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# 1 Introduction

## 1 Introduction

The main goal of the Borexino detector is the direct observation and measurement, in real time, of the low energy component ($``$ 1 MeV) of the neutrinos coming from the Sun; in particular the neutrino monochromatic line at 862 keV due to the electron capture of $`{}_{}{}^{7}Be`$.

The Borexino design has been described elsewhere (see for instance ). It is a large unsegmented calorimeter featuring 300 tons of liquid scintillator, contained in a 8.5 meter nylon vessel (125 $`\mu `$m thick), viewed by 2200 photomultiplier tubes.

The study of this low energy component is possible thank to the definition of a fiducial volume, featuring 100 tons of liquid scintillator, in order to maximize the signal to noise ratio mainly due to the photomultiplier tubes (i.e. esternal background). The radiopurity level reach a value of the order of $`10^{16}g/g`$ (U and Th equivalent) and $`10^{14}g/g`$ in K (i.e. internal background).

The graded shield of progressively lower radioactivity material approaching the detector’s core, the achievement of high radiopurity level and the definition of the fiducial volume allows a measurement as low as 0.1 events per day per ton via the $`\nu +e^{}\nu +e^{}`$ electroweak scattering reaction.

The Borexino detector can be applied to a wide range of open questions in particle physics, astrophysics and geophysics.

## 2 Antineutrino detection

The best method to detect electron antineutrinos is the classic Cowan Reines reaction of capture by a proton in a liquid scintillator: $`\overline{\nu }_e+pn+e^+`$.

This reaction provides a coincidence tag that severely suppresses background against $`\overline{\nu }_e`$ signals as small as events per year in a kiloton-scale liquid scintillator detector. The electron antineutrino tag is made possible by a delayed coincidence of $`e^+`$ and by a 2.2 MeV $`\gamma `$-ray emitted by capture of neutron on a proton after a delay of $``$ 200 $`\mu s`$. The tag suppresses background by about 2 order of magnitude, hence, the entire scintillator mass of 300 tons may be employed.

Between sources of correlated background there are muon induced activities that emits $`\beta `$-neutron cascade. Since all such cases have lifetimes $`\tau 1`$ s they can be vetoed by the muon signal. A signal rate as low as $``$ 1 $`\overline{\nu }_e`$ event per year an 300 ton appears mesurable.

The signal energy is $`E(MeV)=E(\overline{\nu }_e)1.8+2m_ec^2=E(\overline{\nu }_e)0.78`$. Thus, even ”at threshold” $`\overline{\nu }_e`$’s procude an $`e^+e^{}`$ signal of 1.02 MeV.

The interesting sources of $`\overline{\nu }_e`$ are Supernovae, possible $`\overline{\nu }_e`$ emiting from the Sun, $`\overline{\nu }_e`$ emitted by the Earth and from nuclear power reactors.

The liquid scintillator is composed by pseudocumene (PC) as solvent and PPO at the concentration of 1.5 g/l as solute. The pseudocumene is 1,2,4-trimethylbenzene $`C_6H_3(CH_3)_3`$, and the PPO is 2,5-diphenyloxazole $`C_{15}H_{11}NO`$.

## 3 Supernovae neutrinos

In a liquid scintillator detector, the electron antineutrino on proton reaction $`\overline{\nu }_e+pn+e^+`$ constitute the majority of the detected Supernovae neutrino events. The presence on carbon in the organic scintillator provides an additional interesting target for neutrino interactions. Table 1 summarizes the neutrino interactions on $`{}_{}{}^{12}C`$ nucleus.

The neutrino interactions on $`{}_{}{}^{12}C`$ can be tagged. The charged current events (CC) have a delayed coincidence of a $`\beta `$ decay following the interaction: $`{}_{}{}^{12}B^{12}C+e^{}+\overline{\nu }_e`$ ($`\tau _{1/2}`$ = 20.2 ms) and $`{}_{}{}^{12}N^{12}C+e^++\nu _e`$ ($`\tau _{1/2}`$ = 11.0 ms). The neutral current events (NC) have a monoenergetic $`\gamma `$-ray at 15.1 MeV: $`{}_{}{}^{12}C_{}^{}^{12}C+\gamma `$ (15.1 MeV).

### 3.1 Supernovae neutrino bursts

A Supernovae explosion releases $``$ $`310^{53}`$ ergs of gravitational binding energy; the bulk of the energy is released in the form of neutrinos. A first $`\nu _e`$ burst is emitted during the infall stage of the collapse via the electron capture by proton: $`e^{}+p\nu _e+n`$. After the core bounce, also neutrinos of other flavours are produced via nucleonic bremsstrahlung and pair annihilation processes as: $`e^++e^{}\nu +\overline{\nu }`$.

The total emitted energy is equally shared by all six neutrino flavors: $`L_{\nu _e}L_{\overline{\nu }_e}L_{\nu _x}`$ where $`\nu _x`$ stands for $`\nu _\mu ,\nu _\tau ,\overline{\nu }_\mu ,\overline{\nu }_\tau `$.

Since $`\nu _\mu `$ and $`\nu _\tau `$ interact in ordinary matter only via the neutral current weak interaction, they decouple at higher temperature. Furthermore, the neutrino decoupling takes place in neutron rich matter, which is less transparent to $`\nu _e`$ than $`\overline{\nu }_e`$. For this reason we will have a temperature hierarchy: $`T_{\nu _e}T_{\overline{\nu }_e}T_{\nu _x}`$; so, the neutrino mean energies are expected to be: $`E_{\nu _e}11MeV`$, $`E_{\overline{\nu }_e}16MeV`$, $`E_{\nu _x}25MeV`$ . Figure 2 shows the Supernovae neutrino energy spectra.

### 3.2 Supernovae neutrino events in Borexino

We consider 300 tons of pseudocumene and a type II Supernovae at 10 kpc from the Earth (that is roughly the center of the Galaxy).

Supernovae neutrino interact in the organic liquid scintillator via electron scattering, inverse $`\beta `$ decay of the proton (i.e. Cowan Reines reaction) and reactions on $`{}_{}{}^{12}C`$ ,  and .

\[ES\] The neutrino electron scattering gives recoil electrons with energy from zero to kinematic maximum. In Borexino the threshold is 250 keV due to the $`\beta `$ spectrum of the $`{}_{}{}^{14}C`$ which is small compared to the Supernovae neutrino energies. This reaction is possible for all kind of neutrinos; $`\nu _e`$ and $`\overline{\nu }_e`$ interact with electrons via CC (with different couplings) and NC reactions, whereas $`\nu _x`$ interact only via NC interactions. The $`\nu _e`$ have the highest cross section: $`\sigma _{\nu _ee}=9.210^{45}T_{\nu _e}(MeV)`$ $`cm^2`$ with this cross section hierarchy: $`\sigma _{\nu _ee}3\sigma _{\overline{\nu }_ee}6\sigma _{\nu _xe}`$. The calculated events rate in Borexino, from neutrino electron scattering, is about five events (See Table 2).

\[Inverse $`\beta `$ decay\] The inverse $`\beta `$ decay ($`\overline{\nu }_e+pn+e^+`$) expected in Borexino will be about 80.

\[Reactions on $`{}_{}{}^{12}C`$\] For the neutrino reactions on $`{}_{}{}^{12}C`$, cross section have been investigated theoretically and experimentally since 1980’s. Measurements have been performed at KARMEN , LAMPF  and LSND . Figure 2 shows the cross section values for CCp, ES, CC and NC on carbon processes.

Table 3 summarizes the expected Supernovae neutrino events in Borexino for the CC and NC on $`{}_{}{}^{12}C`$. Since the $`\nu _\mu `$ and $`\nu _\tau `$ are more energetic than $`\nu _e`$ they dominate the neutral current reactions $`\nu +^{12}C^{12}C^{}+\nu `$ with an estimated contribution of about $`90\%`$. In order to exploit these aspects, a liquid scintillator Supernovae neutrino detector needs to be able to cleanly detect the 15.1 MeV $`\gamma `$-ray. Figure 3 shows the simulated spectrum from Supernovae neutrino in the Borexino detector.

By studying the arrival time of neutrinos of different flavors from a Supernovae, mass limit on $`\nu _\mu `$ and $`\nu _\tau `$ down to some 10 of eV level can be explored. The time delay, in Borexino, is obtained by measuring the time delay between NC events and CC events ,  and . In a detector with sufficiently low threshold, as in the case of Borexino, the elastic scattering on proton can be observed by detecting the recoiling protons; this reaction could furnish spectroscopic information among the neutral reactions .

## 4 Neutrinos from the Earth

Our planet emits a very small flux of heat with an average enegy value of $`\mathrm{\Phi }_H80`$ $`mW/m^2`$. Intergrating over the whole Earth surface we obtained a total heat $`H_E40`$ $`TW`$.

The source of this energy is not understood qauntitatively. It is possible to study the radiochemical composition of the Earth by detecting antineutrino ($`\overline{\nu }_e`$) emitted by the decay of radioactive isotopes; confirming the abundance of certain radioelements could establish important geophysical constraints on the heat generation within the Earth. The main contribution of the radiogenic heat is due to the two decay chains $`{}_{}{}^{238}U`$ and $`{}_{}{}^{232}Th`$ and the decay of the $`{}_{}{}^{40}K`$ (we neglet $`{}_{}{}^{235}U`$ and $`{}_{}{}^{87}Rb`$ which provide smaller contributions). Thanks to the measurement of the antineutrino flux it would be possible to provide a direct information about the composition and the amount of the radioactive material within the Earth leading to the determination of the radiogenic contribution to the heat flow.

The energy threshold of the reaction $`\overline{\nu }_e+pn+e^+`$ is 1.8 MeV. There are 4 $`\beta `$-decay in the $`{}_{}{}^{238}U`$ and $`{}_{}{}^{232}Th`$ chains with energy $``$ 1.8 MeV: $`{}_{}{}^{214}Bi`$ \[U\] $`3.27`$ MeV, $`{}_{}{}^{234}Pa`$ \[U\] $`2.29`$ MeV, $`{}_{}{}^{228}Ac`$ \[Th\] $`2.08`$ MeV and $`{}_{}{}^{212}Bi`$ \[Th\] $`2.25`$ MeV.

The signal energy is $`E(MeV)=E(\overline{\nu }_e)1.8+2m_ec^2`$. The terrestrial antineutrino spectrum above 1.8 MeV has a 2-component shape: the high energy component coming solely from U chain and the low energy component coming with contributions from U and Th chains. This signature allows individual assay of U and Th abundance in the Earth.

### 4.1 Equation for heat and neutrino luminosity

In Table 4 are presented the heat contribution and the neutrino luminosity from the three natural radioelements. We remind that the number of disintegration per second (i.e. Bq) per gram for the three elements are: $``$ 12300 Bq/g for $`{}_{}{}^{238}U`$, $``$ 4020 Bq/g for $`{}_{}{}^{238}Th`$ and $``$ 29.8 Bq/g for $`{}_{}{}^{40}K`$ ($`{}_{}{}^{40}K`$ = 0.0118$`\%`$ of $`{}_{}{}^{nat}K`$).

The heat production rate (H) and the neutrino luminosity (L) are given by : $`H[W]=9.510^8M(U)+2.710^8M(Th)+3.610^{12}M(K)`$; $`L_{\overline{\nu }_e}[\overline{\nu }_e/s]=7.410^4M(U)+1.610^4M(Th)+27M(K)`$; $`L_{\nu _e}[\nu _e/s]=3.3M(K)`$ where M(U), M(Th) and M(K) are the masses of the elements in grams. Everything is fixed in term of 3 numbers: M(U), M(Th) and M(K) or M(U), Th/U and K/U. With these simple equations it is possible to determine the radiogenic heat production and the neutrino flow from model of the Earth composition.

### 4.2 Terrestrial $`\overline{\nu }_e`$ events in Borexino

The starting point for determining the distribution of U, Th and K in the present crust and mantle is understanding the composition of the ”Bulk Silicate Earth” or BSE for short, which is the model representing the primordial mantle prior to crust formation consistent with observation and geochemistry (equivalent in composition to the modern mantle plus crust). BSE concentrations of 20 ppb ($`\pm 20\%`$), $`Th/U3.8`$ and $`K/U10^4`$ have been suggested . Since the mantle mass is $`68\%`$ of the mass Earth ($`M_{Earth}=610^{27}g`$), in the BSE model we obtain a radiogenic heat production rate of about 20 TW ($`8`$ TW from U, $`8.6`$ TW from Th and $`3`$ TW from K); the antineutrino production is dominated by K.

