lambda }\right)`$ $`=`$ $`D_\mu \left(F^{\mu \nu }+F^{\mu \nu +}+{\displaystyle \frac{i}{2}}C^{\mu \nu }\overline{\lambda }\overline{\lambda }+{\displaystyle \frac{i}{2}}C^{\mu \nu }\overline{\lambda }\overline{\lambda }\right)`$ (8)
$`=`$ $`D_\mu \left(F^{\mu \nu }+{\displaystyle \frac{i}{2}}C^{\mu \nu }\overline{\lambda }\overline{\lambda }\right)`$
$`=`$ $`D_\mu \left(F^{\mu \nu +}+{\displaystyle \frac{i}{2}}C^{\mu \nu }\overline{\lambda }\overline{\lambda }\right)=0,`$
where in the last equality we used the Bianchi identity

$$D_\mu (F^{\mu \nu +}F^{\mu \nu })=0,$$
(9)
with

$$F_{\mu \nu }^\pm =\frac{1}{2}(F_{\mu \nu }\pm \frac{1}{2}ϵ_{\mu \nu \rho \sigma }F^{\rho \sigma }).$$
(10)
The equations of motion for $`\overline{\lambda }`$ and $`\lambda `$ read

$`\overline{\overline{)}D}\lambda =C^{\mu \nu }F_{\mu \nu }^+\overline{\lambda }i{\displaystyle \frac{|C|^2}{2}}(\overline{\lambda }\overline{\lambda })\overline{\lambda }`$
$`\overline{)}D\overline{\lambda }=0.`$ (11)
which are also satisfied by solutions of (7).

Equivalently, one can check that the solutions to (7) are absolute minima of the action in each topological sector. To see this, let us again set $`\lambda =0`$, and add to the action a topological term proportional to the instanton number

$`S+k`$ $`=`$ $`{\displaystyle d^4x\text{tr}\left(\frac{1}{2}F^{\mu \nu }F_{\mu \nu }+iC^{\mu \nu }F_{\mu \nu }\overline{\lambda }\overline{\lambda }\frac{|C|^2}{4}(\overline{\lambda }\overline{\lambda })^2+\frac{1}{4}ϵ_{\mu \nu \rho \sigma }F^{\mu \nu }F^{\rho \sigma }\right)}`$ (12)
$`=`$ $`{\displaystyle d^4x\text{tr}\left(F^{\mu \nu +}F_{\mu \nu }^++iC^{\mu \nu }F_{\mu \nu }\overline{\lambda }\overline{\lambda }\frac{|C|^2}{4}(\overline{\lambda }\overline{\lambda })^2\right)}`$
$`=`$ $`{\displaystyle d^4x\text{tr}\left(F_{\mu \nu }^++\frac{i}{2}C_{\mu \nu }\overline{\lambda }\overline{\lambda }\right)^2}0,`$
henec for configurations satisfying (7), the action is minimized and equal to $`k`$. This also signals that fermions satifying (7) are the true zero modes of the action.

For $`U(1)`$ gauge group, since $`\overline{\lambda }`$ is in the adjoint representation, the second equation of (7) reduces to

$$\overline{)}\overline{\lambda }=0$$
(13)
which has no normalizable solution on $`𝐑^4`$. Therefore in the $`U(1)`$ case, Eqs. (7) reduce to the abelian instanton equations which are known to have no nontrivial solutions on $`𝐑^4`$ except the flat ones. However, for gauge groups of higher rank, there might be nontrivial solutions different than instantons. Let us hence consider the $`U(2)`$ gauge group.

## 3 Analysis of zero mode equations

In this section we would like to analyse possible solutions to Eqs. (7). We will see that in the background of fermionic solutions of Dirac equation, the $`U(1)`$ part of the connection can no longer be flat. Specially, we find solutions in the presence of adjoint fermions in the background of ’t Hooft instantons. The $`U(1)`$ connections we find have a zero instanton number which is consistent with the fact that the deformed instanton equations are also the equations for zero modes.

To begin with, let $`T^a=(T^i=\frac{\sigma ^i}{2},T^4=\frac{1}{2})`$, $`i=1,2,3`$ denote the generators of $`SU(2)`$ and $`U(1)`$ groups respectively. Now, to isolate the $`SU(2)`$ and $`U(1)`$ parts of Eqs. (7), we expand the quadratic term $`\overline{\lambda }\overline{\lambda }`$ in that equation

$`\overline{\lambda }\overline{\lambda }`$ $`=`$ $`\overline{\lambda }^a\overline{\lambda }^bT^aT^b={\displaystyle \frac{1}{2}}\overline{\lambda }^a\overline{\lambda }^b\left([T^a,T^b]+\{T^a,T^b\}\right)`$ (14)
$`=`$ $`{\displaystyle \frac{1}{2}}\overline{\lambda }^i\overline{\lambda }^j(iϵ_{ijk}T^k+{\displaystyle \frac{\delta _{ij}}{2}})+\overline{\lambda }^i\overline{\lambda }^4T^i+{\displaystyle \frac{1}{4}}\overline{\lambda }^4\overline{\lambda }^4`$
$`=`$ $`{\displaystyle \frac{1}{4}}\overline{\lambda }^i\overline{\lambda }^i+{\displaystyle \frac{1}{4}}\overline{\lambda }^4\overline{\lambda }^4+\overline{\lambda }^i\overline{\lambda }^4T^i.`$
So, for the $`SU(2)`$ part we have

