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# Two-Dimensional Nature of Four-Layer Superconductors by Inequivalent Hole Distribution

## Abstract

The magnetization of the four-layer superconductor CuBa2Ca3Cu4O12-δ with $`T_c117`$ K is presented. The high-field magnetization around $`T_c(H)`$ follows the exact two-dimensional scaling function given by Tešanović and Andreev. This feature is contrary to the inference that the interlayer coupling becomes strong if the number of CuO2 planes in a unit cell increases. Also, the fluctuation-induced susceptibility in the low-field region was analyzed by using the modified Lawrence-Doniach model. The effective number of independently fluctuating CuO2 layers per unit cell, $`g_{\mathrm{eff}}`$, turned out to be $`2`$ rather than 4, which indicated that two among the four CuO2 layers were in states far from their optimal doping levels. This result could explain why CuBa2Ca3Cu4O12-δ shows two-dimensional behavior.

74.25.Bt, 74.40.+k, 74.72.Jt, 74.72.Gr, 74.62.-c

Within a high-$`T_c`$ homologous series, the $`T_c`$ is expected to increase with the number of CuO2 planes per unit cell, $`n`$, because an increase in $`n`$ means an increase in the number of CuO2 planes per unit volume and thereby increases in the charge-carrier density and the coupling between the conducting planes. In fact, the $`T_c`$ increases with $`n`$ within a high-$`T_c`$ family. However, this tendency does not persist above a certain value of $`n`$. For example, within the HgBa2Can-1CunO2n+2+δ family, the $`T_c`$ increases with $`n`$ up to $`n=3`$, but for $`n=4`$ the value is lower by about 10 K in comparison with the value for $`n=3`$.

For compounds with $`n3`$, the unit cells contain two structurally different CuO2 planes. In the case of HgBa2Ca3Cu4O10+δ (Hg-1234), among the four layers, two layers contain Cu with square-planar coordination (Type-A), and the other two contain Cu with pyramidal coordination (Type-B). Yamauchi and Karppinen claimed from their bond-valence-sum (BVS) calculations that the charge carriers can be inhomogeneously distributed between Type-A and Type-B CuO2 planes and that the holes may be concentrated mainly in the Type-A CuO2 planes.

As a consequence of the inequivalent hole distribution, the “microscopic$`T_c`$’s of the Type-A and Type-B planes will differ from each other. The difference between the lower and the higher $`T_c`$’s becomes severe as the degree of imbalance in the hole distribution increases. Thus, at temperatures around the higher $`T_c`$, one of the two different kinds of CuO2 planes does not play the role of a superconducting layer by itself; hence the interlayer spacing in the system can be effectively quite large.

In our previous works, we demonstrated that in high-field region, the thermal fluctuations of Hg-1234 show two-dimensional (2D) scaling behavior around $`T_c(H)`$. Furthermore, the strong anisotropic nature of this compound as observed through magnetic torque measurements by Zech et al. They reported the anisotropy ratio, $`\gamma =\lambda _c/\lambda _{ab}`$, of Hg-1234 to be about 52. These results implying a weak interlayer coupling are consistent with our viewpoint that the inequivalent distribution of holes can effectively cause a large interlayer spacing.

The above studies prompted an examination of whether or not an inequivalent distribution of holes is a common feature in four-layer cuprates. With this aim, we measured the reversible and fluctuation-induced magnetization of another four-layer system CuBa2Ca3Cu4O12-δ (Cu-1234) with $`T_c=117`$ K. The main difference between Cu-1234 and Hg-1234 lies in the structure of the charge reservoir block (CRB). While the CRB of Hg-1234 consists of a double rock-salt block \[BaO\]\[HgOδ\]\[BaO\] $`(\delta <1)`$, Cu-1234 contains a CuO2-δ plane instead of a HgOδ plane in the block. The $`c`$-axis parameter of Cu-1234 is shorter than that of Hg-1234 by about 1 Å due to the relatively thin CRB. The $`T_c`$, 117 K, of Cu-1234 is known not to vary even after post annealings under various conditions.

In this letter, our intention is to elucidate the dimensional nature and the superconducting properties of Cu-1234. The measured magnetization data were analyzed using the high-field scaling theory proposed by Tešanović and Andreev, the modified Lawrence-Doniach model, and the Hao-Clem model. From these analyses, we found that Cu-1234 had a strong 2D nature which was caused by an effective reduction of the number of CuO2 planes due to an inequivalent hole distribution.

The details on the sample preparation under a high-pressure condition ($``$ 4 Gpa) are given elsewhere. The lattice parameters, $`a=b=3.858`$ Å and $`c=17.98`$ Å, were obtained from X-ray diffraction. To obtain a $`c`$-axis aligned sample, we employed the Farrell method. First, we passed the powder of the sample through a 20-$`\mu `$m sieve to filter out grains with multi-domains. This fine powder was aligned in commercial epoxy (Hardman, Inc.) under an external magnetic field of 7 T. The dimension of the permanently aligned sample was approximately 9.5 mm in length and 3 mm in diameter. From the X-ray rocking-curve measurement, the full width at half maximum (FWHM) of the (006) reflection was found to be less than 2 degrees. The temperature dependence of the magnetization was measured in the magnetic field range of 0.05 T $`H`$ 5 T by using a SQUID magnetometer (MPMS, Quantum Design).

Various thermodynamic parameters characterizing Cu-1234 were evaluated by applying the Hao-Clem model to the reversible magnetization measured in the field range 1 T $`H`$ 5 T. Figure 1 shows the temperature dependence of the thermodynamic critical field $`H_c(T)`$ obtained from the above analysis. In this figure, the solid line represents the BCS temperature dependence of $`H_c`$. This model yields $`H_c(0)=0.9`$ T and $`T_c=117`$ K, which corresponds to a slope of $`dH_c/dT=129`$ Oe/K near $`T_c`$. Using the relationship $`H_{c2}(T)=\sqrt{2}\kappa H_c(T)`$ and employing $`\kappa =127`$, which was deduced from the Hao-Clem model, we estimated the upper critical field slope as $`(dH_{c2}/dT)_{T_c}=2.3`$ T/K. This slope can be used to calculate the upper critical field at zero temperature by using the Werthamer-Helfand-Hohenberg formula, and $`H_{c2}(0)`$ was estimated to be 196 T \[$`\xi _{ab}(0)=12.8`$ Å\] in the clean limit. The penetration depth $`\lambda (T)`$ was evaluated by using the relationship $`\lambda =\kappa (\varphi _0/2\pi H_{c2})^{1/2}`$, as shown in inset of Fig. 1. The solid line in the inset represents the penetration depth $`\lambda _{ab}(T)`$ in the clean limit with $`\lambda _{ab}(0)=198`$ nm. In Table I, all these parameters are summarized along with those of Hg-1234 for comparison. With this preliminary information, we now proceed to study other superconducting properties of Cu-1234.

Figure 2 shows the irreversibility line of Cu-1234 (open circles) obtained from the DC magnetization curves $`4\pi M(T)`$ for 0.1 T $`H`$ 5 T. The open squares in the figure denote the data for Hg-1234. We note that the irreversibility line of Cu-1234 is shifted to higher temperature in comparison with that of Hg-1234. This implies that the vortex pinning in Cu-1234 is more effective. It is generally accepted that a strong interlayer coupling gives rise to a strong flux pinning. As mentioned in the introduction, the interlayer spacing of Cu-1234 is smaller than that of Hg-1234. We conjecture that this causes an enhanced interlayer coupling.

Because the interlayer coupling of Cu-1234 is rather strong, one can expect a more enhanced superconductivity. However, the transition temperature of Cu-1234 is lower than the value of 125 K for Hg-1234 by 8 K. Not only the interlayer coupling strength but also the carrier concentration is known to be responsible for determining the transition temperature of layered superconductors. Thus, it is easily postulated that the relatively low $`T_c`$ of Cu-1234 compared to that of Hg-1234 is due to a low carrier density within the conducting planes. As shown in Table I, the penetration depth of Cu-1234, $`\lambda _{ab}(0)=198`$ nm, is considerably larger than that of Hg-1234. If we assume that the electronic effective mass in the $`ab`$ plane, $`m_{ab}^{}`$, is nearly the same as that of Hg-1234, this larger value of $`\lambda _{ab}(0)`$ justifies the above postulation through the relationship $`\lambda _{ab}(0)(m_{ab}^{}/n_s)^{1/2}`$.

Previously, we reported that Hg-1234 is a strong 2D superconductor. The direct evidence for this was based on a scaling analysis of the fluctuation-induced magnetization in the high-field region. The same analysis using the high-field scaling function was applied to Cu-1234. In the high-field limit, according to Tešanović and Andreev, the exact scaling function for a 2D system is given by

$$\frac{M(H,T)}{\sqrt{HT}}\frac{\varphi _0H_{c2}^{}d}{A}=x\sqrt{x^2+2},$$
(1)
where $`A`$ is a constant, $`x=A[TT_c(H)]/(TH)^{1/2}`$, $`H_{c2}^{}=(dH_{c2}/dT)_{T_c}`$, and $`d`$ is the effective interlayer spacing. To compare the theory with our data, we used a modified form of Eq. (1):

$$\frac{M}{M^{}}=\frac{1}{2}\{1\tau h+\sqrt{(1\tau h)^2+4h}\},$$
(2)
where $`M^{}`$ is the field-independent magnetization which is observed at a certain temperature $`T^{}(<T_c)`$, $`\tau =(TT^{})/(T_cT^{})`$, and $`h=H/H_{c2}(T^{})`$. Figure 3 shows our attempt to fit the fluctuation-induced magnetization data by using Eq. (2) with the experimental values of $`M^{}=1.8`$ G and $`T^{}=114`$ K. The scaled magnetization curves for various values of the field are shown in the inset of Fig. 3. The solid lines represent the theoretical curves. This analysis gives $`T_c=117`$ K and $`(dH_{c2}/dT)_{T_c}=2.27`$ T/K, which are fairly consistent with the results from the Hao-Clem analysis. On the other hand, the fit using the 3D version of the scaling function proposed by Ullah and Dorsey was less satisfactory. As stated before, the interlayer coupling of Cu-1234 is enhanced compared with that of Hg-1234. However, the above scaling result indicates that in spite of the smaller interlayer distance, the coupling strength of Cu-1234 is still weaker than those of 3D superconductors such as YBa2Cu3Oy and YBa2Cu4Oy.

