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# Abnormal temperature dependence of elastic properties of cuprates superconductors

* In cuprates superconductors (as polycrystal and single crystal samples) unusual hysteretic temperature behavior of elastic properties is frequently observed. In this work from the uniform point of view detailed analysis this abnormal temperature behavior of elastic properties is given. It is shown that the hysteretic temperature dependencies of elastic properties of YBa2Cu3O7-δ crystal are strongly anisotropic and are connected to hysteretic behavior of the $`C_{3333}`$ modulus while the $`C_{1111}`$ and $`C_{2222}`$ moduli have no such dependence. The analysis of the elastic constant tensor on the basis of the microscopic model has allowed to draw a conclusion, that the hysteretic behavior of the $`C_{3333}`$ modulus of YBa2Cu3O7-δ crystal is caused by temperature dependent renormalization of constants of interaction of apex oxygen atoms with copper atoms and are connected apparently to formation of charge ordering.

I. Introduction

Already the first investigations of high temperature superconductors  have revealed a variety of essential features in the temperature dependencies of velocity (v(T) ) and attenuation ($`\alpha `$(T)) of ultrasound. So for the most well investigated isostructural series of HTSC compounds (RE)Ba2Cu3O7-δ (RE - rare earth atom) in the temperatures region 190 \- 230 K step changes of v(T) have been observed , indicating on lattice instabilities and/or phase transitions at temperatures previous to the superconducting transition. Surprising there was that at heating and cooling of a sample the temperature dependencies of velocity (attenuation) did not coincide. A distinct thermal hysteresis was observed between 60 and 230 K . Further investigations have shown that the hysteretic behavior of v(T) is observed for all isostructural series (RE)Ba2Cu3O7-δ , and also for the Bi , Pb , Tl  HTSC compounds. Also appeared that for polycrystal samples the value of the hysteresis depends on structure of polycrystal samples. So hysteretic behavior of v(T) was observed in textured polycrystal samples  and polycrystal samples with relatively large crystal grains ($``$50 $`\mu `$m) . In fine grinding, dense polycrystal samples  and also polycrystal samples obtained by MPMG (melt-powder-melt-growth) method  such features were not observed. The results marked above specified a possible connection of anomalous temperature dependencies v(T) with physical processes proceeding on crystal grain boundaries and, hence, for single crystals hysteretic behavior should not be observed. However, further investigations have revealed the hysteretic behavior of v(T) in (RE)Ba2Cu3O7-δ single crystals  . So in  for ultrasound with frequency 10 MHz the hysteretic behavior of the C3333 and C1212 elastic constants was observed , while hysteretic behavior of C1111, C2222, C1313 and C1212 was not observed. When studying of elastic properties of single crystals YBa2Cu3O7-δ at 100 Hz hysteretic behavior of both elastic and torsion modulus were observed . This fact disagrees with results of , where the hysteretic behavior of the C1313 and C1212 modules was not observed (module of torsion is determined by these elastic constants). Observation in single crystals of hysteretic behavior of v(T) puts under doubt the models offered before for an explanation of these dependencies (see, for example, ). Really, it is generally believed that in cuprate superconductors anomalous temperature behavior of ultrasonic wave velocity is result from redistribution of oxygen atoms in the Cu-O chains or/and phase transitions in twinning area of crystals . In this connection it is necessary to note, that the hysteretic behavior of velocity of ultrasound also was observed in (RE)Ba2Cu4O8 polycrystals . This material is stable down to 850 oC and crystals are untwined. Besides while investigating of a linear expansion coefficient of YBa2Cu3O7-δ single crystals in  was shown that in chains disordering processes of oxygen atoms proceed at temperatures above 300 oC. Let’s pay also attention that the hysteretic behavior of v(T) recently was observed by us and in BaxK1-xBiO3 compound . For BaxK1-xBiO3 and (RE)Ba2Cu4O8 compounds the hysteretic behavior of ultrasound can not be closely related to redistribution of oxygen atoms or twinning. Earlier we offered a phenomenological model describing hysteretic temperature behavior of elastic constants of HTSC single crystals . However the microscopic mechanism resulting in so anomalous temperature behavior of velocity of ultrasound and essential distinction in elastic properties of polycrystal and single crystal samples of HTSC compounds remains obscure till now. The solution of this task is important for the following reasons. Recently for an explanation of the phase diagram of cuprate superconductors (remaining mysterious after 13 years of research ) the local micro-strain of Cu-O bonds and charge ordering (formation of striped phases)  were used. The micro-strain of Cu-O bonds should result in appreciable changes of elastic properties of crystal. Besides, hysteretic behavior of wave velocity of ultrasound was discovered recently in $`\mathrm{MgB}_2`$ compound . The huge temperature hysteresis of velocity of a sound and internal friction was observed also in $`\mathrm{La}_{0.8}\mathrm{Sr}_{0.2}\mathrm{MnO}_3`$ single crystals .

In the given work is shown that the hysteretic behavior of velocity of ultrasound, as in single crystal, and in polycrystal samples of coprate superconductors may be explained from the uniform point of view. In a final part the possible microscopic mechanism of hysteretic behavior of ultrasound is discussed.

II. Anomalous temperature dependencies of elastic properties of single crystals

To develop a detailed microscopic model of hysteretic behavior of ultrasonic velocity and to analyze temperature dependencies of ultrasonic wave velocity in polycrystal materials we must know the components of elastic tensor which have anomalous temperature dependence. However to the present time there are only two experimental works devoted to detailed analysis of temperature dependencies of elastic properties of YBa2Cu3O7-δ single crystals but as I have marked in introduction, from  and  directly it is impossible to make an unambiguous inferences about the temperature dependencies of elastic modules. First of all I show that the experimental results of  are consistent with results  quantitatively in the assumption, that anomalous temperature dependence the elastic modulus C3333 has only.

Let’s calculate resonant frequencies of a sample at deformation of a torsion and compression in view of inertia of cross movement of elements of a sample. We will consider the case when the laboratory system of coordinates is oriented arbitrarily in reference to the crystallographic system of coordinates and the calculations are feasible by a variation method.

A.  Orientations $`\stackrel{}{u}\stackrel{}{c},\stackrel{}{k}||\stackrel{}{c}`$; $`\stackrel{}{k}\stackrel{}{c},\stackrel{}{u}||\stackrel{}{c}`$

For the given experimentally investigated in  orientations of laboratory and crystallographic systems of coordinates ($`\stackrel{}{u}`$ is the displacement vector of an ultrasonic wave; $`\stackrel{}{c}`$ is the unit vector of the crystallographic direction ; $`\stackrel{}{k}`$ is the wave vector) in a sample the deformation of a torsion and a bend is created. For evaluation of natural frequencies of oscillations of a sample as generalized coordinates it is convenient to pick the tensor $`\mathrm{\Omega }_{ij}=\phi _i\mathrm{/}x_j`$ (see, for example, ), which is closely related to the deformation tensor ($`u_{ij}`$ ) $`\mathrm{\Omega }_{ij}=\delta _{ikl}\frac{u_{lj}}{x_k}`$ . If the tensor $`\mathrm{\Omega }_{ij}`$ is known, that the deformation may be restored to within moving a sample as the whole . When measuring natural frequencies of a sample value $`\mathrm{\Omega }_{ij}`$ is usually small and constant. For small values of $`\mathrm{\Omega }_{ij}`$ we can expand a vector and tensor of deformation into a Taylor series of $`\mathrm{\Omega }_{ij}`$ and take into account linear terms only

$`u_i=B_{ijk}(x_1,x_2,x_3)\mathrm{\Omega }_{jk};`$
$`u_{ij}=A_{ijkl}(x_1,x_2,x_3)\mathrm{\Omega }_{kl},`$ (1)
Then the free energy of the deformed sample may be written as follows