During the formation of the Earth s crust, the primitive mantle was depleted in U, Th and K, while the crust111The Continental Crust(CC) has an average thickness of $`40`$ km while Oceanic Crust (OC) has an average thickness of $`6`$ km. Furthermore CC is about 10 times richer in U and Th than OC. was enriched. Measurements of the crust provide isotopic abundance information. With these measurement, it is possible to deduce the average U and Th concentrations in the present depleted mantle. A crust type and tickness data in the form of a global crustal map has been employed (see Figure 5).

A background that cannot be shielded is the $`\overline{\nu }_e`$ from nuclear plants. In Italy there are not active nuclear power installations, thus the background induced is not so high. In order to estimate this background contribution it has been employed data from the International Nuclear Safety Center which provide positions and power of all reactors operating in the world (see Figure 5).

Borexino is homed in the Gran Sasso underground laboratory (LNGS) in the center of Italy: 42N 14E. The calculated $`\overline{\nu }_e`$ flux at the Gran Sasso laboratory is $`5.910^6`$ $`cm^2s^1`$, while the background flux is $`0.6510^6`$ $`cm^2s^1`$. Figure 6 shows the positron energy spectrum from antineutrino events in Borexino. The expected signal events are $`7.8`$ per year against a background of $`29`$ per year due to $`\overline{\nu }_e`$ from reactors, 7.6 of them in the same spectral region as the terrestrial $`\overline{\nu }_e`$.

The characteristic 2-component shape of the terrestrial anti-neutrino energy spectrum makes it possible to identify these events above the reactor anti-neutrino background. Since the reactor anti-neutrino background has a well-known shape it can be easily subtracted allowing the discrimination of the U contribution from the Th contribution.

## 5 Conclusions

The main characteristics that make Borexino interesting (for neutrino physics other than solar neutrinos) are for what concern Supernovae, the very effective ability to detect the high energy gamma peak (15.1 MeV) from NC reactions on $`{}_{}{}^{12}C`$, this is because the unsegmented large volume detector. For what concern geoneutrinos, the very low contribution to the antineutrino background due to the absence of nuclear plants in Italy.

## 6 Acknowledgements

I would like to thank professor Hiro Ejiri for his kind hospitality at the ”The 1st Yamada Symposium on Neutrinos and Dark Matter in Nuclear Physics”. This work has been supported by the Italian National Institute of Nuclear Physics (INFN).


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# Compression and Erdős-Ko-Rado graphs

## 1 Introduction

An *independent* set in a graph $`G=(V,E)`$, is a subset of the vertices not containing any edges. For an integer $`r1`$ we denote the collection of independent $`r`$-sets of $`G`$ by

$$^{(r)}(G)=\{AV(G):|A|=r\text{ and }A\text{ is an independent set}\}.$$

If $`vV(G)`$ then the collection of independent $`r`$-sets containing $`v`$ is

$$_v^{(r)}(G)=\{A^{(r)}(G):vA\}.$$

Such a family is called a *star*.

A graph $`G`$ is *$`r`$-EKR* iff no intersecting family of independent $`r`$-sets is larger than the largest star in $`^{(r)}(G)`$. If $`G`$ is $`r`$-EKR and any intersecting family $`𝒜^{(r)}(G)`$ of maximum size is a star then $`G`$ is said to be *strictly $`r`$-EKR*.

In this setting the classical Erdős-Ko-Rado theorem can be stated as follows.

###### Theorem 1 (Erdős-Ko-Rado)

If $`E_n`$ is the empty graph of order $`n`$ then $`E_n`$ is $`r`$-EKR for $`n2r`$ and strictly so for $`n>2r`$.

There are a number of other recent results of this type.

###### Theorem 2 (Bollobás and Leader)

If $`nr`$, $`t2`$ and $`G`$ is the disjoint union of $`n`$ copies of $`K_t`$ then $`G`$ is $`r`$-EKR and strictly so unless $`t=2`$ and $`n=r`$.

The following result was previously a conjecture of Holroyd and Johnson .

###### Theorem 3 (Talbot)

For $`1kn`$ the $`k^{\text{th}}`$ power of the $`n`$-cycle, $`C_n^k`$, is the graph with vertex set $`[n]=\{1,2,\mathrm{},n\}`$ and edges between $`a,b[n]`$ iff $`1|abmodn|k`$. Then $`C_n^k`$ is $`r`$-EKR for all $`r1`$ and strictly so unless $`n=2r+2`$ and $`k=1`$.

Although this is not made explicit in , the proof of Theorem 3 uses a type of compression that is essentially equivalent to contracting an edge in the underlying graph. In the present paper we wish to show how this idea can be used to show that various other graphs are also $`r`$-EKR.

In particular we have the following result extending Theorem 2.

###### Theorem 4

If $`G`$ is the disjoint union of $`nr`$ complete graphs each of order at least two then $`G`$ is $`r`$-EKR.

We also show that an analogue of Theorem 3 holds for paths.

###### Theorem 5

For $`1kn`$ the $`k^{\text{th}}`$ power of the $`n`$-path, $`P_n^k`$, is the graph with vertex set $`[n]=\{1,2,\mathrm{},n\}`$ and edges between $`a,b[n]`$ iff $`1|ab|k`$. Then $`P_n^k`$ is $`r`$-EKR for all $`r1`$.

Our main results are Theorems 4 and 5 but the proof technique also extends to other types of graph and our final theorem gives a large class of graphs which are all $`r`$-EKR.

###### Theorem 6

If $`G`$ is a disjoint union of $`n2r`$ complete graphs, cycles and paths, including an isolated singleton, then $`G`$ is $`r`$-EKR.

In order to state the two key lemmas we require some notation.

If $`e`$ is an edge of the graph $`G=(V,E)`$ we define $`G/e`$ to be the graph obtained from $`G`$ by contracting the edge $`e`$. We also define $`Ge`$ to be the graph obtained from $`G`$ by removing the vertices in $`e`$ as well as their neighbours. As usual we denote the neighbours of a vertex $`v`$ by $`\mathrm{\Gamma }(v)`$.

The following two technical lemmas relate intersecting families and stars in $`^{(r)}(G)`$ to intersecting families and stars in $`^{(r)}(G/e)`$ and $`^{(r1)}(Ge)`$. These will enable us to prove our main results by induction.

###### Lemma 7

Let $`G=(V,E)`$ be a graph and $`𝒜^{(r)}(G)`$ be an intersecting family. If $`e=\{v,w\}E`$ is an edge in $`G`$ then there exist families $`,𝒞,𝒟`$ and $``$ satisfying:

* $`|𝒜|=||+|𝒞|+|𝒟|+||`$.
* $`^{(r)}(G/e)`$ is intersecting.
* $`𝒞^{(r1)}(Ge)`$ is intersecting.
* $`𝒟=\{A𝒜:vA\text{ and }\mathrm{\Gamma }(w)(A\backslash \{v\})\mathrm{}\}`$.
* $`=\{A𝒜:wA\text{ and }\mathrm{\Gamma }(v)(A\backslash \{w\})\mathrm{}\}`$.
* If $`C𝒞`$ and $`F𝒟`$ then $`CFV(Ge)\mathrm{}`$.
* If $`D𝒟`$ and $`E`$ then $`DEV(Ge)\mathrm{}`$.

###### Lemma 8

If $`e=\{v,w\}`$ is an edge in the graph $`G=(V,E)`$ and $`xV(Ge)`$ then

$$|_x^{(r)}(G)|=|_x^{(r)}(G/e)|+|_x^{(r1)}(Ge)|+|𝒟_x|+|_x|.$$

Where

$$𝒟_x=\{A_x^{(r)}(G):vA\text{ and }\mathrm{\Gamma }(w)(A\backslash \{v\})\mathrm{}\}$$

and

$$_x=\{A_x^{(r)}(G):wA\text{ and }\mathrm{\Gamma }(v)(A\backslash \{w\})\mathrm{}\}.$$

## 2 Proofs

*Proof of Lemma 7:* Let $`𝒜^{(r)}(G)`$ be intersecting. We consider the effect of contracting an edge $`e=\{v,w\}`$ in $`G`$. We define a contraction function, $`c:V(G)V(G/e)`$ by

$$c(x)=\{\begin{array}{cc}v,\hfill & x=w,\hfill \\ x,\hfill & xw.\hfill \end{array}$$

Let

$``$ $`=`$ $`\{c(A):A𝒜\text{ and }c(A)^{(r)}(G/e)\},`$
$`𝒞`$ $`=`$ $`\{A\backslash \{v\}:vA𝒜\text{ and }A\backslash \{v\}\{w\}𝒜\},`$
$`𝒟`$ $`=`$ $`\{A𝒜:vA\text{ and }\mathrm{\Gamma }(w)(A\backslash \{v\})\mathrm{}\},`$
$``$ $`=`$ $`\{A𝒜:wA\text{ and }\mathrm{\Gamma }(v)(A\backslash \{w\})\mathrm{}\}.`$
If $`A,B𝒜`$ then $`c(A)=c(B)`$ iff $`A\mathrm{\Delta }B=\{v,w\}`$. Hence

$$|\{A𝒜:c(A)^{(r)}(G/e)\}|=||+|𝒞|.$$

Also if $`A𝒜`$ then $`c(A)^{(r)}(G/e)`$ iff $`A𝒟`$. Hence $`|𝒜|=||+|𝒞|+|𝒟|+||`$, which is (i).

The fact that $`^{(r)}(G/e)`$ is an intersecting family follows simply because $`𝒜`$ is intersecting, so (ii) holds.

If $`C𝒞`$ then $`C\{v\},C\{w\}𝒜`$ hence $`CI^{(r1)}(Ge)`$. With a little more thought it is also clear that $`𝒞`$ is an intersecting family. Let $`C,D𝒞`$, if $`CD=\mathrm{}`$ then $`𝒜`$ contains the two disjoint sets $`C\{v\}`$ and $`D\{w\}`$. This contradicts the fact that $`𝒜`$ is intersecting. Hence $`𝒞`$ is also intersecting, and so (iii) holds.

The definitions of the families $`𝒟`$ and $``$ give (iv) and (v).

To see that (vi) holds let $`C𝒞`$, so $`C\{v\},C\{w\}𝒜`$. If $`F𝒟𝒜`$ then $`(C\{w\})F\mathrm{}`$ and $`(C\{v\})F\mathrm{}`$ but either $`vF`$ or $`wF`$. Hence $`CFV(Ge)\mathrm{}`$.

Finally if $`D𝒟`$ and $`E`$ then $`vD`$ and $`wE`$ imply that

$$DE(\mathrm{\Gamma }(v)\mathrm{\Gamma }(w)\{v,w\})=\mathrm{}.$$

So $`DE\mathrm{}`$ implies that (vii) must hold. $`\mathrm{}`$

*Proof of Lemma 8:* This follows similarly to the proof of Lemma 7, via contracting the edge $`e=\{v,w\}`$. Let $`c:V(G)V(G/e)`$ be as defined in the proof of Lemma 7.

Then $`c`$ is a surjection between the families $`_x^{(r)}(G)\backslash (𝒟_x_x)`$ and $`_x^{(r)}(G/e)`$. Moreover $`c(A)=c(B)`$ iff $`A\mathrm{\Delta }B=\{v,w\}`$ and the number of sets in $`_x^{(r)}(G/e)`$ with two preimages under $`c`$ is exactly $`|_x^{(r1)}(Ge)|`$. Hence

$$|_x^{(r)}(G)|=|_x^{(r)}(G/e)|+|_x^{(r1)}(Ge)|+|𝒟_x|+|_x|.$$

$`\mathrm{}`$

*Proof of Theorem 4:* We prove this result by induction on $`r`$. It is clearly true for $`r=1`$ so we may suppose that $`r2`$ and the result holds for smaller values of $`r`$.

We now use induction on the number of vertices in $`G`$. Theorem 2 implies that the result holds when $`G`$ consists of $`nr`$ copies of $`K_t`$, for $`t2`$. So let

$$G=K_{t_1}\mathrm{}K_{t_n},$$

with $`2t_1t_2\mathrm{}t_n`$, not all equal. We may suppose that the result holds for all graphs of the correct form with fewer vertices.