Finally, we measured the temperature dependence of the fluctuation-induced magnetic susceptibility at fields of 500 and 1000 Oe, as shown in Fig. 4. In the modified Lawrence-Doniach model, the fluctuation-induced diamagnetic susceptibility in a 2D system is given by

$$\chi _c^{2D}(T)=g_{\mathrm{eff}}\frac{\pi k_BT\xi _{ab}^2(0)}{3\varphi _0^2s}\left(\frac{T_c}{TT_c}\right),$$
(3)
where $`s`$ is the $`c`$-axis repeat distance and $`g_{\mathrm{eff}}`$ is the effective number of independently fluctuating CuO2 layers per unit cell.

The solid lines of Fig. 4 represent least-squares fits of Eq. (3) in the temperature range of $`T>T_c`$. From this analysis, we obtain $`g_{\mathrm{eff}}\pi T_ck_B\xi _{ab}^2/3\varphi _0^2s`$ = 4.7 $`\times 10^8`$ and $`T_c=116.4`$ K. If we employ $`s=17.9`$ Å and $`g_{\mathrm{eff}}=4`$, then the coherence length $`\xi _{ab}(0)`$ is estimated to be 7.3 Å. However, this value is significantly smaller than the value of $`\xi _{ab}(0)=12.8`$ Å obtained from the Hao-Clem model and the high-field scaling analyses. This discrepancy strongly implies that the value of $`g_{\mathrm{eff}}`$ is less than four. For comparison, we reexamined the temperature dependence of the fluctuation-induced magnetic susceptibility of Hg-1234, which is also shown in Fig. 4. The $`\xi _{ab}(0)`$ for Hg-1234 is estimated to be 9.6 Å based on the modified Lawrence-Doniach model. This value is also smaller than the value of $`\xi _{ab}(0)=12.7`$ Å presented in Table I.

A possible scenario to explain these experimental results is as follows: For Cu-1234 and Hg-1234, among the four conduction layers, two CuO2 layers are bridged to the charge reservoir block by apical oxygen. However, the other two layers have an infinite-layer structure without apical oxygen. This structural feature might cause the imbalance in the charge-carrier concentration between the two different kind of CuO2 planes, as suggested by the BVS calculation. If one of the two kinds of CuO2 layers is in a strongly overdoped (or underdoped) state, the superconductivity in the layers could be highly suppressed. In this context, one can assume $`g_{\mathrm{eff}}=2`$ rather than 4. Assuming $`g_{\mathrm{eff}}=2`$, we recalculated the $`\xi _{ab}(0)`$’s and obtained 10.3 Å and 12.1 Å for Cu-1234 and Hg-1234, respectively. Compared with the values obtained assuming $`g_{\mathrm{eff}}=4`$, these values are close to the values obtained from the Hao-Clem analysis

In a high-$`T_c`$ homologous series, the transition temperature increases until a certain value of $`n`$ and then slowly decreases for higher values of $`n`$. The Cu-based homologous series shows the same feature. As in the Hg-based series, the compound with $`n=3`$ has the maximum $`T_c`$. From the above analysis of the magnetic susceptibility, we can infer that such a decrease in $`T_c`$ with $`n`$ for high-$`T_c`$ compounds of $`n4`$ might be due to the CuO2 planes that do not play roles as superconducting layers.

In summary, the magnetization $`4\pi M(T)`$ of $`c`$-axis oriented Cu-1234 was measured in the field range of 0.05 T $`H`$ 5 T. In comparison with Hg-1234, the irreversible region in the $`H`$-$`T`$ phase diagram is more broader, which originates from enhanced interlayer coupling due to the relatively short $`c`$-axis parameter. However, from the high-field scaling analysis of the magnetization around $`T_c(H)`$, the dimensionality of Cu-1234 is found to be still two dimensional. Our experimental results for the magnetic susceptibilities of four-layer compounds (Cu-1234 and Hg-1234) suggest that two among the four CuO2 layers do not contribute to the superconductivity due to an inequivalent hole distribution between the two different CuO2 planes. This could explain the origin of the weak interlayer coupling in four-layer superconductors and provide the reason for the $`T_c`$ of compounds with $`n4`$ decreasing with $`n`$. In other words, if the optimum number of holes is doped into all the CuO2 planes equivalently, stronger interlayer coupling, and thereby a higher $`T_c`$, can be achieved.

We thank M. Sigrist, D. Pavuna, M. Salamon, F. Borsa, and Y. Mori for useful discussions. This work was supported by the Creative Research Initiatives of the Korean Ministry of Science and Technology.


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# Color Correlations in (S+S) Binary Galaxies I. The Holmberg Effect.

## 1. Introduction

Hints that galaxy interactions might play an important role in inducing multi-wavelength emission enhancement date back at least 40 years. One of the first quantitative indications came from Holmberg (1958), as a byproduct of his famous photometric survey of nearby galaxies. By comparing the photographic colors of paired galaxies, he found a significant correlation between the colors of pair components. This phenomenon has since been referred to as the “Holmberg effect”. Although the physical explanation of the Holmberg effect is complex, it reflects in part a tendency for similar types of galaxies to form together (morphological concordance), a possible reflection of the role of local environment in determining galaxy morphology, but it can presumably also reflect mutually induced star formation (Kennicutt 1998).

## 2. Preliminary Results: The Holmberg Effect

During 1999, a sample of 45 spiral–spiral (S+S) binary galaxies was observed at Observatorio Guillermo Haro, Cananea, Sonora, México, as a part of our observational project on binary galaxies selected from the Karachentsev Catalogue (1972). A basic surface photometry analysis of this sample is also presented in this volume (Hernández Toledo & Puerari). The estimated (B-V) colors for (S+S) pairs were corrected for both internal and galactic interstellar reddening and subsequently reduced to the RC3 system. Figure 1 shows the (B-V) color correlation. The vertical axis refers to the brighter (primary) component and the horizontal axis refers to the fainter (secondary) component. Additional information on colors for Karachentsev (S+S) pairs, mainly from the Lyon–Meudon Extragalactic Database (LEDA) and the catalogue of aperture photometry in UBVRI by Prugniel & Héraudeau (1998) were included. Demin et al. (1983), Márquez & Moles (1996), and Junqueira et al. (1998) also provided some color information.

We can see that the two colors are tightly correlated. A correlation coefficient $`r0.77\pm 0.03`$ is obtained for our (S+S) pairs and the additional color information displayed strongly supports this result. A more careful analysis of the (B-V), (B-R) and (B-I) colors involving stellar population synthesis models is in progress.

### Acknowledgments.

HHT and IP were fortunate enough to have participated in this meeting and want to thank the organizers.

## References

Demin, V.V., Zasov, A.V., Dibai, D.A., Tomov, N. 1983, Sov. Astron. 28, 367.

Holmberg, E., 1958, Medd. Lunds Astron. Obs. (2) 136, 103.

Junqueira, S., de Mello, D.F., Infante, L. 1998 A&AS 129, 69.

Karachentsev, I.D. 1972, Catalogue of Isolated Pairs of Galaxies in the Northern Hemisphere, Comm. Spec. Ap. Obs. 7, 1.

Kennicutt, R. 1998, in Galaxies: Interactions and Induced Star Formation. Saas-Fee Advanced Course 26. eds. R. Kennicutt, F. Schweizer & J. E. Barnes (Springer).

Márquez, I., Moles, M. 1996, A&AS 120, 1.

Prugniel, Ph., Héraudeau, Ph. 1998, A&AS 128, 299.


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# Clifford algebras and universal sets of quantum gates

## I Introduction

In this paper is discussed an algebraic approach to the construction of computationally universal sets of quantum gates. A quantum gate $`U`$ for a system of $`n`$ qubits is a unitary $`2^n\times 2^n`$ matrix. It is possible to write $`U=e^{iH}`$, where $`H`$ is the Hermitian $`2^n\times 2^n`$ matrix.

A set of quantum gates $`U_k`$ is (computationally) universal if any unitary matrix can be obtained with given precision as a product of matrices $`U_k`$. Algebraic conditions of universality can be described using the Lie algebra $`𝔲`$ of the Lie group of unitary matrices : if there is a set of Hermitian matrices $`H_k`$ and if it is possible to generate a basis of space of all Hermitian $`2^n\times 2^n`$ matrices using only the commutators $`i[H,G]i(HGGH)`$, then $`U_k=\mathrm{exp}(i\tau H_k)`$ are a universal set of quantum gates if $`\tau `$ is small enough.

In this paper is presented an alternative approach to the construction of a universal set of gates using both Lie and Clifford algebras. It is possible because the algebra $`(2^n\times 2^n)`$ of all $`2^n\times 2^n`$ complex matrices is the complex Clifford algebra with $`2n`$ generators, i.e., there are $`2n`$ matrices $`\mathrm{\Gamma }_k`$ with the property $`\{\mathrm{\Gamma }_k,\mathrm{\Gamma }_l\}\mathrm{\Gamma }_k\mathrm{\Gamma }_l+\mathrm{\Gamma }_l\mathrm{\Gamma }_k=2\delta _{kl}𝟙`$ (where $`𝟙`$ is unit matrix) and $`2^{2n}`$ different products of $`\mathrm{\Gamma }_k`$ generate a basis of $`(2^n\times 2^n)`$ .