$`F={\displaystyle \frac{1}{2}}{\displaystyle \underset{V}{}}C_{ijkl}u_{ij}u_{kl}𝑑V=`$
$`={\displaystyle \frac{1}{2}}\left({\displaystyle \underset{V}{}}C_{ijkl}A_{ijmn}A_{klrq}𝑑V\right)\mathrm{\Omega }_{mn}\mathrm{\Omega }_{rq},`$ (2)
where $`C_{ijkl}`$ is a tensor of elastic modules. When writing down kinetic energy as

$$T=\frac{1}{2}\underset{V}{}\rho \dot{u}_i^2𝑑V=\frac{1}{2}\underset{V}{}\rho B_{ijk}\dot{\mathrm{\Omega }}_{jk}B_{iml}\dot{\mathrm{\Omega }}_{ml}𝑑V$$
(3)
we obtain the following expression for a Lagrangian

$$L=TF=\frac{1}{2}\rho \stackrel{~}{B}_{jkml}\dot{\mathrm{\Omega }}_{jk}\dot{\mathrm{\Omega }}_{ml}\frac{1}{2}\stackrel{~}{C}_{sqrp}\mathrm{\Omega }_{sq}\mathrm{\Omega }_{rp},$$
(4)
where

$`\stackrel{~}{B}_{jkml}{\displaystyle \underset{V}{}}B_{ijk}B_{iml}𝑑V;`$
(5)
$`\stackrel{~}{C}_{mnrn}{\displaystyle \underset{V}{}}C_{ijkl}A_{ijnm}A_{klrn}𝑑V.`$
The Lagrangian (4) leads to the equation of motion for $`\mathrm{\Omega }_{ij}`$

$$\rho \stackrel{~}{B}_{ijml}\ddot{\mathrm{\Omega }}_{ml}+\stackrel{~}{C}_{ijrp}\mathrm{\Omega }_{rp}=0.$$
(6)
Now using the equations of motion (5) we may obtain the characteristic combined equations for definition of natural frequencies of oscillations of a sample

$$\left(\omega ^2\rho \stackrel{~}{B}_{ijml}+\stackrel{~}{C}_{ijml}\right)\mathrm{\Omega }_{ml}^0=0.$$
(7)
For the analysis of experimental results  we shall choose a sample in the shape of the elliptic cylinder. It will allow to take into account all characteristic dimensions of experimentally studied samples  and to derive an expression for $`\mathrm{\Omega }_{ij}`$ in the closed form, that essentially simplifies evaluation of resonant frequencies. Generally the stress tensor is determined by the following equations and boundary conditions :

$$\{\begin{array}{ccccccc}\frac{\sigma _{ij}}{x_k}=0,\hfill & (a)\hfill & & & & & \\ \delta _{ikn}\delta _{ilm}S_{mnpq}\frac{^2\sigma _{pq}}{x_kx_l}=0,\hfill & (b)\hfill & & & & \hfill (8)& \\ \sigma _{ij}n_j=p_i,\hfill & (c)\hfill & & & & & \end{array}$$

where $`n_j`$ is the normal unit vector to a surface of a sample, $`p_j`$ is the force acting on unit area of a sample. For the case of an isotropic elliptic cylinder the $`\sigma _{ij}`$ stress tensor is a linear function of coordinates  and the equations (7b) are satisfied identically. Thus, the stress tensor is determined only by the equations (7a), which, generally speaking, have the same form as for isotropic, and an anisotropic material. Hence, the tensor of strains and for the anisotropic elliptic cylinder will be a linear function of coordinates and may be found on the basis of the analysis of boundary conditions and has the following form

$$u_{ij}=\frac{2\left|\stackrel{}{M}\right|}{\pi a^2b^2}\left[\left(\frac{b}{a}\right)x_1S_{ij23}\left(\frac{a}{b}\right)x_2S_{ij13}\right],$$
(9)
where $`\stackrel{}{M}`$ is the torsional moment; $`S_{ijkl}`$ is the tensor of elastic compliances in laboratory system of coordinates and is related to the tensor in crystallographic system through the transformation matrix as $`S_{i^{}j^{}k^{}l^{}}=A_i^{}^iA_j^{}^jA_k^{}^kA_l^{}^lS_{ijkl}`$ By using (1) the tensor $`\mathrm{\Omega }_{ij}`$ may be written as

$$\begin{array}{c}\mathrm{\Omega }_{ij}=\frac{2\left|\stackrel{}{M}\right|}{\left(\pi a^2b^2\right)}\times \hfill \\ \\ \begin{array}{cccccccccccccccccccc}\left(\frac{a}{b}\right)S_{1313}& \left(\frac{a}{b}\right)S_{2313}& \left(\frac{a}{b}\right)S_{3313}& & & & & & & & & & & & & & & & & \\ \left(\frac{b}{a}\right)S_{1323}& \left(\frac{b}{a}\right)S_{2323}& \left(\frac{b}{a}\right)S_{3323}& & & & & & & & & & & & & & & & & \\ \begin{array}{c}\hfill \left(\frac{b}{a}\right)S_{1223}+\\ \hfill +\left(\frac{b}{a}\right)S_{1113}\end{array}& \begin{array}{c}\left(\frac{b}{a}\right)S_{2223}+\hfill \\ +\left(\frac{b}{a}\right)S_{1213}\hfill \end{array}& \begin{array}{c}\left(\frac{b}{a}\right)S_{2323}+\hfill \\ +\left(\frac{b}{a}\right)S_{1313}\hfill \end{array}& & & & & & & & & & & & & & & & & \end{array}\hfill \\ (10)\hfill \end{array}$$

In the case of $`\stackrel{}{u}\stackrel{}{c},\stackrel{}{k}||\stackrel{}{c}`$ the equation of motion for $`\mathrm{\Omega }_{ij}`$ (6) leads to the following expression for natural frequencies of sample oscillations

$$\omega ^2=\frac{1}{\rho L^2}\frac{C_{1313}C_{2323}}{\left[\left(\frac{b}{a}\right)C_{1313}+\left(\frac{a}{b}\right)C_{2323}\right]}\frac{12ab}{a^2+b^2},$$
(11)
where $`\rho `$ is the density of a sample, L is the length of a sample along a torsion axis; $`C_{ijkl}`$ is the tensor of elastic modules expressed in laboratory system of coordinates. In the case $`\stackrel{}{k}\stackrel{}{c},\stackrel{}{u}||\stackrel{}{c}`$ the characteristic equation for resonant frequencies of a sample have been obtained in a similar way and because of complexity has been solved by numerical methods.

