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# Capillary forces in the acoustics of patchy-saturated porous media

## I Introduction

Using the Biot theory biot56  for the acoustics of fluid-saturated porous media as a starting point, it was possible johnson01  to formulate a simple theory for the frequency-dependent bulk modulus, $`\stackrel{~}{K}(\omega )`$, of a composite consisting of a homogeneous porous frame heterogeneously saturated with two different viscous Newtonian fluids. It is assumed that saturation occurs in “patches” of 100% saturation of one or the other of the fluids. In the limit when the two fluids are identical, the theory reduces to the low-frequency regime of the Biot theory. The mismatch of the local properties of the composite across the patch boundaries leads to a dispersion and attenuation mechanism johnson01  for acoustic waves, which is physically different from that of the Biot theory. In particular, the propagatory modes of the Biot theory, as applied to a fully monosaturated sample, are predicted to be nondispersive and nonattenuative in the relevant regime, $`\omega \omega _B`$, where $`\omega _B`$ is the Biot crossover frequency. In the case of patchy saturation, on the other hand, the mismatch of the elastic properties at the patch boundaries leads to a redistribution of the fluids between the patches when the system is perturbed. Because of the viscosity, this mechanism governs energy dissipation and, therefore, the attenuation and dispersion of the propagatory modes. There is a crossover frequency, $`\omega _c`$, below which the pore pressure can equilibrate across the patches and above which it does not.

This mechanism is particularly effective when there is a large contrast between the two fluids as occurs when one of them is a gas. In such a system, which was further studied in Ref. tse02  by analyzing measurements of Ref. cadoret93 , the gas saturated patches of the sample may often be approximated as vacuum. The relevant formulae become quite a bit simpler in this case.

While the fluid redistribution across the patch boundaries was of a central importance in Ref. johnson01 , its theory failed to account for the membrane surface tension which can arise, for example, due to the pinning of the boundary edges inside the pores. The latter will result in the formation of a meniscus when the fluids are pushed between different patches, which in turn leads to a pressure drop between the patches due to the capillary forces. The present paper addresses this phenomenon. It is important to note that various additional capillary effects, such as the fractal nature of the fluid distribution in the pore space, can be important in realistic porous materials but lie outside the scope of this work.

Johnson johnson01  suggested that the patchy-saturation effect may be a dominant mechanism for the low-frequency ($`\omega \omega _B`$) attenuation and dispersion in carbonate rocks, but can be dwarfed by microscopic “squirt” mechanisms in materials like sandstones. We indeed later showed tse02  that the sonic and even ultrasonic measurements cadoret93 ; cadoret95 ; cadoret98  on various limestones can be successfully described by the patchy-saturation effect. In particular, we demonstrated there how one can extract information about the characteristic patch sizes and shapes in partially water saturated limestones by measuring the velocity and attenuation of acoustic waves. Extending our theory to take into account the capillary forces is necessary to improve our understanding of the acoustics in patchy-saturated materials. While the effect of the membrane tension at the boundary is but one of the important effects, investigating its effects can be a starting point for further studies of the capillary effects in porous media.

The manuscript is structured as follows. In Sec. II we formulate the assumptions and limitations of the theory. Then, in Sec. III we in turn discuss the static, low-frequency, and high-frequency regimes of the theory in the general case of the patchy saturation by two arbitrary fluids. In Sec. IV an alternative formulation of the static and low-frequency limits is presented which is simple and physically transparent, albeit only valid for the case when one of the fluids is a gas. We compare our findings with exact numerical calculations in Sec. V for two simple geometries: that of the concentric spheres and the periodic slab geometries. Finally, in Sec. VI a simple theoretical model for $`\stackrel{~}{K}(\omega )`$ is presented enabling us to connect the low- and high-frequency asymptotes of the theory. Our results are then summarized in Sec. VII. Two somewhat technical discussions, on the capillary correction to the high-frequency limit and analytic structure of $`\stackrel{~}{K}(\omega )`$, are given separately from the main text, in Appendices A and B, respectively.

## II Generalities

As in Ref. johnson01 , we consider a porous rock fully saturated with two different fluids, one having global saturation $`S_1`$ and the other $`S_2=1S_1`$. Each point of the sample is saturated with one fluid or the other and the local elastic properties of the composite are assumed to be governed by the usual Biot parameters of the rock skeleton and the locally present fluid. The only exception is the patch and the sample boundaries which deserve special treatment (in the following). While we will talk about various limits of the frequency dependence of the bulk modulus $`\stackrel{~}{K}(\omega )`$, the Biot theory is always assumed to be in its low-frequency regime. The Biot crossover frequency biot56

$$\omega _B=\frac{\eta \varphi }{k\rho _f\alpha _{\mathrm{}}}$$
(1)
(using the notation of Ref. johnson94 ), defined in terms of the fluid density $`\rho _f`$, the viscosity $`\eta `$, the tortuosity of the pore space $`\alpha _{\mathrm{}}`$, the dc permeability $`k`$, and the porosity $`\varphi `$, is thus the upper frequency limit of our theory, i.e., it is assumed that $`\omega \omega _B`$. Biot equations of motion within each fluid patch biot56  then simplify to

$`\mathbf{}𝝉`$ $`=`$ $`0,`$ (2)
$`\mathbf{}p_f`$ $`=`$ $`{\displaystyle \frac{i\omega \varphi \eta }{k}}(𝐔𝐮),`$ (3)
where all quantities vary as $`𝐮(𝐫)e^{i\omega t}`$. Here, $`p_f`$ is the acoustic component of the pore pressure, $`𝐔`$ and $`𝐮`$ are the displacement of the fluid and solid phases, respectively, and $`𝝉`$ stands for the total stress due to both (solid and fluid) phases. Note that Eqs. (2), (3) do not contain the inertia terms, which is a relevant approximation as the attenuation/dispersion mechanism of our theory is governed by the slow diffusive mode. The pore pressure $`p_f`$ and the total stress $`𝝉`$ are related to the deformation strain in the solid phase, $`ϵ_{ij}=(1/2)[u_{i,j}+u_{j,i}]`$, and to that in the fluid phase, $`E_{ll}=U_{l,l}`$, by biot56

$`𝝉`$ $`=`$ $`\left[(P+Q2N)ϵ_{ll}+(R+Q)E_{ll}\right]\delta _{ij}+2Nϵ_{ij},`$ (4)
$`p_f`$ $`=`$ $`{\displaystyle \frac{1}{\varphi }}[Qϵ_{ll}+RE_{ll}],`$ (5)
where the coefficients $`P`$, $`Q`$, and $`R`$ depend on the bulk moduli of the solid phase, $`K_s`$, the porous frame, $`K_b`$, and the pore fluid, $`K_f`$, as well as the porosity and the shear modulus of the porous skeleton, $`N`$ (see, e.g, Ref. johnson86 ). The fast compressional and shear velocities of the Biot theory are nondispersive and nonattenuative whereas the slow compressional wave is diffusive in the low-frequency limit considered here. Furthermore, we assume that the wave lengths of the fast and shear waves are larger than the characteristic fluid-patch dimension $`L`$, i.e., $`\omega \omega _x`$, where

$$\omega _x=\frac{2\pi V_{\mathrm{sh}}}{L}$$
(6)
with $`V_{\mathrm{sh}}`$ being the (slower) shear-wave velocity. The latter assumption will allow us to define the effective bulk modulus $`\stackrel{~}{K}(\omega )\stackrel{\mathrm{def}}{=}V(P_e/\delta V)`$, where $`(\delta V/V)e^{i\omega t}`$ is the oscillatory fractional volume change in response to an external normal stress, $`𝝉\widehat{𝐧}=P_e\widehat{𝐧}e^{i\omega t}`$, $`\widehat{𝐧}`$ being the outward normal of the surface. Finally, the sample is considered to be isotropic and homogeneous, except for the fluid patches.

Due to capillary forces, the fluid pore pressure is in general discontinuous across patch boundaries. Absent any applied stress, the pressure discontinuity across the boundary, i.e., the capillary pressure, $`P_f^{(1)}P_f^{(2)}`$, is related to the mean curvature of the interface within each pore and to the surface tension via the Laplace-Young equation. In a completely different context than we are considering in this article, one is led to the equations of two-phase flow in which the partial saturation is generally treated as a well-defined function of the capillary pressure. See, e.g., Bear bear . These concepts make no distinction between partial saturations that are patchy and those in which each pore may be partially saturated. Indeed, $`P_f^{(1)}`$ and $`P_f^{(2)}`$ are each generally considered to be macroscopic quantities defined at each material point throughout the system.

In the present context, however, we assume the fluid patches are perturbed from equilibrium by the application of an additional small-amplitude acoustic wave. The changes in the pore pressures are small compared to the equilibrium values: $`|p_f(𝐫)||P_f^{(j)}|,\{j=1,2\}`$, where $`p_f(𝐫)`$ is the acoustic component of the pore pressure. On a microscopic level, the meniscus bends in and out, relative to its rest position. On a macroscopic level, there is an oscillatory displacement of fluid relative to the solid frame, at the boundary of the patch. This effect is conventionally captured by postulating the following boundary condition at the interface between two patches:

$$p_f^{(1)}p_f^{(2)}=W\varphi (𝐔𝐮)\widehat{𝐧}.$$
(7)
Here, $`p_f^{(j)}`$ is the acoustic pore pressure on the $`j`$th side of the boundary surface and $`\widehat{𝐧}`$ is an outward normal from patch 1 to patch 2. $`𝐔\widehat{𝐧}`$ and $`𝐮\widehat{𝐧}`$ represent the components of the fluid and the solid displacements, respectively, that are normal to the patch surface; each of these entities is separately continuous across the patch boundary. Thus, Eq. (7) simply states that the additional amount by which the fluid interface bulges is proportional to the additional capillary pressure induced by the acoustic wave; the spring constant, $`W`$, is often called the “membrane stiffness”. Indeed, Nagy and Blaho nagy94  have shown that Eq. (7) follows from the Laplace-Young equation applied to the case of pores that are circular cylinders. In that example they showed that $`W=\sigma /k`$, where $`\sigma `$ is the surface tension between the two fluids. This specific example illustrates the point that surface tension manifests itself as a stiffer membrane in smaller pores than in larger ones. More generally, the membrane stiffness is predicted to take the form of

$$W=s\sigma /k,$$
(8)
where $`s`$ is a shape factor which becomes much less than one as the pore structure becomes more irregular nagy94 .

Our previous results (Johnson johnson01 , Tserkovnyak and Johnson tse02 ) were specific to the case $`W0`$. Here, we treat $`W`$ as a real-valued, frequency-independent, phenomenological parameter of the theory, to be measured independently in a given context. Nagy and Blaho nagy94  have done just that for various porous media. See also Ref. nagy95 . Furthermore, Nagy nagy92  successfully used Eq. (7) to analyze his data on surface acoustic modes of fully-saturated porous media. In a somewhat different context, Eq. (7) is used by Liu and Johnson liu97  to describe the effect of an elastic mudcake on tube waves in permeable formations. The approximate validity of Eq. (7) is established on firm theoretical and experimental grounds. It is the essential purpose of the present article to investigate the effects of a nonzero value for $`W`$ on the acoustic properties of patchy-saturated samples.

Eq. (7) can be combined with Eq. (3) to generalize the latter to hold at the interfaces as well as inside the patches:

$$\mathbf{}p_f+W\varphi [\widehat{𝐧}(𝐔𝐮)]\widehat{𝐧}\delta (R)=\frac{i\omega \varphi \eta }{k}(𝐔𝐮),$$
(9)
where $`R(𝐫)`$ is the shortest distance from a given point $`𝐫`$ to the patch boundary and $`\delta (R)`$ is the Dirac’s $`\delta `$ function. In addition, we assume the no net flow condition over the surface of the sample:

$$𝑑S[𝐔𝐮]\widehat{𝐧}=0,$$
(10)
which is valid either for sealed outer boundary or for the periodic boundary conditions. (The integration is taken either over the surface of the sample, for the sealed-pore boundary condition, or over a unit cell, for the periodic boundary conditions.) Eq. (10) can be converted to a volume integral using Gauss’ theorem:

$$ϵ_{ll}=E_{ll}.$$
(11)
To summarize this section, the present theory supercedes that of Ref. johnson01  in that the assumption of vanishing capillary forces is now relaxed. The capillarity is accounted for by considering the pressure drop across interfaces which is governed by membrane stiffness, see Eq. (7). The theory of Ref. johnson01  is thus recovered in the limit when $`W0`$.