Suppose that $`𝒜^{(r)}(G)`$ is intersecting. Let $`v,wK_{t_n}`$, we will contract the edge $`e=\{v,w\}`$. Then

$$G/e=K_{t_1}\mathrm{}K_{t_n1},$$

and

$$Ge=K_{t_1}\mathrm{}K_{t_{n1}}.$$

Using the notation of Lemma 7 we have $`𝒟==\mathrm{}`$. Hence by Lemma 7 (i)

$$|𝒜|=||+|𝒞|.$$
(1)
Then for any $`xK_{t_1}Ge`$ we have, in notation of Lemma 8, that $`𝒟_x=_x=\mathrm{}`$. So Lemma 8 implies that

$$|_x^{(r)}(G)|=|_x^{(r)}(G/e)|+|_x^{(r1)}(Ge)|.$$
(2)
The observation that $`t_1t_i`$, for any $`1in`$, implies that we also have

$$|_x^{(r)}(G/e)|=\underset{vV(G/e)}{\mathrm{max}}|_v^{(r)}(G/e)|$$
(3)
and

$$|_x^{(r1)}(Ge)|=\underset{vV(Ge)}{\mathrm{max}}|_v^{(r1)}(Ge)|.$$
(4)
Now $`t_n3`$ so $`G/e`$ is a smaller graph of the correct form and hence is $`r`$-EKR. Then Lemma 7 (ii) and (3) imply that

$$|||_x^{(r)}(G/e)|.$$
(5)
Also $`Ge`$ is $`(r1)`$-EKR, since the result holds for smaller values of $`r`$. So Lemma 7 (iii) and (4) imply that

$$|𝒞||_x^{(r1)}(Ge)|$$
(6)
Hence, using equations (1), (2), (5) and (6), we obtain

$$|𝒜||_x^{(r)}(G)|.$$

$`\mathrm{}`$

*Proof of Theorem 5:* We first note that for any $`n`$, $`r`$ and $`k`$

$$\underset{xV(P_n^k)}{\mathrm{max}}|_x^{(r)}(P_n^k)|$$

is achieved by taking $`x\{1,n\}`$.

Again we prove this result by induction on $`r`$. The result clearly holds for $`r=1`$ so we may assume $`r2`$ and that the result is true for smaller values of $`r`$.

We now prove the result for $`r`$ by induction on $`n`$. For $`n<(r1)k+r`$ there is nothing to prove since $`^{(r)}(P_n^k)`$ is empty. For $`n=(r1)k+r`$ the result also holds (since there is only one set in $`^{(r)}(P_n^k)`$). So we may assume that $`n(r1)k+r+1`$ and that the result holds for smaller values of $`n`$. In particular $`nk+3`$.

Let $`𝒜^{(r)}(P_n^k)`$ be intersecting. Set $`w=n`$, $`v=n1`$ and $`e=\{n1,n\}`$, and apply Lemma 7. Let $`,𝒞,𝒟`$ and $``$ be the families defined in Lemma 7. In this case $`G/e`$ is $`P_{n1}^k`$, while $`Ge`$ is $`P_{nk2}^k`$. Note that $`nk+3`$ implies that $`Ge`$ is non-empty.

We see that in this case $`𝒟`$ is empty and

$$=\{A𝒜:n,nk1A\}.$$

Let

$$=\{A\backslash \{n\}:A\}$$

and consider $`𝒞`$. Note that this is a disjoint union since $`nk1`$ belongs to every set in $``$ but to no set in $`𝒞`$. Hence

$$|𝒞|=|𝒞|+||=|𝒞|+||.$$
(7)
Parts (iii) and (vi) of Lemma 7 imply that $`𝒞`$ is an intersecting family of independent $`(r1)`$-sets in the subgraph of $`P_n^k`$ induced by $`\{1,2,\mathrm{},nk1\}`$, which is $`P_{nk1}^k`$. Our inductive hypothesis for $`r`$ then implies that

$$|𝒞||_1^{(r1)}(P_{nk1}^k)|.$$
(8)
Now $`G/e`$ is $`P_{n1}^k`$, so part (ii) of Lemma 7 and our inductive hypothesis for $`n`$ imply that

$$|||_1^{(r)}(P_{n1}^k)|.$$
(9)
Lemma 7 (i), together with equations (7), (8) and (9) imply that

$$|𝒜|=||+|𝒞|+|𝒟|+|||_1^{(r)}(P_{n1}^k)|+|_1^{(r1)}(P_{nk1}^k)|.$$
(10)
Applying Lemma 8 we obtain

$$|_1^{(r)}(P_n^k)|=|_1^{(r)}(P_{n1}^k)|+|_1^{(r1)}(P_{nk2}^k)|+|_1|,$$
(11)
where

$$_1=\{A_1^{(r)}(P_n^k):nk1,nA\}.$$

Then it is easy to check that

$$|_1^{(r1)}(P_{nk1}^k)|=|_1^{(r1)}(P_{nk2}^k)|+|_1|,$$

and so equations (10) and (11) imply that

$$|𝒜||_1^{(r)}(P_n^k)|.$$

as required. $`\mathrm{}`$

We turn finally to a proof of Theorem 6. The key ideas have already been presented in Lemmas 7 and 8 as well as in the proofs of Theorems 4 and 5. For this reason our proof is essentially a sketch.

*Proof of Theorem 6:* We will say that a graph $`G`$ is *$`r`$-mixed*, for an integer $`r1`$, if it satisfies the conditions of Theorem 6. So $`G`$ is $`r`$-mixed iff it is the disjoint union of at least $`2r`$ complete graphs, paths and cycles, including at least one isolated singleton.

We prove the result by induction on $`r`$. It is clearly true for $`r=1`$ so we may suppose $`r2`$ and that the result holds for smaller values of $`r`$.

We now prove the result for $`r`$ by induction on $`|V(G)|`$. If $`G`$ is $`r`$-mixed then $`|V(G)|2r`$ with equality iff $`G=E_{2r}`$. So if $`|V(G)|=2r`$ then Theorem 1 implies that $`G`$ is $`r`$-EKR. Hence we may suppose that $`|V(G)|>2r`$ and that any $`r`$-mixed graph with fewer vertices is also $`r`$-EKR.

Now either $`G`$ is an empty graph of order at least $`2r+1`$, in which case the result holds by Theorem 1, or $`G`$ contains an edge. So we may suppose that $`G`$ contains an edge $`e=\{v,w\}`$. We also know that $`G`$ contains an isolated singleton $`x`$.

It is easy to check that if $`H`$ is one of the three graphs $`G`$, $`G/e`$ or $`Ge`$, and $`sr`$ then

$$|_x^{(s)}(H)|=\underset{vV(H)}{\mathrm{max}}|_v^{(s)}(H)|.$$
(12)
Also $`G/e`$ is $`r`$-mixed and has less vertices than $`G`$, while $`Ge`$ is $`(r1)`$-mixed. Hence by our two inductive hypotheses $`G/e`$ is $`r`$-EKR and $`Ge`$ is $`(r1)`$-EKR. The result then follows by applying Lemmas 7 and 8 together with (12). The details depend on whether $`e`$ was an edge from a complete graph, a cycle or a path but follow similarly to the proofs of Theorems 3, 4 and 5.$`\mathrm{}`$


text:
# Signs of Planetary Microlensing Signals

## 1 Introduction

A microlensing event occurs when a lensing object approaches very close to the line of sight toward the background source star. Due to lensing, the lensed star appears to be split into two images. The locations and magnifications of the individual images are

$$𝜽_\pm =\frac{1}{2}\left[𝜻\pm \sqrt{u^2+4}\frac{𝜻}{\zeta }\right]\theta _\mathrm{E},$$
(1)
and

$$A_\pm =\frac{\zeta ^2+2}{2\zeta \sqrt{\zeta ^2+4}}\pm \frac{1}{2},$$
(2)
where $`𝜻`$ is the projected lens-source separation vector normalized by the Einstein ring radius $`\theta _\mathrm{E}`$. The Einstein ring represents the effective lensing region around the lens within which the source star flux is magnified greater than $`3/\sqrt{5}`$. For a typical Galactic microlensing event, the Einstein ring radius is

$$\theta _\mathrm{E}0.72\mathrm{mas}\left(\frac{m}{0.5M_{}}\right)^{1/2}\left(\frac{D_{os}}{8\mathrm{kpc}}\right)^{1/2}\left(\frac{D_{os}}{D_{ol}}1\right)^{1/2},$$
(3)
where $`m`$ is the lens mass and $`D_{ol}`$ and $`D_{os}`$ are the distances to the lens and source star, respectively. For a rectilinear lens-source relative motion, the separation vector is related to the lensing parameters by

$$𝜻=\left(\frac{tt_0}{t_\mathrm{E}}\right)\widehat{𝝃}+\beta \widehat{𝜼},$$
(4)
where $`t_\mathrm{E}`$ is the time required for the source to transit $`\theta _\mathrm{E}`$ (Einstein time scale), $`\beta `$ is the closest lens-source separation normalized by $`\theta _\mathrm{E}`$ (impact parameter), $`t_0`$ is the time at that moment, and the unit vectors $`\widehat{𝝃}`$ and $`\widehat{𝜼}`$ are parallel with and perpendicular to the direction of the relative lens-source motion, respectively. The image with the higher magnification $`A_+`$ (major image) is located outside of the Einstein ring, while the other image with the lower magnification $`A_{}`$ (minor image) is located inside of the Einstein ring. The separation between the two images, $`\left|𝜽_+𝜽_{}\right|=\sqrt{\zeta ^2+4}\theta _\mathrm{E}`$, for a typical Galactic event is very small and thus they cannot be resolved. However, a lensing event can be identified from its characteristic smooth and symmetric light curve (Paczyński, 1986), which is represented by

$$A=A_++A_{}=\frac{\zeta ^2+2}{\zeta \sqrt{\zeta ^2+4}}.$$
(5)
For a more detailed description about microlensing, see Paczyński (1996).

If a lensing event is caused by a star having a planet and the planet happens to locate close to the path of one of the two images produced by the primary star, the planet perturbs the nearby image and the event can exhibit noticeable deviations from the light curve of a single lens event (Mao & Paczyński, 1991). It is empirically known that if the planet perturbs the major image, the resulting deviation in the lensing light curve becomes positive111For typical planet-induced perturbations, the perturbed part of the light curve is composed of one major peak and surrounding deviations with signs opposite to that of the peak deviation. Compared to the peak deviation, the deviations at the wings of the peak deviation are very small. Throughout the paper, therefore, the sign of the planetary deviation implies that of the peak., while the deviation becomes negative if the planet perturbs the minor image (Gaudi & Gould, 1997; Wambsganss, 1997; Bozza, 1999).

For a planet with a mass ratio to the primary star of $`q`$, the planetary signal endures for a short period of time of $`\sqrt{q}t_\mathrm{E}`$, corresponding to several days for a Jupiter-mass planet (with $`q𝒪10^3`$) and a few hours for an Earth-mass planet (with $`q𝒪10^5`$). However, the strength of the signal depends weakly on $`q`$. Then, planets can be detected if lensing events are monitored with a high enough frequency. This frequency can be achieved from the combination of the early warning system to issue alerts of ongoing events in the early stage of lensing magnification and the follow-up observation program to intensively monitor the alerted events. Alert systems were and are being operated by the MACHO (Alcock et al., 1996), EROS (Afonso et al., 2001), MOA (Bond et al., 2001) and OGLE (Udalski et al., 1994) groups. The previously operated and currently operating follow-up collaborations include GMAN (Alcock et al., 1997), MPS (Rhie et al., 1999), PLANET (Albrow et al., 1998), and microFUN (D. DePoy, private communication).