The $`2n`$ matrices $`\mathrm{\Gamma }_k`$ are not enough for proof of universality, because we may not use arbitrary products of $`\mathrm{\Gamma }_k`$, but only commutators. In this paper it is shown that by using commutators of $`\mathrm{\Gamma }_k`$, it is possible to generate only the $`(2n^2+n)`$-dimensional subspace, but it is enough to add only one element $`\mathrm{\Gamma }_u`$ and the new set is universal, i.e., it generates a full $`4^n`$-dimensional space $`𝔲(2^n)`$.

All $`2n`$ matrices $`\mathrm{\Gamma }_k`$ may be chosen to be Hermitian and the full complex algebra was used for simplification. The extra Hermitian matrix is $`\mathrm{\Gamma }_u=i\mathrm{\Gamma }_{123}i\mathrm{\Gamma }_1\mathrm{\Gamma }_2\mathrm{\Gamma }_3`$ or $`\mathrm{\Gamma }_{1234}`$, or any such product of three or four different $`\mathrm{\Gamma }_k`$.

A constructive proof of universality using the language of the Clifford algebras is based on a simple commutation law of $`4^n`$ basic elements: they either commute or anticommute, because any such element is a product of up to $`2n`$ $`\mathrm{\Gamma }_k`$. Direct construction of any $`2^n\times 2^n`$ matrix $`\mathrm{\Gamma }_I_{kI}\mathrm{\Gamma }_k`$ of the Clifford basis by commutators of $`2n+1`$ initial elements is shown below in Sec. II D, theorem 1.

The question about universality is widely investigated , but the method discussed in the present work has some special properties. Construction of a universal set of gates uses only infinitesimal and continuous symmetries of group U$`(2^n)`$ and does not require such discrete operations as permutations of qubits or basic vectors related to the “classical limit of quantum circuits.” The properties of discrete, binary transformations of qubits simply emerge here from the structure of infinitesimal transformations of Hilbert space, i.e., directly from Hamiltonians, cf. .

## II Clifford algebras

### A General definitions

For $`n`$-dimensional vector space with a quadratic form (metric) $`g(\stackrel{}{x})`$, the Clifford algebra $`𝔄`$ is a formal way to represent a square root of $`g(\stackrel{}{x})`$  or, more formally, $`g(\stackrel{}{x})𝟙`$ where $`𝟙`$ is the unit of algebra $`𝔄`$. The vector space corresponds to the $`n`$-dimensional subspace $`𝒱`$ of $`𝔄`$: $`\stackrel{}{x}𝐱_{l=0}^{n1}x_l𝔢_l`$, where $`𝐱`$, $`𝔢_l𝒱𝔄`$. From $`𝐱^2=g(\stackrel{}{x})`$, i.e., $`\left(_{l=0}^{n1}x_l𝔢_l\right)^2=_{i,j=0}^{n1}g_{ij}x_ix_j`$ follow the main properties of the generators $`𝔢_l`$ of the Clifford algebra:

$$\{𝔢_i,𝔢_j\}𝔢_i𝔢_j+𝔢_j𝔢_i=2g_{ij}.$$
(1)
Let $`g_{ij}`$ be diagonal and $`g_{ii}=\pm 1`$ (the case $`g_{ii}=0`$ is not considered here, but see ). Then,

$`𝔢_i𝔢_j`$ $`=`$ $`𝔢_j𝔢_i(ij),`$ (3)
$`𝔢_i^2`$ $`=`$ $`\pm 1.`$ (4)
It is clearer from Eq. (II A) that it is possible to generate no more than $`2^n`$ different products of up to $`n`$ $`𝔢_i`$. A linear span of all the products is a full algebra $`𝔄`$ . Let us use the notations $`𝔢_I=𝔢_{i_1i_2\mathrm{}i_k}𝔢_{i_1}𝔢_{i_2}\mathrm{}𝔢_{i_k}`$, where $`k`$ is the number of multipliers or the order of $`𝔢_I`$, $`k=𝒩(I)`$.

If there are no algebraic relations other than Eq. (II A), then the algebra has a maximal dimension $`2^n`$ and is called the universal Clifford algebra, $`l(g)`$, because for any other Clifford algebra $`𝔄`$ with the same metric $`g(\stackrel{}{x})`$ there is a homomorphism $`l(g)𝔄`$ (see Ref. ).

Let us use the notation $`l(l,m)`$ for the diagonal metric Eq. (II A) with $`l`$ pluses and $`m`$ minuses in Eq. (4), i.e., for pseudo-Euclidean (Minkowski) space $`^{l,m}`$. There is a special notation for Euclidean space: $`l(n)l(n,0)`$ and $`l_+(n)l(0,n)`$.

Complexification of any Clifford algebra $`l(l,m)`$ with $`l+m=n`$ is the same complex algebra $`l(n,)`$, because all signs in Eq. (4) may be “adjusted” by the substitution $`𝔢_ki𝔢_k`$.

Let us denote $`𝔢_I^\sigma \sqrt{𝔢_I^2}𝔢_I`$, i.e., if $`𝔢_I^2=1`$, then $`𝔢_I^\sigma =𝔢_I`$, but if $`𝔢_I^2=1`$, then $`𝔢_I^\sigma =i𝔢_I`$ and so always $`(𝔢_I^\sigma )^2=1`$.

### B Matrix representations

All complex Clifford algebras in even dimension $`l(2n,)`$ are isomorphic with a full algebra of $`2^n\times 2^n`$ complex matrices . The simplest case $`l(2,)`$ is the Pauli algebra. Matrices $`\sigma _x`$ and $`\sigma _y`$ can be chosen as generators $`𝔢_0`$, $`𝔢_1`$ and $`\sigma _z`$ is $`i𝔢_0𝔢_1=𝔢_{01}^\sigma `$.

The Pauli algebra is four-dimensional complex algebra and can also be considered as eight-dimensional real algebra, $`l_+(3)`$. Prevalent applications of Clifford algebras in the theory of NMR quantum computation  are based on a real representation $`l_+(3)`$ rather than on a complex one $`l(2,)`$, discussed in the present work. These two approaches are very close, but may be different in some of the details.

There is simple recursive construction of the complex Clifford algebra with an even number of generators $`l(2n,)`$ with $`l(2,)`$. For $`n=1`$, it is the Pauli algebra, and if there is some algebra $`l(2n,)`$ for $`n1`$, then

$$l(2n+2,)l(2n,)l(2,).$$
(5)
The proof of Eq. (5) is as follows: if $`𝔢_0,\mathrm{},𝔢_{2n1}`$ are $`2n`$ generators of $`l(2n,)`$ then $`𝟙_{\mathrm{𝟚}𝕟}𝔢_\mathrm{𝟘}`$ and $`𝟙_{\mathrm{𝟚}𝕟}𝔢_\mathrm{𝟙}`$ together with $`2n`$ elements $`𝔢_k𝔢_{01}^\sigma `$ are $`2n+2`$ generators of $`l(2n+2,)`$.

Direct construction of $`l(2n,)`$ is

$`\mathrm{\Gamma }_{2k}`$ $`=`$ $`\underset{nk1}{\underset{}{𝟙\mathrm{}𝟙}}\sigma _x\underset{k}{\underset{}{\sigma _z\mathrm{}\sigma _z}},`$ (7)
$`\mathrm{\Gamma }_{2k+1}`$ $`=`$ $`\underset{nk1}{\underset{}{𝟙\mathrm{}𝟙}}\sigma _y\underset{k}{\underset{}{\sigma _z\mathrm{}\sigma _z}},`$ (8)
with $`𝔢_l\mathrm{\Gamma }_l`$, $`𝔢_l^2=𝟙`$, $`l0,\mathrm{},2n1`$. More generally, algebraic properties of elements $`𝔢_l`$ used in the paper are the same for different matrix representations $`𝔢_lM\mathrm{\Gamma }_lM^1`$, where $`M\mathrm{SU}(2^n)`$.

### C Spin groups

Most known physical applications of Clifford algebras are due to spin groups. The group has 2:1 homomorphism with an orthogonal (or pseudo-orthogonal) group and is related to the Dirac equation  and the transformation properties of wave functions in quantum mechanics.

Each element $`𝐱𝒱`$ (see the definition of $`𝒱`$ above in Sec. II A) has an inverse $`𝐱^1=𝐱/g(\stackrel{}{x})`$ if $`g(\stackrel{}{x})0`$. All possible products of even number of such elements with $`|g|=1`$ is the spin group. It is $`\mathrm{Spin}(n)`$ for $`l(n)`$ and for $`l_+(n)`$. The group has 2:1 homomorphism with SO$`(n)`$. For $`s\mathrm{Spin}(n)`$ an element of SO$`(n)`$ is represented as $`r_s:𝐱s𝐱s^1`$ .

Because only products of an even number of elements of $`l(n)`$ are used in the definition of $`\mathrm{Spin}(n)`$, the group is a subset of even subalgebra $`l^e(n)l(n)`$. In the Euclidean case, $`l^e(n)`$ is isomorphic with $`l(n1)`$ and due to the property $`\mathrm{Spin}(n+1)`$ may be defined as a subset of $`l(n)`$.

