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# Effects of interladder couplings in the trellis lattice

## I Introduction

The study of strongly correlated systems in low spatial dimensions is nowadays the center of an intense effort both theoretically and experimentally. Among these low-dimensional systems the ones containing two-leg ladders have received considerable attention. One of the original motivation for the study of ladders was the search for a simple mechanism for pairing in a strongly correlated model. This possibility was later confirmed by a number of studies and the symmetry of the superconducting order parameter was found to be d$`_{x^2y^2}`$ (Refs. ). A considerable interest in these theoretical predictions was renewed by the discovery of superconductivity in the ladder compound Sr14Cu24O41 (14-24-41) after being doped with Ca and under a pressure of $`3\mathrm{G}\mathrm{P}\mathrm{a}`$ (Ref. ).

However, the 14-24-41 compound, as well as many other compounds, like another cuprate SrCu2O3 and the vanadates CaV2O5 and NaV2O5, actually contain layers of two-leg ladders which are coupled by frustrated effective interactions in the so-called trellis lattice. The strength of these frustrating interladder couplings may be weak enough to consider the ladders as essentially isolated or strong enough to change radically the physical behavior of a single ladder.

The original experiments on Sr0.4Ca13.6Cu24O41 (Ref. ) reveal that the superconducting critical temperature reaches its maximum of $`12\mathrm{K}`$ at a pressure of $`3\mathrm{G}\mathrm{P}\mathrm{a}`$ and then decreases as the pressure is further increased. Similar results were obtained for Sr2.5Ca11.5Cu24O41 (Ref. ). The application of pressure to this compound may change the strength of some couplings, or to additionally increase the doping of the ladder layers as holes are transfered from the chain layers also present in this compound. The main purpose of this paper is to analyze the first possibility, neglecting more radical changes in the crystallographic structure. In a highly simplified model for this compound, we consider three sets of couplings: along the ladder legs, along the rungs, and on the “zig-zag” interactions between the ladders. The effect of varying the rung interactions, keeping fixed the leg ones, on a single ladder, has been analyzed extensively. In the present study we will concentrate on the effects of varying the interladder couplings specially on the magnetic and pairing properties.

To this purpose we study the $`tJ`$ model which is appropriate to describe these cuprates and vanadates characterized by large on-site Coulomb repulsion and close to half-filling. We start our studies with undoped furstrated coupled ladders. For the trellis latttice, it was suggested that it is possible a transition from a spin liquid to a possible spiral order with incommensurate magnetic correlations as the interladder coupling (ILC) increases. Then, we will consider specially the case of two-hole doping, i.e. the evolution of pairing as the interladder coupling is varied. Preformed hole pairs are already present in the uncoupled ladders and a small ILC could lead to superconductivity (SC) as a proximity effect between the ladders. However, our main concern in this work is not the onset of SC but rather the effect on pairing due to somewhat large ILC.

There are further motivations to study both experimentally the 14-24-41 compound and theoretically the $`tJ`$ model on the trellis lattice. It is in effect remarkable how a relatively small difference like the one between the square lattice of the Cu-O planes in high-Tc cuprates and the trellis lattice in 14-24-41 leads to such a considerable difference in the superconducting properties of those materials. This difference is even more remarkable if we take into account the presence of stripes  in the underdoped regime and (at least) above the superconducting region of the high-Tc cuprates. These stripes can be thought as metallic ladders separated by insulating antiferromagnetic ones, specially in the “bond-centered” stripes obtained from a numerical study of the 2D t-J model.

In this sense, the $`tJ`$ model on the trellis lattice is a testing ground for the study of the competition between magnetic and kinetic energies which is at the core of the mechanism of micro-phase separation leading to the formation of stripes in the high-Tc cuprates. Our main conclusion for the trellis lattice is that by increasing the interladder coupling, the balance between the magnetic energy in the ladders and the kinetic energy in the zig-zag chains in between the ladders is altered leading eventually to the destruction of the hole pairs initially formed and localized in the ladders. We also suggest the possibility that the hole pairs may go to the zig-zag chains in a process which represents a transition from a magnetic to a kinetic mechanism of pair binding.

The t-J model on the trellis lattice is given by the Hamiltonian:

$`=_{leg}+_{rung}+_{inter}`$ (1)
where

$`_\alpha =`$ $``$ $`t_\alpha {\displaystyle \underset{ij,\sigma }{}}(\stackrel{~}{c}_{i\sigma }^{}\stackrel{~}{c}_{j\sigma }+h.c.)`$ (2)
$`+`$ $`J_\alpha {\displaystyle \underset{ij}{}}(𝐒_i𝐒_j{\displaystyle \frac{1}{4}}n_in_j)`$ (3)
The couplings are $`(t,J)`$, $`(t^{},J^{})`$ and $`(t_{inter},J_{inter})`$ along the legs, along the rungs and between the ladders respectively (Fig. 1). The rest of the notation is standard. Periodic boundary conditions in both directions are considered except otherwise stated. We adopt $`J=0.4t`$, a value usually taken to model high-Tc cuprates, and in order to reduce the number of independent variables $`J_\alpha =J(t_\alpha /t)^2`$. Moreover, we take $`t=1`$. For the undoped compound, neutron scattering experiments for the 14-24-41 compound suggest $`J=2J^{}`$. However, taking into account the analysis mentioned in Ref . most of our calculations have been done for the isotropic case.

We use various numerical techniques like quantum Monte Carlo (QMC), with a conventional world-line algorithm, and exact diagonalization with the Lanczos algorithm (LD), complemented by the continued fraction formalism to compute dynamical properties.

## II Frustrated coupled spin ladders

The first issue we want to address is the evolution of the magnetic order in the absence of doping as the interladder coupling is increased. To this end we have computed the static magnetic structure factor $`\mathrm{S}(𝐪)`$ on $`\mathrm{L}\times \mathrm{L}`$ clusters using QMC. Due to the presence of frustration, the minus sign problem prevents us to reach low temperatures and to study larger clusters which would be necessary to perform a finite size scaling. The same problems were already faced in a previous QMC study of the susceptibility of this system. In order to reduce the minus sign problem and to take advantage of the simple checkerboard decomposition, we take a slightly modified lattice in which the interladder couplings are “perpendicular” ($`J_{perp}`$) and “diagonal” ($`J_{diag}`$) as shown in Fig. 1. This lattice contains just half of the diagonal interladder couplings than in the trellis lattice, and we have checked by exact diagonalization on small clusters that this difference does not change qualitatively the results. Even for this modified lattice the minus sign problem is severe as shown in Fig. 2. We recall that the average of any observable $`𝒪`$, in a system which presents this problem is computed as:

$`𝒪={\displaystyle \frac{𝒪Sign}{Sign}}`$ (4)
with respect to a modified partition function of the $`2+1`$-dimensional problem, $`𝒵^{}=_s|\mathrm{exp}S(s)|`$ where $`S(s)`$ is an effective action. In particular, the average sign is:

$`Sign={\displaystyle \frac{1}{𝒵^{}}}{\displaystyle \underset{s}{}}Sign(s)|\mathrm{exp}S(s)|,`$ (5)
where $`Sign(s)=sign(\mathrm{exp}S(s))`$. Then $`Sign`$ is the ratio of the original partition function $`𝒵=_s\mathrm{exp}S(s)`$ to $`𝒵^{}`$. In practice, at each measurement step, $`\mathrm{exp}S(s)`$ is computed as the product of the transition elements of

all the cubes that makes up the $`2+1`$-dimensional lattice. Nonetheless, although we cannot compute some quantities in the bulk limit, we can indicate qualitatively the behavior of the magnetic order as a function of $`J_{inter}`$ (we take $`J`$ as the unit of energies in this section).

Typical results are shown in Fig. 3 for coupled isotropic ($`J^{}=J`$) ladders on the $`8\times 8`$ cluster. In Fig. 3(a) we show for $`J_{perp}=J_{diag}=0.2`$ the characteristic structure factor of isolated ladders with a peak at $`(q_x,q_y)=(\pi ,\pi )`$ ($`x`$ ($`y`$) is the direction along (transversal) to the ladders). This peak becomes more pronounced as the temperature is lowered. On the other hand, keeping $`J_{perp}=0.2`$ and as $`J_{diag}`$ is increased, the peak starts to shift from $`(\pi ,\pi )`$ to $`(\pi ,\pi /2)`$ (Fig. 3(b,c,d)). A second interesting feature should be noticed in Fig. 3(d): the peak of $`\mathrm{S}(𝐪)`$ is located at $`(\pi ,\pi )`$ at high temperature (in this case down to $`\mathrm{T}0.8`$, in units of $`J`$) and as the temperature is lowered it starts to shift away from $`(\pi ,\pi )`$. At low temperatures (in this case below $`\mathrm{T}0.4`$ the peak is located at $`(\pi ,\pi /2)`$. Since it is clear that this behavior is caused by the frustration of the interladder couplings, it will certainly be present in the original trellis lattice. As indicated in Fig. 3c, it is possible that an incommensurate peak across the ladder direction could be present at intermediate values of $`J_{diag}`$ and intermediate temperatures.

The second point we want to examine is the behavior of the excitations of these systems, in particular the $`S=1`$ excitations as can be measured by neutron scattering experiments. For this purpose, using conventional LD with the standard continued fractions formalism, we have computed the zero temperature dynamical structure function ($`zz`$ component) $`S(𝐪,\omega )`$. In this case, we have to limit ourselves to somewhat smaller clusters but we are confident that the qualitative features we found will survive in the bulk limit.

Results obtained for the $`4\times 4`$ cluster are shown in Fig. 4. In the absence of frustration (Fig. 4(a)) the peak in $`S(𝐪,\omega )`$ which corresponds besides to the lowest excitation, is located at $`(\pi ,\pi )`$, as expected in the bulk limit for an AF order. As a frustrating ILC is increased (Fig. 4(b,c,d)) it can be seen that considerable spectral weight is transferred to the peak at $`(\pi ,\pi /2)`$, which becomes finally the lowest energy excitation. Similar results are also shown for the $`4\times 6`$ cluster for $`𝐪=(\pi ,\pi )`$ and $`(\pi ,\pi /2)`$.

The results shown in Figs. 3 and 4 are unequivocally due to frustration and are qualitatively similar to the ones previously obtained in a system of ferromagnetically (FM) coupled ladders. Similar results have been obtained by LD on the $`4\times 4`$ and $`4\times 6`$ clusters of the real trellis lattice. In the case of the trellis lattice, as in the FM ILC case, we expect that the behavior above discussed will be present in the bulk limit for strong enough interladder couplings and low enough temperatures. The impossibility of assessing finite size effects prevents us to determine if this behavior is present for arbitrarily small values of $`\mathrm{J}_{\mathrm{inter}}`$ or, on the contrary, only for values larger than a “critical” one.

We have not detected any sign of incommensurability along the ladder direction. Such an incommensurability is expected in principle since a trellis lattice can be also considered as coupled $`J_1J_2`$ chains ($`J_1=J_{inter}`$, $`J_2=J`$, in our notation) which are known to present a peak in $`S(q)`$ at a momentum which continuously varies from $`\pi `$ to $`\pi /2`$ (as defined on our modified trellis lattice) as $`J_2/J_1`$ goes from $`\mathrm{}`$ to zero. However, notice that, as can be seen in Fig. 2, values of $`J_{inter}>0.6`$ at low enough temperatures cannot be reached in our simulations.

## III Doped trellis lattice.

We now analyze the hole pairing in the doped trellis lattice as the interladder couplings are increased. To gain some insight in this problem we start by considering an isolated building block of the trellis lattice. This minimal system is a three chain cluster consisting of a ladder and a zig-zag chain, (lines “1”, “2” and ‘3’ in Fig. 1). The Hamiltonian is the one defined in Eq. (1). All the results in this section have been obtained by exact diagonalization. The justification of this study involving somewhat small clusters is based on an extensive body of similar studies of strongly correlated models which shows that an important part of the physics of these models is dominated by short range effects, which are appropriately captured in these small cluster calculations.

In this minimal trellis lattice already appears, upon doping with two holes, the main feature we want to emphasize. In Fig. 5, the relative hole occupancy (or probability of finding a hole) on each chain is shown in the $`3\times 6`$ cluster with two holes for $`t^{}=0.75`$, 1.0 and 1.5 as a function of $`t_{inter}`$. In the three cases, for small $`t_{inter}`$ the holes are almost completely located in the ladder legs. As $`t_{inter}`$ increases the probability of finding a hole in the outer ladder leg decreases while increases the occupancy of chain “3” which is connected to the ladder by the zig-zag interaction. There is a neat change of behavior, from a situation in which the occupancy of chain “3” is virtually unoccupied to a situation in which the unoccupied chain is “1”. moreover, this crossover is rather abrupt, specially for $`t^{}=0.75`$.

For relatively small $`t_{inter}`$, the hole distribution is typical of that of an isolated ladder, i.e. they form a bound pair with one hole on each leg. On the other hand, for larger values of $`t_{inter}`$ ($`t_{inter}>0.6`$ for $`t^{}=1.0`$ and $`t_{inter}>0.9`$, for $`t^{}=1.5`$, on the $`3\times 8`$ cluster) the holes have moved from the ladder to the two chains containing the zig-zag interactions. As we indicated in the previous section, these two chains with the zig-zag interactions form a chain with first and second neighbor interactions, in this case with $`tJ`$ couplings, i.e. a frustrated $`t_1t_2J_1J_2`$ chain.

To understand the mechanism that produces this change in hole pairing, let us examine the contributions to the total energy from different terms of the Hamiltonian (1) as the interladder hopping is increased. As it can be seen in Fig. 6, the main differences between the contributions from the ladder and those of the zig-zag chain are (i) in the ladder the magnetic energy dominates (along the legs for $`t^{}=1.0`$ or along the rungs for $`t^{}=1.5`$) while in the zig-zag the kinetic energy is the most important, and (ii) the main gain in energy as $`t_{inter}`$ is increased comes from precisely the hopping term of the zig-zag ILC while the magnetic energy on ladders is the most strongly decreased.

