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# Closer towards inflation in string theory

## I Introduction

It is very likely that our universe has gone through an inflationary epoch. In slow-roll inflation  the slow-roll condition imposes a very strong constraint on inflationary model building; in particular, it requires a very small inflaton mass. In simple brane world scenarios inspired by string theory, brane inflation is a natural way to achieve this . For a BPS brane moving in the bulk of the brane world, the translational, or shift, symmetry implies a massless inflaton, that is, the brane position is a massless Goldstone boson. A weak brane-brane interaction breaks this symmetry slightly, so that the shift symmetry is still an approximate symmetry, or equivalently, the inflaton is a pseudo-Golstone boson. This results in a relatively flat inflaton potential, allowing enough inflation to take place before the branes collide and give birth to the radiation-dominated big bang.

It is obviously important to see how brane inflation may be realized in a more realistic situation, where the compactification of the extra dimensions in superstring theory is dynamically stabilized. Recently, there was just such an attempt (KKLMMT) . In the supergravity approximation, KKLMMT find that the Kähler potential contribution to the inflaton mass is of order $`m_\varphi ^22H^2/3`$, while the slow-roll condition requires that $`|m_\varphi ^2|H^2/100`$. The slow-roll conditon may be reached if the superpotential contribution to $`m_\varphi ^2`$ cancels that from the Kähler potential. In this note, we keep track of the shift symmetry, and identify the condition imposed by the shift symmetry on $`W`$ and the inflaton potential $`V`$. We then suggest that the shift symmetry in $`W`$ required for slow-roll inflation may appear quite naturally. In short, symmetry argument alone may be enough to tell us whether slow-roll inflation will take place or not, even though an explicit determintion of $`W`$ and $`V`$ may be very difficult.

Here is a brief review and a summary of the scenario. Start with a 4-fold Calabi-Yau manifold in F-thoery, or, equivalently, a type IIB orientifold compactified on a 3-fold Calabi-Yau manifold with fluxes to stabilize all but the volume modulus . For large volume, supergravity provides a good description. Next, one introduces a non-perturbative superpotential $`W`$ that stabilizes the volume modulus in a supersymmetric AdS vacuum. The introduction of $`\overline{D}`$3-branes in a warped type IIB background breaks supersymmetry and lifts the AdS vacuum to a metastable de Sitter (dS) vacuum  (the KKLT vacuum). To realize inflation, KKLMMT introduces a $`D`$3-$`\overline{D}`$3-brane pair, whose vacuum energy drives inflation . The $`\overline{D}`$3-brane is fixed with the other $`\overline{D}`$3-branes and the inflaton $`\varphi `$ (complex $`\varphi _i`$, $`i=`$1,2,3) is the (6-dimensional) position (relative to the $`\overline{D}`$3-branes) of the $`D`$3-brane. Consider the potential for the mobile $`D`$3-brane in the $`D`$3-$`\overline{D}`$3-brane inflationary scenario

$`V(\rho ,\varphi )`$ $`=`$ $`V_F(K(r),W(\rho ,\varphi ))+{\displaystyle \frac{B}{r^2}}+V_{D\overline{D}}(\varphi )`$ (1)
$`K(r)`$ $`=`$ $`3\mathrm{ln}(2r)=3\mathrm{ln}(\rho +\overline{\rho }\varphi \overline{\varphi })`$ (2)
where $`r`$ is the physical size of the compactified volume and $`\rho `$ the corresponding bulk modulus. The form of the Kähler potential came from Ref, where $`r`$ is invariant under the constant shift symmetry:

$`\varphi _i\varphi _i+c_i,\rho \rho +\overline{c}_i\varphi _i+{\displaystyle c_i\overline{c}_i/2}.`$ (3)
$`V_F(K(r),W(\rho ,\varphi ))`$ is the F-term potential, where the superpotential $`W`$ is expected to stabilize the volume modulus in an AdS supersymmetric vacuum. KKLT then introduces $`\overline{D}`$3-branes (the $`Br^2`$ term) in a Klebanov-Strassler throat that breaks supersymmetry to lift the AdS vacuum to a de Sitter vacuum (a metastable vacuum with a very small cosmological constant and a lifetime larger than the age of the universe). Note that this term leaves the shift symmetry intact. The $`D`$3-$`\overline{D}`$3 potential $`V_{D\overline{D}}(\varphi )`$ is presumably very weak due to warped geometry. This inflaton potential is designed to break the shift symmetry slightly, so inflation can end after slow-roll.

To realize slow-roll inflation in the early universe, $`V(\rho ,\varphi )`$ must be very flat in some of the $`\varphi `$ directions around its minimum where the compactification size is stabilized, that is, some of the $`\varphi `$ components must have very small masses $`|m_\varphi ^2|H^2/100`$, where $`H`$ is the Hubble constant during the inflationary epoch, while the remaining components can be more massive. Hopefully inflation takes place as the $`D`$3-brane moves slowly towards the $`\overline{D}`$3-branes. Inflation ends when they collide and annihilate. In this scenario, the inflaton potential comes from 2 sources : (1) the inter-brane potential $`V_{D\overline{D}}(\varphi )`$, which is sufficiently weak due to the warped geometry, and (2) the $`D`$3-brane coupling inside $`V_F`$. KKLMMT showed that $`K`$ inside $`V_F`$ alone contributes $`2H^2/3`$ to $`m_\varphi ^2`$ for all components of $`\varphi `$, while the non-perturbative $`W(\rho )`$ they used to stabilize $`r`$, as it does not depend on $`\varphi `$, does not contribute to $`m_\varphi ^2`$. Since the contributions to $`m_\varphi ^2`$ by the remaining terms in $`V(\rho ,\varphi )`$ around its minimum is negligible, $`m_\varphi ^22H^2/3`$, so the slow-roll condition $`\eta m_\varphi ^2/H^21/60`$ is not satisfied. Without a better knowledge of $`W`$, this requires a 1 part in 100 fine-tuning. Actually, small $`\eta `$ is required during the whole inflationary epoch as the $`D`$3-brane moves slowly towards the $`\overline{D}`$3-branes, not just at a single value of $`\varphi `$. This condition is much more stringent than the 1 in 100 fine-tuning. Such a condition must come from a symmetry argument. Here we keep track of the shift symmetry needed for inflation and identify the condition imposed by the shift symmetry on $`W`$.

To realize slow-roll inflation, we should consider a modified $`W`$ in a way that some of the shift symmetry (3) is left intact in $`V_F`$. Rcall that $`W(\rho )`$ used in KKLT is obtained from non-perturbative effects in the absence of $`\varphi `$. In the presence of a mobile $`D`$3-brane, some $`\varphi `$ dependence in $`W`$ is quite natural. Motivated by the shift symmetry, we consider

$$W(\rho ,\varphi )=w_0+Ae^{a(\rho \kappa _i\varphi _i^2/2)}$$
(4)
where $`w_0,A`$ and $`a`$ are real parameters. In the absence of $`\varphi `$, Eq(4) reduces to the $`W(\rho )`$ used in KKLT. For generic parameters $`\kappa _i`$, it is clear that slow-roll conditions is not satisfied. However, demanding that the volume modulus is stabilized in a supersymmetric vaccuum in $`V_F`$, we show that either $`\kappa _i=0`$, which yields the original KKLT vacuum (which has no shift symmetry left), or

$$SUSY|\kappa _i|=1\eta 0$$
(5)
that is, the slow-roll condition is satisfied. More precisely, the supersymmetric vacuum has a degeneracy where 3 components of $`\varphi `$ are massless while the other 3 have $`m^22H^2/3`$, so, during inflation, the $`D`$3-brane will fall rapidly to the minimum in the massive $`\varphi `$ directions and then move slowly along the flat directions. We may set $`\kappa _i=1`$ without loss of generality.

More generally, the potential $`V_F`$ from a $`W`$ of the form (for any real constants $`\beta _i`$)

$$W=F(\sigma )e^{i\beta _i\varphi _i}\sigma =\rho \varphi ^2/2$$
(6)
has the remnant shift symmetry ($`\varphi _i\varphi _i+Re(c_i)`$) that leaves the 3 real components of $`\varphi `$ massless and so slow-roll inflation can take place. This is the condition on the $`D`$3-$`\overline{D}`$3-brane inflation in this scenario. (More precisely, we actually need only one of the $`|\kappa _i|=1`$.)

The question reduces to how natural/likely for $`W`$ to depend (up to the phase factor) only on $`\sigma `$. To address this question, let us consider the non-perturbative interactions of the $`SU(N)`$ super-Yang-Mills theory due to the $`N`$ $`D`$7-branes wrapping a 4-cycle in the Calabi-Yau manifold. In the absence of the $`D`$3-brane, $`8\pi ^2/g_{YM}^2=Re(\rho )`$. $`SU(N)`$ strong interaction generically generates $`W(\rho )=Ae^{a\rho }`$ in the absence of $`\varphi `$. The presence of a $`D`$3-brane introduces open string modes stretching between the $`D`$3-brane and the $`N`$ $`D`$7-branes, which generically yields a bi-fundamental mode that behaves as a quark charged under $`SU(N)`$. The mass of the quark is $`m=|\varphi _{(D7)}|`$, where $`\varphi _{(D7)}`$ is $`\varphi `$ measured with respect to the position of the wrapped $`D`$7-branes. (See Figure 1.) So $`W`$ should depend on $`\varphi `$ as well. There should be a subspace of $`\varphi `$ which has the same quark mass $`m`$ and so the same value for the $`W(\rho ,\varphi )=W(\mathrm{\Lambda },m)`$, where $`\mathrm{\Lambda }`$ is the scale for $`SU(N)`$. Naively, this subspace might be the $`S^5`$ surface around the $`D`$7-branes with a radius given by $`m=|\varphi _{(D7)}|`$, that is, the components of $`\varphi `$ tangent to this surface are massless Goldstone modes. However, as pointed out above, supersymmetry and the holomorphicity of $`W`$ allows at most 3 flat directions. For slow-roll inflation, a single flat direction is enough. In this sense, the presence of a remnant shift symmetry in $`W`$ is quite natural. Once one shows that the shift symmetry is present in the supersymmetric vacuum, the slow-roll condition is generically satisfied. The precise form of $`W`$ may not be necessary.

Recently, Ref. discusses the shift symmetry for the $`D`$7-brane in the $`D`$3-$`D`$7 inflationary scenario . We shall comment on this interesting work.

FIG. 1. The relative positions of the wrapped $`D`$7-branes, the $`D`$3-brane and the $`\overline{D}`$3-branes inside a Calabi-Yau manifold. $`\varphi `$ is the position of the $`D`$3-brane relative to the $`\overline{D}`$3-brane.

## II The Shift Symmetry and $`W`$

Given the Kähler potential and the superpotential $`W`$, the potential $`V_F`$ is given by

$$V_F=e^K\left(K^{i\overline{j}}D_iW\overline{D_jW}3W\overline{W}\right)$$
(7)
where

$`K_i={\displaystyle \frac{K}{\phi _i}},D_iW={\displaystyle \frac{W}{\phi _i}}+K_iW`$ (8)
Physics is determined by the particular combination $`G`$,

$`G=K+\mathrm{ln}(W)+\overline{\mathrm{ln}(W)}`$ (9)
since it is invariant under the Kähler transformation

$`KK+\xi (\phi _i)+\overline{\xi (\phi _i)},WWe^{\xi (\phi _i)}.`$ (10)
The potential is given uniquely in term of $`G`$

$`V_F=e^G\left[G^{i\overline{j}}{\displaystyle \frac{G}{\phi _i}}\overline{{\displaystyle \frac{G}{\phi _j}}}3\right]`$ (11)
where $`G_{i\overline{j}}=K_{i\overline{j}}`$.