Construction of the $`\mathrm{Spin}(n+1)`$ group from $`l(n)`$ is sometimes called the spoin group , $`\mathrm{Spoin}(n)\mathrm{Spin}(n+1)`$.

Let us consider $`(n+1)`$-dimensional space $`\lambda 𝟙𝒱`$, i.e., combinations $`𝐲=\lambda +𝐱`$, $`𝐱𝒱`$. Let $`\mathrm{\Delta }(𝐲)\lambda ^2+g(\stackrel{}{x})`$. The elements have an inverse $`(\lambda +𝐱)^1=(\lambda 𝐱)/\mathrm{\Delta }(𝐲)`$ if $`\mathrm{\Delta }(𝐲)0`$. Products of any number of such elements with $`|\mathrm{\Delta }|=1`$ is the $`\mathrm{Spoin}(n)`$ group .

The group $`\mathrm{Spoin}(n)`$ is 2:1 homomorphic with SO$`(n+1)`$. For $`s\mathrm{Spoin}(n)`$, an element of SO$`(n+1)`$ is represented as $`r_s:𝐲s𝐲(s^{})^1`$, where $`𝐲=y_n+_{l=0}^{n1}y_l𝔢_l`$ and () is the algebra automorphism defined with basis elements as $`𝔢_I^{}=(1)^{𝒩(I)}𝔢_I`$ .

### D Lie algebras and Clifford algebras

Clifford algebra is Lie algebra with respect to a bracket operation $`[a,b]abba`$ . Here we prove a result that is necessary for the construction of a universal set of gates.

Theorem 1. Let $`l(n,)`$ be the Clifford algebra and $`n`$ be even. There are enough $`n`$ generators $`𝔢_k`$, $`k=0,\mathrm{},n1`$ and any element $`𝔢_I`$ with $`𝒩(I)=3`$ or $`𝒩(I)=4`$ to generate elements of any order only using commutators of these $`n+1`$ elements.

A proof of this result has several steps.

(i) If there are $`n`$ elements $`𝔢_0,\mathrm{},𝔢_{n1}`$, it is possible by using commutators to generate also all elements of second order, i.e., $`[𝔢_i,𝔢_j]=2𝔢_i𝔢_j2𝔢_{ij}`$.

(ii) If there are all elements of second order and an element of third order, for example $`𝔢_{012}`$, it is possible to generate any element of third order, i.e., $`2𝔢_{01m}=[𝔢_{012},𝔢_{2m}]`$, $`2𝔢_{0nm}=[𝔢_{01m},𝔢_{1n}]`$, $`2𝔢_{pnm}=[𝔢_{0nm},𝔢_{0p}]`$.

(iii) Analogously, if there is any element of order $`2k+1`$, it is possible to generate any element of the same order using no more than $`2k+1`$ commutators with elements $`𝔢_{ij}`$.

(iv) If we have all elements of third order, it is possible to generate any element of fourth order, $`2𝔢_{ijkl}=[𝔢_{ijk},𝔢_l]`$.

(v) Analogously, if we have all elements with the order $`𝒩(I)=2k+1`$, it is possible to generate any element of order $`2k+2`$, $`2𝔢_{Il}=[𝔢_I,𝔢_l]`$, where $`lI`$.

(vi) If we have an element of fourth order, it is possible to generate some element of third order, $`2𝔢_{ijk}=[𝔢_{ijkl},𝔢_l]`$ (and so any element of third and fourth order).

(vii) Analogously, if we have an element of order $`2k+2`$, it is possible to generate some element of order $`2k+1`$ \[and so any element with the order $`2k+1`$ or $`2k+2`$ as in the steps (iii) and (v)\].

(viii) We have all elements with order less than or equal to $`2k`$, $`k2`$ due to steps (i), (ii), and (iv) and we can prove the theorem by recursion: by using a commutator of an element with order $`2k1`$ and an element with order 3 it is possible to generate an element of order $`2k+2`$ and so any elements of order $`2k+1`$ or $`2k+2`$, as in the step (vii).

Note 1. Instead of elements $`𝔢_0,\mathrm{},𝔢_{n1}`$, it is possible to use $`𝔢_0`$ together with $`n1`$ elements $`𝔢_{l1,l}`$: $`[𝔢_0,𝔢_{01}]=2𝔢_1,\mathrm{},[𝔢_{l1},𝔢_{l1,l}]=2𝔢_l`$.

Note 2. If $`n`$ is odd, it is impossible to generate only an element with the order $`n`$, because due to step (vii) of recursion it would be generated only from an even element with the order $`n+1`$, but there are no such elements. So in this case we need $`n+2`$ elements, the extra one being $`𝔢_{0,\mathrm{},n1}`$.

Note 3. If we use only $`n`$ generators $`𝔢_i`$, then together with $`n(n1)/2`$ commutators $`[𝔢_k,𝔢_j]=2𝔢_{kj}`$, $`kj`$, it is possible to generate $`n+n(n1)/2=n(n+1)/2`$ elements, because, as may be checked directly, any new commutators may not generate an element with order more than 2. It is the Lie algebra of the $`\mathrm{Spoin}(n)`$ group, because products of $`\mathrm{exp}(ϵ𝔢_k)𝟙+ϵ𝔢_𝕜`$ belong to that group and the dimension of the group is the same, $`dim\mathrm{Spoin}(n)=dim\mathrm{SO}(n+1)=n(n+1)/2`$. Despite the fact that only elements $`𝔢_I`$, $`𝒩(I)2`$ belong to the Lie algebra, all $`4^n`$ elements $`𝔢_I`$, $`𝒩(I)n`$ of $`l(n)`$ belong to the Lie group $`\mathrm{Spoin}(n)`$ by definition and so a linear span of these elements is the full Clifford algebra.

Note 4. The theorem was proved rather for the more general case of the Lie algebra of the complex Lie group GL$`(N,)`$, $`N=2^{n/2}`$ of all matrices $`M`$, $`det(M)0`$, than for the unitary group $`\mathrm{U}(N)\mathrm{GL}(N,)`$. The proof for the Lie algebra $`𝔲(N)`$ of the unitary group U$`(N)`$ is directly implied. It is sufficient to choose the initial matrices in $`𝔲(N)`$ for a given representation, after which the Lie brackets may produce only matrices in $`𝔲(N)`$ for each step of the proof.

It should be mentioned that there are two traditions for representations of $`𝔲(N)`$. In physical applications, Hermitian matrices $`H`$ are used, the Lie brackets are $`i[a,b]`$, and the unitary matrices are represented as $`U=\mathrm{exp}(i\tau H)`$ due to relations with Hamiltonians and a quantum version of Poisson brackets . In Eq. (II B), elements $`𝔢_l=\mathrm{\Gamma }_l`$, $`i𝔢_{012}`$, and $`𝔢_{0123}`$ (and $`i𝔢_{kl}`$, see Note 1), i.e., all $`𝔢_I^\sigma `$, are Hermitian. In more general mathematical applications, $`𝔲(N)`$ are skew-Hermitian matrices $`A^{}=A`$ and “$`i`$” multipliers are not present in the expressions for the commutators and the exponents , because $`AiH`$.

## III Application to quantum gates

### A Universal set of quantum gates

Now let us discuss the construction of universal gates more directly. Instead of Lie algebra $`𝔲(2^n)`$, we should work with Lie group U$`(2^n)`$. Then an element $`𝔢_I^\sigma `$ corresponds to a unitary gate $`U_I^\tau \mathrm{exp}(i\tau 𝔢_I^\sigma )`$. One of the advantages of elements $`𝔢_I^\sigma `$ is the analytical expression for the exponent:

$$U_I^\tau =e^{i\tau 𝔢_I^\sigma }=\mathrm{cos}(\tau )+i\mathrm{sin}(\tau )𝔢_I^\sigma .$$
(9)
Equation (9) is valid for any operator with the property $`𝔢^2=𝟙`$ and it is true for all $`4^n`$ basis elements $`𝔢_I^\sigma `$.

It is also possible due to Eq. (9) to combine the approach with infinitesimal parameters $`\tau `$  and an approach with irrational parameters . The smaller $`\tau `$ is, the higher is the precision in generation of arbitrary unitary gates in . Due to Eq. (9), accuracy may be arbitrarily high if we use gates $`U_I=e^{i\varpi 𝔢_I^\sigma }`$ with irrational $`\varpi /\pi `$ because for any $`\tau `$ there exists the natural number $`N`$ and $`\epsilon <\tau `$: $`U_I^\epsilon =(U_I)^N`$. It should be mentioned that the unitary gates do not necessarily have irrational coefficients even if $`\varpi /\pi `$ is irrational, for example $`U_I=0.8+0.6𝔢_I^\sigma `$.

Yet another advantage of the elements $`𝔢_I^\sigma `$ is a simpler expression for “commutator gate”. In the usual case , it is generated as

$$e^{i\tau i[H_k,H_l]}e^{i\sqrt{\tau }H_k}e^{i\sqrt{\tau }H_l}e^{i\sqrt{\tau }H_k}e^{i\sqrt{\tau }H_l},$$

and the expression has precision $`O(\tau ^{1.5})`$. For elements $`𝔢_I^\sigma `$, there is an exact construction. If $`H_I=𝔢_I^\sigma `$ and $`H_J=𝔢_J^\sigma `$, then either $`[H_I,H_J]=0`$ or $`[H_I,H_J]=2H_IH_J`$. The first case is trivial and for the second case due to Eq. (9),

$$e^{i\tau i[H_I,H_J]/2}=e^{\tau H_IH_J}=e^{i\frac{\pi }{/}2H_I}e^{i\tau H_J}e^{i\frac{\pi }{/}2H_I}.$$

After construction of the basis of Hermitian matrices $`H_I=𝔢_I^\sigma `$, it is possible to use an expression

$`e^{_I\alpha _IH_I}`$ $`=`$ $`\left(e^{\frac{1}{N}_I\alpha _IH_I}\right)^N`$
$``$ $`\left({\displaystyle e^{\frac{1}{N}\alpha _IH_I}}\right)^N\left({\displaystyle U_I^{\frac{\alpha _I}{N}}}\right)^N.`$
The expression has accuracy $`O\left(\alpha _I^2/N\right)`$.