The gain in kinetic energy on the frustrated chain with respect to the ladder can be explained by qualitative arguments as is shown schematically in Fig 7. In the frustrated chain we have assumed an AF order of the spins along the chains which is expected for $`J_2>J_1`$ ($`t_2>t_1`$). When the hole moves, as in a simple $`tJ`$ chain, the hole leaves behind just a single frustrated (ferromagnetic) bond. Something similar occurs in the case of AF order along the zigzag chain ($`J_1J_2`$). In the case of ladders, we have assumed a magnetic background formed by spin singlets on the rungs. As a hole moves from its initial position, it leaves behind a string of higher energy singlets on the diagonals of the plaquettes. Hence there

is a cost in energy which increases roughly linearly with the distance traveled by the hole.

What are the possible consequences of this behavior found in the three-chain cluster for the trellis lattice? In this case, of course, any chain along the ladder direction belongs at the same time to a ladder and to a frustrated interladder chain. The question is if the holes, initially paired on a plaquette in isolated ladders, would tend to break the pairs and move independently on the frustrated chains as the ILC are increased. There is yet another interesting possibility that is that the holes form pairs on the frustrated chains. These pairs would have more kinetic energy than the ones formed on ladders and this change of pairing would imply a change from a magnetic binding on ladders to a “kinetic binding” on chains. In any case, taking into account the results from the three-chain cluster, we predict a loosening of the pairing on ladders. It is difficult to answer these questions by calculations on finite clusters. Exact diagonalization results for two holes on the $`4\times 4`$ cluster give support to the above mentioned possibilities. In Fig. 8 the hole-hole correlation functions for $`t^{}=1.0`$ at several distances as a function of $`t_{inter}`$ are shown. At small $`t_{inter}`$, the largest correlation corresponds to a pair of holes along the diagonal of a plaquette, which is typical of isolated ladders. Around $`t_{inter}=0.7`$ there is an abrupt change to a situation in which the largest correlations correspond to holes belonging to the same frustrated chain. The second hole is slightly more likely to be in the other chain of the same interladder zig-zag chain (site ‘4’ of Fig. 8). Somewhat smaller is the correlation on the same chain but at the largest distance on this cluster (site ‘3’). This behavior is radically different to ladders AF coupled in a square lattice without frustration. In this case, the d-wave pair typical of a ladder evolves smoothly to the rotationally invariant d-wave pair of the square lattice.

Similar results are obtained for the $`6\times 4`$ cluster with two holes. In Fig.9, we show pictorially the most likely hole probability for $`t^{}=t_{inter}=1`$. The area of the circles is proportional to the probability of finding a hole if there is a hole in a given site. In this case the largest probability corresponds to holes located at the maximum distance along the same chain. The next probability in decreasing order also corresponds to a hole in the frustrated zig-zag chain. On this cluster we found that as $`t_{inter}`$ is increased from zero the holes initially at a distance $`\sqrt{2}`$ starts to move away on the same ladder and finally they move to the same ILC chain.

Finally, for the sake of completeness, we show in Fig. 10 the largest nearest and next nearest neighbor spin-spin correlations for small and large values of $`t_{inter}`$ for the most likely position of the holes in each case (see Fig. 8). The structure of these correlations globally agrees with the schematic picture of Fig. 7.

## IV Conclusions

In summary, we have performed numerical studies on strongly correlated electron systems, as described by the $`tJ`$ model, on frustrated coupled ladders, in particular on the trellis lattice. In the undoped case, QMC simulations, although hampered by the minus sign problem, allowed us to reach large enough clusters to detect meaningful changes in the magnetic properties of this system. In this case, for ladders coupled with frustrating interactions, we have shown that the peak of the magnetic structure factor shifts from $`(\pi ,\pi )`$ to $`(\pi ,\pi /2)`$ for low enough temperatures as the ILC is increased. Moreover, the peak at $`(\pi ,\pi /2)`$ becomes also the lowest energy excitation. This behavior is very similar to the one previously found for FM coupled ladders. We have shown also that this behavior appears due to the onset of frustration and hence we expect that it will appear in the trellis lattice as well. This behavior could be detected experimentally on a ladder compound like SrCu2O3 or Sr14Cu24O41 upon a suitable application of pressure. In fact, after the submission of this manuscript we became aware of an experimental study on the similar ladder compound CaCu2O3. The neutron diffraction results reported in this manuscript indicate that the magnetic structure is incommensurate in the direction of the frustrated interladder interaction in the plane of the ladders, as suggested by the present study (see also Ref. ). The validity of the simpler FM coupled ladders model also explains the vanishing of the spin gap as due to increasing interladder couplings.

Next, we have analyzed the evolution of pairing when the ILC are increased. In this case the physics is governed by short range effects and so we studied small clusters with exact diagonalization. Our main result is that ILC suppresses pairing in ladders. Results on $`4\times 4`$ and $`6\times 4`$ clusters indicate that holes move to the chains with first and second neighbor interactions formed by the legs of neighboring ladders and the zig-zag interactions between them. We have identified the mechanism of this suppression of pairing as a gain of kinetic energy of the holes by moving on the frustrated chains. Even for these clusters we have noticed important size effects which unable us to determine if it appears an alternative pairing of holes on the frustrated chains or rather the pairing is completely lost when ILC are large enough and holes begin to move independently from each other. Finally, we would like to stress the radically different behavior found in this case with respect to that found in ladders coupled in a square lattice, where the d$`_{x^2y^2}`$ pairing is preserved.

###### Acknowledgements.

The authors acknowledge many interesting discussions with A. Dobry, C. Gazza, A. Greco, D. Poilblanc and A. Trumper. Part of the computations were performed at the Supercomputer Computations Research Institute (SCRI) and at the Academic Computing and Network Services at Tallahassee(Florida).


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# Complex Numbers in 5 Dimensions

## 1 Introduction

A regular, two-dimensional complex number $`x+iy`$ can be represented geometrically by the modulus $`\rho =(x^2+y^2)^{1/2}`$ and by the polar angle $`\theta =\mathrm{arctan}(y/x)`$. The modulus $`\rho `$ is multiplicative and the polar angle $`\theta `$ is additive upon the multiplication of ordinary complex numbers.

The quaternions of Hamilton are a system of hypercomplex numbers defined in four dimensions, the multiplication being a noncommutative operation,  and many other hypercomplex systems are possible, - but these hypercomplex systems do not have all the required properties of regular, two-dimensional complex numbers which rendered possible the development of the theory of functions of a complex variable.

A system of complex numbers in 5 dimensions is described in this work, for which the multiplication is associative and commutative, and which is rich enough in properties so that an exponential form exists and the concepts of analytic 5-complex function, contour integration and residue can be defined. The 5-complex numbers introduced in this work have the form $`u=x_0+h_1x_1+h_2x_2+h_3x_3+h_4x_4`$, the variables $`x_0,x_1,x_2,x_3,x_4`$ being real numbers. If the 5-complex number $`u`$ is represented by the point $`A`$ of coordinates $`x_0,x_1,x_2,x_3,x_4`$, the position of the point $`A`$ can be described by the modulus $`d=(x_0^2+x_1^2+x_2^2+x_3^2+x_4^2)^{1/2}`$, by 2 azimuthal angles $`\varphi _1,\varphi _2`$, by 1 planar angle $`\psi _1`$, and by 1 polar angle $`\theta _+`$.

The exponential function of a 5-complex number can be expanded in terms of the polar 5-dimensional cosexponential functions $`g_{5k}(y)`$, $`k=0,1,2,3,4`$. The expressions of these functions are obtained from the properties of the exponential function of a 5-complex variable. Addition theorems and other relations are obtained for the polar 5-dimensional cosexponential functions. Exponential and trigonometric forms are given for the 5-complex numbers. Expressions are obtained for the elementary functions of 5-complex variable. The functions $`f(u)`$ of 5-complex variable which are defined by power series have derivatives independent of the direction of approach to the point under consideration. If the 5-complex function $`f(u)`$ of the 5-complex variable $`u`$ is written in terms of the real functions $`P_k(x_0,x_1,x_2,x_3,x_4),k=0,1,2,3,4`$, then relations of equality exist between partial derivatives of the functions $`P_k`$. The integral $`_A^Bf(u)𝑑u`$ of a 5-complex function between two points $`A,B`$ is independent of the path connecting $`A,B`$, in regions where $`f`$ is regular. The fact that the exponential form of the 5-complex numbers depends on the cyclic variables $`\varphi _1,\varphi _2`$ leads to the concept of pole and residue for integrals on closed paths, and if $`f(u)`$ is an analytic 5-complex function, then $`_\mathrm{\Gamma }f(u)𝑑u/(uu_0)`$ is expressed in this work in terms of the 5-complex residue $`f(u_0)`$. The polynomials of 5-complex variables can be written as products of linear or quadratic factors.

This paper belongs to a series of studies on commutative complex numbers in $`n`$ dimensions.  The 5-complex numbers described in this work are a particular case for $`n=5`$ of the polar complex numbers in $`n`$ dimensions.,

## 2 Operations with polar complex numbers in 5 dimensions

A polar hypercomplex number $`u`$ in 5 dimensions is represented as

$$u=x_0+h_1x_1+h_2x_2+h_3x_3+h_4x_4.$$
(1)
The multiplication rules for the bases $`h_1,h_2,h_3,h_4`$ are

$`h_1^2=h_2,h_2^2=h_4,h_3^2=h_1,h_4^2=h_3,`$ (2)
$`h_1h_2=h_3,h_1h_3=h_4,h_1h_4=1,h_2h_3=1,h_2h_4=h_1,h_3h_4=h_2.`$
The significance of the composition laws in Eq. (2) can be understood by representing the bases $`h_j,h_k`$ by points on a circle at the angles $`\alpha _j=2\pi j/5,\alpha _k=2\pi k/5`$, as shown in Fig. 1, and the product $`h_jh_k`$ by the point of the circle at the angle $`2\pi (j+k)/5`$. If $`2\pi 2\pi (j+k)/5<4\pi `$, the point represents the basis $`h_l`$ of angle $`\alpha _l=2\pi (j+k)/52\pi `$.

The sum of the 5-complex numbers $`u`$ and $`u^{}`$ is

$$u+u^{}=x_0+x_0^{}+h_1(x_1+x_1^{})+h_2(x_2+x_2^{})+h_3(x_3+x_3^{})+h_4(x_4+x_4^{}).$$
(3)
The product of the numbers $`u,u^{}`$ is then

$$\begin{array}{c}uu^{}=x_0x_0^{}+x_1x_4^{}+x_2x_3^{}+x_3x_2^{}+x_4x_1^{}\hfill \\ +h_1(x_0x_1^{}+x_1x_0^{}+x_2x_4^{}+x_3x_3^{}+x_4x_2^{})\hfill \\ +h_2(x_0x_2^{}+x_1x_1^{}+x_2x_0^{}+x_3x_4^{}+x_4x_3^{})\hfill \\ +h_3(x_0x_3^{}+x_1x_2^{}+x_2x_1^{}+x_3x_0^{}+x_4x_4^{})\hfill \\ +h_4(x_0x_4^{}+x_1x_3^{}+x_2x_2^{}+x_3x_1^{}+x_4x_0^{}).\hfill \end{array}$$
(4)
The relation between the variables $`v_+,v_1,\stackrel{~}{v}_1,v_2,\stackrel{~}{v}_2`$ and $`x_0,x_1,x_2,x_3,x_4`$ can be written with the aid of the parameters $`p=(\sqrt{5}1)/4,q=\sqrt{(5+\sqrt{5})/8}`$ as

$$\left(\begin{array}{c}v_+\\ v_1\\ \stackrel{~}{v}_1\\ v_2\\ \stackrel{~}{v}_2\end{array}\right)=\left(\begin{array}{ccccc}1& 1& 1& 1& 1\\ 1& p& 2p^21& 2p^21& p\\ 0& q& 2pq& 2pq& q\\ 1& 2p^21& p& p& 2p^21\\ 0& 2pq& q& q& 2pq\end{array}\right)\left(\begin{array}{c}x_0\\ x_1\\ x_2\\ x_3\\ x_4\end{array}\right).$$
(5)
The other variables are $`v_3=v_2,\stackrel{~}{v}_3=\stackrel{~}{v}_2,v_4=v_1,\stackrel{~}{v}_4=\stackrel{~}{v}_1`$. The variables $`v_+,v_1,\stackrel{~}{v}_1,v_2,\stackrel{~}{v}_2`$ will be called canonical 5-complex variables.

