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# On the Hitchin morphism in positive characteristic

## 1 Introduction

Let $`X`$ be a smooth projective curve over an algebraically closed field $`k`$ and let $`\omega _X`$ be its canonical line bundle. The Hitchin morphism associates to a rank $`r`$ vector bundle $`E`$ of degree zero and a Higgs field $`\varphi :EE\omega _X`$ its characteristic polynomial, denoted by $`H(E,\varphi )`$, which lies in the affine space $`W=_{i=1}^rH^0(X,\omega _X^i)`$. Thus one gets a morphism

$$H:iggs(r,X)W$$

from the moduli stack of Higgs bundles to $`W`$, which becomes universally closed, when restricted to the substack of semi-stable Higgs bundles \[N\] \[F\]. Moreover, if $`k=`$, it is shown \[H\] that $`H`$ is an algebraically completely integrable system.

In this note we show that the Hitchin morphism $`H`$ has a non-trivial deformation over the affine line if the characteristic of $`k`$ is $`p>0`$. More precisely, we consider the moduli stack $`𝒞(r,X)`$ of $`t`$-connections $`_t`$ on rank $`r`$ vector bundles $`E`$ over $`X`$ with $`tk`$. A $`t`$-connection $`_t`$ can be thought of as an “interpolating” object between a Higgs field ($`t=0`$) and a connection ($`t=1`$). Now one associates to $`_t`$ a suitable analogue of the $`p`$-curvature and it turns out (Proposition 3.2) that its characteristic polynomial is a $`p^{\mathrm{th}}`$-power. This fact entails the existence of a morphism over $`𝔸^1`$

$$H:𝒞(r,X)W\times 𝔸^1$$

which restricts ($`t=0`$) to the Hitchin morphism for Higgs bundles. Finally we prove that the restriction of $`H`$ to the substack of semi-stable nilpotent $`t`$-connections is universally closed. This provides a non-trivial deformation of the semi-stable locus of the global nilpotent cone. This result can be considered as an analogue of Simpson’s result which says that the moduli space of representations of the fundamental group has the homotopy type of the global nilpotent cone.

We thank G. Laumon for his interest and especially J. B. Bost for his help with the proof of Proposition 3.2.

## 2 Notations

We will denote by $`S`$ a $`k`$-scheme with $`k`$ a field of characteristic $`p>0`$ and by $`𝒳`$ (resp. $`X`$) a smooth projective connected $`S`$-curve (resp. $`k`$-curve).

### 2.1

We denote by $`f_S:SS`$ the absolute Frobenius (which is topologically the identity and the $`p^{\mathrm{th}}`$ power on functions). We denote by $`S^{(p)}`$ the inverse image of $`S`$ by the Frobenius $`f_k`$ of $`k`$. There exists a unique commutative diagram

$$\begin{array}{ccccccccc}S& \stackrel{F_S}{}& S^{(p)}& \stackrel{\pi _S}{}& S& & & & \\ & & & & & & & & \\ & & \mathrm{Spec}(k)& \stackrel{f_k}{}& \mathrm{Spec}(k)& & & & \end{array}$$

such that $`\pi _SF_S=f_S`$. The $`k`$-morphism $`F_S`$ is called the relative Frobenius. If $`S`$ is defined by equations $`f_j=_Ia_{I,j}x^I`$ in an affine space $`𝔸^N`$ with coordinates $`(x_i)_{1iN}`$ and $`a_{I,j}k`$, then $`S^{(p)}`$ is the subscheme of $`𝔸^N`$ defined by the equations $`f_j^{[p]}=_Ia_{I,j}^px^I`$. In this case, $`F_S:SS^{(p)}`$ is given by $`x_ix_i^p`$.

### 2.2

In the relative case $`𝒳S`$, we denote by $`𝒳^{(p)}`$ the pullback of $`𝒳`$ by $`f_S`$. Assuming $`S=\mathrm{Spec}(R)`$, with $`R`$ a $`k`$-algebra, and $`𝒳`$ given by equations $`f_j=_Ia_{I,j}x^I`$ in an affine space $`𝔸_R^N`$ with coordinates $`(x_i)_{1iN}`$ and $`a_{I,j}R`$, then $`𝒳^{(p)}`$ is the subscheme of $`𝔸_R^N`$ defined by the equations $`f_j^{[p]}=_Ia_{I,j}^px^I`$. The $`S`$-morphism $`F_{𝒳/S}:𝒳𝒳^{(p)}`$ is given by $`x_ix_i^p`$.

### 2.3

In the case $`𝒳=X\times S`$, the commutative diagram

$$\begin{array}{ccc}X^{(p)}\times S& \stackrel{(\pi _X,f_S)}{}& X\times S\\ & & \\ S& \stackrel{f_S}{}& S\end{array}$$

defines a morphism $`X^{(p)}\times S(X\times S)^{(p)}=𝒳^{(p)}`$, which is an isomorphism thanks to the local description given in (2.1) and (2.2). Therefore, we will identify the $`S`$-schemes $`𝒳^{(p)}`$ and $`X^{(p)}\times S`$ and accordingly the relative Frobenius morphisms $`F_{𝒳/S}`$ and $`F_X\times \mathrm{Id}_S`$.

## 3 The stack of bundles with connection

Let $`𝒳`$ be a smooth projective curve over a basis $`S`$ of characteristic $`p`$.

### 3.1

We denote by $`𝒫_{𝒳/S}^1`$ the sheaf of principal parts of degree $`1`$, namely the structural sheaf of the second order infinitesimal neighborhood $`\mathrm{\Delta }^{(2)}`$ of the diagonal in $`𝒳\times _S𝒳`$ (\[G\] section 16). The left $`𝒪_𝒳`$-module structure is defined by the first projection and the right one by the second projection. Let $`1`$ be the global section of $`𝒫_{𝒳/S}^1`$ defined by the constant function with value $`1`$ on $`\mathrm{\Delta }^{(2)}`$. The restriction to the diagonal gives the exact sequence

$$0\omega _{𝒳/S}𝒫_{𝒳/S}^1\stackrel{\pi }{}𝒪_𝒳0$$

of left $`𝒪_𝒳`$-modules. We tensorize this exact sequence with a vector bundle $``$ on $`𝒳`$.

(3.1)
$$0\omega _{𝒳/S}𝒫_{𝒳/S}^10$$

Note that $`𝒫_{𝒳/S}^1`$ is the left-module tensor product of the bimodule $`𝒫_{𝒳/S}^1`$ by the left-module $``$. The following observation is classical (and tautological).

###### Lemma 3.1

(i) Let $`\sigma \mathrm{Hom}(,𝒫_{𝒳/S}^1)`$ be a splitting of (3.1). Then the morphism of sheaves $`e1.e\sigma (e)`$ takes its values in $`\omega _{𝒳/S}`$ and is a connection $`_\sigma `$.

(ii) The map $`\sigma _\sigma `$ from splittings of (3.1) to connections on $``$ is bijective.

The functoriality of the sheaf of principal parts allows us to define the pull-back of a connection by a base change $`S^{}S`$ (which is a connection on the $`S^{}`$-curve $`𝒳^{}=𝒳\times _SS^{}`$).

### 3.2

Let $`tH^0(S,𝒪)`$ be a function on $`S`$. We also denote by $`t`$ its pull-back to $`𝒳`$. We define the twisted sheaf of principal part $`𝒫_{𝒳/S}^t`$ as the kernel of

$$\{\begin{array}{ccc}𝒫_{𝒳/S}^1𝒪_𝒳& & 𝒪_𝒳\\ (p,e)& & \pi (p)te\end{array}$$

The sheaf $`𝒫_{𝒳/S}^t`$ is an $`𝒪_𝒳`$-bimodule. The canonical exact sequence

(3.2)
$$0\omega _{𝒳/S}𝒫_{𝒳/S}^t0$$

is the pullback of (3.1) by the scalar endomorphism of $``$ defined by $`t`$.

Recall that a $`t`$-connection on the vector bundle $``$ on $`𝒳`$ is a morphism of $`𝒪_S`$-modules

$$_t:\omega _{𝒳/S}$$

satisfying the (twisted) Leibniz rule

$$_t(fe)=t\mathrm{d}fe+f_t(e)$$

where $`f`$ and $`e`$ are local sections of $`𝒪_𝒳`$ and $``$, respectively. We say that the pair $`(,_t)`$ is a $`t`$-bundle. For instance a $`0`$-connection is simply a Higgs field and, if $`t`$ is invertible, $`_t/t`$ is a connection. Conversely, given a connection $``$ on $``$, then $`_t:=t`$ is a $`t`$-connection.

The twisted version of Lemma 3.1 is

###### Lemma 3.2

(i) Let $`\sigma \mathrm{Hom}(,𝒫_{𝒳/S}^t)`$ be a splitting of (3.2). Then the morphism of sheaves $`e1.e\sigma (e)`$ takes its values in $`\omega _{𝒳/S}`$ and is a $`t`$-connection $`_\sigma `$.

(ii) The map $`\sigma _\sigma `$ from splittings of (3.2) to $`t`$-connections on $``$ is bijective.

### 3.3

Recall that $`X`$ is a smooth projective curve over $`k`$. Let $`S`$ be a $`t`$-scheme,i.e., endowed with a global function $`t`$. Let $`𝒞^{}(S)`$ be the category whose objects are pairs $`(,_t)`$ where $``$ is a degree $`zero`$ vector bundle on $`X_S=X\times S`$ and $`_t`$ is a $`t`$-connection on $``$ and whose morphisms are isomorphisms commuting with the $`t`$-connections (we still say flat morphisms). These categories with the obvious inverse image functor define a fibred category over $`Aff/𝔸^1`$ which is obviously a stack, denoted by $`𝒞(r,X)`$. Let $`(r,X)`$ denote the stack of rank $`r`$ vector bundles of degree zero over $`X`$.

###### Proposition 3.1

The forgetful morphism $`𝒞(r,X)(r,X)\times 𝔸^1`$ is representable.

Proof:  Let $`(,t)`$ be an object of $`\mathrm{Hom}_{𝔸^1}(S,(r,X)\times 𝔸^1)`$. Let $`\omega `$ be the dualizing sheaf of $`X_SS`$ (the pull-back of the canonical bundle of $`X`$) and $`𝒱`$ be the dual of $`om(,𝒫_{X_S/S}^t)\omega ^1`$.

Let us consider the commutative diagram with cartesian square

$$\begin{array}{cccccc}& X_S^{}& \stackrel{g}{}& X_S& & \\ p^{}& & & & p& \\ & S^{}& \stackrel{f}{}& S& & \\ t^{}& & & & t& \\ & & 𝔸^1& & & \end{array}$$

The category of triples $`(\alpha ,^{},_t^{})`$ where $`\alpha ^{}`$ is an isomorphism $`^{}\stackrel{}{}g^{}`$ and $`^{}`$ a $`t^{}`$-connection is equivalent with the subset (thought of as a discrete category) of

$$H(S^{})=\mathrm{Hom}(g^{},𝒫_{X_S^{}/S^{}}^t^{}g^{})$$

mapping to the identity of $`g^{}`$. The pull-back $`\omega ^{}`$ of $`\omega `$ is the dualizing sheaf of $`X_S^{}`$. Therefore

$$H(S^{})=H^0(p_{}^{}om(g^{}𝒱,\omega ^{}))=\mathrm{Hom}(R^1p_{}^{}g^{}𝒱,𝒪_S^{})$$

by duality. By base change theory,

$$R^1p_{}^{}g^{}𝒱=f^{}R^1p_{}𝒱$$

showing the canonical identification

$$H(S^{})=\mathrm{Hom}_S(S^{},V(R^1p_{}𝒱)).$$

In the same way, $`S^{}\mathrm{Hom}(g^{},g^{})`$ is representable by $`V(R^1p_{}𝒲)`$ where $`𝒲`$ is the dual of $`om(,)\omega ^1`$. The functorial morphism induces an $`S`$-morphism

$$V(R^1p_{}𝒱)V(R^1p_{}𝒲)$$

The identity of $``$ defines a section of $`V(R^1p_{}𝒲)S`$ and our $`S`$-category is represented by the fibred product

$$S\times _{V(R^1p_{}𝒲)}V(R^1p_{}𝒱).$$

$`\mathrm{}`$

Therefore, by general theory \[LM\], one gets

###### Corollary 3.1

The stack $`𝒞(r,X)`$ is algebraic, locally of finite type over $`𝔸^1`$.

### 3.4

Let $``$ be a connection on the rank $`r`$ vector bundle $``$ over $`𝒳`$. Recall that the $`p`$-curvature $`\mathrm{\Psi }()`$ of $``$ is the mapping (\[K\] section 5)

$$\mathrm{\Psi }():\{\begin{array}{ccc}T_{𝒳/S}& & nd_S()\\ D& & ((D))^p(D^p)\end{array}$$

Recall that the relative tangent sheaf $`T_{𝒳/S}`$ is a sheaf of restricted $`p`$-Lie algebras.

###### Remark 3.1

Notice that the curvature is the obstruction for the connection to define a morphism of Lie algebra and that the $`p`$-curvature is the obstruction for an integrable connection to define a morphism of restricted $`p`$-Lie algebras.