B. Orientations $`\stackrel{}{u}||\stackrel{}{c},\stackrel{}{k}||\stackrel{}{c};\stackrel{}{u}||\stackrel{}{c},\stackrel{}{k}\stackrel{}{c}`$

For the given orientation of laboratory system of coordinates longitudinal vibrations are raised in a sample. Calculation of natural frequencies of longitudinal vibrations of a sample was performed on the basis of the equation of motion for a vector of strains:

$`{\displaystyle \frac{^2u_3}{t^2}}+{\displaystyle \frac{C_{ijkl}\mathrm{\Pi }_{ij}\mathrm{\Pi }_{kl}}{\rho \left(1+\mathrm{\Pi }_{13}^2+\mathrm{\Pi }_{23}^2\right)}}\left({\displaystyle \frac{^2u_3}{x_3^2}}\right)+`$
$`+{\displaystyle \frac{S_\mathrm{\Delta }^2}{12}}{\displaystyle \frac{\frac{\vartheta _{11}^2+\vartheta _{12}^2}{b^2}+\frac{\vartheta _{12}^2+\vartheta _{22}^2}{a^2}}{1+\mathrm{\Pi }_{13}^2+\mathrm{\Pi }_{23}^2}}{\displaystyle \frac{^4u__3}{t^2x_3^2}}=0;`$ (12)
where the $`\mathrm{\Pi }_{ij}`$ tensor is determined on the basis of the condition $`u_{ij}=\mathrm{\Pi }_{ij}u_{33}`$ ; $`\vartheta _{11}\mathrm{\Pi }_{13}^2\mathrm{\Pi }_{11};\vartheta _{12}=\vartheta _{21}\mathrm{\Pi }_{13}\mathrm{\Pi }_{23}\mathrm{\Pi }_{12};\vartheta _{22}\mathrm{\Pi }_{23}^2\mathrm{\Pi }_{22};S_\mathrm{\Delta }`$ is the cross-sectional area of a sample. The equation (11) is obtained by a variation method and for isotropic materials coincides with the Relay equation . The harmonic solution of the equation (11) can be deduced by the method of partitioning variables and results in the following expression for natural frequencies of oscillations of a sample

$`\omega _n=\left({\displaystyle \frac{2\pi n}{L}}\right)\sqrt{{\displaystyle \frac{C_{ijkl}\mathrm{\Pi }_{ij}\mathrm{\Pi }_{kl}}{\rho }}}\times `$
$`{\displaystyle \frac{1}{\sqrt{1+\mathrm{\Pi }_{13}^2+\mathrm{\Pi }_{23}^2+\left(\frac{2\pi n}{L}\right)^2\frac{S_\mathrm{\Delta }}{12}\left(\frac{\vartheta _{11}^2+\vartheta _{12}^2}{b^2}+\frac{\vartheta _{12}^2+\vartheta _{22}^2}{a^2}\right)}}},`$
where n is an integer.

Let’s analyze temperature dependencies of the natural frequencies $`\omega (T)`$, calculated on the basis of the expressions obtained above . First of all, one additional remark need to be made. Recently we have shown , that the $`C_{3333}(T)`$ temperature dependencies observed in  may be qualitatively described within the framework of model of a strongly correlated bistable sublattice and, hence, simulation of natural frequencies $`\omega (T)`$ of a sample also may be performed within the framework of the given model. However here I shall act as follows. At calculation of temperature dependencies of natural frequencies it is convenient to choose as a modelling temperature dependence of $`C_{3333}(T)`$ the $`C_{3333}(T)`$ dependence measured in  , that enable not only to simulate temperature dependencies but in details allows to compare results of works  and . The calculated temperature dependencies $`\omega `$(T) are depicted in figure 1. For all investigated orientations calculated and experimental dependencies $`\omega `$(T) are in excellent agreement. I pay attention, that for the orientation $`\stackrel{}{u}\stackrel{}{c},\stackrel{}{k}\stackrel{}{c}`$ a strong temperature dependence of $`\omega `$(T) is caused by excitation of bending oscillations of a sample which natural frequency is determined by the $`C_{3333}(T)`$ module .

III.  Analysis of abnormal temperature dependencies of ultrasonic velocity in polycrystal samples

For calculation of effective values of a tensor of elastic

* Figure 1. Temperature dependencies of the relative resonant frequency $`\left(\omega \left(T\right)\omega \left(T_0\right)\right)/\omega \left(T_0\right)`$ of oscillations of a single crystal sample for various orientations of the wave vector $`\stackrel{}{k}`$ and the vector of displacement $`\stackrel{}{u}`$ of a ultrasonic wave . Lines represent simulations; points are experimental results ; the direction of change of temperature is shown by arrows

modules of polycrystal materials, it is necessary to know topological type of the heterogeneous medium. From topological point of view all heterogeneous mediums may be subdivided on matrix and statistical mediums. In matrix mediums the main phase envelops all other phases and forms connected space at any volume concentration of the main phase. In statistical medium all phases are distributed by a casual fashion not forming regular structures. For definition of topological type of the polycrystal medium we shall break volume of a sample on elementary cubic regions (domains) with the characteristic size $`L_0`$ , equal to the average size of a crystal grain. Let the crystal grain has orthorhombic symmetry. Each separate crystal grain is oriented arbitrarily relative to the chosen axis $`x_3`$ determining propagation of an ultrasonic wave. All set of domains of dissection breaks up to three subsets in which domains with orientation of crystallographic axes of a crystal grain ($`\stackrel{}{a},\stackrel{}{b},\stackrel{}{c}`$) belonging to the intervals:

$`Intr(\stackrel{}{a})\{0\mathrm{}(\stackrel{}{a}\stackrel{}{x}_3){\displaystyle \frac{\pi }{4}};{\displaystyle \frac{7\pi }{4}}\mathrm{}(\stackrel{}{a}\stackrel{}{x}_3)2\pi \};`$
$`Intr(\stackrel{}{c})\{0\mathrm{}(\stackrel{}{c}\stackrel{}{x}_3){\displaystyle \frac{\pi }{4}};{\displaystyle \frac{7\pi }{4}}\mathrm{}(\stackrel{}{c}\stackrel{}{x}_3)2\pi \};`$
$`Intr(\stackrel{}{b})\{0\mathrm{}(\stackrel{}{b}\stackrel{}{x}_3){\displaystyle \frac{\pi }{4}};{\displaystyle \frac{7\pi }{4}}\mathrm{}(\stackrel{}{b}\stackrel{}{x}_3)2\pi \}.`$ (14)
The given splitting can be performed always as it is possible to show that for Euler angles the given relation is always fulfilled:

$$\left(\frac{\pi }{4}\theta 0\right)\left(\phi \frac{\pi }{4},\psi \frac{\pi }{4}\right).$$
(15)
It is obvious, that for the chosen subset of domains the distribution function of orientations of crystal grains $`f(\theta )`$ has a maximum in the intervals (13). And, texture of a sample is determined by a relation of numbers of filling of the subsets defined above. Further, for the given subset of domains we replace the tensor of elastic modules of each domain with average value of the tensor of elastic modules $`<C_{ijkl}>_\eta (\eta =Intr(\stackrel{}{a}),Intr(\stackrel{}{b}),Intr(\stackrel{}{c}))`$

$`C_{ijkl}={\displaystyle \frac{1}{8\pi ^2}}\times `$
$`\times {\displaystyle \underset{0}{\overset{2\pi }{}}}{\displaystyle \underset{0}{\overset{2\pi }{}}}{\displaystyle \underset{0}{\overset{\pi }{}}}C_{ijkl}(\theta ,\phi ,\psi )f(\theta ,\phi ,\psi )\mathrm{sin}(\theta )d\phi d\psi d\theta .`$ (16)
When performing concrete calculations the distribution function $`f(\theta ,\psi ,\phi )`$ was chosen in the form $`f(\theta ,\psi ,\phi )=[\mathrm{cos}(\theta )]^{2n}`$ , n - parameter (at $`n0`$ or $`n\mathrm{}`$ we have random or textured distribution of orientations of crystal grains, respectively). As a result, polycrystal material can be considered as the three-phase heterogeneous medium. Topological type of medium is determined by a relation of the relative volumes $`V_\stackrel{}{a}`$ , $`V_\stackrel{}{b}`$ ,$`V_\stackrel{}{c}`$ and the percolation threshold $`X_c`$( $`X_c=0.307÷0.325`$ for the site problem on a cubic lattice ). So the conditions for matrix and statistical mediums have the form $`V_\stackrel{}{a}<X_c`$(matrix medium concerning phases $`V_\stackrel{}{b}`$ ,$`V_\stackrel{}{c}`$) and $`V_\stackrel{}{a}`$ , $`V_\stackrel{}{b}`$ ,$`V_\stackrel{}{c}>X_c`$, respectively.

