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# Unified “micro”- and “macro-” evolution of eco-systems: Self-organization of a dynamic network

## I Introduction

It is now widely believed that functional networks abound in biological systems hopfield ; bornholdt , from molecular level (e.g., genetic and metabolic networks) to the levels of cells, organisms and species. An eco-system may be viewed as a functional network of species where the (directed) links of the network represent the inter-species interactions foodweb2 . These interactions include not only prey-predator interactions but also competitions between species, for the same resources, as well as possible cooperations. Each species is also a network of individual organisms; the intra-species interactions can be cooperative or competitive. The problems of evolutionary ecology have been investigated extensively from the perspective of statistical physics drossel ; newman ; lassig .

In recent papers csk ; cspre  we have developed a model from the perspective of dynamic networks, by incorporating both inter-species and intra-species interactions, for studying some generic features of the biological evolution of eco-systems. In this paper, following a brief review of this model and its main results, we propose an extension of the model so as to capture speciation in a more realistic manner.

## II Earlier models and their limitations

For convenience, most of the earlier theories focussed attention either on “micro”- evolution on ecological time scales (e.g., annual variations in the populations of species, mortality rates, etc.) or on “macro”-evolution that is most prominent on geological times scales (e.g., the phenomena of speciation or extinction). The ecological models murray  that describe population dynamics using, for example, Lotka-Volterra type equations lotka , usually ignore macro-evolutionary changes in the eco-system. On the other hand, most of the macro-evolutionary models kauffman ; bak ; solerev  do not explicitly explore the ageing and age-distributions of the populations of various species in the system. The models of ageing and dynamics of age-distributed populations stauffer , usually, focus on only one single species and do not incorporate the inter-species interactions that are, however, crucially important for their extinctions.

But, in reality, evolution is a continuous process. When monitored at short intervals and over a not-too-long period of time, the ecological processes dominate the visible changes in the eco-system. However, if the same system is watched over sufficiently long period of time, the macro-evolutionary changes cannot be missed. Therefore, it is desirable to have a “unified” theoretical model that would unfold the natural continuous process while simulated on a computer. Very recently, attempts have been made by several groups to merge population dynamics and “macro”-evolution within a single mathematical framework csk ; cspre ; hall ; simone ; per ; dudek . These efforts may have been made feasible, at least in part, because of the availability of fast computers. In our models csk ; cspre  we have achieved not only the merger of population dynamics and “macro”-evolutionary processes but also detailed description of birth, ageing and death of individual organism so that the age-distributions in the populations of different species can also be monitored.

Moreover, for the study of population dynamics of the species in the eco-system one needs a model of the food web, a graphic description of prey-predator relations cohenprs ; foodweb ; foodweb1 ; foodweb2 . More precisely, a food web is a directed graph where each node is labelled by a species’ name and each directed link indicates the direction of flow of nutrient (i.e., from a prey to one of its predators). In contrast to most of the contemporary models published in the physics literature (ref.amaral  is one of the few exceptions), we incorporate the trophic level structures of real food webs through a generic hierarchical model cspre . Besides, in order to capture ecological and evolutionary processes within the same theoretical framework, we allow the food web to evolve slowly with time thompson .

## III The network model: component and motivations

### III.1 Architecture of the network

We model the eco-system as a dynamic network each node of which represents a niche that can be occupied by at most one species at a time. The network considered in our earliest formulation of the ”unified” model csk  can be schematically represented by a random network. In a subsequent paper cspre  we replaced the random architecture by a generic hierarchical one, where niches are arranged in different trophic levels, with biologically realistic inter-species interactions. The hierarchical architecture helps us in capturing a well known fact that in the normal ecosystems the higher is the trophic level the fewer are the number of species.

We assume only one single species at the highest level $`\mathrm{}=1`$. There are $`m^\mathrm{}1`$ levels at the $`\mathrm{}`$-th level where $`m`$ is a positive integer. The allowed range of $`\mathrm{}`$ is $`1\mathrm{}\mathrm{}_{max}`$. At any arbitrary instant of time $`t`$ the model consists of $`N(t)`$ species each of which occupies one of the nodes of the dynamic network. The total number of species cannot exceed $`N_{max}=(m^{\mathrm{}_{max}}1)/(m1)`$, the total number of nodes. Our model allows $`N(t)`$ to fluctuate with time over the range $`\mathrm{}N(t)N_{max}`$. The population (i.e., the total number of organisms) of a given species, say, $`i`$, at any arbitrary instant of time $`t`$ is given by $`n_i(t)n_{max}`$. Thus, the total number of organisms $`n(t)`$ at time $`t`$ is given by $`n(t)=_{i=1}^{N(t)}n_i(t)`$. Note that $`\mathrm{}_{max}`$, $`m`$ (and, therefore, $`N_{max}`$) and $`n_{max}`$ are time-independent parameters in the model.

The network itself evolves slowly over sufficiently long time scales. For example, random genetic mutations are captured by implementing random tinkering of some of the intra-node characteristics which will be introduced in the next subsection. The inter-node interactions change slowly to capture adaptive co-evolution of species thereby altering the graph that represents the network. Even the occupants of the nodes can change with time because, as the eco-system evolves, the populations of some species would drop to zero, indicating their extinction, and the corresponding nodes would be slowly re-occupied by new species through the process of speciation.

### III.2 Intra-node characteristics, mutations and dynamics

The faster dynamics within each node captures “micro”-evolution, i.e., the birth, growth (ageing) and natural death of the individual organisms. For simplicity, we assume the reproductions to be asexual. An arbitrary species $`i`$ is collectively characterized by csk :

(i) the minimum reproduction age $`X_{rep}(i)`$,
(ii) the birth rate $`M(i)`$,
(iii) the maximum possible age $`X_{max}(i)=100\times 2^{(1\mathrm{})/2}`$ that depends only on the traophic level occupied by the species.

An individual of the species $`i`$ can reproduce only after attaining the age $`X_{rep}(i)`$. Whenever an organism of this species gives birth to offsprings, $`M(i)`$ of these are born simultaneously. None of the individuals of this species can live longer than $`X_{max}(i)`$, even if an individual manages to escape its predators. The explicit form of $`X_{max}`$ assumed above is intended to mimic the fact that the species at the higher trophic level usually have higher lifespan.

During each time step, because of random genetic mutations, $`X_{rep}`$ and $`M`$ independently increase or decrease by unity, with equal probability, $`p_{mut}`$. $`X_{rep}`$ is not allowed to exceed a predetermined (large) positive integer while $`M`$ is restricted to remain positive.

The intra-species competitions among the organisms of the same species for limited availability of resources, other than food, imposes an upper limit $`n_{max}`$ of the allowed population of each species. In order to capture this requirement, we assume the time-dependent probability $`p_b(i,\alpha )`$ (of individual $`\alpha `$ in species $`i`$) of giving birth per unit time to be a product of two factors; one of the factors is a standard Verhulst factor $`1n_i/n_{max}`$ whereas the other factor takes into account the age-dependence of $`p_b(i,\alpha )`$. For an organisms, this second factor becomes non-zero only when it attains the corresponding minimum reproductive age $`X_{rep}`$; this non-zero factor is assumed to be of the form $`(X_{max}X)/(X_{max}X_{rep})`$. Note that the latter factor is unity at $`X=X_{rep}`$, and thereafter decreases, linearly with age, to zero at $`X_{max}`$. Thus in the limit of vanishingly small population, i.e., $`n_i0`$, we have $`p_b(i,\alpha )1`$ if $`X(i,\alpha )=X_{rep}(i)`$ and, thereafter, $`p_b`$ decreases linearly austad  as the organism grows older. However, $`p_b(i,\alpha ;t)0`$ as $`n_i(t)n_{max}`$, irrespective of the age of the individual organism $`\alpha `$ cebrat . Occasionally, random mutations mentioned above can lead to anomalous situations where some organisms may have $`X_{rep}>X_{max}`$; for such organisms $`p_b(i,\alpha ;t)=0`$ for all $`t`$ and these fail to reproduce during their entire life time.

Similarly, we assume the probability $`p_d`$ of “natural” death (due to ageing) to be a constant $`p_d=\mathrm{exp}[r(X_{max}X_{rep})/M]`$, where $`r`$ is a small fraction, so long as $`X<X_{rep}`$. However, for $`X>X_{rep}`$, the probability of natural death increases exponentially (following Gompertz law) as $`p_d=\mathrm{exp}[r(X_{max}X)/M]`$. Note that, for a given $`X_{max}`$ and $`X_{rep}`$, the larger is the $`M`$ the higher is the $`p_d`$ for any age $`X`$. Therefore, in order maximize reproductive success, each species has a tendency to increase $`M`$ for giving birth to larger number of offsprings whereas the higher mortality for higher $`M`$ opposes this tendency tradeoff .

Because of the natural death mentioned above and, more importantly, prey-predator interactions (to be described in the next subsection), the populations of some species may fall to zero. The nodes left empty by such extinct species are then re-filled by new species. In order to capture this process of speciation, all the empty nodes in a trophic level of the network are re-filled by random mutants of one common ancestor which is picked up randomly from among the non-extinct species at the same trophic level. The subsequent accumulation of random mutations over sufficiently long time leads to the divergence of the genomes of the parent and daughter species that is an essential feature of speciation.

However, occasionally, all the niches at a level may lie vacant. Under such circumstances, all these vacant nodes are to be filled by a mutant of the non-extinct species occupying the closest lower level. In our computer simulations, the search for this non-extinct species is carried out in steps, if even the lower level is also completely empty, the search for survivor shifts to the next lower level and the process continues till the lowest level is reached. If all the nodes, starting from the lowest, upto a certain level ever fall vacant, then, no new speciation takes place and the starvation deaths of the species propagate up the layers ending, finally, with the collapse of the entire eco-system.

### III.3 Inter-node interactions and dynamics

The interaction between any two species $`i,k`$ that occupy two adjacent trophic levels is given by $`J_{ik}`$. The sign of $`J_{ik}`$ gives the direction of trophic flow, i.e. it is $`+1`$ if $`i`$ eats $`k`$ and it is $`1`$ if $`k`$ eats $`i`$. In the absence of any prey-predator interaction between the species $`i`$ and $`k`$, $`J_{ik}=0`$. For simplicity, we assume the absolute value (magnitudes) of all the non-vanishing interactions to be unity. Note that although there is no direct interaction between species at the same trophic level in our model, they can compete, albeit indirectly, with each other for the same food resources available in the form of prey at the next lower trophic level.

The $`J`$ account not only for the inter-species interactions but also intra-species competitions for food. Let $`S_i^+`$ be the number of all prey individuals for species $`i`$ on the lower trophic level, and $`S_i^{}`$ be $`m`$ times the number of all predator individuals on the higher trophic level. Because of the larger body size of the predators cohen03 , we assume that a predator eats $`m`$ prey per time interval. Then, $`S_i^+`$ gives the available food for species $`i`$, and $`S_i^{}`$ is the contribution of species $`i`$ to the available food for all predators on the next higher level. If the available food $`S_i^+`$ is less than the requirement, then some organisms of the species $`i`$ will die of starvation, even if none of them is killed by any predator.

If $`n_iS_i^+`$ is larger than $`S_i^{}`$ then food shortage will be the dominant cause of premature death of a fraction of the existing population of the species $`i`$. On the other hand, if $`S_i^{}>n_iS_i^+`$, then a fraction of the existing population will be wiped out primarily by the predators.