As an additional channel to detect and characterize extrasolar planets via microlensing, Safizadeh, Dalal & Griest (1999) proposed astrometric follow-up observations of lensing events by using next generation high precision interferometers, such as those to be mounted on space-based platform, e.g. the Space Interferometry Mission (SIM), and those to be mounted on very large ground-based telescopes, e.g. Keck and VLT. When an event is observed by using these instruments, although resolving the individual images is still difficult, it is possible to measure the center-of-light motion of the lensed source star image caused by the change of the separation between the lens and source and the resulting variation of the brightness ratio between the two images. For a single lens event, the shift of the image centroid with respect to the unlensed position of the source star (centroid shift) is represented by

$$𝜹=\frac{A_+𝜽_++A_{}𝜽_{}}{A}𝜻\theta _\mathrm{E}=\frac{𝜻}{\zeta ^2+2}\theta _\mathrm{E}.$$
(6)
The trajectory of the centroid motion (astrometric curve) traces out an ellipse during the event (Walker, 1995; Jeong, Han & Park, 1999; Dominik & Sahu, 2000). Safizadeh, Dalal & Griest (1999) showed that planets can be identified from the perturbations in astrometric curves, which are analogous to photometric perturbations in lensing light curves. They pointed out that due to the strong correlation between the photometric and astrometric planetary signals, adding astrometric information to the photometric lensing light curve will greatly help in determining the mass ratio and the projected separation of the planet. In addition, since astrometric lensing observations enable one to determine the absolute mass of the lens system by measuring both the lens proper motion and parallax (Miyamoto & Yoshii, 1995; Høg, Novikov & Polnarev, 1995; Walker, 1995; Paczyński, 1998; Boden, Shao & van Buren, 1998; Gould & Salim, 1999), one can determine the absolute mass of the planet. Han & Lee (2002) further investigated the patterns of astrometric deviations caused by planets with various separations and mass ratios. From this investigation, they found an interesting tendency of astrometric planetary signals, where while photometric deviations can become either positive or negative depending on which of the two images produced by the primary is perturbed by the planet, astrometric deviations are positive in all tested events regardless of which image is perturbed. The usefulness of this tendency was soon noticed by Han (2002), who pointed out that the problematic photometric degeneracy between binary source and planetary perturbations (Gaudi, 1998) can be unambiguously resolved with the additional astrometric information because the astrometric perturbations induced by a faint binary source companion are always negative, which is opposite to the sign of the planet-induced perturbations. However, none of previous works explained the reason for the known tendencies of photometric and astrometric planetary signals. In this paper, we analytically show why planet-induced astrometric signals are always positive while photometric signals can be either positive or negative.

The layout of the paper is as follows. In § 2, we describe the basics of planetary microlensing. In § 3, we derive the relation between photometric and astrometric planetary signals and explain the reasons for the empirically known properties of the signs of planetary signals. We summarize and conclude in § 4.

## 2 Basics of Planetary Microlensing

The planetary lensing behavior is described by the formalism of binary lensing with a very low mass-ratio companion. If a source star located at $`\zeta =\xi +i\eta `$ in complex notations is lensed by two point-mass lenses with the individual locations of $`z_{L,1}`$ and $`z_{L,2}`$ and the mass fractions of $`m_1`$ and $`m_2`$, respectively, the locations of the resulting images $`z=x+iy`$ are obtained by solving the lens equation, which is represented by

$$\zeta =z+\underset{i}{}\frac{m_i}{\overline{z}_{L,i}\overline{z}},$$
(7)
where $`\overline{z}`$ denotes the complex conjugate of $`z`$ and all lengths are normalized by the combined Einstein ring radius. Since the lens equation describes a mapping from the lens plane to the source plane, finding image positions ($`x,y`$) for a given source position ($`\xi ,\eta `$) requires inverting the lens equation. Although the lens equation for a binary lens system cannot be algebraically inverted due to its nonlinearity, it can be expressed as a fifth-order polynomial in $`z`$, and thus the image positions can be obtained by numerically solving the polynomial equation (Witt, 1990). Since the lensing process conserves the source star surface brightness, the magnification of each image equals to the area ratio between the image and the unlensed source and mathematically it is given by the Jacobian of the mapping equation evaluated at the image position;

$$A_i=\left|\left(1\frac{\zeta }{\overline{z}}\frac{\overline{\zeta }}{\overline{z}}\right)^1\right|.$$
(8)
Then, the total magnification is the sum of the magnifications of the individual images, i.e. $`A=_iA_i`$. Since the position of the image centroid equals to the magnification-weighted mean position of the individual images, the centroid shift is given by

$$𝜹=\frac{\underset{i}{}A_i𝒛_i}{A}𝜻,$$
(9)
where $`𝒛_i`$ and $`𝜻`$ are the vector notations of each image position and the location of the unlensed source position, respectively.

Due to the very small mass ratio of the planet to the primary, the planetary lensing behavior is well described by that of a single lens for most of the event duration. However, noticeable deviations can occur when the source passes the region close to caustics. The caustics are the main new features of binary lensing and refer to the set of source positions at which the magnification of a point source becomes infinity. For a planetary case, the caustics are located along or very close to the primary-planet axis ($`x`$ axis) and its location on the $`x`$ axis is approximated by

$$x_cx_p\frac{1}{x_p},$$
(10)
where $`x_p`$ is the position of the planet (Griest & Safizadeh, 1998). Caustics are located within the Einstein ring when the planetary separation is in the range of $`0.6<x_p<1.6`$. Since the size of the caustic, which is directly proportional to the planet detection efficiency, is maximized when the planet is in this range, this range is referred as the ‘lensing zone’ (Gould & Loeb, 1992). The location of the caustic in the source plane corresponds to the region near the one of the two images created by the primary in the lens (or image) plane. From the lens plane point of view, therefore, noticeable deviation occurs when the planet is located close to one of the two images produced by the primary.

Major image perturbation refers to the case where the deviation is caused by a planet located near the major image. Since the major image is located outside of the Einstein ring, major image perturbations are caused by planets with separations greater than $`\theta _\mathrm{E}`$, i.e. $`\left|x_p\right|>1`$ (wide planet). In this case, one finds from equation (10) that $`\mathrm{sign}(x_c)=\mathrm{sign}(x_p)`$ and $`\left|x_c\right|<\left|x_p\right|`$, implying that the caustic is located on the same side of the planet with respect to the center of mass between the primary and planet.

Minor image perturbation, on the other hand, refers to the case where the planet perturbs the minor image. The minor image is located inside of the Einstein ring, and thus minor image perturbations are caused by planets with separations less than $`\theta _\mathrm{E}`$, i.e. $`\left|x_p\right|<1`$ (close planet). Unlike the single caustic formed by the wide planet, the close planet causes formation of two caustics, which are located symmetrically with respect to the primary-planet axis, i.e. $`x`$ axis. For planets in the lensing zone, however, the caustics are located very close to the $`x`$ axis, and thus their locations can also be approximated by eq. (10). Since $`\mathrm{sign}(x_c)\mathrm{sign}(x_p)`$, the caustics are located on the opposite side of the planet with respect to the center of mass.

## 3 Signs of Planetary Perturbations

In this section, we analytically derive the relation between photometric and astrometric microlensing signals of planets and explain the reason for the empirically known properties of the signs of the signals.

We begin with the case where the major image is perturbed by a planet. Let us define $`ϵ`$ as the fractional photometric deviation, i.e.

$$ϵ=\frac{A_pA}{A},$$
(11)
where $`A_p`$ and $`A=A_++A_{}`$ represent the magnifications with and without the perturbation, respectively. Since the minor image is not perturbed by the planet (see Appendix), the perturbed magnification is $`A_p=A_{p+}+A_{}`$, where $`A_{p+}`$ represents the magnification of the perturbed major image. Then, the magnification excess can be written as

$$ϵ=\frac{A_{p+}A_+}{A}=\frac{A_{p+}(AA_{})}{A}.$$
(12)
By inverting eq. (12), the perturbed major image magnification is expressed in terms of $`ϵ`$ by

$$A_{p+}=(1+ϵ)AA_{}$$
(13)
The location of the perturbed image centroid is represented by

$$\phi _p=\frac{A_{p+}\theta _++A_{}\theta _{}}{A_{p+}+A_{}},$$
(14)
where $`\theta _+`$ and $`\theta _{}`$ are the positions of the unperturbed major and minor images, respectively. Here we use an approximation that the change in the position of the major image due to the planetary perturbation is small.222When an images produced by the primary is perturbed by the planet, the fractional astrometric shift of the perturbed image is
$$\frac{\mathrm{\Delta }x}{x}\frac{q}{xx_p}\frac{1}{\zeta }(xx_p)^1,$$
where $`x`$ is the location of the image, $`x_p`$ is the location of the planet, and $`\zeta `$ is the primary-source separation \[see equations (35) and (36) of Bozza (1999)\]. On the other hand, the fractional photometric deviation is
$$\frac{\delta A}{A}\frac{2q}{(xx_p)^2}\frac{1}{x^21/x^2}(xx_p)^2$$
(see Appendix). During the time of maximum perturbation when $`x_px`$, therefore, the photometric perturbation dominates over the astrometric perturbation, i.e. $`\delta A/A\delta x/x`$. This implies that the astrometric perturbation to the centroid shift derives largely from the photometric perturbation rather than the astrometric shifts in the positions of the individual images.  By plugging eq. (13) into eq. (14), the centroid position is expressed in terms of $`ϵ`$ by

$$\phi _p=\frac{(1+ϵ)A\theta _++A_{}(\theta _{}\theta _+)}{(1+ϵ)A}.$$
(15)
By definition, the astrometric planetary signal is the difference between the centroid positions with and without the planetary perturbation, i.e.

$$\mathrm{\Delta }\phi =\phi _p\phi ,$$
(16)
where $`\phi =(A_+\theta _++A_{}\theta _{})/A`$. From eq. (15) and (16), one finds that the relation between the astrometric and photometric perturbations in the case of the major image perturbation is

$$\mathrm{\Delta }\phi =\frac{ϵ}{1+ϵ}\frac{A_{}}{A}(\theta _+\theta _{}),(\mathrm{major}\mathrm{image}\mathrm{perturbation}).$$
(17)
One finds a similar relation in the case of the minor image perturbation;

$$\mathrm{\Delta }\phi =\frac{ϵ}{1+ϵ}\frac{A_+}{A}(\theta _+\theta _{}),(\mathrm{minor}\mathrm{image}\mathrm{perturbation}).$$
(18)
If we define the signs of astrometric shifts such that the direction toward the major image from the lens position is positive, the sign of the term $`\theta _+\theta _{}`$ is also positive. Magnification is always positive by definition, and thus the signs of both terms $`A_{}/A`$ and $`A_+/A`$ are also positive. Then, one finds the relation between the signs of photometric and astrometric perturbations in the case of the major image perturbation;

$$\{\begin{array}{cc}\mathrm{\Delta }\phi _p>0\hfill & \text{if }ϵ>0\text{,}\hfill \\ \mathrm{\Delta }\phi _p<0\hfill & \text{if }1<ϵ<0\text{.}\hfill \end{array}$$
(19)
In the case of the minor image perturbation, the relation is

$$\{\begin{array}{cc}\mathrm{\Delta }\phi _p<0\hfill & \text{if }ϵ>0\text{,}\hfill \\ \mathrm{\Delta }\phi _p>0\hfill & \text{if }1<ϵ<0\text{.}\hfill \end{array}$$
(20)
As shown in Appendix, the flux of the major image is magnified ($`ϵ>0`$) when it is perturbed by the planet, while the flux of the minor image is demagnified ($`1<ϵ<0`$) due to planetary perturbations. Then, the sign of the astrometric perturbation is positive in both cases of major and minor image perturbations. Therefore, while the sign of the photometric planetary signal is either positive or negative depending on whether the major or minor is perturbed, astrometric signals are always positive regardless of the type of image perturbations.

In Figure 1, we present the geometry of an example planetary lens system where the major image is perturbed by a planet. In the figure, the coordinates are centered at the center of mass of the lens system and the positions of the primary and the planet are marked by ‘x’. The diamond-shaped figure represents the caustic and the big dashed circle is the combined Einstein ring. The straight line with an arrow represents the source trajectory and the solid and dotted curves running almost in parallel with the source trajectory are the trajectories of the image centroid (with respect to the lens positions) with and without the planet-induced perturbation, respectively. Also marked are the location of the source (the small solid circle on the source trajectory) at the moment of the image perturbation and the images (elongated figures at around $`\xi =1.4`$ and 0.7) corresponding to the source position. The blowup of the region around the major image is shown in the inset, where the perturbed and unperturbed images are drawn by solid and dotted lines, respectively. From the comparison of the sizes of the unperturbed and perturbed images, one finds that the major image is magnified due to the perturbation. Photometrically, this causes positive deviations in the lensing light curve (lower right panel). Astrometrically, due to the magnified flux of the major image, the image centroid is additionally shifted further away from the unlensed source position towards the major image, causing also positive deviations in the astrometric curve (lower left panel). Figure 2 shows several more examples of perturbed and unperturbed images to illustrate the mentioned trend of image perturbation applies to general cases of perturbations.