## III High and Low Frequency Limits

### III.1 Static regime

In the static limit, it is possible to get an exact closed-form analytic expression for the compressive modulus, $`K_0`$, defined by Eqs. (2)-(7). Hill hill63  has developed a well-known exact result for the bulk modulus of a (nonporous) composite in which the shear modulus is everywhere constant, though the bulk modulus varies from point to point. See also Ref. milton . We extend that theory to the present case by looking for solutions of the form

$$\begin{array}{ccc}\hfill u_i& =& \alpha x_i+\chi _{,i},\hfill \\ \hfill U_i& =& \alpha x_i+\psi _{,i}.\hfill \end{array}$$
(12)
It is understood that $`\chi `$ as well as the normal displacement $`\chi _{,i}n_i`$, are continuous across the patch boundary; similarly for $`\psi `$ and $`\psi _{,i}n_i`$. Inasmuch as the first terms in Eqs. (12) are special cases of the second terms, one is free to choose any value for $`\alpha `$, including zero. It is slightly convenient, however, to choose

$$3\alpha =ϵ_{ll}E_{ll}.$$
(13)
Eq. (4) can now be written, within any patch, as

$$\tau _{ij,j}=\left[(P+Q)\chi _{,jj}+(R+Q)\psi _{,jj}\right]_{,i}\stackrel{\mathrm{set}}{=}0.$$
(14)
This equation is satisfied if the Laplacians of $`\chi `$ and of $`\psi `$ are constant within each patch:

$`\chi _{,jj}`$ $`=`$ $`\{\begin{array}{cc}a_1\hfill & 𝐫\mathrm{patch}\mathrm{\hspace{0.17em}1}\hfill \\ a_2\hfill & 𝐫\mathrm{patch}\mathrm{\hspace{0.17em}2}\hfill \end{array},`$ (17)
$`\psi _{,jj}`$ $`=`$ $`\{\begin{array}{cc}b_1\hfill & 𝐫\mathrm{patch}\mathrm{\hspace{0.17em}1}\hfill \\ b_2\hfill & 𝐫\mathrm{patch}\mathrm{\hspace{0.17em}2}\hfill \end{array}.`$ (20)
The four constants, $`\{a_1,a_2,b_1,b_2\}`$, are determined by various ancillary conditions. First, the volumetric strains within the $`j`$th patch may be written as

$$\begin{array}{ccc}\hfill ϵ_{ll}^{(j)}& =& 3\alpha +a_j,\hfill \\ \hfill E_{ll}^{(j)}& =& 3\alpha +b_j.\hfill \end{array}$$
(21)
Therefore, Eq. (13) gives two conditions on the constants:

$$\begin{array}{ccc}\hfill S_1a_1+S_2a_2& =& 0,\hfill \\ \hfill S_1b_1+S_2b_2& =& 0.\hfill \end{array}$$
(22)
Next, there is the condition that the traction, $`𝝉\widehat{𝐧}`$, is continuous across the boundary between patches. Hill hill63  has pointed out an identity satisfied by the discontinuity across the patch boundary of the second derivatives of $`\chi `$ which can be rewritten for our purposes as

$$\left[\chi _{,ij}^{(1)}\chi _{,ij}^{(2)}\right]n_j=(a_1a_2)n_i,$$
(23)
where the superscript on $`\chi ^{(k)}`$ refers to the $`k`$th patch. Therefore, the discontinuity in the traction is

$`\left[\tau _{ij}^{(1)}\tau _{ij}^{(2)}\right]n_j`$ $`=`$ $`\{[(P_1+Q_12N)(3\alpha +a_1)+(R_1+Q_1)(3\alpha +b_1)]`$ (24)
$`\left[(P_2+Q_22N)(3\alpha +a_2)+(R_2+Q_2)(3\alpha +b_2)\right]`$
$`+2N(a_1a_2)\}n_i.`$
($`P_k,Q_k,R_k`$ refer to $`P,Q,R`$ evaluated with respect to the saturating fluid in patch $`k`$.) In order for Eq. (24) to vanish across the patch interface, it is necessary that the quantity in curly brackets vanishes:

$$(P_1+Q_1)(3\alpha +a_1)+(R_1+Q_1)(3\alpha +b_1)=(P_2+Q_2)(3\alpha +a_2)+(R_2+Q_2)(3\alpha +b_2).$$
(25)
This, then, is the third condition on $`\{a_1,a_2,b_1,b_2\}`$.

The fourth and final condition follows from Eq. (7). The pore pressure within the $`k`$th patch is given by Eqs. (5) and (21):

$$p_f^{(k)}=\frac{1}{\varphi }[R_k(3\alpha +b_k)+Q_k(3\alpha +a_k)].$$
(26)
We see that the pore pressure is constant within each patch, as required by Eq. (3) in the static limit. The left-hand side of the boundary condition (7) is constant over the interface between the two patches. Consider the case of a finite volume with sealed boundaries. Integrating Eq. (7) over the surface between the two patches, one finds

$$\left[p_f^{(1)}p_f^{(2)}\right]A=W\varphi _A𝑑A(𝐔𝐮)\widehat{𝐧},$$
(27)
where $`A`$ is the area of the interface between the patches. This integration can be extended over the entire bounding surface of fluid 1, say, because there is no flow across the outer boundary:

$$\left[p_f^{(1)}p_f^{(2)}\right]A=W\varphi _{A_1}𝑑A(𝐔𝐮)\widehat{𝐧}.$$
(28)
Now one may use Gauss’ theorem:

$$\left[p_f^{(1)}p_f^{(2)}\right]A=W\varphi _{V_1}𝑑V(E_{ll}ϵ_{ll})=W\varphi S_1V\left[E_{ll}^{(1)}ϵ_{ll}^{(1)}\right].$$
(29)
The volumetric strains and the pore pressure can be related to the unknown constants by means of Eqs. (21) and (26), respectively. The result for Eq. (29) is then

$$R_1(3\alpha +b_1)+Q_1(3\alpha +a_1)\left[R_2(3\alpha +b_2)+Q_2(3\alpha +a_2)\right]=\stackrel{~}{W}(a_1b_1)S_1,$$
(30)
where

$$\stackrel{~}{W}=W\varphi ^2\frac{V}{A}$$
(31)
in terms of the sample volume, $`V`$, and the bounding area between the patches, $`A`$. If the derivation is repeated for the case of periodic boundary conditions, Eq. (30) still holds; in that case, $`V`$ is the volume of a unit cell and $`A`$ is the interface area between the patches within the unit cell. In either case, if the derivation is repeated by closing the surface over fluid 2, instead of fluid 1, the right-hand side of Eq. (30) is replaced by $`\stackrel{~}{W}(a_2b_2)S_2`$, which is equivalent via Eqs. (22).

The four linear equations, (22), (25), and (30), can be inverted analytically to get the ratios $`\{a_1,a_2,b_1,b_2\}/\alpha `$; in practice, this is more easily done numerically. The effective static modulus is simply related to these constants. Following Ref. hill63 , we identify the external pressure, $`P_e`$, with the average compressive stress in the system:

$$P_e=\frac{1}{3}\tau _{ll}=\frac{1}{3}\left[S_1\tau _{ll}^{(1)}+S_2\tau _{ll}^{(2)}\right],$$
(32)
where the compressive stress in the $`k`$th patch follows from Eq. (4):

$$\tau _{ll}^{(k)}=3\left[\left(P_k+Q_k\frac{4}{3}N\right)a_k+(R_k+Q_k)b_k+3K_{\mathrm{BG}}^{(k)}\alpha \right].$$
(33)
Here, $`K_{\mathrm{BG}}^{(k)}=P_k+2Q_k+R_k(4/3)N`$ is the Biot-Gassmann modulus for the $`k`$th patch. The effective static modulus for the system, $`K_0=P_e/ϵ_{ll}`$, is thus given by

$`K_0`$ $`=`$ $`{\displaystyle \frac{1}{3}}\{S_1[(P_1+Q_1{\displaystyle \frac{4}{3}}N){\displaystyle \frac{a_1}{\alpha }}+(R_1+Q_1){\displaystyle \frac{b_1}{\alpha }}+3K_{\mathrm{BG}}^{(1)}]`$ (34)
$`+S_2[(P_2+Q_2{\displaystyle \frac{4}{3}}N){\displaystyle \frac{a_2}{\alpha }}+(R_2+Q_2){\displaystyle \frac{b_2}{\alpha }}+3K_{\mathrm{BG}}^{(2)}]\}.`$
Within the context of the model, Eq. (34) is exact. It depends upon the usual Biot parameters, the saturation values, the membrane stiffness, $`W`$, and it also depends upon the surface to volume ratio of the patch interface, $`A/V`$. There are three interesting limiting cases of Eq. (34): (1) If the two fluids have identical bulk moduli, then

$$\underset{K_f^{(1)}=K_f^{(2)}}{lim}K_0=K_{\mathrm{BG}}^{(1)}=K_{\mathrm{BG}}^{(2)},$$
(35)
independent of the value of the membrane stiffness parameter, $`W`$. When the sample is compressed, the pore pressure rises equally in the two patches with the result that there is no relative flow between fluid and solid. (2) If the membrane stiffness is large enough, then each fluid is locked within its own patch and the static modulus is equal to the Biot-Gassmann-Hill result:

$$\underset{W\mathrm{}}{lim}K_0=K_{\mathrm{BGH}},$$
(36)
where

$$\frac{1}{K_{\mathrm{BGH}}+(4/3)N}=\frac{S_1}{K_{\mathrm{BG}}^{(1)}+(4/3)N}+\frac{S_2}{K_{\mathrm{BG}}^{(2)}+(4/3)N}.$$
(37)
(3) If the membrane stiffness is zero, then the static modulus is given by the Biot-Gassmann-Woods result as was proved previously johnson01 :

$$\underset{W0}{lim}K_0=K_{\mathrm{BGW}},$$
(38)
where $`K_{\mathrm{BGW}}=K_{\mathrm{BG}}(K_f^{\mathrm{eff}})`$ and $`K_f^{\mathrm{eff}}`$ is an effective fluid modulus given by the Wood’s law expression:

$$\frac{1}{K_f^{\mathrm{eff}}}=\frac{S_1}{K_f^{(1)}}+\frac{S_2}{K_f^{(2)}}.$$
(39)
In Fig. 1 we show the behavior of $`K_0`$ as a function of $`\stackrel{~}{W}`$. The parameter set table  is based on that of Ref. johnson01 . The sample is saturated with water, $`S_w=0.7`$, and with air, $`S_a=0.3`$. If the membrane stiffness is small, then Eq. (38) holds whilst if it is large, Eq. (36) is valid. The crossover occurs when $`\stackrel{~}{W}`$ is approximately equal to the modulus of the stiffer fluid, water. In Fig. 2 we show the saturation dependence of the static modulus, $`K_0`$, as well as that of $`K_{\mathrm{BGW}}`$ and $`K_{\mathrm{BGH}}`$. Even when the membrane-stiffness parameter, $`W`$, is independent of the saturation, the parameter $`\stackrel{~}{W}`$ will in general have a saturation dependence reflecting the change in the interfacial area. Nonetheless, for this plot, $`\stackrel{~}{W}`$ is held constant at a value $`\stackrel{~}{W}=1`$ GPa.

### III.2 Low-frequency limit

Here we wish to find the behavior of $`\stackrel{~}{K}(\omega )`$ as it approaches $`K_0`$. Using the method developed in Ref. johnson01 , we consider two equivalent expressions for the average energy dissipation per cycle. The macroscopic expression for the dissipation power averaged over one cycle is

$$\overline{P}=\frac{1}{2}\mathrm{Real}𝑑S\frac{𝐮^{}}{t}𝝉\widehat{𝐧}=\frac{1}{2}\mathrm{Real}\left[i\omega V\frac{|P_e|^2}{\stackrel{~}{K}(\omega )}\right],$$
(40)
where the integral is taken over the bounding surface of the sample. The microscopic expression is

$$\overline{P}=\frac{1}{2}\mathrm{Real}𝑑V\varphi \left(\frac{𝐔^{}}{t}\frac{𝐮^{}}{t}\right)\mathbf{}p_f.$$
(41)
In Eq. (41) the integration is taken over the volumes of each patch, specifically excluding the bounding surfaces of the patches; $`\mathbf{}p_f`$ has a $`\delta `$-function contribution on the patch surface, see Eq. (9). One may then substitute Eq. (3) into Eq. (41) to arrive at the following microscopic expression for the dissipation:

$`\overline{P}`$ $`=`$ $`{\displaystyle \frac{1}{2}}\mathrm{Real}{\displaystyle 𝑑V\varphi i\omega (𝐔^{}𝐮^{})\left[\frac{i\omega \varphi \eta }{k}(𝐔𝐮)\right]}`$ (42)
$`=`$ $`{\displaystyle \frac{\omega ^2\varphi ^2}{2k}}{\displaystyle 𝑑V\eta (𝐫)\left|𝐔(𝐫)𝐮(𝐫)\right|^2}.`$
In this expression, the integrand does not contain any $`\delta `$-function contributions. It is immediately clear that, as expected, the low-frequency behavior of $`\overline{P}`$ is quadratic in frequency. Therefore, the low-frequency expansion of $`\stackrel{~}{K}(\omega )`$ is given by

$$\underset{\omega 0}{lim}\stackrel{~}{K}(\omega )=K_0\left[1i\omega T+O(i\omega )^2\right],$$
(43)
where the parameter $`T`$ is determined by substituting Eq. (43) into Eq. (40) and equating it to Eq. (42):

$$T=\frac{\varphi ^2K_0}{kV|P_e|^2}𝑑V\eta (𝐫)\left|𝐔^{(0)}(𝐫)𝐮^{(0)}(𝐫)\right|^2,$$
(44)
which is expressed in terms of the static displacements, $`𝐔^{(0)}`$ and $`𝐮^{(0)}`$.

We know from Eqs. (12) that the displacements in the static limit are given by the gradient of certain functions. Therefore, we may define an auxiliary function, $`\mathrm{\Phi }`$, by

$$\mathbf{}\mathrm{\Phi }=\eta (𝐫)\frac{𝐔^{(0)}𝐮^{(0)}}{P_e}.$$
(45)
Within each patch $`\mathrm{\Phi }=\eta [\chi \psi ]/P_e+\mathrm{const}`$. The function $`\mathrm{\Phi }`$ is continuous across a patch boundary (otherwise there would be a $`\delta `$-function contribution to the displacements); the normal component of the vector $`\mathbf{}\mathrm{\Phi }/\eta (𝐫)`$ is also continuous; and $`\mathrm{\Phi }`$ is either periodic or $`\mathbf{}\mathrm{\Phi }=0`$ (in the case of the sealed-pore boundary condition) on the outer boundary. The function $`\mathrm{\Phi }`$ satisfies the differential equation

$$\mathbf{}\left\{\frac{1}{\eta (𝐫)}\mathbf{}\mathrm{\Phi }\right\}=\frac{E_{ll}^{(0)}(𝐫)ϵ_{ll}^{(0)}(𝐫)}{P_e}\stackrel{\mathrm{def}}{=}g(𝐫).$$
(46)
This equation is analogous to an electrical conductivity problem in which $`\mathrm{\Phi }(𝐫)`$ plays the role of a potential, $`\eta (𝐫)`$ is the local resistivity, and $`g(𝐫)`$ is the distributed current source. Electrical neutrality is guaranteed by Eq. (11): $`𝑑Vg(𝐫)=0`$.