It is well known that each species tries to minimize predators but, at the same time, looks for new food resources. In order to capture this, at each time step, each of the species in our model, with the probability $`p_{mut}`$, re-adjusts a link $`J`$ from one of its predators and another to one of its potential preys sole . If the link $`J_{ij}`$ to the species $`i`$ from a higher level species is non-zero, it is reassigned a new value $`J_{ij}=J_{ji}=0`$. On the other hand, if the link $`J_{ik}`$ to a species $`i`$ from a lower level species $`k`$ was zero, the new values assigned are $`J_{ik}=1,J_{ki}=1`$.

### III.4 Initial conditions and update rules

The requirements of computational resources increase exponentially with increasing $`\mathrm{}_{max}`$. Therefore, in almost all our simulations we chose $`\mathrm{}_{max}=5`$, although we verified that the qualitative features of the data were similar in case of smaller $`\mathrm{}_{max}`$. In our simulations, we always began with a random initial condition where $`M=1`$ for all species. Since larger species occupy the higher tropic levels and are expected to live longer than those at lower levels, we assinged $`X_{max}=100,71,50,35,25`$ to the species at level $`\mathrm{}=1,2,3,4,5`$, respectively. Initially, $`X_{rep}`$ was assigned randomly between $`1`$ and $`X_{max}`$, the population randomly between $`1`$ and $`n_{max}/2`$. The ages of the individuals in the initial state varied randomly between $`1`$ and the $`X_{max}`$ of the corresponding species.

The state of the system is updated in discrete time steps as follows:

Step I- Birth: Each individual organism $`\alpha `$ ($`\alpha =1,\mathrm{},n_i(t)`$) of the species $`i`$ ($`i=1,2,\mathrm{}N(t)`$) is allowed to give birth to $`M(i;t)`$ offsprings at every time step $`t`$ with probability (per unit time) $`p_b(i,\alpha ;t)`$ the explicit form of which has been mentioned above.

Step II- Natural death: At any arbitrary time step $`t`$ the probability (per unit time) of “natural” death (due to ageing) of an individual organism $`\alpha `$ of species $`i`$ is $`p_d(i,\alpha ;t)`$.

Step III- Mutation: With probability $`p_{mut}`$ per unit time, mutations of intra-node characteristics and the interactions $`J`$ are implemented.

Step IV- Starvation death and killing by prey:

At every time step $`t`$, in addition to the natural death due to ageing, a further reduction of the population by

$$C\mathrm{max}(S_i^{},n_iS_i^+)$$
(1)
is implemented where $`n_i(t)`$ is the population of the species $`i`$ that survives after the natural death step above. $`C`$ is a constant of proportionality. If implementation of these steps makes $`n_i0`$, species $`i`$ becomes extinct.

Step V- Speciation: The nodes left empty by extinction are re-filled by new species, with probability $`p_{sp}`$ following the algorithm for speciation mentioned above.

The longest runs in our computer simulations were continued upto $`10^8`$ time steps. If each time step in our model is assumed to correspond to a real time of the order of one year, then the total time for which we have monitored our model eco-system, is comparable to real geological times scales.

## IV Results

### IV.1 Lifetime distributions

The average distributions of the lifetimes of the species are plotted in fig.1. It is not possible to fit a straight line through the data over the entire range of lifetimes although only a limited regime is consistent with a power-law with the effective exponent $`2`$, which has been predicted by several models of “macro”-evolution drossel ; newman . The overlap of the curves for different simulation times establishes that our simulations have reached the asymptotic regime where effects of initial conditions have been completely washed out. Because of the various known limitations of the available fossil data, it is questionable whether real extinctions follow power laws and, if so, over how many orders of magnitude.

### IV.2 Distributions of Species Characteristics

We define the mortality rate by the relation $`d\mathrm{ln}(survivors)/d(age)`$. The mortality rate extracted from the raw data is plotted against age in fig.2. The shape of this curve is consistent with the usual census data that show a minimum in childhood and exponential increase in adults.

During the early stages of the macro-evolution, the distributions of $`M`$ broadens. But, with further passage of time it shrinks and reaches a stationary form where the largest $`M`$ is around $`30`$ (for the parameter set used in our simulations). This is consistent with the view that organisms have a choice of either faster reproduction and shorter life or slower reproduction and longer life span.

### IV.3 Collapse of fragile ecosystems

One crucial effect of the generalization of the rule for speciation proposed in this paper is that the eco-systems are now much more stabilized than in our earlier papers csk ; cspre . In our earlier work, reported in ref.cspre  we allowed an empty node to be re-occupied by one of the non-extinct species from only the same level where the extinct node was located. If, by chance, all the nodes of one level fell vacant at some stage, no speciation could take place; this would trigger an avalanche of extinctions that would propagate upward in the food chain because of starvation of the organisms and eventually lead to a collapse of the entire eco-system. In contrast, in the current version of our model, speciation is allowed to take place from lower levels if all the nodes in an entire level become vacant. This reduces the possibility of collapse of the eco-system but does not rule it out completely. Work on further stabilization of the eco-system with variable $`\mathrm{}_{max}`$ is in progress and will be reported elsewhere in a future publication csbio .

## V Summary and conclusion

In summary, we have extended our dynamic network model for unified description of micro- and macro-evolution. A majority of the main characteristics of the model are emergent properties of the self-organizing dynamics of the system. The main effect of the extension of the speciation dynamics proposed in this paper is that even after large avalanches of extinctions the eco-system can recover by speciation and bio-diversification starting from the surviving species at the low trophic levels. Consequently, the complete collapse of the eco-system becomes extremely rare and the distribution of the litter size $`M`$ became stationary much faster.

Acknowledgements

We thank J.E. Cohen for useful correspondence and the Supercomputer Center Jülich for computer time on their CRAY-T3E. This work is supported by Deutsche Forschungsgemeinschaft (DFG) through a Indo-German joint research project.


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# The First Law for Slowly Evolving Horizons

## Abstract

We study the mechanics of Hayward’s trapping horizons, taking isolated horizons as equilibrium states. Zeroth and second laws of dynamic horizon mechanics come from the isolated and trapping horizon formalisms respectively. We derive a dynamical first law by introducing a new perturbative formulation for dynamic horizons in which “slowly evolving” trapping horizons may be viewed as perturbatively non-isolated.

The laws of black hole mechanics are one of the most remarkable results to emerge from classical general relativity. Recently they have been generalized to locally defined isolated horizons ih . However, since no matter or radiation can cross an isolated horizon, the first and second laws cannot be treated in full generality. Instead, the first law arises as a relation on the phase space of isolated horizons rather than as a truly dynamical relationship. Even existing physical process versions of the first law wg ; abf  consider transitions between infinitesimally separated isolated (or Killing) horizons. In this paper, we introduce a framework which allows us to extend the first law to all slowly evolving horizons, even those whose initial and final states are not infinitesimally separated. Additionally, we provide a simple characterization of how close a horizon is to equilibrium, which will be useful in the final stages of numerical simulations of black hole collisions. To obtain such a law, we first need a local dynamical definition of a black hole horizon. Hayward has introduced future outer trapping horizons (FOTHs) for exactly this purpose. Furthermore, he has shown that they necessarily satisfy the second law — their area cannot decrease in time hayward .

In this paper, we will show that both the zeroth and first laws are also applicable to FOTHs. In order to do so, we introduce dynamical notions of surface gravity and angular momentum which are applicable to all such horizons. It follows immediately that the surface gravity is necessarily constant if the horizon is in equilibrium (i.e. isolated). Next, we introduce the notion of a slowly evolving horizon, for which the gravitational and matter fields are slowly changing. It is only in this limited context that we expect to obtain the dynamical first law. We will show that this is indeed the case.

Let us begin by recalling Hayward’s definition:

Future Outer Trapping Horizon: A future outer trapping horizon (FOTH) is a smooth three-dimensional sub-manifold $`H`$ of space-time which is foliated by a preferred family of space-like two-sphere cross-sections $`H_v`$, with future-directed null normals $`\mathrm{}`$ and $`n`$. The expansion $`\theta _{(\mathrm{})}`$ of the null normal $`\mathrm{}`$ vanishes. Further, both the expansion $`\theta _{(n)}`$ of $`n`$ and $`_n\theta _{(\mathrm{})}`$ are negative.

This definition captures the local conditions by which we would hope to distinguish a black hole. Specifically, the expansion of the outgoing light rays is zero on the horizon, positive outside and negative inside. Additionally, the ingoing null rays are converging. As we will see, these horizons can be space-like or null and include both equilibrium and non-equilibrium states — an important feature for our perturbative study. By comparison, if one is interested only in the dynamical phase, the space-like dynamical horizons recently introduced by Ashtekar and Krishnan ak  are more relevant. However, such horizons are always expanding and so not so suitable for studying transitions to and from equilibrium.

Hayward hayward  has extensively studied the properties of FOTHs. Here, we summarize only those of his results which are important for our work. First, consider the quantities associated with the null vector fields $`\mathrm{}`$ and $`n`$, which we normalize so that $`\mathrm{}n=1`$. We denote their relative expansions $`\theta _{(\mathrm{})}`$ and $`\theta _{(n)}`$. Their twists are zero since they are normal to the $`H_v`$ cross-sections of the horizon. Finally, we write their shears as $`\sigma _{ab}^{(\mathrm{})}`$ and $`\sigma _{ab}^{(n)}`$.

Next, for each choice of the fields $`\mathrm{}`$ and $`n`$, there exists a scalar field $`C`$ on $`H`$ so that

$$𝒱^a=\mathrm{}^aCn^a\text{and}\tau _a=\mathrm{}_a+Cn_a,$$
(1)
are respectively tangent and normal to the horizon. Note that $`𝒱𝒱=\tau \tau =2C`$. Hayward hayward  has shown that if the null energy condition holds, then

$$C0$$
(2)
on a FOTH. Thus, the horizon must be either space-like or null, and the second law of trapping horizon mechanics follows quite easily. If $`\stackrel{~}{q}_{ab}`$ is the two-metric on the cross-sections, and $`\sqrt{\stackrel{~}{q}}`$ is the corresponding area element, then

$$_𝒱\sqrt{\stackrel{~}{q}}=C\theta _{(n)}\sqrt{\stackrel{~}{q}}.$$
(3)
By definition $`\theta _{(n)}`$ is negative and we have just seen that $`C`$ is non-negative. Hence we obtain the local second law: If the null energy condition holds, then the area element $`\sqrt{\stackrel{~}{q}}`$ of a FOTH is non-decreasing along the horizon hayward . Clearly on integration, the same law applies to the total area of the horizon. It is non-decreasing and remains constant if and only if the horizon is null.

To further restrict the rescaling freedom of the null vectors, we require that $`_𝒱v=1`$, where $`v`$ is the foliation parameter labeling the cross-sections. Thus, choosing the foliation parameter fixes the length of $`𝒱^a`$, $`\tau ^a`$, and the null vectors. However, at this stage we are still free to change the foliation labeling and, by doing so, rescale $`𝒱^a`$ and the null vectors by functions of $`v`$. From the isolated horizon perspective, the normalization we have chosen is very natural, as in that case $`𝒱^a=\mathrm{}^a`$ and it is customary to choose the foliation parameter $`v`$, so that $`n=dv`$.