In Figure 3, we present the geometry of an example planetary lens system where the minor image is perturbed by a planet. From the comparison of the unperturbed and perturbed minor images, one finds that the perturbed image is demagnified, in contrast with the magnified major image due to the planetary perturbation. Astrometrically, demagnification of the minor image causes the image centroid to be further shifted towards the major image, resulting in positive deviations, whose sign is same as that of the astrometric deviations caused by the major image perturbation.

## 4 Conclusion

We investigated the properties of planetary signals in microlensing light curves and centroid shift trajectories. We derived analytic relation between the photometric and astrometric planetary signals and explained the reason for the empirically known properties of planetary signals, where the photometric signal can be either positive or negative depending on which of the two images produced by the primary is perturbed, while the astrometric signal is always positive regardless of which image is perturbed.

We thank B. S. Gaudi and V. Bozza for making very helpful comments on planetary microlensing properties. CH was supported by the Astrophysical Research Center for the Structure and Evolution of the Cosmos (ARCSEC) of Korea Science & Engineering Foundation (KOSEF) through Science Research Program (SRC) program. KC was supported by Korea Astronomy Society (KAO).

Appendix: Signs of Photometric Perturbations

By treating the planet-induced deviation as a perturbation, Bozza (1999) derived the expression for microlensing magnification of a lens with a planet by expanding the Jacobian of the lens equation to the first order in $`q`$ \[see eq. (37) of his paper\];

$$A_p=A+\frac{A}{z^41}\left\{\frac{2q(x^2y^2)[(xx_p)^2y^2]+4(xx_p)^2y^2}{[(xx_p)^2+y^2]^2}\frac{4(x\mathrm{\Delta }x+y\mathrm{\Delta }y)}{z^2}\right\},$$
(1)
where $`A`$ is the unperturbed magnification, $`𝒛=(x,y)`$ is the position vector to the image location, $`x`$ axis is parallel to the primary-planet axis, $`x_p`$ is the planet position on the axis, and $`(\mathrm{\Delta }x,\mathrm{\Delta }y)`$ represents the change of the image position induced by the planet. The perturbation becomes maximum when the source crosses $`x`$ axis. At this moment, the images are also located along or very close to $`x`$ axis. Then, by using the approximations of $`y0`$, $`\mathrm{\Delta }y0`$, and $`zx`$, one can express the equation into a one-dimensional form of

$$A_p=A\left\{1+\frac{1}{x^21/x^2}\left[\frac{2q}{(xx_p)^2}\frac{4}{x^2}\left(\frac{\mathrm{\Delta }x}{x}\right)\right]\right\}.$$
(2)
As noted by Bozza (1999), the planet induces two types of perturbations: the first type caused by the slight change of the image position (the term $`\mathrm{\Delta }x/x`$) and the second type resulting from the change of the lens equation due to the planet \[the term $`(xx_p)^2`$\]. The fractional astrometric perturbation is $`\delta x/x(xx_p)^1`$ (Bozza, 1999). Then during the time of maximum perturbation when $`xx_p`$, the second type perturbation dominates and the magnification excess is approximated by

$$ϵ=\frac{A_pA}{A}\frac{2q}{(xx_p)^2}\frac{1}{(x^21/x^2)}.$$
(3)
From eq. (3), one finds that the planet’s approach close to one image (located at $`x_1`$) causes little perturbation on the other image (located at $`x_2`$) because $`(x_1x_p)^2(x_2x_p)^2`$, implying that only one image is perturbed by the planet. In addition, since both $`q`$ and the term $`(xx_p)^2`$ are positive, the sign of the photometric perturbation is determined by the remaining term $`x^21/x^2`$. Because the major image is located outside of the Einstein ring ($`x>1`$), and vice versa in the case of the minor image perturbation, one finds that

$$\mathrm{sign}\left(x^2\frac{1}{x^2}\right)=\{\begin{array}{cc}(+),\hfill & \text{for major image perturbation,}\hfill \\ (),\hfill & \text{for minor image perturbation.}\hfill \end{array}$$
(4)
Therefore, the flux of the major image is magnified when it is perturbed by the planet, while the flux of the minor image is demagnified due to planetary perturbations, i.e.

$$\mathrm{sign}(ϵ)=\{\begin{array}{cc}(+),\hfill & \text{for major image perturbation,}\hfill \\ (),\hfill & \text{for minor image perturbation.}\hfill \end{array}$$
(5)


text:
# 1 Energy trapping in the nearest neighbor model. (top) Distribution of kinetic energies as a function of time for an initial condition with all the energy 𝐸=1.28 originally in oscillator 0. (bottom) The same for 𝐸=5.12.

Energy trapping in loaded string models with

long- and short-range couplings

Ilya V. Pogorelov1 and Henry E. Kandrup1,2,3

1 Department of Physics, University of Florida, Gainesville, FL 32611

2 Department of Astronomy, University of Florida, Gainesville, FL 32611

3 Institute for Fundamental Theory, University of Florida, Gainesville, FL 32611

## Abstract

This note illustrates the possibility in simple loaded string models of trapping most of the system energy in a single degree of freedom for very long times, demonstrating in particular that the robustness of the trapping is enhanced by increasing the ‘connectance’ of the system, i.e., the extent to which many degrees of freedom are coupled directly by the interaction Hamiltonian, and/or the strength of the couplings.

The work described here was motivated by a desire to understand the qualitative difference in dynamical behavior in systems interacting via short- and long-range couplings. In particular, how do bulk properties involving mixing and relaxation vary as the strength or the range of the interaction is increased? Considerable work has been done on systems like the Fermi-Pasta-Ulam (FPU) model, which involve only nearest neighbor couplings (see, e.g., Ford 1992). However, comparatively little is known about the phenomenology of systems which manifest longer range couplings. How does the dynamics change for high-connectance systems (see, e.g., Froeschlé 1978), which couple directly all, or almost all, the degrees of freedom?

When considering systems with longer range couplings, even the natural language in which to describe the dynamics changes. Most work on FPU-type models has involved an analysis formulated in terms of the modes of the system. However, for systems with longer range interactions it often becomes less obvious how to identify a natural set of modes. More natural, perhaps, is to consider individual degrees of freedom as fundamental, and to interpret the observed behavior in terms of those degrees of freedom.

The work described here can be viewed as a prolegomenon towards more systematic work underway which aims to study mixing properties in self-consistent systems described in the continuum limit by partial differential equations, such as the Vlasov-Poisson system of galactic astronomy, plasma physics, or charged-particle beams.

As a simple example, consider a loaded string-type model consisting of $`N=16`$ identical nonlinear oscillators arranged in a one-dimensional closed chain with dynamics generated by the Hamiltonian

$$H=\underset{i=0}{\overset{N1}{}}\left(\frac{1}{2}p_i^2+\frac{1}{2}q_i^2+\frac{1}{4}q_i^4\right)+\frac{1}{4}\underset{ij=0}{\overset{N1}{}}c_{ij}\left(q_iq_j\right)^4\underset{i=0}{\overset{N1}{}}H_i+\underset{ij=0}{\overset{N1}{}}H_{ij},$$

with $`q_Nq_0`$, and view the system as a sum of $`N`$ individual one-degree-of-freedom Hamiltonians $`H_i`$ plus an interaction Hamiltonian $`H_{int}=H_{ij}`$. To explore how the dynamics depends on both the range of the interaction and the number of degrees of freedom that are coupled directly, one can then allow for three different types of couplings:

1. a model with nearest neighbor couplings, with $`c_{ij}`$ nonzero only for $`|ij|=1`$, and with all nonzero $`c_{ij}`$’s assuming the same value;
2. a maximally connected model, with all pairs coupled identically; and
3. another long-range model, where the coupling constant decreases linearly from a fixed value $`c`$ for nearest neighhbors to zero strength for oscillators separated by $`N/2`$ ‘spaces.’

Unless otherwise specified, the computations described here assumed a coupling strength $`c_{i,i+1}=1/3`$.

As a highly special, albeit interesting, initial condition, suppose that, at $`t=0`$, all the system energy is deposited into a single degree of freedom, setting the kinetic energy for one of the oscillators, say oscillator $`0`$, equal to the total system energy $`E`$. The obvious question then is how long it takes before a sizeable fraction of the energy is transferred to the other oscillators and/or the interaction Hamiltonian.

Consider first models with nearest neighbor couplings. In this case, one discovers that a significant fraction of the total energy can remain trapped in a single degree of freedom for times as long as $`\mathrm{\hspace{0.33em}10}^210^3`$ periods of uncoupled oscillations. This is, e.g., illustrated in Figs. 1 and 2, which exhibit the distribution of kinetic energies amongst the different oscillators as a function of time for four different energies. Here, as in Figs. 3 - 5, the kinetic energies have been smoothed from raw data recorded at intervals $`\delta t=0.1`$ by a box-car averaging over 400 adjacent points. The initial localization involves of course the oscillator in which the energy was originally deposited. Eventually, however, different degrees of freedom emerge as the location of this energy localization, the transitions occuring quite abruptly and with no obvious correlation between the locations of the localization prior to and following the transitions. The sojourn times also appear to be random, except that for higher energies and/or weaker coupling, the intervals between the successive transitions become shorter overall. For example, in the long-range model with linear decrease in coupling strength, reducing $`c`$ from $`1/3`$ to $`1/9`$ can decrease the typical duration of these intervals by as much as a factor of five. For very high energies, the localized configuration breaks down rapidly, never to appear again (see, e.g., Fig. 2, bottom panel).

The obvious question is how this conclusion is altered for the case of longer range interactions. In particular, does increasing the range of the coupling make the energy ‘disperse’ more quickly? Here the answer is a resounding: no! Far from providing new channels for energy transfer between the degrees of freedom, long-range couplings make this energy localization, or trapping, even more robust. For every value of energy that was explored – $`0.02E\mathrm{\hspace{0.33em}327.68}`$ –, localization was more robust for the models that coupled together all the degrees of freedom than for the nearest neighbor model, with the maximally connected model allowing trapping for the longest time. The degree to which a long range coupling enhances trapping can be inferred from Fig. 3, which exhibits the distribution of kinetic energies for the different oscillators for the three different models, in each case allowing for an energy $`E=327.68`$. Also evident from Figs. 1 - 3 is the fact that, for all three models, the ‘trapping time’ decreases with increasing energy, a relative sharp decrease being observed for energies above $`E_{}\mathrm{\hspace{0.33em}5}20`$, the value of which depends on the model.

However, as illustrated by Fig. 4, localization does not emerge for ‘more generic’ initial conditions with energy distributed randomly amongst all the oscillators, so one might perhaps conjecture that this localization is a fluke reflecting a very nongeneric initial condition. It is therefore important to determine the stability of these localized configurations. In particular, one needs to determine whether, for initial conditions ‘less singular’ than $`E_0=E`$, energy trapping persists and, if so, for how long.

These issues were addressed by considering alternative sets of initial conditions, where the initial kinetic energy of the zeroeth oscillator was assigned smaller fractions of the energy, $`E_0=0.85E`$ and $`E_0=0.7E`$, and the remaining energy was apportioned at random in the other degrees of freedom. Putting energy into the other degrees of freedom does indeed tend to make localization less robust. However, even for $`E_0=0.7E`$ one can see distinct localization patterns that persist over hundreds of natural oscillation periods. Moreover, as before, stronger and/or longer range couplings mean that the localization persists for longer times. Decreasing the fraction of the total energy placed into the ‘trap’ results in shorter trapping times. This behavior is illustrated in Fig. 5, where different coupling types and values of $`E`$ are chosen so as to demonstrate the competing effects of longer range coupling and higher energy. In all three cases, the initial condition is one with 70% of the total energy deposited in oscillator 0.

The middle panel of this Figure also illustrates another interesting point: It is possible for most of the energy localized initially in a single oscillator to be deposited in two other oscillators, where it remains localized for a comparatively long time. Alternatively, as illustrated in the bottom panel of Fig. 1, an initial state which would appear to have become largely delocalized can ‘relocalize’ with most of the energy concentrated in a different oscillator.