In terms of $`\mathrm{\Phi }`$, Eq. (44) may be written as

$$T=\frac{\varphi ^2K_0}{kV}𝑑V\frac{1}{\eta (𝐫)}(\mathbf{}\mathrm{\Phi })^2,$$
(47)
which may be integrated by parts:

$$T=\frac{\varphi ^2K_0}{kV}𝑑Vg(𝐫)\mathrm{\Phi }(𝐫).$$
(48)
(The surface term vanishes identically for either the sealed or the periodic boundary condition.) The source function, $`g(𝐫)`$, is constant within each patch but in general is discontinuous across the patch interfaces. From Eqs. (12), (17), and (21) one has

$$g(𝐫)=\{\begin{array}{cc}(b_1a_1)/P_e\hfill & 𝐫\mathrm{patch}\mathrm{\hspace{0.17em}1}\hfill \\ (b_2a_2)/P_e\hfill & 𝐫\mathrm{patch}\mathrm{\hspace{0.17em}2}\hfill \end{array}.$$
(49)
Thus, the determination of the parameter $`T`$ which governs the low-frequency approach to the static limit, Eq. (43), requires solving the differential equation (46) in which the piecewise constant sources, Eq. (49), are known by virtue of the solution for the static regime, and imposing one of our two no net-flow boundary conditions. This situation is only slightly different from that encountered when the surface-membrane effect is ignored altogether johnson01 .

### III.3 High-frequency limit

Here we consider frequencies that are high in the sense that the pore pressure does not have time to equilibrate from patch to patch but we are still in the regime where $`\omega \omega _B`$ and $`\omega \omega _x`$. In this high frequency limit, $`\omega \mathrm{}`$, the fluids within each patch are locked with the solid frame, $`ϵ_{ll}=E_{ll}`$. This conclusion is independent of the interface-stiffness parameter, $`W`$. We have a situation which satisfies the assumptions of Ref. hill63 : The shear modulus is a global constant and the bulk modulus is constant within each patch. Hence,

$$K_{\mathrm{}}\stackrel{\mathrm{def}}{=}\underset{\omega \mathrm{}}{lim}\stackrel{~}{K}(\omega )=K_{\mathrm{BGH}}$$
(50)
for any value of $`W`$, where $`K_{\mathrm{BGH}}`$ is given by Eq. (37). Recall that we found the same result for the static compressive modulus, $`K_0`$, when the patch boundary is locked by the large capillary tension, $`W\mathrm{}`$, see Eq. (36).

For a large but finite frequency, the correction to $`K_{\mathrm{}}`$ is provided by the diffusive modes at the patch boundary johnson01 . In terms of a local coordinate $`x`$ normal to the interface, the pore pressure near the boundary, $`x=0`$, is given by

$$p_f=\{\begin{array}{cc}p_{f1}+A_1e^{iq_1x},\hfill & \hfill x<0(\mathrm{patch}\mathrm{\hspace{0.17em}1})\\ p_{f2}+A_2e^{iq_2x},\hfill & \hfill x>0(\mathrm{patch}\mathrm{\hspace{0.17em}2})\end{array}.$$
(51)
Here, $`p_{fk}`$ is the pore pressure inside the $`k`$th patch in the limit of infinite frequency and

$$q_k=\sqrt{i\omega /D_k}$$
(52)
is the slow-mode wave vector in terms of the diffusion coefficient $`D_k`$; see Appendix A. In the case of a finite membrane stiffness, $`p_f(𝐫)`$ is in general discontinuous across the patch boundary. We can, nevertheless, show (see Appendix A) that the pore pressure discontinuity $`\delta p_f\stackrel{\mathrm{def}}{=}|p_f^{(1)}p_f^{(2)}|=O(\omega ^{1/2})\mathrm{\Delta }p_f\stackrel{\mathrm{def}}{=}|p_{f1}p_{f2}|=O(\omega ^0)`$, for large frequencies, and thus the leading correction to $`K_{\mathrm{}}`$ can be found by setting $`\delta p_f=0`$, i.e., assuming continuity of the pressure, Eq. (51). Requiring, in addition, continuity of the fluid flux, we can then find coefficients $`A_{1,2}`$ in Eq. (51) and reproduce the result of Ref. johnson01 :

$$\underset{\omega \mathrm{}}{lim}\stackrel{~}{K}(\omega )=K_{\mathrm{BGH}}\left[1(i\omega )^{1/2}G+\mathrm{}\right],$$
(53)
where

$$G=\frac{kK_{\mathrm{BGH}}}{\eta _1\sqrt{D_1}+\eta _2\sqrt{D_2}}\left(\frac{\mathrm{\Delta }p_f}{P_e}\right)^2\frac{A}{V}$$
(54)
in terms of the would-be drop in the pore pressure, $`\mathrm{\Delta }p_f`$, relative to the applied external stress, $`P_e`$:

$$\frac{\mathrm{\Delta }p_f}{P_e}=\frac{(R_2+Q_2)[K_1+(4/3)N](R_1+Q_1)[K_2+(4/3)N]}{\varphi S_1K_1[K_2+(4/3)N]+\varphi S_2K_2[K_1+(4/3)N]}.$$
(55)
Notice that the membrane-stiffness parameter does not enter any of Eqs. (53)-(55), so that the capillary forces not only have vanishing contribution to the high-frequency compressive modulus (50) but also to the leading correction to it, Eq. (53).

## IV Liquid and vacuum

In Sec. III we have seen that whereas the two terms in the high frequency limit, Eqs. (53), are identical to those derived earlier when $`W=0`$, the two terms which describe the low frequency limit, Eqs. (43), are now considerably more complicated. The prescription for finding the static bulk modulus, $`K_0`$ \[Eq. (34)\], and the coefficient of the leading low-frequency correction, $`T`$ \[Eq. (48)\], follows from the solution of the system of equations for parameters $`\{a_1,a_2,b_1,b_2\}`$; no simple analytic form is deduced and no transparent physical interpretation is readily available. We therefore offer an alternative derivation, which is both simple and physically appealing, albeit valid only for the case when one of the two fluids is a gas taken here to be the vacuum, and the other is a liquid whose properties are similar to water or oil. (A gas at standard temperature and pressure is four orders of magnitude more compressible than water or oil and so the approximation is a good one except for gas saturations less than $`10^4`$.)

As in Sec. III, the starting point is Hill’s theory hill63 : If we denote the bulk modulus of the patch saturated with the liquid by $`K^{}`$, then the static modulus of the composite is given by

$$\frac{1}{K_0+(4/3)N}=\frac{S}{K^{}+(4/3)N}+\frac{1S}{K_b+(4/3)N},$$
(56)
where $`S`$ is the fluid saturation and $`K_b`$ is the bulk modulus of the dry frame, as before. $`K^{}`$ can be found by extending the Biot theory: Since the liquid does not bear any shear stresses, the static compressive modulus of the liquid-saturated patch must be given by the Biot-Gassmann formula,

$$K^{}=K_{\mathrm{BG}}(K_f^{}),$$
(57)
for some effective fluid bulk modulus, $`K_f^{}`$. This effective modulus characterizes the “effort of squeezing” the liquid out of the pore space. In particular, two limiting cases are obvious. (1) $`K_f^{}`$ vanishes with the membrane stiffness:

$$\underset{W0}{lim}K_f^{}=0$$
(58)
and (2) it reduces to the bare fluid modulus for infinitely large stiffness parameter:

$$\underset{W\mathrm{}}{lim}K_f^{}=K_f.$$
(59)
If by inducing the pore pressure $`p_f`$, the fluid-filled pore-space volume is reduced by $`\delta V`$, then $`K_f^{}`$ is defined by

$$\frac{1}{K_f^{}}=\frac{1}{p_f}\frac{\delta V}{\varphi SV}.$$
(60)
If the fluid volume squeezed out of the pore space into menisci formed at the patch surface is $`\delta V^{}`$, then

$$p_fA=W\delta V^{},$$
(61)
which follows from Eq. (28). Finally, we have

$$\frac{1}{K_f}=\frac{1}{p_f}\frac{\delta V\delta V^{}}{\varphi SV}.$$
(62)
for the bare bulk modulus of the pore fluid. Combining Eqs. (60)-(62) we then arrive at

$$\frac{1}{K_f^{}}=\frac{1}{K_f}+\frac{A}{W\varphi SV},$$
(63)
which satisfies Eqs. (58) and (59) in the two limits given by Eqs. (58) and (59) . As a consequence, in the limit $`W0`$, $`K^{}=K_b`$ (which is a specific case of a general result holding for arbitrary two fluids: $`K^{}=K_{\mathrm{BGW}}`$), and for $`W\mathrm{}`$, $`K^{}=K_{\mathrm{BGH}}`$. Equations (56), (57), and (63) complete the derivation for the static limit. This result for the static modulus is also plotted in Figs. 1 and 2 where it is seen to be identical to that computed from the full formalism.

It is as straightforward to find the parameter $`T`$ governing the low-frequency behavior. $`T`$ is given by Eq. (48) after solving Eq. (46), when the function $`g(𝐫)`$ is known. In the fluid-filled patch, the volumetric strain of the solid can be found using Hill’s theory once again (see also Eq. (35) of Ref. johnson01 ):

$$ϵ_{ll}=\frac{[K_b+(4/3)N]P_e}{K^{}K_b+(4/3)N[SK^{}+(1S)K_b]}.$$
(64)
Using Eq. (5) and

$$p_fA=W\varphi SV(E_{ll}ϵ_{ll}),$$
(65)
provided by Eq. (29), we then obtain

$$E_{ll}ϵ_{ll}=\frac{Q+R}{\stackrel{~}{W}S+R}ϵ_{ll},$$
(66)
which together with Eq. (64) defines the value of $`g`$, Eq. (46), inside the fluid patch:

$$g=\left(\frac{Q+R}{\stackrel{~}{W}S+R}\right)\frac{[K_b+(4/3)N]}{K^{}K_b+(4/3)N[SK^{}+(1S)K_b]}.$$
(67)
Here, quantities $`Q`$ and $`R`$ are evaluated using the bare fluid bulk modulus, $`K_f`$. Defining an auxiliary function $`\stackrel{~}{\mathrm{\Phi }}`$ in the space occupied by the fluid patch, $`V_f`$, by

$$^2\stackrel{~}{\mathrm{\Phi }}=1𝐫V_f$$
(68)
subject to the patch boundary condition $`\stackrel{~}{\mathrm{\Phi }}=0`$ as well as the usual no net-flow condition on the external surface of the sample, we find for the parameter $`T`$, Eq. (48),

$$T=\frac{\eta S\varphi ^2K_0g^2}{k}l_f^2=\frac{l_f^2}{D_T},$$
(69)
where the coefficient $`D_T`$ has the dimensions of a diffusion constant and is given by

$$D_T\stackrel{\mathrm{def}}{=}\frac{k}{\eta S\varphi ^2K_0g^2}.$$
(70)
The Poisson size of the fluid patch, $`l_f`$, is defined by

$$l_f^2\stackrel{\mathrm{def}}{=}\frac{1}{V_f}_{V_f}𝑑V\stackrel{~}{\mathrm{\Phi }}.$$
(71)
The sole effect of the membrane stiffness, $`W`$, in this limit, is thus to renormalize the coefficient $`D_T`$ from that which held when $`W=0`$. We have verified numerically that the results derived in this section are identical to those presented in Sec. III when one of the fluids is taken to be a vacuum.

## V Examples

It is straightforward to repeat the calculations of Ref. johnson01  for $`\stackrel{~}{K}(\omega )`$ in which the patchy geometries are either that of periodic slabs or concentric spheres. In the slab geometry, region 1 is a layer of thickness $`L_1`$ and region 2 is a layer of thickness $`L_2`$, periodically repeated. Here, $`S_1=L_1/(L_1+L_2)`$ and $`A/V=2/(L_1+L_2)`$. In the concentric-spheres geometry, region 1 is a sphere of radius $`R_a`$ surrounded by region 2 of outer radius $`R_b`$: $`S_1=(R_a/R_b)^3`$ and $`A/V=3R_a^2/R_b^3`$.

Equations (B.4) and (B.8) in Ref. johnson01  are still correct as written for the slab and the sphere geometries, respectively. However, the pore pressure is no longer continuous across the patch boundary but it obeys Eq. (7) instead, leading to a slightly different matrix equation to be solved. The results of such numerical calculations are presented in Fig. 3, using the parameter set of table  at a water saturation $`S_w=0.9`$. The horizontal dashed lines in the left column are $`K_{\mathrm{BGH}}`$, $`K_0`$, and $`K_{\mathrm{BGW}}`$ from high to low, respectively. At low frequencies, we see that the numerically exact results do indeed approach $`K_0`$, as per Eq. (43). $`K_{\mathrm{BGW}}`$ has the same value in all three geometries, because the saturation values were chosen to be the same. Similarly for $`K_{\mathrm{BGH}}`$. The values for $`K_0`$, however, are different in the three cases because the surface to volume ratios for the different patch geometries are different. The parameter $`\stackrel{~}{W}`$ in Eq. (30) has a different value in each case and so, therefore, do the values of $`K_0`$.