The additive morphism $`\mathrm{\Psi }()`$ is $`𝒪_𝒳`$-semi-linear,i.e., additive and $`\mathrm{\Psi }()(gD)=g^p\mathrm{\Psi }()(D)`$ for $`g`$ and $`D`$ local sections of $`𝒪_𝒳`$ and $`T_{𝒳/S}`$ respectively (\[K\] Proposition 5.2). Therefore it defines an $`𝒪_𝒳`$-linear morphism

$$\mathrm{\Psi }():T_{𝒳/S}f_𝒳nd_S()$$

where $`f_𝒳`$ is the absolute Frobenius of $`𝒳`$. We still denote by $`\mathrm{\Psi }()`$ the corresponding section in $`\mathrm{Hom}(,f_𝒳^{}\omega _{𝒳/S})`$ obtained by adjunction.

### 3.5

From now on we are interested in the case $`𝒳=X\times S`$. Let $`q`$ be the first projection. Since $`f_𝒳^{}\omega _{𝒳/S}=q^{}\omega _X^p`$, $`\mathrm{\Psi }()`$ can be thought of as a point of $`\mathrm{Hom}(,q^{}\omega _X^p)`$. Let $`_t`$ be a $`t`$-connection on $``$ with $`tH^0(S,𝒪)`$. If $`t𝔾_m(S)`$, then $`_t/t`$ is a connection on $``$ and we have, for any local section $`D`$ of $`T_X`$

$$t^p\mathrm{\Psi }(_t/t)(D)=(_t(D))^pt^{p1}_t(D^p)nd_S().$$

###### Definition 3.1

The $`p`$-curvature $`\mathrm{\Psi }_t(_t)`$ of $`_t`$ is the additive morphism

$$\mathrm{\Psi }_t(_t):\{\begin{array}{ccc}T_{𝒳/S}& & nd_S()\\ D& & (_t(D))^pt^{p1}_t(D^p)\end{array}$$

###### Lemma 3.3

The $`p`$-curvature of $`_t`$ is $`𝒪_𝒳`$-semi-linear.

Proof:  We can adapt the proof of Proposition 5.2 \[K\] to the $`t`$-connection $`_t`$ taking into account that the commutator of $`_t(D)`$ and $`g`$ in $`nd_S()`$ is $`tD(g)`$ (see formula (5.4.2) of \[K\]). $`\mathrm{}`$

As in (3.4) we still denote by $`\mathrm{\Psi }_t(_t)`$ the corresponding element in $`\mathrm{Hom}(,q^{}\omega _X^p)`$.

### 3.6

Let us denote by $`V`$ the affine variety $`V=_{i=1}^rH^0(X,\omega _X^{pi})`$ and by $`V(S)=V\times S`$.

###### Definition 3.2

Let $`_t`$ be a $`t`$-connection on $``$. We denote by $`\mathrm{Char}(_t)`$ the point of $`V(S)`$ defined by the coefficients of the characteristic polynomial of the morphism $`\mathrm{\Psi }_t(_t):q^{}\omega _X^p`$.

###### Remark 3.2

The functor $`_t(\mathrm{Char}(_t),t)`$ defines a morphism of stacks

$$\underset{¯}{\mathrm{Char}}:𝒞(r,X)V\times 𝔸^1$$

Given a Higgs bundle $`(E,_0)`$ over $`X`$, we observe that

$$\mathrm{Char}(_0)=(H_0(_0))^p,$$

where $`H_0`$ is the Hitchin morphism as defined in \[H\]. As will be shown in the next section, $`\mathrm{Char}(_t)V`$ remains a $`p^{\mathrm{th}}`$ power when considering, more generally, $`t`$-connections $`_t`$.

### 3.7

Let us denote by $`W`$ the affine variety $`W=_{i=1}^rH^0(X,\omega _X^i)`$. The absolute Frobenius morphism $`f_X:XX`$ induces an injective $`p`$-linear map $`f_X^{}:WV`$.

###### Proposition 3.2

There exists a unique morphism $`H`$ over $`𝔸^1`$

$$H:𝒞(r,X)W\times 𝔸^1$$

making the diagram

$$\begin{array}{ccccc}& 𝒞(r,X)& & & \\ & & & & \\ & ^H& ^{\underset{¯}{\mathrm{Char}}}& & \\ & & & & \\ & W\times 𝔸^1& & V\times 𝔸^1& \end{array}$$

commutative and such that the restriction $`H_0`$ of $`H`$ to the fibre over $`0𝔸^1`$ coincides with the Hitchin morphism.

Proof:  Let $`(,_t)`$ be a $`t`$-bundle over $`X\times S`$. We can assume $`S=\mathrm{Spec}(R)`$, with $`R`$ integral since the stack $`𝒞(r,X)`$ is smooth. To show the proposition, it will be enough to show that $`\mathrm{Char}(_t)W(S)V(S)`$ or, equivalently, that the global sections $`\mathrm{Char}(_t)=(s_i)_iH^0(X,\omega _X^{ip})R`$ descend to $`X^{(p)}\times S`$ by the relative Frobenius $`F_X\times \mathrm{Id}:X\times SX^{(p)}\times S`$. By Cartier’s theorem (\[K\] Theorem 5.1) it suffices to check that for all $`i`$, $`^{can}s_i=0`$, where $`^{can}`$ is the canonical connection on $`\omega _X^{ip}=F_X^{}\omega _{X^{(p)}}^i`$. The question is local on $`X`$. Let $`z`$ be a local coordinate near a geometric point $`x`$ on $`X`$. We choose trivializations of $`\omega _X`$ and $``$. Then $`^{can}`$ is equal to the derivation $`\mathrm{d}/\mathrm{d}z`$, which we denote by $``$, and the operator $`_t()nd()`$ can be written as

(3.3)
$$_t()=t+A$$

with $`tR`$ and $`A`$ an $`r\times r`$ matrix with entries in the ring $`R[[z]]`$ (we work in a completion of the local ring $`𝒪_{X,x}`$). We consider the $`p`$-curvature (note that $`^p=`$)

(3.4)
$$\mathrm{\Psi }_t()=(t+A)^p$$

as an $`r\times r`$ matrix, which we simply denote by $`\mathrm{\Psi }_t`$. By $`p`$-linearity of the $`p`$-curvature $`\mathrm{\Psi }_t`$ and by Cartier’s theorem, one just has to show that the derivative

$$.det(\mathrm{Id}T\mathrm{\Psi }_t)=0.$$

The following elegant argument is due to J.B. Bost. From (3.3) and (3.4) it is obvious that the commutator of $`_t()`$ and $`\mathrm{\Psi }_t`$ in $`nd()`$ is zero, hence

$$t[,\mathrm{\Psi }_t]=[\mathrm{\Psi }_t,A]$$

Moreover one has $`.\mathrm{\Psi }_t=[,\mathrm{\Psi }_t]`$ where $`.\mathrm{\Psi }_t`$ is the matrix of derivatives of the entries of $`\mathrm{\Psi }_t`$. In particular, one gets for all $`n0`$

$$t\mathrm{Tr}(\mathrm{\Psi }_t^n.\mathrm{\Psi }_t)=\mathrm{Tr}(\mathrm{\Psi }_t^n[\mathrm{\Psi }_t,A])=\mathrm{Tr}(\mathrm{\Psi }_t^{n+1}A)\mathrm{Tr}(\mathrm{\Psi }_t^nA\mathrm{\Psi }_t)=0.$$

If $`t=0`$, then $`\mathrm{\Psi }_0=A^p`$ and we immediately see that $`\mathrm{Tr}(\mathrm{\Psi }_0^n.\mathrm{\Psi }_0)=0`$. If $`t0`$, since $`R`$ is integral, we get $`\mathrm{Tr}(\mathrm{\Psi }_t^n.\mathrm{\Psi }_t)=0`$.

Now we apply the formula $`.detM=detM\mathrm{Tr}(M^1.M)`$ to the matrix $`M=\mathrm{Id}T\mathrm{\Psi }_t`$ and we write $`M^1=_{n0}T^n\mathrm{\Psi }_t^n`$,

$$.det(\mathrm{Id}T\mathrm{\Psi }_t)=Tdet(\mathrm{Id}T\mathrm{\Psi }_t)\underset{n0}{}T^n\mathrm{Tr}(\mathrm{\Psi }_t^n.\mathrm{\Psi }_t).$$

Since, for all $`t`$ and $`n`$, the elements $`\mathrm{Tr}(\mathrm{\Psi }_t^n.\mathrm{\Psi }_t)`$ are zero, we get the result. $`\mathrm{}`$

## 4 The stack of nilpotent connections

We consider the embedding $`𝔸^1W\times 𝔸^1`$ by the zero section and we denote by $`𝒩ilp(r,X)`$ the corresponding fibre product $`𝒞(r,X)\times _{W\times 𝔸^1}𝔸^1`$,

$$\begin{array}{ccc}𝒩ilp(r,X)& & 𝒞(r,X)\\ H& & H& & \\ 𝔸^1& \stackrel{0}{}& W\times 𝔸^1\end{array}$$

The category $`𝒩ilp(r,X)(S)`$ over a $`t`$-scheme $`S`$ is the category of $`t`$-bundles $`(,_t)`$ over $`X\times S`$ such that $`(\mathrm{\Psi }_t(_t))^r\mathrm{Hom}(,q^{}\omega _X^{pr})`$ is zero. We say that $`_t`$ is nilpotent. The stack of nilpotent connections is far from being reduced if $`r>1`$. We define the exponent of nilpotence of the $`t`$-connection $`_t`$ as the smallest integer $`l1`$ such that $`(\mathrm{\Psi }_t(_t))^l=0`$ and we denote by $`𝒩ilp_l(r,X)`$ the substack of $`𝒩ilp(r,X)`$ corresponding to nilpotent $`t`$-connections of exponent $`l`$. Thus we get a filtration

$$𝒩ilp_1(r,X)\mathrm{}𝒩ilp_r(r,X)=𝒩ilp(r,X)$$

and by Theorem 5.1 \[K\] we have an isomorphism induced by the relative Frobenius $`F_X`$

(4.1)
$$(r,X^{(p)})\stackrel{}{}𝒩ilp_1(r,X),E(F_X^{}E,^{can}).$$

### 4.1

Following \[Si\], we say that $`(,_t)`$ over $`X\times S`$ (or simply $`_t)`$ is semi-stable if for all geometric points $`\overline{s}`$ of $`sS`$, any proper $`_{t,\overline{s}}`$-invariant subsheaf of $`_s`$ has negative degree (recall that $``$ is of degree $`0`$). We denote by $`𝒞^{ss}(r,X)`$ (resp. $`𝒩ilp_l^{ss}(r,X))`$ the substack of $`𝒞(r,X)`$ (resp. $`𝒩ilp_l(r,X)`$) parameterizing semi-stable $`t`$-connections (resp. semi-stable $`t`$-connections which are nilpotent of exponent $`l`$).

###### Lemma 4.1

The natural morphism

$$𝒞^{ss}(r,X)𝒞(r,X)$$

is an open immersion.

Proof:  Let $`(,_t)`$ be an $`S`$-point of $`𝒞(r,X)`$. One has to prove that the semi-stable sublocus in $`S`$ is open. Because $`𝒞(r,X)`$ is locally of finite type, one can assume that $`S`$ is of finite type. By the standard argument for boundedness, there exists $`n>>0`$ such that every subsheaf of $`_s,sS(k)`$, has slope $`n`$. Let $`I`$ be the finite set

$$I=\{(r,d)\{1,\mathrm{},r1\}\times \mathrm{such}\mathrm{that}0<\frac{d}{r}n\}.$$

Let $`𝒬^I`$ be the relative Hilbert scheme parameterizing subsheaves $`F_s`$of $`_s`$ with Hilbert polynomial in $`I`$. Because $`I`$ is finite, $`𝒬^I`$ is proper over $`S`$. But $`F_s`$ is flat (i.e. $`_{t,s}`$-invariant) if and only if the linear morphism $`F_s(_s/F_s)\omega `$ is zero. As in the proof of Proposition 3.1, it follows that the sublocus of $`𝒬^I`$ parameterizing flat subsheaves is closed. Its image in $`S`$ is closed and is exactly the locus where $`(_s,_{t,s})`$ is not semi-stable.$`\mathrm{}`$

### 4.2

Let $`E`$ be a vector bundle on $`X`$ with Harder-Narasimhan filtration

$$0=E_0E_1\mathrm{}E_l=E.$$

We denote by $`\mu _+(E)`$ (resp. $`\mu _{}(E)`$) the slope of the semi-stable bundle $`E_1/E_0`$ (resp. $`E_l/E_{l1}`$). One has by construction

$$\mu _{}(E)\mu (E)\mu _+(E)$$

with equality if and only if $`l=1`$ and $`E`$ semi-stable.

###### Lemma 4.2

The algebraic stack $`𝒞^{ss}(r,X)`$ is of finite type.

Proof:  By the boundedness of the family of semi-stable bundles of given slope and rank, it is enough to find a bound for $`\mu _+(E)\mu _{}(E)`$ where $`(E,_t)`$ is semi-stable on $`X`$. Assume $`l>1`$ and let us consider the linear morphism

$$\overline{}_i:E_i(E/E_i)\omega _X$$

induced by $`_t`$ for $`1<i<l`$. By construction, $`\mu (E_i)>\mu (E)=0`$. If $`\overline{}_i`$ vanishes, $`E_i`$ is flat and therefore of non positive slope, a contradiction. It follows that

$$\mu (E_i/E_{i1})=\mu _{}(E_i)\mu _+((E/E_i)\omega _X)=\mu (E_{i+1}/E_i)+2g2.$$

In particular, one has

$$0\mu _+(E)\mu _{}(E)(l1)(2g2)(r1)(2g2).$$

$`\mathrm{}`$

## 5

We give a properness property of the deformation of the nilpotent cone of Higgs bundles induced by $`H`$. The precise statement is

###### Proposition 5.1

For all $`l1`$, the morphism of stacks of finite type

$$H:𝒩ilp_l^{ss}(r,X)𝔸^1$$

is universally closed.