Since the efficacy of mixing is well known to differ for regular and chaotic dynamics, it is also natural to ask whether the comparatively abrupt transition from robust to less stable trapping with increasing energy $`E`$ correlates with a transition from (near-)regular to (more strongly) chaotic dynamics. One useful diagnostic in addressing such a transition is provided by examining the ‘complexity’ of the time series associated with some phase space variable, such as the position, momentum, or energy of one of the oscillators. One can, e.g., determine the number of frequencies required, on average, to capture some significant fraction, (say) $`95\%`$, of the total power in the Fourier spectrum associated with some time series.

Such an analysis reveals that, for lower energies, the time series are very close to periodic whereas, for higher energies, any quasi-periodic approximation requires an enormous number of frequencies. There is, moreover, a strong correlation between the magnitude of the time series complexity and the rate of delocalization. The transition from very slow to considerably more rapid delocalization and the transition from very long-lived to considerably less long-lived trapping are comparably abrupt. And the complexity for the shorter range models, where localization is less robust, tends to be somewhat larger than for the time series of the longer range models. Finally, it is evident that, at least while energy remains trapped in one oscillator, the time series for the coordinate or momentum corresponding to that oscillator is typically much less complex than the the time series for the other degrees of freedom. Alternatively, at least for the case of the maximally connected model, the oscillator in the chain directly opposite from the oscillator in which the energy is localized tends to have an especially complex time series.

Examples of this behavior are exhibited in Fig. 6, which derive from orbital data recorded at intervals $`\delta t=0.1`$ for a total time $`t=3200`$. In each case, $`n(0.95)`$ represents the fraction of frequencies required to capture 95% of the power in a time series for phase space coordinates $`q_i`$ and $`p_i`$. The bottom curve exhibits data for the oscillator into which all the energy was originally deposited, the diamonds representing mean values obtained by computing complexities individually for $`q_0`$ and $`p_0`$ and then averaging. The top curve exhibits data for the oscillator separated by $`N/2`$ ‘spaces’. The middle curve was derived by computing complexities analogously for all $`16`$ oscillators and then constructing an average over the oscillators.

Presuming that the flow is ergodic, one would expect an eventual evolution towards a ‘well mixed’ state; and, for that reason, it is natural to determine the extent to which there is an asymptotic approach towards equipartitioning of energy at late times. For the case of random initial conditions, there are in fact clear indications of such an approach, at least in a time-averaged sense, although the time scale for this approach can be very long, $`>10^3`$ orbital periods. Obviously, though, for localized initial states there can be no such approach as long as trapping persists. However, even here there are some indications for an eventual approach towards equipartitioning for higher energies, weaker couplings, and/or shorter range interactions. Examples of an approach towards equipartitioning, or lack thereof, are provided in Fig. 7, which tracks the time-averaged kinetic energies (cf. Batt 1987)

$$K(t)=\frac{1}{n}\underset{i=1}{\overset{n}{}}K(t_i),$$

with $`t_1=0`$ and $`t_n=t`$, of several different oscillators in three representative integrations.

A number of interesting questions still remain to be addressed. For each of the different types of coupling, is there, e.g., a threshold value of energy or coupling strength signaling a transition from regularity to chaos and a comparatively rapid breakdown of localization? How does the behavior observed for $`N=16`$ vary as the number of degrees of freedom increases? And, perhaps most importantly, is this localization unique to one-dimensional chains? Will a similar localization persist on a two-dimensional lattice configured as a torus? Work on these questions is currently underway.

In any event, the numerical experiments performed hitherto yield three unambiguous conclusions: (1) FPU-type systems with both nearest-neighbor and longer range couplings admit states in which most of the energy remains trapped in a single degree of freedom for relatively long times. (2) The stronger the coupling in terms of range, connectance, or size of the coupling constant $`c`$, the more robust is this energy trapping. (3) This trapping is more robust at lower energies, where the dynamics seems more nearly regular.

HEK was supported in part by NSF-AST-0070809.

References

Batt, J. 1987, Transport Theory Stat. Phys. 16, 763

Ford, J. 1992, Phys. Repts. 213, 271

Froeschlé, C. 1978, Phys. Rev. A 18, 277


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# Evidence for nano-scale inhomogeneities in bilayer manganites in the Mn4+ rich region: 0.54≤𝒙≤0.80

## I INTRODUCTION

The double layered manganite series La2-2xSr1+2xMn2O7 shows a rich and interesting, but somewhat poorly understood, phase diagram.kubot;jpcs99 ; ling;prb00  It also appears to be a prospective candidate for future application by showing a large colossal magnetoresistance (CMR) effect.morit;nl96  The interplay between spin, charge, and lattice degrees of freedom is of critical importance to many transitional-metal oxides with perovskite-related structures, and their delicate interactions have been intensely studied both theoretically and experimentally. The reduced dimensionality obtained by constraining the lattice degree of freedom in this bi-layered system facilitates the investigation of strong correlation between electron-lattice coupling and magnetic properties, proving it to be one of the most interesting CMR manganites.

Most studies focus on the Mn3+ rich portion of the La2-2xSr1+2xMn2O7 phase diagram, where the important CMR phenomenon and the temperature driven Insulator-Metal (IM) transition are observed.morit;nl96  However, the phase diagram of the less studied Mn4+ rich region shows many novel and intriguing properties.ling;prb00  For convenience, this is reproduced in Fig. 1.

For example, the type-A anti-ferromagnetic insulator (AFI) phase is the ground state in a wide range $`0.46x0.66`$ while it is more commonly found in cubic manganites at the lowest Sr2+ dopings, though with some exceptions.morit;prb98 ; kuwah;prl99  Also, a spin disordered “gap” region takes over for doping $`x`$ from 0.66 to 0.74; then a tetragonal to orthorhombic crystallographic phase transition occurs sharply at $`x`$=0.74, followed by the type C/C AFI phase up to 0.90 doping. There is also a wide charge ordered (CO) region ($`0.48x0.66`$). These observations challenge the simple Goodenough-Kanemori (GK) rulesgoode;pr55  that successfully correlate the magnetic and structural properties of cubic perovskite manganites and are not well understood.

An A-type AFI phase, of ferromagnetic sheets antiferromagnetically coupled, at 50% doping can be explained within the framework of the GK rules if the Mn 3$`d_{x^2y^2}`$ orbitals are occupied by the $`e_g`$ electrons rather than the more commonly observed 3$`d_{3y^2r^2}`$ occupancy. However, to explain the C/C AFI phase (linear FM coupled chains that are antiferromagnetically coupled to their neighbors) at high doping requires 3$`d_{3y^2r^2}`$ occupancy. Because of the symmetry of these different orbitals the former, 3$`d_{x^2y^2}`$ occupancy, will result in oblate (two short and four long bonds) and the latter, 3$`d_{3y^2r^2}`$ occupancy, in prolate (two long, four short bonds) JT-distorted octahedra. Alignment of the long-bonds in the plane along the $`b`$-axis naturally explains the observed orthorhombic symmetry.ling;prb00  In addition, a theoretical model based on the two $`e_g`$ orbitals by Okamoto et al.okamo;prb01  also suggests the stabilization of 3$`d_{x^2y^2}`$ and 3$`d_{3y^2r^2}`$ orbitals in type A and type C/C magnetic phases respectively.

One outstanding question is the origin of the wide spin disordered region ($`0.66x0.74`$). Because of the change in symmetry of the occupied orbitals a transition from A- to C/C-type order must be first order. Presumably in the spin disordered region a competition exists between these two magnetic orders that frustrates the system preventing magnetic long-range order from forming. It would be interesting to study the local spin correlations to verify this, but lack of single crystals has, thus far, prevented such studies. However, the local structure can be studied straightforwardly using the atomic pair distribution function (PDF) analysis of neutron powder diffraction dataegami;b;utbp03  and the local magnetism can be inferred from this through application of the GK rules.

In the spin-disordered region the crystallographic structure is metrically tetragonal. This would be observed both if the local structure is tetragonal and also if it is locally orthorhombic but the locally orthorhombic domains are disordered along the $`a`$ and $`b`$ directions. For example, this would occur if the long bonds of JT-distorted octahedra are randomly arranged along $`a`$ and $`b`$. The PDF method could distinguish these two cases. Similarly, if Mn3+ and Mn4+ ions are spatially disordered their presence will be more apparent from a local structural study.billi;prl96

We applied Atomic Pair Distribution Function (PDF) analysis of neutron powder diffraction data to search for the presence of JT distorted MnO6 octahedra in the doping range $`0.54x0.80`$ at low temperature. Being a high resolution local structure probe, PDF technique has proved to be capable of resolving different levels of MnO6 octahedra JT distortions in cubic perovskite manganites.billi;prl96  The advantage of this technique is that both Bragg and diffuse scattering intensities are used, reflecting both long and short range structural correlations. This enables us to study local structures contained in diffuse scattering found underneath and between the Bragg peaks.egami;b;utbp03

The results indicate a gradual change of the local structure with doping rather than an abrupt phase transition as seen in the average structure. Local orthorhombicity is evident as early as $`x=0.60`$ where the average structure is clearly tetragonal. This supports the idea that the sample is inhomogeneous on the nano-scale with 3$`d_{x^2/y^2r^2}`$ symmetry JT distorted Mn3+ octahedra coexisting with undistorted Mn3+ and Mn4+ octahedra. The number of JT distorted octahedra varies smoothly with doping.

## II EXPERIMENTS

Finely powdered samples of La2-2xSr1+2xMn2O7 ($`x=0.54`$, 0.60, 0.64, 0.66, 0.68, 0.70, 0.72, 0.76, 0.78, 0.80) were synthesized at Argonne National Laboratory (ANL). The synthesis method is described elsewhere.millb;cc99  All samples were characterized using x-ray diffraction and susceptibility measurements. The oxygen content was verified by measuring the $`c`$axis parameter and was found to fall on the expected curve for stoichiometric samples.

Neutron powder diffraction measurements were carried out on the Special Environment Powder Diffractometer (SEPD) at the Intense Pulsed Neutron Source (IPNS) at ANL. The samples of about $`7.0`$ g were sealed in cylindrical vanadium cans with helium exchange gas. Data were collected at $`4`$ K for all the compounds using a closed cycle helium refrigerator. The $`x=0.64`$ and $`x=0.68`$ samples were measured four months after the others. Standard corrections were made to the raw data to account for experimental effects such as detector dead time and efficiency, background, sample absorption, multiple scattering to obtain the normalized total scattering structure function, $`S(Q)`$, where $`Q`$ is the magnitude of the scattering vector. These procedures are described in detail elsewhere.egami;b;utbp03  All corrections were carried out using the program PDFgetN.peter;jac00  The PDF, $`G(r)`$, is obtained by a Fourier transformation according to $`G(r)=\frac{2}{\pi }_0^{\mathrm{}}Q[S(Q)1]\mathrm{sin}QrdQ`$. The PDF gives the probability of finding an atom at a distance $`r`$ away from another atom. An example of the PDF from La2-2xSr1+2xMn2O7 ($`x=0.80`$) at 4 K is shown in Fig. 2(b)

with the diffraction data in the form of $`F(Q)=Q[S(Q)1]`$ in Fig. 2(a). Superimposed on the PDF is a fit to the data of the average structure model using the profile fitting least-squares regression program, PDFFIT.proff;jac99  The $`S(Q)`$ data were terminated at $`Q_{max}=33.0`$ Å-1. This is a reasonable value for $`Q_{max}`$ in typical PDF measurements on SEPD. Uncertainties at the level of $`\sigma `$ are drawn as dashed lines on the difference curves.

Peaks in $`G(r)`$ represent the probability of finding pairs of atoms separated by the distance-$`r`$, weighted by the product of the corresponding atom pair’s scattering lengths. In a perfect crystalline La2-2xSr1+2xMn2O7 structure, the nearest neighbor distance comes from the 6 equidistant Mn-O bond lengths in one MnO6 octahedron, corresponding to the first peak in PDF at about 1.94 Å. This is negative due to Mn atom’s negative neutron scattering length. Peaks at higher-$`r`$ generally contain contributions from more than one unresolved pair. The peak at 2.72 Å is dominated by high multiplicity O-O correlations, though it also contains a contribution from La/Sr-O correlations. The decomposition of multiple contributions is handled by a real space Rietveld refinement program: PDFFIT,proff;jac99  with which a structural model can be obtained without the constraints posed by space group symmetries. Therefore, both local structural and average structure analysis can be performed on the same data set.