For a $`D`$3-brane with position $`\varphi `$ in a compact manifold, the Kähler potential is

$$K=3\mathrm{ln}(\rho +\overline{\rho }k(\varphi ,\overline{\varphi }))$$
(12)
where $`\rho `$ is the bulk modulus and $`\varphi `$ is the position of a mobile $`D`$3-brane (in 6-dimensions, we have $`\varphi _i`$ ($`i=`$1,2,3)). The physical radius of the Calabi-Yau manifold is given by

$$2r=\rho +\overline{\rho }k(\varphi ,\overline{\varphi }).$$
(13)
Note that $`r`$ is invariant under the transformation :

$$\rho \rho +f(\varphi ),\overline{\rho }\overline{\rho }+\overline{f}(\varphi ),k(\varphi ,\overline{\varphi })k(\varphi ,\overline{\varphi })+f+\overline{f}.$$
(14)
Let us focus on the simpliest choice of $`k(\varphi ,\overline{\varphi })`$,

$$k(\varphi ,\overline{\varphi })=\varphi \overline{\varphi }=\varphi _i\overline{\varphi }_i.$$
(15)
So the above symmetry reduces to the shift symmetry (3). (Compared to terms with higher powers of $`\varphi \overline{\varphi }`$ in $`k(\varphi ,\overline{\varphi })`$, the above leading $`\varphi \overline{\varphi }`$ term contributes dominantly to $`\eta `$.) The supergravity effective action is valid only for large $`r`$. This is the regime we are interested in. For a constant $`W`$, it is easy to check that $`V_F=0`$. This is an example of no-scale SUGRA and we have the full shift symmetry. However, we are interested in supersymmetric vacua. Imposing the supersymmetry condition,

$`D_iW`$ $`=`$ $`{\displaystyle \frac{W}{\varphi _i}}+W{\displaystyle \frac{K}{\varphi _i}}=0`$ (16)
$`D_\rho W`$ $`=`$ $`0`$ (17)
we obtain

$`{\displaystyle \frac{}{\varphi _i}}\mathrm{ln}(W)`$ $`=`$ $`{\displaystyle \frac{3\overline{\varphi }_i}{\rho +\overline{\rho }\varphi \overline{\varphi }}}`$ (18)
$`{\displaystyle \frac{}{\rho }}\mathrm{ln}(W)`$ $`=`$ $`{\displaystyle \frac{3}{\rho +\overline{\rho }\varphi \overline{\varphi }}}.`$ (19)
Let us first consider a toy model with maximum shift symmetry and where the bulk modulus is not stabilized. In this case we can treat Eq.(16) as differential equations. Imposing the holomorphic condition on the supersymmetric $`W_s`$, we obtain

$$W_s=w_0(\rho \kappa _i\varphi _i^2/2)^{\frac{3}{2}}$$
(20)
where the constant $`w_0`$ is the normalization and $`|\kappa _i|=`$1. The line of the continues solutions of Eq(16) is given by $`\kappa _i=\overline{\varphi }_i/\varphi _i`$, $`\rho =\overline{\rho }`$. This leaves a subset of the shift symmerty intact: the shift symmetry (3) where the $`c_i`$ satisfies $`\kappa _i=\overline{c}_i/c_i`$. Without loss of generality, we can choose $`\kappa _i=`$1 by the field redefinition $`\varphi _{inew}=\sqrt{\kappa _i}\varphi _i`$. At the supersymmetric AdS vacuum, $`V_F=\frac{3}{8}w_0^2`$ and the remnant shift symmetry is given by real $`c_i`$ $`(c_i=\overline{c_i})`$ :

$`\varphi _i`$ $``$ $`\varphi _i+c_i`$ (21)
$`\overline{\varphi }_i`$ $``$ $`\overline{\varphi }_i+c_i`$ (22)
$`\rho `$ $``$ $`\rho +\varphi c+c^2/2.`$ (23)
Eq.(20) suggests that instead of ($`\rho `$,$`\varphi _i`$), it is natural to use ($`\sigma `$,$`\varphi _i`$), where

$$\sigma =\rho \frac{\varphi ^2}{2}=\rho \frac{\varphi _i^2}{2}.$$
(24)
That is, $`\sigma `$ is invariant under the above Re($`c_i`$) shift. The transition from $`(\rho ,\varphi )`$ to $`(\sigma ,\varphi )`$ is always nonsingular. In term of ($`\sigma `$,$`\varphi `$), $`W_s(\sigma )=\omega _0\sigma ^{\frac{3}{2}}`$ and

$$2r=\sigma +\overline{\sigma }+\frac{(\varphi \overline{\varphi })^2}{2}.$$
(25)
We see that the remnant $`c=\overline{c}`$ shift symmetry will be left intact for any $`W(\sigma )`$.

Next, we like to find the most general $`W`$ that stabilizes the compactification volume in a supersymmetric vacuum with some remnant shift symmetry. The physics is more transparent in the $`(\sigma ,\varphi )`$ coordinate. Let $`\mathrm{ln}W(\sigma ,\varphi )=f(\sigma ,\varphi )`$, the solution at the supersymmetric minimum is given by

$`f_i|_0f_{\varphi _i}|_0`$ $`=`$ $`{\displaystyle \frac{3(\varphi _i\overline{\varphi }_i)|_0}{2r_0}}`$ (26)
$`f_\sigma |_0`$ $`=`$ $`{\displaystyle \frac{3}{2r_0}}`$ (27)
where the subscript $`0`$ indicates the supersymmetric minimum point. Under the Re$`(c_i)`$ shift transformation, these equations remain invariant only if

$`f_{\sigma i}=f_{ij}=0.`$ (28)
So a solution which has a degenerate supersymmetric minimum has the form

$`f(\sigma ,\varphi )=h(\sigma )+i\beta _i\varphi _i`$ (29)
where $`h(\sigma )`$ is any function of $`\sigma `$, except being a pure constant, as can be seen from Eq.(26). Furthermore, Eq.(26) indicates that $`\beta _i`$ are real numbers. Finally, the form of the superpotential is (for real $`\beta _i`$)

$`W(\sigma ,\varphi _i)=F(\sigma )e^{i\beta _i\varphi _i}.`$ (30)
The above superpotential is not Re$`(c_i)`$ shift invariant, because of the phase term. However, the combination $`\mathrm{ln}W+\overline{\mathrm{ln}W}`$ is. This is exactly the contribution of the superpotential to $`G`$, as can be seen from Eq.(9). That is, the minimum (the AdS supersymmetric vacuum) of $`V_F`$ is Re$`(c_i)`$ shift invariant.

As a comment, let us look at the kinetic part of the action in terms of $`(\sigma ,\varphi )`$. Calculating the Kähler metrics $`K_{i\overline{j}}`$ from the Kähler potential (12), we find

$`_k`$ $`=`$ $`{\displaystyle \frac{1}{2}}\sqrt{g}K_{i\overline{j}}_\mu \phi _i^\mu \overline{\phi }_j`$ (31)
$`=`$ $`{\displaystyle \frac{3\sqrt{g}}{8r^2}}\left(_\mu \rho ^\mu \overline{\rho }+(2r\delta _{ij}+\overline{\varphi }_i\varphi _j)_\mu \varphi _i^\mu \overline{\varphi }_j\varphi _i_\mu \rho ^\mu \overline{\varphi }_i\overline{\varphi }_i_\mu \varphi _i^\mu \overline{\rho }\right)`$ (32)
$`=`$ $`{\displaystyle \frac{3\sqrt{g}}{8r^2}}([2r\delta _{ij}(\varphi _i\overline{\varphi }_i)(\varphi _j\overline{\varphi }_j)]_\mu \varphi _i^\mu \overline{\varphi }_j+(\varphi _i\overline{\varphi }_i)(_\mu \varphi _i^\mu \overline{\sigma }_\mu \sigma ^\mu \overline{\varphi }_i)+_\mu \sigma ^\mu \overline{\sigma }).`$ (33)
By construction $`\sigma `$ is Re$`(c_i)`$ shift invariant. It is clear that the kinetic term $`_k`$ is shift invariant, when expressed in either ($`\rho ,\varphi `$) or $`(\sigma ,\varphi )`$ basis. In the $`(\sigma ,\varphi )`$ basis, each term in $`_k`$ is explicitly shift invaraiant.

## III Kähler modulus stabilization and dS vacuum

Following KKLT, we shall introduce non-perturbative quantum corrections to the superpotential that can lead to supersymmetric AdS vacua in which the Kähler modulus is fixed. Such a correction can come from a number of sources : Euclidean $`D`$3-branes wrapping some 4-cycles , or strongly coupled $`SU(N)`$ super-Yang-Mills theory associated with the $`N`$ $`D`$7-branes wrapping a 4-cycle in a Calabi-Yau manifold in a Type IIB oreintifold (or F theory). The gauge coupling is related to the dilaton and the size of the 4-cycle that the $`D`$7-branes wrap on. Since the dilaton and the complex moduli are already stabilized , the gauge coupling depends only on the size of the 4-cycle, which is proportional to the size of the Calabi-Yau manifold. So $`8\pi ^2/g_{YM}^2=Re(\rho )`$. $`SU(N)`$ QCD generically generates $`W(\mathrm{\Lambda })=W(\rho )`$, where $`\mathrm{\Lambda }`$ is the QCD scale of the strongly interacting $`SU(N)`$ super-Yang-Mills theory. In the absence of $`\varphi `$ and in the large volume regime, $`W(\rho )=A\mathrm{exp}(a\rho )`$. For large $`N`$, $`a1/N`$.

The presence of a $`D`$3-brane introduces $`\varphi `$, its position. As shown in Figure 1, let $`\chi `$ be the separation between the $`D`$7-branes and the $`\overline{D}`$3-branes. Let $`\varphi _{(D7)}`$ be the position of the $`D`$3-brane measured relative to the $`D`$7-branes, so $`|\varphi _{(D7)}|`$ is the separation distance between the $`D`$3-brane and the $`D`$7-branes. Then $`\varphi =\varphi _{\overline{D}3}`$ is the inflaton. (Strictly speaking, the $`\overline{D}`$3-branes are sitting at $`\phi _0`$, instead of $`\varphi =`$0. When the $`D`$3-brane reaches $`\varphi \phi _0`$, tachyons appear and inflation ends rapidly, as in hybrid inflation. Since generically $`|\varphi |>>\phi _0`$, this distinction is not relevant for our discussion here.) Using the shift symmetry (3), we see that $`\rho =\rho _{\overline{D}3}`$ and $`\rho _{(D7)}`$ are different but related:

$`\varphi _i`$ $`=`$ $`\varphi _{(D7)i}+\chi _i`$ (34)
$`\rho `$ $`=`$ $`\rho _{(D7)}+\overline{\chi }\varphi _{(D7)}+{\displaystyle \frac{\chi \overline{\chi }}{2}}.`$ (35)
so that the physical size of the Calabi-Yau manifold, $`2r=\rho +\overline{\rho }\varphi \overline{\varphi }=\rho _{(D7)}+\overline{\rho }_{(D7)}\varphi _{(D7)}\overline{\varphi }_{(D7)}`$, is invariant under the change in coordinates, as it should be.