###### Remark 5.1

We recall that, if $`l=1`$, the fibres $`H^1(0)`$ and $`H^1(1)`$ are equal to the moduli stacks $`^{ss}(r,X)`$ and $`^{ss}(r,X^{(p)})`$ of semi-stable vector bundles, respectively (see (4.1)).

By \[LM\], it is enough to prove the following semi-stable reduction theorem.

###### Proposition 5.2

Let $`R`$ be a complete discrete valuation ring with field of fractions $`K`$ and $`tR`$. Let $`𝒳`$ be a smooth, projective, connected curve over $`R`$ and $`(_K,_K)`$ a semi-stable $`t`$-bundle on $`𝒳_K`$ with nilpotent $`p`$-curvature of exponent $`l`$. Then there exists a semi-stable $`t`$-bundle $`(,)`$ with nilpotent $`p`$-curvature on $`𝒳`$ extending $`(_K,_K)`$ and of exponent $`l`$.

Proof: We adapt Faltings’s proof, based on ideas of Langton, of the properness of the moduli of Higgs bundles (\[F\] Theorem I.3) to $`t`$-bundles. If $`t=0`$, the result is a particular case of Faltings’s theorem. So we assume $`t0`$. We denote by $`F:𝒳𝒳^{(p)}`$ the relative Frobenius, by $`F_K:𝒳_K𝒳_K^{(p)}`$ its restriction to the generic fiber, and by $`\mathrm{\Psi }_K`$ the $`p`$-curvature of the connection $`_K/t`$ on $`_K`$. By assumption $`\mathrm{\Psi }_K^l=0`$.

###### Lemma 5.1

Suppose that $`(_K,_K)`$ is a (not necessarily semi-stable) $`t`$-bundle of exponent of nilpotence $`l`$ on $`𝒳_K`$. Then it can be extended to the whole $`𝒳`$ with exponent $`l`$.

Proof of the lemma: We proceed by induction on $`l`$. If $`l=1`$, $`\mathrm{\Psi }_K=0`$ and, by Theorem 5.1 \[K\], there exists a vector bundle $`_K^{(p)}`$ on $`𝒳_K^{(p)}`$ such that $`F_K^{}_K^{(p)}\stackrel{}{}_K`$ and $`_K/t`$ becomes the canonical connection $`^{can}`$ on $`F_K^{}_K^{(p)}`$. Now $`_K^{(p)}`$ extends to a vector bundle $`^{(p)}`$ on $`𝒳^{(p)}`$ and the $`t`$-bundle $`(F^{}^{(p)},t^{can})`$ extends $`(_K,_K)`$, since $`tR`$.

Now assume that $`l>1`$ and that the lemma holds for $`t`$-bundles with exponent of nilpotence $`<l`$. Let $`F_K^n`$ be the kernel of $`\mathrm{\Psi }_K^n`$ for $`n=1,\mathrm{},n`$. Thus we have a filtration

$$0=F_K^0F_K^1\mathrm{}F_K^{l1}F_K^l=_K.$$

Since $`\mathrm{\Psi }_K`$ and $`_K/t`$ commute (Proposition 5.2 \[K\]), the connection $`_K/t`$ maps $`F_K^n`$ to $`F_K^n\omega _{𝒳_K/K}`$. By construction, the induced connection $`_K^F`$ on $`F_K^{l1}`$ is of exponent $`l1`$. Moreover $`_K/t`$ induces a connection $`_K^{\mathrm{gr}}`$ on the quotient $`\mathrm{gr}_K:=_K/F_K^{l1}`$ , which is of exponent $`1`$, since $`\mathrm{\Psi }_K`$ maps $`_K`$ to $`F_K^{l1}`$.

By induction the $`t`$-bundles $`(F_K^{l1},_K^F)`$ and $`(\mathrm{gr}_K,_K^{\mathrm{gr}})`$ have models on $`𝒳`$, which we denote by $`(F^{l1},^F)`$ and $`(\mathrm{gr},^{\mathrm{gr}})`$, respectively.

Let $`x`$ be the generic point of the special fiber of $`𝒳`$. The $`R`$-algebra $`A=𝒪_{𝒳,x}`$ is a discrete valuation ring with field of fraction $`L=k(\eta )`$ where $`\eta `$ is the generic point of $`𝒳`$. By Proposition 6 \[L\], it is enough to find an $`A`$-lattice $`E_x`$ in the $`r`$-dimensional $`L`$-vector space $`_{K,\eta }`$ such that

(5.1)
$$_K/t(E_x)E_x_A\omega _x$$

where $`\omega _x=\omega _{𝒳/R,x}`$.

Now, $`_K`$ is an extension of $`\mathrm{gr}_K`$ by $`F_K^{l1}`$ whose extension class $`e_K`$ lives in

$$H^1(𝒳_K,Hom(\mathrm{gr}_K,F_K^{l1}))=H^1(𝒳,Hom(\mathrm{gr},F^{l1}))K.$$

Let $`\pi `$ be a uniformizing parameter of $`R`$. If $`m`$ is large enough, $`\pi ^me_K`$ defines an extension

(5.2)
$$0F^{l1}\mathrm{gr}^l0$$

on $`𝒳`$ together with an isomorphism

$$K\stackrel{}{}_K.$$

The localization of (5.2) at $`x`$ is split ($`A`$ is principal) and, with respect to this splittings, $`_K/t`$ is of the form

$$_K/t=\left(\begin{array}{ccc}^F& 0& \\ 0& ^{\mathrm{gr}}& \end{array}\right)+\left(\begin{array}{ccc}0& M& \\ 0& 0& \end{array}\right)$$

where $`ML\mathrm{Hom}(\mathrm{gr}_x,F_x^{l1}\omega _x)`$. Let $`m`$ be an integer such that $`\pi ^mM\mathrm{Hom}(\mathrm{gr}_x,F_x^{l1}\omega _x)`$ and let $`_x^m_{K,\eta }`$ be the lattice defined by the pull-back of

$$0F_x^{l1}_x\mathrm{gr}_x0$$

by

$$\{\begin{array}{ccc}\mathrm{gr}_x& & \mathrm{gr}_x\\ g& & \pi ^mg\end{array}$$

Hence, by construction, the $`A`$-lattice $`_x^m`$ satisfies (5.1). Then the vector bundle $`^m`$ defined by $`_K`$ and $`_x^m`$, and the $`t`$-connection $`_K=t_K/t`$ define a $`t`$-bundle extending $`(_K,_K)`$ of exponent $`l`$. $`\mathrm{}`$

The rest of the proof goes exactly as in \[F\] (or \[L\]). Let us for the convenience of the reader recall the argument. Let $`s`$ be the closed point of $`\mathrm{Spec}(R)`$ and $`\overline{s}`$ a geometric point over it. As usual every $`t_{\overline{s}}`$-bundle over $`𝒳_{\overline{s}}`$ has a unique flat (i.e., invariant) subbundle of maximal slope. From this uniqueness, it follows easily (adapt the arguments of \[S\] where the case $`t_s=0`$ is treated, for instance), this bundle is in fact defined over $`𝒳_s`$. In particular, there is a notion of Harder-Narasimhan filtration of $`t_s`$-bundles. The set of slopes of the first term $`F^\alpha (_s,_s)`$ of the Harder-Narasimhan filtration of the $`t_s`$-bundle $`(_s,_s)`$ where $`(,)`$ runs over the models of $`(_K,_K)`$ with $`p`$-curvature of exponent $`l`$, whose existence is proved in Lemma 5.1, has certainly a smallest element $`\alpha `$. Among these models of minimal slopes $`\alpha `$, pick-up one, $`(^0,^0)`$ say, such that $`F^\alpha =F^\alpha _s^0`$ has minimal rank. We will show that the $`t`$-bundle $`(^0,^0)`$ is a semi-stable model. Suppose that the contrary holds,i.e., $`\mathrm{rk}(F^\alpha )<r`$.

The connection $`^0`$ induces a connection $`^1`$ on the kernel $`^1`$ of the surjection $`^0_s^0/F^\alpha `$ and therefore we get a new model $`(^1,^1)`$ with $`^1`$ locally free. Notice that $`^1`$ still has $`p`$-curvature of exponent $`l`$. Because

$$𝒯or_1^{𝒪_𝒳}(_s^0/F^\alpha ,𝒪_{𝒳_s})=_s^0/F^\alpha ,$$

the restriction of the exact sequence

$$0^1^0_s^0/F^\alpha 0$$

to $`𝒳_s`$ gives an exact sequence of flat bundles

$$0_s^0/F^\alpha _s^1F^\alpha 0.$$

Let $`F_1^\beta `$ be the first term of the Harder-Narashiman filtration of $`(_s^1,_{t,s})`$. By minimality of $`\alpha `$, one has $`\alpha \beta `$. Observe that the Harder-Narashiman filtration $`_s^0/F^\alpha `$ has semi-stable subquotients of slopes $`<\alpha \beta `$. Therefore, every morphism from a stable bundle of slope $`\beta `$ to $`_s^0/F^\alpha `$ is zero. It follows immediately that $`\beta =\alpha `$ and that $`F_1^\beta `$ injects to $`F^\alpha `$. By minimality of the rank of $`F^\alpha `$, this injection is an isomorphism. Therefore $`F^\alpha `$ is a subsheaf of $`^1`$. By induction, one can construct the subsheaf $`^{n+1}`$ of $`^0`$ as the kernel of $`^n_s^n/F^\alpha `$ with a $`(tmod\pi ^{n+1})`$-connection $`^{n+1}`$ induced by $`^n`$. The point is that one has the exact sequence (of subsheaves of $`^0`$)

$$0\pi ^n^{n+1}F^\alpha 0.$$

In particular, $`\pi ^n^0`$ is contained in $`^n`$ and $`^n/\pi ^n^0`$ injects in $`^0/\pi ^n^0`$. Taking the direct limit, we get a subsheaf of the completion of $`^0`$ along $`𝒳_s`$ with restricts to $`F^\alpha `$ on the special fiber. It comes with a $`t`$-connection induced by $`^0`$, and both the sheaf (which is a vector bundle) and the $`t`$-connection algebraizes by properness of $`𝒳\mathrm{Spec}(R)`$. Moreover, this subsheaf is certainly $``$-invariant. By flatness over $`R`$, the slope of its generic fiber is $`\alpha >0`$, contradicting $`(_K,_K)`$ semi-stable. $`\mathrm{}`$

Yves Laszlo

Université Paris-Sud

Mathématiques Bâtiment 425

91405 Orsay Cedex France

e-mail: Yves.Laszlo@math.u-psud.fr


format: text

text:
# Amplitude measurements of Faraday waves

## I Introduction

A sound understanding of hydrodynamic pattern forming systems is based on a balanced interplay between experiment and theory, both analytical and numerical. During the past this concept has led to considerable progress, especially in case of Rayleigh-Bénard convection (RBC) or Taylor-Couette flow (TCF), where an amazing level of quantitative agreement has been achieved. Another famous example of pattern forming systems is the Faraday experiment: Surface waves on a free liquid-air or liquid-liquid interface are excited by a sinusoidal vibration of the fluid layer in vertical direction. This system has the advantage of fairly short time scales in combination with a very rich bifurcation behavior. During the last two decades the focus in this field was on nonlinear pattern selection , secondary instabilities , the transition towards chaos , droplet ejection  and stokes drift . However, due to the parametric drive mechanism the mathematical description of the Faraday experiment is more complicated as compared to RBC or TCF and the quantitative understanding is less advanced yet. For instance, it was not until recently that a rigorous linear stability theory had been developed, valid for viscous fluids and realistic boundary conditions. Nowadays the predictions of the linear theory and the experimental results agree within a few percent . On the non-linear level, however, the agreement between theory and experiment can at best be considered qualitative: In the framework of a weakly non-linear perturbation analysis different primary surface wave patterns with quadratic, hexagonal etc. symmetry have been predicted . Even though most of them have been found in experiments , empiric and predicted phase diagram reveal only a qualitatitve coincidence. Moreover, other experiments operate with a two-frequency drive signal , or at very shallow filling heights  or with complex fluids . The resulting pattern dynamics becomes more complex and exotic structures like superlattices  or oscillons  appear. In some cases a qualitative understanding based on symmetry arguments could be obtained .

With regard to this situation it comes as a surprise that a systematic quantitative investigation of the system’s major order parameter, the surface elevation, has not been undertaken yet. Such data is indispensable for a verification of any nonlinear theory. It is the aim of the present work to provide extensive experimental material in order to fill this gap. A measurement technique is presented appropriate to quantify the surface elevation of Faraday ripples. Our measurements cover a broad part of the parameter space explored in recent experiments on pattern selection in the Faraday experiment. In case of low viscosity fluids our findings are expected to compare with the perturbation analysis of Zhang and Vinãls  – at least at a weak supercritical drive. Furthermore, a closer comparison yields a reliable estimate of the validity range of this approximation. Farther away from threshold of the instability, quantitative theoretical predictions are not available yet. Here we provide a numerical simulation by means of a finite difference scheme. This computation allows for 2-dimensional solutions of the full Navier-Stokes equations. They are used for a comparison with our measurements on line patterns.