As we mentioned earlier, the low-frequency parameter $`T`$ is determined by a differential equation (46), which is, in form, identical to that which existed when $`W=0`$ johnson01 . This means that the previously derived results for the slab and the sphere geometries are virtually unchanged. For the sphere, we have from Eq. (40) of Ref. johnson01

$`T`$ $`=`$ $`{\displaystyle \frac{K_0\varphi ^2}{30kR_b^3}}\{[3\eta _2g_2^2+5(\eta _1\eta _2)g_1g_23\eta _1g_1^2]R_a^5`$ (72)
$`15\eta _2g_2(g_2g_1)R_a^3R_b^2+5g_2[3\eta _2g_2(2\eta _2+\eta _1)g_1]R_a^2R_b^33\eta _2g_2^2R_b^5\}.`$
Similarly, the expression appropriate to the slab geometry is Eq. (41) of Ref. johnson01 :

$$T=\frac{K_0\varphi ^2}{6k(L_1+L_2)}\{\eta _1g_1^2L_1^3+3\eta _1g_1g_2L_1^2L_2+3\eta _2g_1g_2L_1L_2^2+\eta _2g_2^2L_2^3\}.$$
(73)
Of course, the correct value for the static modulus, $`K_0`$, Eq. (34), and the correct values for $`g_j`$, Eq. (49), must be used. Subject to this clarification, the low-frequency attenuation implied by the second term in Eq. (43) is shown as a dotted line; we see that the numerically computed results asymptote correctly in this limit. It was noted in Sec. III that the high-frequency asymptote for $`\stackrel{~}{K}(\omega )`$ is unaffected by a nonzero value for $`W`$. This limit is also plotted as dotted lines in Fig. 3.

## VI Theoretical model for $`\stackrel{~}{K}(\omega )`$

A key observation by Johnson johnson01  was that all singularities and branch cuts of the bulk modulus $`\stackrel{~}{K}(\omega )`$ must lie on the negative imaginary axis, when analytic continuation into the complex plane is performed. This stems from the diffusive nature of the relaxation mechanism. In Appendix B, we show that this conclusion stays valid for a nonzero value for the membrane stiffness, leading us to suggest that the simple analytical formula proposed earlier johnson01  may also work in the present context. We wish to have a function which has singularities only on the negative imaginary axis and which has the limiting properties of Eqs. (43) and (53). That is, we propose the following function should work well as compared against exact numerical results:

$$\stackrel{~}{K}(\omega )=K_{\mathrm{}}\frac{K_{\mathrm{}}K_0}{1\zeta \left(1\sqrt{1i\omega \tau /\zeta ^2}\right)},$$
(74)
where consistency with Eqs. (43) and (53) requires

$$\tau =\left[\frac{K_{\mathrm{}}K_0}{K_{\mathrm{}}G}\right]^2$$
(75)
and

$$\zeta =\frac{(K_{\mathrm{}}K_0)^3}{2K_0K_{\mathrm{}}^2TG^2}=\frac{(K_{\mathrm{}}K_0)}{2K_0}\frac{\tau }{T}.$$
(76)
In Eq. (74) the branch cut in the definition of the square root function, $`\sqrt{Z}`$, is taken to be along the negative real $`z`$ axis.

For the specific cases of the slab and concentric spheres geometries, the parameter $`T`$ is computed directly from Eqs. (72), (73) as the case may be. $`G`$ is evaluated using Eq. (54). The resulting predictions from Eq. (74) are shown as dashed curves in Fig. (3), where one can see that it does an excellent job of interpolating throughout the entire frequency range.

## VII Conclusions

In summary, we have extended the theory of Johnson johnson01  to consider effects of the capillary forces on the acoustics of porous media saturated with two different fluids. Using a well-known expression for the pore-pressure discontinuity across the patch boundary, Eq. (7), we have shown that the finite membrane stiffness, $`W`$, does not affect the analytic structure of the frequency-dependent bulk modulus $`\stackrel{~}{K}(\omega )`$. In addition, the high-frequency asymptote of $`\stackrel{~}{K}(\omega )`$ does not depend on $`W`$, as long as $`W`$ is sufficiently small \[see Eqs. (86), (87)\], so that the high-frequency limit of our theory can be reached at all. The effect of the capillary forces is thus to rescale the static bulk modulus, $`K_0`$, and the low-frequency correction parameter, $`T`$, Eqs. (34) and (48), respectively. Furthermore, there are no new geometrical parameters introduced by the membrane stiffness: For example, when one of the fluids is a gas, the two relevant topological parameters are the sample-volume to patch-surface ratio and the Poisson size of the fluid patch, $`l_f`$, Eq. (71). In the limit $`W0`$, results of Ref. johnson01  are recovered. In the limit $`W\mathrm{}`$, $`\stackrel{~}{K}(\omega )K_{\mathrm{BGH}}`$, Eq. (37), for all frequencies.

###### Acknowledgements.

This work was supported in part by the NSF Grant DMR 02-33773.

## Appendix A Capillary correction in the high-frequency limit

In this Appendix we show that the pore pressure discontinuity $`\delta p_f`$ across the patch boundary, see Eq. (51), scales as $`\omega ^{1/2}`$ at high frequencies, $`\omega \mathrm{}`$, so that the membrane stiffness does not modify the high-frequency limit. The pressure equilibration, Eq. (51), is provided by the slow longitudinal waves on both sides of the patch boundary. In order to find equations of motion for the slow wave inside either patch, we take divergence of Eqs. (2), (3) and use relations (4), (5):

$`^2\left[(P_k+Q_k)ϵ_{ll}^{(k)}+(R_k+Q_k)E_{ll}^{(k)}\right]`$ $`=`$ $`0,`$ (77)
$`^2\left[Q_kϵ_{ll}^{(k)}+R_kE_{ll}^{(k)}\right]`$ $`=`$ $`{\displaystyle \frac{i\omega \varphi ^2\eta _k}{k}}\left[ϵ_{ll}^{(k)}E_{ll}^{(k)}\right].`$ (78)
Looking for solutions of the form

$$\begin{array}{ccc}ϵ_{ll}^{(k)}\hfill & =& \hfill c_1^{(k)}e^{i(q_kx+\omega t)}\\ E_{ll}^{(k)}\hfill & =& \hfill c_2^{(k)}e^{i(q_kx+\omega t)}\end{array},$$
(79)
we obtain from Eq. (77) the ratio of the amplitudes of the solid and fluid phases

$$\frac{c_1^{(k)}}{c_2^{(k)}}=\frac{R_k+Q_k}{P_k+Q_k}$$
(80)
and then from Eq. (78) the diffusion coefficient

$$D_k\stackrel{\mathrm{def}}{=}\frac{i\omega }{q_k^2}=\frac{k}{\varphi ^2\eta _k}\frac{P_kR_kQ_k^2}{P_k+2Q_k+R_k}.$$
(81)
The above equations are valid on both sides of the patch boundary. The coefficients of pressure correction $`A_k`$, Eqs. (51), at the interface are then given by

$$A_k=\frac{1}{\varphi }\left[Q_kc_1^{(k)}+R_kc_2^{(k)}\right]$$
(82)
where we used Eq. (5) for the additional pressure exerted by the slow waves. The pressure drop $`\delta p_f`$ across the interface is related to the relative fluid displacement through Eq. (7), and using Eq. (3) we thus obtain

$$\delta p_f=\left(p_{f1}+A_1\right)\left(p_{f2}+A_2\right)=\frac{q_1kW}{\eta _1\omega }A_1.$$
(83)
Finally, we require the fluid-flux continuity across the patch boundary:

$$\frac{q_1}{\eta _1}A_1=\frac{q_2}{\eta _2}A_2.$$
(84)
Eqs. (80), (82)-(84) now constitute a linear system of 6 equations with six unknowns: $`c_1^{(k)}`$, $`c_2^{(k)}`$, and $`A_k`$. The resulting expression for $`\delta p_f`$, Eq. (83), simplifies considerably if one patch is filled with a vacuum. In this case, the pressure discontinuity at the fluid boundary, relative to the difference in pore pressure relatively far from the interface is given by

$$\frac{\delta p_f}{\mathrm{\Delta }p_f}=\frac{1}{1+\eta \omega /Wkq}=\frac{1}{1+\sqrt{\omega /i\omega _W}},$$
(85)
where the crossover frequency

$$\omega _W\stackrel{\mathrm{def}}{=}\frac{W^2k^2}{\eta ^2D}$$
(86)
is defined in terms of quantities corresponding to the fluid patch. When $`\omega \omega _W`$, $`\delta p_f\omega ^{1/2}`$ and the pressure drop across the interface, $`\delta p_f`$, is negligible in comparison with the pressure difference inside the patches, $`\mathrm{\Delta }p_f`$, Eq. (55).

For consistency of our theory, we require that this limit can be reached while we are still in the low-frequency regime of the Biot theory and the propagatory modes have wave lengths longer than the typical patch dimensions, i.e., we need

$$\omega _W(\omega _B,\omega _x).$$
(87)
Eqs. (86) and (87) imply that our high-frequency limit is valid only for sufficiently small membrane-stiffness parameter $`W`$. With the parameter set used to generate figure 3 we have $`\omega _W/(2\pi )=`$ 4.5 Hz. However, our theory makes no assumption about the value of $`\omega _W`$ as compared against the diffusive crossover frequency and, indeed, the theory works quite well even if $`W`$ is so large that $`\omega _W`$ is greater than the crossover implied by the intersection of the high and low frequency asymptotes.

## Appendix B Analytic structure of $`\stackrel{~}{K}(\omega )`$

Here we generalize Appendix C of Ref. johnson01  to take into account the additional term due to the finite membrane stiffness $`W`$ in Eq. (9). We want to investigate analytic properties of the real-valued causal response function $`\widehat{K}(t)`$ in the frequency domain:

$$\stackrel{~}{K}(\omega )\stackrel{\mathrm{def}}{=}_0^{\mathrm{}}\widehat{K}(t)e^{i\omega t}𝑑t.$$
(88)
It is clear that $`\stackrel{~}{K}(\omega )`$ is analytic everywhere in the upper-half complex $`\omega `$ plane, and we will further show that all the zeros, singularities, and branch cuts lie on the negative imaginary axis.

In the following we consider an eigenvalue problem in which all quantities vary as $`𝐮(𝐫)e^{i\omega _nt}`$. Assume

$$𝑑S𝐮𝝉^{\mathbf{}}\widehat{𝐧}=0,$$
(89)
as would be in the case of a zero, singularity, or branch cut of $`\stackrel{~}{K}(\omega )`$ johnson01 . We can then show using Eq. (2) and the Biot relations between stresses and strains, Eqs. (4) and (5), that $`𝑑Vp_f\tau _{ll}^{}`$ is real-valued. This is true since all these equations are unaffected by the capillary forces, and we thus reproduce Eq. (C5) of Ref. johnson01 :

$$𝑑Vp_f\tau _{ll}^{}=𝑑V\frac{1}{K_b/K_s1}\left[\frac{1}{3}|\tau _{ll}|^2+\frac{3K_b}{2N}\left(\mathrm{𝐃𝐃}^{}\right)_{ll}\right],$$
(90)
where $`D_{ij}=\tau _{ij}(1/3)\tau _{ll}\delta _{ij}`$ is the deviatoric part of the stress tensor. Finally, multiplying Eq. (9) by $`𝐔^{}𝐮^{}`$ and integrating it over the entire volume of the sample, we obtain

$$i\omega _n𝑑V\frac{\eta \varphi }{k}|𝐔𝐮|^2=𝑑Vp_f(ϵ_{ll}^{}E_{ll}^{})+W\varphi 𝑑V|\widehat{𝐧}(𝐔𝐮)|^2\delta (R).$$
(91)
As the volumetric strains, $`ϵ_{ll}`$ and $`E_{ll}`$, are given by linear combinations of $`p_f`$ and $`\tau _{ll}`$ \[via inverting Eqs. (4), (5)\], the right-hand side of Eq. (91) is real-valued and, therefore, $`\omega _n`$ is pure imaginary. This completes the proof.

Figure 1. Y. Tserkovnyak and D. L. Johnson, J. Acoust. Soc. Am.

Figure 2. Y. Tserkovnyak and D. L. Johnson, J. Acoust. Soc. Am.

Figure 3. Y. Tserkovnyak and D. L. Johnson, J. Acoust. Soc. Am.


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# 𝐋_∞ structures on spaces with 3 one-dimensional components

## 1. Introduction

$`L_{\mathrm{}}`$ structures have been a subject of recent interest in physics, where they occur in closed string theory  and in gauge theory . This paper provides a class of easily constructible examples of $`L_n`$ and $`L_{\mathrm{}}`$ structures on graded vector spaces with 3 one-dimensional components. In particular, we will show how to classify all possible $`L_n`$ and $`L_{\mathrm{}}`$ structures on $`V=V_mV_{m+1}V_{m+2}`$ when $`dim(V_m)=dim(V_{m+1})=dim(V_{m+2})=1`$. We will also give necessary and sufficient conditions under which a space with an $`L_3`$ structure is a differential graded Lie algebra. In the process, we will show that some of these d.g. Lie algebras possess a nontrivial $`L_n`$ structure for higher $`n`$.

The fundamental properties of $`L_{\mathrm{}}`$ structures (including many of the definitions below) were developed earlier in  and . The results in this paper are a portion of my PhD research under the supervision of Tom Lada. I would also like to thank Jim Stasheff for many helpful suggestions and comments.

## 2. Basic definitions and notation

Throughout this paper, it is assumed that $`V=V_mV_{m+1}V_{m+2}`$ is a graded vector space over a fixed field of characteristic zero. Since we are working with graded vector spaces, the Koszul sign convention will be employed: whenever two objects of degrees $`p`$ and $`q`$ are commuted, a factor of $`(1)^{pq}`$ is introduced. For a permutation $`\sigma `$ acting on a string of symbols, let $`\epsilon (\sigma )`$ denote the total effect of these signs; then $`\chi (\sigma )=(1)^\sigma \epsilon (\sigma )`$ where $`(1)^\sigma `$ is the sign of the permutation $`\sigma `$.