Physical characterization of trapping horizons — The laws of black hole mechanics are given in terms of physical quantities such as energy, angular momentum, surface gravity and area. One of the advances of the isolated horizon formalism was to provide definitions of all these quantities at the horizon, without reference to space-like infinity or the space-time in which the horizon is embedded abf ; ih . In generalizing these definitions to FOTHs, we will be motivated by two requirements: i) the new definitions should match the old ones when trapping horizons are isolated and ii) the new definitions should depend only on quantities that are intrinsic to the horizon, and as such truly be properties of the horizon itself. That said, the ultimate justification for these expressions will be found in their utility in the calculations that follow.

For isolated horizons both surface gravity and angular momentum were defined with respect to a one-form $`\omega _a`$ which can be written as:

$$\omega _a:=n_b\underset{}{}_a\mathrm{}^b,$$
(4)
where the arrow signifies that the derivative is pulled back to the horizon. Then, the isolated horizon surface gravity is given by $`\kappa _{\mathrm{}}=\mathrm{}^a\omega _a`$ while angular momentum information is contained in the other components of $`\omega _a`$.

Now, $`\omega _a`$ written in this form (equation (4)) continues to be an intrinsically well-defined quantity for trapping horizons. Then, an obvious generalization is to define:

$`\kappa _v`$ $`:=`$ $`𝒱^a\omega _a(=n_b𝒱^a_a𝒱^b)\text{and}`$
$`J_\phi `$ $`:=`$ $`{\displaystyle \frac{1}{8\pi }}{\displaystyle _{H_v}}d^2x\sqrt{\stackrel{~}{q}}\phi ^a\stackrel{~}{\omega }_a,`$ (5)
where $`\phi ^a`$ is any vector field tangent to the horizon cross-sections, and $`\stackrel{~}{\omega }_a`$ is the projection of $`\omega _a`$ into the 2-surface $`H_v`$. In the case where $`\phi ^a`$ is divergence free, $`J_\phi `$ is independent of the normalization of $`\mathrm{}`$ and equal to other popular expressions for angular momentum (such as the Komar, Brown–York by  or Ashtekar–Krishnan ak  definitions). It is clear that both the surface gravity $`\kappa _v`$ and angular momentum $`J_\phi `$ expressions reduce to their isolated horizon values if the horizon is null.

The constraint law — Consider the set of vector fields in $`H`$ that generate one-parameter families of diffeomorphisms that map two-dimensional cross-sections $`H_v`$ of the horizon into each other. Any such vector field may be written in the form $`X^a=x_o𝒱^a+\stackrel{~}{x}^a`$, for some function $`x_o(v)`$ and vector field $`\stackrel{~}{x}^a`$ that is everywhere tangent to an appropriate cross-section. Then, by integrating the $`\tau ^aX^b`$ component of the Einstein equations over $`H_v`$, we obtain the following relationship:

$`{\displaystyle \frac{1}{8\pi G}}{\displaystyle _{H_v}}d^2x\left[\kappa _v_X\sqrt{\stackrel{~}{q}}+\stackrel{~}{x}^a_𝒱(\sqrt{\stackrel{~}{q}}\stackrel{~}{\omega }_a)\right]`$ (6)
$`={\displaystyle _{H_v}}d^2x\sqrt{\stackrel{~}{q}}\left[T_{ab}X^a\tau ^b\right]`$
$`+{\displaystyle \frac{1}{16\pi G}}{\displaystyle _{H_v}}d^2x\sqrt{\stackrel{~}{q}}(\sigma ^{(\mathrm{})ab}+C\sigma ^{(n)ab})(_X\stackrel{~}{q}_{ab})`$
$`+{\displaystyle \frac{1}{16\pi G}}{\displaystyle _{H_v}}d^2x\left[2C\sqrt{\stackrel{~}{q}}(_X\theta _{(n)})+C\theta _{(n)}(_X\sqrt{\stackrel{~}{q}})\right].`$
A full derivation of this result will be given in bfbig  and in another paper we will see that this relation plays a crucial role in the Hamiltonian formulation of general relativity on manifolds with FOTHs as boundaries bfham . Here, we show that in certain restricted situations equation (6) becomes a first law for dynamical black holes.

Quasi-stationary horizons — At first glance, one might think that (6) is already the dynamical first law of black hole mechanics. After all, it relates rates of change of area and angular momentum to fluxes across the horizon. However, there are several reasons why this is not so. The first and most important is that we should not expect the standard $`\kappa \dot{a}`$ form of the first law to hold in all dynamical situations. In thermodynamics, it is only in the quasi-static case that it is possible to write the energy balance equation as

$$dE=TdS+\text{work terms}.$$
(7)
Furthermore, in the general case, there is no clear interpretation of the right hand side of (6) as a flux of energy through the horizon. Instead, we will require the horizon to be “quasi-stationary” and then obtain a first law.

Heuristically, it is clear that the properties of a quasi-stationary horizon, such as the area and surface gravity , should be slowly varying. However, since there is a rescaling freedom in the vector field $`𝒱`$, requiring $`(_𝒱\sqrt{\stackrel{~}{q}})/\sqrt{\stackrel{~}{q}}`$ to be small is not a meaningful condition — it can be satisfied on any trapping horizon by suitably rescaling $`𝒱`$. Furthermore, we cannot fix the norm of $`𝒱`$ (or its average) to unity since we are interested in the limit as $`𝒱`$ becomes null. Instead, we introduce the one-form $`\chi _a:=d_av`$ satisfying $`𝒱\chi =1`$, and require $`(_𝒱\sqrt{\stackrel{~}{q}})(_\chi \sqrt{\stackrel{~}{q}})/\stackrel{~}{q}`$ to be small compared to the characteristic scale of the horizon. This condition is invariant under rescalings and the expression vanishes whenever the horizon is null. On a space-like horizon, $`(_𝒱\sqrt{\stackrel{~}{q}})(_\chi \sqrt{\stackrel{~}{q}})=\stackrel{~}{q}C\theta _{(n)}^2`$ and so is closely related to the expansion of the surface (see equation (3)). By evaluating this expression, we can invariantly determine the expansion rate of the horizon and choose the foliation accordingly. Then, we require other fields to be slowly varying with respect to this foliation.

Slowly Evolving Horizon: A region of a future outer trapping horizon $`H`$ with $`v[v_1,v_2]`$, is slowly evolving (at a rate $`ϵ`$) if there exists a parameter $`ϵ1`$ such that,

1. On every cross section $`H_v`$ with $`v[v_1,v_2]`$,
$`{\displaystyle _{H_v}}d^2x\sqrt{\stackrel{~}{q}}\left(\stackrel{~}{q}^{ab}_a𝒱_b\right)\left(\stackrel{~}{q}^{cd}_c\chi _d\right)ϵ^2.`$
2. The foliation parameter $`v`$ is chosen so that $`|𝒱|=\sqrt{2C}ϵ`$, and its rates of change are similarly small over the horizon.
3. The one-form $`\stackrel{~}{\omega }_a`$ and expansion $`\theta _n`$ are slowly evolving: $`|_𝒱\stackrel{~}{\omega }_a|ϵ/r_H^2`$ and $`|_𝒱\theta _{(n)}|ϵ/r_H^2`$, where $`r_H`$ is the area radius of the horizon, $`a_H=4\pi r_H^2`$.
4. $`|\stackrel{~}{}|,|\omega |^2,|\sigma ^{(n)}|^2`$ and $`T_{ab}n^an^b1/r_H^2`$ or smaller.

The first condition gives an invariant characterization of slow expansion. The second condition restricts the foliation to guarantee that the area is slowly evolving with respect to $`𝒱^a`$, specifically $`(_𝒱r_H)ϵ^2`$. The third requires other geometric quantities to also be slowly evolving, while the fourth fixes a reasonable horizon geometry and demands that conditions in the surrounding space-time not be too extreme, here $`\stackrel{~}{}`$ is the Ricci scalar of the two-surfaces $`H_v`$. An immediate consequence of our definition is that isolated horizons are examples of slowly evolving horizons with $`ϵ=C=0`$ (provided condition 4 is satisfied).

Let us now consider the implications of this definition. Here, we will simply state the consequences, a more complete discussion will be given in bfbig . For concreteness, we restrict the allowed matter to be scalar and/or electromagnetic fields. From a projection of the Einstein equations and condition 2, we can show that

$$|\sigma _{ab}^{(\mathrm{})}|ϵ\text{and}T_{ab}\mathrm{}^a\mathrm{}^bϵ^2.$$
(8)
(Here and in the following, we choose to focus on the $`ϵ`$ factors. The powers of $`r_H`$ required to make the equations dimensionally correct are omitted.) Then, the allowed form of the matter fields forces $`T_{ab}\mathrm{}^a\stackrel{~}{x}^bϵ`$ and $`_𝒱(T_{ab}\mathrm{}^an^b)ϵ`$. Further application of the Einstein equations and Bianchi identities gives the Weyl components $`\mathrm{\Psi }_0,\mathrm{\Psi }_1ϵ`$ and $`_𝒱\stackrel{~}{}ϵ`$. On an isolated horizon each of these quantities would be zero. Lastly, condition 3 is sufficient to guarantee that

$$|_𝒱\kappa _v|ϵ\text{and}|\stackrel{~}{q}_a^b_b\kappa _v|ϵ.$$
(9)
Therefore, on a slowly evolving horizon, the surface gravity is a slowly varying function and we can write

$$\kappa _v=\kappa ^{(0)}+ϵ\kappa ^{(1)},$$
(10)
where $`\kappa ^{(0)}`$ is a constant. Recall that an isolated horizon corresponds to $`ϵ=0`$. Hence, we immediately obtain the zeroth law: the surface gravity of a FOTH is constant if the horizon is isolated.

The dynamical first law — We can now derive the first law for slowly evolving horizons. First we consider evolution with respect to $`𝒱^a`$, an appropriate evolution vector for a horizon with no obvious axis of symmetry — a non-rotating horizon. Setting $`\stackrel{~}{x}^a=0`$ and $`x_o=1`$ in the constraint law (6) and expanding in powers of $`ϵ`$, we find that all terms vanish at zeroth and first order. Then, to $`𝒪(ϵ^2)`$, the first law for a slowly evolving horizon reads:

$$\frac{1}{8\pi G}\kappa ^{(0)}\dot{a}_H=\dot{E}:=_{H_v}d^2x\sqrt{\stackrel{~}{q}}\left[T_{ab}\mathrm{}^a\mathrm{}^b+\frac{1}{8\pi G}|\sigma ^{(\mathrm{})}|^2\right],$$
(11)
where the dot signifies a derivative with respect to $`v`$. It says that the surface gravity multiplied by the change in area is equal to a flux of energy through the horizon. This flux is comprised of two terms, both of which are positive. The first is the flux of matter through the horizon and is familiar from standard physical process versions of the first law wg . The second term is a flux of gravitational shear through the horizon — which would naturally be interpreted as a flux of gravitational radiation. A similar term has been obtained previously by Hawking hawking  when considering perturbations of an event horizon.