The presence of a $`D`$3-brane introduces open string modes stretching between the $`D`$3-brane and the $`N`$ $`D`$7-branes, which generically yields a bi-fundamental mode that behaves as a quark charged under $`SU(N)`$. The mass of the quark is

$$m=|\varphi _{(D7)}|$$
(36)
which may be suitably modified by the warped geometry. Since the strong interaction dynamics of the super-Yang-Mills theory depends on the quark mass $`m`$, $`W`$ must depend on $`\varphi `$ as well . There should be a subspace of $`\varphi `$ which has the same quark mass $`m`$ and so the same value for the $`W(m,\mathrm{\Lambda })=W(\rho ,\varphi )`$; that is, the non-perturbative dynamics depends on $`\varphi `$ only through Eq.(36). This is the degeneracy we are interested in. Treating (naively) the 4-cycle as a point in the Calabi-Yau manifold, one may expect this subspace to be the $`S^5`$ surface with radius given by $`m=|\varphi _{(D7)}|`$. That is, the 5 modes tangent to this surface are massless Goldstone modes. Depending on how the 4-cycle is actually embedded in the Calabi-Yau manifold, it is likely that some of the Goldstone modes are lifted. As we have shown, supersymmetry and the holomorphicity of $`W`$ allows at most 3 flat directions in the supersymmetric vacuum. Still, the above argument suggests that the flat directions should be orthogonal to the $`\varphi _{(D7)}`$ direction. Although the interaction between $`D`$3-$`\overline{D}`$3-branes are weak (and given by $`V_{D\overline{D}}`$), the interaction between $`\overline{D}`$3-branes and $`D`$7-branes is important for the $`SU(N)`$ strong interaction. There are also bi-fundamental modes stretching between the $`\overline{D}`$3-branes and the $`D`$7-branes that behave like additional quarks of $`SU(N)`$, with mass $`m^{}`$. Presumably, the stabilization of the dilaton and complex structure moduli fixes $`m^{}`$, up to an overall volume scaling which is a function of $`\rho `$. This means that $`W(m,m^{},\mathrm{\Lambda })=W(\rho ,\varphi )`$. In general, $`W`$ can be quite complicated. However, the above argument suggests that its supersymmetric vacuum should have a number of flat directions. For small $`\varphi `$, this suggests that the flat directions should be orthogonal to the $`\chi `$ direction. A simple extension suggests (with real positive parameters $`w_0`$, $`A`$ and $`a`$)

$$W=w_0+Ae^{a\rho }\left(w_0+Ae^{a\sigma }\right)e^{i\sqrt{\kappa _i}\beta _i\varphi _i}$$
(37)
that is, the supersymmetric non-perturbative correction to the superpotential $`W`$ is a funcion of

$`\sigma `$ $`=`$ $`\rho \kappa _i\varphi _i^2/2`$ (38)
$`\kappa _i`$ $`=`$ $`\overline{\chi }_i/\chi _i`$ (39)
$`\beta _i`$ $`=`$ $`\overline{\beta }_i.`$ (40)
Other possible solutions lift at least one of the flat directions: for example, we may end up with $`\kappa _1=0`$, $`|\kappa _2|=|\kappa _3|=1`$ or $`\kappa _1=\kappa _2=0`$, $`|\kappa _3|=1`$. For slow-roll inflation, all we need is one flat direction. On the other hand, the original solution of KKLT, with $`\kappa _1=\kappa _2=\kappa _3=0`$, has no flat direction.

Let us consider the above solution with 3 flat directions. In the absence of $`\varphi `$ (say after inflation and the annihilation of the $`D`$3-$`\overline{D}`$3-brane pair), the form of the potential reduces to the well-known one. In the coordinate where $`\chi _i`$ are purely imaginary, $`\sigma =\rho \varphi ^2/2`$. In the large volume limit and small $`\varphi `$, the difference between $`\rho `$ and $`\sigma `$ is only a small quantitative correction. Once the dynamics are better understood, one may be able to put more precise constraints on the 4-cycles that $`D`$7-branes can wrap. It will be most interesting to see if the inclusion of a mobile $`D`$3-brane yields the above form for $`W`$. Here, let us simply assume that there are such supersymmetric non-perturbative correction that leaves the shift symmetry intact. Now we have

$`G=\mathrm{ln}\left({\displaystyle \frac{|(\omega _0+Ae^{a\sigma })e^{i\beta \varphi }|^2}{\left(\sigma +\overline{\sigma }+\frac{(\varphi \overline{\varphi })^2}{2}\right)^3}}\right).`$ (41)
The supersymmetric minima is given by $`G_\sigma =G_\varphi =0`$, which for real $`\sigma `$ has the solution

$`Im(\varphi _{i0})`$ $`=`$ $`r_0\beta _i/3`$ (42)
$`\omega _0`$ $`=`$ $`(1+{\displaystyle \frac{2a}{3}}r_0)Ae^{a(r_0+\frac{\beta ^2}{9}r_0^2)}`$ (43)
$`V_{AdS}`$ $`=`$ $`{\displaystyle \frac{1}{6r_0}}a^2A^2e^{2ar_0}e^{\frac{2}{3}\beta ^2r_0(1+\frac{a}{3}r_0)}`$ (44)
Next, to lift the AdS vacuum to a dS vacuum, we must break supersymmetry. Again following KKLT, we introduce a $`\overline{D}`$3-brane (or more than one), with its position fixed by the fluxes. (One must adjust the 5-form flux so tadpole cancellation remains valid.) This means no additional translational moduli are introduced. The net effect is simply the addition of an energy density of the form $`V_{\overline{D}3}=B/r^2`$. Since $`r`$ is invariant under the remnant shift symmetry, no modification of this term is needed here. To simplify the result we may consider the case where $`\beta _i=0`$, corresponding to $`(\varphi _i\overline{\varphi }_i)_0=0`$. For Im($`\varphi _i`$)=0, the potential takes the form :

$`V`$ $`=`$ $`V_F(K,W)+V_{\overline{D}3}`$ (45)
$`=`$ $`{\displaystyle \frac{aAe^{ar}}{2r^2}}(\omega _0+Ae^{ar}+{\displaystyle \frac{1}{3}}aAre^{ar})+{\displaystyle \frac{B}{r^2}}.`$ (46)
which is clearly independent of Re ($`\varphi _i`$). Of course, one must fine-tune to obtain a very small cosmological constant. One may choose another mechanism to lift the AdS vacuum to the dS vacuum. The shift symmetry is maintained as long as the lifting is a function of $`r`$ only.

## IV $`D`$3-$`\overline{D}`$3 Inflation

We can now introduce an extra $`D`$3-$`\overline{D}`$3-brane pair, where the $`\overline{D}`$3-brane is stuck with other $`\overline{D}`$3-branes while the $`D`$3-brane moves towards them. The above analysis for the mobile $`D`$3-brane can be used for this additional $`D`$3-brane. The resulting vacuum energy drives inflation. The remnant shift symmetry is broken only by the very weak $`D`$3-$`\overline{D}`$3-brane interaction, namely, $`V_{D\overline{D}}(\varphi )`$ in Eq.(1).

In the case where $`\beta _i=0`$, the $`D`$3-brane rapidly falls to Im ($`\varphi `$)$`=0`$ at the early stage of the inflationary epoch, and then moves slowly towards $`\varphi =0`$. For very small $`|\varphi |`$, a tachyonic mode appears and inflation ends quickly, as in hybrid inflation.

For the case where $`\beta _i0`$, the situation may be different, since the $`\overline{D}`$3-brane is not sitting along the flat direction the $`D`$3-brane is moving. For large $`\beta _ir_0`$, the $`D3`$ may not collide with the $`\overline{D}3`$, at least classically. Let us consider the case when the $`D`$3-brane along the flat direction is close to the $`\overline{D}`$3-brane, as described by the following simple potential:

$$V=\frac{1}{2}m_\varphi ^2(\varphi \frac{r_0\beta }{3})^2\frac{C}{\varphi ^4}+constant$$
(47)
where, to simplify the analysis, we consider only one component of $`\varphi `$. The last term comes from the $`V_{D\overline{D}}(\varphi )`$. Here $`m_\varphi H`$. In the absence of $`V_{D\overline{D}}(\varphi )`$, the $`D3`$-brane will move along $`\varphi =Im(\varphi )=r_0\beta /3`$. However, $`V_{D\overline{D}}(\varphi )`$ will tend to drive the $`D3`$-brane towards the $`\overline{D}3`$-brane. We like $`V_{D\overline{D}}(\varphi )`$ to overcome $`m_\varphi ^2(\varphi \frac{r_0\beta }{3})^2/2`$ so that inflation can end quickly.

The condition that the $`D3`$-brane collides with $`\overline{D}3`$-brane along its trajectory is that $`V^{}>0`$, that is $`V^{}`$ has no local minimum away from $`\varphi =0`$. This in turn implies that

$$r_0\beta <\frac{18}{5}(\frac{20C}{m_\varphi ^2})^{\frac{1}{6}}.$$
(48)
To estimate this bound, we recall the KKLMMT scenario : $`C=\frac{4\pi ^2}{𝒩^2}\phi _0^8`$, where $`𝒩`$ is the number of the $`D3`$ branes (or 5-form charge) in the original KKLT vacuum, and $`\phi _0`$ indicates the position of the $`\overline{D}3`$-brane in the Klebanov-Strassler throat. We require $`\varphi =\phi _0`$ for inflation to end. We find

$$r_0\beta <4\times 10^6m_\varphi ^{1/3}.$$
(49)
Assuming that inflation take places at the GUT scale and restoring the powers of $`M_{Pl}`$ in the calculations, we obtain $`r_0(\beta M_{Pl})<4\times 10^4`$, which is not vey restrictive.

## V $`D`$3-$`D`$7

Ref considers the shift symmetry for the $`D`$7-branes. Using the Kähler potential for a $`D`$7-brane (described by $`S`$), they consider the D-term potential  and the shift symmetry in a supersymmetric vacuum. The superpotential which has a supersymmetric minimum and is compatible with the shift symmetry $`SS+c`$ for real $`c`$ has the form

$`W=e^{\frac{1}{2}S^2}e^{i\gamma S}`$ (50)
where $`S`$ represents the position of the $`D`$7 brane on the Calabi-Yau manifold and $`\gamma `$ is a real number, similar to $`\beta `$ in D3 case.

For the system of non-interacting $`D`$3 and $`D`$7 brane, the form of the Kähler potential and the superpotential are expected to be

$`K`$ $`=`$ $`3\mathrm{ln}(\rho +\overline{\rho }\varphi \overline{\varphi })+\overline{S}S`$ (51)
$`W`$ $`=`$ $`F(\sigma )e^{\frac{1}{2}S^2}e^{i(\beta \varphi +\gamma S)}.`$ (52)
Now the system has four flat directions, three along the $`(\varphi _i)`$ subspace and one along Re$`(S)`$.

Following the above argument, we do expect that the $`\varphi `$ in Eq.(51) corresponds to $`\varphi _{(D7)}`$ measured with respect to the initial $`D`$7-brane position. The inflaton for such a $`D`$3-$`D`$7 system is the relative positions of the $`D`$3-brane and the $`D`$7-branes. However, as discussed earlier, we do expect a non-trivial non-perturbative potential between the $`D`$3-brane and the $`D`$7-branes due to the quark mass in the super-Yang-Mills theory.

## VI Discussions

Instead of Eq.(37), one may also use the racetrack idea to stabilize the Kähler modulus . In this scenario, there are more than one strongly interacting gauge groups. The number of flat directions may be reduced by the presence of multi-centers of super-Yang-Mills theories. It will be interesting to find the constraint on the super-Yang-Mills theories due to the shift symmetry.

There will be quark fields coming from the open string modes stretching between the $`\overline{D}`$3-branes and the $`D`$7-branes. They will also have impact on the non-perturbative dynamics of the super-Yang-Mills theory. The dynamical effect of this quark is similar, if not identical, to that for the quark field due to the $`D`$3-brane. Since the open string modes between the $`D`$3-brane and the $`\overline{D}`$3-branes are not involved in the super-Yang-Mills dynamics, one may expect that there is an almost flat direction that connects them, that is, the dynamics may place the $`D`$3-brane along an almost flat direction that ends on the $`\overline{D}`$3-branes. As we have shown, it is also possible that the $`\overline{D}`$3-branes do not lie along the almost flat direction of the mobile $`D`$3-brane. A little tuning may be needed to place the $`\overline{D}`$3-branes along the almost flat direction of the $`D`$3-brane.

Suppose a fine-tuning is needed to obtain slow-roll inflation. For the sake of discussion, let us say this is a 1 in 100 fine-tuning. It is known that there are many metastable KKLT type vacua, simply by changing the flux quanta. If the early universe is composed of 100 (or more) causally disconnected regions (a rather generic situation), each region may correspond to a different vacuum. If only one of them goes through a slow-roll inflationary phase, this region grows by an exponential factor, compeletely dominates over the regions that do not inflate. So it is exponentially unlikely that one will end up in anyone of the regions that do not inflate. That is, cosmologically, there is no fine-tuning.

To conclude, even though the determination of $`W`$ may be quite difficult, physics becomes more transparent when we view from the shift symmetry perspective, which alone may be enough to tell us whether slow-roll inflation will take place or not. If slow-roll brane inflation takes place, the inflationary properties may not be very sensitive to the details of $`W`$, but it does depend on the structure of the degeneracy of the supersymmetric vacuum.