The approach to a universal set of gates $`U`$ is more convenient and constructive if we know the Hermitian matrix $`H`$, $`U^\tau =e^{i\tau H}`$. It is not a principal limitation, because for physical realizations we should know the Hamiltonian to construct the gates. It is also related to the universal quantum simulation  in which $`H`$ is the Hamiltonian and $`\tau `$ is a real continuous parameter, the time of “application.”

The description with an exponent may be even more complete, because by using $`H`$ it is possible to find a unique $`U=\mathrm{exp}(iH)`$, but using $`U`$ it is not always possible to restore $`H`$ because there are many $`H`$’s for the same $`U`$. A simple example is $`U=i\sigma _\alpha \sigma _\beta `$ with two arbitrary Pauli matrices: $`U=e^{i\pi (\sigma _\alpha 1+1\sigma _\beta )}=e^{i\pi \sigma _\alpha \sigma _\beta }.`$

### B Two-qubit quantum gates

Let us show how to build a universal set of one- and two-qubit gates using Eq. (II B). For example, it may be $`2n+1`$ gates $`\mathrm{exp}(i\tau 𝔢_I)`$, where $`𝔢_I`$ are $`𝔢_0`$, $`i𝔢_{l1,l}`$ with $`l=1,\mathrm{},2n1`$, and $`i𝔢_{012}`$:

$`𝔢_0`$ $`=`$ $`𝟙^{(𝕟\mathrm{𝟙})}\sigma _𝕩,`$ (11)
$`{\displaystyle \frac{1}{/}}i𝔢_{2k,2k+1}`$ $`=`$ $`𝟙^{(𝕟𝕜\mathrm{𝟙})}\sigma _𝕫𝟙^𝕜,`$ (12)
$`{\displaystyle \frac{1}{/}}i𝔢_{2k+1,2k+2}`$ $`=`$ $`𝟙^{(𝕟𝕜\mathrm{𝟚})}\sigma _𝕩\sigma _𝕩𝟙^𝕜,`$ (13)
$`{\displaystyle \frac{1}{/}}i𝔢_{012}`$ $`=`$ $`𝟙^{(𝕟\mathrm{𝟚})}\sigma _𝕩𝟙`$ (14)
with $`k=0,\mathrm{},n1`$ or $`n2`$. The elements were discussed in Note 1, and it was shown that they generate the full Lie algebra $`𝔲(2^n)`$.

### C Nonuniversal set of quantum gates

In , an interesting question was raised, asking which sets of gates are not universal (and why).

Products of gates $`U_k^\tau =e^{i\tau 𝔢_k}=\mathrm{cos}(\tau )+i𝔢_k\mathrm{sin}(\tau )`$ generate a group $`\mathrm{Spin}(2n+1)\mathrm{Spoin}(2n)U(2^n)`$ due to Note 3. It is an interesting example of nonuniversality when only one extra gate like $`e^{i\tau 𝔢_{012}^\sigma }`$ may produce a universal set with “an exponential improvement” from a subgroup $`dim\mathrm{Spoin}(2n)=n(2n+1)`$ to a full group $`dimU(2^n)=2^{2n}`$.

This result is more important if the extra gate $`e^{i\tau 𝔢_I^\sigma }`$ with $`𝒩(I)=3`$ or $`𝒩(I)=4`$ has a different physical nature from the gates with $`𝒩(I)=1`$ and $`𝒩(I)=2`$. It is not clear from Eq. (III B) with the extra gate generated by Eq. (14) is the simple one-qubit gate. But this is not so for physical systems with natural Clifford and spin structure.

A possible reason is the Schrödinger equation for $`n`$ particles without interaction : $`i\mathrm{}(\psi /t)=\frac{1}{/}2\mathrm{}^2_{a=1}^n(\mathrm{\Delta }_a/m_a)\psi ,`$ or using $`m_a=m`$ and the Laplacian $`\mathrm{\Delta }_N`$ with $`N=\nu n`$ variables, it is possible to write for stationary solutions with total energy $`E`$,

$$(\mathrm{\Delta }_N+\lambda ^2)\psi (x_0,\mathrm{},x_{N1})=0,$$
(15)
where $`\lambda \sqrt{2mE}/\mathrm{}`$. Let the dimension of one particle motion be $`\nu =2`$ for simplicity, $`N=2n`$.

Let us consider a full basis $`\varphi _𝐩(𝐱)e^{i(𝐩,𝐱)}`$ on Hilbert space $``$ of wave functions $`\psi `$. Here $`𝐩,𝐱^N`$ and $`(𝐩,𝐱)`$ is the scalar product. The plane waves $`\varphi _𝐩`$ correspond to $`n`$ particles with definite momenta. If $`O\mathrm{SO}(N)`$, then a transformation defined on the basis as $`\mathrm{\Sigma }_O:\varphi _𝐩\varphi _{O𝐩}`$ is a symmetry of Eq. (15). It is an analog of the classical transition between two configurations with the same total kinetic energy in “billiard balls” conservative logic .

The general Dirac operator  is the first-order differential operator $`𝔇_N=_{i=0}^{N1}i𝔢_k(/x_k)`$ with a property $`𝔇_N^2=\mathrm{\Delta }_N`$. If to use the Dirac operator for factorization of Eq. (15),

$$(𝔇_N\lambda )(𝔇_N+\lambda )𝚿(x_0,\mathrm{},x_{N1})=0,$$
(16)
then each component of $`𝚿`$ is a solution of Eq. (15) and the action of the $`\mathrm{Spin}(N)`$ group on $`𝚿`$ corresponds  to SO$`(N)`$ symmetry $`\mathrm{\Sigma }_O`$ described above and it has some analog in the classical physics of billiard balls. A $`\mathrm{Spoin}(N)`$ group is represented less directly, but it can be considered as a symmetry between two stationary solutions with different total energies.

The example above shows that it is possible to find some classical correspondence for elements $`𝔢_I`$, $`𝒩(I)=2`$ of the spin group and maybe for generators $`𝒩(I)=1`$ of the spoin group, but the special element with $`𝒩(I)=3`$ does not have some allusion with classical physics.


text:
# SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.

## 1 INTRODUCTION

The Anglo-Australian Telescope (AAT) has pioneered many astronomical instruments over the past 25 years, such as the 2dF galaxy survey instrument (Taylor et al. (1997)) and including one of the earliest reported fiber feeds in the literature (Gray et al. (1982)). These instruments all use optical fibers to reformat the two dimensional distribution of light from the focal plane of the telescope into a one dimensional fiber slit suitable for a spectrograph, allowing multiple object (in the case of 2dF) and spatially resolved spectroscopy of extended objects.

Although there are many other methods used to perform integral field spectroscopy (IFS) the extremely versatile properties of optical fibers naturally lend themselves to optical reformatting (see Kenworthy (1998) for a review of IFS methods).

SPIRAL (Segmented Pupil/Image Reformatting Array of Lenslets) Phase A is an IFS design with 37 spatially resolved elements (see Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.) that has been built to prototype the new methods needed in building large integral field units (IFUs). Here we present a description and the first light results of SPIRAL Phase A.

The design of SPIRAL considers the optical fibers as part of the spectrograph instead of an auxillary unit to a slit-based spectrograph.

In section 2 we analyse a simple fiber-fed spectrograph. The optical design can be simplified by optimising for dedicated fiber use. Section 3 then presents the design of the lens array, comparing the macrolens design with other methods of close packing fibers in the focal plane of the telescope. By using fore-optics to match the plate scale of the telescope with the lenslet array, the spectrograph can then be used with other telescopes by changing a single lens.

The layout of SPIRAL Phase A is given in Section 4 along with the optical design for the fiber-fed spectrograph. Section 5 briefly covers the performance and accuracy of the fiber positioning technique that is used in the construction of the lens array and focal plane unit for SPIRAL Phase A. The performance of the spectrograph is given in Section 6 and preliminary scientific results are then presented in Section 7.

## 2 AN IDEALISED FIBER-FED SPECTROGRAPH

The internal transmission of an optical fiber is predominantly dependent on the wavelength of incident light and the focal ratio put onto the fiber. The material in the core of the fiber contributes absorption bands to the transmission properties beyond 700nm, predominantly from hydroxyl ions (see Schotz et al (1998)). With recent low water content fibers, visible broad band transmission for lengths approaching many tens of meters and efficiencies of over 90% are available (Barden (1998)).

Another dominant effect is focal ratio degradation (FRD), which has been characterised and analysed in great detail (see Barden (1988), Clayton (1989)). Focal ratio degradation causes light entering a fiber at a given focal ratio to emerge into a larger cone-opening angle. FRD always acts to increase the etendue (A-$`\omega `$ product) of light due to microbends and defects from an ideal cylindrical waveguide. The ideal focal ratio for most fibers is in the f/3 to f/6 range (Ramsey (1988)).

By taking FRD into account, efficiencies nearing those for an uncoated fiber (92%) have been measured by constructing the receiving optics to accept a faster beam than is inputted into the fiber (Owen et al. (1998) and Rasilla et al. (1993)). Properties of optical fibers are detailed in several reviews (e.g. Barden (1988); Barden (1998)).