We would like to “integrate” (11) in order to obtain an expression for the energy of the horizon. To this end, we further restrict the choice of $`𝒱^a`$ by requiring that:

$$\kappa ^{(0)}=\frac{1}{2r_H}.$$
(12)
Note that while we cannot prove that this rescaling is possible on every slowly evolving horizon, we can show that if the horizon satisfies a certain genericity condition, it will be. In particular, perturbations to Schwarzschild and non-extremal Kerr horizons will satisfy the condition. Since $`\kappa ^{(0)}`$ is a function of $`r_H`$ alone, we can integrate the $`\kappa \dot{a}`$ term in (11) to obtain the usual expression for the energy

$$E=\frac{r_H}{2G}.$$
(13)
Rotating horizons — Next, consider rotating horizons. In (The First Law for Slowly Evolving Horizons) we gave a definition for the angular momentum. However, this quantity only has a physical significance if the vector field $`\phi ^a`$ is an (approximate) symmetry of the horizon. Hence, we define an

Approximately symmetric horizon: The vector field $`\phi ^a`$ is an approximate symmetry of a trapping horizon if

1. $`\phi ^a`$ is tangent to the cross sections of the horizon, generates a family of closed integral curves and is normalized so that those curves have affine parameter length $`2\pi `$.
2. $`\phi ^a`$ is Lie dragged up the horizon by $`𝒱^a`$, i.e. $`_𝒱\phi ^a=0`$.
3. $`\phi ^a`$ is an approximate symmetry of the horizon geometry and matter fields: $`|\stackrel{~}{q}^{ab}_a\phi _b|<ϵ^2`$, $`|_\phi \stackrel{~}{q}_{ab}|<ϵ`$, $`|_\phi \stackrel{~}{\omega }_a|<ϵ`$, $`|_\phi \theta _{(n)}|<ϵ`$ and $`|T_{ab}\phi ^a\mathrm{}^b|<ϵ^2.`$ (These conditions are analogous to those satisfied by $`𝒱^a`$ on a slowly evolving horizon).

For a slowly evolving horizon which is approximately symmetric, the angular momentum $`J_\phi `$ is a meaningful quantity. Going back to the constraint law and setting $`x_o=0`$ and $`\stackrel{~}{x}^a=\phi ^a`$ we find its time rate of change. As in the non-rotating case, equation (6) will vanish at zeroth and first orders in $`ϵ`$. To second order we have:

$$_𝒱J_\phi =_{H_v}d^2x\sqrt{\stackrel{~}{q}}\left[T_{ab}\tau ^a\phi ^b+\frac{1}{16\pi G}\sigma ^{(\mathrm{})ab}(_\phi \stackrel{~}{q}_{ab})\right].$$
(14)
Thus, the rate of change of angular momentum of the horizon depends upon the flux of matter and gravitational fields through the horizon.

To get a general first law, we would like to combine the rate of change of angular momentum with the first law for non-rotating horizons (11). To do this, we again fix the average value of the surface gravity as well as an angular velocity $`\mathrm{\Omega }`$ (we are following a similar strategy to that taken in ak , though with the caveat that here only the average value of the surface gravity is fixed). We do this by requiring that both take the same values as in a Kerr space-time with the same $`J_\phi `$ and $`a_H`$:

$$\mathrm{\Omega }:=\frac{2GJ_\phi }{r_H\sqrt{r_H^4+4G^2J_\phi ^2}}\text{and}\kappa ^{(0)}=\frac{r_H^44G^2J_\phi ^2}{2r_H^3\sqrt{r_H^4+4G^2J_\phi ^2}}.$$
(15)
With area and angular momentum slowly changing up the horizon, the angular velocity is also slowly varying.

Finally, we consider the full constraint law (6) with the evolution vector field $`X^a`$ chosen as

$$t^a:=𝒱^a+\mathrm{\Omega }\phi ^a.$$
(16)
Then, we can once again expand out the constraint law (6) to order $`ϵ^2`$ and this time obtain:

$`\dot{E}`$ $`=`$ $`{\displaystyle \frac{1}{8\pi G}}\kappa ^{(0)}\dot{a}+\mathrm{\Omega }\dot{J}_\phi \text{where}`$ (17)
$`\dot{E}`$ $`:=`$ $`{\displaystyle _{H_v}}d^2x\sqrt{\stackrel{~}{q}}\left[T_{ab}t^a\tau ^b+{\displaystyle \frac{1}{16\pi G}}\sigma ^{(\mathrm{})ab}\left(_t\stackrel{~}{q}_{ab}\right)\right].`$
Since $`\kappa ^{(0)}`$ and $`\mathrm{\Omega }`$ are specific functions of only $`r_H`$ and $`J_\phi `$, it is once again possible to “integrate” the left hand side of the equation to obtain as an expression for the energy

$$E=\frac{\sqrt{r_H^4+4G^2J_\phi ^2}}{2Gr_H}.$$
(18)
This $`E`$ is equal to the energy of a rotating isolated horizon with the preferred choice of normalization for $`\mathrm{}`$, and in particular is the mass of a Kerr black hole with parameters $`a_H`$ and $`J_\phi `$.

The notion of a slowly evolving horizon provides a bridge between the equilibrium of isolated horizons and the fully dynamical horizons of ak . In particular, our first law (17) bears a striking resemblance to the dynamical horizon energy balance formula. There are, however, several important differences. Firstly, we restrict to slowly evolving horizons, which are near to equilibrium. Doing so enables us to provide a locally defined surface gravity $`\kappa _v`$ which is shown to be slowly varying over the horizon. This surface gravity maintains its usual interpretation as the acceleration of a vector field, $`𝒱^a`$, along the horizon. Secondly, we do not obtain an equivalent of the $`|\zeta |^2`$ term of ak , which is likely related to angular momentum. However, we expect that term would vanish at the order of perturbation theory which we are considering. In the future, we plan to examine the connection between these two formulations in more detail and determine in what precise sense our first law can be seen as a perturbative form of the dynamical horizon energy balance formula.

To summarize, we have examined conditions for which a slowly evolving FOTH may be said to be “perturbatively non-isolated”. This has allowed us to obtain a truly dynamical version of the first law of black hole mechanics. However, we expect that the notion of a slowly evolving horizon will also find application in numerical studies of how horizons settle down to equilibrium. Specifically, one could track the approach of the parameter $`ϵ`$ to zero.

We would like to thank A. Ashtekar, C. Beetle and B. Krishnan for discussions. SF was supported by the Killam Trusts at the University of Alberta and NSF grant PHY–0200852 at UWM; IB was supported by NSERC.


text:
# COMMUNITY STRUCTURE IN JAZZ

## I Introduction

In the last years the physics community has devoted a strong effort to the study of social networks Newman1 . The availability of large databases containing information on the collaborations between movie actors, scientists, etc. has allowed for many statistical properties of these networks to be characterized. Albert . They revealed that some characteristics appear to be general for these kind of networks. In particular they show the so called small world property, that is the average distance between vertices is small, while the clustering of vertices remains high.It has also been observed that the degree distribution $`P(k)`$ is skewed. In the particular case where $`P(k)`$ presents a power law tail the network is known as scale free.Barabasi .

An interesting point which has recently been brought to attention is the community structure of networks. Communities appear in networks where vertices join together in tight groups that have few connections between them. By eliminating these connections it is possible to isolate the communities. In fact this is the main idea behind the algorithm that Girvan and Newman have recently proposed Girvan .

In this work we study the topology and the community structure of the collaboration network of jazz musicians. In order to do so we construct the network at two different levels. First we build the network from a ’microscopic’ point of view. In this case each vertex corresponds to a musician, and two musicians are connected if the have recorded in the same band. Then we build the network from a ’coarse-grained’ point of view. In this case each vertex corresponds to a band, and a link between two bands is established if they have at least one musician in common. Clearly, this is the most simple way in which one can establish a connection between bands, and the definition can be extended to incorporate directed and/or weighted links. However, we show that even by using this simple definition we are able to recover essential ingredients of the social interactions between the musicians.

We characterize the topology of these networks by studying the degree distributions, clustering and average nearest neighbors degree. A comparison of the quantitative properties of the musicians and bands networks reveals differences which are analyzed in detail. We also study the community structure of both networks. This analysis reveals the presence of communities which have a strong correlation with the recording locations of the bands, and also shows the presence of racial segregation between the musicians. These characteristics are well documented in jazz history Grove .

Finally, we characterize quantitatively the community size distribution $`P(s)`$. The shape of this distribution presents a surprising similarity with the results reported in a recent study of the e-mail network in the University Rovira i Virgili in Tarragona, Spain Guimera .

## II The Jazz Network

The data was obtained from The Red Hot Jazz Archive digital database redhotjazz . In our analysis we include $`198`$ bands that performed between $`1912`$ and $`1940`$, with most of the bands in the $`1920`$’s. The database lists the musicians that played in each band without distinguishing which musicians played at different times, so it is not possible to study the time evolution of the collaboration network. The bands contain $`1275`$ different names of musicians. However, it is important to stress that this number does not necessarily represent the number of individuals, similar to the comment noted in Newman2 . The same musician might appear with different names in the database. For example, the musician Henry Allen appears as Henry Allen, Red Allen or Henry Red Allen. Also in some bands the names of some musicians are not known. As a consequence they are cited in the database with the same name: unknown. In Fig. 1 we show the distribution of musicians that have played in a band. It presents a skewed shape, with a peak around $`510`$ musicians and a few large bands that include up to $`171`$ musicians.

Let us begin with the collaboration network of individuals. Since some musicians have played in more than one band we obtain a modular network, formed by fully connected modules (bands) which are also connected between each other. Using this definition we obtain a network with a mean distance of $`2.79`$ and, as we show later, with very high clustering. The bands network is also a small world, with a mean distance of $`2.26`$, slightly smaller than the distance between musicians. This is an expected result, since in the musicians network an individual may need to contact a musician in his band in order to reach a musician in another band.

We measure the typical quantities used to characterize complex networks. First we study the degree distribution and its correlations. Then we look at the clustering coefficient and how it depends on the degree $`k`$. In Fig. 2 we show the cumulative degree distribution $`P(k)`$, i.e. the probability for a vertex to have a degree larger or equal to $`k`$. In the musicians network, shown in Fig. 2(a), a slow decay with a power law tail $`P(k)(1+a_0k)^{\alpha _m}`$ with $`a_0=0.022(1)`$ and $`\alpha _m=1.38(1)`$ is observed for values of $`k`$ up to $`k=170`$. This value coincides with the degree of the musicians which have only played in Paul Whiteman’s Orchestra, the band that includes the largest number of musicians. For $`k>170`$ a faster decay is observed. In table I we present the names of the ten most connected musicians with their corresponding $`k`$ values.

Fig. 2(a) reveals that there are few musicians which have a very large number of connections. Does this mean that these musicians play the role of hubs, and connect a large number of bands or is it simply that they have just played in the few bands which include the largest number of musicians? One way to tackle this question is to eliminate all the links between musicians in the same band and consider only the links between bands. This is precisely what we do when we build the bands network. In Fig. 2(b) we present the behavior of $`P(k)`$ for the bands network. A clear stretched exponential behavior $`P(k)exp((k/k^{})^{\alpha _b})`$ with $`k^{}=32.8(1)`$ and $`\alpha _b=1.78(1)`$ is observed. This result suggests that the bands are interconnected with a characteristic number of links. However we should keep in mind the fact that in the bands network construction two bands are connected by just one link, although they may share more than one musician. Clearly, just by analyzing the degree distributions we cannot answer the question. In order to advance one step forward we will study the correlations present in the networks.