## 3 Geometric representation of polar complex numbers in 5 dimensions

The 5-complex number $`x_0+h_1x_1+h_2x_2+h_3x_3+h_4x_4`$ can be represented by the point $`A`$ of coordinates $`(x_0,x_1,x_2,x_3,x_4)`$. If $`O`$ is the origin of the 5-dimensional space, the distance from the origin $`O`$ to the point $`A`$ of coordinates $`(x_0,x_1,x_2,x_3,x_4)`$ has the expression

$$d^2=x_0^2+x_1^2+x_2^2+x_3^2+x_4^2.$$
(6)
The quantity $`d`$ will be called modulus of the 5-complex number $`u`$. The modulus of a 5-complex number $`u`$ will be designated by $`d=|u|`$. The modulus has the property that

$$|u^{}u^{\prime \prime }|\sqrt{5}|u^{}||u^{\prime \prime }|.$$
(7)
The exponential and trigonometric forms of the 5-complex number $`u`$ can be obtained conveniently in a rotated system of axes defined by the transformation

$$\left(\begin{array}{c}\xi _+\\ \xi _1\\ \eta _1\\ \xi _2\\ \eta _2\end{array}\right)=\sqrt{\frac{2}{5}}\left(\begin{array}{ccccc}\frac{1}{\sqrt{2}}& \frac{1}{\sqrt{2}}& \frac{1}{\sqrt{2}}& \frac{1}{\sqrt{2}}& \frac{1}{\sqrt{2}}\\ 1& p& 2p^21& 2p^21& p\\ 0& q& 2pq& 2pq& q\\ 1& 2p^21& p& p& 2p^21\\ 0& 2pq& q& q& 2pq\end{array}\right)\left(\begin{array}{c}x_0\\ x_1\\ x_2\\ x_3\\ x_4\end{array}\right).$$
(8)
The lines of the matrices in Eq. (8) gives the components of the 5 basis vectors of the new system of axes. These vectors have unit length and are orthogonal to each other. The relations between the two sets of variables are

$$v_+=\sqrt{5}\xi _+,v_k=\sqrt{\frac{5}{2}}\xi _k,\stackrel{~}{v}_k=\sqrt{\frac{5}{2}}\eta _k,k=1,2.$$
(9)
The radius $`\rho _k`$ and the azimuthal angle $`\varphi _k`$ in the plane of the axes $`v_k,\stackrel{~}{v}_k`$ are

$`\rho _k^2=v_k^2+\stackrel{~}{v}_k^2,\mathrm{cos}\varphi _k=v_k/\rho _k,\mathrm{sin}\varphi _k=\stackrel{~}{v}_k/\rho _k,`$ (10)
$`0\varphi _k<2\pi ,k=1,2`$, so that there are 2 azimuthal angles. The planar angle $`\psi _1`$ is

$$\mathrm{tan}\psi _1=\rho _1/\rho _2,$$
(11)
where $`0\psi _1\pi /2`$. There is a polar angle $`\theta _+`$,

$$\mathrm{tan}\theta _+=\frac{\sqrt{2}\rho _1}{v_+},$$
(12)
where $`0\theta _+\pi `$. It can be checked that

$$\frac{1}{5}v_+^2+\frac{2}{5}(\rho _1^2+\rho _2^2)=d^2.$$
(13)
The amplitude of a 5-complex number $`u`$ is

$$\rho =\left(v_+\rho _1^2\rho _2^2\right)^{1/5}.$$
(14)
If $`u=u^{}u^{\prime \prime }`$, the parameters of the hypercomplex numbers are related by

$$v_+=v_+^{}v_+^{\prime \prime },$$
(15)
$$\rho _k=\rho _k^{}\rho _k^{\prime \prime },$$
(16)
$$\mathrm{tan}\theta _+=\frac{1}{\sqrt{2}}\mathrm{tan}\theta _+^{}\mathrm{tan}\theta _+^{\prime \prime },$$
(17)
$$\mathrm{tan}\psi _1=\mathrm{tan}\psi _1^{}\mathrm{tan}\psi _1^{\prime \prime },$$
(18)
$$\varphi _k=\varphi _k^{}+\varphi _k^{\prime \prime },$$
(19)
$$v_k=v_k^{}v_k^{\prime \prime }\stackrel{~}{v}_k^{}\stackrel{~}{v}_k^{\prime \prime },\stackrel{~}{v}_k=v_k^{}\stackrel{~}{v}_k^{\prime \prime }+\stackrel{~}{v}_k^{}v_k^{\prime \prime },$$
(20)
$$\rho =\rho ^{}\rho ^{\prime \prime },$$
(21)
where $`k=1,2`$.

The 5-complex number $`u=x_0+h_1x_1+h_2x_2+h_3x_3+h_4x_4`$ can be represented by the matrix

$$U=\left(\begin{array}{ccccc}x_0& x_1& x_2& x_3& x_4\\ x_4& x_0& x_1& x_2& x_3\\ x_3& x_4& x_0& x_1& x_2\\ x_2& x_3& x_4& x_0& x_1\\ x_1& x_2& x_3& x_4& x_0\end{array}\right).$$
(22)
The product $`u=u^{}u^{\prime \prime }`$ is represented by the matrix multiplication $`U=U^{}U^{\prime \prime }`$.

## 4 The polar 5-dimensional cosexponential functions

The polar cosexponential functions in 5 dimensions are

$$g_{5k}(y)=\underset{p=0}{\overset{\mathrm{}}{}}y^{k+5p}/(k+5p)!,$$
(23)
for $`k=0,\mathrm{},4`$. The polar cosexponential functions $`g_{5k}`$ do not have a definite parity. It can be checked that

$$\underset{k=0}{\overset{4}{}}g_{5k}(y)=e^y.$$
(24)
The exponential of the quantity $`h_ky,k=1,\mathrm{},4`$ can be written as

$$\begin{array}{c}e^{h_1y}=g_{50}(y)+h_1g_{51}(y)+h_2g_{52}(y)+h_3g_{53}(y)+h_4g_{54}(y),\hfill \\ e^{h_2y}=g_{50}(y)+h_1g_{53}(y)+h_2g_{51}(y)+h_3g_{54}(y)+h_4g_{52}(y),\hfill \\ e^{h_3y}=g_{50}(y)+h_1g_{52}(y)+h_2g_{54}(y)+h_3g_{51}(y)+h_4g_{53}(y),\hfill \\ e^{h_4y}=g_{50}(y)+h_1g_{54}(y)+h_2g_{53}(y)+h_3g_{52}(y)+h_4g_{51}(y).\hfill \end{array}$$
(25)
The polar cosexponential functions in 5 dimensions can be obtained by calculating $`e^{(h_1+h_4)y}`$ and $`e^{(h_1h_4)y}`$ and then by nultiplying the resulting expression. The series expansions for $`e^{(h_1+h_4)y}`$ and $`e^{(h_1h_4)y}`$ are

$$e^{(h_1+h_4)y}=\underset{m=0}{\overset{\mathrm{}}{}}\frac{1}{m!}(h_1+h_4)^my^m,$$
(26)
$$e^{(h_1h_4)y}=\underset{m=0}{\overset{\mathrm{}}{}}\frac{1}{m!}(h_1h_4)^my^m.$$
(27)
The powers of $`h_1+h_4`$ have the form

$$(h_1+h_4)^m=A_m(h_1+h_4)+B_m(h_2+h_3)+C_m.$$
(28)
The recurrence relations for $`A_m,B_m,C_m`$ are

$$A_{m+1}=B_m+C_m,B_{m+1}=A_m+B_m,C_{m+1}=2A_m,$$
(29)
and $`A_1=1,B_1=0,C_1=0,A_2=0,B_2=1,C_2=2,A_3=3,B_3=1,C_3=0`$. The expressions of the coefficients are

$$A_m=\frac{2^m}{5}+\frac{23a}{5}a^{m3}+(1)^{m3}\frac{5+3a}{5}(1+a)^{m3},m3,$$
(30)
$$B_m=\frac{2^m}{5}+\frac{a1}{5}a^{m3}(1)^{m3}\frac{a+2}{5}(1+a)^{m3},m3,$$
(31)
$$C_m=\frac{2^m}{5}+\frac{46a}{5}a^{m4}+(1)^{m4}\frac{10+6a}{5}(1+a)^{m4},m4,$$
(32)
where $`a`$ is a solution of the equation $`a^2+a1=0`$. Substituting the expressions of $`A_m,B_m,C_m`$ from Eqs. (30)-(32) in Eq. (26) and grouping the terms yields

$`e^{(h_1+h_4)y}={\displaystyle \frac{1}{5}}e^{2y}+{\displaystyle \frac{2}{5}}e^{ay}+{\displaystyle \frac{2}{5}}e^{(1+a)y}+(h_1+h_4)\left[{\displaystyle \frac{1}{5}}e^{2y}+{\displaystyle \frac{a}{5}}e^{ay}{\displaystyle \frac{a+1}{5}}e^{(1+a)y}\right]`$ (33)
$`+(h_2+h_3)\left[{\displaystyle \frac{1}{5}}e^{2y}{\displaystyle \frac{a+1}{5}}e^{ay}+{\displaystyle \frac{a}{5}}e^{(1+a)y}\right].`$
The odd powers of $`h_1h_4`$ have the form

$$(h_1h_4)^{2m+1}=D_m(h_1h_4)+E_m(h_2h_3).$$
(34)
The recurrence relations for $`D_m,E_m`$ are

$$D_{m+1}=3D_mE_m,E_{m+1}=D_m2E_m,$$
(35)
and $`D_1=3,E_1=1,D_2=10,E_2=5`$. The expressions of the coefficients are

$$D_m=(b+1)b^{m1}+(1)^{m2}(b+4)(5+b)^{m1},m1,$$
(36)
$$E_m=\frac{b+1}{b+2}b^{m1}+\frac{(1)^{m2}}{b+2}(5+b)^{m1},m1,$$
(37)
where $`b`$ is a solution of the equation $`b^2+5b+5=0`$. The even powers of $`h_1h_4`$ have the form

$$(h_1h_4)^{2m}=F_m(h_1+h_4)+G_m(h_2+h_3)+H_m.$$
(38)
The recurrence relations for $`F_m,G_m,H_m`$ are

$$F_{m+1}=F_m+G_m,G_{m+1}=F_m2G_m+H_m,H_{m+1}=2(G_mH_m),$$
(39)
and $`F_1=0,G_1=1,H_1=2,F_2=1,G_2=4,H_2=6`$. The expressions of the coefficients are

$$F_m=\frac{1}{5(b+2)}b^m+(1)^{m1}\frac{b+1}{5(b+2)}(5+b)^m,m1,$$
(40)
$$G_m=\frac{4b+5}{5(b+2)}b^{m1}+(1)^{m1}\frac{1}{5(b+2)}(5+b)^m,m1,$$
(41)
$$H_m=\frac{6b+10}{5(b+2)}b^{m1}+(1)^m\frac{2}{5}(5+b)^m,m1,$$
(42)
where $`b`$ is a solution of the equation $`b^2+5b+5=0`$.

Substituting the expressions of $`D_m,E_m,F_m,G_m,H_m`$ from Eqs. (36)-(37) and (40)-(42)in Eq. (27) and grouping the terms yields

$`e^{(h_1h_4)y}={\displaystyle \frac{1}{5}}+{\displaystyle \frac{2}{5}}\mathrm{cos}(\sqrt{b}y)+{\displaystyle \frac{2}{5}}\mathrm{cos}(\sqrt{5+b}y)`$ (43)
$`+(h_1+h_4)\left[{\displaystyle \frac{1}{5}}{\displaystyle \frac{b+3}{5}}\mathrm{cos}(\sqrt{b}y)+{\displaystyle \frac{b+2}{5}}\mathrm{cos}(\sqrt{5+b}y)\right]`$
$`+(h_2+h_3)\left[{\displaystyle \frac{1}{5}}+{\displaystyle \frac{b+2}{5}}\mathrm{cos}(\sqrt{b}y){\displaystyle \frac{b+3}{5}}\mathrm{cos}(\sqrt{5+b}y)\right]`$
$`+(h_1h_4)\left[{\displaystyle \frac{\sqrt{b}}{5}}\mathrm{sin}(\sqrt{b}y)+{\displaystyle \frac{1}{\sqrt{5b}}}\mathrm{sin}(\sqrt{5+b}y)\right]`$
$`+(h_2h_3)\left[{\displaystyle \frac{2b+5}{5\sqrt{b}}}\mathrm{sin}(\sqrt{b}y)+{\displaystyle \frac{b+2}{\sqrt{5b}}}\mathrm{sin}(\sqrt{5+b}y)\right].`$
On the other hand, $`e^{2h_1y}`$ can be written with the aid of the 5-dimensional polar cosexponential functions as

$$e^{2h_1y}=g_{50}(2y)+h_1g_{51}(2y)+h_2g_{52}(2y)+h_3g_{53}(2y)+h_4g_{54}(2y).$$
(44)
The multiplication of the expressions of $`e^{(h_1+h_4)y}`$ and $`e^{(h_1h_4)y}`$ in Eqs. (33) and (43) and the separation of the real components yields the expressions of the 5-dimensional cosexponential functions, for $`a=(\sqrt{5}1)/2,b=(5+\sqrt{5})/2`$, as

$`g_{50}(2y)={\displaystyle \frac{1}{5}}e^{2y}+{\displaystyle \frac{2}{5}}e^{ay}\mathrm{cos}(\sqrt{b}y)+{\displaystyle \frac{2}{5}}e^{(1+a)y}\mathrm{cos}(\sqrt{5+b}y),`$ (45)
$`g_{51}(2y)={\displaystyle \frac{1}{5}}e^{2y}+{\displaystyle \frac{1}{5}}e^{ay}\left[{\displaystyle \frac{1+\sqrt{5}}{2}}\mathrm{cos}(\sqrt{b}y)+{\displaystyle \frac{5+\sqrt{5}}{2\sqrt{b}}}\mathrm{sin}(\sqrt{b}y)\right]`$ (46)
$`+{\displaystyle \frac{1}{5}}e^{(1+a)y}\left[{\displaystyle \frac{1+\sqrt{5}}{2}}\mathrm{cos}(\sqrt{5+b}y)+\sqrt{{\displaystyle \frac{5}{b}}}\mathrm{sin}(\sqrt{5+b}y)\right],`$
$`g_{52}(2y)={\displaystyle \frac{1}{5}}e^{2y}+{\displaystyle \frac{1}{5}}e^{ay}\left[{\displaystyle \frac{1+\sqrt{5}}{2}}\mathrm{cos}(\sqrt{b}y)+\sqrt{{\displaystyle \frac{5}{b}}}\mathrm{sin}(\sqrt{b}y)\right]`$ (47)
$`+{\displaystyle \frac{1}{5}}e^{(1+a)y}\left[{\displaystyle \frac{1+\sqrt{5}}{2}}\mathrm{cos}(\sqrt{5+b}y){\displaystyle \frac{5+\sqrt{5}}{2\sqrt{b}}}\mathrm{sin}(\sqrt{5+b}y)\right],`$
$`g_{53}(2y)={\displaystyle \frac{1}{5}}e^{2y}+{\displaystyle \frac{1}{5}}e^{ay}\left[{\displaystyle \frac{1+\sqrt{5}}{2}}\mathrm{cos}(\sqrt{b}y)\sqrt{{\displaystyle \frac{5}{b}}}\mathrm{sin}(\sqrt{b}y)\right]`$ (48)
$`+{\displaystyle \frac{1}{5}}e^{(1+a)y}\left[{\displaystyle \frac{1+\sqrt{5}}{2}}\mathrm{cos}(\sqrt{5+b}y)+{\displaystyle \frac{5+\sqrt{5}}{2\sqrt{b}}}\mathrm{sin}(\sqrt{5+b}y)\right],`$
$`g_{54}(2y)={\displaystyle \frac{1}{5}}e^{2y}+{\displaystyle \frac{1}{5}}e^{ay}\left[{\displaystyle \frac{1+\sqrt{5}}{2}}\mathrm{cos}(\sqrt{b}y){\displaystyle \frac{5+\sqrt{5}}{2\sqrt{b}}}\mathrm{sin}(\sqrt{b}y)\right]`$ (49)
$`+{\displaystyle \frac{1}{5}}e^{(1+a)y}\left[{\displaystyle \frac{1+\sqrt{5}}{2}}\mathrm{cos}(\sqrt{5+b}y)\sqrt{{\displaystyle \frac{5}{b}}}\mathrm{sin}(\sqrt{5+b}y)\right].`$
The polar 5-dimensional cosexponential functions can be written as

$$g_{5k}(y)=\frac{1}{5}\underset{l=0}{\overset{4}{}}\mathrm{exp}\left[y\mathrm{cos}\left(\frac{2\pi l}{5}\right)\right]\mathrm{cos}\left[y\mathrm{sin}\left(\frac{2\pi l}{5}\right)\frac{2\pi kl}{5}\right],k=0,\mathrm{},4.$$
(50)
The graphs of the polar 5-dimensional cosexponential functions are shown in Fig. 2.