We thank Cliff Burgess, Renata Kallosh, Louis Leblond, Shamit Kachru, Juan Maldacena, Fernando Quevedo and Sandip Trivedi for valuable discussions. This material is based upon work supported by the National Science Foundation under Grant No. PHY-0098631.


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# Spin dynamics of the ferromagnetic superconductor UGe2

## Abstract

Inelastic neutron scattering was used to study the low energy magnetic excitations of the ferromagnetic superconductor UGe2. The ferromagnetic fluctuations are of Ising nature with a non-conserved magnetization and have an intermediate behavior between localized and itinerant magnetism.

Superconductivity occuring close to an antiferromagnetic quantum critical point is now well documented. In the magnetically mediated model for superconductivity, the formation of Cooper pairs is also expected close to a low temperature ferromagnetic transition. But it is only very recently that the first experimental evidence for the coexistence of ferromagnetism and bulk superconductivity was found in UGe2 under pressure Saxena ; Huxley1 . At 12 kbar, the superconducting transition temperature is maximum ($`T_c`$ 0.7 K) while the ferromagnetism remains strong with $`T_{Curie}`$ 30 K and a magnetic moment of 1 $`\mu _B`$. Given the large internal field, triplet superconductivity is likely. In order to get a microscopic insight into this new physics, we have performed inelastic neutron scattering (INS) experiments on a single crystal of UGe2 using the cold three axis spectrometer IN14 at the Institut Laue Langevin, France. UGe2 crystallizes in the Cmmm space group with $`a`$=3.99 $`\AA `$, $`b`$=15.04 $`\AA `$ and $`c`$=4.09 $`\AA `$.

Quasielastic scattering corresponding to critical and paramagnetic scattering was measured in the range 20-70 K. Typical spectra obtained at $`T`$=65 K are shown in Fig.1 for $`𝐐`$=(0, 0, 1.02) and $`𝐐`$=(0, 0, 1.08) (Here, $`𝐐`$=$`\tau `$+$`(q_h,q_k,q_l)`$, where $`\tau `$ is a Bragg peak and each coordinate expressed in reciprocal lattice units). Most data were taken along the c-axis and in the following, we write $`q=q_l`$. The data were fitted using the double Lorentzian form :

$$\chi ^{\prime \prime }(q,\omega )=\frac{\chi _0}{1+(q/\kappa )^2}\frac{\omega \mathrm{\Gamma }_q}{\omega ^2+\mathrm{\Gamma }_{q}^{}{}_{}{}^{2}}$$
(1)
with $`\chi _0`$ the bulk susceptibility, $`\kappa `$ the inverse correlation length and $`\mathrm{\Gamma }_q`$ the relaxation rate. The first fraction in (1) is the $`q`$-dependent susceptibility $`\chi _q`$. Details of the data analysis and results are given elsewhere Huxley2 . For each temperature, $`\mathrm{\Gamma }_q`$ is directly obtained from constant $`q`$ scans ; $`\kappa `$ and $`\chi _0`$ are deduced by a fit of $`\chi _q`$ (obtained by integrating over energy $`\chi ^{\prime \prime }(q,\omega )/\omega `$). Here, we emphasize the main points Huxley2 . i) Only longitudinal fluctuations were observed confirming the Ising nature of the system. ii) These fluctuations are observed both above and below $`T_{Curie}`$ and no new Goldstone modes are observed below $`T_{Curie}`$. iii) the product $`\mathrm{\Gamma }_q\chi _q`$ is independent of temperature above $`T_{Curie}`$ but drops when $`T`$ decreases below $`T_{Curie}`$. iv) Except at $`T_{Curie}`$, it is found that the magnetization is not conserved, in other words the relaxation rate $`\mathrm{\Gamma }_q`$ is finite in the limit $`q0`$. In this short paper, we focus on the relationship above $`T_{Curie}`$ between the relaxation rate and the inverse correlation length and compare this with the predictions for dynamical scaling theory for kinetic Ising model with a non-conserved magnetization Hohe .

In Huxley2 , it was shown that $`\chi _0\kappa ^2`$ is independent of temperature. Above $`T_{Curie}`$, $`\chi _0\mathrm{\Gamma }_0`$ is also temperature independent (at $`q`$=0 as for any $`q`$ value). We then have $`\mathrm{\Gamma }_0=a\kappa ^2`$. Such a relation is shown in Fig.2 where $`T`$ is an implicit parameter. The best fit is obtained with a=50(1) meV(r.l.u.)-2. Such a relation is also found for a non-conserved Ising model Hohe  and implies that the dynamical exponent $`z`$ equals two in UGe2 ($`\mathrm{\Gamma }_0=a\kappa ^z`$). The $`q`$ 0 generalization of such a law is the scaling form $`\mathrm{\Gamma }_q=Aq^zf(\kappa /q)`$. The result of such an analysis based on the collapse onto a single curve of data obtained at 55, 60, 65 and 70 K is shown in Fig.3 with $`f(x)=1+x^2`$, $`z`$=2 and $`A`$=49(1) meV(r.l.u.)-2. There is a very good agreement between the determination of $`a`$ and $`A`$ ($`a`$ is determined from a subset of data with $`q`$=0). Such plots have also been made for metallic Heisenberg ferromagnets, but with $`z`$=2.5 as expected from dynamical scaling theory for that case Hohe . The same scaling function $`f`$ was applied to MnSi Ishi , CoS2Hira  and Ni3AlSemadeni . In these compounds it was argued that the form of $`f`$ is related to the itinerant character of the system and contrasts with the form expected for localized systems where $`f`$ is experimentally found to be close to that calculated by Résibois-Piette Resi . For UGe2, the $`z`$ and $`f`$ used to describe the data simply correspond to $`\mathrm{\Gamma }_q=A(\kappa ^2+q^2)`$, with all the temperature dependence included in $`\kappa `$.

In the study of the Heisenberg ferromagnets, focus was also given to the quantity $`\kappa _0`$ defined by the temperature variation of the inverse correlation length, $`\kappa (T)^2=\kappa _0^2(T/T_{Curie}1)^{2\nu }`$ above $`T_{Curie}`$. For UGe2, we found $`\nu `$=0.5 and $`\kappa _0^2`$ 0.08 $`\AA ^2`$ Huxley2 . The quantities $`\kappa _0`$ and $`A`$ characterize the extension of the spin fluctuations in $`q`$ and $`\omega `$ space respectively. In itinerant systems, the extension is narrow in $`q`$ space and wide in $`\omega `$ space Mori . To this respect, $`\kappa _0^2`$ is small as in the itinerant system MnSi ( 0.035 $`\AA ^2`$ Ishi ) while it is generally larger in localized systems (0.41 $`\AA ^2`$ in EuO, 1.1 $`\AA ^2`$ in Fe). The ratio $`A/T_{Curie}`$ is also usually used to describe the energy spread of spin fluctuations Hira ; Mori . For UGe2, we found $`A/T_{Curie}`$ 0.9 meV/K. In fact to compare with Heisenberg systems, $`A`$ must be re-scaled to $`A^{}`$ in order to take into account the difference in $`z`$ between kinetic Ising and Heisenberg systems (e.g. $`A^{}q_{ZB}^{2.5}=Aq_{ZB}^2`$ where $`q_{ZB}`$ is the zone boundary wave-vector). After such a phenomenological correction, the ratio $`A^{}/T_{Curie}`$ for UGe2 (1.3 meV/K) is about twice the one of EuO (0.77 meV/K) and half the one of MnSi (3.3 meV/K). This intermediate behavior between localized and itinerant magnetism was also pointed out in the study of the temperature variation of the order parameter for several pressures Huxley3 .

The spin dynamics of UGe2 is of fundamental interest for magnetism by itself since there are a few detailed INS studies on Ising ferromagnets Collins . Considering UGe2 as such a model system above $`T_{Curie}`$, the prediction of dynamical critical phenomena for the kinetic Ising model with a non-conserved magnetization are experimentally verified as shown by the scaling of the neutron linewidth implying a dynamical exponent, $`z`$=2. As concerns superconductivity, microscopic parameters like $`\mathrm{\Gamma }_q`$ and $`\kappa _0`$ are necessary inputs in the theory of magnetically mediated superconductivity Monthoux . The Ising fluctuations favor triplet superconductivity together with the rather low value of $`\kappa _0`$. However the evolution of these parameters as a function of pressure in the range where superconductivity occurs has to be measured.

We acknowledge ILL staff for technical support and discussions concerning optimal use of instrument with A. Stunault.


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# Neutrino Telescopes as a Direct Probe of Supersymmetry Breaking

## Abstract

We consider supersymmetric models where the scale of supersymmetry breaking lies between 5 $`\times 10^6`$ GeV and 5 $`\times 10^8`$ GeV. In this class of theories, which includes models of gauge mediated supersymmetry breaking, the lightest supersymmetric particle is the gravitino. The next to lightest supersymmetric particle is typically a long lived charged slepton with a lifetime between a microsecond and a second, depending on its mass. Collisions of high energy neutrinos with nucleons in the earth can result in the production of a pair of these sleptons. Their very high boost means they typically decay outside the earth. We investigate the production of these particles by the diffuse flux of high energy neutrinos, and the potential for their observation in large ice or water Cerenkov detectors. The relatively small cross-section for the production of supersymmetric particles is partially compensated for by the very long range of heavy particles. The signal in the detector consists of two parallel charged tracks emerging from the earth about 100 meters apart, with very little background. A detailed calculation using the Waxman-Bahcall limit on the neutrino flux and realistic spectra shows that km3 experiments could see as many as 4 events a year. We conclude that neutrino telescopes will complement collider searches in the determination of the supersymmetry breaking scale, and may even give the first evidence for supersymmetry at the weak scale.

Introduction — The origin of the radiative stability of the weak scale is one of the most important questions in particle physics today. A natural answer requires new physics at the TeV scale. Among the candidate theories, weak scale supersymmetry remains the most attractive scenario. Although this is in no small measure due to its theoretical appeal (it is a simple and natural extension of the usual space-time symmetries), it is also favored by data from electroweak observables. These point to a weakly coupled Higgs sector, one without significant deviations from the standard model in regard to electroweak precision observables. However, supersymmetry must be broken since the superpartners have not yet been observed. The supersymmetric spectrum is determined by the supersymmetry breaking mechanism.
Supersymmetric models typically have a symmetry, called R-parity, which ensures that the Lightest Supersymmetric Particle, the ‘LSP’, is stable. Which of the supersymmetric particles is the LSP? This is determined by the scale of supersymmetry breaking, which we denote by $`\sqrt{F}`$, and which can lie anywhere between $`10^3`$ GeV and $`10^{12}`$GeV. If supersymmetry is broken at high scales such that $`\sqrt{F}`$ is larger than $`10^{10}`$GeV the LSP is typically the neutralino. If however supersymmetry is broken at lower scales, $`\sqrt{F}<10^{10}`$GeV, the LSP is typically the gravitino. In models where the LSP is the gravitino, the Next to Lightest Supersymmetric Particle (NLSP) tends to be a charged slepton, typically the right-handed stau. Since the NLSP decays to gravitinos through interactions that are suppressed by powers of $`\sqrt{F}`$, if the supersymmetry breaking scale is high its lifetime can be quite large. In gauge-mediated SUSY breaking, for instance, we have

$$c\tau =\left(\frac{\sqrt{F}}{10^7\mathrm{GeV}}\right)^4\left(\frac{100\mathrm{GeV}}{m_{\stackrel{~}{\tau }_R}}\right)^5\mathrm{\hspace{0.17em}10}\mathrm{km},$$
(1)
where $`m_{\stackrel{~}{\tau }_R}`$ is the stau mass. Thus, for $`\sqrt{F}10^7`$GeV if these NLSPs were to be produced by very high energy collisions they could travel very long distances before decaying. In the last several years many interesting and realistic scenarios have been proposed in which the scale of supersymmetry breaking $`\sqrt{F}`$ is low and could lie between $`5\times 10^6`$GeV and about $`5\times 10^8`$GeV. These include models of gauge mediationGMSB , and gauge and Yukawa mediationYMSB , warped higher dimensional models in which supersymmetry is broken on an infrared brane and therefore the scale $`\sqrt{F}`$ has been warped down warp , theory space realizations of higher dimensional models deconstruct  and models of supersoft supersymmetry breaking which are characterized by Dirac gauginosDirac . In all these classes of models the NLSP is typically a right handed stau.