## II The system

We consider a fluid layer of thickness $`h`$ with a free surface vibrated in vertical direction at a drive frequency $`\mathrm{\Omega }`$. In the frame of reference co-moving with the container the liquid is subject to a modulated gravity acceleration $`\mathrm{g}+a\mathrm{sin}(\mathrm{\Omega }t)`$, where $`\mathrm{g}`$ is the gravitational acceleration and $`a`$ the amplitude of the drive. The fluid, considered as being incompressible, is characterized by the kinematic viscosity $`\nu `$, the density $`\rho `$, and the surface tension $`\sigma `$. The hydrodynamic problem is governed by the Navier-Stokes equation, in which the modulated gravity enters as a parametric drive. The boundary conditions are free slip at the fluid-air interface and no slip along the walls and the bottom of the container. If $`a`$ exceeds a critical threshold $`a_c(\mathrm{\Omega },h,\nu ,\rho ,\sigma )`$ the surface, being plane at the beginning, undergoes the Faraday instability and standing waves with a wavenumber $`k`$ appear. Usually these waves organize themselves in form of regular patterns of different possible symmetries (lines, squares, hexagons …). In containers with a large lateral aspect ratio (the ratio between container dimension to wavelength of the pattern) the pattern selection is geometry independent and solely governed by the nonlinearities in the equations of motion. In contrast, by changing the lateral container extension one can manipulate the selection process. For instance, by reducing one sidelength of a beforehand quadratic container, a line pattern (oriented parallel to the shorter side) can eventually be enforced in a situation where squares would prevail otherwise. In the present paper extensive use will be made of this geometrical selection feature.

Generically, the time dependence of the Faraday mode bifurcating out of the undisturbed plane surface is subharmonic, i.e. the surface oscillates at half the drive frequency $`\omega =\mathrm{\Omega }/2`$. The standing wave surface profile $`\eta (𝐫)`$ at onset of the instability can be written in the form

$$\eta _N(𝐫,t)=\frac{1}{2}\underset{i=1}{\overset{N}{}}(A_ie^{\mathrm{i}𝐤_i𝐫}+c.c.)\underset{n=\mathrm{}}{\overset{+\mathrm{}}{}}\zeta _ne^{\mathrm{i}n\frac{\mathrm{\Omega }}{2}t}.$$
(1)
Here $`𝐫=(x,y)`$ abbreviates the horizontal coordinates. The set of Fourier coefficients $`\{\zeta _n\}`$ determines the subharmonic time dependence. Exactly at the onset of the instability, $`a=a_c`$, one has $`\zeta _n=0`$ for even $`n`$, while the odd coefficients are the components of the eigenvector related to the linear stability problem. The spatial modes are characterized by the wave vectors $`𝐤_i`$, each carrying an individual amplitude $`A_i`$. These quantities are determined by the nonlinearities of the problem and – if appropriate – also by the container geometry. In principle the $`𝐤_i`$ can have any length and orientation but usually they are supposed to be equally spaced on the circle $`|𝐤_i|=k`$. Then the number $`N`$ of participating modes determines the degree of rotational symmetry of the pattern: $`N=1`$ corresponds to lines, $`N=2`$ to squares, $`N=3`$ to hexagons or triangles, etc. Patterns with $`N>3`$ are no longer translational symmetric, we refer to them as quasi-periodic.

## III Prework by other authors

### A Experimental

There exist a considerable number of measuring techniques appropriate to investigate the surface wave dynamics. They range from contacting permittivity measurements  over optical systems  including interferometry, radar back scattering  up to x-ray absorption techniques . Most of these procedures apply to gravity waves, i.e. long wavelength surface waves. Each of them has its own limitations. Either the amplitude is recorded locally in space, or the detector is too slow to resolve the temporal spectrum. One of the strongest restrictions for optical reflection techniques comes from the poor reflectivity of most fluid-air interfaces. Only a few percent of the incident light is reflected and an even smaller contribution is due to diffusive back-scattering. Since the latter is crucial for standard visualization techniques such as holographic photography or triangulation, these methods often do not work properly. One might think of spraying the fluid surface with tracer particles like club moss seeds but this in turn affects the surface tension or the surface viscosity in an uncontrollable manner. In a pair of very recent publications  the authors propose sophisticated methods based on a colored illumination or on an array of microlenses. A standard visualization technique used in several Faraday experiments is the light shadowgraphy . A beam of parallel light with a diameter comparable to the container size passes through the fluid layer. The deformed standing wave surface pattern with its heaps and hollows acting like an array of collecting and diffusing lenses is mapped onto a screen. However, this technique is restricted to very small surface deformations for which the profile can be recovered by ray tracing. Otherwise caustics occur, which make this simple and effective method break down.

An alternative technique introduced by Wright, Budakin and Putterman  is based on intensity losses due to diffusive scattering. These authors use Polystyrene colloids to provide light scatterers within the fluid. The transversing light intensity, weakly modulated by the local layer thickness, is recorded by a high-sensitivity CCD-camera to reconstruct the surface profile. As an example, a snapshot is presented taken at a rather strong drive amplitude within the turbulent regime.

To our knowledge, previous quantitative investigations on near-onset Faraday waves are restricted to the low-frequency regime, i.e. below $`\mathrm{\Omega }30\mathrm{H}\mathrm{z}`$. Douady  presents an investigation, where the deflection of a thin laser beam directed onto a wave node is recorded. To prevent the nodes from a gradual drift, Douady uses the ”rimfull technique” to fix the position of the pattern relative to the container boundaries. That way the structure experiences a mode discretization dictated by the container geometry. Data for the elevation maxima and the linear relaxation time $`\tau `$ are provided for a silicone oil at a viscosity of $`10\mathrm{c}\mathrm{S}`$ and drive frequencies between $`20`$ and $`30\mathrm{H}\mathrm{z}`$.

Several other authors report amplitude measurements in small aspect ratio experiments at driving frequencies between 5 and 10Hz . In this situation a considerable mismatch between frequency and wavelength may occur. The resulting detuning renders the primary bifurcation hysteretic. An additional problem in these experiments is the moving contact line between the fluid and the container. It may also generate a hysteresis or even induce an irregular time dependent wave dynamics.

### B Theoretical

#### 1 Numerical

A couple of numerical simulations on Faraday waves is worth mentioning in the present context. Zhang and Vinãls  reduce the original full 3-dimensional hydrodynamic problem to a set of 2-dimensional non-local equations formulated in terms of the lateral coordinates only. This is the outcome of the so called ”quasi-potential approximation”, which considers the bulk flow as being potential (inviscid). Vortical flow contributions in the viscous boundary layer beneath the surface are accounted for by an effective boundary condition. Clearly this analysis is only valid for deep layers ($`h\mathrm{}`$) and restricted to the low dissipation limit $`\nu k^2/\mathrm{\Omega }1`$. The derived equations for the surface elevation $`\eta (𝒓,t)`$ are numerically integrated by a pseudo-spectral algorithm. The principal concern of these simulations is to obtain the most preferred pattern and to investigate its resistance against secondary instabilities. Stationary patterns with different rotational symmetries have been observed. In particular, drive frequencies at the transition between gravity and capillary waves, $`\mathrm{\Omega }/2\pi 30\mathrm{H}\mathrm{z}`$, give rise to the most interesting structures: Quasi-periodic pattern with a 10-fold rotational symmetry . In the capillary regime squares or lines are observed depending on the viscosity of the sample fluid.

A somewhat different numerical procedure has been used by Schultz et al.  and Wright et al. . Both investigations are based on the Euler equations for inviscid fluids. Dissipation is accounted for by a phenomenological linear damping term introduced afterwards. The numerical procedures used are respectively a boundary-integral method and a vortex-sheet technique. That way the profile of very steep 2-dimensional Faraday waves is investigated. Their findings comprise dimpled crests, the formation of a plumelike shape, or the beginning of droplet ejection.

Obviously, all of the aforementioned numerical work is restricted to the low dissipation limit and to large layer thicknesses. Indeed, we are not aware of systematic numerical simulations for viscous fluids on the basis of the full hydrodynamic equations and boundary conditions.

#### 2 Analytical

The first step towards a theoretical understanding of pattern forming systems is a linear stability analysis. This gives access to the threshold amplitude $`a_c`$, the critical wave number $`k_c`$, and the most unstable mode. For mathematical convenience it is popular to assume laterally infinite geometries. Although it is known for a long time that the stability problem for Faraday waves can be approximately mapped to a parametrically driven pendulum  a rigorous stability analysis for viscous fluids dates back until recently . Quantities evaluated by this method will be referred to in the following as ”results of the exact stability analysis”.

A nonlinear analysis suitable to predict the selected surface pattern just above the primary instability has been presented by Zhang and Vinãls . They start form their reduced 2-dimensional set of quasi-potential equations (see Sec. III B 1) and perform a perturbation analysis for small supercritical drive $`\epsilon =(aa_c)/a_c1`$. The analysis can be understood as a double expansion in $`\epsilon `$ and in the dimensionless damping parameter $`\gamma =\nu k^2/\mathrm{\Omega }1`$. Since $`h\mathrm{}`$ is assumed, vortical flow contributions coming from the viscous boundary layer along the bottom of the container are ignored. The pattern wavelength $`2\pi /k`$ is approximated by the inviscid dispersion relation

$$\left(\frac{\mathrm{\Omega }}{2}\right)^2=\mathrm{g}k+\frac{\sigma }{\rho }k^3.$$
(2)
In our experiments the damping parameter is $`0.1<\gamma <0.2`$ for the low viscosity sample S1 and lies between $`1.3`$ and $`1.7`$ for probe S2. Accordingly, the wave number $`k`$ evaluated by Eq. (2) for S1 agrees within $`1\%`$ with the result of the exact stability analysis but it is off by $`20\%`$ for S2. In the framework of the weakly non-linear analysis the surface profile is represented by Eq. (1) with $`|k_i|=k_c`$ and $`\zeta _n=0`$ for $`n`$ even. The mode amplitudes $`A_i`$ are governed by the set of the amplitude equations

$$\tau _tA_i=ϵA_i\underset{j=1}{\overset{N}{}}\mathrm{\Gamma }(\theta _{ij})|A_j|^2A_i,$$
(3)
where $`\tau `$ is the time constant of linear damping, also an outcome of the linear analysis. $`\mathrm{\Gamma }(\theta )`$ is the non-linear coupling function, whose dependence on the sample specifications and the drive frequency is analytically known. Evaluating $`\mathrm{\Gamma }`$ at the angle increments $`\theta _{ij}`$ between two interacting modes $`𝐤_i`$ and $`𝐤_j`$ yields the set of cubic coupling coefficients, which governs the pattern selection process. By computing the stationary solutions of Eq.3 in the form $`|A_i|=_N`$ with $`i=1\mathrm{}n`$ and

$$|A_i|=_N=\sqrt{\frac{\epsilon }{_{i=0}^{N1}\mathrm{\Gamma }(i\pi /N)}}$$
(4)
at different symmetry indices $`N`$ one obtains the saturation amplitude $`_1`$ for line patterns, $`_2`$ for squares, etc. As outlined in Refs.  that pattern with the smallest free energy

$$_N=\frac{1}{2}ϵ^2\left\{\underset{l,j=1}{\overset{N}{}}\mathrm{\Gamma }(\theta _{ij})|A_l|^2|A_j|^2\right\}$$
(5)
is to be selected. Broadly speaking, in the capillary regime investigated here, it is either squares (at low sample viscosities) or lines (at higher viscosities). Wave patterns with a higher order rotational symmetry are not found since they routinely posses a larger free energy. Since our optical reflection technique works best with a 1-dimensional surface modulation, we make use of the above mentioned geometrical selection feature and perform all experiments in containers of rectangular cross section. That way we enforce line patterns at any investigated sample viscosity and under all operating conditions. Under the assumption that the saturation amplitude for lines is not appreciably influenced by the container geometry we are able to compare our data with the line solution ($`N=1`$) of Eq. 5.

$$\eta (x,t)=A\mathrm{cos}(k_cx)\mathrm{sin}(\frac{\mathrm{\Omega }}{2}t).$$
(6)
Here the saturation amplitude is given by

$$A=\sqrt{\epsilon /\mathrm{\Gamma }},$$
(7)
where we have abbreviated $`A_1`$ by $`A`$ and $`\mathrm{\Gamma }(0^{})`$ by $`\mathrm{\Gamma }`$.