###### Remark 2.1.

$`\chi (\sigma )`$ has the following properties, which can be easily verified:

1. If a permutation $`\sigma `$ just reorders a string of consecutive elements of odd degree, then $`\chi (\sigma )=1`$.
2. If a permutation $`\sigma `$ just reorders a string of consecutive elements of even degree, then $`\chi (\sigma )=(1)^\sigma `$.
3. If a permutation $`\sigma `$ just transposes two (arbitrarily positioned) elements of even degree, then $`\chi (\sigma )=1`$.
4. If a permutation $`\sigma `$ moves an element of even degree past a string of $`k`$ elements of arbitrary degree, then $`\chi (\sigma )=(1)^k`$.
5. If a permutation $`\sigma `$ moves an element of odd degree past a string of $`k`$ elements of even degree, then $`\chi (\sigma )=(1)^k`$.
6. If a permutation $`\sigma `$ moves a string of $`j`$ even elements past a string of $`k`$ elements of arbitrary degree, then $`\chi (\sigma )=(1)^{jk}`$.

###### Definition 2.2.

A $`(p,np)`$ unshuffle is a permutation $`\sigma S_n`$ such that

$$\sigma (1)<\sigma (2)<\mathrm{}<\sigma (p)\text{ and }\sigma (p+1)<\sigma (p+2)<\mathrm{}<\sigma (n).$$

###### Definition 2.3.

A map $`l_n:V^nV`$ has degree $`k`$ if $`l_n(x_1x_2\mathrm{}x_n)V_N`$, where $`N=k+_{i=1}^n|x_i|.`$

###### Definition 2.4.

A linear map $`l_n:V^nV`$ is skew symmetric if

$$l_n(x_{\pi (1)}\mathrm{}x_{\pi (n)})=\chi (\pi )l_n(x_1\mathrm{}x_n)\pi S_n.$$

###### Definition 2.5.

A skew symmetric linear map $`l:V^nV`$ can be extended to a map $`l:V^{n+k}V^{1+k}`$ by the rule,

$$l(x_1\mathrm{}x_{n+k})=\underset{\begin{array}{c}\sigma \text{ is }(n,k)\\ \text{ unshuffle}\end{array}}{}\chi (\sigma )l(x_{\sigma (1)}\mathrm{}x_{\sigma (n)})x_{\sigma (n+1)}\mathrm{}x_{\sigma (n+k)}.$$

###### Remark 2.6.

The extension of a skew linear map need not be skew. For example: $`l_1(vuw)(1)^{uv}l_1(uvw)`$. However, it can be shown that the composition $`l_{np+1}l_p:V^nV`$ is a skew symmetric linear operator.

###### Definition 2.7.

Let $`𝒥_n:V^nV`$ be defined by

$$𝒥_n(x_1x_2\mathrm{}x_n)=\underset{p=1}{\overset{n}{}}(1)^{p(np)}l_{np+1}l_p(x_1x_2\mathrm{}x_n).$$

(using the notation of extended maps defined above).

###### Remark 2.8.

For ease of computation, $`𝒥_n(x_1x_2\mathrm{}x_n)`$ can be rewritten as

$$\underset{p=1}{\overset{n}{}}(1)^{p(np)}\underset{\begin{array}{c}\sigma \text{ is }(p,np)\\ \text{unshuffle}\end{array}}{}\chi (\sigma )l_{np+1}(l_p(x_{\sigma (1)}\mathrm{}x_{\sigma (p)})x_{\sigma (p+1)}\mathrm{}x_{\sigma (n)}).$$

###### Definition 2.9.

The nth generalized Jacobi identity is the equation

$$𝒥_n=0.$$

###### Remark 2.10.

If we denote $`l_2(xy)=[x,y]`$ and consider the special case when $`n=3`$ and $`l_3=0`$, the generalized Jacobi identity becomes the more familiar graded Jacobi identity, since

$$\underset{\begin{array}{c}\sigma \text{ is }(2,1)\\ \text{ unshuffle}\end{array}}{}\chi (\sigma )l_2(l_2(x_{\sigma (1)}x_{\sigma (2)})x_{\sigma (3)})=0$$

can be rewritten in bracket notation as

$$\underset{\begin{array}{c}\sigma \text{ is }(2,1)\\ \text{ unshuffle}\end{array}}{}\chi (\sigma )[[x_{\sigma (1)},x_{\sigma (2)})],x_{\sigma (3)}]=0$$

which then expands to the usual graded Jacobi identity,

$$[[x_1,x_2],x_3](1)^{|x_2||x_3|}[[x_1,x_3],x_2]+(1)^{|x_1|(|x_2|+|x_3|)}[[x_2,x_3],x_1]=0.$$

###### Remark 2.11.

Note that $`l_{np+1}l_p:V^nV`$ is a skew linear operator of degree $`3n`$. Therefore, $`𝒥_n`$ is also a skew linear operator of degree $`3n`$. In particular, whenever an element of even degree is repeated, the Jacobi identity is automatically satisfied.

###### Definition 2.12.

An $`L_m`$ structure is a graded vector space $`V`$ endowed with a collection of linear maps $`\{l_k:V^kV,1km\}`$ with $`deg(l_k)=2k`$ which are skew symmetric and satisfy each Jacobi identity $`𝒥_n=0`$, $`1nm`$.

###### Remark 2.13.

This is the “cochain version” of the definition of an $`L_m`$ structure, having $`deg(l_k)=2k`$. The definition for chain complexes is the same, but with $`deg(l_k)=k2`$. We will be working exclusively with the cochain version in this paper.

###### Definition 2.14.

An $`L_{\mathrm{}}`$ structure is a graded vector space $`V`$ endowed with a collection of linear maps $`\{l_k:V^kV,k\}`$ such that $`𝒥_n=0n`$.

###### Definition 2.15.

A differential graded (d.g.) Lie algebra is an $`L_2`$ structure which satisfies the identity,

$$\underset{\begin{array}{c}\sigma \text{ is }(2,1)\\ \text{ unshuffle}\end{array}}{}\chi (\sigma )l_2(l_2(x_{\sigma (1)}x_{\sigma (2)})x_{\sigma (3)})=0.$$

## 3. $`𝐕=𝐕_\mathrm{𝟎}𝐕_\mathrm{𝟏}𝐕_\mathrm{𝟐}`$ where each is 1-dimensional

This section includes necessary and sufficient conditions under which skew linear operators form an $`L_m`$ or $`L_{\mathrm{}}`$ structure on $`V=V_0V_1V_2`$, as well as necessary and sufficient conditions for an $`L_3`$ structure on this space to be a differential graded Lie algebra.

Specifically, consider $`V=V_i`$ where

$`V_0`$ $`=<v>`$ $`V_1`$ $`=<w>`$ $`V_2`$ $`=<x>`$ $`V_k`$ $`=0,k\{0,1,2\}`$
Define skew linear operators $`l_n:V^nV`$ of degree $`2n`$ by

(1)
$$\{\begin{array}{cc}\hfill l_n(vw^{n1})& =a_nwn1\hfill \\ \hfill l_n(w^n)& =b_nxn1\hfill \\ \hfill l_n(vw^{n2}x)& =c_nxn2\hfill \\ \hfill l_n(w^{n1}x)& =0n\hfill \\ \hfill l_n(v^iw^{nij}x^j)& =0i,j>1\hfill \end{array}$$

where $`a_n`$, $`b_n`$, $`c_n`$ are constants. Since $`c_n`$ is defined above only for $`n2`$, we can define $`c_1=0`$ for the sake of convenience.

The goal in this section is to show that this space can have just two types of $`L_{\mathrm{}}`$ structure:

* $`b_p=0p`$ but all constants $`a_n`$, $`c_n`$ are arbitrarily chosen
* If some $`b_p`$ is nonzero, the remaining constants $`b_n`$ and all constants $`c_n`$ can be arbitrarily chosen, but all constants $`a_n`$ are then uniquely determined by those choices.

###### Remark 3.1.

The above list (1) includes all possible skew linear operators of degree $`2n`$, by the following argument:

* $`l_n(v^iw^{nij}x^j)=0i,j>1`$ because a repeated component of even degree makes a skew operator zero.
* $`l_n(w^{n1}x)V_{n1+2+2n}=V_3`$ which is zero.

The action of $`l_k`$ on the remaining generators is determined by its skewness.

In order to determine when these operators define an $`L_m`$ structure on $`V`$, we need to know when $`𝒥_n=0nm`$. The following two lemmas establish the conditions which force $`𝒥_n=0`$:

###### Lemma 3.2.

Given $`V=V_0V_1V_2`$ with the skew linear operators defined in (1), $`𝒥_n=0`$ if and only if $`𝒥_n(vw^{n1})=0`$.

###### Proof.

Since $`deg(𝒥_n)=3n`$,

$$𝒥_n(V_0^iV_1^{nij}V_2^j)V_{nij+2j+3n}=V_{i+j+3}.$$

Thus $`𝒥_n(V_0^iV_1^{nij}V_2^j)`$ can only be nonzero if $`ji+3\{0,1,2\}`$ (since these are the only nonzero components of $`V`$). Equivalently, $`𝒥_n(V_0^iV_1^{nij}V_2^j)`$ can only be nonzero if $`ji\{3,2,1\}`$. But $`𝒥_n(V_0^iV_1^{nij}V_2^j)=0`$ whenever $`i>1`$ (since $`𝒥_n`$ is skew and a parameter of even degree would be repeated). Thus $`𝒥_n(V_0^iV_1^{nij}V_2^j)`$ can only be nonzero when $`i=1`$ and $`j=0`$. ∎

###### Lemma 3.3.

Given $`V=V_0V_1V_2`$ with the operators defined in (1),

$$𝒥_n(vw^{n1})=\underset{p=1}{\overset{n}{}}(1)^{p(np)}(1)^nb_p\left[(1)\left(\genfrac{}{}{0pt}{}{n1}{np}\right)a_{np+1}+\left(\genfrac{}{}{0pt}{}{n1}{p}\right)c_{np+1}\right]x.$$

###### Proof.

Before calculating $`l_{np+1}l_p(vw^{n1})`$, it is helpful to consider the ways in which a $`(p,np)`$ unshuffle of $`vw^{n1}`$ could possibly rearrange the terms. Here, there are only two possibilities, since ordering guarantees that the $`v`$ must be placed in either position $`1`$ or position $`p+1`$.

There are $`\left(\genfrac{}{}{0pt}{}{n1}{p1}\right)`$ unshuffles which place $`v`$ in position $`1`$. In each case, $`\chi (\sigma )=+1`$, since each of these permutations can be accomplished solely by commuting elements of odd degree.

Similarly, there are $`\left(\genfrac{}{}{0pt}{}{n1}{p}\right)`$ unshuffles which place $`v`$ in position $`p+1`$. In each case, $`\chi (\sigma )=(1)^p`$. This is because we can reorder the consecutive $`w`$ terms (which does not change the sign), and then simply shift $`v`$ past $`p`$ $`w`$ terms.

$`l_{np+1}l_p(vw^{n1})`$ $`=\left(\genfrac{}{}{0pt}{}{n1}{p1}\right)l_{np+1}(l_p(vw^{p1})w^{np})`$
$`+\left(\genfrac{}{}{0pt}{}{n1}{p}\right)(1)^pl_{np+1}(l_p(w^p)vw^{np1})`$
$`=\left(\genfrac{}{}{0pt}{}{n1}{p1}\right)l_{np+1}(a_pww^{np})`$
$`+\left(\genfrac{}{}{0pt}{}{n1}{p}\right)(1)^p(1)^{np}l_{np+1}(b_pvw^{np1}x)`$
$`=\left(\genfrac{}{}{0pt}{}{n1}{p1}\right)a_pb_{np+1}x+(1)^n\left(\genfrac{}{}{0pt}{}{n1}{p}\right)b_pc_{np+1}x.`$
Since $`𝒥_n=_{p=1}^n(1)^{p(np)}l_{np+1}l_p`$, we have

$$𝒥_n(vw^{n1})=\underset{p=1}{\overset{n}{}}(1)^{p(np)}\left[\left(\genfrac{}{}{0pt}{}{n1}{p1}\right)a_pb_{np+1}x+(1)^n\left(\genfrac{}{}{0pt}{}{n1}{p}\right)b_pc_{np+1}x\right].$$

Thus $`𝒥_n(vw^{n1})`$ is equal to

$$\underset{p=1}{\overset{n}{}}(1)^{p(np)}\left(\genfrac{}{}{0pt}{}{n1}{p1}\right)a_pb_{np+1}x+\underset{p=1}{\overset{n}{}}(1)^{p(np)}(1)^n\left(\genfrac{}{}{0pt}{}{n1}{p}\right)b_pc_{np+1}x.$$

Substituting $`q=np+1`$ in the first sum and re-indexing, this is equivalent to

$$\underset{q=1}{\overset{n}{}}(1)^{(nq+1)(q1)}\left(\genfrac{}{}{0pt}{}{n1}{nq}\right)a_{nq+1}b_qx+\underset{p=1}{\overset{n}{}}(1)^{p(np)}(1)^n\left(\genfrac{}{}{0pt}{}{n1}{p}\right)b_pc_{np+1}x.$$

Recombining the two sums, this is equivalent to

$$\underset{p=1}{\overset{n}{}}(1)^{p(np)}(1)^nb_p\left[(1)\left(\genfrac{}{}{0pt}{}{n1}{np}\right)a_{np+1}+\left(\genfrac{}{}{0pt}{}{n1}{p}\right)c_{np+1}\right]x.$$

###### Remark 3.4.

Thus in $`V=V_0V_1V_2`$,

$$𝒥_n=00=\underset{p=1}{\overset{n}{}}(1)^{p(np)}(1)^nb_p\left[(1)\left(\genfrac{}{}{0pt}{}{n1}{np}\right)a_{np+1}+\left(\genfrac{}{}{0pt}{}{n1}{p}\right)c_{np+1}\right].$$

In particular, $`v`$ is $`L_1`$ (i.e. a differential graded vector space) if and only if $`0=a_1b_1`$.