The existence of diffuse fluxes of high energy neutrinos, possibly associated with the production of cosmic rays, has been widely discussed in the literature. Collisions of these high energy neutrinos with nucleons in the earth at energies above threshold for supersymmetric production frequently result in the production of a pair of supersymmetric particles, which promptly decay into NLSPs. These typically have a high boost $`\gamma _{\mathrm{NLSP}}1000`$ or larger and therefore will not decay inside the earth provided the supersymmetry breaking scale $`\sqrt{F}>10^7`$GeV. For $`5\times 10^6<\sqrt{F}<10^7`$GeV a significant fraction of the decays will occur inside the earth. Since the NLSP is charged, its upward going tracks could in principle be detected in large ice or water Cerenkov detectors, such as ICECUBE icecube . This is in analogy with the standard model charged current interaction giving muons, the primary signal in neutrino telescopes.

Naively, one would expect that the event rates for NLSPs -which typically have masses in the $`100`$ GeV range- are negligible when compared to those for muons, since their production cross section must be considerably smaller than that of the standard model interactions. The reason is that the SM interactions come primarily from very small values of $`x`$, the parton momentum fraction, whereas the supersymmetric process is limited to $`x>m^2/2M_PE_\nu `$, with $`m`$ given essentially by the sum of the produced supersymmetric particles. This naive expectation is however, misleading. The crucial observation is that the range of a slepton is much larger than that of a muon, since energy loss due to radiation sets in at much higher energies. In neutrino telescopes, muon events must be produced either right outside the detector or in it, since the muon range for the energies of interest is in the few to tens of kilometers. Thus, most of the upgoing CC events produced in the earth are lost. On the other hand, the range of NLSPs is typically in the hundreds to thousands of kilometers. Then, unlike for the muon als , a significant fraction of the NLSPs produced will range into the detector.

In what follows we compute the number of NLSP events. For this purpose we calculate the supersymmetric production cross sections and the NLSP range.

The SUSY Cross Section— In the scenarios under consideration, every $`\nu N`$ interaction producing supersymmetric particles will result in a pair of NLSPs, which have a very long lifetime. In what follows, we will assume this lifetime to be large enough so that NLSPs do not decay in the earth. For simplicity, we also neglect mixing with Higgsinos in the gaugino sector. The dominant process is analogous to the SM CC interactions and corresponds to the t-channel exchange of charginos producing $`\nu N\stackrel{~}{\mathrm{}}\stackrel{~}{q}`$, as shown in Figure 1(a) and (b). The neutrino, always produced left-handed by the weak interactions, can interact either with a left-handed down-type quark (a), or with a right-handed up-type quark (b).

This results in the partonic cross sections:

$`{\displaystyle \frac{d\sigma ^{(\mathrm{a})}}{dt}}`$ $`=`$ $`{\displaystyle \frac{\pi \alpha }{2\mathrm{sin}^4\theta _W}}{\displaystyle \frac{M_{\stackrel{~}{w}}^2}{s(tM_{\stackrel{~}{w}}^2)^2}}`$ (2)
$`{\displaystyle \frac{d\sigma ^{(\mathrm{b})}}{dt}}`$ $`=`$ $`{\displaystyle \frac{\pi \alpha }{2\mathrm{sin}^4\theta _W}}{\displaystyle \frac{(tum_{\stackrel{~}{\mathrm{}}_L}^2m_{\stackrel{~}{q}}^2)}{s^2(tM_{\stackrel{~}{w}}^2)^2}},`$ (3)
where $`s,t`$ and $`u`$ are the usual Mandelstam variables, and $`M_{\stackrel{~}{w}}`$, $`m_{\stackrel{~}{\mathrm{}}_L}`$ and $`m_{\stackrel{~}{q}}`$ are the chargino, the left-handed slepton and the squark masses respectively. The left-handed slepton and the squark decay promptly to the lighter “right-handed” slepton plus non-supersymmetric particles. We also include the subdominant neutralino exchange, Figure 1 (c)-(d).

We take $`m_{\stackrel{~}{w}}=250`$ GeV, $`m_{\stackrel{~}{\mathrm{}}_L}=250`$ GeV and three values for the squark masses: $`m_{\stackrel{~}{q}}=300,600`$ and $`900`$ GeV. These are very representative values in the scenarios under consideration. Typically, the $`\stackrel{~}{\tau }_R`$ is the NLSP, being heavier only than the ultra-light and very weakly coupled gravitino. Charginos and neutralinos tend to be heavier since they also feel the $`SU(2)_L`$ interactions. Finally, squarks are heavier still since their masses affected by the strong interactions. In Figure 2 we plot the cross sections for supersymmetric production in $`\nu N`$ interactions as a function of the neutrino energy. Also plotted for comparison is the SM charged current cross section. As advertised earlier, the SUSY cross sections are still suppressed with respect to the SM, even when well above threshold.

The NLSP Range— Once produced by the $`\nu N`$ interactions in the earth, the NLSP pair should range into the detector, just as the muons produced by CC events als . Charged particles lose energy due to ionization processes as well as through radiation. The average energy loss is given by pdg

$$\frac{dE}{dx}=a(\beta \gamma )+c(\beta \gamma )\beta \gamma ,$$
(4)
here $`a`$ and $`c`$ characterize the ionization and radiation losses respectively, and are slowly varying functions of the energy. The ionization loss can be approximated by

$$a(\beta \gamma )0.08\frac{\mathrm{MeV}\mathrm{cm}^2}{\mathrm{gr}}\left(17+2\mathrm{ln}\beta \gamma \right),$$
(5)
nd is rather independent of the particle mass. On the other hand, assuming $`c(\beta \gamma )\mathrm{const}.`$, the radiative energy loss can be written as $`c\beta \gamma =(b_m)E`$. Thus $`b_\mu m_\mu =b_{\stackrel{~}{\tau }_R}m_{\stackrel{~}{\tau }_R}`$, and the radiative energy loss for the NLSPs scales inversely with the mass. This results in a much larger range for the NLSP as compared to the muon. Current bounds on $`m_{\stackrel{~}{\tau }_R}`$ are just above $`100`$ GeV. As a reference value we take $`m_{\stackrel{~}{\tau }_R}=150`$ GeV. Therefore, NLSPs produced hundreds, even thousands of kilometers away are within range of the detector. This is to be contrasted with the fact that muons must be produced at distances not larger than tens of kilometers from the detector in order to be observed. As we will see, this will somewhat compensate the suppression of the SUSY cross sections observed earlier.

Signals in Neutrino Telescopes— In order to compute the event rates in neutrino telescopes, we need to know the incoming neutrino flux. The presence of cosmic neutrinos is expected on the basis of the existence of high energy cosmic rays. Several estimates of the neutrino flux are available in the literature. In most cases, it is expected that km3 neutrino telescopes will measure this flux. Here, in order to present projections for the number of observed SUSY events, we make use of the Waxman-Bahcall (WB) limit wb  as an estimate of the cosmic neutrino flux. We consider an initial flux containing both $`\nu _\mu `$ and $`\nu _e`$ (in a $`2:1`$ ratio). Since the initial interactions (see Figure 1) produce $`\stackrel{~}{\mathrm{}}_L`$ and these are nearly degenerate in flavor, the flavor of the initial neutrino does not affect our results. For the same reason, the possibility of large mixing in the neutrino flux is also innocuous here. In order to correctly take into account the propagation of neutrinos and the NLSP $`\stackrel{~}{\mathrm{}}_R`$ through the earth, we make use of a model of the earth density profile as detailed in Reference gqrs .

In Figure 3 we show the energy distribution for the NLSP pair events for three choices of squark masses: $`300`$ GeV, $`600`$ GeV and $`900`$ GeV. Also shown are the neutrino flux at earth in the WB limit, as well as the energy distribution of upgoing $`\mu `$’s. We see that, even for the heavier squarks, it is possible to obtain observable event rates. In Table 1 we show the event rates for $`\stackrel{~}{\mathrm{}}_R`$ pair production per year and per km2. The rates are given for the WB flux as well as for the Mannheim-Protheroe-Rachen (MPR) flux mpr , both for optically thin sources. For comparison, we also show the rates of upgoing muons. Thus, km3 Cerenkov detectors such as ICECUBE, appear to be sensitive to most of the parameter space of interest in scenarios with a relatively long lived NLSP.

Since the NLSPs are produced in pairs very far from the detector and with a very large boost, typical signal events consist of two tracks separated by $`\delta RL\theta `$, with $`L`$ the distance to the production point ($`1001000`$ Km) and $`\theta p_{\mathrm{SUSY}}^{\mathrm{CM}}/p_{\mathrm{boost}}10^310^4`$. If we consider $`L`$ to be of the order of the NLSP range, then in the linear regime $`\delta R\mathrm{constant}100\mathrm{m}`$. As we have seen in the discussion following eqn. (5), for very high energies the range grows logarithmically with energy, leading to somewhat smaller values of $`\delta R(2040)\mathrm{m}`$. The track separation is then mildly sensitive to the stau injection energy abc2 . Then, most NLSP events would consist of two parallel but well separated tracks, and are therefore expected to be very distinctive and different from backgrounds. In addition, we see from Figure 3 that the signal events have a harder spectrum than the $`\mu `$ background.

Conclusions — We have shown for the first time that neutrino telescopes are potentially sensitive to the relatively long-lived charged NLSPs which are present in a wide variety of models of supersymmetry breaking. The event rates shown in Table 1 are already encouraging for experimental facilities that are been built, such as ICECUBE. The region of the supersymmetry breaking parameter space that is available to neutrino telescopes is determined, on the one hand, by the twin requirements that the NLSP lifetime be long enough to give a signal ($`\sqrt{F}5\times 10^6`$ GeV), but not be so long as to disturb Big Bang Nucleosynthesis ($`\sqrt{F}5\times 10^8`$ GeV). Thus the observation of NLSP events at neutrino telescopes will constitute a direct probe of the scale of supersymmetry breaking. This is to be compared with the potential observation of these NLSPs at the Large Hadron Collider (LHC), where for this range of $`\sqrt{F}`$, the NLSP decays outside the detector and is seen through its ionization tracks. However, the observation at the LHC would not constrain the NLSP lifetime significantly. Thus, we see that neutrino telescopes are complementary to collider searches. For instance, the observation of NLSP events at the LHC, coupled to the non-observation in neutrino telescopes would point to $`\sqrt{F}<10^7`$ GeV.

Future upgrades of ICECUBE, as well as of the water detectors ANTARES antares  and NESTOR nestor  will result in even better sensitivity. As an example, in Table 2 we show rates for an expanded version of ICECUBE iceplus .

In the present letter we focused on supersymmetry. However, many other theories give rise to relatively long lived charged particles which can be observed by neutrino telescopes abc2 .

Acknowledgments — We would like to thank Azriel Goldschmidt and Ian Hinchliffe for useful conversations. I. A. is supported by NSF Grant Physics/Polar Programs 0071886. G. B. and Z. C. are supported by the Director, Office of Science, Office of High Energy and Nuclear Physics, of the U. S. Department of Energy under Contract DE-AC03-76SF00098 and by the N.S.F. under PHY-00-98840.


text:
# Exponential Gelfond-Khovanskii formula in dimension one

## 1. Introduction

O. Gelfond and A. Khovanskii found a formula for the sum of the values of a Laurent polynomial $`g`$ over the zeros of a system

$$f_1(z)=\mathrm{}=f_n(z)=0,z(0)^n,$$

where $`f_i`$ are Laurent polynomials whose Newton polyhedra have generic relative positions . After an exponential change of variables we obtain a similar formula where $`g`$ and the $`f_i`$ are now exponential sums with rational frequencies. There is a lot of evidence that this formula continues to hold if the frequencies are real. For example, when $`g=1`$ the formula follows from combining two results: Gelfond’s generalization of Bernstein’s theorem  and the new formula for mixed volume . In  the formula is proved in the case when the frequencies of the exponential sum $`g`$ are not commensurate with the frequencies of the system.