It can be checked that

$$\underset{k=0}{\overset{4}{}}g_k^2(y)=\frac{1}{5}e^{2y}+\frac{2}{5}e^{(\sqrt{5}1)y/2}+\frac{2}{5}e^{(\sqrt{5}+1)y/2}.$$
(51)
The addition theorems for the polar 5-dimensional cosexponential functions are

$`\begin{array}{c}g_{50}(y+z)=g_{50}(y)g_{50}(z)+g_{51}(y)g_{54}(z)+g_{52}(y)g_{53}(z)+g_{53}(y)g_{52}(z)+g_{54}(y)g_{51}(z),\\ g_{51}(y+z)=g_{50}(y)g_{51}(z)+g_{51}(y)g_{50}(z)+g_{52}(y)g_{54}(z)+g_{53}(y)g_{53}(z)+g_{54}(y)g_{52}(z),\\ g_{52}(y+z)=g_{50}(y)g_{52}(z)+g_{51}(y)g_{51}(z)+g_{52}(y)g_{50}(z)+g_{53}(y)g_{54}(z)+g_{54}(y)g_{53}(z),\\ g_{53}(y+z)=g_{50}(y)g_{53}(z)+g_{51}(y)g_{52}(z)+g_{52}(y)g_{51}(z)+g_{53}(y)g_{50}(z)+g_{54}(y)g_{54}(z),\\ g_{54}(y+z)=g_{50}(y)g_{54}(z)+g_{51}(y)g_{53}(z)+g_{52}(y)g_{52}(z)+g_{53}(y)g_{51}(z)+g_{54}(y)g_{50}(z).\end{array}`$ (57)
(58)
It can be shown that

$`\begin{array}{c}\{g_{50}(y)+h_1g_{51}(y)+h_2g_{52}(y)+h_3g_{53}(y)+h_4g_{54}(y)\}^l\hfill \\ =g_{50}(ly)+h_1g_{51}(ly)+h_2g_{52}(ly)+h_3g_{53}(ly)+h_4g_{54}(ly),\hfill \\ \{g_{50}(y)+h_1g_{53}(y)+h_2g_{51}(y)+h_3g_{54}(y)+h_4g_{52}(y)\}^l\hfill \\ =g_{50}(ly)+h_1g_{53}(ly)+h_2g_{51}(ly)+h_3g_{54}(ly)+h_4g_{52}(ly),\hfill \\ \{g_{50}(y)+h_1g_{52}(y)+h_2g_{54}(y)+h_3g_{51}(y)+h_4g_{53}(y)\}^l\hfill \\ =g_{50}(ly)+h_1g_{52}(ly)+h_2g_{54}(ly)+h_3g_{51}(ly)+h_4g_{53}(ly),\hfill \\ \{g_{50}(y)+h_1g_{54}(y)+h_2g_{53}(y)+h_3g_{52}(y)+h_4g_{51}(y)\}^l\hfill \\ =g_{50}(ly)+h_1g_{54}(ly)+h_2g_{53}(ly)+h_3g_{52}(ly)+h_4g_{51}(ly).\hfill \end{array}`$ (67)
The derivatives of the polar cosexponential functions are related by

$$\frac{dg_{50}}{du}=g_{54},\frac{dg_{51}}{du}=g_{50},\frac{dg_{52}}{du}=g_{51},\frac{dg_{53}}{du}=g_{52},\frac{dg_{54}}{du}=g_{53}.$$
(68)
## 5 Exponential and trigonometric forms of polar 5-complex numbers

The exponential and trigonometric forms of 5-complex numbers can be expressed with the aid of the hypercomplex bases

$$\left(\begin{array}{c}e_+\\ e_1\\ \stackrel{~}{e}_1\\ e_2\\ \stackrel{~}{e}_2\end{array}\right)=\frac{2}{5}\left(\begin{array}{ccccc}\frac{1}{2}& \frac{1}{2}& \frac{1}{2}& \frac{1}{2}& \frac{1}{2}\\ 1& p& 2p^21& 2p^21& p\\ 0& q& 2pq& 2pq& q\\ 1& 2p^21& p& p& 2p^21\\ 0& 2pq& q& q& 2pq\end{array}\right)\left(\begin{array}{c}1\\ h_1\\ h_2\\ h_3\\ h_4\end{array}\right).$$
(69)
The multiplication relations for these bases are

$`e_+^2=e_+,e_+e_k=0,e_+\stackrel{~}{e}_k=0,`$ (70)
$`e_k^2=e_k,\stackrel{~}{e}_k^2=e_k,e_k\stackrel{~}{e}_k=\stackrel{~}{e}_k,e_ke_l=0,e_k\stackrel{~}{e}_l=0,\stackrel{~}{e}_k\stackrel{~}{e}_l=0,k,l=1,2,kl.`$
The bases have the property that

$$e_++e_1+e_2=1.$$
(71)
The moduli of the new bases are

$$|e_+|=\frac{1}{\sqrt{5}},|e_k|=\sqrt{\frac{2}{5}},|\stackrel{~}{e}_k|=\sqrt{\frac{2}{5}},$$
(72)
for $`k=1,2`$.

It can be checked that

$`x_0+h_1x_1+h_2x_2+h_3x_3+h_4x_4=e_+v_++e_1v_1+\stackrel{~}{e}_1\stackrel{~}{v}_1+e_2v_2+\stackrel{~}{e}_2\stackrel{~}{v}_2.`$ (73)
The ensemble $`e_+,e_1,\stackrel{~}{e}_1,e_2,\stackrel{~}{e}_2`$ will be called the canonical 5-complex base, and Eq. (73) gives the canonical form of the 5-complex number.

The exponential form of the 5-complex number $`u`$ is

$`u=\rho \mathrm{exp}\{{\displaystyle \frac{1}{5}}(h_1+h_2+h_3+h_4)\mathrm{ln}{\displaystyle \frac{\sqrt{2}}{\mathrm{tan}\theta _+}}`$ (74)
$`+[{\displaystyle \frac{\sqrt{5}+1}{10}}(h_1+h_4){\displaystyle \frac{\sqrt{5}1}{10}}(h_2+h_3)]\mathrm{ln}\mathrm{tan}\psi _1+\stackrel{~}{e}_1\varphi _1+\stackrel{~}{e}_2\varphi _2\},`$
for $`0<\theta _+<\pi /2`$.

The trigonometric form of the 5-complex number $`u`$ is

$`u=d\left({\displaystyle \frac{5}{2}}\right)^{1/2}\left({\displaystyle \frac{1}{\mathrm{tan}^2\theta _+}}+1+{\displaystyle \frac{1}{\mathrm{tan}^2\psi _1}}\right)^{1/2}\left({\displaystyle \frac{e_+\sqrt{2}}{\mathrm{tan}\theta _+}}+e_1+{\displaystyle \frac{e_2}{\mathrm{tan}\psi _1}}\right)\mathrm{exp}\left(\stackrel{~}{e}_1\varphi _1+\stackrel{~}{e}_2\varphi _2\right).`$
(75)
The modulus $`d`$ and the amplitude $`\rho `$ are related by

$`d=\rho {\displaystyle \frac{2^{2/5}}{\sqrt{5}}}\left(\mathrm{tan}\theta _+\mathrm{tan}^2\psi _1\right)^{1/5}\left({\displaystyle \frac{1}{\mathrm{tan}^2\theta _+}}+1+{\displaystyle \frac{1}{\mathrm{tan}^2\psi _1}}\right)^{1/2}.`$ (76)
## 6 Elementary functions of a polar 5-complex variable

The logarithm and power function exist for $`v_+>0`$, which means that $`0<\theta _+<\pi /2`$, and are given by

$`\mathrm{ln}u=\mathrm{ln}\rho +{\displaystyle \frac{1}{5}}(h_1+h_2+h_3+h_4)\mathrm{ln}{\displaystyle \frac{\sqrt{2}}{\mathrm{tan}\theta _+}}`$ (77)
$`+\left[{\displaystyle \frac{\sqrt{5}+1}{10}}(h_1+h_4){\displaystyle \frac{\sqrt{5}1}{10}}(h_2+h_3)\right]\mathrm{ln}\mathrm{tan}\psi _1+\stackrel{~}{e}_1\varphi _1+\stackrel{~}{e}_2\varphi _2,`$
$$u^m=e_+v_+^m+\rho _1^m(e_1\mathrm{cos}m\varphi _1+\stackrel{~}{e}_1\mathrm{sin}m\varphi _1)+\rho _2^m(e_2\mathrm{cos}m\varphi _2+\stackrel{~}{e}_2\mathrm{sin}m\varphi _2).$$
(78)
The exponential of the 5-complex variable $`u`$ is

$`e^u=e_+e^{v_+}+e^{v_1}\left(e_1\mathrm{cos}\stackrel{~}{v}_1+\stackrel{~}{e}_1\mathrm{sin}\stackrel{~}{v}_1\right)+e^{v_2}\left(e_2\mathrm{cos}\stackrel{~}{v}_2+\stackrel{~}{e}_2\mathrm{sin}\stackrel{~}{v}_2\right).`$ (79)
The trigonometric functions of the 5-complex variable $`u`$ are

$$\mathrm{cos}u=e_+\mathrm{cos}v_++\underset{k=1}{\overset{2}{}}\left(e_k\mathrm{cos}v_k\mathrm{cosh}\stackrel{~}{v}_k\stackrel{~}{e}_k\mathrm{sin}v_k\mathrm{sinh}\stackrel{~}{v}_k\right),$$
(80)
$$\mathrm{sin}u=e_+\mathrm{sin}v_++\underset{k=1}{\overset{2}{}}\left(e_k\mathrm{sin}v_k\mathrm{cosh}\stackrel{~}{v}_k+\stackrel{~}{e}_k\mathrm{cos}v_k\mathrm{sinh}\stackrel{~}{v}_k\right).$$
(81)
The hyperbolic functions of the 5-complex variable $`u`$ are

$$\mathrm{cosh}u=e_+\mathrm{cosh}v_++\underset{k=1}{\overset{2}{}}\left(e_k\mathrm{cosh}v_k\mathrm{cos}\stackrel{~}{v}_k+\stackrel{~}{e}_k\mathrm{sinh}v_k\mathrm{sin}\stackrel{~}{v}_k\right),$$
(82)
$$\mathrm{sinh}u=e_+\mathrm{sinh}v_++\underset{k=1}{\overset{2}{}}\left(e_k\mathrm{sinh}v_k\mathrm{cos}\stackrel{~}{v}_k+\stackrel{~}{e}_k\mathrm{cosh}v_k\mathrm{sin}\stackrel{~}{v}_k\right).$$
(83)
## 7 Power series of 5-complex numbers

A power series of the 5-complex variable $`u`$ is a series of the form

$$a_0+a_1u+a_2u^2+\mathrm{}+a_lu^l+\mathrm{}.$$
(84)
Since

$$|au^l|5^{l/2}|a||u|^l,$$
(85)
the series is absolutely convergent for

$$|u|<c,$$
(86)
where

$$c=\underset{l\mathrm{}}{lim}\frac{|a_l|}{\sqrt{5}|a_{l+1}|}.$$
(87)
If $`a_l=_{p=0}^4h_pa_{lp}`$, where $`h_0=1`$, and

$$A_{l+}=\underset{p=0}{\overset{4}{}}a_{lp},$$
(88)
$$A_{lk}=\underset{p=0}{\overset{4}{}}a_{lp}\mathrm{cos}\left(\frac{2\pi kp}{5}\right),$$
(89)
$$\stackrel{~}{A}_{lk}=\underset{p=0}{\overset{4}{}}a_{lp}\mathrm{sin}\left(\frac{2\pi kp}{5}\right),$$
(90)
for $`k=1,2`$, the series (84) can be written as

$$\underset{l=0}{\overset{\mathrm{}}{}}\left[e_+A_{l+}v_+^l+\underset{k=1}{\overset{2}{}}(e_kA_{lk}+\stackrel{~}{e}_k\stackrel{~}{A}_{lk})(e_kv_k+\stackrel{~}{e}_k\stackrel{~}{v}_k)^l\right].$$
(91)
The series in Eq. (84) is absolutely convergent for

$$|v_+|<c_+,\rho _k<c_k,k=1,2,$$
(92)
where

$$c_+=\underset{l\mathrm{}}{lim}\frac{|A_{l+}|}{|A_{l+1,+}|},c_k=\underset{l\mathrm{}}{lim}\frac{\left(A_{lk}^2+\stackrel{~}{A}_{lk}^2\right)^{1/2}}{\left(A_{l+1,k}^2+\stackrel{~}{A}_{l+1,k}^2\right)^{1/2}}.$$
(93)
## 8 Analytic functions of a polar 5-compex variable