## IV Experimental setup

The surface wave excitation is accomplished by a vibration exciter with a maximum force peak of $`4670\mathrm{N}`$. Details are described elsewhere . The acceleration signal is computer controlled, its amplitude and harmonicity are stabilized such that fluctuations are smaller than $`\pm 0.2\%`$. We use a container with a rectangular cross section (length $`150mm`$, width $`50mm`$) in the form of a stadium (see Fig. 1). This side length ratio is sufficient to enforce Faraday patterns in form of lines for all investigated sample fluids and under all operating conditions. To minimize disturbances originating from meniscus waves, the form of the rim is designed as a ”soft beach”, where the depth increases up to its maximum of $`5\mathrm{m}\mathrm{m}`$ on a length of $`9\mathrm{m}\mathrm{m}`$ giving an inclination angle of $`34^{}`$. The curved sides of the stadium also help to suppress meniscus waves due to destructive interference. The vessel was covered by a glass plate to avoid pollution, evaporation and temperature fluctuations. The temperature of the container (typically $`T=30^{}\mathrm{C}`$) is regulated with an accuracy of $`\pm 0.1^{}`$. Two different Dow Corning 200 silicone oils are used as sample fluids. For a complete specification see Tab. I. The choice of the filling height $`h=3\mathrm{m}\mathrm{m}`$ is large enough to guarantee that the finite depth correction to the dispersion relation (2) can be ignored, i.e. $`\mathrm{tanh}(kh)>0.995`$ for all measurements.

The knowledge of the wave number $`k`$ is crucial for the interpretation of the elevation amplitude (see below). Therefore, before each run of amplitude measurements we evaluate the wave number $`k`$ of the pattern by photographing the free surface illuminated by a diffuse light source (see Fig. 1).

To record surface wave amplitudes we use a laser beam directed vertically onto the fluid surface (see Fig. 2). The cross section of the beam is widened to a diameter between $`0.75`$ and $`1.25`$ of a pattern wavelength. The light beam reflected at the standing wave surface pattern hits a diffusive screen mounted above the liquid-air interface. The shape of the reflected light pattern depends on the surface wave structure. In case of lines, a bright light streak with sharp edges occurs on the screen. Its length, oscillating with the frequency of the external drive, is recorded by a CCD camera and digitized. The largest length during an oscillation cycle yields the maximum surface slope $`\eta (x)/x|_{max}`$. According to the geometry shown in Fig. 2 one obtains

$$\frac{\eta }{x}|_{\mathrm{max}}=\mathrm{tan}(\beta )=\mathrm{tan}(\frac{1}{2}\mathrm{arctan}\frac{s}{d}).$$
(8)
Deflection angles up to $`\beta _{\mathrm{max}}=40^{}`$ have been exploited. Minor effects due to the refraction of the light beam by the glass cover are corrected for. As seen in Fig. 2 the light rays marking the tips of the streak may originate from two neighboring elevation nodes. This and other errors in $`s`$ together with the inaccuracies in $`k`$ and $`d`$ sum up to a relative systematic error in $`\eta /x|_{\mathrm{max}}`$ which does not exceed $`10\%`$ for dive amplitudes $`\epsilon >0.5\%`$ (see Fig. 3a). In case the surface profile at the moment of maximum elevation is approximately sinusoidal with wave number $`k`$ the amplitude $`\eta |_{\mathrm{max}}`$ can be deduced from (8) via

$$\eta |_{\mathrm{max}}=\frac{1}{k}\frac{\eta }{x}|_{\mathrm{max}}.$$
(9)
The light pattern on the diffusive screen is recorded by a CCD camera situated vertically above it. The pictures are evaluated by a home made processing software. To that end each image is binarized and the longest distance between any two points of the light streak is extracted. An automatic adaption of the binarization threshold is implemented to compensate for the decreasing light intensity of the streak during an amplitude ramp.

The measurement of the bifurcation diagram $`\eta /x|_{\mathrm{max}}(\epsilon )`$ runs as follows: Starting at a drive amplitude of $`\epsilon <0.2\%`$, the computer performs an automatic ramp in steps of $`\mathrm{\Delta }\epsilon =0.065\%`$ up to the maximum $`\epsilon _{\mathrm{max}}`$. For sample S1 it is $`\epsilon _{\mathrm{max}}=20\%`$ but only $`\epsilon _{\mathrm{max}}=2\%`$ for the more viscous probe S2. The fluctuations of the drive acceleration vary from $`\pm 0.05\%`$ at low drive ($`a1\mathrm{g}`$) up to $`\pm 0.2\%`$ at $`a20\mathrm{g}`$. Between each increment the ramp is suspended for a waiting period of $`1`$ minute to allow for the system to equilibrate to the new situation. Then a series of $`25`$ snapshots of the light streak is taken at regular intervals of $`20\mathrm{s}`$. This yields the average streak length and the statistical error as indicated by the error bars in Fig. 4b. After each upwards amplitude ramp a second scan in opposite direction down to $`\epsilon =2\%`$ is performed to check for a possible hysteresis in the bifurcation diagram.

## V Numerical simulations

In this paper we present extracts from our numerical simulations of the full nonlinear hydrodynamic problem adapted to treat 2-dimensional Faraday patterns in form of lines. A sketch of the implemented algorithm is given here, details will be presented elsewhere .

The line patterns are considered 2-dimensional in the $`x`$-$`z`$-plane, the $`y`$-direction is ignored. The applied algorithm is based on a popular marker-and-cell-method (MAC)  extensively used to simulate thermal convection in fluids . Therein the non-dimensionalized incompressible evolution equations read as

$`_tu=_xu^2_z(wu)+{\displaystyle \frac{\mathrm{\Omega }}{2\nu k^2}}\left(_{xx}u+_{zz}w\right)_xp,`$ (10)
$`_tw=_x(uw)_zw^2+{\displaystyle \frac{\mathrm{\Omega }}{2\nu k^2}}\left(_{xx}u+_{zz}w\right)_zp,`$ (11)
$`_xu+_zw=0`$ (12)
with $`u`$ and $`w`$ being the $`x`$\- and $`z`$-component of the velocity, respectively and $`p`$ being the pressure. To non-dimensionalize we have used the following unities: wave number $`k`$ for length, $`\mathrm{\Omega }/2`$ for time and $`\rho \mathrm{\Omega }^2/(4k^2)`$ for pressure. The above set of equations is solved on a staggered grid for $`u`$, $`w`$, $`p`$. The time integration is carried out by a forward time step, while the diffusive space derivatives and the pressure gradient is evaluated by central differences. The convective terms are treated by a Donor-Cell-scheme. With a damped Jakobi-method the pressure is determined such that the incompressibility condition (12) is met. Since we are not interested in surface profiles with breaking waves or droplet ejection, $`\eta (x,t)`$ is a single valued function. Its dynamics is determined by the kinematic boundary condition

$$_t\eta =u|_{z=\eta }_x\eta +w|_{z=\eta }.$$
(13)
The dynamical boundary conditions

$$𝒕\sigma ^{}|_{z=\eta }𝒏=0,$$
(14)
$$\begin{array}{c}p|_{z=\eta }𝒏\sigma ^{}|_{z=\eta }𝒏=\frac{4\text{g}k}{\mathrm{\Omega }^2}\left(1+a\mathrm{sin}(2t)\right)\eta \hfill \\ \hfill +\frac{4\sigma k^3}{\rho \mathrm{\Omega }^2}(\mathbf{}𝒏),\end{array}$$
(15)
ensure the continuity of tangential stresses across the interface and the discontinuity of normal stresses due to the finite surface tension. Here $`\sigma _{ij}^{}=2\frac{\nu k^2}{\mathrm{\Omega }}(_iu_j_ju_i)`$ denotes the dimensionless viscous stress tensor, $`𝒏(x,t)`$ is is the surface normal vector in outward direction, and $`𝒕(x,t)`$ the tangential vector perpendicular to it. Note that the tangential condition is completely ignored in some previous free surface algorithms . Here the implementation of Eq. (14) is accomplished by approximating the discretized interface line by either horizontal, vertical or diagonal segments as suggested by Grieb . Besides the surface boundary conditions we impose a no-slip condition at the bottom. For the present simulations periodic boundary conditions in lateral direction are used, even though our algorithm allows to switch easily to a realistic no-slip situation. All simulations are performed by a mesh composed of $`80`$ cells per wavelength $`2\pi /k`$ at a time step size of $`0.001`$.

We emphasize that the present integration method does not suffer from the limitations of earlier algorithms (see Sec. III B 1 above). In particular, since it is based on the full Navier-Stokes equations, there is no restriction to the weakly dissipative limit. Moreover, our algorithm allows to study finite filling levels, even if the depth of the viscous boundary layer compares to the layer thickness $`h`$.

## VI Results

### A Measurements at low viscosity

By virtue of the rectangular container shape the primary Faraday pattern consists of lines oriented parallel to the shorter sidewall. This is in contrast to control experiments carried out in large aspect ratio vessels, where squares are the selected planform under otherwise identical conditions. At the onset of the instability defining $`\epsilon =0`$ the lines occur first in local regions of the surface. By increasing the drive up to $`\epsilon 0.5\%`$ the line pattern spreads out over the whole surface. This non-ideal onset is due to the spatial inhomogeneity of the drive. To rule out whether the finite longitudinal container dimension gives rise to a mode discretization we scanned the drive frequency between $`\mathrm{\Omega }/2\pi =80\mathrm{H}\mathrm{z}`$ up to $`100\mathrm{H}\mathrm{z}`$ in steps of $`0.5\mathrm{Hz}`$. Thereby the number of waves fitting into the container increased from $`32`$ to $`37`$ in a continuous manner. By virtue of the ”beach like” container rim no stepwise behavior of the curves $`k_c(\mathrm{\Omega })`$ or $`a_c(\mathrm{\Omega })`$ could be detected. Moreover, the measured onset amplitude and wave number always agreed within $`0.5\%`$ with the theoretical prediction of the exact linear analysis computed for a laterally infinite fluid layer.

A set of amplitude measurements performed at four different drive frequencies is shown in Fig. 3. Only the data obtained by up-ramping the drive are plotted since the corresponding down-ramps did not deviate significantly. There was no indication for a hysteretic transition. The highest drive amplitude achieved was $`\epsilon _{\mathrm{max}}40\%`$ (Fig. 3b) where the maximum surface elevation reaches about $`0.5\mathrm{mm}`$, i.e. already $`16\%`$ of the layer thickness. However in most runs the amplitude scan had to be stopped at $`\epsilon _{\mathrm{max}}20\%`$ due to an incipient defect dynamics. Over the whole investigated drive amplitude range, $`0<\epsilon <20\%(40\%)`$ no deviation of the non-linear wave number $`k(\epsilon )`$ from its onset value $`k_c`$ could be detected.

The bifurcation diagrams $`\eta |_{\mathrm{max}}(\epsilon )`$ as shown in Fig. 3 demonstrate that a square-root like increase according to the theoretical prediction $`\eta |_{\mathrm{max}}=\sqrt{\epsilon /\mathrm{\Gamma }}`$ (solid line in Fig. 3) is limited to rather small drive amplitudes below $`\epsilon 2.5\%`$. For a closer quantification we used the experimental data at $`0<\epsilon <2.5\%`$ and fitted the coefficient $`\mathrm{\Gamma }`$. Good agreement with the prediction of Zhang and Vinãls (see squares and solid line in Fig.4) is observed. It is interesting and to our knowledge unmentioned yet that the analytical expression for $`\mathrm{\Gamma }/k_c^2`$  becomes $`\mathrm{\Omega }`$-independent at large drive frequencies according to

$$\mathrm{\Gamma }/k^23.84+2^{\frac{2}{3}}\frac{11}{240}\nu ^2(\frac{\sigma }{\rho })^{4/3}\mathrm{\Omega }^{\frac{2}{3}},$$
(16)
It can be seen from Fig. 4 that this asymptotics applies fairly well already at drive frequencies beyond $`\mathrm{\Omega }/2\pi =60\mathrm{H}\mathrm{z}`$. As a consequence of Eq. (16) the surface slope $`\eta /x|_{\mathrm{max}}`$ should be asymptotically independent of the drive frequency. This is tested by Fig. 5, where the surface slopes associated with different drive frequencies approximately collapse on a common master curve. This scaling persists even for $`\epsilon >2.5\%`$, i.e. beyond the validity range of the perturbation analysis.

Let us briefly discuss possible sources for discrepancies between pertubation analysis and experiment. As mentioned above, the appearance of line patterns aligned parallel to the shorter container side (transverse mode) is enforced by the rectangular container geometry. The result of this finite geometry effect may be twofold, linear and non-linear. The linear one is negligible as can be seen from the following argument: The container sidewalls provide a damping offset to both, the longitudinal and the transverse line mode. However, since the distance between the longer sidewall pair is smaller the threshold shift for the longitudinal mode is enhanced. Indeed, we even find the threshold of the transverse mode almost unaffected: The empiric Faraday onset $`a_c`$ agrees within $`0.5\%`$ with the prediction of the exact stability analysis computed for a laterally infinite container. Clearly, this linear reasoning does not imply that the saturated nonlinear pattern amplitude remains unchanged too. However, estimating the geometry effect upon the coefficient $`\mathrm{\Gamma }`$ is a difficult task: To that end one had to redo the perturbation analysis in terms of the container eigenmodes instead of the simpler plane waves.

A second cause for deviations to the experimental results is the restriction of the perturbation analysis to a pure sinusoidal time dependence as given by Eq. (6). However, as outlined in Sec. III B 2 the actual frequency spectrum of the Faraday mode is not monochromatic. In the investigated region the error in $`a_c`$ resulting from this approximation lies between $`10\%`$ and $`20\$`$.