$`F_{\mu \nu }^{+i}+{\displaystyle \frac{i}{2}}C_{\mu \nu }\overline{\lambda }^i\overline{\lambda }^4=0`$ (15)
$`\overline{)}D\overline{\lambda }^i=0,`$ (16)
while the $`U(1)`$ part reads

$`F_{\mu \nu }^{+4}+{\displaystyle \frac{i}{8}}C_{\mu \nu }\overline{\lambda }^i\overline{\lambda }^i+{\displaystyle \frac{i}{8}}C_{\mu \nu }\overline{\lambda }^4\overline{\lambda }^4=0`$ (17)
$`\overline{)}\overline{\lambda }^4=0.`$ (18)
As said before, the last equation has no normalizable solution and thus we set $`\overline{\lambda }^4=0`$. This will reduce Eqs. (15) and (16) to the ordinary $`SU(2)`$ instanton equation and the corresponding Dirac equation for the adjoint antichiral fermions. Equation (17), however, reads

$$F_{\mu \nu }^{+4}+\frac{i}{8}C_{\mu \nu }\overline{\lambda }^i\overline{\lambda }^i=0,$$
(19)
where $`\overline{\lambda }^i`$ are solutions to (16). This is the equation we would like to further study. For this we consider the ’t Hooft one instanton solution and the fermionic modes in the adjoint representation satisfying (16).

A solution to Dirac equation (16) can in general be written in terms of ADHM data . In particular, in the background of one instantons one can write the explicit solutions . For the $`SU(2)`$ case, we quote the result for three different normalized solutions

$`\text{tr}(\overline{\lambda }\overline{\lambda })`$ $`=`$ $`{\displaystyle \frac{2}{\pi ^2}}\rho ^2f(x)^3`$ (20)
$`\text{tr}(\overline{\lambda }\overline{\lambda })`$ $`=`$ $`{\displaystyle \frac{6}{\pi ^2}}\rho ^4f(x)^4`$ (21)
$`\text{tr}(\overline{\lambda }\overline{\lambda })`$ $`=`$ $`{\displaystyle \frac{3}{\pi ^2}}\rho ^2r^2f(x)^4,`$ (22)
where

$$f(x)=\frac{1}{r^2+\rho ^2},$$
(23)
and $`r=\sqrt{_{i=1}^4x_i^2}`$. Here $`\rho `$ is the instanton size, and we have set to zero the instanton position for simplicity. The analysis of Eq. (19) becomes easier if we make use of the Corrigan’s identities

$`\rho ^2f(x)^3={\displaystyle \frac{1}{8}}^\alpha _\alpha f(x)`$ (24)
$`\rho ^4f(x)^4={\displaystyle \frac{1}{24}}^\alpha _\alpha \left(r^2f(x)^22f(x)\right)`$ (25)
$`r^2\rho ^2f(x)^4={\displaystyle \frac{1}{24}}^\alpha _\alpha \left(r^2f(x)^2+f(x)\right).`$ (26)
Eq. (19) now reads

$$F_{\mu \nu }^{+4}=\frac{i}{8}C_{\mu \nu }^\alpha _\alpha K(x),$$
(27)
for $`K(x)`$ being any of the functions $`\frac{2}{\pi ^2}f(x),\frac{6}{\pi ^2}(r^2f(x)^22f(x))`$ or $`\frac{3}{\pi ^2}(r^2f(x)^2+f(x))`$ appearing on the right hand sides of Eqs. (24), (25), and (26), respectively. The solution to this equation – up to a gauge transformation – is then found to be

$$A_\mu (x)=\frac{i}{8}C_{\mu \nu }_\nu K(x),$$
(28)
which of course has a nonvanishing curvature. Therefore, what we have found is that in the presence of fermionic zero modes the $`U(1)`$ part of the connection cannot remain flat. This is in contrast with the supersymmetric solutions to the field equations (instantons) where one sets the fermions to zero, and for having a finite action solution one has to restrict to the flat part of the $`U(1)`$ connections.

For instantons of higher topological charge, as mentioned earlier, one can write the adjoint zero mode solutions in terms of the ADHM data. Interestingly, using the Corrigan’s identity, it can be seen that the expression for $`\text{tr}(\overline{\lambda }\overline{\lambda })`$ is actually a total derivative for all topological charges $`k`$,

$$\text{tr}(\overline{\lambda }\overline{\lambda })_k=^\alpha _\alpha 𝒦(x;k),$$
(29)
for some function $`𝒦(x;k)`$ which in turn has an explicit expression in terms of ADHM data . Therefore, we conclude that the solutions to (19) for all values of $`k`$ will have the general form of the solution we found for $`k=1`$ in (28). Moreover, since $`𝒦(x;k)`$ has no singularity and at infinity goes like $`r^2`$, the corresponding $`U(1)`$ gauge fields will all have zero instanton number.