###### Lemma 3.5.

Suppose $`V=V_0V_1V_2`$ with the skew linear operators defined in (1) has an $`L_{\mathrm{}}`$ structure and $`a_10`$. Then $`b_n=0n`$.

###### Proof.

Suppose $`a_10`$. Then $`b_1=0`$ (since the first Jacobi identity requires that $`0=a_1b_1`$). Now we do an induction proof: Suppose $`b_k=0k<n`$. The $`n`$th Jacobi identity requires that

$$0=\underset{p=1}{\overset{n}{}}(1)^{p(np)}(1)^nb_p\left[(1)\left(\genfrac{}{}{0pt}{}{n1}{np}\right)a_{np+1}+\left(\genfrac{}{}{0pt}{}{n1}{p}\right)c_{np+1}\right].$$

Since we’re supposing that $`b_k=0k<n`$, this collapses to $`0=(1)^nb_n(n1)a_1`$. But we also supposed that $`a_10`$, which forces $`b_n=0`$. ∎

If some constant $`b_k`$ is nonzero, then the following lemma proves that the constraint $`𝒥_n=0`$ is equivalent to an explicit formula for $`a_{nk+1}`$:

###### Lemma 3.6.

Given $`V=V_0V_1V_2`$ with the operators defined in (1), suppose that $`1k<n\&b_p=0p<k\&b_k0`$. Then $`𝒥_n=0`$ if and only if

$$a_{nk+1}=\left(\frac{nk}{k}\right)c_{nk+1}+\frac{_{q=2}^{nk}(1)^{q(nq)}b_{nq+1}\left[\left(\genfrac{}{}{0pt}{}{n1}{q1}\right)a_q\left(\genfrac{}{}{0pt}{}{n1}{q2}\right)c_q\right]}{(1)^{k(nk)+n}\left(\genfrac{}{}{0pt}{}{n1}{nk}\right)b_k}.$$

###### Proof.

We know that

$$𝒥_n=00=\underset{p=1}{\overset{n}{}}(1)^{p(np)}(1)^nb_p\left[(1)\left(\genfrac{}{}{0pt}{}{n1}{np}\right)a_{np+1}+\left(\genfrac{}{}{0pt}{}{n1}{p}\right)c_{np+1}\right].$$

Since $`b_k0`$ by assumption, $`a_1=0`$ by the preceding lemma. Thus when $`p=n`$, $`a_{np+1}=0`$. Also, when $`p=n`$, $`\left(\genfrac{}{}{0pt}{}{n1}{p}\right)=0`$. Thus we can change the upper limit of the summation to $`n1`$. Furthermore, since $`b_p=0p<k`$, the lower limit can be changed to $`k`$. Thus $`𝒥_n=0`$ if and only if

$$0=\underset{p=k}{\overset{n1}{}}(1)^{p(np)}b_p\left[(1)\left(\genfrac{}{}{0pt}{}{n1}{np}\right)a_{np+1}+\left(\genfrac{}{}{0pt}{}{n1}{p}\right)c_{np+1}\right].$$

Removing the term with $`p=k`$ from the summation, we get an equivalent equation:

$$\begin{array}{c}(1)^{k(nk)}b_k\left(\genfrac{}{}{0pt}{}{n1}{nk}\right)a_{nk+1}=(1)^{k(nk)}b_k\left(\genfrac{}{}{0pt}{}{n1}{k}\right)c_{nk+1}\hfill \\ \hfill +\underset{p=k+1}{\overset{n1}{}}(1)^{p(np)}b_p\left[(1)\left(\genfrac{}{}{0pt}{}{n1}{np}\right)a_{np+1}+\left(\genfrac{}{}{0pt}{}{n1}{p}\right)c_{np+1}\right].\end{array}$$

Since we supposed that $`1k<n`$, $`\left(\genfrac{}{}{0pt}{}{n1}{nk}\right)0`$. Also $`b_k0`$ by supposition. Thus the previous equation is equivalent to the formula,

$$\begin{array}{c}a_{nk+1}=\frac{\left(\genfrac{}{}{0pt}{}{n1}{k}\right)c_{nk+1}}{\left(\genfrac{}{}{0pt}{}{n1}{nk}\right)}\hfill \\ \hfill +\frac{_{p=k+1}^{n1}(1)^{p(np)}b_p\left[(1)\left(\genfrac{}{}{0pt}{}{n1}{np}\right)a_{np+1}+\left(\genfrac{}{}{0pt}{}{n1}{p}\right)c_{np+1}\right]}{(1)^{k(nk)}b_k\left(\genfrac{}{}{0pt}{}{n1}{nk}\right)}.\end{array}$$

Substituting $`q=np+1`$, we get

$$\begin{array}{c}a_{nk+1}=\frac{\left(\genfrac{}{}{0pt}{}{n1}{k}\right)c_{nk+1}}{\left(\genfrac{}{}{0pt}{}{n1}{nk}\right)}\hfill \\ \hfill +\frac{_{q=2}^{nk}(1)^{(nq+1)(q1)}b_{nq+1}\left[(1)\left(\genfrac{}{}{0pt}{}{n1}{q1}\right)a_q+\left(\genfrac{}{}{0pt}{}{n1}{nq+1}\right)c_q\right]}{(1)^{k(nk)}b_k\left(\genfrac{}{}{0pt}{}{n1}{nk}\right)}.\end{array}$$

Simplifying, we get

$$a_{nk+1}=\left(\frac{nk}{k}\right)c_{nk+1}+\frac{_{q=2}^{nk}(1)^{q(nq)}b_{nq+1}\left[\left(\genfrac{}{}{0pt}{}{n1}{q1}\right)a_q\left(\genfrac{}{}{0pt}{}{n1}{q2}\right)c_q\right]}{(1)^{k(nk)+n}\left(\genfrac{}{}{0pt}{}{n1}{nk}\right)b_k}.$$

###### Lemma 3.7.

If $`b_p=0p<n`$ then $`V=V_0V_1V_2`$, with the skew operators defined in (1) is $`L_n`$.

###### Proof.

Suppose $`1mn`$. We know that

$$𝒥_m=00=\underset{p=1}{\overset{m}{}}(1)^{p(mp)}(1)^mb_p\left[(1)\left(\genfrac{}{}{0pt}{}{m1}{mp}\right)a_{mp+1}+\left(\genfrac{}{}{0pt}{}{m1}{p}\right)c_{mp+1}\right].$$

If $`m<n`$, we have $`b_p=0pm`$, and $`𝒥_m=0`$. So we only need to show that $`𝒥_n=0`$.

$$\begin{array}{c}𝒥_n=\underset{p=n}{\overset{n}{}}(1)^{p(np)}(1)^nb_p\left[(1)\left(\genfrac{}{}{0pt}{}{n1}{np}\right)a_{np+1}+\left(\genfrac{}{}{0pt}{}{n1}{p}\right)c_{np+1}\right]\hfill \\ \hfill =(1)^nb_n\left[(1)\left(\genfrac{}{}{0pt}{}{n1}{o}\right)a_1+\left(\genfrac{}{}{0pt}{}{n1}{n}\right)c_1\right]=(1)^{n+1}(n1)b_na_1.\end{array}$$

If $`b_n=0`$, then this is zero. If $`b_n0`$, we know from Lemma (3.5) that $`a_1=0`$, which makes the sum zero in all cases. Thus $`𝒥_n=0mn`$. Therefore, $`V`$ is $`L_n`$. ∎

Now the following theorem provides necessary and sufficient conditions which identify all possible $`L_n`$ structures on $`V=V_0V_1V_2`$. This also leads to a corollary which specifies all possible $`L_{\mathrm{}}`$ structures on this space.

###### Theorem 3.8.

Suppose that $`V=V_0V_1V_2`$ has skew operators defined by \********************************** $`\left\{\begin{array}{cc}\hfill l_n(vw^{n1})& =a_nwn1\hfill \\ \hfill l_n(w^n)& =b_nxn1\hfill \\ \hfill l_n(vw^{n2}x)& =c_nxn2\hfill \end{array}\right\}.`$ $`V`$ is $`L_n`$ if and only if

* $`b_p=0p<n`$ or
* $`k`$ such that $`1k<n\&b_p=0p<k\&b_k0\&1mnk+1`$,

$$a_m=\left(\frac{m1}{k}\right)c_m+\frac{_{p=2}^{m1}(1)^{p(m+k)}b_{m+kp}\left[\left(\genfrac{}{}{0pt}{}{m+k2}{p1}\right)a_p\left(\genfrac{}{}{0pt}{}{m+k2}{p2}\right)c_p\right]}{(1)^{m(m+k)+1}\left(\genfrac{}{}{0pt}{}{m+k2}{m1}\right)b_k}.$$

###### Proof.

If $`b_p=0p<n`$ then we know from Lemma (3.7) that $`V`$ is $`L_n`$. So suppose otherwise.

Then $`k`$ such that $`1k<n\&b_p=0p<k\&b_k0`$. Using Lemma (3.7) again, we know that $`V`$ is $`L_k`$. Thus $`𝒥_q=0qk`$. Thus $`V`$ is $`L_n`$ if and only if $`𝒥_q=0k<qn`$, which by Lemma (3.6) is true if and only if

$$a_{qk+1}=\left(\frac{qk}{k}\right)c_{qk+1}+\frac{_{p=2}^{qk}(1)^{p(qp)}b_{qp+1}\left[\left(\genfrac{}{}{0pt}{}{q1}{p1}\right)a_p\left(\genfrac{}{}{0pt}{}{q1}{p2}\right)c_p\right]}{(1)^{k(qk)+q}\left(\genfrac{}{}{0pt}{}{q1}{qk}\right)b_k}$$

$`k<qn`$. If we substitute $`m=qk+1`$, this formula becomes

$$a_m=\left(\frac{m1}{k}\right)c_m+\frac{_{p=2}^{m1}(1)^{p(m+k1p)}b_{m+kp}\left[\left(\genfrac{}{}{0pt}{}{m+k2}{p1}\right)a_p\left(\genfrac{}{}{0pt}{}{m+k2}{p2}\right)c_p\right]}{(1)^{k(m1)+m+k1}\left(\genfrac{}{}{0pt}{}{m+k2}{m1}\right)b_k}.$$

Note that $`k<qn1<qk+1nk+1`$. Thus $`V`$ is $`L_n`$ if and only if

$$a_m=\left(\frac{m1}{k}\right)c_m+\frac{_{p=2}^{m1}(1)^{p(m+k)}b_{m+kp}\left[\left(\genfrac{}{}{0pt}{}{m+k2}{p1}\right)a_p\left(\genfrac{}{}{0pt}{}{m+k2}{p2}\right)c_p\right]}{(1)^{m(m+k)+1}\left(\genfrac{}{}{0pt}{}{m+k2}{m1}\right)b_k}$$

$`1<mnk+1`$. ∎

###### Corollary 3.9.

Suppose that $`V=V_0V_1V_2`$, with the skew operators defined in (1) is $`L_n`$. Then $`V`$ is $`L_{n+1}`$ if and only if

* $`b_p=0p<n+1`$ or
* $`k`$ such that $`1k<n+1\&b_p=0p<k\&b_k0`$ and

$$a_{nk+2}=\left(\frac{nk+1}{k}\right)c_{nk+2}+\frac{_{p=2}^{nk+1}(1)^{p(n+2)}b_{n+2p}\left[\left(\genfrac{}{}{0pt}{}{n}{p1}\right)a_p\left(\genfrac{}{}{0pt}{}{n}{p2}\right)c_p\right]}{(1)^{n(nk)+1}\left(\genfrac{}{}{0pt}{}{n}{k1}\right)b_k}.$$

###### Corollary 3.10.

$`V=V_0V_1V_2`$ with the skew operators defined in (1) is $`L_{\mathrm{}}`$ if and only if

* $`b_p=0p`$ or
* $`k`$ such that $`b_p=0p<k\&b_k0\&m`$,

$$a_m=\left(\frac{m1}{k}\right)c_m+\frac{_{p=2}^{m1}(1)^{p(m+k)}b_{m+kp}\left[\left(\genfrac{}{}{0pt}{}{m+k2}{p1}\right)a_p\left(\genfrac{}{}{0pt}{}{m+k2}{p2}\right)c_p\right]}{(1)^{m(m+k)+1}\left(\genfrac{}{}{0pt}{}{m+k2}{m1}\right)b_k}.$$

The following result gives necessary and sufficient conditions under which an $`L_3`$ structure on $`V=V_0V_1V_2`$ is a differential graded Lie algebra.

###### Theorem 3.11.

Suppose that $`V=V_0V_1V_2`$ with the operators defined in (1) is an $`L_3`$ structure. Then $`V`$ is a differential graded Lie algebra if and only if $`b_1=0`$ or $`b_2=0`$ or $`a_2=0`$.

###### Proof.

Recall that a d.g. Lie algebra is an $`L_2`$ structure in which $`l_2l_20`$. In this space, $`l_2l_20l_2l_2(vw^2)=0`$, by the argument used in Lemma (3.2).

$$\begin{array}{c}l_2l_2(vw^2)\hfill \\ \hfill =l_2(l_2(vw)w)(1)^1l_2(l_2(vw)w)+(1)^0l_2(l_2(ww)v)\\ \hfill =2l_2(a_2ww)+l_2(b_2xv)=2a_2b_2xb_2c_2x=(2a_2c_2)b_2x.\end{array}$$

Thus $`V`$ is a d.g. Lie algebra if and only if $`(2a_2c_2)b_2=0`$. Note that when $`b_2=0`$, this condition makes $`V`$ a d.g. Lie algebra.