## III RESULTS

### III.1 Model independent analysis

Low-$`r`$ PDF peaks directly reflect the local structural details, and disorder in the local structure can cause excess peak broadening,billi;prl96  extra shoulderslouca;prl98  and even split peaks.proff;prb99  The prolate JT distorted octahedra of Mn3+ ions result in four short Mn-O bonds in the range $`1.92`$–1.97 Å and two long bonds at 2.16 Å.elema;jssc71 ; rodri;prb98 ; proff;prb99  In the cubic manganites, in the absence of disorder, these are easily resolved in the PDF.proff;prb99  With doping the loss of orientational order of the orbitals quickly suppresses the coherent JT distortion and the average structure changes from orthorhombic to rhombohedral. However, the presence of fully JT distorted octahedra is evident in the local structure, though the peak in the PDF from the long-bonds is not resolved and is evident only as a broad shoulder.billi;prl96 ; billi;prb00 ; billi;b;imsadoceo03

We first investigated the PDFs from these layered, doped, manganites to search for qualitative evidence for the existence of long $`r=2.16`$ Å bonds. This is shown in Figs. 3 and 4.

Figure 3 shows the experimental PDFs at $`x=`$0.54 and 0.60 with a calculated PDF from a model assuming all Mn3+O6 octahedra are prolate. In this case the number of Mn3+ octahedra is determined from the doping and of these, two out of six Mn-O bonds are set to 2.16 Å. The clear discrepancies between experiments and model rule out the existence of fully JT distorted prolate MnO6 octahedra in the type A AFI phase. As we discuss elsewhere, this is probably due to the fact that electrons are largely delocalized in the planes (though not perpendicular to them) in this region of the phase diagram at low-T,qiu;unpub03  in analogy with the situation in the CMR region of the cubic manganites.billi;prl96 ; billi;prb00 ; billi;b;imsadoceo03

In the type C/C orthorhombic phase, we expect eg electrons to stay in 3$`d_{3y^2r^2}`$ orbitals, and therefore the 2.16 Å long bonds are expect to be present. In this case the number of Mn3+ sites, and therefore the number of long-bonds, is rather small. Nonetheless, there is rather good agreement between the prediction of the simple model and the data in the region around $`r=2.16`$ Å. Figure 4 shows the experimental PDFs at $`x=0.78`$ and 0.80 with the model-PDF. Because of the small number of long bonds (6.7% at $`x=0.8`$) this result is not conclusive evidence supporting the existence of these long bonds, though the data are consistent with their presence.

The PDF peaks represent the bond length distributions in the material. The proposed MnO6 octahedral shape change of the Mn3+ octahedra, from normal to prolate JT distorted with increasing doping, induces more local structural distortion and thus would cause the low-$`r`$ PDF peak to broaden. An increase in disorder in the local structure will result in this peak broadening, and therefore lowering, with doping as observed. In Fig. 5 we show the change of the peak height, inversely related to the peak width, of the

first PDF peak around 1.935 Å with doping. The $`x=0.64`$ and 0.68 samples lie above the others. These samples were measured at a later date and evidently the systematic errors have not been perfectly reproduced. Note that the data were all collected at 4 K so no temperature broadening effects are expected. Also, increasing the doping in this highly doped region moves the composition towards the pure stoichiometric end-member and so dopant ion induced disorder coming from the alloying is decreasing with increasing doping. The observation of an increase in disorder with increasing doping, in this peak that is highly sensitive to the Mn-O bonds, is therefore strong evidence that an electronically driven change is occurring in the Mn-O octahedral shape.

The smooth evolution of the peak heights (Fig. 5) suggests that the local structural changes occur continuously with changes of doping concentration $`x`$, in contrast to what is observed in the average structure. The change in global symmetry from tetragonal to orthorhombic at $`x=0.76`$ is presumably related to a transition of the JT long-bonds from being randomly oriented to having a net orientation along $`b`$.

### III.2 Structural Modelling

Structural modelling gives a more quantitative picture of the local structure than the qualitative analysis described above. Two structural models were fit based on the tetragonal and orthorhombic crystallographic models.ling;prb00  It is worth noting here that any constraint by the space group and symmetry during average structure analysis can be relaxed in our real space full profile modelling. Additionally, we can add any kind of constraints based on physical reasons. It was found that the best agreement was found for doping $`x0.60`$ when the tetragonal symmetry is relaxed to orthorhombic. In the case of $`x=0.60`$ the improvement in fit of the orthorhombic model is barely significant and in this case we cannot unambiguously assign the local symmetry as orthorhombic. In the following, only results from the relaxed orthorhombic symmetry are reported.

The two in-plane lattice constants $`a`$ and $`b`$ are shown in Fig. 6 together with the lattice constants obtained from Rietveld refinement using GSAS.larso;unpub87  The two dashed vertical lines show the phase transition from type-A AFI to spin disordered and tetragonal to orthorhombic (which is almost coincident with the magnetic transition from spin disordered to type C/C AFI), respectively.

The PDF refinements suggest the structure is already locally orthorhombic as early as $`x=0.60`$, while the sharp crystallographic phase transition occurs around $`x=0.76`$. This could be explained if JT distorted MnO6 octahedra are beginning to appear on Mn3+ sites around $`x=0.60`$, but the long bonds lie along the $`a`$ and $`b`$ axes randomly.

It is important to determine whether the JT long-bonds that appear at $`x0.60`$ lie in the plane, perpendicular to the plane, or are distributed between these possibilities. This can be studied by looking at the refined values of the Mn-O bond lengths. The four different Mn-O bond lengths within one MnO6 octahedron, determined by PDFFIT, are shown in Fig. 7.

What is clear from this Figure is that over this doping range there is no clear trend in the apical (perpendicular) bonds. This implies that the observed increase in the Mn-O bond-length distribution with doping is coming primarily from the in-plane bonds. The JT distorted Mn3+ ions that appear with doping are predominantly locating their long-bonds in the plane. The electronic states along $`c`$ remain largely unchanged with doping, and little or no charge transfer occurs between in-plane and out of plane.

We have observed evidence for JT long bonds lying in the plane from the PDF refinements. If this picture is correct we would expect to see a response in the refined in-plane Mn and O displacement factors. These should be small for $`x<0.60`$ because there is little disorder in the structure and the models that we are using, based on the average structure, should work well also for the local structure. We might expect them also to be small and largely thermal in origin for $`x>0.76`$ where the JT distorted orbitals are ordered along the $`b`$ axis. In the spin disordered region we see evidence in the local structure for significant numbers of JT distorted Mn3+ ions that are not fully ordered. By allowing the local structure to be orthorhombic much of this disorder will not show up in PDF derived displacement factors. However, it is interesting to note that there is a peak in the value of the planar Mn-O displacement parameters in this region, as shown in Fig. 8.

## IV DISCUSSION

In a separate article we present the evidence supporting the fact that, at low temperature at $`x=0.54`$, the $`e_g`$ electrons associated with Mn3+ ions are delocalized in the plane. At this point there are no JT distorted MnO6 octahedra and the local structure agrees with the average structure. When the C/C-type antiferromagnetism appears around $`x=0.76`$, coincident with a global orthorhombic distortion, it seems clear that JT distorted MnO6 octahedra have appeared with the 3$`d_{3y^2r^2}`$ orbitals occupied. The main result from the current work is the observation that, in the local structure, the crossover between these two behaviors happens continuously with doping and is not abrupt as it is in the average structure. The structure is locally orthorhombic as early as $`x=0.60`$ suggesting the presence of JT distorted MnO6 octahedra that are orientationally disordered within the plane. From this work we cannot tell if this disorder is static or dynamic.

This picture could qualitatively explain the spin-disordered region since, from the GK rules, local magnetic correlations will randomly fluctuate between ferromagnetic and antiferromagnetic from site to site.

More detailed consideration of this model suggests that the sample is likely to be nano-phase segregated in this region since we believe the low-doping end-member (the $`x=0.54`$ sample) has its $`e_g`$ electrons delocalized in the plane.gray;unpub03  For this to make sense, delocalized clusters with locally A-type magnetic correlations must persist in this spin disordered region. Since there is no evidence of macroscopic phase-separation these clusters are likely to be nano-scale. Presumably they coexist with nanoscale regions of the sample where the $`e_g`$ electrons are localized as Mn3+ ions with a local JT distortion. With increasing doping the number of these localized Mn3+ sites first increases as the proportion of the sample in the localized state increases at the expense of the delocalized state. Once the entire sample has transformed to the localized state, with increasing doping the number of Mn3+ sites will decrease as ($`1x`$) in the normal way. This is apparent from the decreasing orthorhombicity that is evident for $`x>0.80`$.ling;prb00

## V conclusions

Based on PDF results, we suggest that the local structure of La2-2xSr1+2xMn2O7 evolves smoothly as a function of doping at low temperature in the region of the phase diagram $`0.54x0.80`$. The material evolves smoothly from being locally tetragonal at $`x=0.54`$ to having a well established orthorhombicity at $`x=0.80`$. The local and global structures agree well at these end-points. However, in between, and associated with the spin disordered region of the phase diagram, the local structure appears orthorhombic even though the material is metrically tetragonal. These results can be reconciled if JT distorted MnO6 octahedra exist with their long-bonds lying in the plane but disordered along the $`a`$ and $`b`$ axes. We have discussed that these results are consistent with the presence of inhomogeneities resulting in a coexistence of delocalized and localized electronic states, possibly due to nano-scale phase separation, in this intermediate region of the phase diagram, into regions that have the characteristics of the two end-members at $`x=0.54`$ and $`x=0.80`$ respectively. We have argued that such a nano phase separation into disordered and possibly fluctuating A-type and C/C-type magnetic domains may explain the frustrated magnetism in this region. Making certain assumptions we have quantified the evolution of the phase separation with doping.

###### Acknowledgements.

We are thankful to Simine Short for providing valuable help with the neutron diffraction data collection. The work at MSU was supported by NSF through grants DMR-0075149, and at ANL by the US Department of Energy, Office of Science, under Contract No. W-31-109-ENG-38. The IPNS at Argonne National Laboratory is funded by the US Department of Energy under contract W-31-109-ENG-38.


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# Quantum Information processing by NMR: Preparation of pseudopure states and implementation of unitary operations in a single-qutrit system.

## I Introduction

A future quantum computer has the advantage of simulating physical systems and solving certain problems more efficiently than classical computers . Classical computer use bits as basic units of information whereas quantum computers use qubits (two-level systems) as basic units of information. Unlike bits, qubits can exist in coherent superposition of the two basic states $`|0`$ and $`|1`$. Moreover quantum-mechanical systems can be ’entangled’. Entanglement is purely a quantum-mechanical property which has no classical analogue. Two quantum systems when entangled show non-local correlations which cannot be defined by classical statistical predictions. However, such quantum mechanical behavior is restricted not only to qubits but exists in all higher dimensional systems called qudits . The degree of non-local correlations are in fact greater in case of entangled qutrits (three-level systems) than entangled qubits . Several cryptographic protocols have been devised using qutrits which are argued to be highly secure against symmetric attacks. Recently it has also been demonstrated that qutrits can be useful for certain purposes of quantum simulation , quantum computations  and quantum communication . Among the various physical systems on which quantum simulations and algorithms have been experimentally realized, nuclear magnetic resonance (NMR) has proved to be the most successful to date . In most of the studies coupled spin-1/2 nuclei have been used which simulate multiqubit systems. Quadrupolar nuclei have also been used in NMR to mimic qubit systems, whereby spin-3/2 and 7/2 nuclei act as 2 and 3-qubit systems respectively . In this work we realize a single qutrit system using nucleus of a deuteron (spin-1) oriented in a liquid crystal matrix. The quadrupole moment of spin-1 coupled to the electric field gradient in an anisotropic environment lifts the degeneracy of the various dipolar transitions in a strong magnetic field, allowing the three level system to be treated as a ”qutrit”. We prepare pseudopure states and perform all the possible one-to-one reversible operations on this qutrit system. To the best of our knowledge this is the first implementation of quantum information processing in qutrit system by NMR spectroscopy. It is worth mentioning that qutrit systems have also been realized in trapped-ions recently .