It has been observed that social networks show ”assortative mixing” on their degrees, that is, there is a preference for high degree vertices to connect to other high degree vertices Newman . In order to characterize the degree correlations present in the jazz collaboration network we study the behavior of the average nearest neighbors degree of the vertices of degree $`k`$ Pastor , defined as

$$k_{nn}(k)\underset{k^{}}{}k^{}P(k^{}|k)$$
(1)
where $`P(k^{}|k)`$ is the conditional probability that a vertex of degree $`k`$ is connected to a vertex of degree $`k^{}`$. Fig. 3(a) shows the behavior of $`k_{nn}`$ as a function of $`k`$ for the musicians network. A clear increase in $`k_{nn}`$ is observed as $`k`$ grows. For $`k<170`$ this could simply reflect the trivial fact that musicians are already grouped in bands of different sizes. We known that the musicians with $`k>170`$ have more links than the ones they get simply by playing in one band. However, when we consider only these musicians the behavior of $`k_{nn}`$ is very noisy, and no tendency can be extracted. Fig. 3(b) shows the behavior of $`k_{nn}`$ for the bands network. In this case no correlation is observed, and $`k_{nn}`$ fluctuates around a constant value independent of $`k`$. Again we observe that both networks present different results which do not help us to understand the role played by the most connected musicians.

We have also measured the clustering coefficient $`C_k`$ around nodes of degree $`k`$, which gives the fraction of neighbors of nodes with degree $`k`$ that are linked. Fig. 3(a) shows that the musicians network is highly clustered. $`C_k1`$ up to $`k30`$, and then presents a slow decay with oscillations. The peaks of these oscillations coincide with the $`k`$ values of the large bands. This result is expected by construction, since the musicians network is formed by fully connected modules which have $`C=1`$ by definition. The bands network also presents a large clustering with $`C_k1`$ up to $`k30`$ followed by a slow decay.

In this section we have analyzed the typical quantities which are used to characterize the statistical properties of networks. The analysis and comparison of the results obtained leaves a number of open questions. On one hand the degree distribution of the musicians network shows a skewed shape, with a power law tail and a small number of musicians with a very large number of connections. On the other hand the bands network presents a stretched exponential distribution revealing that they are interconnected with a characteristic number of links. The correlations also show different properties, on one hand the musicians network shows a positive correlation which seems to indicate assortative mixing in the degrees, while the bands network does not present any correlations at all.

How can we be confident that we are truly studying the collaboration network of jazz musicians? Are the different ways of constructing the networks creating misleading artificial artifacts or do they give us a real insight into the collaboration structure? In the next section we use the community structure analysis to answer these questions. As we show the different constructions do capture essential ingredients of the collaborations between the musicians. Also the community structure analysis allows for a quantitative characterization of the network other than the ones presented in this section.

## III Community structure of the jazz network

To analyze the community structure we use the method proposed by Girvan and Newman Girvan . The algorithm is based on the concept of edge betweenness freeman , which is defined as the number of minimum paths connecting pairs of nodes that go through that edge. The main idea is that edges which connect highly clustered communities have a higher edge betweenness, and therefore cutting these edges should separate communities. The algorithm proceeds as follows:

1. The edge betweenness of every edge in the network is calculated
2. The edge with the highest betweenness is removed. If more than one edge has the highest value then one of them is chosen at random.
3. All the betweennesses are recalculated and step 2 is repeated until no edges remain.

In order to describe the splitting process we generate a binary tree, as described in Guimera , where bifurcations depict communities and leaves represent the actual vertices of the network. Note however, that since the musicians network is constructed by connecting fully connected modules, the tips of the branches do not necessarily correspond to the most central musicians in the network. In fact, once a band is disconnected from the large component all its edges are completely equivalent.

In Fig. 4 we show the binary tree corresponding to the musicians network. The root of the tree is indicated with a blue circle. Going from the root of the tree to its tip, we note that first a few small branches separate. A little further on, the tree splits into two large branches or communities, which then split further into smaller ones. This separation into two distinct communities can be interpreted as the manifestation of racial segregation which was present at that time. Although a small number of collaborations existed between races, most bands were exclusively comprised of one race or the other. As a consequence a division in two large communities separating black and white musicians should be present. In fact, an analysis of the names of the musicians shows that the musicians on the left community are black while the musicians on the right are white.

In the previous section we have shown that the musicians network presents a positive correlation on the degrees. However, it was not clear if this result indicated the presence of assortative mixing on the degree or simply reflected the way in which the network was constructed. Let us analyze this point using the community structure results. In Fig. 4 we indicate with color green the musicians with $`k>170`$. A visual inspection of the figure reveals that these musicians are divided mainly into two communities. An analysis of the names of these $`55`$ musicians Gleiser  reveals that the musicians in the three communities on the left of the figure are only black musicians, while the musicians in the right community are all white. This results shows that the network presents assortative mixing on the degree, and also shows a clear racial segregation at least for the most connected musicians.

Let us analyze now the community structure of the bands network. In Fig. 5 we show the binary tree obtained using the Girvan Newman algorithm. The bands network reveals a very simple community structure. The tree is roughly divided into two large communities as expected. However, the largest community also splits into two communities. In order to show the origin of this division we have analyzed the cities where the bands recorded. In Fig. 5 we indicate with color red the bands that have recorded in New York. The bands that recorded in Chicago are indicated with blue. Clearly Chicago and New York dominate as preferred recording locations. The figure shows that the recording locations play a fundamental role in the division of communities. Note that New York appears in two different branches as a preferred recording location. A closer look at the names of the bands in the different communities reveals again a racial segregation between black and white bands. The upper branch correspond to bands with white musicians, while the lower branches correspond to bands with black musicians.

Let us resume the results we obtained in this section. Fig. 4 clearly shows that the musicians network is assortative on the degree. It also reflects racial segregation between musicians. We have also seen that the division into communities presents a strong correlation with the geographical locations where the bands recorded. These results show that the musicians and bands network capture essential ingredients of the collaboration network of jazz musicians. With this in mind we characterize quantitatively the community structure. In order to do so we calculate the cumulative community size distribution $`P(s)`$ as in Guimera . This quantity gives the probability of a community to have a size larger or equal to $`s`$. Fig. 6 shows that this distribution is heavily skewed, with a slow decay for community sizes up to $`s200`$, which roughly corresponds to the size of the largest band. This is followed by a faster decay and a cutoff corresponding to the size of the system at $`s1000`$. A comparison of the shape of $`P(s)`$ with the results obtained in a recent study of the e-mail network of University Rovira i Virgili Guimera  shows a surprising similarity. In fact, as shown in Fig. 6, both networks present a power law decay with the same exponent $`0.48`$ up to $`s200`$. For small values of $`s`$ the jazz network deviates from this behavior, reflecting the fact that musicians are already grouped in bands of a certain size (see Fig 1), an effect which is not present in the e-mail network.

This result leaves a number of open questions. Are there fundamental laws regarding the social interactions that lead to the formation of community structures? Can these structures be characterized quantitatively? We hope that future work along these lines will help us to answer these interesting questions.

## Acknowledgments

The authors acknowledge financial support from the Spanish Ministerio de Educación, Cultura y Deporte, DGES (Grant No. BFM2000-0626) and European Commission - Fet Open project COSIN IST-2001-33555. They wish to thank Fede Bartumeus, Marián Boguñá, Albert Díaz Guilera, Conrad Pérez and Enric Vázquez for useful comments and suggestions, as well as Roger Guimerà and Alex Arenas for the original code. P. M. G. thanks Fundación Antorchas and L. D. thanks Generalitat de Catalunya for financial support.


text:
# Precise measurement of hyperfine structure in the 5𝑃_{3/2} state of 85Rb

## Abstract

We demonstrate a technique to measure hyperfine structure using a frequency-stabilized diode laser and an acousto-optic modulator locked to the frequency difference between two hyperfine peaks. We use this technique to measure hyperfine intervals in the $`5P_{3/2}`$ state of 85Rb and obtain a precision of 20 kHz. We extract values for the magnetic-dipole coupling constant $`A=25.038(5)`$ MHz and the electric-quadrupole coupling constant $`B=26.011(22)`$ MHz. These values are a significant improvement over previous results.

The use of tunable diode lasers has revolutionized the field of atomic physics Camparo (1985) and particularly laser spectroscopy. The $`D`$-lines of most alkali atoms can be conveniently accessed using diode lasers. Therefore, they have been used extensively on alkali atoms as tools for pump-probe spectroscopy, optical-pumping experiments, quantum optics, and the study of three-level systems. They find widespread use in experiments on laser cooling and Bose-Einstein condensation of alkali atoms. They have also been proposed as potential low-cost alternatives for optical-frequency standards Ye et al. (1996). We have been exploring the use of diode lasers for precise measurements of hyperfine intervals in the excited state of alkali atoms. Precise knowledge of hyperfine intervals provides valuable information about the structure of the nucleus (nuclear deformation) and its influence on atomic wavefunctions Arimondo et al. (1977); Blundell et al. (1991). The exact knowledge of atomic wavefunctions is particularly important in alkali atoms because of their use in experiments such as atomic signatures of parity violation Wood et al. (1997).

In this paper, we demonstrate the use of a single diode laser and an acousto-optic modulator (AOM) for precise hyperfine-structure measurements in the excited state of Rb. In our technique, the laser is first locked to a given hyperfine transition. The laser frequency is then shifted using the AOM to another hyperfine transition and the AOM frequency is locked to this frequency difference. Thus the AOM frequency directly gives a measurement of the hyperfine interval. We demonstrate a precision of 20 kHz in the measurement of the intervals in Rb. Other techniques Arimondo et al. (1977) such as level crossing, double resonance, or using stabilized Fabry-Perot cavities have accuracy limited to the MHz level. So far, the most precise hyperfine measurements have been done in the $`5P_{3/2}`$ state of 87Rb by Ye et alYe et al. (1996). In their method, two ultra-stable Ti-sapphire lasers are locked to different hyperfine peaks with an accuracy of 1/2000th of the line center. The beat frequency of the two lasers is measured on a fast photodiode to obtain the hyperfine interval with a precision of 10 kHz. The stability of the laser lock in our technique is only of order 1/20th of the line center, but we are still able to achieve high precision because the two laser beams are derived from the same laser and their fluctuations are correlated. Indeed, if we could lock the laser to 1/2000th of the line center, we believe our technique can be pushed below the kHz level.

The schematic of the experiment is shown in Fig. 1. The output of the frequency-stabilized diode laser is split into two parts. One part goes into a Rb saturated-absorption spectrometer (SAS1). The output from this spectrometer is used to lock the laser to a given hyperfine transition of the $`D_2`$ line ($`5S_{1/2}5P_{3/2}`$ transitions). The second part goes into an AOM, where the frequency gets shifted, and then the shifted beam goes to a second Rb saturated-absorption spectrometer (SAS2). The frequency shift is adjusted so that the shifted beam is on a neighboring hyperfine transition. The output from the spectrometer is demodulated and fed back to the voltage-controlled oscillator (VCO) of the AOM driver. Thus, the servo loop locks the AOM frequency to the frequency difference between the two hyperfine transitions. The AOM frequency, and hence the hyperfine interval, is read using a frequency counter.