The expansion of an analytic function $`f(u)`$ around $`u=u_0`$ is

$$f(u)=\underset{k=0}{\overset{\mathrm{}}{}}\frac{1}{k!}f^{(k)}(u_0)(uu_0)^k.$$
(94)
Since the limit $`f^{}(u_0)=lim_{uu_0}\{f(u)f(u_0)\}/(uu_0)`$

is independent of the direction in space along which $`u`$ is approaching $`u_0`$, the function $`f(u)`$ is said to be analytic, analogously to the case of functions of regular complex variables.  If $`f(u)=_{k=0}^4h_kP_k(x_0,x_1,x_2,x_3,x_4)`$, then

$$\frac{P_0}{x_0}=\frac{P_1}{x_1}=\frac{P_2}{x_2}=\frac{P_3}{x_3}=\frac{P_4}{x_4},$$
(95)
$$\frac{P_1}{x_0}=\frac{P_2}{x_1}=\frac{P_3}{x_2}=\frac{P_4}{x_3}=\frac{P_0}{x_4},$$
(96)
$$\frac{P_2}{x_0}=\frac{P_3}{x_1}=\frac{P_4}{x_2}=\frac{P_0}{x_3}=\frac{P_1}{x_4},$$
(97)
$$\frac{P_3}{x_0}=\frac{P_4}{x_1}=\frac{P_0}{x_2}=\frac{P_1}{x_3}=\frac{P_2}{x_4},$$
(98)
$$\frac{P_4}{x_0}=\frac{P_0}{x_1}=\frac{P_1}{x_2}=\frac{P_2}{x_3}=\frac{P_3}{x_4},$$
(99)
and

$`{\displaystyle \frac{^2P_k}{x_0x_l}}={\displaystyle \frac{^2P_k}{x_1x_{l1}}}=\mathrm{}={\displaystyle \frac{^2P_k}{x_{[l/2]}x_{l[l/2]}}}`$ (100)
$`={\displaystyle \frac{^2P_k}{x_{l+1}x_4}}={\displaystyle \frac{^2P_k}{x_{l+2}x_3}}=\mathrm{}={\displaystyle \frac{^2P_k}{x_{l+1+[(3l)/2]}x_{4[(3l)/2]}}},`$
for $`k,l=0,\mathrm{},4`$. In Eq. (100), $`[a]`$ denotes the integer part of $`a`$, defined as $`[a]a<[a]+1`$. In this work, brackets larger than the regular brackets $`[]`$ do not have the meaning of integer part.

## 9 Integrals of polar 5-complex functions

If $`f(u)`$ is an analytic 5-complex function, then

$$_\mathrm{\Gamma }\frac{f(u)du}{uu_0}=2\pi f(u_0)\left\{\stackrel{~}{e}_1\mathrm{int}(u_{0\xi _1\eta _1},\mathrm{\Gamma }_{\xi _1\eta _1})+\stackrel{~}{e}_2\mathrm{int}(u_{0\xi _2\eta _2},\mathrm{\Gamma }_{\xi _2\eta _2})\right\},$$
(101)
where

$$\mathrm{int}(M,C)=\{\begin{array}{c}1\mathrm{if}M\mathrm{is}\mathrm{an}\mathrm{interior}\mathrm{point}\mathrm{of}C,\hfill \\ 0\mathrm{if}M\mathrm{is}\mathrm{exterior}\mathrm{to}C,\hfill \end{array},$$
(102)
and $`u_{0\xi _k\eta _k}`$, $`\mathrm{\Gamma }_{\xi _k\eta _k}`$ are respectively the projections of the pole $`u_0`$ and of the loop $`\mathrm{\Gamma }`$ on the plane defined by the axes $`\xi _k`$ and $`\eta _k`$, $`k=1,2`$.

## 10 Factorization of polar 5-complex polynomials

A polynomial of degree $`m`$ of the 5-complex variable $`u`$ has the form

$$P_m(u)=u^m+a_1u^{m1}+\mathrm{}+a_{m1}u+a_m,$$
(103)
where $`a_l`$, for $`l=1,\mathrm{},m`$, are 5-complex constants. If $`a_l=_{p=0}^4h_pa_{lp}`$, and with the notations of Eqs. (88)-(90) applied for $`l=1,\mathrm{},m`$, the polynomial $`P_m(u)`$ can be written as

$`P_m=e_+\left(v_+^m+{\displaystyle \underset{l=1}{\overset{m}{}}}A_{l+}v_+^{ml}\right)`$ (104)
$`+{\displaystyle \underset{k=1}{\overset{2}{}}}\left[(e_kv_k+\stackrel{~}{e}_k\stackrel{~}{v}_k)^m+{\displaystyle \underset{l=1}{\overset{m}{}}}(e_kA_{lk}+\stackrel{~}{e}_k\stackrel{~}{A}_{lk})(e_kv_k+\stackrel{~}{e}_k\stackrel{~}{v}_k)^{ml}\right].`$
The polynomial $`P_m(u)`$ can be written, as

$`P_m(u)={\displaystyle \underset{p=1}{\overset{m}{}}}(uu_p),`$ (105)
where

$`u_p=e_+v_{p+}+\left(e_1v_{1p}+\stackrel{~}{e}_1\stackrel{~}{v}_{1p}\right)+\left(e_2v_{2p}+\stackrel{~}{e}_2\stackrel{~}{v}_{2p}\right),p=1,\mathrm{},m.`$ (106)
The quantities $`v_{p+}`$, $`e_kv_{kp}+\stackrel{~}{e}_k\stackrel{~}{v}_{kp}`$, $`p=1,\mathrm{},m,k=1,2`$, are the roots of the corresponding polynomial in Eq. (104). The roots $`v_{p+}`$ appear in complex-conjugate pairs, and $`v_{kp},\stackrel{~}{v}_{kp}`$ are real numbers. Since all these roots may be ordered arbitrarily, the polynomial $`P_m(u)`$ can be written in many different ways as a product of linear factors.

If $`P(u)=u^21`$, the degree is $`m=2`$, the coefficients of the polynomial are $`a_1=0,a_2=1`$, the coefficients defined in Eqs. (88)-(90) are $`A_{2+}=1,A_{21}=1,\stackrel{~}{A}_{21}=0,A_{22}=1,\stackrel{~}{A}_{22}=0`$. The expression of $`P(u)`$, Eq. (104), is $`v_+^2e_++(e_1v_1+\stackrel{~}{e}_1\stackrel{~}{v}_1)^2e_1+(e_2v_2+\stackrel{~}{e}_2\stackrel{~}{v}_2)^2e_2`$. The factorization of $`P(u)`$, Eq. (105), is $`P(u)=(uu_1)(uu_2)`$, where the roots are $`u_1=\pm e_+\pm e_1\pm e_2,u_2=u_1`$. If $`e_+,e_1,e_2`$ are expressed with the aid of Eq. (69) in terms of $`h_1,h_2,h_3,h_4`$, the factorizations of $`P(u)`$ are obtained as

$`\begin{array}{c}u^21=(u+1)(u1),\hfill \\ u^21=\left[u+\frac{1}{5}+\frac{\sqrt{5}+1}{5}(h_1+h_4)\frac{\sqrt{5}1}{5}(h_2+h_3)\right]\left[u\frac{1}{5}\frac{\sqrt{5}+1}{5}(h_1+h_4)+\frac{\sqrt{5}1}{5}(h_2+h_3)\right],\hfill \\ u^21=\left[u+\frac{1}{5}\frac{\sqrt{5}1}{5}(h_1+h_4)+\frac{\sqrt{5}+1}{5}(h_2+h_3)\right]\left[u\frac{1}{5}+\frac{\sqrt{5}1}{5}(h_1+h_4)\frac{\sqrt{5}+1}{5}(h_2+h_3)\right],\hfill \\ u^21=\left[u+\frac{3}{5}\frac{2}{5}(h_1+h_2+h_3+h_4)\right]\left[u\frac{3}{5}+\frac{2}{5}(h_1+h_2+h_3+h_4)\right].\hfill \end{array}`$ (111)
It can be checked that $`(\pm e_+\pm e_1\pm e_2)^2=e_++e_1+e_2=1`$.

## 11 Representation of polar 5-complex numbers by irreducible matrices

If the unitary matrix which can be obtained from the expression, Eq. (8), of the variables $`\xi _+,\xi _1,\eta _1,\xi _k,\eta _k`$ in terms of $`x_0,x_1,x_2,x_3,x_4`$ is called $`T`$, the irreducible representation  of the hypercomplex number $`u`$ is

$$TUT^1=\left(\begin{array}{ccc}v_+& 0& 0\\ 0& V_1& 0\\ 0& 0& V_2\end{array}\right),$$
(113)
where $`U`$ is the matrix in Eq. (22), and $`V_k`$ are the matrices

$$V_k=\left(\begin{array}{cc}v_k& \stackrel{~}{v}_k\\ \stackrel{~}{v}_k& v_k\end{array}\right),k=1,2.$$
(114)
## 12 Conclusions

The operations of addition and multiplication of the 5-complex numbers introduced in this work have a geometric interpretation based on the amplitude $`\rho `$, the modulus $`d`$ and the polar, planar and azimuthal angles $`\theta _+,\psi _1,\varphi _1,\varphi _2`$. If $`x_0+x_1+x_2+x_3+x_4>0`$ the 5-complex numbers can be written in exponential and trigonometric forms with the aid of the modulus, amplitude and the angular variables. The 5-complex functions defined by series of powers are analytic, and the partial derivatives of the components of the 5-complex functions are closely related. The integrals of 5-complex functions are independent of path in regions where the functions are regular. The fact that the exponential form of the 5-complex numbers depends on the cyclic variables $`\varphi _k`$ leads to the concept of pole and residue for integrals on closed paths. The polynomials of 5-complex variables can be written as products of linear or quadratic factors.

FIGURE CAPTIONS

Fig. 1. Representation of the polar hypercomplex bases $`1,h_1,h_2,h_3,h_4`$ by points on a circle at the angles $`\alpha _k=2\pi k/5`$. The product $`h_jh_k`$ will be represented by the point of the circle at the angle $`2\pi (j+k)/5`$, $`i,k=0,1,\mathrm{},4`$, where $`h_0=1`$. If $`2\pi 2\pi (j+k)/54\pi `$, the point represents the basis $`h_l`$ of angle $`\alpha _l=2\pi (j+k)/52\pi `$.

Fig. 2. Polar cosexponential functions $`g_{50},g_{51},g_{52},g_{53},g_{54}`$.


text:
# The detection of oxygen in the low-density intergalactic mediumPart of the data presented herein were obtained at the W. M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. The Observatory was made possible by the generous financial support of the W. M. Keck Foundation.

## 1. Introduction

The abundance of metals in the low-density intergalactic medium (IGM) at high redshift is of interest for at least two reasons. Firstly, the metallicity can be used to distinguish between different enrichment mechanisms and to constrain the amount of star formation at high redshift. Secondly, the relative abundances of ions with different ionization potentials can be used to derive the spectrum of the integrated UV background from stars and quasars. For both purposes it is essential to measure the metal abundances in gas of low density, away from the influence of local sources of ionizing radiation and locally produced metals.

Resonant Ly$`\alpha `$ absorption by neutral hydrogen along the line of sight to distant quasars results in a forest of absorption lines bluewards of the quasar’s Ly$`\alpha `$ emission line. With the advent of the High-Resolution Echelle Spectrograph (HIRES) on the Keck telescope, it became clear that many of the high column density Ly$`\alpha `$ lines ($`N_{\mathrm{HI}}10^{14.5}\mathrm{cm}^2`$) show associated C IV absorption (e.g., Cowie et al. 1995). Although increasing the signal-to-noise ratio (S/N) reveals C IV systems of progressively lower column density, C IV lines corresponding to low column density Ly$`\alpha `$ lines are generally far too weak to detect (e.g., Ellison et al. 2000).

The success of cosmological simulations in reproducing the observations of the Ly$`\alpha `$ forest has convincingly shown that the low column density forest ($`N_{\mathrm{HI}}10^{14.5}\mathrm{cm}^2`$) at high redshift ($`z2`$) arises in a smoothly fluctuating IGM, with individual lines corresponding to local density maxima of moderate overdensity ($`\rho /\overline{\rho }10`$). The interplay between photoionization heating and adiabatic cooling that is due to the universal expansion results in a tight temperature-density relation, which is well approximated by a power-law, $`T=T_0(\rho /\overline{\rho })^{\gamma 1}`$ (Hui & Gnedin 1997). The Ly$`\alpha `$ optical depth is proportional to the neutral hydrogen density, which in photoionization equilibrium is proportional to $`\rho ^2T^{0.76}`$. Hence the optical depth depends on the underlying baryon overdensity, $`\tau _{\mathrm{HI}}(\rho /\overline{\rho })^{2.760.76\gamma }`$. The constant of proportionality is an increasing function of redshift, at $`z3`$, an optical depth of one corresponds to slightly overdense gas.

Cowie & Songaila (1998) realized that the tight correlation between optical depth and gas overdensity makes a pixel-by-pixel analysis of metal abundances useful. By measuring the median C IV/H I optical depth ratio as a function of $`\tau _{\mathrm{HI}}`$, they were able to show that the IGM is enriched with a roughly constant C IV/H I ratio down to $`\tau _{\mathrm{HI}}1`$ at $`z3`$. Ellison et al. (2000) showed explicitly that directly detected C IV lines account for only a small fraction of the total amount of metals in the forest, as inferred from a pixel analysis.