C.  Finely grained dense polycrystal ceramics

For $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ compound at $`\delta 0`$ crystal grains has orthorhombic symmetry. Orientation of crystal grains is arbitrary for a nontextured sample and for relative volumes of separate phases we have the following condition $`V_\stackrel{}{a}V_\stackrel{}{b}V_\stackrel{}{c}\frac{1}{3}`$. The calculation of average values of a tensor of elastic modules has shown, that for compound $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ we have the following relation $`<C_{1111}><C_{2222}>`$. Hence, in this case polycrystal material is matrix medium and the matrix is formed by crystal grains with relative volume $`V_\stackrel{}{a}+V_\stackrel{}{b}>X_c`$. For the matrix material the effective elastic modulus may be calculated using the virial approach based on decomposition of an effective tensor of elastic modules in a series on relative volume of a phase $`V_0<X_c`$ and in linear approach expression for the effective module looks like

$$C^{}=C_{1111,2222}\left[1+\frac{3\left(C_{3333}C_{1111,2222}\right)}{2C_{3333}+C_{1111,2222}}V_\stackrel{}{c}\right]$$
(17)
Using expression (14) and average values of a tensor of elastic modules (15) we have calculated temperature dependence of ultrasonic velocity for dense finely grained polycrystal materials. At calculation was considered, that the temperature dependencies of elastic modules of separate crystal grains and single crystals are identical. Results of calculation are depicted in figure 2. The main feature of temperature dependencies in this case is absence of abnormal behavior of temperature dependencies of ultrasonic velocity though the elastic modules $`C_{3333}`$ of separate crystal grains had pronounced hysteretic temperature dependence. Let’s pay attention, that the calculated temperature dependencies are in a good agreements with experimental ones .

Thus, for not textured finely grained polycrystal materials the temperature dependencies of velocity of ultrasound are determined by average values of the $`<C_{1111}>,<C_{2222}>`$ crystalline elastic modules.

D. Textured polycrystal materials

In the case of textured polycrystal material for the relative volume occupied by the crystal grains oriented, for example, in $`\stackrel{}{c}`$ direction the following condition is fulfilled $`V_\stackrel{}{c}>V_\stackrel{}{a},V_\stackrel{}{b}`$ and the relative volumes $`V_\stackrel{}{a},V_\stackrel{}{b}`$ are much less than the percolation threshold $`X_c`$. In this case we have the matrix topology of polycrystal medium, but the matrix is formed by crystal grains with average value of the elastic modulus $`C_{3333}`$ . For calculation of temperature dependencies expression (14) can be used in which the following replacement $`<C_{3333}><C_{1111},C_{2222}>`$ have been performed. Calculated temperature dependencies of ultrasonic velocity for textured polycrystal samples with relative volume $`V_c0.9`$ are depicted in figure 2b. In this case hysteretic behavior of v(T) is observed. Similar temperature dependencies were observed experimentally for textured samples in .

E.  Materials with topology of a statistical mixture

Let’s consider polycrystal materials, when for relative volumes of separate sets of crystal grains the following condition is satisfied $`V_\stackrel{}{c}0.5>X_c;V_\stackrel{}{a}V_\stackrel{}{b}0.5>X_c`$. In general case for calculation of an effective tensor of elastic moduli detailed distribution of inhomogeneities in a sample must be known . However temperature dependence of ultrasonic wave velocity can be analyzed on the basis of the percolation theory. Really, from the percolation theory follows immediately  that the whole volume of a sample of a statistical mixture can be divided into two connected clusters with different orientation of crystal grains $`Intr(\stackrel{}{c})`$ and $`Intr(\stackrel{}{a})`$, $`Intr(\stackrel{}{b})`$, respectively. And, apparently, that properties of a statistical mixture should be symmetrical concerning replacement $`<C_{3333}><C_{1111},C_{2222}>`$. For a wave length of ultrasound the following relation $`\lambda _{sound}<L_{cluster}L_{sample}`$ is fulfilled and elastic waves propagate in both clusters. When an elastic plane wave propagates in nonuniform material wave front will be deformed and the spatial modulation of amplitude will appear. It will take place even in a case when end faces of a sample are absolutely parallel and flat. The value of

* Figure 2. Temperature dependencies of the relative velocity of ultrasound ($`\left(v\left(T\right)v\left(T_0\right)\right)/v\left(T_0\right)`$ for a,b and $`V\left(T\right)/v\left(T_0\right)`$ for c) in $`YBa_2Cu_3O_{7\delta }`$ polycrystal samples. Lines represent simulations; points are experimental results: a - for dense, small crystal grains sample ;b - textured sample ; c - sample with relatively large crystal grains ($`50\mu m`$) ; the direction of change of temperature is shown by arrows

a signal received by a detector sensitive to amplitude of strains will be proportional to a wave amplitude averaged over the detector surface

$`u_0=k_0A_S;A_S={\displaystyle \frac{1}{S}}{\displaystyle \underset{S}{}}{\displaystyle \underset{i}{}}A_i(x,y)dxdy,`$ (18)
where summation is carried out over all connected clusters. Elastic waves propagating in connected clusters are detected as a single wave with effective half-width and effective standing of a maximum $`<t>`$ . The average value $`<t>`$ is determined by a relationship of amplitudes $`A_i`$ and times $`t_i`$ of elastic waves propagating in each cluster and in a linear approach may be represented as the ensemble average

$$t=\underset{i}{}\left(\frac{A_i}{A_s}\right)^\gamma t_i,$$
(19)
where $`\gamma `$ is the parameter of the given detector system. Expressing the amplitude of a passed wave as $`A_i=A_0\mathrm{exp}\left(\alpha _iL\right)`$ the following expression for average velocity in a case of a statistical mixture can be obtained

$$v(T)=\frac{L}{t}=\frac{\left(\frac{S_0}{S}\right)^\gamma \left[1+\mathrm{exp}\left(\alpha _1L_1\alpha _2L_2\right)\right]^\gamma }{1+\left(\frac{𝑣_1(T)}{𝑣_2(T)}\right)\mathrm{exp}\left[\gamma \left(\alpha _1L_1\alpha _2L_2\right)\right]}𝑣_1(T),$$
(20)
where $`v_i,\alpha _i`$ are the velocity and the decay factor of an ultrasound wave, $`L_i`$ is the average size of a cluster; $`S_0`$ is the average sectional area of a cluster; $`S`$ is the effective area of a detector. As follows from equation (19) , $`<v(T)>`$ temperature dependence is being determined by $`v_1(T)`$ or $`v_2(T)`$ temperature dependence depending on a relation of $`\alpha _i(T)`$ decay factors. I have simulated $`<v(T)>`$ temperature dependencies of ultrasonic wave velocity taking into account experimentally measured temperature dependencies of a decay factor  (see Figure 2). Temperature dependence at high temperatures is determined by temperature dependence of ultrasonic wave velocity in the cluster with orientation of crystal grains $`Intr(\stackrel{}{c})`$. At decreasing of temperature the decay factor of ultrasound in the cluster with orientation of crystal grains $`Intr(\stackrel{}{c})`$ is sharply increasing while in the

* Figure 3.Temperature dependence of incoherent lattice fluctuation in $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ crystals. Points are experimental results . Lines are calculated temperature dependencies: 1 - Debye model; 2,3 - model of strongly correlated sublattice without and with taking into account disordering of oxygen atoms in Cu(1)-O(1) chains. On the inset - expansivity versus temperature of untwined $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ single crystals for $`\delta 6.95`$ (curve 1) and $`\delta 7`$(curve 2) .

cluster with orientation $`Intr(\stackrel{}{a})`$, $`Intr(\stackrel{}{b})`$ is decreasing  and as a result velocity of ultrasound will be determined by the cluster of the type $`Intr(\stackrel{}{a})`$, $`Intr(\stackrel{}{b})`$. The given temperature dependence of v(T) represents in some sense a combination of the temperature dependencies considered above for textured and finely grained materials. It is interesting to note, that a similar sort of temperature dependencies were observed experimentally in samples with large crystal grains (50 micron)  (see fig. 2). Thus, quantitative analysis of experimentally observed hysteretic temperature dependencies of ultrasonic wave velocity in $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ polycrystal materials (finely grained, textured, macrocrystalline) at frequencies from 100 kHz up to 20 MGz has shown, that as well as in case of single crystal samples, the hysteretic behavior is determined by hysteretic temperature behavior of the modulus $`C_{3333}`$ while the other elements of a tensor of elastic moduli have no abnormal temperature dependence.