To prove the rest, we need to use the fact that $`V`$ is $`L_3`$. Recall that in this space,

$$𝒥_n=00=\underset{p=1}{\overset{n}{}}(1)^{p(np)}(1)^nb_p\left[(1)\left(\genfrac{}{}{0pt}{}{n1}{np}\right)a_{np+1}+\left(\genfrac{}{}{0pt}{}{n1}{p}\right)c_{np+1}\right].$$

Therefore, $`V`$ is $`L_3`$ if and only if the following 3 constraints hold:

$`0`$ $`=a_1b_1`$ $`\text{(since }𝒥_1=0\text{)}.`$
$`0`$ $`=b_1a_2b_1c_2b_2a_1`$ $`\text{(since }𝒥_2=0\text{)}.`$
$`0`$ $`=b_1(a_32c_3)+b_2(2a_2c_2)+b_3a_1`$ $`\text{(since }𝒥_3=0\text{)}.`$
Suppose $`b_20`$ and $`b_1=0`$. By plugging into the second Jacobi constraint, we get $`a_1=0`$ (since $`b_20`$). Plugging $`a_1=0`$ and $`b_1=0`$ into the third constraint, we get $`b_2(2a_2c_2)=0`$, which makes $`V`$ is a d.g. Lie algebra.

So suppose $`b_20`$ and $`b_10`$ and $`a_2=0`$. From the first constraint, $`a_1=0`$. Plugging $`a_1=a_2=0`$ into the second Jacobi constraint, we get $`b_1c_2=0`$. Thus $`c_2=0`$ (since $`b_10`$). Since $`a_2=0`$ and $`c_2=0`$, $`(2a_2c_2)b_2=0`$, and $`V`$ is a d.g. Lie algebra.

Finally, suppose $`b_20`$ and $`b_10`$ and $`a_20`$. From the first constraint, $`a_1=0`$. Plugging $`a_1=0`$ into the second Jacobi constraint, we get $`0=b_1(a_2c_2)`$. Thus $`c_2=a_2`$ (since $`b_10`$). Then $`(2a_2c_2)b_2=(2a_2a_2)b_2=a_2b_20`$ (since we assumed that both $`a_2`$ and $`b_2`$ are nonzero). Thus $`V`$ is not a d.g. Lie algebra in this case. ∎

###### Example 3.12.

Let $`V=V_0V_1V_2`$ where

$`l_1(v)`$ $`=0`$ $`l_2(vw)`$ $`=w`$ $`l_3(vww)`$ $`=w`$
$`l_1(w)`$ $`=x`$ $`l_2(ww)`$ $`=x`$ $`l_3(www)`$ $`=0`$
$`l_2(vx)`$ $`=x`$ $`l_3(vwx)`$ $`=0`$
In the notation of (1), $`a_1=b_3=c3=0`$, $`b_1=a_2=b_2=c_2=1`$, and $`a_3=1`$. This example is $`L_3`$ since $`a_1`$, $`a_2`$, and $`a_3`$ satisfy the formula in Theorem (3.8). However, it is not a differential graded Lie algebra since

$$\begin{array}{c}l_2l_2(vww)=l_2(l_2(vw)w)(1)^1l_2(l_2(vw)w)+(1)^0l_2(ww)v)\hfill \\ \hfill =l_2(ww)+l_2(ww)+0=2x.\end{array}$$

Suppose that we extend this example by defining $`l_4`$:

$`l_4(vw^3)=a_4w`$ $`l_4(w^4)=b_4x`$ $`l_4(vw^2x)=c_4x`$
Then by Corollary (3.9), this structure is $`L_4`$ if and only if $`a_4=3c_41`$. ∎

###### Example 3.13.

Let $`V=V_0V_1V_2`$ where

$`V_0`$ $`=<v>`$ $`V_1`$ $`=<w>`$ $`V_2`$ $`=<x>`$
Define skew linear operators $`l_n:V^nV`$ of degree $`2n`$ by

$`l_n(vw^{n1})=0`$ $`l_n(w^n)=x`$ $`l_n(vw^{n2}x)=0n`$
In the notation of (1), $`a_n=c_n=0`$ and $`b_n=1n`$, and it is easy to see that the conditions of corollary (3.10) are satisfied. Therefore, this is an $`L_{\mathrm{}}`$ structure on $`V`$. Furthermore, it is a differential graded Lie algebra since $`a_2=0`$. Note that in this simple example, we have a d.g. Lie algebra in which the higher operators ($`l_n`$ where $`n>2`$) are also nonzero. ∎

## 4. $`𝐕=𝐕_\mathrm{𝟏}𝐕_\mathrm{𝟎}𝐕_\mathrm{𝟏}`$ where each is 1-dimensional

Now we will investigate a vector space in which the grading is shifted down by one from the previous space. This is an interesting example, since the case $`V_10`$ is important in rational homotopy theory. Here, we will see that there is a much more limited selection of possible $`L_m`$ or $`L_{\mathrm{}}`$ structures, and every $`L_3`$ structure is a differential graded Lie algebra.

It will be shown that every $`L_{\mathrm{}}`$ structure on $`V=V_1V_0V_1`$ (using the skew linear operators listed below) has one of the following forms:

* $`b_n=0n`$ but the constants $`a_n`$, $`c_n`$ are arbitrary
* $`b_m0\text{ for some }m`$ but all constants $`a_n`$, $`c_n`$ are zero

Now consider $`V=V_i`$ where

$`V_1`$ $`=<u>`$ $`V_0`$ $`=<v>`$ $`V_1`$ $`=<w>`$ $`V_k`$ $`=0,k\{1,0,1\}`$
Define skew linear operators $`l_n:V^nV`$ of degree $`2n`$ by

(2)
$$\{\begin{array}{cc}\hfill l_n(uvw^{n2})& =a_nun2\hfill \\ \hfill l_n(uw^{n1})& =b_nvn1\hfill \\ \hfill l_n(vw^{n1})& =c_nwn1\hfill \\ \hfill l_n(w^n)& =0n\hfill \\ \hfill l_n(u^iv^jw^{nij})& =0i,j>1\hfill \end{array}$$

where $`a_n`$, $`b_n`$, $`c_n`$ are constants. Since $`a_n`$ is defined above only for $`n2`$, we can define $`a_1=0`$ for the sake of convenience.

###### Remark 4.1.

The above list includes all possible skew linear operators of degree $`2n`$, by the following argument:

* $`l_n(u^iv^jw^{nij})=0j>1`$ because a repeated component of even degree makes a skew operator zero.
* $`l_n(u^iv^jw^{nij})V_{i+nij+2n}=V_{22ij}`$. This can only be nonzero if $`22ij\{1,0,1\}`$. If $`j=0`$, then $`22i\{1,0,1\}`$ which forces $`i=1`$. If $`j=1`$, then $`22i1\{1,0,1\}`$ which implies that $`i=0`$ or $`i=1`$.

The action of $`l_k`$ on the remaining generators is determined by its skewness.

In order to determine when these operators define an $`L_m`$ structure on $`V`$, we need to know when $`𝒥_n=0nm`$. The following three lemmas establish when $`𝒥_n=0`$.

###### Lemma 4.2.

Given $`V=V_1V_0V_1`$ with the skew operators defined in (2), $`𝒥_n=0`$ if and only if

$$𝒥_n(u^2w^{n2})=0\&𝒥_n(uvw^{n2})=0\&𝒥_n(uw^{n1})=0.$$

###### Proof.

Since $`deg(𝒥_n)=3n`$,

$$𝒥_n(V_1^iV_0^jV_1^{nij})V_{i+nij+3n}=V_{2ij+3}.$$

Thus $`𝒥_n(V_1^iV_0^jV_1^{nij})`$ can only be nonzero if $`2ij+3\{1,0,1\}`$ (since these are the nonzero components of $`V`$). Equivalently, $`𝒥_n(V_1^iV_0^jV_1^{nij})`$ can only be nonzero if $`2i+j\{2,3,4\}`$. But $`𝒥_n(V_1^iV_0^jV_2^{nij})=0`$ whenever $`j>1`$ (since $`𝒥_n`$ is skew and a parameter of even degree would be repeated). Thus $`𝒥_n(V_1^iV_0^jV_2^{nij})`$ can only be nonzero when ($`j=0`$ and $`i=1`$) or ($`j=0`$ and $`i=2`$) or ($`j=1`$ and $`i=1`$). ∎

###### Lemma 4.3.

Given $`V=V_1V_0V_1`$ with the skew operators defined in (2),

$$𝒥_n(uw^{n1})=\underset{p=1}{\overset{n}{}}(1)^{p(np)}\left(\genfrac{}{}{0pt}{}{n1}{p1}\right)b_pc_{np+1}w.$$

###### Proof.

Similar to Lemma (3.3). ∎

###### Lemma 4.4.

Given $`V=V_1V_0V_1`$ with the skew operators defined in (2),

$$𝒥_n(u^2w^{n2})=\underset{p=1}{\overset{n1}{}}(1)^{p(np)}(2)\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)b_pa_{np+1}u.$$

###### Proof.

Before calculating $`l_{np+1}l_p(u^2w^{n2})`$, it is helpful to consider the ways in which a $`(p,np)`$ unshuffle of $`u^2w^{n2}`$ could possibly rearrange the two $`u`$ terms.

* If both $`u`$ are on the left, $`l_{np+1}(l_p(u^2w^{p2})w^{np})=l_{np+1}(0)=0`$.
* If both $`u`$ are on the right, $`l_{np+1}(l_p(w^p)u^2w^{np2})=l_{np+1}(0)=0`$.

Thus we only need to consider unshuffles $`\sigma `$ which put one $`u`$ on each side. Because of ordering, these are the unshuffles such that either ($`\sigma (1)=1\&\sigma (p+1)=2`$) or ($`\sigma (1)=2\&\sigma (p+1)=1`$).

There are $`\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)`$ unshuffles such that ($`\sigma (1)=1\&\sigma (p+1)=2`$). In each case, $`\chi (\sigma )=+1`$, since each of these permutations can be accomplished solely by commuting elements of odd degree. Similarly, there are $`\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)`$ unshuffles such that ($`\sigma (1)=2\&\sigma (p+1)=1`$), each with $`\chi (\sigma )=+1`$. Thus

$`l_{np+1}l_p(u^2w^{n2})`$ $`=2\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)(+1)l_{np+1}(l_p(u^{}w^{p1})uw^{np+1})`$
$`=2\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)l_{np+1}(b_pvuw^{np+1})`$
$`=2\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)b_p(1)l_{np+1}(uvw^{np+1})`$
$`=(2)\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)b_pa_{np+1}u.`$
Thus

$$𝒥_n(u^2w^{n2})=\underset{p=1}{\overset{n}{}}(1)^{p(np)}(2)\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)b_pa_{np+1}u.$$

Since $`a_1=0`$, we get

$$𝒥_n(u^2w^{n2})=\underset{p=1}{\overset{n1}{}}(1)^{p(np)}(2)\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)b_pa_{np+1}u.$$

###### Lemma 4.5.

Given $`V=V_1V_0V_1`$ with the skew operators defined in (2),

$$𝒥_n(uvw^{n2})=\underset{p=1}{\overset{n}{}}(1)^{p(np)}b_{np+1}\left[\left(\genfrac{}{}{0pt}{}{n2}{p2}\right)a_p\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)c_p\right]v.$$

###### Proof.

Denote $`x_1\mathrm{}x_n=uvw^{n2}`$. Consider the different ways in which a $`(p,np)`$ unshuffle $`\sigma `$ could possibly arrange the $`u`$ and $`v`$ terms:

* If both $`u`$ and $`v`$ are on the left, $`l_{np+1}(l_p(uvw^{p2})w^{np})=l_{np+1}(a_puw^{np})=a_pb_{np+1}v`$. There are $`\left(\genfrac{}{}{0pt}{}{n2}{p2}\right)`$ such unshuffles, with $`\chi (\sigma )=+1`$ in each case.
* If $`u`$ is on the left and $`v`$ is on the right, $`l_{np+1}(l_p(uw^{p1})vw^{np1})=l_{np+1}(b_pv^2w^{np1})=0`$
* If $`v`$ is on the left and $`u`$ is on the right, $`l_{np+1}(l_p(vw^{p1})uw^{np+1})=l_{np+1}(c_pwuw^{np+1})=c_pb_{np+1}v`$. There are $`\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)`$ of these, with $`\chi (\sigma )=1`$.
* If both are on the right, $`l_p(w^p)=0`$.

Thus

$$𝒥_n(uvw^{n2})=\underset{p=1}{\overset{n}{}}(1)^{p(np)}\left[\left(\genfrac{}{}{0pt}{}{n2}{p2}\right)a_pb_{np+1}v\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)c_pb_{np+1}v\right].$$

Thus $`𝒥_n=0`$ if and only if the following 3 constraints hold:

$`0`$ $`={\displaystyle \underset{p=1}{\overset{n}{}}}(1)^{p(np)}\left({\displaystyle \genfrac{}{}{0pt}{}{n1}{p1}}\right)b_pc_{np+1}`$ $`\text{(from }uw^{n1}\text{)}.`$
$`0`$ $`={\displaystyle \underset{p=1}{\overset{n1}{}}}(1)^{p(np)}\left({\displaystyle \genfrac{}{}{0pt}{}{n2}{p1}}\right)b_pa_{np+1}`$ $`\text{(from }u^2w^{n2}\text{)}.`$
$`0`$ $`={\displaystyle \underset{p=1}{\overset{n}{}}}(1)^{p(np)}b_{np+1}\left[\left({\displaystyle \genfrac{}{}{0pt}{}{n2}{p2}}\right)a_p\left({\displaystyle \genfrac{}{}{0pt}{}{n2}{p1}}\right)c_p\right]`$ $`\text{(from }uvw^{n2}\text{)}.`$
The following lemma shows that if any constant $`b_k`$ is nonzero, then this forces many other constants $`a_q,c_q`$ to be zero in any $`L_m`$ structure on $`V=V_1V_0V_1`$.