Although other metal lines have been detected, C IV ($`\lambda \lambda `$1548, 1551) has so far proven the most sensitive since it is the strongest line redwards of Ly$`\alpha `$ ($`\lambda `$1216), where there is little contamination from other absorption lines. However, simulations show that at high redshift, photoionized O VI ($`\lambda \lambda `$1032, 1038) should be a much better probe of the metallicity of the IGM in regions close to the mean density (Chaffee et al. 1986; Rauch, Haehnelt, & Steinmetz 1997; Hellsten et al. 1998). In practice it has proven very difficult to detect O VI at high redshift because it lies deep in the Ly$`\alpha `$ and Ly$`\beta `$ ($`\lambda 1026`$) forest. Since Lu & Savage (1993) established the presence of O VI in intervening absorbers by stacking Lyman limit systems that show C IV absorption, O VI has been detected at high redshift in several Lyman limit systems (Vogel & Reimers 1995, Kirkman & Tytler 1997; 1999). Davé et al. (1998) (see also Cowie & Songaila 1998) carried out a thorough search for O VI but found only evidence for O VI associated with C IV absorption in high density gas.

At low redshift ($`z1`$), O VI absorbers have been shown to be common (e.g., Bergeron et al. 1994), so common in fact that they may harbor a large fraction of the baryons (Burles & Tytler 1996; Tripp, Savage & Jenkins 2000). These low redshift systems probably correspond to hot, shock heated gas in the potential wells of (groups of) galaxies, which may well be collisionally ionized.

We have carried out a pixel-by-pixel search for O VI in the spectra of eight quasars, spanning the redshift range $`z2.0`$–4.5. We clearly detect O VI at $`2z3`$, down to very low H I optical depths, $`\tau _{\mathrm{HI}}10^1`$, which is an order of magnitude lower than the best C IV measurements can probe.

## 2. Observations and sample definition

We analyzed spectra of the eight quasars listed in column 6 of Table 1. The spectra of Q1101, J2233 and Q1122 were taken during the Commissioning I and Science Verification observations of the UV-Visual Echelle Spectrograph (UVES) and have been released by ESO for public use. They were reduced with the ESO-maintained MIDAS ECHELLE package (see Kim, D’Odorico, & Cristiani 2000, in preparation) for details on the data reduction). The other spectra were obtained with the HIRES spectrograph (Vogt et al. 1994) on the Keck telescope. The reduction procedures for these quasars can be found in Barlow & Sargent (1997) and Sargent, Barlow & Rauch (2000, in preparation). The HIRES and UVES spectra have a nominal velocity resolution of 6.6 and 6.7 $`\mathrm{km}\mathrm{s}^1`$ (FWHM) and a pixel size of 0.04 and 0.05 Å respectively. To avoid confusion with the Ly$`\beta `$ forest, we only used the Ly$`\alpha `$ region between the quasar’s Ly$`\alpha `$ and Ly$`\beta `$ emission lines. In addition, spectral regions close to the quasar (typically $`5000\mathrm{km}\mathrm{s}^1`$) were excluded to avoid proximity effects. Regions in the Ly$`\alpha `$ forest thought to be contaminated by metal lines were excluded.

The mean absorption increases rapidly bluewards of the quasar’s Ly$`\beta `$ emission line becaue of the growing number of absorption lines other than Ly$`\alpha `$. For quasars at $`z3`$ the increase in the absorption is dominated by higher order Ly lines, corresponding to Ly$`\alpha `$ lines which fall in between the quasar’s Ly$`\beta `$ and Ly$`\alpha `$ emission lines (i.e. in the Ly$`\alpha `$ forest). At lower redshift the hydrogen lines have smaller column densities and metal lines contribute significantly to the mean absorption. The increase in the mean absorption towards the blue, raises the threshold for detecting O VI absorption in the Ly$`\alpha `$ forest considerably. Moreover, the S/N in the O VI region generally decreases towards the blue, raising the detection threshold further. We therefore analyzed the red and blue halves, i.e. the high and low redshift halves, of each Ly$`\alpha `$ forest spectrum separately (for those quasars for which our spectral coverage extends far enough into the blue). This turned out to be crucial, as we were unable to detect O VI in any of the low redshift half samples. All the high redshift half samples are listed in Table 1.

| TABLE 1 | | | | | | |
| --- | --- | --- | --- | --- | --- | --- |
| List of samples | | | | | | |
| Sample | $`z_{\mathrm{min}}`$ | $`z_{\mathrm{max}}`$ | (S/N)OVI | (S/N)HI | QSO | $`z_{\mathrm{em}}`$ |
| 1101 | 1.97 | 2.10 | 21 | 78 | Q1101$``$264 | 2.14 |
| 2233 | 2.07 | 2.18 | 12 | 30 | J2233$``$606 | 2.24 |
| 1122 | 2.03 | 2.34 | 27 | 66 | Q1122$``$165 | 2.40 |
| 1442 | 2.51 | 2.63 | 8 | 61 | Q1442+293 | 2.67 |
| 1107 | 2.71 | 2.95 | 10 | 49 | Q1107+485 | 3.00 |
| 1425 | 2.92 | 3.14 | 42 | 113 | Q1425+604 | 3.20 |
| 1422 | 3.22 | 3.53 | 46 | 105 | Q1422+231 | 3.62 |
| 2237 | 4.15 | 4.43 | 31 | 32 | Q2237$``$061 | 4.55 |

## 3. Method

We search for O VI using a variant of the pixel technique introduced by Cowie & Songaila (1998). We measure the optical depth in each Ly$`\alpha `$ forest pixel and in the corresponding O VI pixel. The H I-O VI pixel pairs are binned according to their H I optical depth and the median H I and O VI optical depths are computed for each bin. This technique enables us to probe the O VI abundance down to much lower densities than is possible by fitting lines. Its main advantage over, for example, the stacking method is its robustness. Being a median, it is relatively insensitive to (non-Gaussian) noise, contamination from non-O VI lines, problems that severely compromise the stacking method, which is a mean (see Ellison et al. 2000 for a critical assessment of both the stacking technique and the pixel technique for the case of C IV). Its main limitation is that it measures an *apparent* O VI optical depth, $`\tau _{\mathrm{OVI},\mathrm{app}}`$, which is in general not the same as the true O VI optical depth because of contamination.

The effect of contaminating lines is reduced by defining $`\tau _{\mathrm{OVI},\mathrm{app}}\mathrm{min}(\tau _{\mathrm{OVI},\mathrm{\hspace{0.17em}1032}},2\tau _{\mathrm{OVI},\mathrm{\hspace{0.17em}1038}})`$, where we used the fact that $`(f\lambda )_{1032}=2(f\lambda )_{1038}`$. Taking the minimum doublet component does of course not guarantee that $`\tau _{\mathrm{OVI},\mathrm{app}}=\tau _{\mathrm{OVI}}`$. For some pixels both components may be contaminated, which would result in an overestimate of the O VI optical depth. However, if the contamination is negligible, then noise will cause us to underestimate $`\tau _{\mathrm{OVI}}`$. For C IV, which falls redwards of the Ly$`\alpha `$ forest, noise is the limiting factor and Ellison et al. (2000) therefore only used the weaker component if a $`3\sigma `$ detection was predicted, based on the signal in the stronger component. For O VI however, contamination is a much greater problem and we therefore take the the minimum if the expected signal in the weaker component is greater than 0.5$`\sigma `$, i.e. if $`\mathrm{exp}(0.5\tau _{\mathrm{OVI},\mathrm{\hspace{0.17em}1032}})<10.5\sigma _{\mathrm{OVI},\mathrm{\hspace{0.17em}1038}}`$, where $`\sigma _{\mathrm{OVI},\mathrm{\hspace{0.17em}1038}}`$ is the rms amplitude of the noise at the position of O VI, 1038 (as given by the normalized noise array).

When a pixel is close to saturation \[$`\mathrm{exp}(\tau _{\mathrm{HI}})<0.5\sigma `$\], we use up to 10 higher order Ly lines to determine the optical depth: $`\tau _{\mathrm{Ly}\alpha }\mathrm{min}(\tau _{\mathrm{Ly}n}f_{\mathrm{Ly}\alpha }\lambda _{\mathrm{Ly}\alpha }/f_{\mathrm{Ly}n}\lambda _{\mathrm{Ly}n})`$. We limit the effect of noise features by requiring $`0.5\sigma _n<\mathrm{exp}(\tau _{\mathrm{Ly}n})<10.5\sigma _n`$ ($`\sigma _n`$ is the rms noise amplitude at the position of Ly$`n`$). The number of higher order lines available is different for each quasar spectrum and varies also within a single spectrum. However, since the number of pixels with a given $`\tau _{\mathrm{HI}}`$ decreases rapidly for $`\tau _{\mathrm{HI}}1`$, the misbinning of H I due to missing higher orders affects only the highest $`\tau _{\mathrm{HI}}`$ bins.

We use logarithmic $`\tau _{\mathrm{HI}}`$ bins of size 0.35 dex (0.5 dex for the two lowest redshift quasars) and estimate the error in the medians by bootstrap resampling111The spectrum is divided into chunks of 2 Å and 250 spectra of length equal to the original spectrum are generated by picking chunks at random (with replacement, each chunk can be picked more than once). The $`1\sigma `$ error in the median is then the square root of the variance in the median over the bootstrap realizations..

## 4. Results

Figure 1 shows the results from a pixel analysis of the samples listed in Table 1. The apparent O VI optical depth is clearly correlated with $`\tau _{\mathrm{HI}}`$ at $`z3`$ down to $`\tau _{\mathrm{HI}}10^1`$, indicating that O VI is detected in the Ly$`\alpha `$ forest. At $`z3.2`$–3.5 we detect O VI only at very high H I optical depths, $`\tau _{\mathrm{HI}}>10`$, while at $`z>4`$ $`\tau _{\mathrm{OVI}}`$ and $`\tau _{\mathrm{HI}}`$ appear uncorrelated. The transition seems to occur at $`z3.0`$–3.5. If contamination and noise, which are independent of $`\tau _{\mathrm{HI}}`$, dominate over absorption from O VI, then $`\tau _{\mathrm{OVI},\mathrm{app}}`$ will flatten off at the detection limit. Ellison et al. (2000) analyzed a very high quality spectrum of Q1422+231 ((S/N)$`{}_{\mathrm{CIV}}{}^{}200`$) and found that $`\tau _{\mathrm{CIV}}`$ flattens off below $`\tau _{\mathrm{HI}}2`$. We find that the correlation between $`\tau _{\mathrm{OVI},\mathrm{app}}`$ and $`\tau _{\mathrm{HI}}`$ continues down to much lower $`\tau _{\mathrm{HI}}`$, indicating that oxygen has been detected in gas of very low density contrast ($`\rho /\overline{\rho }<1`$).

The horizontal, dashed lines indicate the median $`\tau _{\mathrm{OVI},\mathrm{app}}`$ corresponding to a random H I pixel, i.e. the median $`\tau _{\mathrm{OVI},\mathrm{app}}`$ for the set of all H I pixels. This reference level includes contributions from O VI, from contaminating non-O VI lines and from noise. For $`z3`$, the contribution of O VI to this level is negligible and the level is effectively the detection limit. For $`z3`$ on the other hand, O VI accounts for a significant part of the total absorption. Hence the detection limit is lower than the reference level and $`\tau _{\mathrm{OVI},\mathrm{app}}`$ drops below the dashed line at low $`\tau _{\mathrm{HI}}`$.

We stress that because of noise and especially contamination, the measured, apparent O VI optical depths could differ considerably from the true values. We tried to estimate the effects of noise and contamination, which vary systematically across the spectrum, by analyzing synthetic spectra generated by drawing H I Voigt profiles at random from observed line lists until the mean absorption in the Ly$`\alpha `$ forest equals the observed value. We then added the corresponding O VI absorption lines using a fixed O VI/H I column density ratio and a fixed $`b`$-parameter ratio. Finally, higher order Ly lines and noise were added using the H I line list and the noise array respectively. We found that the simulations agree reasonably well with the observations for $`N(`$O VI$`)/N(`$H I$`)10^2`$$`10^1`$, although the results are sensitive to the assumed ratio of $`b`$-parameters. Although encouraging, these Monte Carlo simulations are clearly too simplistic to derive the intrinsic O VI/H I ratios. The effects of noise and contamination can only be modeled accurately by calibrating the method against synthetic spectra extracted from hydrodynamic simulations. This should be done separately for each observed spectrum, using synthetic spectra that resemble the observed spectrum in detail. We leave such a quantitative analysis for a future paper but note that the effects that prevent us from deriving the actual O VI abundance, will reduce any intrinsic correlation between $`\tau _{\mathrm{HI}}`$ and $`\tau _{\mathrm{OVI},\mathrm{app}}`$, making a detection of such a correlation a robust result.

For a fixed O VI abundance, the value of the reference level (Fig. 1, dashed lines) increases with decreasing S/N and with increasing redshift. The latter effect is more important and is due to the increase in the number and strength of contaminating Ly series lines with redshift, which is a direct consequence of the expansion of the universe. As the universe expands, the column densities of lines corresponding to absorbers of a fixed overdensity decrease (the evolution of the ionizing background and the growth of structure are less important). This results in an increase of the amount of contamination, and thus the detection threshold, with redshift. Note that this effect is opposite to the increase in contamination towards the blue (i.e. low redshift) end of a single quasar spectrum, which is a consequence of the growing number of interlopers (see section 2). Like the column density, the H I optical depth corresponding to a fixed overdensity also increases with redshift. This complicates the comparison of the $`\tau _{\mathrm{HI}}`$ level below which the correlation with O VI flattens off in samples of different redshifts. While an H I optical depth of one corresponds to about the mean density at $`z3`$, it corresponds to an overdensity of a few at $`z2`$ and to slightly underdense gas at $`z4`$.

For the quasars Q1107, Q1422 and Q2233 our spectral coverage is sufficient to analyze the blue half of the forest. We find no correlation between $`\tau _{\mathrm{OVI}}`$ and $`\tau _{\mathrm{HI}}`$ in any of these samples. As discussed above, this is a consequence of the large number of contaminating absorption lines from intervening absorbers and/or the low S/N of the data and does not imply that there is no O VI. In principle, even more O VI could be uncovered by looking at a smaller part of the spectrum. The contamination in the upper redshift quarter for example, will be lower than in the upper half. However, decreasing the number of pixels further would bring the redshift path into the regime of large-scale structures and the samples would therefore no longer be representative. This may already be the case for the two lowest redshift samples, for which the number of pixels showing H I absorption is much smaller than for the higher redshift samples. Nevertheless, we have tried smaller samples and found that the correlation strengthens somewhat for 1422 but not for 2237.