A qutrit has three states $`|0`$, $`|1`$ and $`|2`$. A natural choice for qutrit is a nucleus with three energy levels. Such a nucleus commonly used in NMR spectroscopy is deuterium (2H) which has nuclear spin-1 and significant quadrupole moment. The energy levels of deuterium in a strong magnetic field are schematically given in Fig. 1(a) along with the equilibrium populations. In a strong magnetic field (Bo) and an isotropic environment the quadrupolar coupling is averaged to zero; consequently, the energy levels of deuterium are equispaced. Hence the two single quantum transitions ( $`|0|1`$ and $`|1|2`$) overlap leading to indistinguishibility and causing problems with addressability. However, when introduced in a liquid crystalline matrix, the system becomes anisotropically oriented with respect to Bo, yielding finite quadrupolar coupling. The resonance frequencies of the two single quantum transitions then become non-degenerate, giving well resolved spectra (Fig.1(a)). The Hamiltonian of a quadrupolar nucleus partially oriented in a liquid crystalline matrix, in the presence of a large magnetic field $`B_0`$ and having a first-order quadrupolar coupling, is given by ;

$`=_Z+_Q`$ $`=`$ $`\omega _0I_z+{\displaystyle \frac{e^2qQ}{4I(2I1)}}(3I_z^2I^2)S`$ (1)
$`=`$ $`\omega _0I_z+\mathrm{\Lambda }(3I_z^2I^2),`$ (2)
where $`\omega _0=\gamma B_0`$ is the resonance frequency, $`\gamma `$ being the gyro-magnetic ratio, $`S`$ is the order parameter at the site of the nucleus, $`e^2qQ`$ is the quadrupolar coupling and $`\mathrm{\Lambda }=e^2qQS/(4I(2I1))`$ is its effective value. Though $`e^2qQ`$ is of the order of several MHz, a small value for the order parameter ($`S`$) converts the effective quadrupolar coupling ‘$`\mathrm{\Lambda }`$’ into several Hz. The sample used in this study is a lyotropic liquid crystal comprising of 25.6$`\%`$ potassium laurate, 6.24$`\%`$ decanol and 68.16$`\%`$ deuterated water (D2O) . The system exhibits oriented nematic laminar phase at 300K . The deuterium signal splits into a doublet of 240 Hz separation due to partially averaged quadrupolar interaction (Fig.1(a)). All experiments were performed at a magnetic field of 11.7 Telsa at which the resonance frequency of deuterium is 76.75 MHz. We have utilized this qutrit system for creation of pseudopure states and implementation of several one-to-one reversible operations.

## II Pseudopure state

In a pure state each member of an ensemble can be described by the same vector . In equilibrium at a finite temperature and magnetic field, the ensemble of nuclear spins will be in a mixed state whose density matrix is of the form

$`\sigma =c𝐈+\sigma _𝚫`$ (3)
where $`𝐈`$ is an identity matrix, c is a constant whose value is approximately $`10^6`$ for nuclear spins at room temperature and $`\sigma _\mathrm{\Delta }`$ is the traceless deviation density matrix. Though the identity matrix does not evolve under radio frequency pulses and system Hamiltonian, the deviation part does evolve and emits the entire signal. In equilibrium both $`\sigma `$ and $`\sigma _\mathrm{\Delta }`$ are in mixed state. While it is requires extreme conditions of a very low temperature to create a pure $`\sigma `$, the deviation density matrix can be easily transformed, such that it behaves like a pure state. By using r.f. pulses and magnetic field gradients, the populations of all the levels except one can be equalized, in which case it behaves like a pure state. The state of the system when its deviation matrix corresponds to a pure state, is known as a pseudopure state . Pseudopure states (pps) have been proposed and implemented in qubit systems using several experimental schemes by NMR . Here we create the various pseudopure states in a single-qutrit system, by spatial averaging technique using transition selective pulses .

Transition selective pulses are long duration, low power r.f pulses applied at the resonant frequency between two energy levels connected by $`\mathrm{\Delta }`$m=$`\pm `$1, where m is the spin magnetic quantum number. Such a pulse excites the single quantum transition between those levels and has been used earlier for quantum information processing in qubit systems. We have used these selective pulses for quantum information processing in qutrit systems. A selective $`\pi `$ pulse tuned at the resonant frequency between two energy levels interchanges the populations between them . Similarly a selective $`\pi /2`$ pulse between two energy levels equilibrate the populations between the two levels and creates coherences which can be subsequently destroyed by a gradient pulse . Starting from thermal equilibrium populations of Fig 1(a), a $`\pi /2`$ pulse applied on the transition $`|1|2`$ ($`(\pi /2)^{|1|2}`$) followed by a gradient to equalize the populations of $`|1`$ and $`|2`$, created $`|0`$ pseudopure state (Fig 1(b)). $`|1`$ pps is created by a $`(\pi /2)^{|1|2}`$ followed by a gradient pulse to equalize the populations of $`|1`$ and $`|2`$ and then a $`(\pi )^{|1|0}`$ pulse to interchange the populations between $`|1`$ and $`|0`$ (Fig 1(c)). Finally another gradient with different strength of the earlier was applied to destroy all coherences created by the imperfection of pulses. The $`|2`$ pps was prepared by a $`(\pi /2)^{|1|0}`$ pulse followed by a gradient. The created pseudopure states were detected using a final non-selective small-angle (5o) pulse for all the experiments. This small-angle pulse, in linear approximation, converts the population differences into single quantum transitions whose intensities are proportional to the population differences of the two involved levels only. The experimental spectra given in Fig. 1 confirm the preparation of the various pseudopure states, in this qutrit system.

## III Single-qutrit operations

There are six possible one-to-one reversible operations in a single qutrit system. These operations corresponds to six U(3) operations. Starting from equilibrium we implement all these six unitary operations. The input, the output and the operators corresponding to the different operations are listed in Table 1 along with the pulses required to implement them. The pulses described in third column of table 1 are to be applied from left to right. Each one of the $`(\pi )`$ pulses correspond to a SU(2) operation, since it operates on any two of the three states. U1 corresponds to identity operation and requires no pulses. U2 exchanges the states of $`|1`$ and $`|2`$, and is implemented by a $`(\pi )^{|1|2}`$ pulse. As predicted earlier, the U(3) operations in a single qutrit can be split into series of SU(2) operations . Hence we note that while U2 and U3 are implemented with one SU(2) operation, U5 and U6 required a series of two SU(2) operations. U5 and U6 were implemented by $`(\pi )^{|1|2}(\pi )^{|0|1}`$ and $`(\pi )^{|0|1}(\pi )^{|1|2}`$ respectively. While it is evident that the U4 operation can be performed by three SU(2) operations in the series $`(\pi )^{|1|2}(\pi )^{|0|1}(\pi )^{|1|2}`$ or $`(\pi )^{|0|1}(\pi )^{|1|2}(\pi )^{|0|1}`$, the same can also be performed by a non-selective $`\pi `$-pulse. We have implemented the later for the ease of the experiment.

These single-qutrit unitary operations will be useful for quantum information in qutrits. Specially the last three operations of U4-U6 are applied in quantum computation , quantum games  and quantum communication . U4 is used as NOT operation in unary algebra , while U5 and U6 are used as rotate-up and rotate-down operations in unary algebra . Both for preparation of pseudopure states and implementation of unitary operations, Gaussian shaped pulses with a duration of 6ms were used as selective pulses. After each selective pulse a sine-bell shaped gradient pulse was applied to destroy any coherences created by imperfection of pulses. Since we start from thermal equilibrium, the result after each unitary operation is encoded in the output populations of the different states. The output populations were measured by using a non-selective flip-angle (5o) pulse. The experimental spectrum after implementation of each operation is given in Fig.2. The observed intensities are within 5$`\%`$ of the expected intensities.

## IV Conclusion

Here we have demonstrated creation of pseudopure states and implementation of unitary operations in a single qutrit system using a deuterium nuclei oriented in liquid crystalline matrix. This implementation extends the range of systems useful for quantum information processing by NMR. These systems can now be coupled with other nuclei to yield larger systems for quantum information processing. Efforts are ongoing to create such systems and implement quantum computation and information processing in them.

The authors thank H.S. Vinay Deepak and K.V. Ramanathan for useful discussions. The use of DRX-500 NMR spectrometer funded by the Department of Science and Technology, New Delhi, at the Sophisticated Instruments Facility, Indian Institute of Science, Bangalore, is also gratefully acknowledged.

TABLE 1. Unitary operations and their pulse schemes in a single-qutrit system.
Operation  In  Out  Operator Pulse    U1 $`\begin{array}{c}|0\\ |1\\ |2\end{array}`$ $`\begin{array}{c}|0\\ |1\\ |1\end{array}`$ $`\left(\begin{array}{c}100\\ 010\\ 001\end{array}\right)`$ no pulse  U2 $`\begin{array}{c}|0\\ |1\\ |2\end{array}`$ $`\begin{array}{c}|0\\ |2\\ |1\end{array}`$ $`\left(\begin{array}{c}100\\ 001\\ 010\end{array}\right)`$ $`(\pi )^{|1|2}`$  U3 $`\begin{array}{c}|0\\ |1\\ |2\end{array}`$ $`\begin{array}{c}|1\\ |0\\ |2\end{array}`$ $`\left(\begin{array}{c}010\\ 100\\ 001\end{array}\right)`$ $`(\pi )^{|0|1}`$  U4 $`\begin{array}{c}|0\\ |1\\ |2\end{array}`$ $`\begin{array}{c}|2\\ |0\\ |0\end{array}`$ $`\left(\begin{array}{c}001\\ 010\\ 100\end{array}\right)`$ non-selective $`(\pi )`$  U5 $`\begin{array}{c}|0\\ |1\\ |2\end{array}`$ $`\begin{array}{c}|1\\ |2\\ |0\end{array}`$ $`\left(\begin{array}{c}010\\ 001\\ 100\end{array}\right)`$ $`(\pi )^{|1|2}(\pi )^{|0|1}`$  U6 $`\begin{array}{c}|0\\ |1\\ |2\end{array}`$ $`\begin{array}{c}|2\\ |0\\ |1\end{array}`$ $`\left(\begin{array}{c}001\\ 100\\ 010\end{array}\right)`$ $`(\pi )^{|0|1}(\pi )^{|1|2}`$   FIGURE CAPTIONS
FIG. 1: Preparation of pseudopure states in a qutrit system. (a) Energy level diagram of a spin-1 nucleus oriented in a liquid crystal matrix. The different spin states can be labeled as qutrit states. The equilibrium deviation populations of different states under high-field high-temperature approximation are schematically shown by filled circles on the right hand side. The equilibrium spectrum of deuterium (2H) contains a doublet of equal height and separated by an effective quadrupolar coupling ($`\mathrm{\Lambda }`$) of 240 Hz. The $`|0`$, $`|1`$ and $`|2`$ pseudopure states are given respectively in Figures 1(b), 1(c) and 1(d). The various pseudopure states were obtained starting from equilibrium populations by using the pulse sequence given in each figure, followed by a crusher gradient pulse. All the spectra were obtained by using a small angle ($`5^o`$) non-selective pulse. The populations after creation of pseudopure states in each case are also schematically shown. The length of the transition selective pulses was kept fixed as 6 ms, and the strength of applied r.f. field was calibrated for selective ($`\pi `$) and ($`\pi /2`$) pulses respectively as 83.3 Hz and 41.67 Hz. The expected and observed (in brackets) intensity ratios of the deuterium doublet are (a) 1:1 \[0.99:1\], (b) 0:1.5 \[0.01:1.5\], (c) 1.5:-1.5 \[1.5:-1.42\] and (d) 1.5:0 \[1.5:-0.01\].

FIG. 2: Single qutrit operations in deuterium oriented in liquid crystal matrix. All the U(3) operations are implemented by the pulse sequence given in the last column of Table 1, using selective and non-selective $`\pi `$ pulses of length 6 ms and 42 $`\mu `$s respectively. The final populations were measured by small angle ($`5^o`$) non-selective pulse. The expected and observed (in brackets) intensity ratios of the deuterium doublet are (a) 1:1 \[0.99:1\], (b) 1:1 \[0.99:1\], (c) -1:2 \[-0.96:2\], (d) 2:-1 \[2:-1.02\], (e) -1:-1 \[-0.98:-1\], (f) 1:-2 \[1.04:-2\] and (g) -2:1 \[-2:1.06\].

Figure 1

Figure 2