The laser is a standard external-cavity diode laser stabilized using optical feedback from a piezo-mounted grating MacAdam et al. (1992); Banerjee et al. (2001). The r.m.s. linewidth of the laser after stabilization is measured to be below 500 kHz. The AOM produces variable frequency shifts in the range of 75 MHz to 135 MHz, which covers almost all the intervals in the Rb $`D_2`$ line. The AOM frequency is measured using a frequency counter whose internal clock is phase locked to a quartz oscillator with a stability of 5 ppm. This stability corresponds to a maximum error of 600 Hz in the measured intervals, which is about two orders of magnitude smaller than the accuracy reported in this work. The intensities of the pump and probe in the saturated-absorption spectrometer are carefully adjusted (to a ratio of about 3) to avoid optical-pumping effects and the effect of velocity redistribution of the atoms in the vapor cell from radiation pressure Grimm and Mlynek (1989). Such effects manifest themselves as inversion of hyperfine peaks or distortion of the Lorentzian lineshape. It is important to avoid these effects since they can lead to systematic shifts in the peak position.

The error signals needed for locking are produced by modulating the injection current into the diode laser at a frequency of 18 kHz. The error signal is obtained from the Doppler-subtracted saturated-absorption signal by phase-sensitive detection at the third harmonic of the modulation frequency Wallard (1972). This is known to produce narrow error signals that are free from effects due to residual Doppler background or intensity fluctuations. In Fig. 2, we show a typical third-harmonic error signal as the laser is scanned across the $`F=3F^{}`$ transitions of the $`D_2`$ line in 85Rb. The various hyperfine components are clearly resolved and labeled according to the value of $`F^{}`$. Crossover resonances that occur exactly half-way between two hyperfine peaks are labeled with the two values of $`F^{}`$ in brackets. The depth of modulation of the laser is adjusted to get such sharp error signal with good signal to noise ratio.

In order to test the reliability of this technique, we have first measured hyperfine intervals in the $`5P_{3/2}`$ state of 87Rb. These intervals are already known with an accuracy below 10 kHz from the work of Ye et alYe et al. (1996). Therefore, the measurement acts as a good check on our error budget. In Fig. 3, we compare our values with the values reported by Ye et al. The values overlap very well at the $`1\sigma `$ level, though our error bars are larger. The error quoted is the sum of the statistical and systematic errors, which is 30 kHz for these measurements. For two intervals, the error is doubled to 60 kHz because we measure only half the interval (using crossover resonances).

With the confidence from the above measurements in 87Rb, we have proceeded to measure hyperfine intervals in 85Rb. The intervals and their measured values are listed in Table 1. The $`5P_{3/2}`$ state has four hyperfine levels, and thus has only three independent intervals. Therefore, the five measurements listed in Table 1 can be combined in different ways to calculate the three intervals. For example, measurements 3 and 4 are two independent measurements of the same $`\{F=4\}\{F=2\}`$ interval, but using different hyperfine transitions. The consistency of these two values within the error bars acts as a further check on our error budget. Similarly, the other values have been checked for internal consistency in the determination of the intervals. The values of the three intervals are shown in Fig. 4a. Two of these intervals have errors of about 30 kHz after propagating errors from the measured intervals in Table 1.

The dominant source of error in our measurement is the error arising from fluctuations in the lock point of the laser. The gating time of the frequency counter is limited to 10 s, and this results in statistical variation in the measured values. With longer integration times, we believe that this error can be reduced below the kHz level. We have considered the following sources of systematic error and conclude that they are all within the quoted errors. Systematic shifts of the hyperfine peaks due to lineshape modification in the saturated-absorption spectrum (mentioned earlier) are checked by the internal consistency checks described above. Different hyperfine transitions have differing effects (e.g. due to optical pumping) and suffer varying shifts. Similarly, the consistency of our results for 87Rb with the results of Ye et alYe et al. (1996) check for these errors. Systematic errors could arise from spectral line shifts due to background collisions in the Rb vapor cells and magnetic-field inhomogeneity in the vicinity of the cells. At the vapor pressure inside the cell (corresponding to an atomic density of $``$$`10^9`$ atoms/cc), collisional shifts are estimated to be below 10 kHz. We have measured the magnetic-field inhomogeneity to be below 10 $`\mu `$T. We have further verified that these errors are negligible by repeating the measurements with different Rb vapor cells from different manufacturers at different locations in the laboratory. The measurements were repeated over a period of several months. We conclude that there are no unaccounted systematic errors at this level of precision.

We have used the data in Table 1 to obtain the hyperfine coupling constants in the $`5P_{3/2}`$ state of 85Rb. The measured intervals are fitted to the magnetic-dipole coupling constant $`A`$ and the electric-quadrupole coupling constant $`B`$. This yields values of $`A=25.038(5)`$ MHz and $`B=26.011(22)`$ MHz. In Fig. 4a, we show the good agreement between the measured intervals and the intervals calculated from the fitted constants. In Fig. 4b, these $`A`$ and $`B`$ values are compared to earlier values reported by Arimondo et alArimondo et al. (1977) and Barwood et alBarwood et al. (1991). The recommended values of Arimondo et al. are obtained from a global fit to all available spectroscopic data. Our value of $`A`$ just overlaps with this value, but with 4 times smaller error. Our value of $`B`$ has slightly smaller error, but the overlap is only at the $`2\sigma `$ level. The more recent values from Barwood et al. are consistent for $`A`$, but are quite different from both the recommended value for $`B`$, and our result, suggesting the need for future measurements with higher precision.

In conclusion, we have demonstrated a new technique for measuring hyperfine intervals in alkali atoms using a single frequency-stabilized diode laser. An acousto-optic modulator locked to the frequency difference between two hyperfine transitions gives absolute frequency calibration for the measurement. Using this technique, we have demonstrated 20 kHz precision in the measurement of hyperfine intervals in 85Rb. The statistical error is primarily limited by the gating interval of our frequency counter and we hope to improve this in the future. We also plan to reduce the linewidth of our diode lasers below 10 kHz using optical feedback from a high-Q resonator Dahmani et al. (1990). The linewidth of the hyperfine peaks in the saturated-absorption spectrometer is about 2 to 3 times the natural linewidth and is probably limited by power broadening and beam overlap in the cell. By reducing the linewidth close to the natural linewidth, we hope to achieve 3 kHz stability in the laser locking, similar to what has been reported in Ref. Ye et al. (1996). This should enable us to achieve sub-kHz precision for the intervals, which is an unprecedented level of precision in the measurement of hyperfine intervals of excited states.

This work was supported by the Department of Science and Technology, Government of India.


text:
# Gauge Model With Massive Gravitons

## Abstract

Gauge theory of gravity is formulated based on principle of local gauge invariance. Because the model has strict local gravitational gauge symmetry, gauge theory of gravity is a perturbatively renormalizable quantum model. However, in the original model, all gauge gravitons are massless. We want to ask that whether there exists massive gravitons in Nature? In this paper, we will propose a gauge model with massive gravitons. The mass term of gravitational gauge field is introduced into the theory without violating the strict local gravitational gauge symmetry. Massive gravitons can be considered to be possible origin of dark energy and dark matter in the Universe.

PACS Numbers: 11.15.-q, 04.60.-m, 95.35.+d
Keywords: gauge field, quantum gravity, dark matter and dark energy.

It is generally believed that four kinds of fundamental interactions in Nature are gauge interactions and can be described by gauge field theory. From theoretically point of view, gauge principle plays a fundamental role in particle’s interactions theory. We know that in Yang-Mills theory, if the system has strict local gauge symmetry, all gauge field must be massless. But, according to experimental results, some gauge bosons are massive. Up to now, there are mainly two mechanisms to introduce the mass term of gauge field. One is spontaneously symmetry breaking and Higgs mechanism , which is well-known in constructing the standard model. So, in this mechanism, the introduction of the mass of gauge field violate the local gauge symmetry of the system. Another mechanism is proposed by N.Wu in literature. In this mechanism, two sets of gauge field are introduced into the model simultaneously. The biggest advantage of this mass generation mechanism is that the mass term of gauge fields does not violate the local gauge symmetry of the Lagrangian. This model can also be applied to unified electroweak interactions and the unified electroweak theory based on this mechanism has the similar dynamics for low energy electroweak interactions, but contains no Higgs particle, which will become a prospective theory for unified electroweak interactions if Higgs particles do not exist in Nature.

Gauge theory of gravity is proposed based on gauge principle. It is known that gauge treatment of gravity was suggested immediately after the gauge theory birth itself. In the traditional gauge treatment of gravity, Lorentz group is localized, and the gravitational field is not represented by gauge potential, but represented by metric field. The theory is non-renormalizable. Gauge theory of gravity is proposed in physics picture of gravity. The model has strict gravitational gauge symmetry. After localization of gravitational gauge group, the gravitational field appears as the corresponding gauge potential. One advantage of gauge theory of gravity is that, in this new theory, four different kinds of fundamental interactions in Nature can be formulated in the same manner, so they can be unified together. In this model, we will apply the mass generation mechanism of gauge field which is preposed in literature  to gravitational gauge theory and to introduce the mass term of gravitational gauge field withoug violating the local gauge symmetry of the lagrangian.

In gauge theory of gravity, the most fundamental quantity is gravitational gauge field. In order to introduce mass term of gravitational gauge fields, we need two sets of gravitational gauge fields simultaneously. Suppose that the first set of gauge fields is denoted as $`C_\mu ^\alpha `$, and the second set of gauge fields is denoted as $`C_{2\mu }^\alpha `$. For gauge theory of gravity, the symmetry of gravitational interactions is selected to be gravitational gauge symmetry and the corresponding gauge group is selected to be gravitational gauge group. Details on gravitational gauge symmetry and gravitational gauge group can be found in leterature. Under gravitational gauge transformation, two gravitational gauge fields transform as

$$C_\mu (x)C_\mu ^{}(x)=\widehat{U}_ϵ(x)C_\mu (x)\widehat{U}_ϵ^1(x)+\frac{i}{g}\widehat{U}_ϵ(x)(_\mu \widehat{U}_ϵ^1(x)),$$
(1)
$$C_{2\mu }(x)C_{2\mu }^{}(x)=\widehat{U}_ϵ(x)C_{2\mu }(x)\widehat{U}_ϵ^1(x)\frac{i}{\alpha g}\widehat{U}_ϵ(x)(_\mu \widehat{U}_ϵ^1(x)),$$
(2)
where $`\alpha `$ is a constant parameter and $`\widehat{U}_ϵ(x)`$ is the gravitational gauge transformation operator

$$\widehat{U}_ϵ(x)=E^{iϵ^\beta \widehat{P}_\beta }.$$
(3)
Gravitational gauge fields $`C_\mu (x)`$ and $`C_{2\mu }(x)`$ are vectors in gravitational Lie algebra, so they can be expanded as

$$C_\mu (x)=C_\mu ^\alpha (x)\widehat{P}_\alpha ,$$
(4)
$$C_{2\mu }(x)=C_{2\mu }^\alpha (x)\widehat{P}_\alpha .$$
(5)
Correspondingly, there are two gauge covariant derivatives,

$$D_\mu =_\mu igC_\mu (x),$$
(6)
$$D_{2\mu }=_\mu +i\alpha gC_{2\mu }(x),$$
(7)
and two different strengths of gauge fields,

$$F_{\mu \nu }=\frac{1}{ig}[D_\mu ,D_\nu ],$$
(8)
$$F_{2\mu \nu }=\frac{1}{i\alpha g}[D_{2\mu },D_{2\nu }].$$
(9)
The explicit forms of field strengths are