Here we prove the generalization of the Gelfond–Khovanskii formula to exponential sums with real frequencies in dimension one. Our argument is elementary.

A similar result is obtained by J. Ritt in , where he computes the average sum of the real parts of zeros of an exponential sum. Ritt’s result can be considered as an exponential generalization of the Vieta formula for the product of zeros of a polynomial.

This paper is a part of the author’s Ph.D. thesis. I would like to thank my thesis advisor Askold Khovanskii for stating the problem and for his constant attention to this work.

## 2. Algebraic case

Recall that a Laurent polynomial $`f`$ in one complex variable $`z`$ is a finite linear combination of monomials with integer exponents:

$$f(z)=\underset{k}{}c_kz^k,k,c_k.$$

We explain how to compute explicitly the sum of the values of a Laurent polynomial $`g`$ over the zeros of a Laurent polynomial $`f`$ in $`\{0\}`$, counting multiplicities. Our argument in the exponential case is a generalization of the argument that we present here.

Consider a differential form $`\omega =gdf/f`$. This form has simple poles at the zeros $`z_i`$ of $`f`$ with the residue equal to $`\mu _ig(z_i)`$ where $`\mu _i`$ is the multiplicity of the root $`z_i`$. Since the sum of the residues of $`\omega `$ is zero, the sum of the values of $`g`$ over the zeros of $`f`$ in $`\{0\}`$ is equal to $`\text{res}_{\mathrm{}}\omega \text{res}_0\omega .`$

To compute these residues, we expand $`gf^{}/f`$ into Laurent series as follows. Let

$$f(z)=c_1z^{k_1}+\mathrm{}+c_nz^{k_n},k_1<\mathrm{}<k_n,k_i.$$

Put $`\stackrel{~}{f}=f/c_1z^{k_1}`$. Since $`\stackrel{~}{f}1`$ contains only positive powers of $`z`$, we have $`|\stackrel{~}{f}1|<1`$ in a neighborhood of zero. Therefore, we can expand $`1/\stackrel{~}{f}`$ into series converging uniformly in this neighborhood:

$$1/\stackrel{~}{f}=1+(1\stackrel{~}{f})+(1\stackrel{~}{f})^2+\mathrm{}.$$

Since each power of $`z`$ appears in this series finitely many times, it is a well-defined series in $`z`$. Multiplying this series by $`gf^{}/c_1z^{k_1}`$ we obtain a series for $`gf^{}/f`$:

$$\frac{gf^{}}{f}=\frac{gf^{}}{c_1z^{k_1}}(1+(1\stackrel{~}{f})+(1\stackrel{~}{f})^2+\mathrm{}).$$

Therefore, the residue at zero is equal to the coefficient $`A_1`$ of $`1/z`$ in this series.

Similarly, denote by $`A_n`$ the coefficient of $`1/z`$ in the series

$$\frac{gf^{}}{c_nz^{k_n}}(1+(1\stackrel{~}{f})+(1\stackrel{~}{f})^2+\mathrm{}),$$

where this time $`\stackrel{~}{f}=f/c_nz^{k_n}`$. Then the residue at infinity is equal to $`A_n`$.

Therefore, the sum of the values of $`g`$ over the zeros of $`f`$ in $`\{0\}`$ is equal to $`A_nA_1`$.

## 3. Statement of result

We are going to deal with exponential sums with real frequencies, i.e. functions of the form

$$f(z)=c_1\mathrm{exp}2\pi \alpha _1z+\mathrm{}+c_n\mathrm{exp}2\pi \alpha _nz,$$

where the coefficients $`c_i`$ are nonzero complex numbers and the frequencies $`\alpha _i`$ are increasing real numbers: $`\alpha _1<\mathrm{}<\alpha _n.`$ If we factor out $`c_1\mathrm{exp}2\pi \alpha _1z`$ from $`f`$, the rest will be close to infinity as $`\text{Re}z\mathrm{}`$ and close to 1 as $`\text{Re}z\mathrm{}`$. Therefore, all the zeros of $`f`$ lie in the vertical strip $`|\text{Re}z|<B`$ for some $`B`$, where the choice of $`B`$ depends only on the frequencies $`\alpha _i`$ and the absolute values of the coefficients $`c_i`$.

Let $`g`$ be an exponential sum with real frequencies. We want to add up the values of $`g`$ over the zeros of $`f`$. Since the number of zeros is infinite, the sum over the zeros must be replaced with the result of averaging $`g`$ over the zeros of $`f`$ along the imaginary axis. More precisely, let $`S(R)`$ be the sum of the values of $`g`$ over those zeros of $`f`$ (counting multiplicities) whose absolute value of the imaginary part is less than $`R`$. Since all the zeros of $`f`$ belong to the vertical strip $`|\text{Re}z|<B`$, this sum is finite.

###### Definition 3.1.

The mean value of $`g`$ over the zeros of $`f`$ is the limit

$$M=\underset{R\mathrm{}}{lim}\frac{S(R)}{2R}.$$

If $`g=1`$, $`M`$ is the mean number of zeros of $`f`$.

Let $`\stackrel{~}{f}=f/c_k\mathrm{exp}2\pi \alpha _kz`$, where $`k`$ is either 1 or $`n`$. The constant term of the exponential sum $`\stackrel{~}{f}`$ is equal to one, thus we can define the exponential series for $`1/\stackrel{~}{f}`$ by the formula

$$1/\stackrel{~}{f}=1+(1\stackrel{~}{f})+(1\stackrel{~}{f})^2+\mathrm{}.$$

Since each exponent $`\mathrm{exp}2\pi \alpha z`$ appears with a nonzero coefficient in a finite number of terms, the coefficients of these series are well-defined. Let $`A_k`$ be the constant term in the formal product of this series and $`gf^{}/c_k\mathrm{exp}(2\pi \alpha _kz)`$ for $`k=1,n`$.

The following theorem is the generalization of the Gelfond–Khovanskii formula to the case of exponential sums in dimension one.

###### Theorem 3.2.

Let $`f`$ be an exponential sum with real frequencies:

$$f(z)=c_1\mathrm{exp}2\pi \alpha _1z+\mathrm{}+c_n\mathrm{exp}2\pi \alpha _nz,\alpha _1<\mathrm{}<\alpha _n.$$

Let $`g`$ be another exponential sum with real frequencies. Then the mean value $`M`$ of $`g`$ over the zeros of $`f`$ is equal to

$$\frac{A_nA_1}{2\pi },$$

where $`A_n`$ and $`A_1`$ are defined above. In particular, the mean number of zeros of $`f`$, is equal to $`\alpha _n\alpha _1`$.

Furthermore, the mean value of $`g=\mathrm{exp}2\pi \alpha z`$ over the zeros of $`f`$ can only be nonzero if $`\alpha `$ belongs either to the non-positive semigroup $`𝒜`$ generated by the set $`\{\alpha _1\alpha _i|i=1\mathrm{}n\}`$, or to the non-negative semigroup $``$ generated by the set $`\{\alpha _n\alpha _i|i=1\mathrm{}n\}`$.

## 4. The plan of the proof

We can assume that $`f`$ does not have zeros on $`|\text{Im}z|=R`$. We have

$$M=\underset{R\mathrm{}}{lim}\frac{S(R)}{2R}=\underset{R\mathrm{}}{lim}\frac{1}{4\pi iR}_{\mathrm{\Gamma }_R}\frac{gf^{}}{f}𝑑z,$$

where the integration is performed in the positive sense over the rectangle $`\mathrm{\Gamma }_R`$ bounded by the lines $`\text{Re}z=B`$, $`\text{Im}z=R`$, $`\text{Re}z=B`$, and $`\text{Im}z=R`$. Denote the corresponding sides of $`\mathrm{\Gamma }_R`$ by $`\gamma _+`$, $`\gamma _R`$, $`\gamma _{}`$, and $`\gamma _R`$ (see Figure 4.1).

The proof of Theorem 3.2 will be divided in two parts between the following two sections as follows:

1. We show that the integral over the horizontal part of $`\mathrm{\Gamma }_R`$ is bounded as $`R\mathrm{}`$, and consequently only the integrals over the vertical segments contribute to the mean value.
2. We compute the contribution to the mean value of the integrals over the vertical segments.

## 5. The integral over the horizontal part of $`\mathrm{\Gamma }_R`$ is bounded

For each zero of the exponential sum $`f(z)=c_1\mathrm{exp}2\pi \alpha _1z+\mathrm{}+c_n\mathrm{exp}2\pi \alpha _nz`$ we delete from $`|\text{Re}z|B`$ an open disk of radius $`r>0`$ centered at that zero, and call the resulting region $`D_f`$. In the lemma below we show that $`f`$ is separated from 0 on $`D_f`$.

###### Lemma 5.1.

For $`D_f`$ defined above there exists $`\delta >0`$ such that for all $`zD_f`$

$$|f(z)|\delta >0.$$

###### Proof.

Let $``$ be the family of exponential sums that have the same frequencies $`\alpha _i`$ as $`f`$, and each of its coefficients $`d_i`$ has the same absolute value as the corresponding $`c_i`$ in $`f`$. That is, each $`h`$ is of the form

$$h(z)=d_1\mathrm{exp}2\pi \alpha _1z+\mathrm{}+d_n\mathrm{exp}2\pi \alpha _nz,$$

where $`|d_i|=|c_i|.`$ This family is invariant under translations along the imaginary axis. Due to our choice of $`B`$, all the zeros of each of the functions in $``$ belong to $`|\text{Re}z|<B`$.

For each element $`h`$ of $``$ we define $`D_h`$ to be the strip $`|\text{Re}z|B`$ with deleted open disks of radius $`r`$ centered at the zeros of $`h`$. Let

$$\delta _h=\underset{zD_h}{\mathrm{min}}|h(z)|,\delta =\underset{h}{inf}\delta _h.$$

We need to show that $`\delta >0`$.

Assume $`\delta =0`$. It means that there exist a sequence of functions $`h_l`$ and a sequence of points $`z_lD_{h_l}`$ such that $`h_l(z_l)0`$, as $`l\mathrm{}`$. Since $``$ is invariant under translations along the imaginary axis, we can assume that all $`z_l`$ belong to the compact set

$$V=\{|\text{Re}z|B,|\text{Im}z|1\}.$$

Each $`h`$ can be identified with the collection of its coefficients $`(d_1,\mathrm{},d_n)^n`$. Then the convergence in $`^n`$ corresponds to the uniform convergence on $`V`$. The family $``$ is a product of $`n`$ circles and, therefore, is a compact set.

Consider the sequence $`(h_l,z_l)`$ in $`\times 𝒱`$. Since $`\times 𝒱`$ is compact, we can assume (choosing a subsequence if necessary) that the sequence $`(h_l,z_l)`$ converges to some $`(h,z_0)\times 𝒱`$. This means that $`z_l`$ converges to $`z_0`$, and $`h_l`$ converges to $`h`$ uniformly on $`V`$. Since $`h_l(z_l)0`$, we have $`h(z_0)=0`$.

By the Hurwitz theorem, each function $`h_l`$ with $`l`$ big enough has a zero in the disk $`\{|zz_0|<\rho \}\{|\text{Re}z|B\}`$ with $`\rho <r/2`$. Therefore, we can find $`l`$ such that $`z_l`$ belongs to the disk and $`h_l`$ has a zero in this disk. But then the distance between $`z_l`$ and this zero of $`h_l`$ is less than $`r`$, which contradicts $`z_lD_{h_l}`$.

This contradiction proves that $`\delta >0`$. ∎

We will need the following result from the theory of fewnomials, which is a consequence of the complex Rolle theorem.

###### Theorem 5.2.

 Let $`f`$ be an exponential sum of the form

$$f(z)=c_1\mathrm{exp}2\pi \alpha _1z+\mathrm{}+c_n\mathrm{exp}2\pi \alpha _nz,$$

where the coefficients $`c_i`$ are complex numbers and the frequencies $`\alpha _i`$ are increasing real numbers: $`\alpha _1<\mathrm{}<\alpha _n.`$ Then $`f`$ has less than $`n`$ zeros in a horizontal strip of width less than $`1/(\alpha _n\alpha _1).`$

Recall that $`\gamma _R\gamma _R`$ is the horizontal part of the contour $`\mathrm{\Gamma }_R`$.