Figure 2 demonstrates that the O VI that we detect at low $`\tau _{\mathrm{HI}}`$ is not associated with detectable C IV absorption. The solid line indicates the apparent O VI absorption in 1442. The dashed line shows the result obtained after all pixels that have nonzero C IV absorption at the $`1\sigma `$ level \[$`\mathrm{exp}(\tau _{\mathrm{CIV}})<11\sigma `$\] have been excluded. The dashed curve only falls below the solid curve for $`\tau _{\mathrm{HI}}2`$, indicating that some of the stronger O VI systems have been excluded. The fact that the two curves are almost indistinguishable for $`\tau _{\mathrm{HI}}2`$ shows that O VI is detectable in absorbers for which C IV absorption is too weak to detect and is thus direct observational proof of the prediction that O VI is a more sensitive probe of the metallicity in low-density gas than C IV.        The effect of excluding CIV absorbers. The solid curve is for sample 1442. The dashed curve shows the result of the pixel analysis after having excluded all pixels for which the corresponding CIV absorption is detectable. The curves only start to differ at $`\tau _{\mathrm{HI}}2`$, indicating that only the strong OVI absorbers show significant CIV absorption.

## 5. Discussion

We have searched for O VI absorption in the spectra of eight quasars spanning the redshift range $`z2.0`$–4.5 and reported the first detection of O VI in the low-density IGM at high redshift. We analyzed the spectra pixel by pixel and detected a positive correlation between the optical depths in H I and in the corresponding O VI pixels down to $`\tau _{\mathrm{HI}}10^1`$ at $`2z3`$. This is an order of magnitude lower in $`\tau _{\mathrm{HI}}`$ than the best C IV measurements can probe and constitutes the first firm detection of metals in *underdense* gas. We showed that the O VI signal does not come from systems for which C IV is detectable, and this confirms the prediction that O VI is a much better tracer of metals in low-density gas than C IV.

Although the very strong absorbers may well be collisionally ionized (e.g., Kirkman & Tytler 1999), the volume filling factor of this hot gas is much smaller than that of photoionized gas (e.g., Cen & Ostriker 1999). The ubiquitous O VI detected here, arises in gas that is too dilute for collisional ionization to be effective. Photons of at least 8.4 Ryd are needed to create O VI and hence we would not expect to detect photoionized O VI if the reionization of He II, for which photons of at least 4 Ryd are required, is not yet complete. Measurements of the He II Ly$`\alpha `$ opacity (Heap et al. 2000 and references therein) and the temperature of the IGM (Schaye et al. 2000, Ricotti, Gnedin & Shull 2000) suggest that the reionization of helium may have been completed at $`z3`$. Although our non-detection of O VI at $`z>3`$ is consistent with enhanced photoionization from a hardening of the ionizing background below $`z3`$, it could also be caused by the increased level of contamination from Ly series lines.

Our detection of O VI down to $`\tau _{\mathrm{HI}}10^1`$ shows that the IGM is enriched down to much lower overdensities than have been probed up till now. A comparison with simulations could clarify how noise and contamination from Ly series lines affect the apparent O VI optical depth, what fraction of the low-density gas is enriched and what the scatter in the O VI/H I ratio is, thereby providing strong constraints on theoretical models for the enrichment of the IGM.

We are grateful to S. Ellison, M. Pettini and G. Efstathiou for discussions and a careful reading of the manuscript. JS thanks the Isaac Newton Trust and PPARC for support. WLWS acknowledges support from the NSF under grant AST-9900733.


text:
# 1 Introduction

## 1 Introduction

Recently the theories suggesting the fundamental scale of gravitational interaction to be as low as a few TeVs were developed . Within these theories the observed weakness of the Newtonian coupling is due to the existence of large ($``$TeV-1) extra dimensions into which the gravitation flux can spread out. At the distances larger than the typical size of these extra dimensions gravitational potential goes to its standard Newton’s law. Moreover, all currently known collider data as well as astrophysical and cosmological observations are barely consistent with the known theoretical construction in the case of two extra dimensions, at least .

A number of recent publications consider the origin of electroweak symmetry breaking within the low–scale extra dimension scenario. Several origins of electroweak symmetry breaking and of the Higgs field were suggested. For instance, in  Higgs field was considered as a composite particle while in  Higgs field was identified with a tree–level massless open string state. In  the spontaneous electroweak symmetry breaking by supersymmetric strong dynamics at the TeV scale was studied. Also in  the issue of extra dimensions at the TeV scale as a possible origin of electroweak symmetry breaking was suggested.

In the present paper we address the issue of the possibility of electroweak symmetry breaking triggered by the $`D_A`$–term of anomalous $`U(1)_A`$ symmetry along with the standard F–terms coming from the $`N=1`$ superpotential. To motivate this kind of scenario we can refer to the superstring theory. Until the recent time the compactification of heterotic $`E_8E_8`$ superstring on Calabi–Yau manifolds  or alternatively on the orbifolds  was considered as the only way to produce the realistic chiral $`N=1`$ supergravity theory in four dimensions. However, the recent developments in the string theory has revealed that other superstring theories like the type IIB and I/I are phenomenologically acceptable as well . In latter theories as well as in the case of heterotic string , the string scale may not be directly related to the Planck scale , and, hence, the gauge hierarchy problem is naturally avoided. The compactification of the type IIB (or type I/I) theory using various kind of orientifold constructions leads to the string vacua which contain D–branes. The gauge fields live on the D–branes while gravity still propagates in the bulk. Such kinds of string vacua contains the spectrum of the Supersymmetric Standard Model along with some modulus fields, dilaton, axion, and the fields from the ”hidden sector” (see  for a review). The $`SU(2)_WU(1)_Y`$ gauge symmetry of the Standard Model is enlarged in these kinds of theories by one or several anomalous $`U(1)_A`$ gauge symmetries. It was shown that the corresponding Fayet–Illiopoulos $`D_A`$–term can play crucial role in spontaneous supersymmetry breaking , as well as in a breaking of some nonanomalous gauge symmetries  and in the strong CP–violation problem . Therefore it is interesting to investigate wether the anomalous $`D_A`$–term has some other impact on the four–dimensional physics namely on electroweak symmetry breaking. We show that at least for the case of one anomalous $`D_A`$–term such a breaking can take place.

The paper is organized as follows: In Section 2 we recall some basic facts about the origin of anomalous $`U(1)_A`$ symmetry and corresponding Fayet–Illiopoulos $`\xi `$–terms in four dimensional superstring theories and we suggest the model where the electroweak symmetry is broken via the $`D_A`$–term of anomalous $`U(1)_A`$ symmetry, without presence of mass (mixing) terms for Higgs superfields in four dimensional ($`d=4`$) $`N=1`$ lagrangian. In Section 3 we discuss the possible dynamical generation of the $`\mu `$–term in $`d=4`$$`N=1`$ SUGRA due to the condensate of fields from the ”hidden sector” having nontrivial charge under $`U(1)_A`$ symmetry and examine the consequences of the appearance of $`\mu `$–term in four dimensional lagrangian for the $`SU(2)_WU(1)_Y`$ symmetry breaking. Section 4 contains our conclusions and outlook.

## 2 The model 1

### 2.1 The origin of anomalous $`U(1)_A`$ symmetry

The four dimensional field theoretical models obtained after the compactification of either heterotic or type IIB superstring theories contain the anomalous $`U(1)_A`$ gauge symmetries. For the case of compactification of the heterotic string there exists one anomalous gauge symmetry . The anomalies, being disastrous for the quantum consistency of the theory, are cancel due the four dimensional Green–Schvartz mechanism, analogous to the one taking place in ten dimensional type I and heterotic superstring theories , therefore, the four dimensional string theories are consistent as well. Namely, upon the compactification on a six dimensional volume $`v`$ the $`U(1)_A`$ anomalies for the heterotic string case are cancel due to the presence in the action of the counter term of the form:

$$\delta _{GS}BF_{U(1)},$$
(1)
along with the coupling term $`dB\omega `$, where $`\delta _{GS}`$ is the Green–Schwartz anomaly cancellation coefficient, being the universal constant of the model; $`F_{U(1)}`$ is the curvature corresponding to the anomalous gauge field $`A_\mu `$; $`\omega `$ is the corresponding Chern–Simons form and $`B`$ is the four dimensional antisymmetric two–form which gives the pseudoscalar $`a`$–axion upon the dualisation: $`_\mu B_{\nu \rho }ϵ_{\mu \nu \rho \sigma }^\sigma a`$ . The combination $`(s+ia)`$ of the axion $`a`$ and the heterotic string dilaton $`s`$ forms the lowest component of the chiral superfield $`S`$ , referred to as a complex dilaton superfield. The latter undergoes the transformation $`SS+\frac{i}{2}\delta _{GS}\theta _A`$ with the parameter $`\theta _A`$ under the anomalous $`U(1)_A`$ gauge group. After developing the gauge invariant kinetic term of the complex dilaton

$$L_S=d^4\theta \mathrm{ln}(S+\overline{S}\delta _{GS}V),$$
(2)
where $`V`$ is the corresponding vector superfield, one can see that supersymmetry generates along with (1) the mass term for anomalous $`A_\mu `$ gauge boson at two–loop level and Fayet–Illiopoulos $`\xi `$–term at one loop level in string expansion. The value of parameter $`\xi `$ is given by:

$$\xi =\frac{\delta _{GS}}{4}M_{str}^2\text{with}\delta _{GS}=\frac{TrQ_A}{48\pi ^2},$$
(3)
and $`\sqrt{\xi }`$ is of order or less of string scale depending on the value of $`TrQ_A`$, where the summation in the trace goes over all charges of superfields which transform nontrivialy under the anomalous $`U(1)_A`$ symmetry. The role of Goldstone boson is played by the axion $`a`$, which becomes the longitudinal component of anomalous gauge boson giving the mass proportional to $`\lambda ^4\delta _{GS}^2M_{str}^2`$ (where $`\lambda ^2=1/s`$ is the heterotic string coupling constant) and, hence, anomalous $`U(1)_A`$ gauge symmetry is broken spontaneously.

The situation for the case of compactification to $`d=4`$ of the type IIB superstring theory is essentially different since there can be several anomalous $`U(1)_A^i`$ groups. The quantities $`\xi ^i`$ are proportional to the combination of real–parts of the twisted moduli fields coming from NS–NS sector with the model dependent coefficients and vanish in the orbifold limit. However, the anomalous $`U(1)_A^i`$ gauge bosons obtain the masses of the order of the string scale despite of whether the orbifold singularities are blown up or not . On the other hand $`\xi ^i`$ can be generated non–perturbatively at the tree level in string expansion. The order of parameters $`\xi ^i`$ is undetermined, thus, giving the large room for the model building. In the models considered below we suppose the the order of parameters $`\xi `$ to be close by the magnitude to the order of type IIB string scale 111As we have mentioned in the Introduction the heterotic string scale can be also lowered to the 1 TeV due to the effect of small instantons. i.e., $`\sqrt{\xi }O(10^2)`$ GeV in the low scale (TeV) string theory. Again, the four dimensional type IIB superstryng theory is anomaly free, but now the cancellations of $`U(1)_A^i`$ happens due to the generalized Green-Schwartz cancellation mechanism  governed by the imagine parts of twisted moduli fields coming from the Ramond–Ramond sector rather than dilaton as it was for the four dimensional heterotic string models.

### 2.2 The model

The important problems still open in the framework of the MSSM are: what is the origin of $`\mu `$–term, why (how) a given coupling (or mass) is tiny or zero without any apparent symmetry reasons, why the magnitude of $`\mu `$ –term is of the order of 100 GeV and not of the order of $`M_{Str}`$ which is the fundamental scale in superstring theory.

Therefore we would like to address the question: Is it possible to break SM gauge symmetry without $`\mu `$–term and without extension of particle spectrum?

In subsequence we shall not specify the string origin of the models considered below. We simply assume that the lagrangian of the supersymmetric Standard Model is enlarged by single anomalous Fayet – Illiopoulos $`\xi `$ \- term corresponding to the anomalous $`U(1)_A`$ gauge symmetry. The $`D_A`$ –term for anomalous $`U(1)_A`$ has the generic form:

$$D_A=\xi +\underset{i}{}Q_iX_iG_i,$$
(4)
where $`G_i`$ is the derivative of corresponding Kähler potential of $`d=4`$ $`N=1`$ supergravity with respect to fields $`X_i`$ having the charges $`Q_i`$ under the anomalous gauge group. Retaining the quadratic part of Kähler potential with respect to the matter fields one obtains:

$$D_A=\xi +\underset{i}{}Q_i|X_i|^2.$$
(5)
One can see that it is always possible to define the anomalous $`U(1)_A`$ charges of quarks and leptons in the way that all terms of the ordinary MSSM lagrangian are allowed except the $`\mu `$–term. On the other hand we can also use $`U(1)_A`$ symmetry for the suppression of R–parity breaking terms. For example, one of the possible set of anomalous $`Q_i`$ charges for one family of quarks and leptons is given in Table 1. Here $`Q_L,`$ $`U_R,`$ $`D_R,`$ $`L,`$ $`E_R`$ correspond to the chiral superfields, which contain ordinary quarks and leptons. $`H_1`$ and $`H_2`$ are MSSM Higgs fields.

| Superfield | $`Q_L`$ | $`U_R`$ | $`D_R`$ | $`L`$ | $`E_R`$ | $`H_1`$ | $`H_2`$ |
| --- | --- | --- | --- | --- | --- | --- | --- |
| $`Q`$ | $`\frac{3}{5}n`$ | $`\frac{3}{5}n`$ | $`\frac{4}{5}n`$ | $`\frac{4}{5}n`$ | $`\frac{3}{5}n`$ | $`\frac{1}{5}n`$ | $`\frac{6}{5}n`$ |

Table 1 The $`U(1)_A`$ charges corresponding to the quarks, leptons and Higgs superfields defined up to the multiplication by arbitrary number $`n`$.