$$F_{\mu \nu }=_\mu C_\nu (x)_\nu C_\mu (x)igC_\mu (x)C_\nu (x)+igC_\nu (x)C_\mu (x),$$
(10)
$$F_{2\mu \nu }=_\mu C_{2\nu }(x)_\nu C_{2\mu }(x)+i\alpha gC_{2\mu }(x)C_{2\nu }(x)i\alpha gC_{2\nu }(x)C_{2\mu }(x).$$
(11)
Field strengths $`F_{\mu \nu }`$ and $`F_{2\mu \nu }`$ are also vectors in gravitational Lie algrbra, so they can be expanded in terms of generators of gravitational gauge group

$$F_{\mu \nu }=F_{\mu \nu }^\gamma \widehat{P}_\gamma ,$$
(12)
$$F_{2\mu \nu }=F_{2\mu \nu }^\gamma \widehat{P}_\gamma ,$$
(13)
where $`F_{\mu \nu }^\gamma `$ and $`F_{2\mu \nu }^\gamma `$ are component field strengths. The explicit forms of component strengths are

$$F_{\mu \nu }^\gamma =_\mu C_\nu ^\gamma _\nu C_\mu ^\gamma gC_\mu ^\beta _\beta C_\nu ^\gamma +gC_\nu ^\beta _\beta C_\mu ^\gamma ,$$
(14)
$$F_{2\mu \nu }^\gamma =_\mu C_{2\nu }^\gamma _\nu C_{2\mu }^\gamma +\alpha gC_{2\mu }^\beta _\beta C_{2\nu }^\gamma \alpha gC_{2\nu }^\beta _\beta C_{2\mu }^\gamma .$$
(15)
Using eq.(1-2), we can obtain the following transformation properties,

$$D_\mu (x)D_\mu ^{}(x)=\widehat{U}_ϵD_\mu (x)\widehat{U}_ϵ^1,$$
(16)
$$D_{2\mu }(x)D_{2\mu }^{}(x)=\widehat{U}_ϵD_{2\mu }(x)\widehat{U}_ϵ^1,$$
(17)
$$F_{\mu \nu }F_{\mu \nu }^{}=\widehat{U}_ϵF_{\mu \nu }\widehat{U}_ϵ^1,$$
(18)
$$F_{2\mu \nu }F_{2\mu \nu }^{}=\widehat{U}_ϵF_{2\mu \nu }\widehat{U}_ϵ^1,$$
(19)
$$(C_\mu +\alpha C_{2\mu })(C_\mu ^{}+\alpha C_{2\mu }^{})=\widehat{U}_ϵ(C_\mu +\alpha C_{2\mu })\widehat{U}_ϵ^1.$$
(20)
Matrix $`G`$ is an important quantity in gauge theory of gravity, whose definition is

$$G=(G_\mu ^\alpha )=(\delta _\mu ^\alpha gC_\mu ^\alpha ).$$
(21)
Its inverse matrix is denoted as $`G^1`$,

$$G^1=\frac{1}{IgC}=(G_\alpha ^{1\mu }).$$
(22)
They satisfy the following relations,

$$G_\mu ^\alpha G_\alpha ^{1\nu }=\delta _\mu ^\nu ,$$
(23)
$$G_\beta ^{1\mu }G_\mu ^\alpha =\delta _\beta ^\alpha .$$
(24)
It can be proved that

$$D_\mu =G_\mu ^\alpha _\alpha .$$
(25)
In order to construct a gravitational gauge invariant lagrangian, $`J(C)`$ is an important factor. In this paper, it will select to be

$$J(C)=\sqrt{\mathrm{det}(g_{\alpha \beta })},$$
(26)
where

$$g_{\alpha \beta }\stackrel{\mathrm{}}{=}\eta _{\mu \nu }(G^1)_\alpha ^\mu (G^1)_\beta ^\nu .$$
(27)
The Lagrangian of the system is

$$\begin{array}{ccc}\hfill _0& =& \frac{1}{4}\eta ^{\mu \rho }\eta ^{\nu \sigma }g_{\beta \gamma }F_{\mu \nu }^\beta F_{\rho \sigma }^\gamma \frac{1}{4}\eta ^{\mu \rho }\eta ^{\nu \sigma }g_{\beta \gamma }F_{2\mu \nu }^\beta F_{2\rho \sigma }^\gamma \hfill \\ & & \\ & & \frac{m^2}{2(1+\alpha ^2)}\eta ^{\mu \nu }g_{\beta \gamma }(C_\mu ^\beta +\alpha C_{2\mu }^\beta )(C_\nu ^\gamma +\alpha C_{2\nu }^\gamma ),\hfill \end{array}$$
(28)
where $`m`$ is a constant mass parameter. The action is defined by

$$S=\mathrm{d}^4xJ(C)_0.$$
(29)
Using relations (16 \- 20) and the following relation

$$\mathrm{d}^4xJ(\widehat{U}_ϵf(x))=\mathrm{d}^4xf(x)$$
(30)
where $`J=\mathrm{det}(\frac{(xϵ(x))^\beta }{x^\alpha })`$ is the Jacobian of the corresponding transformations and $`f(x)`$ is an arbitrary function, it is easy to prove that the action $`S`$ has local gravitational gauge symmetry.

From eq.(28), we can see that there is mass term of gravitational gauge fields. In order to obtain the eigenstates of mass matrix, a rotation is needed

$$C_{3\mu }=\mathrm{cos}\theta C_\mu +\mathrm{sin}\theta C_{2\mu },$$
(31)
$$C_{4\mu }=\mathrm{sin}\theta C_\mu +\mathrm{cos}\theta C_{2\mu },$$
(32)
where $`\theta `$ is given by

$$\mathrm{cos}\theta =1/\sqrt{1+\alpha ^2},\mathrm{sin}\theta =\alpha /\sqrt{1+\alpha ^2}.$$
(33)
After these transformations, the lagrangian $`_0`$ will becomes

$$_0=\frac{1}{4}\eta ^{\mu \rho }\eta ^{\nu \sigma }g_{\beta \gamma }F_{30\mu \nu }^\beta F_{30\rho \sigma }^\gamma \frac{1}{4}\eta ^{\mu \rho }\eta ^{\nu \sigma }g_{\beta \gamma }F_{40\mu \nu }^\beta F_{40\rho \sigma }^\gamma \frac{m^2}{2}\eta ^{\mu \nu }g_{\beta \gamma }C_{3\mu }^\beta C_{3\nu }^\gamma +_I,$$
(34)
where $`_I`$ contains all interaction terms of gravitational gauge fields and

$$F_{30\mu \nu }^\alpha =_\mu C_{3\nu }^\alpha _\nu C_{3\mu }^\alpha ,$$
(35)
$$F_{40\mu \nu }^\alpha =_\mu C_{4\nu }^\alpha _\nu C_{4\mu }^\alpha .$$
(36)
So, the gravitational gauge field $`C_{3\mu }`$ is massive whose mass is $`m`$ while gravitational gauge field $`C_{4\mu }`$ is kept massless.

Gravitational gauge field $`C_{3\mu }`$ is massive. If its mass is very large, it will have no contribution to the long range gravitational force. Long range gravitational force completely comes from the contribution of gravitational gauge field $`C_{4\mu }`$ and obeys inverse square law. But, if the mass term of gravitational gauge field $`C_{3\mu }`$ is extremely small, gravitational gauge field $`C_{3\mu }`$ will also contribute some to the middle range gravitational force. Its force range $`l`$ is about

$$l\frac{hc}{m},$$
(37)
where $`h`$ is the plank constant and $`c`$ is the speed of light. So, if $`m`$ is about $`2\times 10^7`$ eV, its force range $`l`$ will be about one meter. The gravitational force carried by gravitatioanl gauge field $`C_{3\mu }`$ decreases exponentially. In this case, the inverse square law of gravitational force in middle range will be violated. But long range gravitational force still obey inverse square law.

The existence of massive gravitons in Nature is very important for cosmology. Because the coupling constant for gravitational interactions is weak and the massive gravitons only take part in gravitational interactions, the massive gravitons must be a relative stable particle in Nature and they have very weak coupling with ordinary matter. They have no direct electromagnetic interactions with photons, so they radiate no photons. Because they take part in gravitational interactions, they will contribute some to the average energy density of the Universe, and affect the global structure and evolution of the Universe. In a ward, they can not be seen, but they are heavy and affect motions of ordianry celestial objects and global structure and evolution of our Universe. So, if they indeed exist, it must be dark matter or dark energy in the Universe. According to recent results of cosmological observations, especially from Cosmic Microwave Bakground (CMB) temperature anisotropies, our Universe is spacially flat, consists of mainly dark matter and dark energy. A natural origin for dark energy and dark energy is to regard them as gravitons.

If massive gravitons exist in Nature, it will be extremely hard for us to directly detect them in experiments, for they can not be seen in any experiments and they have very weak coupling with ordianry matter. For a single massive graviton, because its mass is very small, its gravitational interactions with any experimental instruments is almost zero, it will leave no signal to any experimental instruments. So, the only possibility to prove the existence of mass graviton is to find evidence in astrophysical and cosmological phenomenon.

Because Higgs mechanism violates local gauge symmetry of the system and we know that gravitational gauge symmetry is a strict symmetry, Higgs mechanism can not be used to introduce the mass term of gravitational gauge fields.


text:
# Unconventional Superconductivity and Electron Correlations in Cobalt Oxyhydrate Na0.35CoO2⋅𝑦H2O

author to whom correspondence should be addressed. \]e-mail: zheng@mp.es.osaka-u.ac.jp.

## Abstract

We report a precise 59Co nuclear quadrupolar resonance (NQR) measurement on the recently discovered cobalt oxyhydrate Na0.35CoO2$`y`$H2O superconductor from $`T`$=40 K down to 0.2 K. We find that in the normal state the spin-lattice relaxation rate $`1/T_1`$ follows a Curie-Weiss type temperature ($`T`$) variation, $`1/T_1T=C/(T\theta )`$, with $`\theta `$=-42 K, suggesting two-dimensional antiferromagnetic spin correlations. Below $`T_c`$=3.9 K, $`1/T_1`$ decreases with no coherence peak and follows a $`T^n`$ dependence with $`n`$2.2 down to $``$2.0 K but crosses over to a $`1/T_1T`$ variation below $`T`$=1.4 K, which suggests non s-wave superconductivity. The data in the superconducting state are most consistent with the existence of line nodes in the gap function.

The recent discovery of superconductivity in layered cobalt oxyhydrate Na0.35CoO2$`y`$H2O Takada  has generated new excitement in the condensed matter physics community, since it suggests a possible new route to find high-$`T_c`$ superconductivity and also demonstrates the richness of physics in layered transitional metal oxides. The compound consists of two-dimensional CoO2 layers separated by insulating blocks of Na+1 and H2O molecules, resembling the layered structure of copper-oxide high-$`T_c`$ superconductors. Because of the octahedral crystal environment, Co+4 is in the low spin state ($`S`$=1/2), and the compound Na0.35CoO2$`y`$H2O is considered as a system in which 35% electrons are doped to a spin 1/2 triangular lattice. Insight from investigations of this compound is expected to shed light on the mechanism of cuprate superconductors. Several experiments Sakurai ; Lorenz ; Schaak ; Cao ; Jin  have been conducted to investigate its physical properties and many theoretical proposals on the symmetry of the superconductivity Baskaran ; Kumar ; WangQH ; Ogata ; Hu ; Zhang  have been put forward.