F. On microscopic mechanism of hysteretic behavior

The fact of existence of strong anisotropy of hysteretic behavior of elastic modulus is important from the point of view of clearing up of the microscopic mechanism of so unusual behavior. Really, the essential contribution to anisotropy of a tensor of elastic modulus is given by interactions of atoms of the nearest coordination spheres of crystal. Having expressed a tensor of elastic moduli as a function of constants of pair interactions of atoms in $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ crystal it can easily be shown that the abnormal temperature behavior of the elastic modulus $`C_{3333}`$ is caused by change with temperature of force constants of the apical oxygen atoms. In used approach the modulus $`C_{3333}`$ is determined by the interaction of apex oxygen atoms with copper and barium atoms but as abnormal temperature behavior of the elastic moduli $`C_{1111}`$, $`C_{2222}`$ is not observed, a sole opportunity is temperature renormalization of the O(4) oxygen - copper force constants. The given conclusion is consistent with experimental results  (also references in it)  in which features in dynamics of O (4), O(1) oxygen atoms in $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ were observed also. From the point of view of study of dynamics of atoms in $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ the recently published article  is of interest. In  it is shown that in the temperature region 100 - 200 K incoherent lattice fluctuations essentially surpass thermal ones. Growth of incoherent lattice fluctuations $`u(T)`$ were observed at temperature $`T_1^{}200K`$ and the critical temperature $`T_1^{}`$ is attributed in  to the formation of charge ordering. It is very interesting that the temperature interval in which incoherent lattice fluctuations exceeds thermal coincides with the interval in which hysteretic behavior of speed of ultrasound is observed. And the temperature of formation of charge ordering $`T_1^{}`$ corresponds to the temperature of opening of a hysteresis loop. In this connection I shall pay attention to the experimental result  where hysteretic behavior of ultrasonic wave velocity in CuO crystals was observed. And recently in this compound charge-ordered domains were revealed . Charge-ordered domains with necessity results in occurrence of correlated states of lattice degrees of freedom, that may be the reason of formation in a crystal of strongly correlated groups of atoms. Recently, we offered the model of strongly correlated sublattice for an explanation of hysteretic behavior of ultrasonic wave velocity and thermal conductivity in $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ crystals . Within the framework of the given model I have calculated temperature dependence $`u(T)=\sqrt{\sigma (T)}`$ (for more details see ). The calculated curve $`u(T)`$ describes experimental results for temperatures $`T<T_1^{}`$. However at higher temperatures on the experimental dependence $`u(T)`$ essential growth of incoherent lattice fluctuations is observed. The given growth of fluctuations may be caused by a disordering of oxygen atoms in the Cu(1)-O(1) chains. Really, a quiet large anomaly of a linear expansion coefficient was observed in nearly optimally doped ($`\delta `$=0.68) of $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ untwined single crystals in the same temperature region . But in fully oxygenated ($`\delta `$=7.0) crystals such anomaly were absent (see inset in fig. 3). I have revaluated the $`u(T)`$ temperature dependence with taking into account a disordering of vacancies of atoms of oxygen (Fig. 3, curve 3). One can see that the calculated temperature dependence well enough describes experimental results.

Thus, the analysis performed shows that observed experimentally incoherent lattice fluctuations in $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ crystals may be caused by particular dynamics of oxygen atoms and I can speculate that the hysteretic behavior of the $`C_{3333}`$ elastic modulus may be attributed to the formation of charge ordering at temperatures $`T<T_1^{}`$.

IV. Conclusion

The joint analysis of temperature dependencies of sample resonant frequencies and ultrasonic wave velocity as in $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ single crystal samples with various twinning structures and in polycrystal samples measured over a brode range of frequencies (100 kHz $`÷`$ 20 MHz), shows strong anisotropy of hysteretic behavior of elastic moduli. Namely, the $`C_{3333}`$ and in much smaller degree $`C_{2323}`$ moduli have hysteretic temperature dependence. While the moduli $`C_{1111},C_{2222},C_{1212}`$ and $`C_{1313}`$ do not show abnormal temperature dependence. The analysis of a tensor of elastic moduli of $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ crystal on the basis of the microscopic model which is taking into account interaction of atoms of the nearest coordination spheres has shown that the anomalies in behavior of an elastic modulus are caused by a temperature-dependent renormalization of force constants of apex oxygen atoms with Cu(1), Cu(2) copper atoms and apparently are attributed to the formation of charge ordering in $`\mathrm{YBa}_2\mathrm{Cu}_3\mathrm{O}_{7\delta }`$ crystals.


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# Computational Phonology

(University of Pennsylvania)

Phonology, as it is practiced, is deeply computational. Phonological analysis is data-intensive and the resulting models are nothing other than specialized data structures and algorithms. In the past, phonological computation – managing data and developing analyses – was done manually with pencil and paper. Increasingly, with the proliferation of affordable computers, IPA fonts and drawing software, phonologists are seeking to move their computation work online. Computational Phonology provides the theoretical and technological framework for this migration, building on methodologies and tools from computational linguistics. This piece consists of an apology for computational phonology, a history, and an overview of current research.

Documentation and Description. Phonological data is of essentially three types: texts, wordlists and paradigms. A text is any phonetically transcribed narrative or conversation. A wordlist is any compilation of linguistic forms which can be uttered in isolation, with information about pronunciation and meaning. A paradigm is broadly construed to mean any tabulation of words or phrases which illustrates contrasts and systematic variation. Any of these data types may be annotated with more abstract information originating from a phonological theory, such as syllable boundaries, stress marks and prosodic structure. Additionally, any of these data types may be associated with recordings of audio, video or physiological signals. Digitizing this documentation and description brings all the different media types together, makes the cross-links navigable, and opens up many new possibilities for management, access and preservation.

Exploration and Analysis. The data types described above are closely interconnected in phonological practice. For instance, the discovery of a new word in a text may require an update to the lexicon and the construction of a new paradigm (e.g. to correctly classify the word). Fresh insights may lead to new annotations and further elicitation, closing the loop in this perpetual, exploratory process. Phonological analysis typically involves defining a formal model, systematically testing it against data, and comparing it with other models. (In some cases, the model may be incorporated into a software system, e.g. for generating natural intonation in a text-to-speech system.) In this exploration and analysis – sorting, searching, tabulating, defining, testing and comparing – the principal task is computational.