###### Lemma 4.6.

Suppose $`1km`$ and $`b_k0`$ and $`b_p=0p<k`$. Then $`V=V_1V_0V_1`$ with the skew linear operators defined in (2) is $`L_m`$ if and only if $`a_q=c_q=0qmk+1`$.

###### Proof.

Since $`b_p=0p<k`$, $`𝒥_n=0`$ if and only if

$$\begin{array}{c}0=\underset{p=k}{\overset{n}{}}(1)^{p(np)}\left(\genfrac{}{}{0pt}{}{n1}{p1}\right)b_pc_{np+1}\&0=\underset{p=k}{\overset{n1}{}}(1)^{p(np)}\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)b_pa_{np+1}\hfill \\ \hfill \&0=\underset{p=1}{\overset{nk+1}{}}(1)^{p(np)}b_{np+1}\left[\left(\genfrac{}{}{0pt}{}{n2}{p2}\right)a_p\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)c_p\right].\end{array}$$

Substituting $`q=np+1`$, this is equivalent to

$$\begin{array}{c}0=\underset{q=1}{\overset{nk+1}{}}(1)^{(n+1)(q1)}\left(\genfrac{}{}{0pt}{}{n1}{nq}\right)b_{nq+1}c_q\&0=\underset{q=2}{\overset{nk+1}{}}(1)^{(n+1)(q1)}\left(\genfrac{}{}{0pt}{}{n2}{nq}\right)b_{nq+1}a_q\hfill \\ \hfill \&0=\underset{p=1}{\overset{nk+1}{}}(1)^{p(np)}b_{np+1}\left[\left(\genfrac{}{}{0pt}{}{n2}{p2}\right)a_p\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)c_p\right].\end{array}$$

Suppose $`a_q=c_q=0qmk+1`$ and $`nm`$. Then $`𝒥_n=0nm`$ (since all of the above sums are clearly zero in that case). Thus $`V`$ is $`L_m`$.

Now suppose that $`V`$ is $`L_m`$. Since we assumed $`1km`$, $`V`$ is $`𝒥_k`$. When we plug $`n=k`$ into

$$0=\underset{q=1}{\overset{nk+1}{}}(1)^{(n+1)(q1)}\left(\genfrac{}{}{0pt}{}{n1}{nq}\right)b_{nq+1}c_q$$

the expression simplifies to $`0=b_kc_1`$. Since $`b_k0`$ by assumption, $`c_1=0`$. Also, we know $`a_1=0`$ because of the way that the skew operators were defined.

Now we can do induction: Suppose $`2imk+1\&a_q=c_q=0q<i`$. We will now show that $`a_i=c_i=0`$, which will complete the proof! Since $`imk+1`$, $`i+k1m`$. Thus $`𝒥_{i+k1}=0`$. Thus we can plug $`n=i+k1`$ into

$$0=\underset{q=1}{\overset{nk+1}{}}(1)^{(n+1)(q1)}\left(\genfrac{}{}{0pt}{}{n1}{nq}\right)b_{nq+1}c_q\&0=\underset{q=2}{\overset{nk+1}{}}(1)^{(n+1)(q1)}\left(\genfrac{}{}{0pt}{}{n2}{nq}\right)b_{nq+1}a_q.$$

Since we assumed that $`a_q=c_q=0q<i`$, this simplifies to

$$0=(1)^{(k)(i1)}\left(\genfrac{}{}{0pt}{}{i+k2}{k1}\right)b_kc_i\&0=(1)^{(k)(i1)}\left(\genfrac{}{}{0pt}{}{i+k3}{k1}\right)b_ka_i.$$

But the binomial expressions are nonzero since $`i2`$, and $`b_k0`$ by assumption. Thus $`c_i=0`$ and $`a_i=0`$. ∎

Now we can get to the main results: Theorems (4.7) and (4.8) give necessary and sufficient conditions under which skew linear operators form an $`L_m`$ structure on $`V=V_1V_0V_1`$.

###### Theorem 4.7.

Suppose $`V=V_1V_0V_1`$ has skew linear operators defined by \******************************** $`\left\{\begin{array}{cc}\hfill l_n(uvw^{n2})& =a_nun2\hfill \\ \hfill l_n(uw^{n1})& =b_nvn1\hfill \\ \hfill l_n(vw^{n1})& =c_nwn1\hfill \end{array}\right\}.`$ $`V`$ is $`L_m`$ if and only if

* $`b_p=0pm`$ or
* $`k`$ such that $`1km`$ and $`b_p=0p<k`$ and $`b_k0`$ and $`a_q=c_q=0qmk+1`$.

###### Proof.

$`𝒥_n=0`$ if and only if

$$\begin{array}{c}0=\underset{p=1}{\overset{n}{}}(1)^{p(np)}\left(\genfrac{}{}{0pt}{}{n1}{p1}\right)b_pc_{np+1}\&0=\underset{p=1}{\overset{n1}{}}(1)^{p(np)}\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)b_pa_{np+1}\hfill \\ \hfill \&0=\underset{p=1}{\overset{n}{}}(1)^{p(np)}b_{np+1}\left[\left(\genfrac{}{}{0pt}{}{n2}{p2}\right)a_p\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)c_p\right].\end{array}$$

If $`b_p=0pm`$, then $`𝒥_n=0pm`$ (since all of the above sums are clearly zero). Thus $`V`$ is $`L_m`$.

Now suppose that $`V`$ is $`L_m`$ & $`b_{\overline{k}}0`$ such that $`\overline{k}m`$. Then $`k`$ such that $`1km`$ & $`b_p=0p<k\&b_k0`$. Thus by the preceding lemma, $`V`$ is $`L_m`$ if and only if $`a_q=c_q=0qmk+1`$. ∎

###### Theorem 4.8.

Suppose $`V=V_1V_0V_1`$ is an $`L_{\mathrm{}}`$ structure with the skew linear operators defined in (2). If $`m\text{ such that }b_m0\text{ then }a_n=c_n=0n`$.

###### Proof.

Suppose $`b_p=0p<m\&b_m0`$. Then the constraint from checking $`u^2w^{n2}`$ becomes

$$0=\underset{p=m}{\overset{n1}{}}(1)^{p(np)}\left(\genfrac{}{}{0pt}{}{n2}{p1}\right)b_pa_{np+1}.$$

Substituting $`q=np+1`$, we get

$$0=\underset{q=2}{\overset{nm+1}{}}(1)^{(nq+1)(q1)}\left(\genfrac{}{}{0pt}{}{n2}{nq}\right)b_{nq+1}a_q.$$

We have $`a_1=0`$. Now do induction… Suppose $`a_q=0q<k`$ where $`k2`$. Then

$$0=\underset{q=k}{\overset{nm+1}{}}(1)^{(nq+1)(q1)}\left(\genfrac{}{}{0pt}{}{n2}{nq}\right)b_{nq+1}a_q.$$

In the particular case when $`n=m+k1`$, this becomes

$$\begin{array}{c}0=\underset{q=k}{\overset{k}{}}(1)^{(m+kq)(q1)}\left(\genfrac{}{}{0pt}{}{m+k3}{m+k1q}\right)b_{m+kq}a_q\hfill \\ \hfill =(1)^{(m)(k1)}\left(\genfrac{}{}{0pt}{}{m+k3}{m1}\right)b_ma_k.\end{array}$$

Note that since $`k2`$, $`m+k3m1`$. Also $`m10`$ since $`m`$. Thus $`\left(\genfrac{}{}{0pt}{}{m+k3}{m+k1q}\right)0`$. Since $`b_m0`$ by assumption, $`a_k=0`$. Thus by induction, $`a_n=0n`$.

A very similar induction argument using the constraint from $`u^2w^{n2}`$ proves that $`c_n=0n`$. ∎

###### Corollary 4.9.

Given the skew linear operators defined in (2), every $`L_{\mathrm{}}`$ structure on $`V=V_1V_0V_1`$ has one of the following forms:

* $`b_n=0n`$ but the constants $`a_n`$, $`c_n`$ are arbitrary
* $`b_m0\text{ for some }m`$ but all constants $`a_n`$, $`c_n`$ are zero

The following result shows that every $`L_3`$ structure on $`V=V_1V_0V_1`$ is a differential graded Lie algebra.

###### Theorem 4.10.

Suppose $`V=V_1V_0V_1`$ is an $`L_3`$ structure with the skew linear operators defined in (2). Then this structure is a differential graded Lie algebra.

###### Proof.

Recall that a d.g. Lie algebra is an $`L_2`$ structure in which $`l_2l_20`$. In this space, $`l_2l_2=0l_2l_2(u^2w)=l_2l_2(uvw)=l_2l_2(uw^2)=0`$.

$$\begin{array}{c}l_2l_2(u^2w)\hfill \\ \hfill =l_2(l_2(uu)w)(1)^1l_2(l_2(uw)u)+(1)^0l_2(l_2(uw)u)\\ \hfill =l_2(0)+l_2(b_2vu)+l_2(b_2vu)=02l_2(b_2uv)=2b_2a_2u.\end{array}$$

$$\begin{array}{c}l_2l_2(uvw)\hfill \\ \hfill =l_2(l_2(uv)w)(1)^0l_2(l_2(uw)v)+(1)^1l_2(l_2(vw)u)\\ \hfill =l_2(a_2uw)l_2(b_2vv)l_2(c_2wu)=a_2b_2v0+c_2b_2v.\end{array}$$

$$\begin{array}{c}l_2l_2(uw^2)\hfill \\ \hfill =l_2(l_2(uw)w)(1)^1l_2(l_2(uw)w)+(1)^0l_2(l_2(ww)u)\\ \hfill =2l_2(b_2vw)+0=2b_2c_2w.\end{array}$$

Thus $`V`$ is a d.g. Lie algebra if and only if $`b_2a_2=0`$ and $`b_2c_2=0`$. If $`b_2=0`$, then clearly $`V`$ is d.g. Lie.

If $`b_20`$, then $`k`$ such that $`k2`$ and $`b_k0`$ and $`b_p=0p<k`$. Because of this and the fact that $`V`$ is $`L_3`$, Theorem (4.7) requires that $`a_q=c_q=0q3k+1`$. Since $`k2`$, this forces $`a_2=c_2=0`$, which again makes $`V`$ d.g. Lie. ∎

## 5. Other $`𝐕=𝐕_𝐦𝐕_{𝐦+\mathrm{𝟏}}𝐕_{𝐦+\mathrm{𝟐}}`$ where each is 1-dimensional

Most of these other cases are rather trivial:

* When $`m=2`$ or $`m=3`$, we have a degenerate case in which the only possible nonzero operators are $`l_1`$ and $`l_2`$. Therefore, any $`L_2`$ structure on $`V=V_mV_{m+1}V_{m+2}`$ is $`L_2`$ is automatically $`L_{\mathrm{}}`$.
* When $`m4`$ or $`m2`$, this forces $`l_n=0n>1`$, which gives a trivial $`L_{\mathrm{}}`$ structure to any such differential graded vector space.

The results for $`V=V_1V_2V_3`$ (the only remaining interesting case) will be briefly summarized below. The proofs are all very similar to those in the preceding sections. Consider $`V=V_i`$ where

$`V_1`$ $`=<w>`$ $`V_2`$ $`=<x>`$ $`V_3`$ $`=<y>`$ $`V_k`$ $`=0,k\{1,2,3\}`$
Define skew linear operators $`l_n:V^nV`$ of degree $`2n`$ by

(3)
$$\{\begin{array}{cc}\hfill l_n(w^n)& =a_nxn1\hfill \\ \hfill l_n(w^{n1}x)& =b_nyn1\hfill \\ \hfill l_n(w^{nij}x^iy^j)& =0i>1,j>0\hfill \end{array}$$

where $`a_n`$, $`b_n`$ are constants.

###### Theorem 5.1.

Suppose that $`V=V_1V_2V_3`$ has skew operators defined by \*********************** $`\left\{\begin{array}{cc}\hfill l_n(w^n)& =a_nxn1\hfill \\ \hfill l_n(w^{n1}x)& =b_nyn1\hfill \\ \hfill l_n(w^{nij}x^iy^j)& =0i>1,j>0\hfill \end{array}\right\}.`$ $`V`$ is $`L_n`$ if and only if

* $`b_p=0p<n`$ or
* $`k`$ such that $`1k<n\&b_p=0p<k\&b_k0\&`$

$$a_m=\frac{_{q=k+1}^{m+k2}(1)^{(m+k1)(qk)}\left(\genfrac{}{}{0pt}{}{m+k1}{q1}\right)a_mb_q}{\left(\genfrac{}{}{0pt}{}{mk+1}{k1}\right)b_k}1<mnk+1.$$

###### Corollary 5.2.

$`V=V_1V_2V_3`$ with the skew operators defined in (3) is $`L_{\mathrm{}}`$ if and only if

* $`b_p=0p`$ or
* $`k`$ such that $`b_p=0p<k\&b_k0\&`$

$$a_m=\frac{_{q=k+1}^{m+k2}(1)^{(m+k1)(qk)}\left(\genfrac{}{}{0pt}{}{m+k1}{q1}\right)a_mb_q}{\left(\genfrac{}{}{0pt}{}{mk+1}{k1}\right)b_k}m.$$

###### Remark 5.3.

Thus $`V=V_1V_2V_3`$ can have just two types of $`L_{\mathrm{}}`$ structure:

* $`b_p=0p`$ but all constants $`a_n`$ are arbitrarily chosen
* If some $`b_p`$ is nonzero, the remaining constants $`b_n`$ can be arbitrarily chosen, but all constants $`a_n`$ are then uniquely determined by those choices.

Furthermore, every $`L_3`$ structure on $`V=V_1V_2V_3`$ is a d.g. Lie algebra:

###### Theorem 5.4.

Suppose that $`V=V_1V_2V_3`$ with the operators defined in (3) is an $`L_3`$ structure. Then $`V`$ is a differential graded Lie algebra.