For a quantitative comparison with the experimental data at elevated drive amplitudes we refer to the numerical simulations as described in Sec. III B 1 and indicated in Fig. 3 by the open symbols. Up to elevated drive amplitudes of $`\epsilon _{\mathrm{max}}20\%`$ we observe good agreement between simulation and experiment. The deviation is nowhere worse than $`15\%`$ but considerably better at the higher drive amplitudes, where the systematic error of the detection method is smallest (see Figs. 3c,d). Beyond predicting the local elevation maximum the simulations also provide access to the spatial anharmonicity of the surface elevation. We find that the spatial harmonics $`2k`$, $`3k`$ … contribute to the Fourier spectrum by less than $`4\%`$. This justifies a posteriori to equate the elevation amplitude $`\eta |_{\mathrm{max}}`$ with the ratio $`\eta /x|_{\mathrm{max}}/k_c`$ as used to produce Fig. 3.

### B Measurements at high viscosity

Following the same procedure as in the previous section we performed a set of amplitude measurements on the more viscous fluid sample S2 (see Fig. 6) at a temperature of $`30^{}\mathrm{C}`$. Again the selected pattern consists of parallel transverse lines. However, unlike S1, this is the preferred planform in large aspect ratio containers too, being a result of the elevated viscosity of probe S2. Consequently the rectangular container geometry just determines the orientation of the lines rather than altering the selected pattern.

Also in contrast to S1 the more viscous probe S2 exhibits a wave amplitude, which grows rapidly with the driving acceleration (Fig. 6). The maximum deflection angle of $`\beta _{\mathrm{max}}40^{}`$ is reached at $`\epsilon <1\%`$. Clearly, at those small drive all bifurcation diagrams show fairly well a square-root like increase according to Eq. (4). However, the coefficient $`\mathrm{\Gamma }`$ as compiled from the data at $`0<\epsilon <0.8\%`$ is an order of magnitude larger than for S1 (circles in Fig. 4). Moreover, $`\mathrm{\Gamma }`$ deviates substantially from the prediction of the perturbation analysis (dashed line in Fig. 4). But the latter observation is not surprising since both the low damping approximation as well as the infinite depth assumption are violated for S2: Note that $`1.3<\gamma <1.7`$ and the depth of the viscous boundary layer is $`0.5\mathrm{mm}`$, i.e. $`20\%`$ of the layer thickness. Although the perturbation analysis does not quantitatively apply here, we recover the same $`\mathrm{\Omega }`$-independent scaling of the bifurcation diagram. The data for the slope $`\eta /x|_{\mathrm{max}}(\epsilon )`$ collapse again on a master curve (see Fig. 6) the same way as they did for S1 in Fig. 5.

### C Viscosity dependent measurements

A final set of measurements is devoted to the viscosity dependence of the surface elevation. Fig. 7a shows a set of bifurcation diagrams obtained with S2 at different viscosities (see Tab. I). This is accomplished by varying the temperature of the probe. These measurements are performed at the drive frequency $`\mathrm{\Omega }/2\pi =80\mathrm{H}\mathrm{z}`$. In agreement with our previous observations the surface elevation steeply rises as the viscosity increases. Fig. 7b shows the dependence of the coefficient $`\mathrm{\Gamma }`$ on the viscosity as fitted from the experimental data. By comparison with the result of the weakly nonlinear analysis (solid line in Fig. 7b) we conclude that the small damping approximation $`\gamma 1`$ holds at best up to viscosities of $`\nu 50\mathrm{c}\mathrm{S}`$.

## VII Conclusions

We have presented a series of systematic amplitude measurements for stationary Faraday surface waves. The investigation is accomplished by a laser beam reflected at the oscillating surface. To facilitate the interpretation of the data the measurements are performed on line patterns, which are enforced by the rectangular container geometry. Due to the soft ”beach like” boundary conditions a mode discretization is avoided. Bifurcation diagrams of the maximum surface deflection vs. the drive amplitude are systematically recorded over a wide parameter range of drive frequency and sample viscosity.

The experimental data reveal that the perturbation analysis of Zhang and Vinãls  applies quantitatively to fluids with a viscosity of less than $`50\mathrm{c}\mathrm{S}`$ and to very small drive amplitudes of not more than $`2.5\%`$. Moreover, we observe that the surface slope scales almost independently of the drive frequency. This finding is also supported by the analytical expression for the nonlinear coupling coefficient $`\mathrm{\Gamma }`$ as derived in the framework of the perturbation theory. Qualitatively this scaling behavior persists even up to drive amplitude of $`\epsilon _{\mathrm{max}}20\%`$, i.e. at operating conditions, where the perturbation theory is no longer applicable.

For a quantitative comparison of our data at elevated drive amplitudes we provide a numerical simulation of Faraday waves on the basis of the full Navier-Stokes equation. This new algorithm does not suffer from the standard restrictions of the low dissipation limit and large filling thicknesses as used by other previous simulations. Good quantitative agreement with the empiric data is found up to the highest investigated drive amplitudes of $`\epsilon _{\mathrm{max}}20\%`$.

Acknowledgements — We thank J. Albers for his support. This work is subsidized by Deutsche Forschungsgemeinschaft.


text:
# Delta-Hole Interaction in Nuclei and the Gamow-Teller Strength in 90Nb E-mail addresses: bentz@keyaki.cc.u-tokai.ac.jp (W. Bentz), suzuki@chs.nihon-u.ac.jp (Toshio Suzuki), suzuki@quantum.apphy.fukui-u.ac.jp (Toshio Suzuki)

## Abstract

The recently obtained experimental result for the quenching of the GT sum rule in the reaction 90Zr(p,n)90Nb is used to extract the value of the Landau-Migdal parameter $`g_{\mathrm{N}\mathrm{\Delta }}^{}`$, taking into account also the effect of the finite range meson exchange interactions. The extracted value is compared to the one obtained in the $`\pi +\rho `$ exchange model by explicitly taking into account the effects of antisymmetrization and short range correlations. Although the $`\pi `$+$`\rho `$ exchange model tends to give a somewhat stronger quenching than observed experimentally, the results are consistent within the experimental error bars if the quark model value for the parameter $`f_\mathrm{\Delta }/f_\pi `$ is used.

PACS: 21.30.Fe; 21.60.Ev; 24.30.Cz; 25.40.Kv; 27.60.+j
Keywords; Landau-Migdal parameters; Quenching of Gamow-Teller strength; $`\mathrm{\Delta }`$-hole interaction

The study of the renormalization of Gamow-Teller (GT) matrix elements in nuclei has revealed valuable information on nuclear structure effects and non-nucleonic degrees of freedom like mesons and delta-isobars . If one considers only the low energy part of the GT strength function, as provided by the GT $`\beta `$-decay matrix elements or the charge exchange reactions at low excitation energies, one cannot decide a priori whether the experimentally observed quenchings originate from nuclear structure effects, like configuration mixing and core polarization, or from non-nucleonic degrees of freedom. Although theoretical calculations with realistic interactions have shown that a considerable amount of strength is shifted to the higher energy region due to the admixture of $`2p2h`$ components in even-even nuclei, the observed quenchings have also been attributed to the admixture of $`\mathrm{\Delta }`$-hole components by assuming a large value of the Landau-Migdal parameter $`g_{\mathrm{N}\mathrm{\Delta }}^{}`$ characterizing the strength of the $`NNN\mathrm{\Delta }`$ transition potential . In order to discriminate between these two interpretations, Wakasa et al.  have recently used the reaction 90Zr(p,n)90Nb to extract the value of the GT sum rule (or more precisely the Ikeda sum rule ) integrated up to about $`50`$ MeV excitation energy. Since this value of the excitation energy is sufficiently high to include most, if not all, of the strength due to $`2p2h`$ excitations , their result $`(S_{}S_+)_{\mathrm{exp}}/S_0=0.9\pm 0.05`$ indicates that the quenching due to the $`\mathrm{\Delta }`$-hole excitations should be about $`10\%`$ or even smaller. 111Here $`S_{}`$ is the sum rule for the GT transition $`(N,Z)(N1,Z\pm 1)`$. In the convention used here the neutron (proton) has $`t_z=1/2(t_z=1/2)`$. The Ikeda sum rule $`S_{}S_+=3(NZ)`$ is satisfied by the single particle values, i.e; $`S_0=3(NZ),S_{+0}=0`$.

In order to extract information on the value of $`g_{\mathrm{N}\mathrm{\Delta }}^{}`$ from this observation, Suzuki and Sakai  recently performed an analysis by assuming that the relevant part of the transition potential is solely given by the delta-function type Landau-Migdal interaction. For the case of vanishing $`N\mathrm{\Delta }N\mathrm{\Delta }`$ interaction, their analysis gave $`g_{\mathrm{N}\mathrm{\Delta }}^{}=0.18`$ ($`g_{\mathrm{N}\mathrm{\Delta }}^{}=0.12`$) if the quark model (Chew-Low model) value of the parameter $`f_\mathrm{\Delta }/f_\pi `$ (see eqs. (1) and (2) below) is assumed, which is considerably smaller than one would expect on the basis of the $`\pi +\rho `$ exchange model . The assumption of a pure delta function potential is justified in nuclear matter, since the direct term due to the ’bare’ $`\pi `$ \+ $`\rho `$ meson exchange transition potential ($`V_{\pi +\rho }(𝒒`$)) vanishes for $`𝒒=0`$. In finite nuclei, however, due to the lack of momentum conservation, $`V_{\pi +\rho }(𝒒)`$ acts attractively and enhances the GT matrix elements, which would imply a larger value of $`g_{\mathrm{N}\mathrm{\Delta }}^{}`$ in order to balance this attraction. The purpose of this letter is to investigate this possibility and to comment on the question whether the $`\pi +\rho `$ model is consistent with the experimentally observed quenching or not.

Following the perturbative treatment of Arima et al , the GT sum rule $`S_{}`$ including the effects of $`\mathrm{\Delta }`$-hole excitations in lowest order is represented diagrammatically by fig.1.

The external GT operator is given in the space of $`N`$ and $`\mathrm{\Delta }`$ states by

$$𝒪_k=\frac{1}{2}\left(\sigma _k\tau _{}+\frac{f_\mathrm{\Delta }}{f_\pi }S_kT_{}+\frac{f_\mathrm{\Delta }}{f_\pi }(S^{})_k(T^{})_{}\right),$$
(1)
where the transition spin $`𝑺`$ (transition isospin $`𝑻`$) transforms a nucleon into a delta with the reduced matrix elements given by $`<\frac{3}{2}||S||\frac{1}{2}>=<\frac{3}{2}||T||\frac{1}{2}>=2`$ 222We define the spherical $`\pm `$ components by $`A_\pm =A_1\pm iA_2`$. Useful relations for the transition spin are $`(S^{})_iS_j=\frac{2}{3}\delta _{ij}\frac{i}{3}ϵ_{ijk}\sigma _k`$ and similar for the transition isospin.  We will use the quark model value $`\frac{f_\mathrm{\Delta }}{f_\pi }=\sqrt{\frac{72}{25}}`$ as in ref. , and also $`\frac{f_\mathrm{\Delta }}{f_\pi }=2`$ , which is based on the Chew-Low model . For the transition 90Zr$`^{90}`$Nb, the relevant proton-particle neutron-hole states $`(m,i)`$ in fig. 1 are $`(g_{9/2},g_{9/2})`$ and $`(g_{7/2},g_{9/2})`$. The first diagram alone gives the single particle value $`S_0=3(NZ)=30`$. The diagrams of fig.1 refer to a calculation in which the effects of the exchange terms and short range correlations (s.r.c.) are explicitly taken into account, that is, in the $`\pi `$\+ $`\rho `$ exchange model the transition potential is given by $`V_{\pi +\rho }(𝒓)f(r)`$, where $`f(r)`$ is a s.r.c. function 333In the actual calculation we use $`f(r)=\mathrm{\Theta }(rc)`$ with $`c=0.7`$ fm., and the ’bare’ transition potential is (in momentum space)

$`V_{\pi +\rho }(𝒒)`$ $`=`$ $`{\displaystyle \frac{f_\mathrm{\Delta }}{f_\pi }}\left(\left({\displaystyle \frac{f_\pi }{m_\pi }}\right)^2{\displaystyle \frac{𝝈_1𝒒𝑺_2𝒒}{𝒒^2+m_\pi ^2}}+\left({\displaystyle \frac{f_\rho }{m_\rho }}\right)^2{\displaystyle \frac{\left(𝝈_1\times 𝒒\right)\left(𝑺_2\times 𝒒\right)}{𝒒^2+m_\rho ^2}}\right)𝝉_1𝑻_2`$ (2)
$`+`$ $`(12)+h.c.`$
Here we use the coupling constants $`f_\pi ^2=4\pi 0.08=1.01`$, and $`f_\rho ^2=4\pi 4.86=61.04`$ . We use harmonic oscillator single particle wave functions with $`\mathrm{}\omega =9.23`$ MeV (b=$`2.12`$ fm) . Note that in a calculation of this type, which includes explicitly the exchange terms and s.r.c., $`g_{\mathrm{N}\mathrm{\Delta }}^{}`$ does not appear explicitly. We will refer to such a kind of calculation as ’type 1’.

The resulting quenching factors $`S_{}/S_0`$ obtained in this type 1 calculation are shown in the second and fourth columns of Table 1. Here ’$`\pi `$ only’ refers to a calculation taking only the pion exchange potential ($`V_\pi `$) supplemented by the s.r.c. function, and ’$`\pi +\rho `$’ includes also the effects of $`\rho `$ meson exchange. Comparing these results to the experimental value of ref. , we see that, for the case of the quark model value $`\frac{f_\mathrm{\Delta }}{f_\pi }=\sqrt{\frac{72}{25}}`$, pion exchange alone leads to the observed quenching factor, but the quenching obtained by including also the $`\rho `$ meson exchange is somewhat too strong, although it is still within the error bars of the experimental value. The quenching obtained with $`\frac{f_\mathrm{\Delta }}{f_\pi }=2`$, however, seems to be too strong compared to the experimental value.