Perhaps the earliest work in computational phonology was Bobrow and Fraser’s Phonological Rule Tester \[Bobrow and Fraser, 1968\], an implementation of SPE designed to “alleviate the problem of rule evaluation.” Shortly afterwards Johnson showed that, while SPE rules resemble general rewriting systems at the top of the Chomsky hierarchy, the way SPE rules are used in practice only requires finite state power \[Johnson, 1972\]. Independently, Kaplan and Kay discovered the connections between SPE grammars and finite state transducers in the 70’s and 80’s, and laid down a complete algebraic foundation (ultimately reported in \[Kaplan and Kay, 1994\]). Significant implementations followed, including \[Koskenniemi, 1983, Beesley and Karttunen, 2002\]. Attempts to apply finite state devices to Autosegmental Phonology have largely foundered, but applications to Optimality Theory are thriving.

While finite-state phonology fixated on SPE, generative phonology continued its rapid evolution. The discovery of rule “conspiracies” \[Kisseberth, 1970\] and the abstractness controversy \[Koutsoudas et al., 1974\], lead to calls for the reintroduction of surface structure constraints. Many theories arose from the fallout; most notable for its computational ramifications was Montague Phonology \[Wheeler, 1981\]. This model adapted new lexicalist formalisms from syntax and semantics, providing a declarative (as opposed to procedural) account of phonological well-formedness, and providing the first computational account of underspecification (where the phonological content of a lexical entry is incompletely specified, to be filled in during a derivation). From these beginnings, Declarative Phonology was born, and subsequent work provided a mathematical foundation in first-order logic \[Bird, 1995\] and phonetic interpretation with links to Firthian prosodic analysis and speech synthesis \[Coleman, 1997\], with implementations generally in the Prolog programming language.

A third major strand of development, complementing the finite state and declarative models, is best characterized as statistical. It seeks to apply neural networks, information theory, and weighted automata in the automatic discovery of phonological information. Gasser trained a recurrent neural network to recognize syllables and to repair ill-formed syllables \[Gasser, 1992\]. Ellison showed how a technique from information theory called MDL – minimum description length – could be applied to automatically identify syllable boundaries in phonemically transcribed texts \[Ellison, 1992\]. Many researchers apply Markov models (a kind of weighted automata) in speech recognition, mapping speech recordings to phonetic transcriptions and thence to orthographic words, using large, phonetically annotated corpora as training data (e.g. TIMIT \[Garofolo et al., 1986\]).

Four key areas of ongoing research in computational phonology are in Optimality Theory, automatic learning, interfaces to grammar and phonetics, and supporting phonological description in the field. Comprehensive references to online research papers in this areas may be found on the SIGPHON website.

Computational phonology is generating sophisticated and rigorous ways for creating, exploring and disseminating multidimensional phonological information, encompassing primary recordings, texts, wordlists, paradigms, theories and analyses. As phonologists adopt the computational methods described above, extending and adapting them as needed, the consequences for the discipline will be increased accessibility, accountability, and stability of empirical research.

Resources. The Association for Computational Linguistics (ACL) has a special interest group in computational phonology (SIGPHON) with a homepage at http://www.cogsci.ed.ac.uk/sigphon/. The website contains online proceedings for SIGPHON workshops and information about relevant books, dissertations and articles. A special issue of Computational Linguistics devoted to computational phonology was published in 1994 \[Bird, 1994\].


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# Untitled Document

STATIONARY THERMOMAGNETIC WAVES IN SUPERCONDUCTORS N.A. Taylanov
Research Institute of Applied Physics,
National University of Uzbekistan,
Vuzgorodok, Tashkent, 700174, Uzbekistan
e-mail: taylanov@iaph.tkt.uz

Abstract

The propagation of a nonlinear stationary thermomagnetic wave in superconducting media is qualitatively analyzed in view of the effect of an external magnetic field. The velocity and the thickness of the wave front are estimated. It is demonstrated that the inclusion of an external magnetic field affects the thermomagnetic wave profile only slightly.

The evolution of Joule heat during the dissipative motion of a magnetic flux gives rise to pronounced nonlinear effects showing up as various wave processes. These processes define the dynamics of thermal and electromagnetic perturbations in superconducting media \[1-3\]. The stationary propagation of a nonlinear shock thermomagnetic wave in the resistive state of a superconductor is an example. As is shown , the dispersive, nonlinear, and dissipative processes in superconducting media result in the formation of stable thermoelectric,$`\stackrel{}{E}`$, and/or thermomagnetic, $`\stackrel{}{H}`$, waves depending on the surface conditions. It was assumed that the critical current density $`\stackrel{}{j}_c`$ is independent of the local value of the external magnetic field $`\stackrel{}{H}`$ (Bean’s model of critical state ). However, in sufficiently strong fields, this dependence cannot be disregarded (see, e.g., ) and its effect on the nonlinear thermomagnetic wave should be taken into account. In this paper, we studied the structure of a shock thermomagnetic wave for an arbitrary dependence of the critical current density $`\stackrel{}{j}_c`$ on the external magnetic field $`\stackrel{}{H}`$. Expressions for the velocity and the thickness of the wave front were obtained. The propagation of a thermomagnetic wave in a superconducting medium along the $`x`$ axis with a constant velocity $`v`$ is described by the nonlinear heat conduction equation (with the self-simulated variables $`\xi (x,t)=xvt)`$

$$\nu v\frac{dT}{d\xi }=\frac{d}{d\xi }\left[\kappa \frac{dT}{d\xi }\right]+jE,$$
(1)
Maxwell equations

$$\frac{dE}{d\xi }=\frac{4\pi v}{c^2}j,$$
(2)
$$E=\frac{v}{c}H.$$
(3)
and the related equation of critical state

$$\stackrel{}{j}=j(T,H)+j_r(E),$$
(4)
Here, $`\nu `$ and $`\kappa `$ are the specific heat capacity and the thermal, conductivity and $`j_r`$ is the resistive current density. In the weak heating approximation $`(TT_0)<<(T_cT_0)`$, the resistive current density $`j_r`$ in the range of viscous flow ($`E>E_f)`$; where $`E_f`$ is the effective field ) is a linear function of the vortex electric field; i.e., $`j_r\sigma _fE`$; where $`\sigma _f`$ is the effective conductivity and $`T_0`$ and $`T_c`$ are the equilibrium and the critical superconductor temperatures. For weak fields $`(E<E_f)`$, the dependence $`j_r(E)`$ is substantially nonlinear and may be attributed to the thermally activated motion of the magnetic flux (flux creep ). In the range between two critical magnetic fields $`H_{c_1}<<H<<H_{c_2}`$ the dependence of the critical current $`j_c(T,H)`$ on $`T`$ and $`H`$ can be approximated as the product of two functions of single variable:

$$j_c=j_c(T,H)=j_c(T)\mathrm{\Phi }(H).$$
(5)
Here, $`j_c(T)=j_c(T_0)a(TT_0)`$; $`j_c(T_0)=j_0`$ is the equilibrium current density, $`a`$ characterizes the thermal reduction of Abrikosov vortex pinning on crystal defects, and $`\mathrm{\Phi }`$ will be determined below for different values of the external field $`H`$. The thermal and electrodynamic boundary conditions for Eqs. (1)-(5) are given by

$$\begin{array}{c}T(\xi +\mathrm{})=T_0,\frac{dT}{d\xi }(\xi \mathrm{})=0,\hfill \\ \\ E(\xi +\mathrm{})=0,E(\xi \mathrm{})=E_e,\hfill \end{array}$$
(6)
where $`E_e`$ is the constant external electric field.