To describe the IFS fiber setup, a single fiber fed with light from the telescope is shown in Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.. This can be broken down into two sections - a focal plane unit (FPU) that feeds light from the focal plane of the telescope into the fiber, and a spectrograph that disperses light from the fiber and images the spectrum onto the CCD camera. The angle of sky subtended by an individual fiber, $`\alpha _{fiber}`$, is determined by the focal ratio of the light entering the fiber, $`f_{fiber}`$, the diameter of the fiber, $`D_{fiber}`$, and the diameter of the telescope, $`D_{tel}`$. $`\alpha _{fiber}`$ can therefore be written as

$$\alpha _{fiber}=\frac{D_{fiber}}{D_{tel}.f_{fiber}},$$
(1)
where $`D_{fiber}`$ and $`D_{tel}`$ are in the same units and $`\alpha _{fiber}`$ is in radians.

From conservation of etendue in optical systems (sometimes known as the A.$`\mathrm{\Omega }`$ product) this result can be extended throughout successive optics to give the angular extent of the fiber on the sky, regardless of the number of optics in front of it. From Equation 1 $`\alpha _{fiber}`$ is independent of the size of the optic used to feed it \- it is only dependent on the focal ratio of the input beam.

The Anglo-Australian Telscope has a diameter of 3.9 metres, so for a fiber matched to 0.5 arcseconds on the sky and a core diameter of $`50\mathrm{\mu m}`$, this requires an input focal ratio of $`f/5.0`$, which is a good compromise between spectrograph cost (faster optics are more expensive) and fiber efficiency (FRD is more detrimental to throughput at slower focal ratios).

Optics in the FPU re-image the star or telescope pupil onto the end of the fiber with a focal ratio of $`f_{fiber}`$. The input focal ratio of the spectrograph (which is identical to the focal ratio of the collimator, $`f_{coll}`$) should equal the focal ratio of the light entering the fiber, i.e. $`f_{coll}=f_{fiber}`$, representing an ideal fiber with no FRD. This is the case for slit-based spectrographs, where the slit replaces an ideal fiber. For fiber-fed spectrographs the collimator is made slightly faster to accomodate the intrinsic FRD of the fiber ($`f_{coll}<f_{fiber}`$).

From the collimator of the spectrograph, the light then passes through the dispersing element and camera with focal ratio $`f_{camera}`$ to form a fiber spectrum. The diameter of the image of the fiber on the detector is:

$$d_{image}=\frac{D_{fiber}.f_{camera}}{f_{coll}},$$
(2)
where $`D_{fiber}`$ is the diameter of the core of the fiber in microns, and $`d_{image}`$ is the diameter of the fiber image in microns.

The simplest FPU is one with no re-imaging optics and $`f_{fiber}`$ is equal to the focal ratio of the telescope, $`f_{tel}`$. This design is used in many multi-object spectrographs where fibers have to be packed closely together on the focal plane of the telescope in order to sample crowded science fields, such as 2dF (Taylor et al. (1997)), Autofib-2 (Bridges (1998)) and FLAIR (Parker et al. (1998)). This is not an ideal coupling of the telescope to the optimal fiber focal ratio, and for other applications fore-optics in the form of one or two lenses are introduced between the focal plane of the telescope and the fiber ends to change the focal ratio input put into the fibers.

Many of the first fiber-feeds were built as an add-on to existing slit-based spectrographs, resulting efficiencies much lower than expected. By designing the spectrograph around the properties of the optical fibers, a more efficient spectrograph could be built that exploits their versatile image reformatting capabilities.

## 3 LENSLET ARRAYS

Covering the focal plane of the telescope with a close packed array of lenslets allows bi-dimensional spectroscopy of an extended region of the sky. These lenslets tesselate to form a continuous pattern, with the fibers reformatting the light from the lenslets into a fiber slit to be fed into the spectrograph.

In order to optimally sample the spatial structure of an astronomical object, the plate scale of the lenses is such that the angular diameter of the fiber is half the FWHM diameter of the telescope point spread function. Given that the seeing disk diameter on most telescopes is typically 0.5 arcseconds and the plate scale of most large telescopes is on the order of hundreds of microns per arcsecond, the expected lenslet diameter is typically $`350\mathrm{\mu m}`$. This situation worsens in large adaptive optic telescope systems where the lenslet size tends to smaller image scales. In the cases where a direct match to the plate scale of the telescope is needed, a microlens array is used (see Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.).

Microlens arrays have a lenslet pitch of typically $`150500\mathrm{\mu m}`$ and differ from macrolens arrays (see below) in that their lenslet surfaces are manufactured in bulk on an optical substrate. One method involves the use of a metal template repeatedly stamped into a suitable substrate, whilst another method uses the controlled curing of epoxy resin on a suitable optical flat to form the lenslet surface. These give rise to square or hexagonal close packed arrays that have a highly regular spacing between lenslets, but the manufacturing process makes them prone to large levels ($`10\%`$) of scattered light (Lee et al. (1998)).

Alignment of the fibers with the microlens array is done by use of a regular array of steel ferrules that match the lenslet pitch. Fibers are fixed into the steel ferrule array and after optical polishing the fibers in the ferrule array are registered with the lenslet array. This method has been adopted by many groups, especially where IFS is being considered as an add-on to an existing spectrograph and the microlens array needs to match the existing plate scale of the telescope, such as the SMIRFS-IFS for the CGS4 spectrograph (Haynes et al. (1999)).

From Equation 1 the angular extent of the fiber on the sky is dependent on its input focal ratio but independent of the size of lenslets used in the FPU. Thus the lenslet array pitch is not constrained and a macrolens array with a focal reducer can be used in place of a microlens array. This technique was first suggested in the early 1980’s (Courtes (1982)), pioneered in Russia on the SAO 6-meter telescope (Afanasiev et al. (1990)) and is the one we use in SPIRAL Phase A.

Macrolens arrays are lenslet arrays manufactured from individual glass singlet or doublet lenses, with typical array pitches of 1mm - 5mm. These lenslets are cemented onto an achromatic flat whose optical thickness is equal to the focal length of the lenslets. Each fiber is then individually aligned with its respective lenslet, as opposed to microlens arrays where optical alignment is dependent on the pitch accuracy of the steel ferrule array holding the fibers. Macrolens arrays have the potential for lower scattered light losses and by using achromatic doublets greater wavelength coverage in the visible and near infra-red can be gained. The relative merits of macro- and microlens arrays are discussed further in other papers (Parry et al. (1997)).

## 4 OPTICAL LAYOUT OF SPIRAL PHASE A

Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT. shows the layout of the spectrograph on the telescope. A tilted aluminium mirror sits in the focal plane of the telescope. A hole in the middle of the mirror allows light from the object to pass through to the fore optics whilst the surrounding field of view is imaged off the telescope axis by the target acquisition camera. Light passes through to to the fore optics and into the lens array. All of these optical components are fixed onto an optical table in the Cassegrain cage. Optical fibers connected to the back of the lens array pass through the first strain relief box and out of the cage, down to the spectrograph sitting on the floor of the observatory. A second strain relief box on the outside of the spectrograph leads to a fiber slit where the fibers are reconfigured into a suitable straight slit. The light is dispersed in the spectrograph and the fiber spectra imaged on a CCD mounted inside a liquid nitrogen cooled vacuum dewar.

### 4.1 Fore-optics and Lenslet Array

37 singlet lenses (PSK53A glass) spatially sample the sky in a close packed hexagonal pattern. Each lenslet is 4 mm across opposite corners and the array measures 20 mm in diameter. Optimum sampling occurs when two spatial elements match the typical seeing of the telescope (Nyquist sampling) and with a median seeing of one arcsecond. On the AAT this corresponds to a scale of 0.5 arcseconds per lenslet, giving a hexagonal array of 3.5 arcseconds across the corners.

Light from the telescope focus passes into a magnifying lens FOL1 which produces an image of the telescope pupil (the primary mirror). The field lens in front of the array images all the fiber faces in the IFU onto this common pupil (see Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.). Each lenslet then takes the section of sky image and projects an image of the pupil onto the end of the fiber behind it.

The lenslet array is mounted on an achromatic flat composed of 4.46 mm of SF6 flint glass and 29.77 mm of PSK53A Crown glass. The effective focal ratio of the lenslets on the flat is $`f/5.0`$. 37 lenslets were selected from a batch of 50, selected on the basis of surface quality and focal length.

The image of the AAT telescope pupil completely fills the $`50\mathrm{\mu m}`$ core of the fiber. However, by adjusting the power of the magnifying lens FOL1, the sampling on the sky can be changed. By making the image scale less than 0.5 arcseconds per lenslet, the image of the telescope pupil becomes smaller and under-fills the fibers. This allows smaller scales to be observed without loss of efficiency. In SPIRAL Phase A the scale is set to 0.5” per lenslet giving a total field of view of 3.5 arcseconds.

The fibers in the fiber slit correspond to lenslets in the array in a pre-defined pattern, so that images of the sky can be reconstructed from reduced fiber spectra (see Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.). The fiber slit is constructed so that fibers in the slit come from adjacent areas on the sky. Any cross-talk introduced by the extraction of overlapping fiber spectra are subsequently from adjacent areas in the observed field, preventing spurious introduction of artefacts in the reconstructed integral field image.

In extreme cases of cross-talk this results in an elongation of extended objects in the reconstruction. Since the SPIRAL spectrograph is designed to be used with 500 fibers in the Phase B fiber feed, the 37 fibers in the prototype were widely spaced apart along the length of the imaging area of the spectrograph slit and there was no cross-talk.