###### Lemma 5.3.

The absolute value of the integral

$$_{\gamma _R}\frac{gf^{}}{f}𝑑z$$

is bounded for all $`R`$ such that there are no zeros of $`f`$ on $`\gamma _R`$.

###### Proof.

Choose $`r<1/4n(\alpha _n\alpha _1)`$. For each zero of $`f`$ delete an open disk of radius $`r`$ centered at that zero. The projection of these deleted disks to the imaginary axis does not entirely cover the vertical segment

$$\left\{\text{Re}z=0,\left|\text{Im}zR\right|<\frac{1}{4(\alpha _n\alpha _1)}\right\}.$$

Indeed, the only disks whose projections could touch this segment are the ones whose center $`z`$ satisfies

$$\left|\text{Im}zR\right|<\frac{1}{2(\alpha _n\alpha _1)}.$$

By Theorem 5.2, there are less than $`n`$ such disks. Hence the length of the projection is less than $`2rn<1/2(\alpha _n\alpha _1)`$, which is equal to the length of the vertical segment. Therefore, we can choose $`R^{}`$ on this segment so that $`\gamma _R^{}`$ does not meet the deleted disks. Since by Lemma 5.1 $`f`$ is separated from zero on $`\gamma _R^{}`$, the integral over $`R^{}`$ is bounded.

It remains to show that the difference of the integrals over $`\gamma _R`$ and $`\gamma _R^{}`$ is bounded. Consider the contour $`\gamma `$ formed by $`\gamma _R`$, $`\gamma _R^{}`$, and the vertical segments connecting their endpoints. The integral over $`\gamma `$ is equal to the sum of the values of $`g`$ over the zeros of $`f`$ that lie inside $`\gamma `$, times $`2\pi i`$. This sum is bounded since $`f`$ has less than $`n`$ zeros inside, and $`g`$ is bounded on $`|\text{Re}z|<B`$. Choosing $`B`$ so big that all the zeros of $`f`$ belong to $`|\text{Re}z|<B/2`$, and requiring that $`r<B/2`$, we ensure that the deleted disks do not intersect the vertical part of $`\gamma `$, and the integral over the vertical segments is bounded. We proved that the integral

$$_{\gamma _R}\frac{gf^{}}{f}𝑑z$$

is bounded. ∎

This lemma implies that

$$\underset{R\mathrm{}}{lim}\frac{1}{4\pi iR}_{\gamma _R}\frac{gf^{}}{f}𝑑z=0.$$

Therefore, only the integrals over the vertical part of $`\mathrm{\Gamma }_R`$ can contribute to the mean value.

## 6. The integral over the vertical part of $`\mathrm{\Gamma }_R`$.

Here we explain how to compute the limit

$$\underset{R\mathrm{}}{lim}\frac{1}{4\pi iR}\frac{gf^{}}{f}𝑑z,$$

where the integration is performed over the vertical part of $`\mathrm{\Gamma }_R`$.

We deal with $`\gamma _{}`$ first. Recall that $`f(z)=c_1\mathrm{exp}2\pi \alpha _1z+\mathrm{}+c_n\mathrm{exp}2\pi \alpha _nz`$, where $`\alpha _1<\mathrm{}<\alpha _n.`$ Let $`\stackrel{~}{f}=f/c_1\mathrm{exp}2\pi \alpha _1z`$. Then the constant term of $`\stackrel{~}{f}`$ is equal to 1. On $`\text{Re}z=B`$,

$$|\stackrel{~}{f}1|=\left|\underset{j=2}{\overset{n}{}}\frac{c_j}{c_1}\mathrm{exp}2\pi (\alpha _j\alpha _1)z\right|\underset{j=2}{\overset{n}{}}\frac{|c_j|}{|c_1|}\mathrm{exp}(2B\pi (\alpha _j\alpha _1)),$$

which is less than 1 if $`B`$ is big enough since $`\alpha _j>\alpha _1`$. Therefore, we can expand $`gf^{}/f`$ into geometric series converging uniformly on $`\text{Re}z=B`$:

$$g\frac{f^{}}{f}=g\frac{f^{}}{c_1\mathrm{exp}2\pi \alpha _1z}\left(1+(1\stackrel{~}{f})+(1\stackrel{~}{f})^2+\mathrm{}\right),$$

which is a series in exponents, since every exponent appears only finitely many times. We integrate this series over $`\gamma _{}`$, divide by $`4\pi iR`$ and find the limit as $`R\mathrm{}`$ term-by-term.

Notice that only the constant term in this series can give a nonzero limit. If this constant term is $`A_1`$, then the corresponding limit is $`A_1/2\pi `$. If $`g(z)=\mathrm{exp}2\pi \alpha z`$, then the only values of $`\alpha `$ for which there is a nonzero constant term in the series are those that belong to the non-positive semigroup $`𝒜`$ generated by $`\{\alpha _1\alpha _i|i=1,\mathrm{},n\}`$.

It remains to repeat this procedure for $`\gamma _+.`$ Let $`\stackrel{~}{f}=f/c_n\mathrm{exp}2\pi \alpha _nz`$, and expand $`gf^{}/f`$ into exponential series converging uniformly on $`\text{Re}z=B`$:

$$\frac{gf^{}}{f}=\frac{gf^{}}{c_n\mathrm{exp}2\pi \alpha _nz}\left(1+(1\stackrel{~}{f})+(1\stackrel{~}{f})^2+\mathrm{}\right).$$

If the constant term of this series is $`A_n`$, then the corresponding limit is $`A_n/2\pi `$. If $`g(z)=\mathrm{exp}2\pi \alpha z`$, then the only values of $`\alpha `$ for which there is a nonzero constant term in the series are those that belong to the non-negative semigroup $``$ generated by $`\{\alpha _n\alpha _i|i=1,\mathrm{},n\}`$.

We proved that the mean value $`M`$ of $`g`$ over the zeros of $`f`$ is equal to

$$\frac{A_nA_1}{2\pi }.$$

If $`g=1`$, it is easy to see that $`A_n=2\pi \alpha _n`$ and $`A_1=2\pi \alpha _1`$. Hence the mean number of zeros of $`f`$ is equal to $`\alpha _n\alpha _1`$.


text:
# Information-Theoretic Determination of Ponderomotive Forces

## I Introduction

There has been an effort to understand macroscopic phenomena, characterized by thermal equilibrium and irreversible approaches to it, based on the crucially important property: the entropy. E. T. Jaynes Jaynes86  was a precursor of this line of thought. In fact, the application of information-theoretic techniques to a number of fields has been very successful, specially in studying colloidal systems. Interestingly, it was discovered entropy depletion effects in a binary mixture consisting in the increase of entropy of one component and forcing the other component to a greater order, leading through this process to the possibility of entropy control of the directed motion of colloidal particles Dinsmore96 ; physreve59 . Direct measurements of entropic forces were measured for a single colloidal sphere close to a wall in a suspension of rigid colloidal rods PhysRevLett03 . Also, stochastic resonance-like phenomena in non-linear systems can be described by a maximization of the information-theoretic distance measures between probability distributions of the output variable PhysRevLett96 ; PhysRevLett98 .

In this paper we follow through this line of research of maximum entropy methods, but proposing a special procedure to analyze systems imparted with general kind of motion, both translational and rotational. One advantage of this method is that a simple method of calculation is devised from energy and entropy considerations. It gives known results through the use of entropy of a system dynamics and in specific problems could be a possible alternative to Hamilton theory. We don’t analyze the eventual deep meaning of the present procedure, but only claim that the results obtained mean the entropy, as it appears in the fundamental equations of thermodynamics, could be a mathematical entity useful for the calculation of non equilibrium processes.

Based on the maximization of entropy principle and the fundamental equation of thermodynamics ($`dU=TdS(𝐟d𝐫)`$), it was previously suggested a new procedure Pin02  to obtain the dynamical equation of motion of a particle in a rotating frame.

In this paper we extend the same procedure to classical electrodynamics, obtaining what we would like to call information-theoretic ponderomotive forces. Besides the classical force in a rotating frame, it is additionally obtained the Lorentz’s force acting over an electrically charged particle, the Stern-Gerlach’s force, a term related to the Einstein-de Haas’s effect, as well a new term, possibly related to a change in weight in an accelerated frame.

## II Extremum Principle

Our initial theoretical framework is the one advanced by Landau and Lifshitz Landau . Let us consider an isolated macroscopic system $`𝒮`$ composed by N infinitesimal macroscopic subsystems $`𝒮^{}`$ (with an internal structure possessing a great number of degrees of freedom to ensure the validity of the entropy concept) with $`E_i`$, $`𝐩_i`$ and $`𝐉_i`$, all constituted of classical charged particles with charge $`q_i`$ and mass $`m_i`$. The system is assumed to be isolated and so there exist seven independent additives integrals: the energy, 3 components of the linear momentum $`𝐩`$ and 3 components of the angular momentum $`𝐋`$.

The energetics of the charged particles is modelled on the Maxwell-Lorentz theory of the electromagnetic field. Thus, the internal energy $`U_i`$ of each subsystem moving with momentum $`𝐩_i`$ in a Galilean frame of reference is given by

$$E_i=U_i+\frac{p_i^2}{2m_i}+\frac{J_i^2}{2I_i}q_iV_i+q_i(𝐀_i𝐯_i),$$
(1)
where, besides the mechanical energy, the electrostatic and magnetic energy ($`U_{m,i}q_i(𝐀_i𝐯_i)`$) terms are also duly inserted.

The entropy of the system is the sum of the entropy of each subsystems (and function of their internal energy $`U`$, $`S=S(U)`$):

$$S=\underset{i}{\overset{N}{}}S_i\left(E_i\frac{p_i^2}{2m}\frac{J_i^2}{2I_i}q_iV_i+q_i(𝐀_i𝐯_i)\right).$$
(2)
Energy, momentum and angular momentum conservation laws must be verified for a totally isolated system:

$$E=\underset{i=1}{\overset{N}{}}E_i,$$
(3)
$$𝐏=\underset{i=1}{\overset{N}{}}𝐩_i,$$
(4)
and

$$𝐋=\underset{i=1}{\overset{N}{}}([𝐫_𝐢\times 𝐩_𝐢]+𝐉_𝐢).$$
(5)
In the above equations, $`𝐫_𝐢`$ is the position vector relatively to a fixed frame of reference $``$, $`𝐩_i`$ is the total momentum (particle + field) and $`𝐉_i`$ is the total intrinsic angular momentum of the particle, comprising a vector sum of the electron orbital angular momentum and the angular momentum contributed by electron spin and nuclear spin (since the electromagnetic momentum is already included in the preceding term through $`𝐩_i`$). The exploitation of the entropy principle introduces Lagrange multipliers from which, as we will see, ponderomotive forces are obtained.

It is necessary to find the conditional extremum; they are set up not for the function $`S`$ itself but rather for the changed function $`\overline{S}`$:

$$\overline{S}=\underset{i=1}{\overset{N}{}}\left\{S_i\left[E_i\frac{p_i^2}{2m}\frac{J_i^2}{2I_i}q_iV_i+q_i(𝐀_i𝐯_i)\right]+(𝐚𝐩_𝐢)+𝐛([𝐫_𝐢\times 𝐩_𝐢]+𝐉_𝐢)\right\},$$
(6)
where $`𝐚`$ and $`𝐛`$ are Lagrange multipliers. The conditional extremum points are obtained for

$$\begin{array}{cc}\frac{\overline{S}}{𝐫}=0;\hfill & \hfill \frac{\overline{S}}{𝐩}=0.\end{array}$$
(7)
At thermodynamic equilibrium the total entropy of the body has a maximum constrained to supplementary conditions 3, 4 and 5.