Jointly solving Eqs. (1)-(5) with boundary conditions (6) yields the following equation for the $`E`$ wave:

$$\frac{d^2E}{dz^2}+F(E,\frac{dE}{dz})+\frac{dU}{dE}=0$$
(7)
where

$$F=\beta (1+\tau )\frac{c}{v}\frac{1}{\mathrm{\Phi }}\frac{d\mathrm{\Phi }}{dE}\left[\beta \tau \frac{j_r(E)}{\sigma _d}+\frac{dE}{dz}\right]\frac{dE}{dz},$$
(8)
$$U=\beta ^2\tau \underset{0}{\overset{E}{}}\left[1+\frac{j_0}{j_r}\mathrm{\Phi }\right]\frac{j_r}{\sigma _d}\frac{E^2}{2E_\kappa }\mathrm{\Phi }dE.$$
(9)
Here $`z={\displaystyle \frac{\xi }{L}},\tau ={\displaystyle \frac{4\pi \sigma _f\kappa }{c^2\nu }},\beta ={\displaystyle \frac{vt_\kappa }{L}},t_\kappa ={\displaystyle \frac{\nu L^2}{\kappa }},E_\kappa ={\displaystyle \frac{\kappa }{aL^2}},L={\displaystyle \frac{cH_e}{4\pi j_0}}`$ is the magnetic penetration depth, $`\sigma _d`$ is the differential conductivity, and $`H_e`$ is the external magnetic field.

Following , let us represent the equation for stationary points in the phase plane $`(E,{\displaystyle \frac{dE}{dz}})`$ as

$$\beta ^2\tau \frac{j_r}{\sigma _d}\left[1+\frac{j_0}{j_r}\mathrm{\Phi }\right]\frac{E^2}{2E_\kappa }\mathrm{\Phi }=0.$$
(10)
In not-too-strong fields, when $`H<<H_{c_2}`$ the $`\mathrm{\Phi }\left({\displaystyle \frac{c}{v}}E\right)`$ function can be chosen in terms of the Kim-Anderson model . In our situation, Eq. (10) has two equilibrium states: a stable node, $`E_0=0`$, and a saddle, $`E=E_1`$. The phase portrait illustrating these equilibrium states is plotted in Fig. 1. The separatrix AB, connecting these two singular points, corresponds to the ”overfall”- type solution with the amplitude $`E_e`$. With the boundary conditions $`E=E_e`$ at $`z\mathrm{}`$, this equation can be written as the equation for wave velocity $`v_e`$:

$$1\mathrm{\Omega }_0V_E=X_0(v_E)=\mathrm{\Omega }_Ev_E^2,$$
(11)
where

$$\mathrm{\Omega }_0=2\tau c\frac{t_\kappa ^2}{L^2}\frac{E_\kappa }{H_0}[1\frac{j_0}{\sigma _dE_e}],\mathrm{\Omega }_E=2\tau \frac{t_\kappa ^2}{L^2}\frac{E_\kappa }{E_e}.$$
(12)
and $`H_0`$ is a constant parameter. Common points of the $`X_0(v_E)`$ function and the quadratic parabola $`\mathrm{\Omega }_vE^2`$ yield the velocity $`v_E`$ we are interested in:

$$v_E=\frac{cE_e}{2H_0}\left[1\frac{j_0}{\sigma _dE_e}\right]\left[\left(1+\frac{2L^2}{c^2t_\kappa ^2}E_\kappa \frac{H_0^2}{\tau E_e}\left[1\frac{j_0}{\sigma _dE_e}\right]^2\right)^{1/2}1\right].$$
(13)
The corresponding plot is depicted in Fig. 2. Only the positive value $`v^+`$ is physically meaningful. In the limit $`H_0\mathrm{}`$ (Bean’s model ), the wave velocity is defined by

$$v_E=\frac{L}{t_\kappa }\left[\frac{E_e}{2\tau E_\kappa }\right]^{1/2}.$$
(14)
In the reverse case, when $`H_00`$, the velocity is largely small and is almost independent of the wave amplitude $`E_e`$:

$$v_E\frac{L^2}{ct_\kappa ^2}\frac{H_0^2}{2\tau E_\kappa E_e}\left[1\frac{j_0}{\sigma _dE_e}\right]^1.$$
(15)
For the field $`H`$ approaching $`H_{c_2}`$ the following approximation is valid:

$$v_Ec\frac{j_0E_e}{j_1H_{c_2}}\left(ln\frac{E_e}{E_0}\right)^1,$$
(16)
In conclusion, our results suggest that taking into account an arbitrary dependence of $`j_c`$ n $`H`$ has a minor effect on the wave profile, since the phase portrait remains nearly the same. The qualitative analysis presented above may be useful for experimentally studying the penetration of a magnetic flux into a superconductor placed into an external magnetic field. Improving the protection of superconducting devices at the design stage is another possible application of our results.

REFERENCE

1. I. L. Maksimov, Yu. N. Mastakov, and N. A. Tal1anov, Fiz. Tverd. Tela (Leningrad) 28,2323 (1986) \[Sov. Phys. Solid State 28, 1300 (1986)\].
2. N.A.Taylanov, Superconduc. Science and Technology, 14, 326(2001).
3. N.A.Taylanov., U.T.Yakhshiev. Technical Phys. Lett. (Pis’ma v JTF, Russia) 27, 42(2001).
4. C. P. Bean, Phys. Rev. Lett. 8, 250 (1962).
5. R.G.Mints and A.L.Rakhmanov, Instability in Superconductors (Nauka, Moscow, 1984).
6. V. I. Karpman, Nonlinear Waves in Dispersive Media (Nauka, Moscow, 1973).
7. P. W. Anderson and Y. B. Kim, Rev. Mod. Phys. 36, 36 (1964).


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# References

UCRHEP-T335

June 2002

New Perspective on Fermion Mass Matrices
Ernest Ma
Physics Department, University of California, Riverside, California 92521

## Abstract

It is shown that any $`n\times n`$ Dirac fermion mass matrix may be written as the sum of $`n`$ states of equal “mass”. However, these states are in general not orthogonal. Thus the texture of any such fermion mass matrix may be understood as the nonzero overlap among these states.

The fermions of the standard model of particle interactions, i.e. the quarks and leptons, have definite masses and mix with one another. Consider first a $`2\times 2`$ quark mass matrix. In terms of its mass eigenstates, it can always be written as

$$_m=m_1\overline{q}_{1L}q_{1R}+m_2\overline{q}_{2L}q_{2R}+H.c.$$
(1)
I now choose to write the above as follows.

$`_m`$ $`=`$ $`(\sqrt{m_1}A_{11}\overline{q}_{1L}+\sqrt{m_2}A_{21}\overline{q}_{2L})(\sqrt{m}_1A_{11}^{}q_{1R}+\sqrt{m_2}A_{21}^{}q_{2R})`$ (2)
$`+`$ $`(\sqrt{m_1}A_{12}\overline{q}_{1L}+\sqrt{m_2}A_{22}\overline{q}_{2L})(\sqrt{m_1}A_{12}^{}q_{1R}+\sqrt{m_2}A_{22}^{}q_{2R})+H.c.`$
This implies that

$$|A_{11}|^2+|A_{12}|^2=|A_{21}|^2+|A_{22}|^2=1,A_{11}A_{21}^{}+A_{12}A_{21}^{}=0,$$
(3)
i.e. $`A_{ij}`$ should be a unitary matrix but otherwise unrestricted. In particular, let it be given by

$$A=\frac{1}{\sqrt{2}}\left[\begin{array}{cc}1& 1\\ 1& 1\end{array}\right].$$
(4)
Then Eq. (2) becomes

$$_m=\frac{1}{2}(m_1+m_2)(\overline{\psi }_{1L}\psi _{1R}+\overline{\psi }_{2L}\psi _{2R})+H.c.,$$
(5)
where

$`\psi _1`$ $`=`$ $`{\displaystyle \frac{1}{\sqrt{m_1+m_2}}}(\sqrt{m_1}q_1+\sqrt{m_2}q_2),`$ (6)
$`\psi _2`$ $`=`$ $`{\displaystyle \frac{1}{\sqrt{m_1+m_2}}}(\sqrt{m_1}q_1\sqrt{m_2}q_2).`$ (7)
In other words, in the basis of $`\psi _{1,2}`$, the single “mass” term $`(m_1+m_2)/2`$ appears for both states. Of course, the true masses are $`m_1`$ and $`m_2`$ of Eq. (1) which is identical to Eq. (2) as well as to Eq. (5). What has been done is just a new way of writing the same thing. This is possible because $`\psi _1`$ is not orthogonal to $`\psi _2`$ as shown clearly by Eqs. (6) and (7), although they are certainly independent. The same information is recovered by noting that the overlap between $`\psi _1`$ and $`\psi _2`$ is given by $`(m_1m_2)/(m_1+m_2)`$.