### 4.2 The Fiber Feed

The SPIRAL fibers were from Polymicro and made from fused silica. The core diameter was $`50\mathrm{\mu m}`$, with a lower-index doped fused silica cladding out to $`70\mathrm{\mu m}`$ diameter and a polyamide coating up to $`90\mathrm{\mu m}`$. A further environmentally protective layer of soft polyethylene prevented damage of the fiber during handling, but was easily removed by soaking in acetone prior to fixture in the instrument.

A slow curing two-component epoxy mechanically holds the fiber within a thin stainless steel tube. Successively larger steel tubes were added and fixed in place to form a composite stainless steel tube with an outer diameter of $`500\mathrm{\mu m}`$ and a single fiber held rigidly in the center.

The 37 fibers then pass into a protective polyamide tubing which guides the fibers with minimum bending into a tough, steel wound plastic covered conduit. This conduit passes through the Cassegrain cage of the telescope and down to the floor of the observatory. One meter from each end of the conduit is a strain relief box, where the fiber passes in an unsupported loop across the inside of the box before passing through out the other side. These two spare length boxes ensure that the expansion and contraction of the flexible conduit does not stretch and break the inelastic and delicate optical fibers.

The fiber passes into the fiber slit assembly. Here the 37 fibers are rearranged into a straight line, the fibers spaced evenly along the slit and parallel to each other. The fibers are held against a flat reference plate by a metal block with accurately machined grooves in its surface. The mechanical pressing action of the grooves and reference plate serve as a vice with which to hold the fibers in place. All fibers lie parallel to each other in a plane perpendicular to the surface of the final fiber slit. Epoxy resin is used to fill the inter-fiber spacing and provide a strong mechanical support for the fibers in the slit block. Finally a thin cover slit was fixed with optical cement across all the ends of the fibers in the polished fiber slit. In this way, any scratches and imperfections in the ends of the fibers were filled in with index-matching cement and the exposed surface of the cover slip was coated with an anti-reflective layer of magnesium flouride.

Our fiber feed design has no exposed optical fiber surfaces, an important consideration when the active optical surface is $`50\mathrm{\mu m}`$ in diameter. Left unprotected, the smallest scratch or contamination with dust can lead to a significant loss of efficiency. Both ends of the fiber feed are mated against a glass surface with a liquid optical cement, making an index matching interface and reducing scattering and reflection losses. The addition of a magnesium flouride anti-reflection coating to both ends of the fiber feed optics further improves the throughput.

### 4.3 The Spectrograph

The input focal ratio for the spectrograph is $`f/4.8`$, slightly faster than the $`f/5.0`$ beam entering the fibers. This allowed for FRD broadening of the beam. The spectrograph also had to produce monochromatic images over the whole area of the Tek CCD, requiring imaging of a slit length of 25 mm.

The SPIRAL spectrograph was designed by Damien Jones to use the Tek $`1024\times 1024`$ pixel optical CCD. The $`24\mathrm{\mu m}`$ pixels of this CCD give Nyquist sampling of the $`50\mathrm{\mu m}`$ fiber diameter, which defines the entrance slit width to the spectrograph. Because this fixed slit width is smaller than most slit based spectrographs and is independent of the slit-adjusted seeing, the camera and collimator are combined to make a double pass system with a total magnification of unity. This then allows the grating to be used in a near-Littrow configuration with the grating used at its highest theoretical efficiency. For a double pass system the Littrow condition is exact only for object and image superimposed on each other, but by separating the fiber slit and detector beams by 22.5 mm, the deviation from the Littrow configuration is minimised.

The resultant design is shown in Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.. The most suitable optical configuration for the spectrograph is a field-flattened Petzval system, otherwise known as a P1 Petzval configuration. This consists of two separated positive doublets (L2 and L3) followed by a field flattening singlet (L1) near the focal plane. A small reflex prism brings the fiber slit image close to the optical axis of the system, and the grating G1 sits in the collimated space beyond L3.

The design also allows for rotation and tilt of the dewar, eliminating the need for an extra field correcting lens and thus reducing the cost of the system - a plot of chromatic focal shift (Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.) shows the extent of refocusing needed across the wavelength range of the spectrograph.

## 5 FIBER POSITIONING

### 5.1 Mechanical Alignment of Fibers with Individual Lenslets

The macrolens array allowed individual positioning of fibers on the back of the lenslet array. Individual $`50\mathrm{\mu m}`$ diameter fibers were fixed with epoxy resin into metal ferrules 10 mm long and with an outer diameter of $`230\mathrm{\mu m}`$. Further steel ferrules were added to the outer diameter of this ferrule to produce a composite ferrule fiber holder 2 mm in diameter with the optical fiber held firmly along the ferrule axis. All the fibers for the lens array were prepared this way and then placed together in a polishing jig. This jig was then used to simultaneously polish all 37 fiber faces and ferrules to optical quality.

The field lens FOL2 from the fore-optics was fixed in front of the lenslet array and a graticule was placed in the focal plane of the field lens with the cross-hairs centered on the optical axis of the field lens (see Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.). An electronic camera with a narrow-band filter and a microscope objective was focused on the cross-hair graticule. In a perfectly constructed IFU, the field lens brings all the individual fiber images from the lenslet array and brings them to a common focus on the center of the graticule. By back illuminating each fiber and using an x,y,z stage to manoeuvre the fiber ferrule, each fiber could be individually aligned with the optical axis of its respective lenslet.

When the fiber image was centered in the gratiule, the fiber was correctly aligned. The optical cement was applied to the face of the fiber to fix it to the back of the lens array, and any dust or air bubbles that existed between the fiber and lenslet array could be clearly seen in an electronic camera image and removed. When the fiber was ready, a UV source was used to cure the cement and fix the fiber in place.

After all 37 fibers were positioned, the lenslet array was assembled into an aluminium protective housing and a slow curing potting compound was poured onto the back of the lens array and in between the fiber ferrules. This increased the mechanical support of the ferrules and prevented sudden mechanical shocks from breaking the UV cement bond between ferrule face and lenslet array.

### 5.2 Measured Positioning Errors

In the fore-optics, lens FOL1 forms a pupil image of the telescope. This pupil is then re-imaged with FOL2, through each individual lenslet and forms a pupil image on the fiber face. If light is shone back up the fibers to illuminate all the lenslets, an image of each fiber is formed at the position of the telescope pupil - if all the fibers are concentric with the optical axis of their respective lenslet and all 37 fiber face images overlap exactly at the focus of FOL2.

If the fibers are not perfectly aligned then the fiber images do not overlap exactly, and each fiber image has a measured displacement from the mean position of all the combined images. From the image scale of the fiber image, the positional error in the fiber plane can be calculated.

We define the decentering error to be the radial distance of one fiber from the mean fiber position of the whole fiber feed. Assuming the positioning errors to be random and independent of each other, all the decentering errors form a Gaussian distribution around a mean fiber position and we can define an RMS decentering error for all the fibers that gives a measure of all the fiber misalignemnts in the lenslet array.

After the SPIRAL IFU was assembled, a measurement of the fiber positions was made using the alignment apparatus and the graticule cross hairs. The RMS decentering error was $`10\mathrm{\mu m}`$ with a maximum error of $`13\mathrm{\mu m}`$ (see Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.). This value was considerably larger than expected, and disagreed strongly with the value estimated by eye during the assembly of the lenslet array.

The reason for this large error was that the potting compound had displaced the fiber ferrules and caused a misalignment of the ferrules as it cured. Further investigation revealed that the optical cement used to hold the fibers in place on the lenslet array required considerably longer exposure to the UV source than had been suggested in earlier experiments This resulted in the fibers not being held firmly on the back of the lens array, and subsequently led to a calculated reduction of transmission efficiency of $`20\%`$ in the fiber feed due to misalignment of the fibers and lenslets.

The lenslet array could not be rebuilt without causing considerable damage to the fibers, so we used the prototype in its current state. The alignment technique was more accurate than the SPIRAL lenslet array, and the same method was used in the construction of a 100 element infra-red IFU for the Cambridge OH Suppression Instrument (COHSI) (Ennico (1998)).

The technique was vindicated when the constructed lenslet array of 100 lenslets was measured to have an RMS decentering error of $`3\mathrm{\mu m}`$ (Kenworthy et al. 1998b ).

## 6 PERFORMANCE OF THE FIBER FEED AND SPECTROGRAPH

Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT. shows a data frame taken with the SPIRAL Phase A spectrograph. An overscan and zero level frame has been subtracted, and cropped to remove stray and reflected light from the edge of the image. This exposure clearly shows absorption bands in the twilight sky.

### 6.1 Point Spread Function

The point spread function across the CCD was measured by fitting Gaussian profiles to an arc lamp frame containing many narrow emission lines. These proved ideal for measuring the PSF introduced by the spectrograph optics.

The PSF was measured to be $`2.31\pm 0.11`$ pixels, corresponding to an image size of $`69.3\pm 0.3\mathrm{\mu m}`$, larger than the fiber core diameter of $`50\mathrm{\mu m}`$, but in agreement with the PSF of the optical model as produced with commercial ray tracing software. There was no significant variation in the measured PSF across the image.

### 6.2 Spectral Range and Resolution

Different gratings were inserted into the spectrograph and arc spectra images were taken for various wavelength ranges. By using a dome flat field to define the fiber tracks the spectra were extracted and a dispersion solution identified for the arc lines. The best low-order fit for the dispersion was a 4th order polynomial. The results for three configurations are shown in Table 1.

### 6.3 Total Transmission

Observations of spectrophotometric standard stars provided an estimate of the throughput of the spectrograph and fiber feed. A two-dimensional low-order polynomial was fitted to a standard star data frame to remove scattered light. The frame was then summed along the dispersion axis to form a one-dimensional spectrum which was dispersion corrected and wavelength calibrated.