## III Electrodynamic ponderomotive forces

At this point we intend to go a step further than Landau and Lifschitz presentation Landau . As we are interested in situations in which separate parts of a system (discrete sub-systems) are internally in equilibrium (this should apply to continuous systems as well) small changes in extensive coordinates $`\delta X_\mu `$ will produce small deviations $`\delta \overline{S}`$ in the total entropy of the system. As is known, we can in general define a set of intensive parameters $`F_\mu `$ in terms of the local parameter $`S(X_\mu )`$ by the equation

$$F_\mu =\frac{S(X_\mu )}{X_\mu }$$
(8)
with $`F_\mu `$ being a local position- and time-dependent quantity called the affinity of the sub-system. After multiplying the affinity by the ”temperature” $`T`$ it is obtained the entropic forces. This is what we seek right now and we will show that with an appropriate procedure electrodynamic ponderomotive (body) forces are obtained. Of course we are aware of the implications the use of entropy in nonequilibrium can have, but in this paper we don’t analyze the concept of probability in nonequilibrium statistical mechanics. Quoting Guttmann Guttmann1999 , it is sure that this matter is still

> ill understood…and don’t have a secure foundation.

Retrospectively, the developments hereby exposed can be an illustration of the potential use of entropy for others applications than the conventional role played in the determination of equilibrium states. From the partial derivative, $`\frac{\overline{S}}{𝐩_i}`$, it is obtained the total (particle’s + field) canonical momentum (when putting $`𝐯_{rel}=T𝐚`$ and $`\omega =T𝐛`$, and thus giving a clear meaning to the Lagrangian multipliers):

$$𝐩_i=𝐩_{rel}+m[\omega \times 𝐫_i]+q_i𝐀_i.$$
(9)
Here, $`𝐩_{rel}=m𝐯_{rel}`$ is the apparent momentum as seen in a rotating frame $`^{}`$. As it should be, besides the mechanical terms related to translation and rotation, it appears the electromagnetic momentum term $`q_i𝐀_i`$. By the other hand, a further refinement in the formulation of the maximum entropy method by postulating the existence of a multiplicative factor $`T/2`$ associated to each degree of freedom, allowing us from the partial derivative $`\frac{\overline{S}}{𝐫_i}`$ to obtain the expresion

$$\frac{T}{2}\frac{\overline{S}}{𝐫_i}=_{r_i}U_i+m_i\frac{d𝐯_i}{dt}+\frac{1}{2}_{r_i}(\omega 𝐉_i)$$
(10)
In nonequilibrium, as $`T`$ does not have the current meaning of thermodynamic temperature, it is merely a parameter useful to come through with calculations ($`T`$ could be a kind of kinetic temperature).

When there is no flux of entropy ($`\frac{T}{2}\frac{\overline{S}}{𝐫_i}=0`$) and consequently the following relation prevails

$$_{r_i}U_i^{eq}=m_i\frac{d𝐯_i}{dt}+\frac{1}{2}_{r_i}(\omega 𝐉_i).$$
(11)
Here, we denote by $`U_i^{eq}`$ the $`ith`$ sub-system internal energy at equilibrium (since it was obtained through condition $`\frac{S}{r}=0`$) and the first term on the right-hand side (rhs) is the mechanical force acting on the $`ith`$ particle on $``$ frame. The physical meaning of Eq. 11 is that, at equilibrium, there is no production of entropy and the force acting on over the $`ith`$ particle may be found by taking the gradient of a conservative potential (which includes the rotational energy) - in fact, an effective potential energy, useful in dynamics to find turning points of orbits in a central field of force. Remark that the electromagnetic field is affected to $`U_i^{eq}`$ and that’s why does not appear explicitly here.

Going back to Eq. ref, when considering the flux of the internal energy, through Eq. 2 it is easy to obtain the following full expression

$$\frac{T}{2}\frac{\overline{S}}{𝐫_i}=q_i_{r_i}V_i+q_i_{r_i}(𝐯_i𝐀_i)$$

$$+m_i\frac{d𝐯_i}{dt}\frac{1}{2}_{r_i}\left(\frac{J_i^2}{I_i}\right)+\frac{1}{2}_{r_i}(\omega 𝐉_i).$$
(12)
It is worth to rearrange some terms in order to give more clear physical meaning to the all expression. So, using the definition of $`𝐁`$ in terms of vector potential, we have the mathematical identity

$$_{r_i}(𝐀_i𝐯_i)=(𝐯_i_{r_i})𝐀_i+(𝐀_i_{r_i})𝐯_i+[𝐯_i\times 𝐁_i]+[𝐀_i\times [_{r_i}\times 𝐯_i]].$$
(13)
The cross product $`(𝐯_i)𝐀_i`$ requires an interpretation in physical grounds. In fact, consider a charge $`q`$ moving with velocity $`v`$ along a given direction $`x`$, such that it is displaced by $`x=vt`$. The Maxwell equations determine the electromagnetic field in terms of the position of field sources relative to the position of the charge, $`A(xvt,y,z)`$. It follows, for a planar wave, a time dependence of the form $`\frac{A}{t}=v\frac{A}{x}`$. Taking this into account, the extremum condition $`\frac{\overline{S}}{𝐫_i}=0`$, for example, lead us to the relationship

$$E_i+[𝐯_i\times 𝐁_i]=\frac{1}{2q_i}_{r_i}(\frac{J_i^2}{I_i}\omega 𝐉_i)[𝐀_i\times \omega ],$$
(14)
which is a condition of charges equilibrium in a rotating frame. The fields are defined as usually by $`𝐄=V\frac{𝐀}{t}`$ and $`𝐁=[\times 𝐀]`$, with the usual meaning. In the last expression, the electromagnetic field was computed explicitly and so the equilibrium condition acquired a new form. In particular, we see that a gyroscopic term plays an important role in equilibrating the plasma.

In a closed system, the total differential of U in the variables $`r`$ and $`S`$ is given by $`dU=TdS(𝐟𝐫)`$. During the interval of time $`dt`$ and at a given point ($`𝐫`$, $`S`$) together with the introduction of our postulate, we have the fundamental equation of thermodynamics in a differential form:

$$_{r_i}U_i=\frac{T}{2}_{r_i}S𝐟_i.$$
(15)
This is the well known fundamental equation of thermodynamics, only differing by the introduction of a factor $`\frac{T}{2}`$ by each degree of freedom. This is a necessary condition in order to fully exploit all the theoretical predictions which are possible to achieve through the hereby proposed procedure. In our current perspective, the entropy provides a useful guide for the likely outcome of a plasma. Through entropy we have access to end-points but not to the intermediate physical processes that give birth to a final state. Thus, applying this equation (same procedure as presented in Pin02  for Newton’s second law) and after some vectorial algebra, it is easily obtained the force acting on electrically charged particles

$$𝐟_i=q_i𝐄_i+q_i[𝐯_i\times 𝐁_i]+q_i(𝐀_i_{r_i})𝐯_i+2q_i[𝐀_i\times \omega ]+\frac{1}{2}_{r_i}(\omega 𝐉_i)$$

$$\frac{1}{2}_{r_i}\left(\frac{J_i^2}{I_i}\right)_{r_i}U_i.$$
(16)
But at this stage we need to take care of the physical meaning of the mathematical entities involved, in particular the last term - the gradient of energy in space. It is understandable that, not far away from equilibrium, we can always assert that

$$_{r_i}U_i=_{r_i}U_i^{eq}+𝐟^S.$$
(17)
Here, we denote by $`𝐟_i^S`$ a force term representing a small disturbance of a constant equilibrium state characterizing $`ith`$ system. Hence, the above expression can be rewritten in the form

$$𝐟_i=𝐟_i^M+𝐟_i^L+q_i(𝐀_i_{r_i})𝐯_i2q_i[\omega \times 𝐀_i]$$

$$\frac{1}{2}_{r_i}\left(\frac{J_i^2}{I_i}\right)+_{r_i}(\omega 𝐉_i)+𝐟_i^S.$$
(18)
Here, $`𝐟_i^M`$ is the mechanical force acting over the $`ith`$ particle, $`𝐟_i^L=q_i𝐄_i+q_i[𝐯_\times 𝐁_i]`$ is the respective Lorentz’s force. The third term on the right-hand side of the above equation is the rate of variation of the particle’s velocity along the potential vector acting on it. Now, notice that $`𝐀_i=_j\frac{q_j𝐯_j}{cr_{ij}}`$ is the potential vector (here, in Gaussian units) at the point where the charge $`q_i`$ is, as obtained by a development to first order in $`𝐯_i`$ of the Liénard-Wiechert potentials. This solution corresponds to a retarded potential and is correct only for $`\frac{v}{c}1`$, otherwise we should add a relativistic correction. It can be easily shown that the following relation holds

$$q_i(𝐀_i_{r_i})𝐯_i=q_i[\omega \times 𝐀_i].$$
(19)
To disclose its full physical meaning after a better arrangement, it is easily seen to correspond to a kind of gyroscopic force

$$q_i(𝐀_i_{r_i})𝐯_i=\underset{j}{}\frac{q_iq_j}{cr_{ij}}[\omega \times 𝐯_j].$$
(20)
Inserting Eq. 20 into Eq. 18 the total force acting over the $`ith`$ particle can be written in the final form

$$𝐟_i=𝐟_i^M+𝐟_i^L2\underset{j}{}m_{ij}^{em}[\omega \times 𝐯_j]$$

$$\frac{1}{2}_{r_i}\left(\frac{J_i^2}{I_i}\right)+_{r_i}(\omega 𝐉_i)+𝐟_i^S.$$
(21)
We have introduced in the last equation the electromagnetic mass of the system resulting from the interaction between charges $`q_i`$ and $`q_j`$ distant $`r_{ij}`$ apart

$$m_{ij}^{em}=\frac{1}{2}\frac{q_i}{c}\frac{q_j}{r_{ij}}.$$
(22)
The third term on the rhs - a kind of gyroscopic force - is unexpected and requires further study. It can lead to striking new phenomena, such as levitation, because it means that the interaction between a system of charges with different sign leads to a mass increase, whereas equal sign charged particles when interacting lead to a mass decrease. An effect similar to some extent to this one was referred by Boyer Boyer  when investigating the change in weight associated with the electrostatic potential energy for a system of two point charges supported side by side against a weak downwards gravitation field.

Finally, the fourth term in the rhs is closely related to the Einstein-de Haas effect. In fact, there is a natural relationship between $`𝐉_i`$ and the Ampèrian current constituting part of the material medium and the magnetization vector (in particular, $`\mu =g\frac{e𝐉}{2mc}`$), and from this result a body force Page40 . The fifth term in the rhs is the Stern-Gerlach’s force when applied to a magnetic moment.

The last term in the rhs, $`𝐟_i^S`$, was introduced mutatis mutandis to represent non-equilibrium processes, such as bremsstrahlung radiation, line radiation, turbulence, inter alia. Altogether, in order to represent fully non equilibrium processes, other terms should be included, such as the pressure gradients $`p`$ as well the dissipative terms related to the momentum gain of the ion fluid caused by collisions with electrons - as admitted in Spitzer , they are of the form $`𝐏_{ei}=\eta e^2n^2(𝐯_e𝐯_i)`$, where $`\eta `$ is the specific resistivity (in general, a tensor), but in particular for an isotropic plasma it is a scalar. When searching for a more complete description, and transposing the equations from the discrete to the continuum level, the magnetohydrodynamics fluid equations of motion should be retrieved.

We don’t attempt to derive Maxwell equations from the actual framework since they are essentially relativistic equations obeying Lorentz transformations and a very careful definition of time and space should be addressed.

## IV Conclusion

This letter has extended the application of a new procedure to electromagnetic fields. We believe that the development hereby presented can show up new features related to the entropy concept itself. It was shown that the inertial force terms appearing in accelerated frames and the electromagnetic force acting over an electrically charged particle are a manifestation of an entropic force. But if the known forces are obtained with a given kind of system energy, therefore, working backward we can conclude that a given arrangement of the system in terms of microstates (and hence through entropy) are generating those forces. In this sense, as the application of the entropy concept is not well funded in non-equilibrium situations, we have here possible example of how far we can go. Besides the already know force terms a kind of new electromagnetic gyroscopic force was shown to appear in a rotating frame implying a mass variation of a system of charges.

Research of phenomena involving electromagnetic fields could take advantage of this tool.