For our analyses the ratio between anomalous charges and their exact values are not important. To simplify our analyses let us denote corresponding charges of MSSM Higgs $`(H_1`$ and $`H_2)`$ as $`q`$ and $`p`$ respectively.

According to the previous analyses (possible suppression of $`\mu `$–term) the scalar potential for the neutral components of MSSM Higgs field contains just the contributions from $`D`$–terms corresponding to anomalous and non–anomalous gauge symmetry and is the following:

$$V=\frac{g_A^2}{4}(\xi +q|H_1^0|^2+p|H_2^0|^2)^2+\frac{g_W^2+g_Y^2}{4}(|H_1^0|^2|H_2^0|^2)^2,$$
(6)
where $`g_W`$, $`g_Y`$ and $`g_A`$ correspond to gauge coupling constant of $`SU(2)_WU(1)_YU(1)_A`$ gauge symmetry. The absolute minimum of the potential (6) is achieved for the following vacuum expectation values of MSSM Higgs fields:

$$<|H_1^0|^2>=<|H_2^0|^2>=\frac{\xi }{q+p}.$$
(7)
Based on the discussion given in the previous subsection the value of $`\sqrt{\xi }`$–terms in the low–scale string theory can be of the order of $`10^2`$ GeV. So, under the natural assumption that $`p+q`$ is of order of the unity we can conclude from eq. (7) that due to the existence of anomalous $`U(1)_A`$ symmetry it is possible to break SM gauge symmetry and get the correct values of masses of gauge bosons, Higgs fields, quarks and leptons (as well as of their superpartners) without having the $`\mu `$–term in the theory and without extension of the particle spectrum. However, in the absence of the $`\mu `$–term it is easy to see that one of the charginos and one of the neutralinos from gaugino and higgsino sector become massless.

The simplest way to avoid this problem is to introduce additional superfield $`P`$, which is a singlet under the $`SU(2)_WU(1)_Y`$ symmetry and has $`h=(p+q)`$ charge under the anomalous $`U(1)_A`$ symmetry. This allows the existence of the following expression in the superpotential:

$$W=\frac{k}{\sqrt{2}}H_1H_2P.$$

The corresponding potential for $`P`$ field and neutral components of MSSM Higgs fields is:

$`V`$ $`=`$ $`{\displaystyle \frac{g_A^2}{4}}(\xi +q|H_1^0|^2+p|H_2^0|^2+h|P|^2)^2+{\displaystyle \frac{g_W^2+g_Y^2}{4}}(|H_1^0|^2|H_2^0|^2)^2`$ (8)
$`+{\displaystyle \frac{k^2}{2}}(|H_1^0H_2^0|^2+|H_1^0P|^2+|H_2^0P|^2).`$
From the extremum condition we have the following system of linear equations:

$`(gq^2+g^{})|H_1^0|^2+(qpqg^{}+k^2)|H^0|_2^2+(ghq+\lambda )|P|^2+g\xi q`$ $`=`$ $`0,`$
$`(gpqg^{}+k^2)|H_1^0|^2+(gp^2+g^{})|H_2^0|^2+(ghp+k^2)|P|^2+g\xi p`$ $`=`$ $`0,`$
$`(gqh+k^2)|H_1^0|^2+(gph+k^2)|H_2^0|^2+gh^2|P|^2+g\xi h`$ $`=`$ $`0,`$ (9)
where $`gg_A^2`$ and $`g^{}g_W^2+g_Y^2`$. It is clear that the solution which corresponds to non-zero VEV of $`|H_1^0|^2,`$ $`|H_2^0|^2`$ and $`|P|^2`$ fields is proportional to $`\xi `$–term and, as we noted before, $`\sqrt{\xi }O`$ ($`10^2`$GeV). Hence, in this way it is possible to generate correct VEV for SM Higgs fields. The non–zero VEV of $`P`$ field generates effectively the $`\mu `$–term in the superpotential. This is equivalent to the arising of $`\mu `$–term in gaugino–higgsino sector and in this way all neutralinos and charginos become massive.

Let us note, that in this scenario supersymmetry is spontaneously broken as well and the masses of superpartners of the Standard Model particles are of order of $`\xi `$. Thus, in this case we have the self–consistent picture for supersymmetric SM.

## 3 The model 2

### 3.1 The possible generation of $`\mu `$–term

The second model that we are consider suggests the $`\mu `$–term to be of some dynamical origin, namely it is a vacuum expectation value of some extra fields living in the ”hidden sector”. As we will show this is the necessary condition for the realization of mechanism of electroweak symmetry breaking which is based on the existence of anomalous $`U(1)_A`$ symmetry.

Let us explain the possibility of the appearance of the $`\mu `$–term in the four dimensional effective action. One way to observe this is to consider the $`d=4`$ $`N=1`$ supergravity lagrangian, which can arise after the appropriate compactification of type IIB or heterotic strings. The $`d=4`$$`N=1`$ supergravity lagrangian is a functional of three independent functions $`K,`$ $`f,`$ $`f^{}`$ of the dilaton, modulus, visible and hidden sector chiral superfields as well as of the vector superfields which correspond to the gauge interactions. The functions $`K`$ and $`f`$ contribute to the Kähler potential, while $`f^{}`$ is the gauge kinetic function. The problem of finding the exact expression of these functions in the superstring theory is still open although various string vacua give a certain restrictions on them , .

For the simplification of our analyses let us discard the dependence of Kähler potential on the modulus fields. The part of the $`d=4`$ $`N=1`$ supergarvity Kähler potential describing the interaction of gravity with chiral matter superfields $`y^a`$ and the chiral superfields $`z^i`$, coming from the hidden sector, is expressed as:

$$G=K(\mathrm{\Phi },\mathrm{\Phi }^+)+\mathrm{ln}|f(\mathrm{\Phi })|^2,$$
(10)
where $`K`$ depends on $`\mathrm{\Phi }(y^a,`$ $`z^i)`$ and its conjugate $`\mathrm{\Phi }^+`$ and $`f`$ is a holomorphic function of $`\mathrm{\Phi }`$ .

As it was shown in  one can take the functions $`K(\pi ,\pi ^+,y,y^+)`$ and $`f(\pi ,y)`$ ($`\pi ^iz^i/M_{Pl}`$) to be of the following form:

$$f(\pi ,y)=M_{Pl}^2f^{(2)}(\pi )+M_{Pl}f^{(1)}(\pi )+f^{(0)}(\pi ,y),$$
(11)
$$K(\pi ,\pi ^+,y,y^+)=M_{Pl}^2d^{(2)}(\pi ,\pi ^+)+M_{Pl}d^{(1)}(\pi ,\pi ^+)+d^{(0)}(\pi ,\pi ^+,y,y^+),$$
(12)
where

$$d^{(0)}=y^a\delta _a^by_b^++(\underset{i}{}c_m^{}(\pi ,\pi ^+)g_m^{(2)}(y)+h.c.),$$
(13)
$$f^{(0)}=\underset{i}{}c_n(\pi )g^{(3)}(y).$$
(14)
The functions $`g^{(3)}(y)`$ and $`g_m^{(2)}(y)`$ are trilinear and bilinear polynoms in $`y`$ fields. The $`\mu `$–terms for the matter superfields are generated in d=4 N=1 potential

$$V=e^{G/M_{Pl.}^2}\left(\frac{G}{\mathrm{\Phi }^A}\left(\frac{^2G}{\mathrm{\Phi }^A\mathrm{\Phi }_B^+}\right)^1\frac{G}{\mathrm{\Phi }_B^+}3\right)+Dterms,$$
(15)
via the condensate of ”hidden sector” fields, namely

$$\mu _m=m(1\rho _i\frac{}{\pi _i^+}c_m^{}(\pi ,\pi ^+),$$
(16)
with

$$\rho _i=\frac{^2d^{(2)}(\pi ,\pi ^+)}{\pi ^i\pi _j^+}\frac{}{\pi ^j}(\mathrm{ln}f^{(2)}(\pi )+d^{(2)}(\pi ,\pi ^+)),$$
(17)
$$m=\mathrm{exp}(d^{(2)}(\pi ,\pi ^+)/2)f^{(2)}(\pi )$$
(18)
the later being the gravitino mass.

At present we are interested in how the mass terms for the Higgs fields can appear in the effective 4–dimensional theory. Hence, we concentrate on the part of (13) which contains $`H_1`$ and $`H_2`$ superfields. Obviously the $`\mu `$–term is still non–invariant with respect to the anomalous $`U(1)_A`$ gauge symmetry (for the Higgs fields we are considering $`pq`$ ). The situation can be improved if we assume the presence of the fields $`\lambda ^i`$ charged under the anomalous $`U(1)_A`$ in the ”hidden sector” $`\pi `$ and contributing into the lagrangian via the last term of equation (13):

$$\mathrm{\Gamma }(\lambda _i,\lambda _i^+,y,y^+)=\underset{i}{}(\lambda _i^+)^NH_1H_2+h.c..$$
(19)
This leads to the desired result if t he fields $`\lambda _i`$ have charges equal to $`(p+q)/N`$ under $`U(1)_A`$ . In this case the parameter $`\mu `$ will have the same form given by (16) but with the holomorphic function $`c^{}(\lambda ^+)=_i(\lambda _i^+)^N`$ in the right-hand side.

### 3.2 The model

Let us analyze the four dimensional Higgs potential within the given scenario. Using the invariance of $`N=1`$ supergravity lagrangian under the Kähler transformations  one can formulate the theory in terms of a single function – the superpotential, which contains the term:

$$W^{}=\frac{\mu }{\sqrt{2}}H_1H_2.$$
(20)
Along with the anomalous and non–anomalous D–terms the following potential for the neutral components of the supersymmetric SM Higgs fields is generated:

$$V=\frac{g}{4}(\xi +q|H_1^0|^2+p|H_2^0|^2)^2+\frac{g^{}}{4}(|H_1^0|^2|H_2^0|^2)^2+\frac{\mu _1^2}{2}(|H_1^0|^2+|H_2^0|^2),$$
(21)
with $`gg_A^2`$, $`\mu _1^2=\mu ^2+m^2`$ and $`g^{}g_W^2+g_Y^2`$. Note that the presence of the term (19) in the Kähler potential does not change the form (5) of the considered D–terms according to (4). Let us note, that the superpotential (20) generates also the term $`Bm\mu H_1H_2`$ with $`B=\frac{(2\rho /\pi ^+)c^{}}{(1\rho /\pi ^+)c^{}}`$ in d=4 N=1 SUGRA lagrangian, which however can be neglected and we do not consider it for simplicity.

Solutions that correspond to the non–zero VEV of SM Higgs fields are the following:

$$<|H_1^0|^2>=\frac{\mu _1^2(2g^{}+gp(pq))+\xi gg^{}(p+q)}{gg^{}(p+q)^2}$$
(22)
and

$$<|H_2^0|^2>=\frac{\mu _1^2(2g^{}+gq(qp))+\xi gg^{}(p+q)}{gg^{}(p+q)^2}.$$
(23)
In order to have the physically accepted result the right-hand sides of (22) and (23) must be positive. It is easy to see that it can be realized with the help of $`\xi `$–term if we suppose that the absolute value of first term in eq. (22) and (23) is less then second one. Thus, the anomalous $`U(1)_A`$ symmetry again plays a crucial role for the formation of correct values of VEV for SM Higgs fields.

It is easy to see that VEV of $`D_A`$ \- terms, that corresponds to anomalous $`U(1)_A`$ gauge symmetry in our scenario, is different from zero, that indicates the supersymmetry breaking. In this case extra contribution to the scalar masses arises for fields having nontrivial charges under considered $`U(1)_A`$ symmetry. From the Eqs. (5), (22) and (23) one obtains:

$$\mathrm{\Delta }m_i^2=Q_i\frac{4\mu _1^2}{p+q}.$$
(24)
This contribution can be useful for the solution of supersymmetric flavor problem, namely the relevant phenomenology of this kind was discussed in . The point is that the value of $`F`$ – terms which are nonzero as well and give the contribution to the squark and slepton masses are suppressed by the factor $`\frac{\xi }{M_{Pl}^2}`$ and therefore are small with respect to the contribution (24). Notice that the same kind of contribution to the scalar masses takes place in the model considered in the previous Section as well.

Hence, we have proven that embedding of the MSSM into the $`d=4`$$`N=1`$ superstring models when string scale is of the order of TeV the electroweak symmetry breaking mediated by the Fayet–Illiopoulos term corresponding to an anomalous $`U(1)_A`$ $`D_A`$–term can take place.

## 4 Summary

In this letter we have studied a possible influence of anomalous $`U(1)_A`$ symmetry on the violation of SM gauge symmetry in the supersymmetric case. Our results show that the value of Fayet–Illiopoulos $`\xi `$–term is crucial for the generation of correct VEV of Higgs fields when having the low–scale superstring theory. The only important requirement on the value of parameter $`\mu `$ to have the self–consistent picture of electroweak symmetry breaking is $`|\mu |<|\xi |`$. In contrast with the other models discussed in the literature the order of parameter $`\mu `$ is unimportant for the formation of correct vacuum VEVs of the Higgs fields and can be fixed from the low bound of chargino–neutralino section. In both suggested models we have found the extra contribution from VEV of $`D_A`$–term. This result cane be used for the solution of the supersymmetric flavor problem.

The models considered in this paper have left several unresolved questions both from the theoretical and phenomenological points of view. Namely, it would be interesting to obtain these models using the string theory computation and to examine whether $`SU(2)_WU(1)_Y`$ symmetry breaking can take place in the known four dimensional superstring models. The latter procedure can require the inclusion of several $`\xi ^i`$ terms corresponding to anomalous $`U(1)_A^i`$ symmetries present in type IIB superstring theory.

Acknowledgments We are grateful to Zurab Berezhiani, Durmush Demir, Gia Dvali, Edi Gava, Alexei Gladyshev, Dimitri Gorbunov, Elias Kiritsis, and Goran Senjanovic for interest to this work and helpful discussions. Work of M.T. was supported in part by the Russian Foundation of Fundamental Research, under the grant 99-02-18417.