In order to translate these results into values for $`g_{\mathrm{N}\mathrm{\Delta }}^{}`$, we also performed a calculation of ’type 2’, which considers only the direct terms in fig.1 with the bare meson exchange potentials (without s.r.c. functions), but supplemented by the contact interaction of Landau-Migdal type (in momentum space),

$$V_{L.M.}=g_{\mathrm{N}\mathrm{\Delta }}^{}\left(\frac{f_\pi }{m_\pi }\right)^2\frac{f_\mathrm{\Delta }}{f_\pi }(𝝈_1𝑺_2𝝉_1𝑻_2+(12)+\mathrm{h}.\mathrm{c}.)$$
(3)
In this ’type 2’ calculation, the effects of the exchange terms and s.r.c. are incorporated into the interaction (3). If we determine the value of $`g_{\mathrm{N}\mathrm{\Delta }}^{}`$ such as to reproduce the results of the type 1 calculation, we obtain the values shown in table 1. The resulting value $`g_{\mathrm{N}\mathrm{\Delta }}^{}=0.35`$ shown in table 1 is very similar to the average value deduced in ref.  for finite nuclei. (The value obtained in nuclear matter for normal density is somewhat larger, around $`0.4`$.)

On the other hand, we can also determine ’empirical’ values of $`g_{\mathrm{N}\mathrm{\Delta }}^{}`$ such as to reproduce the experimental quenching factor. The results are shown in Table 2. They are obtained by assuming (i) only the Landau-Migdal type interaction (3), (ii) the interaction (3) together with $`V_\pi `$, and (iii) the interaction (3) together with $`V_{\pi +\rho }`$. These results, of course, refer to the ’type 2’ calculation, i.e; only the direct terms of fig. 1 are considered and no s.r.c. function is used.

The value $`g_{\mathrm{N}\mathrm{\Delta }}^{}=0.18`$ ($`g_{\mathrm{N}\mathrm{\Delta }}^{}=0.13`$) for the case of the quark model (Chew-Low model) value of $`\frac{f_\mathrm{\Delta }}{f_\pi }`$ agrees with the result of ref. , where only the interaction (3) was used. (A small difference arises because $`\frac{f_\mathrm{\Delta }}{f_\pi }=2.12`$ was used for the Chew-Low model value in ref. .) Since the ’bare’ meson exchange potentials (2) vanish for $`q=0`$, their direct terms give no contribution in nuclear matter due to momentum conservation, and the assumption of a pure $`\delta `$-function type interaction would be justified in nuclear matter. However, we see from Table 2 that the attractive contribution due to pion exchange is appreciable in finite nuclei, and in order to balance the attraction due to $`V_\pi `$ the value of $`g_{\mathrm{N}\mathrm{\Delta }}^{}`$ has to be increased. The $`\rho `$ meson exchange contributes only little, since it is of short range and therefore the nuclear matter picture is valid to a good approximation. From Table 2 we can conclude that, due to the presence of $`V_{\pi +\rho }`$, the value of $`g_{\mathrm{N}\mathrm{\Delta }}^{}`$ increases by about 0.1 and, for the case of the quark model $`(\frac{f_\mathrm{\Delta }}{f_\pi }=\sqrt{\frac{72}{25}}`$), becomes consistent with the meson exchange picture (Table 1). For the case of the Chew-Low model $`(\frac{f_\mathrm{\Delta }}{f_\pi }=2`$), however, the value of $`g_{\mathrm{N}\mathrm{\Delta }}^{}`$ fitted to the experimental quenching is definitely smaller than the value obtained in the meson exchange picture. This corresponds to the situation discussed above that the quenching calculated in the meson exchange picture is consistent with (stronger than) the experimental quenching for the case of the quark model (Chew-Low model) value of $`\frac{f_\mathrm{\Delta }}{f_\pi }`$.

It is interesting to note that our present perturbative approach is equivalent to the RPA formulation of ref.  for the case of vanishing $`N\mathrm{\Delta }N\mathrm{\Delta }`$ interaction. In order to see the connection clearly, let us derive the analytical result for the quenching factor obtained in ref.  from the diagrams of fig.1: As usual, one can approximate the energy denominators by a constant ($`1/ϵ_\mathrm{\Delta }`$ with $`ϵ_\mathrm{\Delta }294`$ MeV), which allows one to perform the sum over the $`\mathrm{\Delta }`$ states by using completeness. In this way one obtains from fig.1

$`S_{}`$ $`=`$ $`{\displaystyle \frac{1}{4}}{\displaystyle \underset{k=1}{\overset{k=3}{}}}{\displaystyle \underset{mi}{}}|m|\sigma _k\tau _{}|ig_{\mathrm{N}\mathrm{\Delta }}^{}\left({\displaystyle \frac{f_\pi }{m_\pi }}{\displaystyle \frac{f_\mathrm{\Delta }}{f_\pi }}\right)^2{\displaystyle \frac{8}{9ϵ_\mathrm{\Delta }}}`$ (4)
$`\times `$ $`{\displaystyle \underset{h}{}}h|(\delta _{kl}{\displaystyle \frac{i}{4}}\tau _3ϵ_{kk^{}l}\sigma _k^{})G_{mi}^{(l)}(𝒓_h)|h|^2`$
with the spin-isospin density

$$G_{mi}^{(l)}(𝒓)=m|\sigma _l\tau _{}\delta (𝒓𝒓_i)|i.$$
(5)
By using simple angular momentum algebra one can show that the spin dependent term in eq.(4) is zero. Then the term $`h|\mathrm{}|h`$ in (4) becomes $`d^3r\rho _0(𝒓)G_{mi}^{(k)}(𝒓)`$, where $`\rho _0(𝒓)=_hh|\delta (𝒓_h𝒓)|h`$ is the ground state nucleon density of 90Zr. Since $`G_{mi}^{(k)}(𝒓)`$ is strongly peaked at the nuclear surface, one can approximate this integral by replacing $`\rho _0(𝒓)`$ by its value at the nuclear surface, i.e; $`\rho _0(𝒓)\gamma \rho _0`$, where $`\gamma 0.5`$ is the attenuation factor for nuclear surface effects, and $`\rho _0=0.17`$ fm-3. Since the remaining integral over the spin-isospin density just gives the single-particle matrix element $`m|\sigma _k\tau _{}|i`$, one ends up with a state independent quenching factor $`QS_{}/S_0`$ given by

$$Q=\left(1g_{\mathrm{N}\mathrm{\Delta }}^{}\left(\frac{f_\pi }{m_\pi }\frac{f_\mathrm{\Delta }}{f_\pi }\right)^2\frac{8}{9ϵ_\mathrm{\Delta }}\gamma \rho _0\right)^2,$$
(6)
and with the quark model value $`\left(\frac{f_\mathrm{\Delta }}{f_\pi }\right)^2=\frac{72}{25}`$, this corresponds to eq.(35) of ref.  for the case $`g_{\mathrm{\Delta }\mathrm{\Delta }}^{}=0`$. 444We note that the term $`(ZN)/2A`$ in eq. (36) of ref.  should actually be absent due to a cancellation between the forward and backward $`\mathrm{\Delta }h`$ contributions. However, this term is very small for the present case of 90Zr. It is actually overwhelmed by ambiguities in the attenuation factor $`\gamma `$, such that our numerical results for the case ’$`V_{L.M.}`$ only’ shown in Table 2 are actually the same as in ref. . The values $`g_{\mathrm{N}\mathrm{\Delta }}^{}=0.18`$ and $`g_{\mathrm{N}\mathrm{\Delta }}^{}=0.13`$ listed in table 2, which have been obtained without using the approximation for nuclear surface effects, correspond to $`\gamma =0.49`$.

In conclusion, we have shown that the recently obtained experimental result for the quenching of the GT sum rule in 90Nb is consistent with the meson exchange picture for the $`\mathrm{\Delta }h`$ interaction in nuclei, if the quark model value for $`\frac{f_\mathrm{\Delta }}{f_\pi }`$ is assumed. In order to arrive at this conclusion, it is important to take into account also the finite range $`\pi +\rho `$ exchange potentials in addition to the Landau-Migdal type interaction.

Acknowledgement
The authors wish to thank Hideyuki Sakai for his encouragement and helpful discussions.


text:
# PRESENT AND FUTURE OSCILLATION EXPERIMENTS AT REACTORS

## 1 INTRODUCTION

In this report we discuss the following experiments and projects:

* The first long baseline experiment at CHOOZ (France, Italy, Russia, US) completed soon after NANP’99: final results
* The long baseline Palo Verde experi-ment in Arizona : current results. The experiment is scheduled to be finished in 2000 y.
* The long baseline two detector project Kr2Det for the Krasnoyarsk underground (600 mwe) site aimed to search for very small mixing angles . The project is in a R$`\&`$D stage.
* The very long baseline experiment KamLAND at Kamioka (Japan, the USA) . The data taking can start in 2001 y.

To safe the pages we do not consider the very long baseline experiment BOREXINO at Gran Sasso, which has been reported in detail at this Conference by T. Hagner. We also refer to the reports given here by V. Sinev, who considers possibilities of testing the LSND oscillations in a reactor experiment, and V. Kopeikin who presents new information on the reactor antineutrino energy spectra important for data analysis.

We consider the oscillation experiments at reactors as an effective tool to investigate the internal mass-structure of the electron neutrino. In this we use analysis developed in .

All oscillation experiments considered here are based on the reaction of the inverse beta decay

$$\overline{\nu }+pn+e^+$$
(1)
with a threshold of 1.80 MeV, and use ($`e^+,n`$) delay coincidence technique. The energy of the ejected positron is

$$T=E1.80MeV$$
$`(1^{})`$
($`E`$ is the energy of the incoming anti-neutrino). In most cases the annihilation quanta are absorbed in the fiducial volume and the visible energy of positron is $``$1 MeV higher than that of Eq. (1). The first two experiments make use of Gd loaded liquid scintillator as a $`\overline{\nu _e}`$ target, for Kr2Det and very long baseline experiments no Gd is planned.

## 2 Motivations

2.1. First we remind of parameters that describe the oscillation process in the two-neutrino model. The survival probability $`P(\overline{\nu _e}\overline{\nu _e})`$ that the electron antineutrino will retain its initial flavor at a distance of $`L`$ meters from the source is given by the expression:

$`P(\overline{\nu _e}\overline{\nu _e})=1\mathrm{sin}^22\theta \times `$
$`\mathrm{sin}^2({\displaystyle \frac{1.27\mathrm{\Delta }m^2L}{E}})`$ (2)
where $`\mathrm{sin}^22\theta `$ is the mixing parameter, $`\mathrm{\Delta }m^2(eV^2)m_2^2m_1^2`$ is the mass parameter and $`m_{1,2}`$ are masses of the interfering states.

A specific deformation of the measured positron (antineutrino) energy spectrum and a deficit of the total antineutrino detection rate relative to the no-oscillation case are the oscillation signatures, which are searched for in the experiment. Calculation shows that for soft reactor neutrinos the distortion of the energy spectrum is most pronounced and the deficit of the neutrino detection rate is maximal for

$`\mathrm{\Delta }m^2L5(eV^2m)`$
$`(sensitivitycondition)`$ (3)
2.2. No theory can predict today neutrino mass and mixing parameters. Positive information on this subject comes from the studies of the atmospheric and solar neutrinos.

The Super-Kamiokande observations of atmospheric neutrinos provide a strong evidence for neutrino oscillations. Recent data reported at NEUTRINO’2000, if interpreted as $`\nu _\mu \nu _\tau `$ transitions, are best fit by the oscillation parameters :

$`\mathrm{\Delta }m_{atm}^23\times 10^3eV^2(most`$
$`probablevalue),\mathrm{sin}^22\theta _{atm}>0.88,`$ (4)
It should be emphasized however that analysis of the atmospheric neutrinos leaves quite a large room for the $`\nu _\mu \nu _e`$ channel as a subdominant one.

The energy dependent deficit of the solar neutrinos relative to the Standard Solar Model prediction is another strong argument in favor of the oscillation hypothesis. By assigning particular values to the parameters $`\mathrm{\Delta }m^2`$ and $`\mathrm{sin}^22\theta `$ and by inclusion of the MSW mechanism all observations can be accounted for . The most recent data from Super-Kamiokande as analyzed in  give however a strong preference to only one of the solutions labeled as Large Mixing Angle (LMA) MSW solution:

$`\mathrm{\Delta }m_{sol}^23\times 10^5eV^2,`$
$`\mathrm{sin}^22\theta _{sol}0.7,`$ (5)
Other possibilities, the SMA MSW and vacuum oscillation solutions, are now strongly disfavored.

Eqs (3)-(5) show that the long baseline (LBL) and very long baseline (VLBL) reactor experiments explore the electron neutrino mixing respectively in the atmospheric and solar neutrino mass parameter regions.