The extension of the above argument to the $`n\times n`$ case is straightforward. For equal “mass” terms, $`A_{ij}`$ should then be of the form

$$A=\frac{1}{\sqrt{3}}\left[\begin{array}{ccc}1& 1& 1\\ 1& \omega & \omega ^2\\ 1& \omega ^2& \omega \end{array}\right]$$
(8)
in the $`3\times 3`$ case, where $`\omega ^3=1`$, and

$$A=\frac{1}{2}\left[\begin{array}{cccc}1& 1& 1& 1\\ 1& i& 1& i\\ 1& 1& 1& 1\\ 1& i& 1& i\end{array}\right]$$
(9)
in the $`4\times 4`$ case. Using the discrete symmetry $`Z_n`$, this is easily generalized to any $`n`$. Note that in the $`3\times 3`$ case, the common “mass” is $`(m_1+m_2+m_3)/3`$ and each of the three overlaps between pairs of the three corresponding $`\psi _i`$ is identical as well, i.e.

$$\zeta =\frac{m_1+\omega m_2+\omega ^2m_3}{m_1+m_2+m_3}.$$
(10)
Given the numerical value of the complex parameter $`\zeta `$ and that of the common “mass”, it is clear that $`m_{1,2,3}`$ may be extracted. This procedure is applicable for both the $`up`$ and $`down`$ quarks as well as the charged leptons.

The possibility that $`\psi _i`$’s have the same “mass” suggests some sort of universal underlying dynamics. Fermions of each sector are states of equal “mass” which are independent but not orthogonal. The spacetime evolution of these states requires them to rearrange in terms of true mass eigenstates and the usual description is recovered. The puzzle of hierarchical fermion masses is now seen in a different light. It is not necessary to look for a fundamental mechanism which generates very different masses. It may be such that equal or nearly equal “masses” are generated, but without the orthogonality of the corresponding states. A concrete example is provided below in the case of Majorana neutrinos, with the obvious generalization to Dirac fermions.

Consider the neutrino sector, which consists of $`\nu _e,\nu _\mu ,\nu _\tau `$ in the minimal standard model. Assume three additional heavy right-handed neutrinos $`N_{iR}`$. Then the famous canonical seesaw mechanism  allows all three light neutrinos to acquire mass. This may be regarded as a two-step process. First, the $`3\times 3`$ Majorana mass matrix spanning $`N_{iR}`$ is diagonalized; then the Yukawa coupling matrix linking $`\overline{\nu }_{iL}`$ to $`N_{jR}`$ through the usual Higgs scalar doublet $`\mathrm{\Phi }=(\varphi ^+,\varphi ^0)`$ provides a Dirac mass matrix proportional to $`v=\varphi ^0`$. The resulting Majorana mass terms of $`\nu _i`$ are then given by

$$_m=\frac{v^2}{2}\mathrm{\Sigma }_j\frac{(\mathrm{\Sigma }_if_{ij}\nu _i)^2}{M_j}+H.c.$$
(11)
Since all three $`\nu _i`$’s are contained in the sum over $`i`$ in the above, they can be considered as mass eigenstates (instead of interaction eigenstates) just as well. With this interpretation, the following conditions on $`f_{ij}`$ are obtained:

$$m_i=v^2\mathrm{\Sigma }_j\frac{f_{ij}^2}{M_j},0=\mathrm{\Sigma }_j\frac{f_{ij}f_{kj}}{M_j},(ik).$$
(12)
Redefine

$$\frac{f_{ij}v}{\sqrt{M_j}}\sqrt{m_i}A_{ij},$$
(13)
then

$$1=\mathrm{\Sigma }_jA_{ij}^2,0=\mathrm{\Sigma }_jA_{ij}A_{kj},(ik),$$
(14)
which implies that $`A_{ij}`$ should be an orthogonal matrix.

The above derivation is actually more general. All is needed is a Majorana mass matrix, then again it can be diagonalized and rewritten in terms of the corresponding $`\psi _i`$’s. However, the seesaw mechanism is a concrete example of how equal “masses” may be achieved. Consider first the $`2\times 2`$ case, i.e.

$$A=\left(\begin{array}{cc}\mathrm{cos}\theta & \mathrm{sin}\theta \\ \mathrm{sin}\theta & \mathrm{cos}\theta \end{array}\right),$$
(15)
then in particular, $`\theta =\pi /4`$ may be chosen and each normalized mass term of Eq. (11) becomes the same, i.e.

$$\frac{1}{2}(m_1+m_2).$$
(16)
A simple realization of this result is to have the original $`4\times 4`$ mass matrix spanning $`\nu _{1,2}`$ and $`N_{1,2}`$ be of the form

$$_{\nu N}=\left[\begin{array}{cccc}0& 0& a& a\\ 0& 0& b& b\\ a& b& M_1& 0\\ a& b& 0& M_2\end{array}\right],$$
(17)
with $`M_1=M_2`$. The “mass” generated by $`M_1`$ alone is $`(a^2+b^2)/M_1`$ corresponding to the state $`(a\nu _1+b\nu _2)/\sqrt{a^2+b^2}`$, whereas the “mass” generated by $`M_2`$ alone is $`(a^2+b^2)/M_2`$ corresponding to the state $`(a\nu _1b\nu _2)/\sqrt{a^2+b^2}`$. The two “masses” are thus equal for $`M_1=M_2`$ but the two states are not orthogonal for $`ab`$. On the other hand, the seesaw reduction of $`_{\nu N}`$ is

$$_\nu =\left[\begin{array}{cc}2a^2/M& 0\\ 0& 2b^2/M\end{array}\right],$$
(18)
where $`M=M_1=M_2`$.

This shows that the seesaw mechanism may well have started out with the generation of two equal masses for two independent linear combinations of two neutrinos, which are however not necessarily orthogonal. It is their overlap, i.e. $`(m_1m_2)/(m_1+m_2)`$, which determines the mass eigenvalues. This scenario with two $`N_R`$’s is actually very well suited for explaining the present data on atmospheric  and solar  neutrino oscillations. \[Even though there are only two tree-level neutrino masses, the third neutrino is not strictly massless, because it will pick up a tiny mass through radiative corrections .\] Equal “masses” cannot be implemented in the Majorana case beyond $`n=2`$ because $`A_{ij}`$ is orthogonal, rather than unitary as in the Dirac case.

In conclusion, it has been shown in this short note that any $`n\times n`$ Dirac fermion mass matrix may be written as the sum of $`n`$ states of equal “mass”. However, these states are in general not orthogonal. Thus the texture of any such fermion mass matrix may be understood as the nonzero overlap among these states. A concrete example of how this may come about is provided by the seesaw mechanism in the $`2\times 2`$ case for Majorana neutrinos and in the $`n\times n`$ case for Dirac fermions.

This work was supported in part by the U. S. Department of Energy under Grant No. DE-FG03-94ER40837.