Over three nights the SPIRAL spectrograph was calculated to have an efficiency of between 10-15% with an estimated median value of 12% at 6250Å . The main variation in throughput was due to the fiber misalignment discussed in Section 5.2. By estimating and measuring the throughput of all the optical components in the system, the throughput of the IFU and fiber feed throughput was estimated to be $`57\pm 3\%`$ (see Table 2). The throughput of the fore-optics, IFU and fiber feed combined is $`52\pm 3\%`$, but if there was no fiber misalignment then this number increases to $`65\pm 3\%`$.

## 7 FIRST RESULTS FROM SPIRAL A

At the beginning of our observing the MIT/Lincoln Laboratory $`2048\times 4096`$ pixel CCD became available for use in the spectrograph. With its higher quantum efficiency and lower readout noise, we used this for the observations. Since this CCD has 15$`\mathrm{\mu m}`$ square pixels the MIT/LL was set to 2 by 2 pixel binning, forming a effective frame of 1024$`\times `$2048 $`30\mathrm{\mu m}`$ pixels.

### 7.1 Supernova 1987A

To test the integral field mode of SPIRAL, an object with small scale detail was required for our 3.5 arcsecond field. The Large Magellanic Cloud SN 1987A was observed during sub-arcsecond seeing on 1997 November 23.

The circumstellar environment of the supernova is still not well understood (Crotts (1997)). An HST optical image with the SPIRAL field of view is shown in Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.. The three ring structure which is visible in the image lies on the surface of an hourglass shape inclined partially to our line of sight (Crotts et al. (1989)). The inner ring marks the waist of the hourglass (Crotts and Heathcote (1991)) whilst the two larger rings mark a circumference further up the lobes, delineating the extent of a double-lobe nebula (Crotts et al. (1995)).

The observations consisted of two sets of data frames. Three 1800 second exposures were taken of the supernova along with three 1200 second exposures of the adjacent sky. This was especially important as the supernova is within an HII region, with the associated nebular emission from various lines such as \[O III\] and \[N II\].

Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT. shows \[O I\]$`\lambda 6300`$, \[N II\]$`\lambda 6548`$, H$`\alpha \lambda 6563`$, \[N II\]$`\lambda 6583`$, \[S II\]$`\lambda 6716`$ and \[S II\]$`\lambda 6731`$ emission lines. The supernova spectra have been background subtracted. However, some sky emission lines still remain from incorrect background subtraction.

Nebular emission lines in the LMC are red shifted by its recession velocity (typically 300 km s<sup>-1</sup>) and are visible in the spectra. The bright narrow H$`\alpha `$ line is predominantly from the supernova and this line is mapped in Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.. A lower intensity profile broadening of $``$2600 km s<sup>-1</sup> is visible in the spectrum. This is identified as the first signs of the fast moving supernova ejecta hitting and shocking slow moving circumstellar gas released during the progenitors giant star phase (Chevalier (1992) and Sonneborn et al. (1997)).

Four maps have been generated which show the structure in the region of the supernova (Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.). The bulk of the continuum emission is from Star 2, in the South-east of the field of view. Selecting a similiar bandpass to the HST filter shows similiar intensity structure, and by fitting profiles to the supernova wind, the location of the supernova is confirmed. An \[N II\] map shows an inner ring that has been shock-ionised by the initial UV flash from the explosion.

### 7.2 Detection of a Brown Dwarf

To test the high resolution capability of the spectrograph several brown dwarf candidates were examined. One of the simplest tests for young brown dwarfs is detection of the Lithium absorption line Li I$`\lambda 6707.8`$ in very red objects with low absolute magnitude. This implies that the core temperature of the star has not reached the Li/H burning temperature and therefore not reached a higher H/H burning temperature (Rebolo et al. (1992)). A more detailed discussion about the selection procedure can be found in (Kenworthy (1998)).

A list of candidate stars was provided by Hugh Jones (private communication) and the first star observed was LP 944-20. The observation was 1800 seconds with the 1200R grating used in second order, providing a calculated spectral resolution of 15000. As of mid-1997, when these observations were undertaken, there were only a small number of known brown dwarfs. LP 944-20 showed strong Li I absorption (see Figure SPIRAL Phase A: A Prototype Integral Field Spectrograph for the AAT.) thus confirming its membership to this select group. However, during our observations a spectra from the CASPEC echelle spectrograph and ESO telescope was published (Tinney (1998)) showing Li I absorption.

This now provided an excellent opportunity to compare the accuracy of the SPIRAL spectrograph with a standard slit-based spectrograph (see Table 3).

Both methods to determine the apparent magnitude and Lithium absorption agree within errors, with the only disagreement being the heliocentric velocity. Tinney derived the velocity by cross-correlation with a standard star, whilst the SPIRAL estimate was made with the centroid of the Lithium line only, resulting in the larger error estimate of the SPIRAL spectrograph.

## 8 SUMMARY

We have manufactured a lenslet array from individual lenslets and demonstrated that fibers can be aligned with these lenslets to $`3\mathrm{\mu m}`$ RMS error, providing an alternative technique to the microlens array method. The use of fore-optics makes the fiber feed portable and the use of fibers leads to a simplified and more efficient spectrograph design.

Integral field observations of a supernova remnant allow maps of spatial variations in spectral line properties to be generated, and high spectral resolutions to be achieved. The success of this prototype led to the construction of SPIRAL Phase B and its comissioning in May 2000.

We are indebted to the Staff and Technicians of the Anglo-Australian Observatory, who were always ready to help out in getting the instrument on the telescope. MAK thanks Karl Glazebrook and Dave Lee, who provided invaluable help with the software and calibration on the observing runs, and to Richard Ogley for proof-reading this paper.


text:
# 1 Dynamical conductivity from solving the Berezinskii recursion equations (𝜈=2𝜔𝜏). Numerical solution (∘), Berezinskii’s solution, eq. () (dashed), Gogolin’s result, eq. () (solid). Inset: Determining 𝐶 by subtracting first three terms in eq. () from numerical data: 𝐶≈0.3.

Comment on “Analytic Structure of One-Dimensional Localization Theory: Re-Examining Mott’s Law”

In a recent Letter A. O. Gogolin  has challenged the established point of view that Mott’s prediction for the dynamical conductivity of a localized electron system is correct. The intuitive argument  leads in one dimension to a dynamical conductivity of the form $`\omega ^2\mathrm{ln}^2\omega `$. Later, the precise, asymptotical result

$$\mathrm{}\frac{\sigma (\omega )}{\sigma _0}=\nu ^2\left(\mathrm{ln}^2\nu \frac{\pi ^2}{4}+(2𝒞3)\mathrm{ln}\nu C+\mathrm{}\right)$$
(1)
( $`\nu =2\omega \tau `$, $`𝒞`$ denotes the Euler-Mascheroni constant $`0.5772\mathrm{}`$ and $`\sigma _0=e^2v_F\tau /\pi `$ per spin). has been derived by several authors using different methods, see e. g. Refs. . (We are not aware of any analytical prediction for the constant $`C`$.) Gogolin presents a purely formal calculation which yields

$$\mathrm{}\frac{\sigma (\omega )}{\sigma _0}=\frac{1}{3}\nu ^2\left(\mathrm{ln}^3\frac{1}{\nu }+\mathrm{}\right)$$
(2)
(eq. (22) in Ref.  with $`\sigma _0=4`$). In view of the mentioned variety of works corroborating Mott’s conclusion this is quite unexpected. If Gogolin were right, then one of the thought to be most profound chapters in localization theory would have to be rewritten. In fact, however, as we will demonstrate below, he is not.

Gogolin’s analysis starts from the famous recursion equations derived first by Berezinskii. The equations can be solved in a standard manner by mapping them to a differential equation. Gogolin’s claim is that the previous solution of this equation is incorrect and hence also the conductivity law $`\omega ^2\mathrm{ln}^2\omega `$ derived thereof. He argues that previous authors have not properly taken into account discreteness of the spectrum of the equation.

A simple method to check Berezinskii’s result is to solve the recursion equations for the conductivity numerically. (For details see Ref. .) The algorithm is very stable and has been used down to frequencies $`\nu =510^6`$ where $`M=10^8`$ in a calculation with 40 digits (fixed) precision. For even larger $`M=210^8`$ or more digits, e.g. 60, $`\sigma `$ does not change implying that rounding errors are irrelevant. Fig. 1 shows our result. The agreement of the numerical data with the Mott/Berezinskii-solution is perfect over more than 3 decades while the data is completely incompatible with Gogolin’s $`\mathrm{ln}^3\omega `$ term.

One may ask where Gogolin’s approach fails. We believe that the problem stems from the “leading logarithmic approximation”, the only step in the calculation which is not exact. The expression eq. (19) in Gogolin’s paper derived within this approximation may be

sufficient for obtaining the leading term $`i\omega `$. However, the real part of $`\sigma `$ is of higher order in $`\omega `$ and presumably to this order corrections exist that have been ignored by Gogolin and that cancel the $`\mathrm{ln}^3\omega `$ term. We also mention, that in contrast to Gogolin’s statements the length $`\mathrm{}\mathrm{ln}(1/\nu )`$ has been identified and discussed in the literature as a relevant scale, e. g. in Ref. .

We thank A. Mildenberger, A. D. Mirlin, D. G. Polyakov, L. Schweitzer and P. Wölfle for stimulating discussions. Support from the SFB 195 der DFG is gratefully acknowledged.

Ferdinand Evers
Institut für Nanotechnologie,
Forschungszentrum Karlsruhe,
D-76021 Karlsruhe, Germany
Berndt M. Gammel
Infineon Technologies AG,
D-81609 München, Germany