2.3. We go now to the three active neutrino oscillations. In this case the mixing para-meters $`\mathrm{sin}^22\theta `$ are expressed through the elements of the neutrino mixing matrix $`U_{ei}`$, which represent the contributions of the mass states to the electron neutrino flavor state $`\nu _e`$:

$`\nu _e=U_{e1}\nu _1+U_{e2}\nu _2+U_{e3}\nu _3;`$
$`U_{e1}^2+U_{e2}^2+U_{e3}^2=1,`$
$`\mathrm{sin}^22\theta _{LBL}=4U_{e3}^2(1U_{e3}^2),`$
$`\mathrm{sin}^22\theta _{VLBL}=4U_{e1}^2U_{e2}^2`$ (6)
($`\nu _i`$ are the mass eigenstates).

We conclude that the LBL and VLBL experiments at reactors can provide full information on the electron neutrino mass structure, at least in the 3-neutrino mixing model. It is interesting to mention that sensitive measurements of $`U_{e3}`$ can help to choose between possible oscillation solutions of the solar neutrino problem independent of the VLBL experiments .

## 3 The CHOOZ Experiment

The CHOOZ detector was built in an underground gallery (300 mwe) at distances of about 1000 m and 1110 m from two RWR reactors of total nominal power 8.5 GW (th). The detector shown in Fig. 1 has three concentric zones. The central zone with 5 tons of hydrogen-rich Gd-loaded liquid scintillator served as a target for antineutrinos. The target is immersed in a 70 cm thick intermediate zone filled with a Gd-free scintillator (17 tons) and surrounded by a veto outer region with 90 tons of ordinary scintillator. The inner two zones are viewed by 192 eight-inch PMT’s.

The data was obtained at different power levels of the CHOOZ NPP newly built reactors as they were gradually brought into operation. This schedule was very useful for determining the reactor OFF background. A summary of data taking periods from April 1997 till July 1998 is shown in Table 1.

The selection of neutrino events is based on the following conditions: (i) energy cuts on the positron candidate (1.3 - 8 MeV) and on the neutron candidate (6 - 12 MeV), (ii) a time window on the delay between $`e^+`$ and neutron (2 - 100) ms, (iii) spatial cuts on the positron and neutron positions (distance from the PMT surface $`>`$ 0.3 m and distance between positron and neutron events $`<`$ 1.0 m). Under these conditions the antineutrino detection efficiency was found to be $`ϵ=(69.8\pm 1.1)\%`$.

Total about 2500 $`\overline{\nu _e}`$ were detected during the data acquisition periods. The measured neutrino detection rate is 2.58 per day per GW of reactor power and the typical ratio of the neutrino to background detection rates is 10:1. The ratio $`R_{meas/calc}`$ of the measured to expected for no-oscillation case neutrino detection rates is found to be:

$`R_{meas/calc}=1.01\pm 2.8\%(stat)`$
$`\pm 2.7\%(syst),`$ (7)
Ratio (7) was computed with the use of the reaction (1) cross section accurately measured by the KURCHATOV-IN2P3 group at a distance of 15 m from the Bugey-5 reactor . Uncertainties which build up the total systematic error given in Eq. (7) are listed in the Table 2.

The positron and background spectra measured during reactor ON and OFF periods are shown in Fig. 2a, the ratio of the measured to the expected spectrum can be seen in Fig. 2b. Clearly, neither the $`\overline{\nu _e}`$ detection rate, nor positron spectrum shows any signs of neutrino oscillation.

The CHOOZ oscillation constraints are derived by comparing all the available experimental information to expected no-oscillation values. The result (Fig. 3 the curve “CHOOZ”) directly depends on the correct determination of the absolute $`\overline{\nu _e}`$ flux and their energy spectra, the nuclear fuel burn up effects, $`\overline{\nu _e}`$ cross section, detector efficiency and spectral response$`\mathrm{}`$

We note that CHOOZ does not observe the $`\overline{\nu _e}`$ oscillation in the mass region $`\mathrm{\Delta }m_{atm}^2`$ where muon neutrinos oscillate intensively:

$`\mathrm{sin}^22\theta _{CHOOZ}0.1,`$
$`U_{e3}^22.5\times 10^2`$
$`(at\mathrm{\Delta }m^2=3\times 10^3)`$ (8)
The CHOOZ experiment has demonstrated a considerable improvement on the reactor $`\overline{\nu _e}`$ detection techniques: the level of the background at CHOOZ ($``$0.3 per day, per target ton) is almost a thousand times lower than has ever been achieved in previous experiments. In this connection we would mention two important points. The first is the underground position of the detector. The 300 mwe rock overburden reduces the flux of cosmic muons, the main source of the time-correlated background, by a factor of $``$300 to a value of 0.4 m-2 s-1. The second point is associated with the zone-2 of the detector. The scintillator of this zone absorbs the radiation coming from high natural radioactivity of the PMT’s glass and relevant events are rejected by the spatial cuts thus reducing the accidentals. These two features are specific for future LBL and VLBL projects with the difference that greater baselines require deeper detector positions and the protective region between the fiducial volume and PMTs is thicker and is filled with non-scintillating mineral oil.

## 4 The Palo Verde Experiment

This experiment uses detector of quite a different design and more sophisticated selection criteria. The difference is caused by a shallow position of the laboratory (32 mwe) and $``$50 times higher muon flux than at the CHOOZ site.

The $`\overline{\nu _e}`$ target is a $`6\times 11`$ matrix composed of 12.7 cm $`\times `$ 25 cm $`\times `$ 900 cm acrylic cells. The inner 7.4 m-long part of the sell is active and 0.8 m on each side serve as oil light guides and buffers, which shield the central part from external radioactivity (Fig. 4). The total volume of the liquid scintillator (Gd) amounts to 12 m3. A 1-m thick layer of purified water passive shielding surrounds the central detector. The outmost layer of the detector is composed of veto counters. The veto rate is typically $``$2 kHz.

The experiment is situated in Arizona, the USA. Three identical PWR type reactors of total power of 11.6 GW (th) are located at distances of 890, 890 and 750 m from the detector. Each reactor is shut down for refueling every year. Two of the reactors are ON at any given time.

The positron trigger is a fast (30 ns) triple coincidence between neighboring cells requiring one cell above 600 keV (positron ionization) and two cells above about 40 keV to detect Compton recoils from annihilation quanta. Similar conditions are used for the neutron candidates. The time delay between the positron and neutron “triples” was chosen about 450ms long, much longer than neutron capture time in the Gd-loaded scintillator ($``$30 ms), which was useful for determining the accidental coincidence background. For details of subsequent cuts applied in the offline data treating we refer to Ref .

Presently (July 2000) are available results based on data taking period from July 1998 to September 1999. In 1998 one of the reactors at 890 m was OFF for 31 days and in 1999 the reactor at 750 m was OFF for about 23 days. The three reactors ON minus two reactors ON give the following neutrino detection rates (per day):

$`6.0\pm 1.4(stat)in1998and`$
$`9.0\pm 1.6(stat)in1999.`$ (9)
The neutrino detection efficiencies are estimated as 7.6% (1998) and 11% (1999). The rates are found to be compatible with no-oscillation predictions.

The ON-OFF method treats the $`\overline{\nu _e}`$ flux from the two reactors still at full power as background, which considerably reduces the statistical accuracy of the results. An independent analysis named the “swap” method is based on (i) the symmetry of the most of the backgrounds relative to the exchange of the first and the second subevents and on (ii) the strong asymmetry of the positron and delayed neutron signals. The “swap” analysis uses full neutrino statistics. It makes it possible to cancel most of the background directly from the data. The remaining part is computed using Monte Carlo simulations. The ratio $`R_{meas/calc}`$ of the measured to expected for no-oscillation case neutrino detection rates found by means of the “swap” method is:

$`R_{meas/calc}=1.04\pm 3\%(stat)`$
$`\pm 8\%(syst),`$ (10)
Clearly the gain in statistic relative to the classic ON-OFF method (Eq. 9) is quite impressive. The systematic uncertainties are summarized in Table 3.

The best of the Palo Verde oscillation exclusion plot is shown in Fig. 3.

## 5 The Krasnoyarsk: Two-Detector Project Kr2Det

The Kr2Det $``$1 km baseline project is aimed at more sensitive searches for neutrino oscillations in the mass parameter region already studied in the CHOOZ and Palo Verde experiments. The physical goals of the project are: (i) to obtain new information on the electron neutrino mass structure ($`U_{e3}`$), (ii) to provide a better normalization for future accelerator neutrino experiments, and (iii) to achieve better understanding of the atmospheric neutrinos. It is also worth mentioning that just in case the LMA solution is valid $`U_{e3}`$ can be quite close to the presently available CHOOZ upper limit $`U_{e3}^22.5\times 10^2`$ while for the SMA MSW and vacuum oscillation solutions the predicted value of $`U_{e3}`$ is much smaller . The project intents:

* To increase, relative to CHOOZ, the sample of detected neutrinos by a factor of 20. The Kr2Det neutrino target mass is 50 tons, ten times larger than used in the CHOOZ experiment,
* To eliminate most of the systematic uncertainties by using two identically designed scintillation spectrometer (far and near) stationed at 1100 m and 250 m from the reactor,
* To use special calibrations to control and correct for systematic uncertainties that will still remain.

The detectors are installed at a depth of 600 mwe with the flux of cosmic muons there 5 times lower than at the CHOOZ laboratory, which helps to keep the backgrounds at sufficiently low level.

Each of the detectors (Fig. 5) has a three-concentric zone design: the 50-ton liquid scintillator (no Gd) target in the center, the buffer of non-scintillating oil and the outer veto zone. Expected neutrino detection and background rates are: $`N_\nu =50d^1`$, $`N_{BKG}=5d^1`$.

In the no-oscillation case the ratio of the two simultaneously measured positron spectra does not depend on the positron energy, small deviation from the constant value is analyzed for the oscillation parameters. The results of this purely relative analysis are independent of the exact knowledge of reactor power and the fuel burn up effects, of numbers of target protons and detection efficiencie$`\mathrm{}`$ Calibration of the detectors is a key problem of the experiment. More details on calibration procedures are considered in Ref.

Expected 90% CL oscillation limits are presented in Fig. 3. It was assumed that 40 thousand $`\overline{\nu _e}`$ are detected and that systematics is controlled down to a 0.5% level.

## 6 KamLAND

The KamLAND detector will operate in the Kamiokande detector cave with a rock overburden of 2700 mwe. The neutrinos originate from 16 NPP (total 51 power reactors) at distances of 80 km - 820 km. 80% of the total $`\overline{\nu _e}`$ flux comes from reactors between 140 km and 210 km away.

The reactor neutrino flux on the target is extremely small, 1000 times smaller than in the CHOOZ experiment, while the muon flux at this depth is attenuated only by a factor of $``$400 with respect to the value at the CHOOZ laboratory. Thus the background problems are of primary importance.

The KamLAND detector again has three concentric zones (Fig. 6). The 13-m diameter target zone with 1000 tons of purified scintillator is in the center. A 1700-ton buffer is filled with mineral oil and this time is 2.5 m thick. The scintillator is viewed by an array of 2000 photomultipliers supported on a 19-m diameter steel sphere. The zone-3 outside the steel sphere is filled with purified water and serves as a Cerencov veto detector and additional passive shielding.

The calculated average neutrino detection rate is about 750 per year and is expected to vary by $`\pm `$ 10% due to the seasonal variation of the nuclear power production. Clearly the ON - OFF approach does not seem promising in this case. On the other hand the correlated background rates are estimated as low as about 20 events per year and the expected oscillation effect for LMA solar solution is quite large$`\mathrm{}`$

The derived sensitivity to the oscillation parameters assuming three years of data taking and the ne to background ratio 10:1 is shown in Fig. 3. It can be seen that the LMA solution can be conclusively tested.

## 7 Summary and Conclusions

The $``$1 km baseline CHOOZ and, with a small delay, Palo Verde are the first of the terrestrial neutrino oscillation experiments that have successfully explored the atmospheric mass parameter region. The negative result of these experiments has an important positive meaning that the electron neutrino contains not much of the mass-3.

The success of the CHOOZ experiment is based on impressive (almost three orders of magnitude) improvements on the reactor neutrino detection techniques. A revolutionary progress in the field is well underway as can be seen from Tab. 4, which summarizes some parameters of the experiments discussed in this report.

More sensitive searches for the mass-3 admixture are feasible now (Kr2Det). An invasion into the LMA MSW solar region (KamLAND) requires another three orders of magnitude reduction of the backgrounds, which most probably can be achieved. We conclude that, with reactor experiments, in a few years the electron neutrino mass structure can be understood and a decisive proof of the solar neutrino problem found.

## Acknowledgments

I would like to thank the Conference organizers for an excellent meeting and generous hospitality. I am grateful to Dr. V. Sinev for assistance. This work is supported by RFBR grants Numbers 00-02-16035 and 00-15-96708.

## Figures

figure 1. The CHOOZ detector.

figure 2. CHOOZ positron energy spectrum a) spectra in reactor ON and OFF periods, b) measured to expected no-oscillation ratio.

figure 3. Reactor neutrino (90% CL) oscillation limits. The shaded areas are the atmospheric and solar neutrino allowed oscillation regions.

figure 4. The Palo-Verde detector.

figure 5. The Kr2Det detector.
1 - The neutrino target (50 ton mineral oil + PPO),
2 - Mineral oil, 3 - The transparent film,
4 - The PMTs, 5 - Veto zone.

figure 6. The KamLAND detector.