In this Letter, we report a precise measurement using 59Co nuclear quadrupolar resonance (NQR) on the normal and superconducting states of Na0.35CoO2$`y`$H2O. In the normal state, it was found that the spin lattice relaxation rate $`1/T_1`$ divided by temperature ($`T`$) follows a Curie-Weiss law of $`1/T_1T1/(T+42)`$, suggesting the two dimensional antiferromagnetic spin correlations. In the superconducting state, $`1/T_1`$ decreases below $`T_c`$=3.9 K, with no coherence peak and follows a power-law of $`T^n`$ with $`n`$2.2 down to $``$2.0 K but crosses over to a $`1/T_1T`$ variation below $`T`$=1.4 K, which suggests unconventional superconductivity. These results show that the layered Co compound bears a close resemblance to the Copper-oxide high-$`T_c`$ superconductors without a full gap.

The NaxCoO2$``$yH2O powder was synthesized as described in Ref. Takada  and Meng . The x-ray spectrum shows the reflections of the hexagonal space group P63/mmc with lattice parameters a=2.820 $`\AA `$ and c=19.593 $`\AA `$ Lorenz . $`T_c`$ was found to be 3.9 K from the ac susceptibility measured by using the in-situ NQR coil. NQR measurements were carried out using a phase-coherent spectrometer. Measurements below 1.4 K were performed by using a 3He/4He dilution refrigerator and a small amplitude of radio-frequency pulses. The $`1/T_1`$ of 59Co was measured by the saturation-recovery method. Three NQR transition lines arising from spin $`I`$=7/2 of 59Co corresponding to $`\nu _Q`$=4.12 MHz and the asymmetry parameter $`\eta `$=0.223 were found. Here $`\nu _Q`$ and $`\eta `$ are defined as $`\nu _Q\nu _z=\frac{3}{2I(2I1)h}e^2Q\frac{^2V}{z^2}`$, and $`\eta =|\nu _x\nu _y|/\nu _z`$, with $`Q`$ being the nuclear quadrupolar moment, $`I`$=7/2 being the nuclear spin and $`\frac{^2V}{\alpha ^2}(\alpha =x,y,z)`$ being the electric field gradient at the position of the nucleus Abragam . The inset of Fig. 1 shows the $`\pm `$ 3/2$``$$`\pm `$5/2 transition line at whose peak $`T_1`$ was measured. The spectrum has a full-width-at-half-maximum of 0.3 MHz. The main panel of the figure shows the typical nuclear magnetization $`M(t)`$ that is excellently fitted to the theoretical curve $`\frac{M_0M(t)}{M_0}=0.095exp(3t/T_1)+0.095exp(9.5t/T_1)+0.819exp(19t/T_1)`$ Mac , with a unique $`T_1`$ component. Both the fairly narrow NQR spectrum and the single-component nuclear magnetization curve indicate good quality of the sample.

Figure 2 shows the temperature dependence of $`1/T_1`$. Below $`T_c`$, $`1/T_1`$ decreases with no coherence (Hebel-Slichter) peak, and follows a power-law dependence of $`T^n`$. If one fits the data for 3.8 K$`T`$2.0 K, one gets an $`n`$2.2. This is strong evidence for non-s wave superconductivity. For s-wave, isotropic gap, $`1/T_1`$ would show a coherence peak just below $`T_c`$ and follows an exponential temperature dependence at lower temperature. The most immediate explanation of our data is the possible existence of line nodes in the gap function as in $`d`$\- or $`p`$-wave superconductors, where an energy ($`E`$)-linear density of states (DOS) at low $`E`$ results in a $`T^n`$ ($`n`$=3) dependence of $`1/T_1`$. In the presence of disorder/impurity scattering, the exponent $`n`$ could appear smaller than 3 as shown shortly. For $`d`$\- or $`p`$-wave superconductivity, the ”coherence factor” Schrieffer  due to isotropic pairing is absent, therefore the enhancement of $`1/T_1`$ just below $`T_c`$ is greatly reduced. If there is no strong divergence of the DOS at $`E=\mathrm{\Delta }_0`$ ($`\mathrm{\Delta }_0`$ is the maximum gap amplitude), there will be no peak seen just below $`T_c`$. The slight retarded (by 0.1 K in temperature) drop of $`1/T_1`$ below $`T_c`$ in the present case could arise from two possibilities. First, the gap amplitude $`\mathrm{\Delta }_0`$ is small, as shown by a simple simulation described below. Second, bulk superconductivity sets in at a temperature 0.1 K below the onset of diamagnetism seen in the susceptibility, which is the case that has been encountered previously in some superconductors. For example, in the heavy fermion superconductor CeIrIn5, although the susceptibility shows a superconducting onset at $``$0.6 K Petrovic , $`1/T_1`$ only starts to drop at 0.4 K Zheng . This also happens in the isostructure heavy fermion compound CeRhIn5 in the vicinity of magnetic order where $`1/T_1`$ shows a rapid decrease at a temperature far below the susceptibility onset temperature Kawasaki .

At lower temperatures, the decrease of $`1/T_1`$ becomes more gradual, and below $`T`$=1.4 K $`1/T_1`$ becomes to be proportional to $`T`$ down to $`T`$=0.2 K. In the case of nodal superconductivity, this result can then be interpreted as due to disorder or impurity that acts as pair breaker Miyake ; Hotta . $`T_1`$ in the superconducting state can be expressed as $`\frac{T_1(T=T_c)}{T_1}=\frac{2}{k_BT_c}(\frac{N_s(E)}{N_0})^2f(E)(1f(E))𝑑E`$, where $`\frac{N_s(E)}{N_0}=\frac{E}{\sqrt{E^2\mathrm{\Delta }^2}}`$ with $`N_0`$ being the DOS in the normal state and $`f(E)`$ being the Fermi function. The solid curve below $`T_c`$ shown in Fig. 2 is a calculation assuming line nodes in the gap function, $`\mathrm{\Delta }=\mathrm{\Delta }_0cos2\theta `$, with $`\mathrm{\Delta }_0`$=2.6$`k_BT_c`$ and a residual DOS ($`N_{res}`$) due to impurity (disorder) scattering Hotta , $`N_{res}`$=0.65$`N_0`$. The curve fits the data quite well. The deviation from the $`T^3`$ law at quite a high temperature is hence an effect of the large $`N_{res}`$ that produces a large value of $`1/T_1T`$. The gap function of $`\mathrm{\Delta }=\mathrm{\Delta }_0cos\theta `$, with $`\mathrm{\Delta }_0`$=3.0$`k_BT_c`$ and $`N_{res}`$=0.65$`N_0`$ can also fit the data. It should be emphasized that s-wave or extended s-wave superconductivity in the presence of impurity scattering will lead to a fully opened gap Norman , which is inconsistent with our results. Finally, we note that it has been shown that the anisotropic triangular lattice Hubbard model at or near half filling yields superconductivity with a line-nodes gap ($`d`$-wave gap) Dagotto ; Kontani .

The clean chiral d-wave or p-wave superconductivity with a full gap Baskaran ; Kumar ; WangQH ; Ogata ; Hu  does not find immediate agreement with our data. On the other hand, the presence of disorder or impurity may fill up the gap, rendering the low-$`E`$ DOS. Very recently, Wang and Wang calculated the effect of a single impurity/interface on $`d_{x^2y^2}+id_{xy}`$ or $`p_x+ip_y`$ superconductivity ZDWang , and they found that the impurity-induced sub-gap states tend to cover the whole gap regime of the chiral superconductivity. However, it would appear to be a coincidence that an $`E`$-linear DOS shows up in such a case. Measurements in samples with different degree of defect or Na concentration may help settle this issue. On the theoretical side, a detailed calculation of the spatially-averaged DOS for finite concentration of impurity is desirable for comparison with experiments.

Next, we turn to the normal state. In Fig. 3 is shown the temperature variation of $`1/T_1T`$. There, it is seen that the $`1/T_1T`$ increases with decreasing $`T`$. This is a feature not seen in conventional metals where $`1/T_1T`$ would be a constant, but resembles the Cu relaxation in cuprate high-$`T_c`$ superconductors with layered square lattices. Above $`T`$=10 K, $`1/T_1T`$ follows a Curie-Weiss law, namely $`1/T_1T=\frac{C}{T\theta }`$, with $`\theta `$=-42 K and $`C`$=750 Sec-1. We interpret this feature as arising from two dimensional antiferromagnetic fluctuations. For antiferromagnetically correlated itinerant electron systems, the staggered spin susceptibility is shown to follow a Curie-Weiss type temperature variation Millis ; Moriya . Since $`1/T_1T`$ probes the dynamical susceptibility averaged over the momentum space, it is a good probe of electron correlation, as has been proven in cuprate superconductors. In the present case, although ferromagnetic correlation is present for large Na concentration ($`x`$=0.7) Motohashi , antiferromagnetic coupling was found in low concentration of Na Wang  and also in Na0.35CoO2$`y`$H2O Takada .

The unconventional superconductivity developed with the background of antiferromagnetic spin correlations in NaxCoO2$`y`$H2O bears close similarities to the case of high-$`T_c`$ cuprates and suggests the importance of electron correlations in the occurrence of the superconductivity in the layered electron systems. In this regard, the lower $`T_c`$ of the cobaltate may be ascribed to its antiferromagnetic exchange energy that is smaller by one order in magnitude than in cuprates Wang .

In conclusion, we have presented a 59Co NQR study on the recently discovered cobalt oxyhydrate Na0.35CoO2$`y`$H2O superconductor from $`T`$=40 K down to 0.2 K. In the normal state the spin-lattice relaxation rate $`1/T_1`$ follows a Curie-Weiss type temperature ($`T`$) variation, $`1/T_1T=C/(T\theta )`$, with $`\theta `$=-42 K, suggesting two-dimensional antiferromagnetic spin correlations. Below $`T_c`$=3.9 K, $`1/T_1`$ decreases with no apparent coherence peak, and follows $`T^n`$ ($`n`$2.2) dependence down to 2.0 K. At lower temperatures, the decrease of $`1/T_1`$ becomes more gradual and a $`1/T_1T`$ variation was observed below $`T`$=1.4 K. These data suggest non s-wave superconductivity, and are most consistent with the line-nodes gap model in the presence of scattering by disorder/impurity. None of current theories proposed for the gap symmetry of the CoO2-based superconductor finds immediate agreement with our results, and we hope our experiment will stimulate further theoretical works.

After completing this work, we became aware of two similar studies by the authors of Ref. Kobayashi  and Ref. Yoshimura , but their nuclear magnetization curves can not be fitted by a unique $`T_1`$ and the inferred $`1/T_1`$ results that show a coherence peak, are quite different from ours.

We thank K. Miyake and H. Kohno for helpful discussions and A. V. Balatsky and Z. D. Wang for correspondence on the impurity effect in chiral superconductors. This work was supported in part by research grants from MEXT (Nos. 14540338 and 15GS0213), NSF (No. DMR-9804325), the T. L. L. Temple Foundation, the John abd Rebecca Moores Endowment, and DoE (No. DE-AC03-76-SF00098).